Healthcare Audit Preparation Checklist: Readiness & Documentation
Ace your next healthcare audit! Our comprehensive checklist ensures you're fully prepared-from policy review to documentation verification. Minimize stress, maximize compliance, and confidently showcase your commitment to quality care. Download now and simplify your audit readiness!
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Policy and Procedure Review
Confirm all relevant policies and procedures are current, accessible, and understood by staff.
Last Policy Review Date
Policy Version in Use
Summary of Recent Policy Updates
Copy of Current Policy Documents
Policy Accessibility
Number of Staff Trained on Current Policies
Documentation Review
Verify completeness and accuracy of all required documentation (e.g., patient records, incident reports, training records).
Last Document Review Date
Summary of Recent Documentation Changes
Sample Patient Record (Redacted)
Number of Incident Reports Reviewed
Completeness of Standard Forms
Date of Last Patient Record Retention Check
Description of any identified gaps or inconsistencies
Access Controls
Review and validate access controls for electronic health records (EHR) and other sensitive data.
Authentication Method
Number of Users with Admin Access
Data Access Restrictions Applied (Select all that apply)
Last Access Control Review Date
Password Complexity Requirements Met?
Description of Access Control Procedures
Training Records
Confirm all staff have received required training and documentation is readily available for review.
Last Training Date
Training Module Completed
Training Score (%)
Training Comments
Training Certificate
Trainer Name
Business Associate Agreements (BAA)
Ensure all BAAs are up-to-date, executed, and compliant with HIPAA regulations.
BAA Execution Date
BAA Type
Summary of BAA Services
Copy of Signed BAA
BAA Status
BAA Expiration Date
Number of Covered Records
Physical Security
Assess physical security measures (e.g., access badges, surveillance systems) and ensure they are functioning correctly.
Main Entrance Security Checkpoint Location
Number of Security Cameras Functioning
Access Badge System Status
Date of Last Physical Security Inspection
Description of Any Identified Physical Security Weaknesses
Visitor Management System Status
IT Security
Review IT security controls (e.g., firewalls, intrusion detection systems) and ensure they are properly configured and monitored.
Firewall Rule Count
Antivirus Software Status
Last Security Patch Installation Date
Vulnerability Scan Findings (Select All That Apply)
Notes on Recent Security Events or Concerns
Password Policy Compliance
Emergency Preparedness
Validate emergency preparedness plans and procedures, including backup and disaster recovery processes.
Last Emergency Drill Date
Scheduled Drill Start Time
Number of Participants in Last Drill
Brief Description of Last Drill Scenario
Drill Outcome
Areas Requiring Improvement (Based on Last Drill)
Emergency Contact List (Uploaded File)
Corrective Action Plans
Review and update corrective action plans for previously identified deficiencies.
Description of Identified Deficiency
Date Deficiency Identified
Severity Level (1-5, 1=Low, 5=High)
Responsible Department
Detailed Corrective Action Plan
Target Completion Date
Status
Signature of Responsible Party
Audit Trail Review
Examine audit trails to identify unauthorized access or modifications to data.
Start Date of Audit Trail Review
End Date of Audit Trail Review
Number of Records Reviewed
Types of Access Reviewed (e.g., EHR, Billing, Security)
Summary of Findings (e.g., Anomalies, Suspicious Activity)
Were any unauthorized access attempts detected?
Supporting Documentation (Screenshots, Log Exports)
Healthcare Management Solution Screen Recording
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