Copyright © 2019 Point of Care Communication Council. All Rights Reserved.

Auditing Procedures and Recommendations for PoC3 Members
Approved May 2018 by the PoC3 Board

INCLUDED:

  1. Network Requirements for PoC3 Members

  2. Audit Success Definition

  3. Overall Audit Procedures

  4. Physical Audits

    • Waiting Room Digital Programs

    • Exam Room Digital Programs

    • Waiting RoomPrint Programs

    • Exam Room Print Programs

    • Products mailed into the office

    • Mobile/Beaconing

    • Sampling

  5. Appendices

    • FAQs

    • Glossary and Definition of terms

1. Network Requirements for PoC3 Members

  • All PoC3Members are required to have an independent 3rd party audit from a list of PoC3 authorized suppliers conduct a statistically valid physical audit of all ‘physical’ claims used on corporate websites, press releases, or Sales Materials (Example Locations, Devices, Physicians). Audits must take place annually (at a minimum).

 

2. Audit Success

  • Details of what constitutes a ‘successful audit’ are contained in the individual sections below.

  • ‘Successful audits’ will entitle claim to:

    • PoC3 3rdparty Audit Confirmation Certification

    • The PoC3 Audit Validated badge/seal

      • The PoC3Audit Validated badge/seal indicates that a claim has been 3rdparty audited according to standards developed by the PoC3. The standards are available on the PoC3web site

    • Any non- audited physical claim will need to use the word ‘estimated’, forecast, projected or non-audited. (EXAMPLE: Network Y: 1,000 locations as of Dec  31, 2018 (audited) , Growing to an estimated  1,500 by end of year 2019. In addition, such claims will not be eligible to use the “PoC3Audit Validated” badge/seal.)

 

3. Overall Audit Procedures

  • 3rd Party auditors will be hired and paid for by individual PoC3companies

  • Audits must be conducted by an independent 3rdparty, selected from a list of authorized PoC3suppliers, who provides no other services for the audited PoC3company

  • Record Counts provided to the auditors will be basis for the claim (e.g., PoC3 member company sends list of 950 locations, claim would be for 950 locations!)

  • Audit will be conducted in an ‘as found’ state. (e.g., if it is just unplugged it is not counted as ‘on’ if you plug it back in and it starts to work)

  • For a location audit, if there are multiple screens only one must be operational for a location However, if the auditor observes that a screen in a multi-screen location is not operational, that screen would not be eligible to be counted for a devicecount.  Devices not in clear view (due to obstruction or improper placement) would not be eligible for count.

  • For device / unit audit, all devices / units must be counted and photographed.

    • If all devices / units cannot be accessed, office must provide a signed ‘certification’ (see appendix 2) that a certain number of devices / units are present and working

    • In the event more than a third of the audit consists of certifications, PoC3 Executive Director will initiate a phone audit of a statistically valid sample of the certifications to ensure they are accurate. Should the auditor determine that devices are present and operational in fewer than 90% of locations, it will result in a ‘failed audit’

    • Physical audit must capture date of visit, address, count of HCPs at practice, photos

 

4. Physical Audits

  • 3rdparty physical audits will include an audit of a statistically valid representative sample, of the entire point of care product line to validate the claim in its entirety. (Sample size will be constructed to ensure significance at 95%, +/-3%, assuming a 95% likelihood of success scenario).

  1. Acceptable physical auditors at present include Alliance for Audited Media (AAM), SPAR, Customer Impact, RGIS, and Placebridge.

  2. Third party companies which have not performed any paid field services in the current calendar year may be used to take geo-tagged, time-stamped photos of equipment/materials in offices as long as the photos and process are reviewed and confirmed by a third-party audit oversight firm.

 

4.1 Waiting Room Digital Programs

Physical ‘in-person’ Audit

  • Auditor determines if equipment is there and, separately, if it is on

  • Success = 90% (+/- 3%) there and on

  • Sample size based on 95% (+/-%3) likelihood of being there and 95% (+/-%3) likelihood of being ‘on’

  • Photo taken of the unit by 3rdparty company

 

4.2 Exam Room Digital Programs

Physical ‘in-person’ Audit

  • Auditor determines if equipment is there and, separately, if it is on

  • Success = 90% (+/- 3%) there and on

  • Sample size based on 95% (+/-%3) likelihood of being there and 95% (+/-%3) likelihood of being ‘on’

  • Photo taken of the unit by 3rdparty company

  • Each exam room audited, if possible

  • If not possible, signed certifications by the Office shall be deemed to be acceptable

 

4.3 Waiting Room non-digital Programs

Physical ‘in-person’ Audit

  • Auditor determines if paper product is there and, separately, if it has ‘product’ in it (poster, brochures, ads, etc)

  • Success = 90% (+/- 3%) there and ‘stocked’ with any paper/ad

  • Sample size based on 95% (+/-%3) likelihood of being there and 95% (+/-%3) likelihood of being ‘on’

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4.4 Exam Room non-digital Programs

  • Physical ‘in-person’ Audit

  • Auditor determines if product is there and, separately, if it is stocked

  • Success = 90% (+/- 3%) there and stocked

  • Sample size based on 95% (+/-%3) likelihood of being there and 95% (+/-%3) likelihood of being ‘stocked’

  • Photo taken of the unit by 3rdparty company

  • Each exam room audited, if possible

4.5 Products mailed into the office 

Based on the product being sent in a standard circulation audit will be conducted by an authorized supplier

4.6 Mobile/Beacon 

  • For Mobile campaigns, a monthly report by 3rdParty partners (i.e. Mobile Majority, SITO) must be provided to clients that includes Impressions and KPIs (CTR, VCR)

  • Any mobile campaign must have the option for the Client (advertiser) to include their own verification tracking technology within the advertisement (i.e. DoubleVerify, Moat, etc.)

  • Due to HIPAA Privacy Rule compliance, ads that may expose PHI to a 3rdparty verification service may not allow for a client’s tagging to be added. In that event, the media company should be provided a 3rdparty auditor-approved report, or allow the client to create their own login/account into an accepted HIPAA-complaint 3rdparty tracking solution used by the vendor.

  • For Beacons, 3rdParty partner reporting of Beacon geo-location broadcast OR Physical ‘in-person’ audit is required

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4.7 Sampling

  • Auditor determines sample is there and, separately, if it has ‘product’ in it (product sample and/or literature, coupon, etc)

  • Success = 90% (+/- 3%) there and ‘stocked’ with samples

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NOTE – For any media type not specified here, PoC3 member companies will work with the Verification and Validation Standards Committee to confirm the audit standard components. 

 

NOTE: It is recommended that all PoC3 Members have an independent 3rdparty from a list of approved PoC3 authorized suppliers conduct digital audits of any electronic media to verify ads/promotions are playing where contractually committed. These audits should be done at the ‘campaign’ level (e.g. confirm each individual sponsor’s campaign was run as contractually committed). For more information, please see the Campaign-Level Auditing Best Practices.  

Electronic Auditing and Certification 

 

  • Digital Audits will be conducted by independent 3rdparties to ensure that campaign reports (proof of play) delivered to clients are accurate

  • Acceptable auditors include Alliance for Audited Media (AAM)and BPA Worldwide (icomply).

  • Auditor will evaluate processes to ensure systems are in place

  • Auditor will receive raw data feeds and verify that reporting is accurate

Appendix 1

Audit FAQ:

Q: What if a rep is denied access to the location?

A: The Location is dropped from sample and another one substituted

 

Q: What if the location is permanently closed (boarded up, no longer a physician office))?

A: This would be deemed to be a valid location for audit purposes and recorded as ‘no’ for whatever metric was being audited. (e.g. Was screen present? Was screen on?)

 

Q: What if the location is not found or ‘closed’ (office hours)?

A: Location dropped from sample and another one substituted

 

Q: What if the auditor makes a mistake (i.e goes to wrong suite but they take a picture anyway?)

A:  Location dropped from sample and another one substituted

 

Q: What if the equipment is not operational – should simple fixes be tried (unplug and plug back in?)

A: No, a key objective of the audit is to measure company operational processes for maintenance and monitoring. As such, audits should record all results based on the ‘as is’ status of the display.

 

Q: For exam room programs, if access is only granted to SOME of the exam rooms, does the audit count?

A: Yes, in terms of counting locations.  The device numbers will also be counted if the signed certification from the office includes verification of the number of devices and that they are in working order.  A maximum of 1/3 of the audits can be based on signed certifications (see ‘overall audit procedures’ above)

 

Q: If it is a device audit, if access to the exam rooms is NOT granted at all, does the audit count?

A: Yes, in terms of counting devices.  The device numbers will be counted if the signed certification from the office includes verification of the number of devices and that they are in working order.  A maximum of 1/3 of the audits can be based on signed certifications (see ‘overall audit procedures’ above).

Appendix 2 – Glossary

  • Location(also Offices or Medical Offices):  a unique physical address.

    • Different suite/floor numbers constitute different addresses

    • Different waiting rooms within the same address constitute a single location

  • Unitsor devices: individual physical devices / units.  Can have multiple devices in offices / exam rooms, etc.  (example: tablet, poster, screen)

  • Screens:  A subset of units.  Any individual electronic monitor. Can have multiple devices in offices / exam rooms, etc.   includes interactive tablets and touchscreens

  • Healthcare Providers: All personnel that provide medical services to patients including MD, DO, NP, PA.  Excludes nurses, med techs, and offices staff

  • Patients: a person receiving or registered to receive medical treatment who has qualified ailments or medical need

  • Patient Visits: validated appointment to meeting between a healthcare provider and a client or patient. In the hospital and the home, the practitioner makes a visit to the patient; in the clinic or office the patient makes a visit to the practitioner.

  • Touchpoints: Places of interaction within the Point of Care where patients can learn about health, wellness and condition specific content.  For example, waiting room TV screens to educate while patients are waiting for their physicians, waiting room brochures, pamphlets and magazines that patients can pick up and discuss with his/her physician.  Touchpoints can also include exam room digital or print materials such as tablets, educational wallboards and brochures.

  • Condition Sufferers: A condition sufferer is a patient who is affected by a specific illness or condition. A condition sufferer is seeing a specialty physician for a specific condition or diagnosis like Diabetes, OBGYN, Cardiology, Pediatrics or Dermatology. In addition to general health content, condition sufferers can view, learn and ask their physician about specific diagnosis that they see on the touchpoints in medical offices or hospitals.