Auditing and Monitoring

A focus group of Health Care Compliance Association (HCCA) and Association of Healthcare Internal Auditors (AHIA) members met in spring 2004 to explore opportunities to better define and explain auditing and monitoring, and to clarify the roles of compliance and internal audit functions as they address issues within their healthcare organizations. The HCCA/AHIA team concluded that there is a need to co-develop auditing and monitoring materials to assist our constituents in more effectively addressing compliance auditing and monitoring requirements and challenges. One of the key HCCA/AHIA team initiatives is the Seven Component Framework. This framework was initially developed by the AHIA auditing and monitoring workgroup (A&M workgroup) and has been further refined by the HCCA/AHIA team. We believe that both compliance and auditing professionals will benefit from using this framework as a guide in considering the important components of a comprehensive auditing and monitoring process.

Auditing and Monitoring White Papers

• Article #1: A&M In Healthcare Organizations
• Article #2: Compliance Risk Assessment
• Article #3: Compliance Work Plan
• Article #4: CAATS
• Article #5: Documented Comprehensive Approach
• Article #6: Core Set Policies & Procedures
• Article #7: Compliance Training
• A&M Focus Group Progress Report
• Contrasting Roles and Responsibilities – Corporate Compliance and Internal Audits
• Defining the Meaning of ‘Auditing’ and ‘Monitoring’ & Clarifying the Appropriate Use of the Terms
• Physician Contracting
• Roles and Responsibilities – Corporate Compliance and Internal Audit
• Seven Component Framework