Exclusion screening documentation: what to keep on file

Last updated 2026-11-09 · Starry Night

Screening is only half the job. If a payer, a state Medicaid program or an auditor asks how you screen, you show them records: when you checked, against which lists, which names, what came back and how you resolved each possible match. Here is what OIG says to keep and a checklist that covers it.

What OIG says

"When checking the LEIE, providers should maintain documentation of the initial name search performed (such as a printed screen-shot showing the results of the name search) and any additional searches conducted, in order to verify results of potential name matches."
OIG's Updated Special Advisory Bulletin on the Effect of Exclusion (May 8, 2013), p. 14

OIG's quick tips repeat this for both the online search and the download file, and say to use the online search's Print Search Results button, because the browser's own print function will not work on that page.

For contractors, the bulletin says a provider can rely on the contractor's screening but should validate it, for example by requesting and keeping the contractor's screening documentation.

A checklist for each screening run

Date and time of the run, and who ran it.
Lists screened and their versions. For the LEIE, the month of OIG's file (or the date of the online search). For each state list, its as-of date. Note lists you did not check, such as SAM.gov, if you check them elsewhere.
Who was screened. The roster as of that date, including former names you searched.
Method. Online search, download file and spreadsheet, or a tool, and any match threshold.
Results for every name, including the no-matches. A record that lists only hits does not show that everyone else was checked.
Each possible match and how it was resolved. The listed record, the verification you did (OIG's SSN or EIN verify step, or the state agency's lookup), the printed verification result and the outcome.
Reviewer sign-off: name, date and notes of the person who reviewed the possible matches.
Contractor evidence, where you rely on a contractor's screening.

Keeping it manageable

Use one roster file as the source for every run, and archive a copy with each month's record.
Run on the same schedule each month, after OIG's mid-month update.
Keep each month's record, verification printouts and sign-off together, in one folder per month.
Set a retention period with counsel. OIG's bulletin does not set one; state Medicaid rules and payer contracts may.

A record built for you

Get a dated screening record for each run

The screening record page screens up to 500 names at once against the LEIE and 11 state Medicaid lists (NY, CA, TX, MI, GA, MD, LA, AR, KY, NC, WA), with name matching that handles word order, middle names, nicknames and small typos, and builds a dated PDF record of the run. On-screen results and a PDF marked PREVIEW are free; a $19 one-time unlock removes the watermark for 24 hours. Names are not stored.

Screen a list

The PDF contains most of the checklist above: the date and time; each list screened with its version (for the LEIE, OIG's update date, the month the data covers and the SHA-256 of OIG's file; for each state list, its as-of date and file SHA-256); the matching method and threshold; every name with its result per list; details of each possible match with the link to verify it; and a reviewed-by block for your sign-off. You still verify each possible match with OIG or the state agency and attach that verification.

Be clear about what any record is. The PDF is generated in your browser and is not signed or kept by Starry Night. It includes a SHA-256 of its content; note that hash in your own log when you file it, and a matching hash later shows the content has not changed since then. It documents that a screening was run and what it returned. It does not show that anyone is or is not excluded.

Checking a few names while you work in Claude? The free Healthcare Exclusion Lookup connector screens names or NPIs against the LEIE from a chat. No sign-up with Starry Night is needed.

This guide explains public rules and OIG guidance in plain English. It is not legal advice; for a decision about a specific person or claim, talk to your health care counsel. Healthcare Exclusion Lookup is published by Starry Night and is not affiliated with HHS-OIG, CMS or any state agency.

Questions

What documentation does OIG recommend for LEIE checks?

OIG's 2013 bulletin says providers should keep documentation of the initial name search (such as a printed screenshot of the results) and any additional searches made to verify possible matches. OIG's quick tips say to use the online search's Print Search Results button.

How long should exclusion screening records be kept?

OIG's bulletin does not set a period. Retention periods come from your state Medicaid program, payer contracts and your own records policy; ask counsel which apply to you.

Does a screening record prove nobody was excluded?

No. A record shows that a screening was run, against which lists and versions, and what it returned. A name search can miss someone listed under another name.