Utilizing the PAAS Audit Activity Tracker

While seemingly mundane, the PAAS National® Audit Activity Tracker can serve a very important purpose. While pharmacy personnel may use this tool to stay organized with various audits coming their way, this tool can also be used to defend the pharmacy should an audit go awry. It’s better to document and have a record at the onset than to think back months ago about your individual efforts on an audit. This tool provides a structure to document important information during your audit process. Utilizing this tracker can provide credible documentation of a PBM’s (or auditors) ineffectual communication during an audit. This could help support an audit manager’s review of the auditor’s conduct or provide you with information to complain to your state insurance commissioner.

Here are some recommendations to include on the Audit Activity Tracker:

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  • Dates and times for:
    • Audit receipt and corresponding due date (along with audit result timelines)
    • Any communications with auditor
    • When onsite auditor arrives and leaves
    • Pharmacy attempts to contact auditor
  • Summary of discussion with auditor regarding questions or concerns
  • Requests and approval of any extension of due date
  • Action taken to escalate to audit manager/supervisor


Audit Activity Tracker
Date/Time Item Notes/Comments
4/20/2023 Audit Received Audit letter dated 4/10/2023
5/1/2023 @ 1:00pm Extension Requested Contacted auditor William Henry by email to request extension
5/8/2023 @ 3:30pm Extension Left VM for auditor mention email request for extension
5/9/2023 @ 2:00pm Received Extension and new due date Auditor responded to email request for extension. New due date is 6/10/2023
5/9/2023 @ 2:15pm Auditor Call Auditor, William, called to inform pharmacy of extension as follow-up to email. I also asked about ‘Computerized Dispensing Records’. William, stated I would not need to submit that information with the audit.
6/7/2023 @ 8:45am Audit sent to PBM Fax confirmation attached (or tracking # noted if mailed)

PAAS Tips:

  • Attach the Audit Activity Tracker to any audit request you receive
  • Educate all staff involved in the audit process on how to utilize the tracker
  • Keep audit documents organized and readily available
  • Be prompt when adding information to the tracker to ensure accuracy
  • Visit the PAAS National® Member Portal for additional Proactive Tips

Dana Westberg, CPhT