For new ABA companies or those looking to make a few changes to their operation, creating usable policy, procedure, or employee documents can be overwhelming. It eats up untold hours of precious time, small – but important – details can easily be left out, and making mistakes can spell disaster – especially if they violate HIPAA. Long story short, the pressure is on!

...We’re here to take that pressure off.

Our Quality Management System (QMS) was designed to be the perfect tool for any ABA therapy company looking to standardize their policies or transition from self-pay to insurance. It’s BHCOE Accreditation compliant and updated every 6 months to ensure regulations are met in every state. It contains over 600 pages of policies, procedures, work instructions, job descriptions, and more! We can help you set up electronic forms on your website for client input, employee quizzes, and incident reports.

Essentially, we want to save you tremendous time and worry and let you get back to the tasks that make this work worthwhile: improving quality of life for those who truly need it.

If you have any questions about what we do, please press the little green button at the top of the screen to contact us. We’ll be more than happy to walk you through it!

If you’re ready to purchase, simply scroll down, click on the products you need, and fill out the form that pops up – including a signature. Once payment is complete, you will receive both the signed agreement and a link to download your items. You’ll have 24 hours to download the files. But don’t worry, you can contact us and we’ll help you out if the 24 hours has expired.

Please note, while the QMS is an ideal system for ABA companies – since it’s tailored to your needs – it’s not meant to be a finished product from day 1. You’ll have to take a little time to customize it for your company. To make this process simple, we included MACROs* that allow you to add or change all of your business and contact information with the click of a button; and, we’ve highlighted all of the areas that will need to be adapted to fit your company. However, we strongly recommend that you review all aspects of the system to ensure it fits within your company, for liability purposes.

Once you’ve finalized your changes, we also recommend having it reviewed by your human resources consultant, employment attorney, or HIPAA/HITECH Consultant to make sure everything’s in its place. This is important, because although we do update these documents from time to time, we may not update until after a new regulation or law is in effect.

With our new quarterly updates and compliance check our handbooks will work for any State!  These documents do need to be reviewed to ensure all laws/regulations are being followed depending on your location. It is up to the individual company to ensure it is following all the correct laws and regulations for that company. We do have HR consultants that can work with you throughout this process.

If you have any questions before purchasing, you can always click the green button at the top of the screen to contact us!

*The all new MACROs make it so much easier to get your system up and running! Just enter your company info in the correct fields, and your information automatically updates in all relevant places throughout the manual. All policies have been reviewed by a human resources consultant and a proofreader.



Want to see what the handbooks look like, need start up support, or would like to set up a HIPAA evaluation? Book a free 60 minutes consult here!







Company Policy Manual

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The Company Policy Manual is 262 pages, over 46,000 words, and is the framework for all policies.  It includes critical components to any company, including: job descriptions, referral processes, client and employee policies (detailed employee/client handbooks  are still needed), CPM procedures, work instructions, infectious disease control and a CPM overview quiz, and so much more!  The new compliance checks mean you will always be confident your policies will meet state requirements.


Table of Contents 

COMPANY POLICY MANUAL ...........................................................1 1.0

Introduction .................................................................................12 

2.0 Scope............................................................................................13 

2.1 Quality Policy.............................................................................13 

3.0 References....................................................................................14 

4.0 Terms and Definitions ..................................................................14 

5.0 Introduction .................................................................................27 

5.1.1 General .................................................................................. 27 

5.1.2 Company Manual ...................................................................27 

5.1.3 Control of Documents ............................................................28 

5.1.4 Control of Records..................................................................28 

6.1 Management Commitment..........................................................29 

6.2 Client Focus .................................................................................. 29 

6.3 Quality Policy................................................................................30 

6.4 Planning........................................................................................30 

6.4.1 Quality Objectives...................................................................30 

6.4.2 Company Policy Manual Planning...........................................30 

6.4.3 Continuity of Operations ........................................................31 

6.5 Responsibility, Authority and Communication ............................. 31 

6.5.1 Responsibility and Authority...................................................31 

6.5.2 Management Representative ................................................. 67 

6.5.3 Communication ......................................................................67 

6.6 Management Review ...................................................................68 

6.6.1 General...................................................................................68 

6.6.2 Review Input...........................................................................68 

6.6.3 Review Output........................................................................68 

7.0 Resource Management ................................................................70 

7.1 Provision of Resources...............................................................70 

7.2 Human Resources.........................................................................70 

7.2.1 General...................................................................................70 

7.2.2 Competence, Awareness and Training ...................................71 

7.2.3 Hiring Process ......................................................................... 72 

7.3 Materials and Resources ..............................................................81 

7.4 Working Environment ..................................................................81 

7.4.1 Crisis Management Training ................................................... 82 

7.4.2 Whistleblower Policy for Employees and Management ......... 83 

7.4.3 CPR Training............................................................................90 

7.4.4 OSHA ......................................................................................90 

Workers’ Compensation.....................................................................99 

Employee Acknowledgement Form ...................................................99 

7.4.5 Inclement Weather...............................................................102 

7.4.6 Travel Time ........................................................................... 102 

7.4.7 Expense Reimbursement ...................................................... 102 

7.4.8 Supervision Assistance Program and Tuition Assistance Program.. 103 

Appendix A.......................................................................................109 

Tuition Reimbursement/Education Assistance Reimbursement Agreement .. 109 

8.1 Prospective/Referred Clients......................................................114 

8.1.1 Contacting the Client ............................................................ 115 8.1.2 

Scheduling Intake .................................................................115 

8.2 Intake Process ............................................................................ 116 

8.2.1 Collection of Documentation ...............................................118 

8.3 Assessment Process ...................................................................118 

8.4 Referral & Termination Process..................................................119 

8.4.1 {Parent / Guardian (s)} Participation.....................................119 

8.4.2 Client & Employee Safety .....................................................119 

8.4.3 Termination of Services ....................................................... 120 

8.5 Treatment Planning....................................................................121 

8.6 Data Collection & Progress Notes...............................................121 

9.1 Client Surveys.............................................................................122 

9.2 Client Complaints ....................................................................... 122 

10.0 Deadlines..................................................................................124 

CPM Procedures .................................................................................126 

Background Check Procedure ..........................................................127 

Client Complaints Procedure............................................................128 

Client Complaint Form .....................................................................130 

Client Satisfaction Survey Procedure................................................131 

Continuous Improvement Project Procedure...................................137 

Control of Records Procedure .......................................................... 139 

Document Control Procedure .......................................................... 142 

Emergency Procedure ...................................................................... 143 

Incident Report ................................................................................145 

External Referral Procedure ............................................................. 147 

Hand Washing Procedure.................................................................150 

Infectious Disease Procedure ........................................................... 152 

Oral Hygiene.....................................................................................162 

Cleaning and Sanitizing ....................................................................162 

Sanitizer Chart..................................................................................163 

Food Contact Surfaces......................................................................165 

Food Safety ......................................................................................166 

Prevention of Food-borne Illness ..................................................... 167 

Other Precautions ............................................................................ 169 

Personal Belongings ......................................................................... 170 

Insect Precautions ............................................................................ 170 

Disease Control ................................................................................ 173 

APPENDIX A......................................................................................174 

Internal Referral Procedure..............................................................189 

{Parent / Guardian (s)} Participation Procedure...............................191 

Supervision Procedure ..................................................................... 194 

Disciplinary Procedure .....................................................................195 

Sexual Harassment Procedure .........................................................200 

Responding to Conduct in Violation of Policy...................................202 

Complaint Resolution Procedures .................................................... 204 

Discipline .......................................................................................... 205 

Confidentiality .................................................................................. 205 

Non-discrimination/Anti-Harassment Procedure.............................206 

Ergonomics and Toxic Exposure Procedure......................................212 

Fire Safety and Disaster Emergency Evacuation Procedure ............. 220 

Emergency Evacuation Plans and Re-Entry ......................................222 

Tornado Procedure: ......................................................................... 224 

Exhibit A ........................................................................................... 224 

Exhibit B ........................................................................................... 224 

Continuity of Care Plan.....................................................................225 

Emergency Response and Disaster Recovery ................................225 

Business Continuity Plan................................................................225 

Emergency Response and Disaster Recovery Plan ......................... 225 

Emergency Response Plan................................................................243 

Disaster Recovery Plan.....................................................................248 

Disaster Recovery Procedures..........................................................250 

Disaster Recovery Teams and Responsibilities ................................. 251 

Disaster Recovery Steps ................................................................... 255 

CPM Work Instructions ....................................................................... 257 

Session Guidelines and Data Collection Work Instruction................258 

Evaluation Work Instruction.............................................................261 

Client Binder Work Instruction.........................................................262 



Cost: $800.00

Employee Handbook

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The Employee Handbook is 89 pages, over 14,000 words and includes everything you need for onboarding and orientation with  new employees, such as: New Employee Checklist and all necessary forms required for new employees, including offer letter, job requirements, training, HR policies, quiz, and much more!  The new compliance checks mean you will always be confident your policies will meet state requirements.


New Hire Checklist..................................................................................8 

Employee Direct Deposit ......................................................................11 

Offer Letter ........................................................................................... 13 

Employee Handbook.............................................................................17 

Overview ............................................................................................ 18 

Acknowledgment of Receipt of Employee Handbook .......................20 

Job Requirements ..............................................................................21 

Probationary Period ........................................................................... 23 

Training ..............................................................................................23 

Performance Evaluation.....................................................................24 

Termination........................................................................................ 24 

Agreement to Be Video-Taped & Photographed................................25 

Client Code of Conduct.......................................................................25 

Rules and Regulations of {Company Name} ....................................... 26 

Confidentiality Policy..........................................................................27 

Appropriate Treatment of Clients ......................................................28 

Interaction with Families....................................................................29 

Cultural Competency Policy ...............................................................30 

Gifts .................................................................................................... 33 

Working in a Client Home ..................................................................34 

Permission for Background, Education and Malpractice Check .........35 

Permission for Fair Credit Reporting Act (FCRA) Background Check ..35 

Alcohol and Drug Policy......................................................................35 

Dress Code Policy ............................................................................... 36 

6 Resolving Grievances..........................................................................37 

Whistleblower Policy..........................................................................37 

Communication Policy........................................................................40 

Cell Phone Usage During Sessions......................................................41

Schedules ........................................................................................... 41 

Calendar/Schedule Policy...................................................................42 

Split Shift Policy..................................................................................43 

Cancellation and Missed Appointment Policy .................................... 43 

Attendance Policy ..............................................................................44 

Time Off .............................................................................................47 

Excessive Lateness and Tardiness Policy ............................................47 

Break Policy........................................................................................49 

PTO Accrual Policy..............................................................................49 

Personal Cell Phone Reimbursement Policy.......................................49 

Mileage Reimbursement Policy..........................................................50 

Accidents at Work .............................................................................. 50 

Safety Policy for In Home Health........................................................51 

Weapon-Free Workplace Policy ......................................................... 52 

Incident Report Policy ........................................................................ 52 

Property Policy ................................................................................... 53 

Email Account Policy ..........................................................................54 

Social Media, Internet Usage/Activity and Online Profiles Policy.......54 

Employee Rights.................................................................................57 

At-Will Employment...........................................................................57 

Equal Opportunity Employer..............................................................58 

7 Discrimination & Harassment ............................................................58 

Mandated Reporting .......................................................................... 59 

Family and Medical Leave Act Policy (FMLA)......................................61 

Wages and the Fair Labor Standards Act Policy (FLSA).......................61 

Non-Competition/ Non-Solicitation ...................................................62 

Safe Driver Policy .................................................................................. 63 

Hepatitis B Vaccination Waiver.............................................................64 

Supervision Contract for Insurance.......................................................66 

Interview Non-Disclosure Agreement...................................................72 

Interviewee Questions..........................................................................74 

Employee Performance Evaluation.......................................................78 

Employee Verbal Warning ....................................................................79 

Employee Written Warning ..................................................................81 

Exit Interview Questionnaire ................................................................83 

Exit Interview Checklist.........................................................................88 




Cost: $400.00

Client Handbook

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The Client Handbook is 153 pages, over 21,000 words and comes with everything needed for new clients such as: a complete intake packet, financial agreement, participation expectations, client policies - especially for in-home visits, supplemental information for clinic programs, and so much more! The new compliance checks mean you will always be confident your policies will meet state requirements.


Table of Contents

Client Handbook .....................................................................................1 

Intake Packet Checklist ...........................................................................9 

Welcome Page ...................................................................................... 11 

Financial Responsibility Agreement ...................................................... 13 

Non-Violent Physical Crisis Intervention ............................................... 22 

Permission for Assessment ................................................................... 26 

Mandated Reporter Disclosure Form....................................................28 

Notice of Privacy Practices....................................................................31 

Authorization and Consent to Participate in Tele-Health Consultation 35 

Medical Questionnaire.........................................................................39 

{Parent / guardian (s)} Questionnaire ................................................... 40 

Client Information.................................................................................43 

Risk Assessment....................................................................................45 

Client Home Safety Checklist ................................................................51 

Non-Cohabiting Guardians Policy .........................................................53 

Client Handbook ...................................................................................59

Welcome ............................................................................................ 60 

What is Applied Behavior Analysis (ABA)? .........................................60 

Services in Applied Behavioral Analysis..............................................62 

Transitioning and Fading .................................................................... 65 

Behavior Analyst Certification Board (BACB) Guidelines....................67 

Guideline for "Informed Consent":.................................68

Personal Health Information (PHI) storage ........................................68

Evidence-Based ABA Practices ...........................................................69

Employee Descriptions.......................................................................69

Agreement to Videotape - Audiotape - Photograph ..........................72

{Parent / guardian (s)} Participation...................................................74

{Parent / guardian (s)}’ Interaction with Employees & Dual Relationships ....... 77

Wellness Policy Statement of Understanding ....................................77 

Pets and Animals................................................................................79 

Aggressive Behavior ........................................................................... 80 

Smoking.............................................................................................. 80 

Illegal Activity.....................................................................................81 

Abuse and Molestation Prevention....................................................82

Protection and Prevention....................................................................84 

Volunteer and Employee Screening Procedures ................................84 

Confidentiality .................................................................................... 86 

Supervision Procedures......................................................................86 

Behavioral Guidelines for Paid Employees ......................................... 87 

Disqualification................................................................................... 88 

Response to Sexual Abuse..................................................................89

Cultural Competence Policy..................................................................91

Temperature Control ............................................................................ 95 

Gifts ......................................................................................................95 

Excessive Lateness and Tardiness Policy...............................................96 

Communication..................................................................................... 97 

Cancellations and Missed Appointments..............................................98 

Cancellation and Missed Appointment Policy Acknowledgement ...... 100

Running Late ....................................................................................101 

Schedule Change Requests ..............................................................101 

{Company Name} Employee Cancels or Running Late......................101 

Inclement Weather Policies and Procedures....................................102

Service Agreement and Consent Form................................................104 

Outing Procedure Form ......................................................................106 

Authorization to Release Professional Information ............................ 112 

Client Satisfaction Survey....................................................................115 

Client Complaint Form ........................................................................ 119 C

lient Incident Report ......................................................................... 121 

Facility Health Policy ........................................................................... 124

Accidents .......................................................................................... 125 

Allergies............................................................................................ 125 

Nut-Free Zone .................................................................................. 125 

Wellness Policy.................................................................................126 

Infectious Diseases...........................................................................127 

Injurious Behavior ............................................................................ 127

Medical Emergencies ....................................................................... 128 

Medications .....................................................................................129 

Pandemic .........................................................................................129

Supplemental Information..................................................................130 

{Parent / guardian (s)} Participation Verbal Warning ....................... 131 

{Parent / guardian (s)} Participation Written Warning ..................... 133

Clinic Supplemental Information ........................................................135 

Welcome to Clinic Program..............................................................136 

Footwear Policy................................................................................138 

Drop off and Pick up Policy for Clinics .............................................. 138 

Clinic Group System ......................................................................... 140 

Participation Guidelines ................................................................... 142

{Parent / guardian (s)} Notification Policy...........................................145 

Privacy Waiver .................................................................................... 147 

Client Satisfaction Survey for Clinics ................................................... 149


Cost: $400.00

Supervisor Handbook

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The Supervisor Handbook is over 56 pages and almost 9,000 words. The handbook goes above and beyond the Employee handbook and specifically breaks down the roles and responsibilities of BCBAs and BCaBAs, complete with a quiz. This will ensure that your supervisors understand all requirements in order to perform their job effectively.  The new compliance checks mean you will always be confident your policies will meet state requirements.    

Table of Contents

Supervisor Handbook 6

Supervisor Policies/Expectations 9

PHI Security Improvements 17

Intake and Assessment 18

Conducting Assessment 18

Assessment reports 19

Report Process 22

Behavior Plans 27

Functional Assessment 27

Initial Therapy/Case Start-Up 29

Setting criterion for Pairing 31

Progress Updates 33

Case Transitions 33

Discharge Planning 37

Case Supervision and Programming 37

Treatment Planning 41

Ongoing Case Supervision 44

Therapist Training 44

Staff Incentive Program 45

Supervisor Meetings 46

Case Reviews 47

Case Presentations 49

Professional Development 50

Supervisor Bonus Structure 51

BCBA Duties 54

Therapy Resources Building and Maintenance Policy 55

Open Request periods 56

Donation Requests 56

Client Specific Requests 58



Cost: $400.00

HIPAA Policies

HIPAA Policies
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The HIPAA Policies have over 258 pages, with over 32,000 words of compliance policies that every ABA company needs, such as: Notice of Privacy Practices, HIPAA security policies, breach risk assessment, business associate agreement, compliance training. Also included is an 85 page power point training and a HIPAA review quiz!    
We now include a state supplement so not only do we have federal guidelines but we have state regulations too!

Table of Contents

HIPAA Compliance Manual 8

Introduction 11

Minimum Uses and Disclosures of Protected Health Information 13

Uses and Disclosures of Protected Health Information 25

Accounting of Disclosures of Protected Health Information 33

Designated Record Set 38

Medical Privacy Policy 42

Notice of Privacy Practices 46

HIPAA Security Policy 57

HIPAA Security Management Policy - ePHI 64

Best Options for Securing Electronic Data or EPHI 68

Information Security Incident Response Policy 69

System Audit Review Template 83

Bring Your Own Device Policy 86

HIPAA Electronic Messaging Standards 97

Photographing, Video Recording, Audio Recording, And Other Imaging of Patients, Visitors, and Workforce Members 112

HIPAA Records Retention Policy 119

HIPAA Procedures for Destruction and Removal of PHI from Computer Hardware/Media 121

Complaint Policy 127

All officers, agents, and employees of {Company Name} must adhere to this policy. {Company Name} will not tolerate violations of this policy. 149

Violations of this policy are grounds for disciplinary action up to and including termination of employment and criminal or professional sanctions. 149

HIPAA Sanctions Policy 149

HIPAA Termination of Access Procedure 156

HIPAA Business Associate Agreement 158

Business Associate Compliance Check 170

De-Identification of Protected Health Information 174

HIPAA Authorization for Release of Protected Health Information 178

Checklist for Valid Authorization 186

Visitor Log 189

 Device Log 190

Continuity of Care Plan 191

Emergency Response Plan 209

Disaster Recovery Plan 214

Contingency Plan and Procedures for Backup, Recovery and Emergency Preparedness 220

Contingency Plan Assessment for Electronic Health Records and Health Information Exchange 225

Data Backup Plan 229

Emergency Mode Operation and Disaster Recovery Plan 232

HIPAA Incident Report and Response Form 234

HIPAA Compliance Training 241

HIPAA Compliance Quiz 242

HIPAA Risk Assessment Checklist 261


Cost: $800.00

RBT Checklist

RBT Checklist
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The RBT Checklist is everything you need to ensure your RBTs in training have completed all areas of competency and are ready to take the test.  The RBT Checklist comes with 32 treatment integrities to ensure all competency can be completed. Use the rankings to come up with a hourly/salary rate for your RBTs based on skill acquisition.  

Cost: $150.00

HIPAA Online Forms

HIPAA Forms
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Now, you don't have to worry about creating electronic forms on a website that doesn’t meet HIPAA guidelines. Because, you can use ours! The forms are prebuilt and can be customized by us, just for you. All you need to do is put the link on your website. And you’re done! 

We sign a BAA (business associate agreement), and you can trust your client's PHI (protected health information) is safe and secure!  Each unique form you purchase can be submitted 100 times a day!  We will create any of the following options or if you have your own custom forms we can give you a quote on the cost.  


  • New client application
  • Client handbook with medical questionnaire
  • Client satisfaction survey
  • Client complaint          
  • Incident report
  • Consent          
  • Client risk assessment
  • Authorization torelease
  • Job application
  • Client History
  • Authorization for assessment
  • Financial agreement
  • Clinic pick-up authorization
  • Send us you custom forms and we will quote them for you!

Starting at: $20.00 per Month

Negotiate Rates Guidance

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Ready to start rate negotiations but don't know where to start?

Our team has done a lot of research and now you can have it!    

Rate negotiations can be difficult even with this guide it is important to know that if an insurance company will not move you have to be willing to walk away, possibly work out of network or not work with the founding source at all.

To ensure you can continue to give your staff rate increases and pay the bills you MUST make every attempt to continuously negotiate rates. This is not a one time thing you must negotiate rates as often as you can.

What is included?

8 page document with things to consider as you start the process of negotiating rates.

4 page rate negotiation template to send to your funding sources.

Cost: $74.99
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Our Consultants

Stephen Smith:

Stephen Smith is the owner of 3 Pie Squared LLC. A Consulting firm which specializes in HR and back end management for small practices, with a focus on HIPAA and medical practice compliance. Stephen is also the Director of Operations of Corner Piece, a leading ABA company. While managing two successful firms, Stephen has also been a major contributor in numerous start-up entities. In addition to being an entrepreneur and business owner, Stephen is also a process engineer. Career highlights while working in this field include the training of production and engineering staff, creation of countless policies and procedures for engineering equipment as well as new inspection systems, team lead on many million dollar installations and the development of process analysis software.

Ashley Bango:

Ashley Bango, MS, BCBA graduated with her Bachelor's degree in Psychology from Fayetteville State University in December 2005. She obtained her M.S. in Psychology with a Specialization in Applied Behavior Analysis from Florida State University-Panama City Campus in 2008. She had the privilege of being a student of Dr. Jon Bailey and graduated with a 4.0 GPA. During her time at FSU, she had many great opportunities to get experience at various practicum sites. She worked home-based services for children with Autism with early learners. She wanted to have diverse experience, so she also worked in adult services in a day support program, designing reinforcement strategies with a program for children and families increasing healthy habits (i.e., exercise, nutrition, etc.), and an alternative school in the public school system specifically targeting maladaptive behavior in students the school had been unable to successfully support.

After graduating, she worked adult services supporting clients in the work and home settings to increase independence, communication, and decrease target behaviors. She continued on to work in a private day school setting for children and young adults 5-20 years of age with various disabilities and supervising staff in pursuit of their certification for 2.5 years. The next 3 years, she then moved to a private agency where she continued staff supervision, client programming, and then Program Director overseeing the ABA services, funding, and clinical documentation. This experience provided her the knowledge to then open her own company, Positive Change ABA, LLC in 2014.

Consulting

Consulting

Starting at: $750.00
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Audit Preparation

3 Pie Squared will walk you through any audit prep sheets from the auditing insurance company.  If they do not provide this information, we can use our own internal audit preparation checklists to ensure you are ready to take the next step.    

Cost: $800.00
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