HKZ audit questions: checklist for your audit day
An HKZ auditor usually asks about policy, practice and evidence. The official HKZ explanation describes an initial audit in two phases. Use this checklist of HKZ requirements to practise in advance, and read the audit process for the three-year cycle. Your chosen sector scheme always takes precedence.
An HKZ certificate says something about a specific scope and a specific scheme. HKZ 144 for nursing homes, residential care homes and home care organisations asks different care questions than HKZ 170 for dental care. The requirements and forms of evidence differ per scheme, so use the current scheme page and standard version.
Questions that come back in every scheme
Use one concrete piece of evidence, one employee who carries out the process and one recent improvement action for each question. This tests whether the system works, rather than only collecting documents.
| Theme | Practice question | Expected evidence | Who can answer? |
|---|---|---|---|
| Policy and objectives | Which quality objectives do we have this year, and how far have we progressed? | Annual plan, indicators, discussion | Board member or quality officer |
| Client safety | Which risk has priority, and which measure demonstrably works? | Risk analysis, evaluation | Team leader or care professional |
| Records | How do you check that the record is up to date and complete? | Record sample, work instruction | Record owner |
| Incidents | What happens after an incident report? | Report, analysis, action and evaluation | Reporter and line manager |
| Competence | How do you know that someone is qualified and competent? | Training and competence register | HR or team leader |
| Complaints | How do we learn from a complaint or signal? | Complaints file, trend analysis | Complaints officer |
| Suppliers | How do we assess a critical supplier? | Assessment, contract, follow-up | Procurement or process owner |
| Improvement | Which improvement was recently completed, and did it work? | Improvement plan, effect measurement | Process owner |
Do not only ask: “Do you have a procedure?” Also ask: “Show me what you did last week.” In phase 1, the auditor mainly looks at documentation. In phase 2, interviews, records, observations and registrations follow. The HKZ healthcare procurement information confirms that these forms of evidence belong together.
Extra questions per care scheme
Alongside the generic table, make a second list with the requirements of your scheme. This stops a general ISO 9001 checklist from missing a risk specific to your sector.
- VVT (nursing, care and home care), home care or care for people with disabilities: how do you align care with the client, how do you record handovers, and how do you monitor medication or fall risks?
- GGZ (mental health care) and youth care: how do you record treatment or support goals, how do you handle crisis situations, and how do you secure client participation?
- Childcare: how do you check pedagogical quality, reports and competence in the groups?
- Dental care or pharmacy: how do you manage medication, hygiene, storage and patient information?
- HKZ 143 Small Organisations: how do you carry out the organisational assessment, and how do you show proportionately that risks and improvements are followed up?
Check the current scheme at HKZ/NEN and put the version on your audit plan. A question from HKZ 144 does not automatically apply to another sector.
A fictitious practice case
A home care team has reported eight medication errors in three months. The records are complete, but the improvement action “extra attention in the team” has no owner and no measurement date. The auditor may ask: “What was the cause?”, “Which measure did you choose?”, “How do you know that measure works?” and “What do you do if the number of errors does not fall?”
The team prepares three documents: an anonymised report, the root cause analysis and the minutes in which the effect measurement was discussed. The nurse who carries out the handover explains how the new double check works. This way, policy matches behaviour and evidence.
Checklist for phase 1 and phase 2
For phase 1, check whether scope, policy, objectives, procedures and registrations are logically connected. Note per requirement where the evidence is and which version is valid. Make a list of open points with an owner and a date.
For phase 2, plan employees from different roles, a walk-through and representative records. Let people explain in their own words what they do. Rehearsed answers often hide a process that does not work.
The auditor tests the chosen scheme and the scope. An answer from another scheme does not replace your sector requirement.
Frequently asked questions
Will I get a fixed list of questions in advance?
Usually not. The auditor uses the chosen HKZ scheme, the scope and the audit planning. This checklist helps you practise, but it does not replace the standard or the agreements with your certification body.
Must every record be flawless?
A sample must show that you manage your records and follow up deviations. An error can happen. The absence of detection, analysis and improvement is a bigger problem.
How do I check whether an HKZ certificate fits an organisation?
Look at the HKZ register and check the scheme, scope, locations and validity.