Risk Management Review

Regulatory Check Up

Is your practice or organization as safeguarded as you would like? Our self-assessment tools immediately allow you to score your compliance with a variety of different federal regulatory areas.

Understanding your compliance score enables you to identify and prioritize risk reduction and safety strategies.

Are you confident you would pass a random audit or investigation?

STRATEGIC

Risks resulting from external events and trends that can impact the growth and value of your practice or organization.

FINANCIAL

Risks associated with the ability of the practice to make money and remain fiscally sound.

OPERATIONAL

Core business risks such as marketing, competitive or clinical/patient safety risks.

LEGAL/REGULATORY

Non-compliance with state/federal rules, regulations, and statutes affecting dentistry.

TECHNOLOGY

Rapidly evolving risks from technologies and equipment, biomedical products, computers, or teledentistry.

HUMAN CAPITAL

Risks related to staffing, encompassing recruitment, training, and maintenance of your team.

Assessment Quiz

Use this 20-question assessment to evaluate key risk domains across daily operations, including governance, documentation, training, workforce management, financial integrity, and emerging technologies. This tool is designed to highlight strengths, uncover gaps, and guide your next steps in building a resilient, audit ready compliance program.

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Rate your practice on a scale from least confident (I'm not sure) to most confidence (I nailed it!).
Governance, Leadership & Compliance Structure
1. Compliance leadership roles (HIPAA, OSHA/Infection Control, Safety, Privacy/Security) are clearly assigned, documented, and accessible to the team.
2. Individuals in compliance roles receive specialized, role specific training and understand their responsibilities and authority.
3. We maintain a documented Compliance Workplan that outlines priorities, timelines, and accountability for compliance activities.
4. Compliance Committee or leadership meetings occur regularly, with agendas, minutes, and follow up tasks documented and tracked.
Policies, SOPs & Documentation
5. Compliance policies, procedures, and risk management plans are current, documented, and consistently followed across practices.
6. SOPs for HIPAA, OSHA, infection control/CDC Guidelines, HR, and administrative workflows are reviewed annually and updated as needed.
7. Documentation for compliance activities—including chart reviews logs, audits, and corrective actions—is complete, organized, and audit ready.
8. Staff know where to find compliance policies and SOPs and can easily access them when needed.
Training, Onboarding & Competency
9. New hire onboarding includes documented training for HIPAA, OSHA, infection control, HR policies, and compliance workflows, with completion tracked and archived
10. Annual compliance training is completed by all team members, with rosters and documentation maintained according to regulatory expectations.
11. Competency assessments, drills, or scenario based refreshers are used to reinforce compliance knowledge and identify gaps.
HR Compliance, Workforce Management & Culture
12. Job descriptions are current, role specific, and accurately reflect compliance, safety, and operational responsibilities.
13. HR files—including licensure, certifications, immunization records, and performance documentation—are complete, current, and audit ready.
14. We follow consistent, documented processes for hiring as well as performance evaluations, corrective actions, and terminations.
15. Workplace safety, harassment prevention, permitted technology usage, and employee relations policies are documented, communicated, and reinforced through training.
16. We maintain a positive culture of accountability where staff feel safe reporting concerns, incidents, or compliance issues without fear of retaliation.
Financial Compliance & AI Governance
17. We receive accurate, timely monthly financial statements supported by standardized reporting workflows that allow us to understand our financial position and make informed decisions.
18. Aged A/R, denials, and write offs are routinely reviewed, tracked, and addressed through documented workflows that minimize preventable revenue loss.
19. We have a documented AI Use Policy that defines approved tools, prohibited uses, required safeguards, and staff responsibilities when interacting with AI systems.
20. Patients are notified when AI enabled tools are used in their care, documentation, communication, or scheduling, and this disclosure aligns with state dental board and HIPAA expectations.
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Risk Management Review

Regulatory Check Up

STRATEGIC

FINANCIAL

OPERATIONAL

LEGAL/REGULATORY

TECHNOLOGY

HUMAN CAPITAL

Assessment Quiz

Governance, Leadership & Compliance Structure

Policies, SOPs & Documentation

Training, Onboarding & Competency

HR Compliance, Workforce Management & Culture

Financial Compliance & AI Governance

Advancing Dental Compliance Expertise Through Education and Credentialing

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