Preparing For Your Desk Audit
Your client portal is a secure system that stores your documentation in a manner that is compliant with privacy laws, including HIPAA and GDPR.
Instructions for submission must be followed to make the audit process as smooth as possible. Only documents that are submitted to the file management system will be reviewed by your auditor. Email submissions are not accepted.
Instructions for submission must be followed to make the audit process as smooth as possible. Only documents that are submitted to the file management system will be reviewed by your auditor. Email submissions are not accepted.
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Preparing For
Your Desk Audit
Your Desk Audit
Your client portal is a secure system that stores your documentation in a manner that is compliant with privacy laws, including HIPAA and GDPR.
Instructions for submission must be followed to make the audit process as smooth as possible. Only documents that are submitted to the file management system will be reviewed by your auditor. Email submissions are not accepted.
Instructions for submission must be followed to make the audit process as smooth as possible. Only documents that are submitted to the file management system will be reviewed by your auditor. Email submissions are not accepted.
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Prepare Your Records
- To review clinical practices, our auditors will be reviewing clinical documentation of at least 3 randomly selected clients
- To facilitate this process you must:
- Assign a 3-digit number to each client receiving services beginning with 000
- Your auditor will request 3 randomly selected clients by number
- Your auditor will request 3 randomly selected clients by number
- Obtain all the necessary documentation (see Necessary Documentation)
- Arrange to have documentation translated if necessary
- If you use online data collection, establish an account for your auditor so that records may be viewed
- Assign a 3-digit number to each client receiving services beginning with 000
Acquire Consent
- Submit a consent form to all parents/caregivers of clients
- A copy of this form is located here
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Necessary Documentation
Use the following list to prepare for your submission.
Prepare any available documentation to submit to your auditor when requested.
Prepare any available documentation to submit to your auditor when requested.
Financial Records
- Financial policies handbook
- Bank statements (3 months)
- List of donors
- Financial agreements (rental lease, loan agreements, etc)
- Budget documentation
- Financial/fee policies and contracts
Clinical Records (from at least 3 randomly selected clients)
- Treatment plans
- Program data
- Progress reports
- Lesson plans/session notes
- Descriptions of goals/daily activities
Human Resources Records
- Employee handbook
- Parent handbook
- New hire documents
- Copies of incident reports for the past 3 months
Operational Records
- Staff evaluations
- Employment contracts
- Competency checklists
- Certifications, if applicable
- Incident reports
Publicity Records
- Website address
- Press releases/articles
- Flyer(s) for community events