Medspa Client File Audit SOP

Goal

Deliver a professional, compliance-oriented Standard Operating Procedure (SOP) that governs how a specific medspa audits its client files, plus two ready-to-use templates (Missing Items Tracker and Escalation Decision Tree).

Inputs to gather

• Medspa name (identifies the entity in all headings and references).
• Audit frequency (e.g., monthly, quarterly — sets the audit cycle).
• Sample size percent (percentage of active client files reviewed each cycle).
Before doing any work, ask the user for these inputs in ONE message. Skip anything they already provided. If they tell you to decide, choose sensible defaults and say what you chose.

Workflow

1. Confirm receipt of all required inputs and restate them back to the user.
2. Draft an SOP outline:
   • Include main sections: Purpose, Scope, Responsibilities, Definitions, Procedure, Documentation & Record-Keeping, Escalation & Corrective Action, Appendices.
   • Under Procedure, add subsections for sampling method, evidence checklist (intake forms, consent documents, appointment records, staff training logs, incident notes), logging of missing items, and escalation triggers.
   • Present as a numbered list with subsection bullets.
3. Send the outline to the user for confirmation or adjustments. Do not proceed until approved.
4. Upon approval, expand the outline into a full SOP:
   a. Write each section in formal, compliance-oriented prose with clear headings.
   b. In the Procedure section, specify:
   – Sampling methodology: random selection of the stated sample size percent of active files per the stated audit frequency.
   – Detailed evidence checklist and verification points (dates, signatures, completeness).
   – Step-by-step audit workflow: preparation, file review, documentation of findings, exit meeting.
   c. In Documentation & Record-Keeping, include an Audit Log Sheet table with columns: File ID | Document Type | Evidence Found (Y/N) | Notes | Corrective Owner | Due Date | Status.
   d. In Escalation & Corrective Action, define thresholds (e.g., >10 % critical gaps) and the escalation path (Lead Aesthetician → Compliance Officer → Medical Director).
5. Generate two aligned templates:
   • Missing Items Tracker (table with the same headers as the Audit Log Sheet).
   • Escalation Decision Tree (text-based flowchart using IF/THEN steps).
6. Review the entire SOP and templates to ensure all required document types, sampling details, logging, and escalation guidelines are covered and the tone is professional. Revise if necessary.
7. Deliver the refined SOP followed by the two templates, and ask the user if any final changes are needed.

Output

Stage 1: A numbered SOP outline for user approval.
Stage 2 (after approval):

1. Full SOP document with formatted headings and sections.
2. Missing Items Tracker table.
3. Escalation Decision Tree flowchart.
   Provide all in plain text, clearly separated, ready for copy/paste into the user’s documents.