– The Quality Assurance Team audits a random sample of records monthly to ensure adherence to protocols. 3. Security and Confidentiality Compliance: – IT personnel implement multi ‑ factor authentication, encryption, and secured backups to protect digital records. – Physical records are stored in locked, fire ‑ resistant filing cabinets located in restricted areas. – All access to sensitive records is logged automatically by the system with a full audit trail. 4. Retention and Destruction Protocol: – Records are classified by type and assigned a retention period according to regulatory requirements. – Automated reminders in the system notify the Responsible Manager when records are eligible for review or secure destruction. – Upon expiration of the retention period, records are securely destroyed using approved methods (i.e., shredding for paper documents, secure deletion protocols for digital records). A destruction log is maintained to document this process.
5.
Record Retrieval and External Audits:
– Authorized personnel can retrieve records using the system’s search functionality. – Digital dashboards provide real ‑ time access to record logs and audit trails. – External auditors are provided with read ‑ only access to the centralized system upon request, and all queries are logged and tracked.
Implementation Checklist Task
Responsible Party
Frequency
Verification Method
Create new records upon data reception
All staff
Immediately upon receipt
Unique identifiers and timestamps in the system Electronic logs and supervisor verification Meeting minutes, spot ‑ checks, internal audit reports
Daily/Shift ‑ end
Update records with new information within 24 hours Perform weekly departmental reviews of records Conduct monthly Quality Assurance audits Secure IT backup and encryption of
Direct Support, Clinical, & Admin Staff
Department Heads/Supervisors
Weekly
QA and Compliance Teams
Monthly
Automated audit trails, QA reports
IT and Records Management
Daily/Weekly
Backup logs, encryption validation
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