Information

  • Audit Title

  • Document No.

  • Client / Site

  • Conducted on

  • Prepared by

  • Location
  • Personnel

Administration

  • The Subcontractor maintains and has available for review an administrative folder containing the current Part B Base/State Services/HOPWA contracts.<br>

  • There is evidence that the subcontractor icon target with the annual goal for the clients to be served and units of service to be provided in each service category.

  • The subcontractor is on target with budget expenditures and if not there is a plan in place to correct over or under spending.

  • The administrative cost is within 10% for the Ryan White and State Services contracts.

  • There is evidence that the subcontractor is in compliance with the Payer of Last Resort Policy of DSHS.

  • The agency has a contract with the established Medicaid provider, or has a justification for not contracting with such entity.

  • The agency has written and established policies in place meeting HIPAA requirements for Security of Records.

  • The agency has written and established policies in place meeting HIPAA requirements for Retention of Records.

  • The agency has written and established policies in place meeting HIPAA requirements for Release of Records.

  • The agency has written and established policies in place meeting HIPAA requirements for Transfer of Records.

  • The agency has written and established policies in place meeting HIPAA requirements for Archiving Records.

  • The agency has written and established policies in place meeting HIPAA requirements for Destruction of Records.

  • The agency has a written confidentiality policy to protect client information and documents, to include (but not limited to):<br> Payments made on behalf of client. <br> Caller ID

  • There is a signed statement maintained in the personnel/volunteer record stating that the contents of the administrative folder have been reviewed by staff.

  • There is evidence that quarterly reports and other requested information are submitted on time.

  • There is evidence of memorandums of understanding or other type of collaborative agreements with service providers.

  • There is evidence that all fees received are reported as program income.

Personnel and Staffing

  • The agency has written personnel policies.

  • The agency has a current organizational chart showing the lines of responsibility and authority.

  • There are job descriptions, including minimum qualifications and credentials for each position, both staff and volunteer.

  • All positions are occupied by individuals with appropriate qualifications, training and experience as required by job descriptions.

  • There is a method for conducting annual performance evaluations of personnel which assesses technical skills and knowledge, and identifies needs and opportunities for continuing education and training

  • There is a written orientation plan for new staff that includes familiarization with agency goals, policies, and service delivery.

  • There is a signed confidentiality statement in each employee's or volunteer's file.

  • Personnel records are maintained confidentially.

  • All project staff funded under the contracts have been hired. (List currently funded staff and vacancies.)

  • Staff vacancies are communicated to the AA within 24 hours for ARIES deactivation.

  • There is a plan to fill any Staff vacancies that remain unfilled longer than 90 days.

  • The agency has a process in place to verify certification/licensure credentials for professional staff, and for maintaining verifications of current status if applicable.

  • An application form is completed for each volunteer.

Case Management

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