Compliance Checklists

What are compliance checklists? 

A compliance checklist is exactly what it sounds like – a detailed cognitive and comprehensive list used to aid in the completion of a procedure or task. It is essentially a guide to make sure that everything is running smoothly. Compliance checklists are also a tool to see where there are places that need improvement in a workplace. 

Checklists have proven to reduce failures in healthcare and non-healthcare settings by targeting weak spots in compliance. A list could be five parts up to thirty or more. It is all very explicitly designed for whatever task is at hand. For example, a surgical team before surgery needs to follow the correct steps to make sure they are properly prepared to operate. This means the patient will not be subject to a team who is not ready for the task – making it as safe as possible for the patient. 

In healthcare, a compliance checklist is almost always aimed at improving the safety and security of a patient. The goal of a checklist is to ensure no step of the process or any other crucial moment will be overlooked or forgotten. Checklists that have found issues in a task can then move on to find solutions to improve that could involve:

  • Supervision
  • Training 
  • Further education 
  • Communication

 

How to use an audit compliance checklist 

An audit checklist is created by a team set up by the healthcare entity. The team examines the policies, laws, and bylaws of the organization and creates a checklist for each procedure to ensure compliance. A walkthrough with staff followed by interview questions can effectively determine weak spots within policies. Compliance checklists are continually updated as procedures evolve and change.  

Once the checklist is complete, employees complete the checklist, usually in order, with every procedure to safeguard the safety of the staff and patients.

 

Compliance checklist template

Formulating a compliance checklist is a responsibility a healthcare compliance officer or other healthcare manager undertakes as one of their duties. Starting with a template helps to organize the information, increases efficiency, and encourages reliability.

During an audit, a healthcare compliance officer can use the template or finalized tool to assist and find weak spots or where a task is the strongest. Creating a checklist for a healthcare entity can help with:

  • Areas subject to improvement 
  • Effectiveness of the system 
  • Standards 

Each company or business may have some tweaks here and there to the compliance checklist to make it a more natural fit and suit the tasks for the organization. The initial checklist creation can be time-consuming, but the investment is worthwhile. A compliance checklist that suits the healthcare entity, helps to protect staff, and ensures the safety of patients is the ultimate asset.

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