New York Clinic Compliance Checklist (2026): Privacy, E-Prescribing, and Ops Controls

1. Governance and accountability baseline

• Assign named owners for privacy, security, prescribing controls, and incident response.
• Run quarterly compliance operating reviews with clinic leaders and IT/security owners.
• Keep role-based policies current for front desk, nursing, prescribing clinicians, and billing.

2. Privacy and security control checklist

• Enforce minimum-necessary access and role-based chart segmentation where required.
• Review access logs and anomalous record access monthly.
• Require annual risk analysis updates and documented remediation tracking.
• Test downtime and ransomware response procedures at least twice per year.

3. E-prescribing and controlled-substance workflow controls

• Validate e-prescribing workflows, identity proofing, and two-factor controls for EPCS users.
• Embed PDMP checks in clinical workflow with documented exceptions and escalation paths.
• Audit refill patterns and outlier prescribing behavior with monthly medical director review.

4. Telehealth and documentation consistency

• Use standardized telehealth encounter templates capturing modality, consent, and location context.
• Ensure coding staff receive explicit guidance for telehealth modifiers and payer differences.
• Track denial trends specific to virtual care and feed findings into template design.

5. Multi-site quality and complaint readiness

• Maintain a complaint intake and triage process that routes potential privacy and access issues quickly.
• Document corrective-action plans with due dates, accountable owners, and closure evidence.
• Keep a current evidence binder: policies, training logs, audit reports, and incident records.

90-day execution plan

1. Week 1-2: complete a cross-site control gap assessment.
2. Week 3-6: remediate high-risk controls (access, prescribing, incident response).
3. Week 7-10: standardize templates and payer-specific workflow documentation.
4. Week 11-13: run tabletop review, finalize evidence binder, and set quarterly oversight cadence.

Editorial Standards

Last reviewed: February 18, 2026

Methodology

• Converted state-specific compliance obligations into operational controls that can be audited across sites.
• Prioritized control design for provider groups managing prescribing, telehealth, and multi-role access workflows.
• Aligned checklist structure to enterprise governance and incident-response operating rhythms.

Primary Sources

• New York State Department of Health
• New York State Office of the Professions
• HHS OCR HIPAA Guidance