The Purpose and Value of Mock Patient Files
By: Rachael Graham RCP, CRT, RPSGT
Corporate Surveyor
Posted: June 2, 2025
For a newly opened sleep lab, or one that has just begun offering a specific service, mock patient files provide a way for the ACHC surveyor to assess the organization’s preparedness and compliance with clinical documentation and regulatory standards. These files demonstrate that staff are properly trained, understand the required protocols, and have systems in place to provide safe, effective care. When a facility has no actual patient records, mock files allow surveyors to help identify any gaps before real patients are seen, ensuring the facility is ready to deliver high-quality services.
Beyond this initial use, mock patient files serve as a valuable internal tool for training staff, validating workflows, and identifying potential areas for improvement without compromising patient confidentiality.
To properly prepare a mock patient record for your sleep testing facility, include all the documentation that is required for an actual patient. ACHC Standards clearly define the required elements.
| SLC5-1A | Completed referral or order from a licensed provider. |
| Detailed patient intake form (with emergency contact). | |
| Pre-test assessments such as an Epworth Sleepiness Scare and Sleep History Questionnaire. | |
| Insurance verification. | |
| Documentation of the sleep study setup, monitoring notes, and any interventions during the test. | |
| Interpreted results and final report signed and dated by a physician board certified in sleep (see also SLC4-6B). | |
| SLC5-3A | Physician office notes that include evidence of medical necessity. |
| SLC3-4A | Receipt of patient financial obligation notice. |
| SLC6-3B | Patient satisfaction survey. |
Don’t forget to include documentation that the patient has received consent forms:
| SLC2-2A | Rights and responsibilities. |
| SLC2-4B | Complaint process. |
| SLC2-5A | Release of information. |
| SLC2-5A | Privacy notice (HIPAA). |
If your facility is providing HSATs, include the following information and documentation in the patient record:
| SLC5-1A | HST Device Type (listed on the interpretation). |
| Proof of HST Education. |
All entries must be clear, complete, and accurately reflect your facility’s policies and procedures.
During the survey, your ACHC surveyor will need to review at least five mock patient files. We recommend creating mock records that represent a variety of test-types your facility offers (PSG, MWT, MSLT, PAP), as well as different patient scenarios (patient with oxygen, retest patient). This reflects the full scope of your services and helps demonstrate your team’s understanding of proper documentation and clinical processes across a range of patient needs. A diverse set of mock files gives the surveyor a more complete picture of your facility’s readiness, ensuring that policies and procedures are consistently applied regardless of the test type or patient profile. It also provides a thorough training resource for onboarding staff.
Mock patient records that reflect the scope of your services, and demonstrate compliance with documentation requirements, are evidence of your facility’s readiness to provide safe, effective care. Taking the time to ensure each mock file is detailed, accurate, and aligned with applicable standards reinforces your commitment to quality and helps set a strong foundation for successful accreditation.
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Read more articles about Sleep Accreditation here.