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HIPAA internal audit checklist template

This HIPAA internal audit checklist is for assessing compliance with key Privacy, Security, and Breach Notification Rule requirements under HIPAA. It guides healthcare providers, insurers, and health tech organizations through a detailed review of administrative, technical, and physical safeguards. You can then assess if your policies, workforce practices, and data security controls are up to regulatory standards.

Failure to conduct a proper risk analysis remains the most common HIPAA violation, according to enforcement data from the US Department of Health and Human Services. This template addresses that gap directly. Unlike broader tools such as our Internal Audit Risk Assessment Template or ISO 27001 Internal Audit Checklist, it’s tailored specifically for HIPAA—helping you identify and fix compliance risks before they escalate.

Related categories

Preview of the template

General Information

Covered Entity Name

Date of Audit

Auditor Name

Privacy and Security Assessments

Have you completed a comprehensive risk assessment?

Have you implemented appropriate safeguards to protect ePHI?

Have you designated a privacy and security officer?

Have you provided HIPAA training for all staff?

Have you reviewed and updated your HIPAA policies and procedures?

Have you implemented access controls to limit who can access ePHI?

Have you implemented audit controls to monitor access to ePHI?

Have you implemented mechanisms to ensure the integrity of ePHI?

Have you implemented mechanisms to ensure the confidentiality of ePHI?

Data Protection

Have you implemented data backup and disaster recovery plans?

Have you implemented mechanisms to detect, contain, and correct security violations?

Have you implemented appropriate physical safeguards to protect ePHI?

Have you implemented appropriate technical safeguards to protect ePHI?

Have you implemented appropriate administrative safeguards to protect ePHI?

Compliance Checks

Have you obtained necessary business associate agreements?

Have you implemented mechanisms to track and report security incidents?

Have you implemented mechanisms to track and report privacy breaches?

Have you implemented mechanisms to ensure patient rights (access, amendment, accounting of disclosures)?

Have you implemented mechanisms to ensure appropriate use and disclosure of ePHI?

Frequently asked questions

What happens if you fail a HIPAA audit?

Failing a HIPAA audit can lead to serious consequences: financial penalties, corrective action plans, loss of patient trust, and potential legal action. The Office for Civil Rights may also conduct follow-up audits. Internal audits are your best defense to uncover and fix compliance gaps ahead of time.

How do HIPAA audits differ from other internal audits?

HIPAA audits focus specifically on protecting health information. They examine how your organization manages patient privacy, data access, breach response, and security safeguards. Other audits, like ISO 9001 or QMS, focus on quality or operational procedures rather than legal compliance with federal health privacy laws.

What is the HIPAA Security Rule and why does it matter in audits?

The HIPAA Security Rule outlines how electronic protected health information (ePHI) must be safeguarded. Audits use this rule as a benchmark to evaluate whether your technical and administrative protections are adequate. Weaknesses in encryption, access control, or staff training can all trigger compliance issues under this rule.

Which areas are most often noncompliant during HIPAA audits?

The most common areas of noncompliance include lack of a formal risk analysis, weak access controls, inadequate employee training, and missing breach notification policies. Many organizations also struggle with documentation. Having clear policies and routinely auditing them helps address these problem areas before external review.

This template, developed by Lumiform employees, serves as a starting point for businesses using the Lumiform platform and is intended as a hypothetical example only. It does not replace professional advice. Companies should consult qualified professionals to assess the suitability and legality of using this template in their specific workplace or jurisdiction. Lumiform is not liable for any errors or omissions in this template or for any actions taken based on its content.