HIPAA Compliance Checklist Template
A free HIPAA compliance checklist covering the Privacy Rule, Security Rule, and Breach Notification Rule. Based on 45 CFR Part 164. No signup required.
What is a healthcare compliance checklist?
A healthcare compliance checklist is an audit tool used by compliance officers to assess whether an organisation's policies, procedures, and practices meet regulatory requirements. It identifies gaps, assigns corrective actions, and documents findings for governance and accreditation.
The template
Healthcare Compliance Checklist Template
HEALTHCARE COMPLIANCE CHECKLIST
Organisation:
[Your organisation]
Facility:
[If applicable]
Date of review:
[Date]
Reviewed by:
[Name and role]
Review type:
Internal auditPre-accreditationAnnual reviewTriggered review
Next review date:
[Date]
Reference:
HHS OIG Compliance Program Guidance 2023
SECTION 1 - WRITTEN POLICIES AND PROCEDURES
YesNoRemarks
Written code of conduct in place?
Compliance policies documented?
Compliance program in operation?
Policies reviewed annually?
Policies accessible to all staff?
Staff acknowledge policies?
SECTION 2 - COMPLIANCE LEADERSHIP
YesNoRemarks
Compliance officer appointed?
Compliance committee in place?
Board has formal oversight?
Officer reports to CEO or board?
Compliance roles clearly defined?
SECTION 3 - EDUCATION AND TRAINING
YesNoRemarks
Compliance training mandatory?
Training at induction?
Training records maintained?
Training is role-specific?
Low completion escalated?
SECTION 4 - COMMUNICATION AND REPORTING
YesNoRemarks
Open communication channel?
Confidential reporting mechanism?
Whistleblower policy in place?
Incidents reported to board?
Staff know how to report?
SECTION 5 - MONITORING AND AUDITING
YesNoRemarks
Ongoing compliance monitoring?
Internal audits conducted?
Findings documented and actioned?
High-risk areas audited more?
Corrective actions tracked?
SECTION 6 - PATIENT PRIVACY AND DATA
YesNoRemarks
HIPAA policies current?
HIPAA risk analysis done (12 months)?
Staff trained on privacy?
PHI access restricted?
Breach procedures documented?
BAAs with all vendors?
SECTION 7 - PATIENT SAFETY AND QUALITY
YesNoRemarks
Incident reporting system?
Incidents investigated?
Safety outcomes tracked?
Clinical audit program?
Sentinel events analysed?
SECTION 8 - WORKFORCE COMPLIANCE
YesNoRemarks
All clinical staff registered?
License expiry dates tracked?
Background checks completed?
OIG and SAM exclusion checks done?
Immunisation requirements met?
SECTION 9 - BILLING AND CODING
YesNoRemarks
Billing policies current?
Billing staff trained?
Billing audits conducted?
Overpayments repaid promptly?
Claims reviewed before submission?
SECTION 10 - RESPONDING TO NON-COMPLIANCE
YesNoRemarks
Non-compliance process documented?
Corrective action plans tracked?
Compliance incentives in place?
Disciplinary consequences clear?
Lessons learned shared?
SECTION 11 - SUMMARY AND CORRECTIVE ACTIONS
Total reviewed:
Total Yes:
Total No:
Compliance rate:%
Priority gaps:
1.
2.
3.
Action 1:
Description:Owner:Target date:
- Open
- In progress
- Closed
Action 2:
Description:Owner:Target date:
- Open
- In progress
- Closed
Action 3:
Description:Owner:Target date:
- Open
- In progress
- Closed
SIGN-OFF
Completed by:
Name:Role:Date:
Reviewed by:
Name:Role:Date:
Approved by:
Name:Role:Date:
Next review:
Reference:
HHS OIG General Compliance Program Guidance 2023
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What this template covers
Written policies
code of conduct, compliance program, policy accessibility
Compliance leadership
officer, committee, board oversight, reporting lines
Training
mandatory training, induction, records, role-specific obligations
Communication
open reporting, confidential mechanism, whistleblower policy
Monitoring and auditing
ongoing monitoring, internal audits, corrective actions
Patient privacy
HIPAA policies, risk analysis, access controls, breach procedures
Patient safety
incident reporting, sentinel events, clinical audit
Workforce
licensing, background checks, OIG exclusion checks, immunisations
Billing and coding
billing policies, coding training, audit process, overpayments
Non-compliance response
corrective actions, disciplinary consequences, lessons learned
Summary
compliance rate, priority gaps, corrective action tracking
Sign-off
completed, reviewed, approved, next review date
How to use this template
Assign the right person
This is for a compliance officer or senior administrator - not frontline staff.
Work through all ten sections
Tick Yes or No for each item and add a remark where the answer is No. Write N/A if not applicable.
Calculate your compliance rate in Section 11
Count Yes and No responses and calculate a percentage to use as your baseline.
List the three biggest gaps
Focus on No answers with the highest risk or largest impact on patient safety.
Complete corrective action plans
Assign an owner and target date to every priority gap.
Get sign-off and set the next review date
Set the next review date before signing off so it does not get missed.
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