DELAWARE SMALL BUSINESS DEVELOPMENT CENTER NETWORK

COUNSELING CLIENT FILE REVIEW

DSBDC WILMINGTON CENTER

Review Date December 8, 2005

REQUIREMENT

Counseling client files must be kept in sufficient detail that if necessary, another counselor could review the file and continue the counseling relationship without interruption. Counseling record notes should be of sufficient detail to justify the amount of time reported and provide for a clear audit trail. Each counseling session record should include at least the following:

  • An analysis of the client’s problem
  • A summary of what the counselor did during the session
  • Recommendation(s)
  • Follow-up required by the counselor and the client
  • Any other documentation deemed appropriate by the counselor

Initial/new counseling sessions (i.e. the first counseling session of the program year) must include a summary of the clients business or business interest. The session notes should also include a summary of the status of any on-going client project.

RECORDS REVIEWED CRITERIA

The state office performs periodic reviews of counseling records to ensure compliance with the above requirements. This review includes examining, on a selective test basis, client counseling session records. The sample of client records selected for review include the lesser of the top 5% or top ten clients served during program year 2004 who received the greatest number of counseling hours. If this sample does not include each counselor at the center, review several files by any whose work has not been reviewed. The state office believes review of this sample of client records provides reasonable assurance that counseling session records, taken as a whole, are being recorded in compliance with the applicable requirements. Files reviewed at site must also contain signed client information forms.

CLIENT RECORDS REVIEWED

CLIENT ID / HOURS / FINDINGS
Counselor(s) ID:
# of Sessions:
Counselor(s) ID:
# of Sessions:
Counselor(s) ID:
# of Sessions:
Counselor(s) ID:
# of Sessions:
Counselor(s) ID:
# of Sessions:
Counselor(s) ID:
# of Sessions:
Counselor(s) ID:
# of Sessions:
Counselor(s) ID:
# of Sessions:
Counselor(s) ID:
# of Sessions:
Counselor(s) ID:
# of Sessions:

REVIEWERS OPINION

Except for the notes above, if any, the client counseling session records reviewed, in all material respects, are in compliance with requirements stated above. In addition, unless noted above, the counseling time declared has been found adequate for the work performed.

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REVIEWER SIGNATUREDATE