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Child Record Audits

To support ACT with meeting and sustaining compliance, ACT has created child record audit tools for ACT internal audits. Although maintaining a child record is the responsibility of a service coordinator, maintaining compliance is a team effort. ACT members must ensure that every child record includes all required documents. ACT will have child record audit tools specifically for (1) service coordinators; (2) team leads; and (3) other core team members, such as joint visitors.

Child record audit tools will also help prepare ACT for ongoing monitoring by AzEIP; responding to future Request for Proposals (RFPs); upcoming changes to AzEIP database system; and fiscal audits conducted by other sources within the state.

ACT internal audits will be implemented in phases. The first phase of the internal child audits will be for services coordinators. The child record audit tools used by service coordinators will cover the Initial Planning Process (IPP) to exiting a child record when a child transitions out of AzEIP.

Each audit tool includes demographics about the child, service coordinator, and other core team members. It will also outline when the tool should be completed; what IDEA Federal Indicator(s) the audit tool aligns with; and what documents the reviewer should be verifying in the file.

At this time, ACT will not be making any revisions to its policy for electronic records. Any revisions to this policy will be completed when there is more information about AzEIP new database.  This memo does include highlights about and procedures for completing the child audit tool. There are always questions asked when child records are audited. We also have complied a “Question and Answer” document to help answer questions you may have.


Highlights about the Child Record Audit Tools (June 2017)

  • The child record audit is composed of eight separate tools. The tools cover the following TBEI activities:

  1. Initial Phone Call and Initial Visit;

  2. Evaluation and AzEIP Eligibility Decision;

  3. Child and Family Assessment;

  4. Initial IFSP;

  5. Six Month or Other IFSP Review (IFSP Addendum);

  6. Annual IFSP;

  7. Transition; and

  8. Exit

  • The audit tools are for AzEIP (ACT) service coordinators to use when auditing child records in which ACT is providing service coordination for. This include children who are AzEIP only; DD Only; and ASDB. It does not include children who are DDD AHCCCS/ALTCS.

  • The Initial Phone Call and Initial Visit tool is used for all new referrals assigned to ACT on/after June 15th.

  • All other tools are used according to the TBEI activity completed on/after June 15th.


Procedures for Completing the Child Record Audit Tools (June 2017)

  1. The audit tools will be available as a PDF and fillable. The RPCs will also have copies available during team meetings, upon request from the service coordinators.

  2. The AzEIP SC (ACT) will complete the audit tools for all TBEI activities completed on/after June 15, 2017.

  3. SCs must submit completed audit tools their agency leads for review and verification. The service coordinator and his/her agency lead can determine how the audit tools will be provide to the agency lead.

  4. If there are any missing documents or follow-up, the SC shall follow-up with the agency leads or designated person by an agency for missing documents.

  5. Agency lead will verify that the information provided by the SC is accurate.

  6. Agency leads will submit reviewed audit tools to the ACT office (Caroline and Camille). Audit tools can be submitted via email, fax or hand delivered to the ACT office.

  7. The ACT office will review audit tools submitted by the agency leads. The ACT office will follow-up with SCs and agency leads, as needed.

  8. ACT office staff will upload the final copy of the audit tool to the child record in Central Reach. The audit tool will be labeled based on the type of audit completed.


Questions and Answers” about Child Record Audits


Why does ACT have child record audit tools?

AzEIP requires that TBEI contractors have policies in place for internal audits of child records to maintain compliance.


Where can I find information about IDEA Part C and AzEIP requirements for child records?

The US Department of Office of Special Educations Programs (OSEP) and AzEIP websites provide information about federal and state requirements for maintaining child records and compliance.


Who is required to complete child record audit tools?

ACT members are required to completed child record audits. The first phase of ACT internal audits is specifically for ACT service coordinators and their agency leads. Phase two will be for core team members. The child record audit tools for team leads and other core team members will be modified to capture information each provider will need to review and verify in child records.


Can you explain more about the different phases of the child record audit tools?

The child record audit tools will be implemented n different phases which will allow for Caroline and Camille to support each group of providers with implementing the audits. With the anticipation of a new AzEIP database system, we thought it would be helpful to introduce things in different phases, rather than making mass changes and would then need to make additional changes when the new database is used.


Who will audit the child records for the children who are receiving service coordination with DDD?

Although ACT does not provide service coordination for the DDD AHCCCS/ALTCS children, we are still responsible to ensure that child records maintained by ACT and DDD have include all required documents. Phase 2 will consist of audit tools for Team Leads and their agency leads to use for auditing DDD AHCCCS/ALTCS child records.


What is the agency leads responsibility for the audits?

Agency leads are responsible to ensure that child record audits are completed by their providers, as required. Agency leads are responsible for supporting service coordinators with gathering missing documents. Agency leads are responsible for sending completed audit tools to the ACT office for a final review.


How can the core team (DSIs and therapist) support AzEIP Service Coordinators with the internal audits?

Team leads and other core team members can support the service coordinators by providing timely updates to the SCs and uploading documents to Central Reach in a timely manner. The SCs will be checking for evaluation reports, Quarterly Reviews, and provider contact notes.


Is there a certain number or percentage of child records that providers should review?

Every child assigned to ACT should have internal audits completed. The timelines for completing each audit is included on the audit tool. As a general guideline, all TBEI documents must be completed and uploaded to Central Reach within five business days.


Who should a service coordinator follow-up with when there are missing documents?

If there are any missing documents, such as evaluation reports, Quarterly Review Reports, and provider contact notes, the SC shall follow-up with providers or the provider’s agency lead.


What is the difference between “planned start date” and “actual start date?”

The planned start date is when a service is expected to start. The actual start is the date when the service started.


How can I bill for completing child record audits?

Service coordinators are required to maintain child records, which is part of IDEA Part C federal requirements. Thus, service coordinators are the only providers who can bill units for child records audits.


Do I need to send audit information to AzEIP or DDD?

No, there is nothing you need to send to AzEIP. This is ACT internal audits. Providers are required to send the DDD SC copies of the Quarterly Review report, contact notes, team conferencing report, and any other AzEIP documents completed.

Click on the links below to access a the document.  ALL of the documents are also available electronically in Central Reach.

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