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ABA Intake & Administrative Compliance Audit
Section 1: Intake Process Compliance
1. Is there a standardized intake form used for all new clients?
Yes
No
2. Are all client intake forms reviewed by a qualified professional?
Yes
No
3. Is there a process for verifying client insurance information during intake?
Yes
No
4. Are clients informed about their rights and responsibilities during the intake process?
Yes
No
5. Is there a method for tracking client intake progress?
Yes
No
6. Are all intake documents stored securely and confidentially?
Yes
No
7. Is there a feedback mechanism for clients regarding the intake process?
Yes
No
8. Are staff trained on the intake process and documentation requirements?
Yes
No
9. Is there a protocol for handling incomplete intake forms?
Yes
No
10. Are clients provided with a summary of services during intake?
Yes
No
Section 2: Administrative Compliance
1. Is there a documented policy for client record management?
Yes
No
2. Are client records updated regularly and accurately?
Yes
No
3. Is there a process for auditing client records periodically?
Yes
No
4. Are staff aware of confidentiality policies regarding client information?
Yes
No
5. Is there a designated person responsible for compliance oversight?
Yes
No
6. Are there regular training sessions on compliance for all staff?
Yes
No
7. Is there a mechanism for reporting compliance violations?
Yes
No
8. Are compliance audits documented and reviewed by management?
Yes
No
9. Is there a process for addressing non-compliance issues?
Yes
No
10. Are client satisfaction surveys conducted regularly?
Yes
No
11. Is there a review process for administrative policies?
Yes
No
12. Are there established procedures for handling client complaints?
Yes
No
13. Is there a system for tracking compliance training completion?
Yes
No
14. Are emergency procedures documented and communicated to staff?
Yes
No
15. Is there a regular review of service delivery outcomes?
Yes
No