DENTAL REGULATORY COMPLIANCE CHECKLIST: STATE & FEDERAL GUIDELINES

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--- HIPAA COMPLIANCE ---
[ ] Do you have a designated HIPAA Compliance Officer? (Yes, No)
[ ] Describe your Business Associate Agreements (BAAs) process.
[ ] Are all staff members trained on HIPAA regulations annually? (Yes, No)
[ ] Last HIPAA training date.
[ ] Describe your procedures for handling patient data breaches.
[ ] Are patient portals secured with multi-factor authentication? (Yes, No, Not Applicable)
[ ] Upload a copy of your HIPAA Privacy Notice.

--- OSHA COMPLIANCE ---
[ ] Last eyewash station inspection date
[ ] Last sharps container replacement
[ ] Type of PPE readily available (e.g., gloves, masks, gowns) (Gloves, Masks, Gowns, Face Shields)
[ ] Hazard Communication Plan components reviewed? (Chemical Inventory, SDS Availability, Employee Training)
[ ] Respiratory Protection Program in place? (Yes, No)
[ ] Summary of recent OSHA training topics
[ ] Date of last hazard assessment

--- STATE DENTAL BOARD REGULATIONS ---
[ ] Last License Renewal Date
[ ] Continuing Education Credits Earned (Current Reporting Period)
[ ] Current License Status (Active, Inactive, Suspended, Expired)
[ ] Date of Last Board Audit (if applicable)
[ ] Summary of any Disciplinary Actions (if applicable)
[ ] Supervision Type (for Dental Hygienists/Assistants, if applicable) (Direct Supervision, General Supervision, No Supervision Required)
[ ] Number of Registered Dentists in Practice (if group practice)

--- DEA COMPLIANCE (IF APPLICABLE) ---
[ ] DEA Registration Status? (Active, Inactive, Pending)
[ ] Registration Number
[ ] Registration Expiration Date
[ ] Summary of Controlled Substances on Hand (as of last inventory)
[ ] Inventory Count - Morphine (mg)
[ ] Inventory Count - Hydrocodone (mg)
[ ] Secure Storage Method? (Safe, Vault, Double-Locked Cabinet)
[ ] Date of Last Physical Inventory

--- MEDICARE/MEDICAID COMPLIANCE (IF APPLICABLE) ---
[ ] Provider Enrollment Status (Enrolled, Pending, Not Enrolled)
[ ] NPI Number
[ ] Tax Identification Number (TIN)
[ ] Last Medicare/Medicaid Audit Date
[ ] Summary of Recent Audit Findings (if applicable)
[ ] Claims Submission Method (Electronic, Paper)
[ ] Copy of Current Enrollment Agreement

--- ADA STANDARDS FOR ACCESSIBILITY ---
[ ] Entrance Ramps: Verify presence and slope (max 1:12)
[ ] Doorway Width: Measure clear width (minimum 32 inches)
[ ] Exam Room Door Width: Measure clear width (minimum 32 inches)
[ ] Accessible Parking: Is accessible parking available? (Yes, No, N/A)
[ ] Accessible Restroom: Is an accessible restroom available? (Yes, No, N/A)
[ ] Accessible Toilet Height: Record the height of the toilet seat (minimum 17-19 inches)
[ ] Accessible Sink: Clearance beneath sink (minimum 28 inches) (Compliant, Not Compliant, N/A)
[ ] Photos of Accessible Areas (Entrance, restroom, exam room)

--- CONTROLLED SUBSTANCE MANAGEMENT ---
[ ] Last Controlled Substance Inventory Date
[ ] Starting Quantity of [Substance Name]
[ ] Quantity Used/Dispensed During Period
[ ] Quantity on Hand at End of Period
[ ] Discrepancy Found? (Yes, No)
[ ] Description of Discrepancy (if applicable)
[ ] Method of Reconciliation (Investigated & Corrected, Reported to Authorities, Other)
[ ] Notes/Comments

--- ENVIRONMENTAL REGULATIONS ---
[ ] Water Usage (Gallons/Month)
[ ] Waste Volume (lbs/Month)
[ ] Waste Disposal Method (Recycling, Incineration, Landfill)
[ ] Last Wastewater Discharge Permit Review Date
[ ] Hazardous Materials Stored (Mercury, X-ray Processing Chemicals, Anesthetics, Cleaning Solvents)
[ ] Description of Waste Management Procedures

--- INFECTION CONTROL PROTOCOLS ---
[ ] Autoclave Cycle Count
[ ] Last Instrument Reprocessing Validation Date
[ ] Surface Disinfectant Used (Chlorhexidine Gluconate, Quaternary Ammonium Compound, Hydrogen Peroxide, Other (Specify))
[ ] PPE Used During Procedures (Gloves, Mask, Eye Protection, Gown)
[ ] Notes on Unusual Issues/Deviations
[ ] Date of last surface disinfection
[ ] Type of Water System (City Water, Well Water, Reverse Osmosis System)

--- RECORD KEEPING & DOCUMENTATION ---
[ ] Record Retention Policy Review Date
[ ] Number of Years Patient Records Retained (Digital)
[ ] Number of Years Patient Records Retained (Physical)
[ ] Record Storage Method (Digital/Physical) (Digital, Physical)
[ ] Summary of Record Destruction Procedure
[ ] HIPAA Business Associate Agreements Current? (Yes, No)
[ ] Date of Last Audit of Patient Records
[ ] Details of any Corrective Actions following Audit

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