By George F. Indest III, J.D., M.P.A., LL.M., Board Certified by The Florida Bar in Health Law

The Office of Civil Rights (OCR) has recently released the initial results for the first round of HIPAA audits, as well as the HIPAA audit protocol. Covered entities need to review both the audit results and audit protocol to assist in preparing for the possibility of a HIPAA audit.

Tips to Prepare for a HIPAA Audit.

Although the first round of audits has concluded, HIPAA audits will continue to be conducted through December 2012. Covered entities that avoided the first round of HIPAA audits can learn from the results released by OCR. The OCR is also expected to release an audit protocol which will further assist covered entities in learning how to prepare for a HIPAA audit. The following tips should assist covered entities in preparing for and responding to a HIPAA audit.

To see a previous blog post regarding health care audits, click here.

Before the Audit:

  • All policies and procedures required by the HIPAA Privacy, Breach Notice, and Security Rules should be finalized and regulator-ready.
  • Assign individuals in your organization that can speak to each aspect of HIPAA implementation. Be sure they are aware of questions that may be asked by the OCR concerning compliance.
  • HIPAA’s Security Rule requires that covered entities periodically conduct a risk analysis.  The OCR recently released guidance on conducting such an analysis. This risk analysis guidance can be found here. The results of your risk analysis will likely be among the documents requested for review during an audit.  If you have not conducted a risk analysis in the last year, do so now. Evaluate the results and determine how to handle identified risks. Be sure to carefully document each step of the risk analysis process.
  • Train employees on compliance. Maintain documentation that every relevant employee has been trained.
  • Identify all of your vendors that handle protected health information. Negotiate business associate agreements with all such vendors.

During the Audit:

  • Respond to every notice provided by the OCR in a timely manner. All relevant personnel should receive copies of the OCR’s written notice of its intent to audit.
  • Appropriately respond to the draft audit report with any findings that you believe were unfair or inaccurate before the report is finalized. According to the OCR you should have ten days to respond.

After the Audit:

  • When audit is over, enforce compliance measures suggested by the OCR. To avoid further action taken by the OCR.

Contact Health Law Attorneys Experienced in Audits of Health Providers.

The Health Law Firm represents physicians, medical practices, hospitals, and other health providers in audits, including Medicare audits, Medicaid audits, and HIPAA audits. The Health Law Firm also assists health providers in establishing compliance with HIPAA regulations. If you have received notification of an impending audit contact The Health Law Firm immediately.

To contact The Health Law Firm, please call (407) 331-6620 or (850) 439-1001 and visit our website at

About the Author:  George F. Indest III, J.D., M.P.A., LL.M., is Board Certified by The Florida Bar in Health Law.  He is the President and Managing Partner of The Health Law Firm, which has a national practice.  Its main office is in the Orlando, Florida, area.  The Health Law Firm, 1101 Douglas Ave., Altamonte Springs, FL 32714, Phone:  (407) 331-6620.