Use this checklist to stay organized, reduce stress, and be ready for an audit at any time.

1. Patient Records and Documentation

• Verify all patient records are complete and up-to-date.

• Confirm that all consent forms are properly signed and filed.

• Check that medical coding is accurate and matches services rendered.

• Ensure that any corrected records are clearly labeled according to compliance standards.

• Review record retention policies and ensure records are kept for the required period.

2. Billing and Financial Documentation

• Audit a random sample of claims to ensure they are accurate and properly documented.

• Confirm that explanation of benefits (EOBs) and payment records are correctly filed.

• Ensure all billing is compliant with payer and regulatory requirements (e.g., Medicare, Medicaid).

• Verify refund procedures for overpayments are documented and followed.

3. HIPAA and Patient Privacy Compliance

• Confirm all HIPAA privacy notices are up-to-date and have been distributed to patients.

• Check that access to patient information is properly restricted to authorized personnel.

• Review security protocols for electronic protected health information (ePHI).

• Ensure staff have completed annual HIPAA training and maintain records of that training.

4. Staff and Training Records

• Maintain updated employee files including licenses, certifications, and background checks.

• Ensure staff have completed required compliance and safety trainings (HIPAA, OSHA, etc.).

• Keep clear records of ongoing education and competency evaluations.

5. Office Policies and Procedures

• Review and update office policies and procedures manuals.

• Verify that policies around billing, patient privacy, and clinical protocols are clearly documented.

• Ensure there is a clear, documented plan for handling audit findings or deficiencies.

6. Facility and Equipment

• Confirm that emergency equipment (e.g., AEDs) is maintained and regularly inspected.

• Check that safety procedures are visibly posted and easily accessible.

• Review cleaning and infection control logs for completeness.

7. Communication and Preparedness

• Identify an internal audit team or point person responsible during an audit.

• Conduct a mock audit to catch potential issues ahead of time.

• Make sure contact information for legal counsel, compliance officers, and consultants is easily available.

Quick Tips:

✅ Keep everything neat, labeled, and easy to find.
✅ Create a secure digital back-up of critical records whenever possible.
✅ Don’t wait for an audit notice — regular mini-audits help you stay ready year-round.