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Managed Care Audit Tips and Checklist 
Linda Dykes


Casting fear into the bravest of managers…"AUDIT NOTICE"!. With proper preparation, any audit can be faced with confidence. The secret is knowing what the auditors will be looking for in the office and your charts. The managed care audit does not focus only on the chart audit; they look into all aspects of the office operation. The auditor will review the physician's updated medical licenses, DEA, DPS and Malpractice Insurance coverage. A site check will include the following areas:

Staffing

  • Number of patient care providers (i.e., Physicians, P.A.'s, N.P.'s, Therapists).
  • Number of other staff including RNs, LVNs, MAs, receptionists, lab or x-ray techs, and other office staff including administrators.
  • Exam/Treatment Patient Care Areas

  • Total number of each (exam, x-ray, lab, treatment or special care rooms)
  • A minimum of one exam room per provider
  • Each exam room has access to BP cuff, thermometer, sink and any specialty requirements such as otoscope, opthalmoscope, etc.
  • Procedure and place for patient isolation for potentially infectious patients
  • Policies and procedures for general consent to treat, consent to treat minors.
  • Educational materials for patients
  • Patient privacy assured in exam and treatment rooms.
  • Appearance and Access

  • Facility accessible through safe public thoroughfare
  • Adequate parking spaces including space for persons with disabilities (one space per 25 parking spaces).
  • Outside and inside office clean, and well kept.
  • Adequate seating in reception area for practice specialty and number of providers
  • Reception area visible to reception desk/area
  • Restroom facilities for patients including handicapped.
  • Appointment accessibility

  • Average number of patients seen per day per provider
  • Average number of procedures done in the office
  • After-hours coverage per provider
  • Patient wait time in office
  • Triage of multiple patients (telephone and in office)
  • Triage protocol for emergency or urgent conditions
  • Safety and Emergency Protocols

  • Smoke alarms, fire extinguishers, exit signs available, visible and in working order
  • Evacuation plan in place, passageways unobstructed
  • Emergency protocols in place and staff trained
  • Universal Precautions protocols:
    • Personal protective equipment for staff
    • Disposal of sharps, hazardous waste
    • Procedures for handling body fluids
    • Testing records for sterilizers
  • Labeling of hazardous materials
  • Medications in labeled refrigerator, medication closet/cabinet should be locked
  • State complaint notice displayed
  • Medical Record Keeping

  • Policies and procedures for patient confidentiality
  • Protocols regarding release of information
  • Standard chart form, allowing easy tracking of information
  • Inactive patient records storage system, retrievable within 24 hours for routine and one hour for emergency visits
  • Medical records available to providers during office hours
  • Protocol for follow-up on consults, lab/x-ray, patients with conditions requiring constant follow-up (i.e., cancer, diabetes, implants, etc.)
  • Missed appointments, telephone calls charted.
  • Each managed care auditor will have specific forms to follow in these areas. The forms will vary from company to company, but will generally follow OSHA and CMS guidelines. These audits will also vary in specialty; i.e., what is required for an OB will be more detailed than what would be required of an Ophthalmology office. This can be the proverbial "tow birds with one stone". OSHA and CMS office compliance will also cover most managed care audit areas. While the penalties are not in the CMS or OSHA range a general overview and quarterly review should be in your office management protocols.


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