HIPAA Audit Readiness FAQ

While every audit is different, some of the most commonly requested items include a current Security Risk Assessment (SRA), workforce training records, policies and procedures, and documentation supporting compliance activities.

Many organizations are surprised to learn that auditors are often focused on obtaining specific documentation and evidence. In many cases, if an organization can quickly provide the requested materials, the process moves much more smoothly than expected.

Yes. Organizations that cannot demonstrate compliance efforts or address significant deficiencies may face serious consequences. Beyond potential regulatory concerns, audit findings can also create reputational damage and erode trust with patients and business partners.

Two of the most commonly missing items are written policies and procedures and properly executed Business Associate Agreements (BAAs).

HIPAA generally requires organizations to retain required documentation for at least six years from the date of creation or the date when the document was last in effect, whichever is later.

Not necessarily. Auditors generally want to see that an organization has a functioning system for protecting protected health information (PHI).

Good-faith effort is demonstrated through documented compliance activities, including risk assessments, workforce training, maintaining policies and procedures, addressing identified gaps, and documenting remediation efforts.

As a general rule, keep everything related to compliance activities. This includes risk assessments, training records, policy acknowledgements, BAAs, remediation documentation, incident documentation, and other evidence demonstrating compliance efforts.

Immediately begin gathering documentation and compliance evidence. If additional assistance is needed, engage a qualified compliance consultant as quickly as possible.

Many healthcare organizations review audit readiness annually as part of their broader compliance program.