How long does it take to prepare for an OCR audit?

Ideally, you should prepare for an OCR audit over 30 days. However, if you receive an audit notification, you typically have 10 business days to acknowledge and should begin preparation immediately.

What is the most important thing to prepare for an OCR audit?

The most important thing is organization. You must be able to find any requested document within 5 minutes. OCR auditors value organized, accessible documentation over perfect policies.

What documents do OCR auditors check first?

OCR auditors typically check: (1) All 9 required policies, (2) Risk assessment documentation, (3) Training records, (4) Business Associate Agreements, and (5) Evidence organization.

Can I prepare for an OCR audit in less than 30 days?

Yes, but 30 days gives you time to identify and fix gaps, organize documentation, and prepare staff. If you have less time, focus on organization and completing missing critical documents.

OCR Audit Preparation: 30-Day Checklist (From Auditors)

You have 30 days to prepare. Follow this plan and you'll pass your OCR audit.

This checklist was created with input from actual OCR auditors. Follow it day by day, and you'll be ready.

The 30-Day Plan Overview

Week 1 (Days 1-7): Assessment and Organization
Week 2 (Days 8-14): Policy Review and Updates
Week 3 (Days 15-21): Evidence Gathering
Week 4 (Days 22-28): Staff Preparation
Final Days (29-30): Review and Mock Audit

Week 1: Assessment and Organization (Days 1-7)

Day 1: Initial Assessment

Tasks:

Review audit notification (if received)
Identify all requested documents
Assess current compliance status
Create preparation timeline
Assign responsibilities

Deliverable: Compliance status assessment

Day 2: Create Organization System

Tasks:

Create central documentation location
Set up folder structure (digital or physical)
Create document index
Label all folders clearly
Test accessibility (can you find documents in 5 minutes?)

Folder structure:

HIPAA Compliance/
├── Policies/
├── Risk Assessment/
├── Training Records/
├── BAAs/
├── Evidence/
├── Incident Logs/
└── Audit Trail/

Deliverable: Organized folder structure

Day 3: Inventory Existing Documentation

Tasks:

List all existing policies
List all existing evidence files
List all training records
List all BAAs
Identify what's missing

Deliverable: Documentation inventory

Day 4: Identify Gaps

Tasks:

Compare inventory to requirements
List missing policies
List missing evidence
List incomplete training records
Prioritize gaps by risk

Deliverable: Gap analysis report

Day 5: Create Action Plan

Tasks:

Assign tasks for missing documents
Set deadlines for each task
Identify resources needed
Create timeline for completion
Review plan with team

Deliverable: Action plan with timeline

Day 6: Begin Document Gathering

Tasks:

Start gathering existing documents
Scan physical documents (if needed)
Organize into folder structure
Update document index
Verify accessibility

Deliverable: Initial document collection

Day 7: Week 1 Review

Tasks:

Review progress
Update action plan
Identify any blockers
Adjust timeline if needed
Prepare for Week 2

Deliverable: Week 1 status report

Week 2: Policy Review and Updates (Days 8-14)

Day 8: Review Privacy Policy

Tasks:

Review current Privacy Policy
Check for updates needed
Ensure it's signed and dated
Verify it covers all requirements
Update if necessary

Deliverable: Updated Privacy Policy

Day 9: Review Security Policy

Tasks:

Review current Security Policy
Check for updates needed
Ensure it covers all three safeguard categories
Verify it's signed and dated
Update if necessary

Deliverable: Updated Security Policy

Day 10: Review Incident Response Plan

Tasks:

Review current Incident Response Plan
Check for updates needed
Ensure it covers breach response
Verify it's signed and dated
Update if necessary

Deliverable: Updated Incident Response Plan

Day 11: Review Remaining Policies

Tasks:

Review Breach Notification Policy
Review Workforce Security Policy
Review Contingency Plan
Review Audit Logs Policy
Ensure all are signed and dated

Deliverable: All policies reviewed

Day 12: Create Missing Policies

Tasks:

Create any missing policies
Use templates or professional help
Customize for your practice
Get policies signed
Date all policies

Deliverable: All 9 required policies complete

Day 13: Policy Organization

Tasks:

Organize all policies in one location
Create policy index
Ensure easy access
Test retrieval (5-minute test)
Update document index

Deliverable: Organized policy folder

Day 14: Week 2 Review

Tasks:

Verify all 9 policies are complete
Review progress
Update action plan
Prepare for Week 3

Deliverable: Week 2 status report

Week 3: Evidence Gathering (Days 15-21)

Day 15: Risk Assessment Review

Tasks:

Locate current risk assessment
Review for completeness
Check if it's current (within 12 months)
Complete new assessment if needed
Document all findings

Deliverable: Current risk assessment

Day 16: Training Records Review

Tasks:

Gather all training records
Verify all staff are trained
Check certificate dates
Identify any missing training
Complete missing training

Deliverable: Complete training records

Day 17: BAA Collection

Tasks:

List all vendors who handle PHI
Gather all BAAs
Verify BAAs are current
Create missing BAAs
Organize BAAs in one location

Deliverable: Complete BAA collection

Day 18: Evidence File Organization

Tasks:

Gather all evidence files
Organize by category (Administrative, Physical, Technical)
Verify all required evidence is present
Create evidence index
Test accessibility

Deliverable: Organized evidence files

Day 19: Incident Log Review

Tasks:

Gather all incident logs
Review for completeness
Verify documentation
Organize chronologically
Ensure easy access

Deliverable: Organized incident logs

Day 20: Audit Trail Review

Tasks:

Review audit trail documentation
Verify logging is enabled
Check log retention policy
Test log access
Document audit trail process

Deliverable: Audit trail documentation

Day 21: Week 3 Review

Tasks:

Verify all evidence is gathered
Review progress
Update action plan
Prepare for Week 4

Deliverable: Week 3 status report

Week 4: Staff Preparation (Days 22-28)

Day 22: Staff HIPAA Training

Tasks:

Schedule HIPAA training session
Review HIPAA basics with staff
Cover Privacy Rule, Security Rule, Breach Notification
Document training attendance
Issue training certificates

Deliverable: Staff training completed

Day 23: Audit Process Education

Tasks:

Educate staff on audit process
Explain what to expect
Review interview preparation
Cover do's and don'ts
Answer questions

Deliverable: Staff prepared for audit

Day 24: Designate Response Team

Tasks:

Designate Privacy Officer contact
Designate Security Officer contact
Identify document retrieval person
Assign roles and responsibilities
Create contact list

Deliverable: Response team designated

Day 25: Practice Document Retrieval

Tasks:

Practice retrieving documents
Test 5-minute retrieval rule
Identify any issues
Fix accessibility problems
Document retrieval process

Deliverable: Document retrieval tested

Day 26: Prepare Physical Space

Tasks:

Prepare room for auditor
Ensure comfortable workspace
Set up document access
Test technology (if needed)
Create welcoming environment

Deliverable: Physical space prepared

Day 27: Final Staff Briefing

Tasks:

Brief all staff on audit
Review key points
Answer final questions
Ensure everyone is ready
Provide contact information

Deliverable: Staff fully briefed

Day 28: Week 4 Review

Tasks:

Review all preparation
Verify staff readiness
Update action plan
Prepare for final days

Deliverable: Week 4 status report

Final Days: Review and Mock Audit (Days 29-30)

Day 29: Final Documentation Review

Tasks:

Review all documentation
Verify completeness
Check organization
Test accessibility
Fix any issues

Deliverable: Documentation ready

Day 30: Mock Audit

Tasks:

Conduct mock audit
Test document retrieval
Practice staff interviews
Identify any gaps
Final corrections

Deliverable: Mock audit completed, ready for real audit

Download the Complete 30-Day Checklist

Get our detailed 30-day checklist with daily action items and templates.

30-Day OCR Audit Preparation Checklist

Complete daily checklist with action items, templates, and timelines

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Key Success Factors

Organization is critical - Can you find documents in 5 minutes?
Completeness matters - All 9 policies, all evidence, all training
Staff preparation - Everyone knows what to expect
Documentation - Everything is documented and accessible
Cooperation - Be professional and responsive

Common Mistakes to Avoid

Waiting until the last minute - Start immediately
Poor organization - Can't find documents quickly
Missing policies - All 9 must be present
Incomplete training - All staff must be trained
Lack of preparation - Staff not ready for interviews

How HIPAA Hub Helps

HIPAA Hub automates most of this:

✅ All 9 policies auto-generated
✅ Risk assessment tool
✅ Training management
✅ Evidence organization
✅ BAA templates
✅ Audit preparation tools

Time saved: 20-30 hours of preparation

Next Steps

Download the checklist - Follow it day by day
Start immediately - Don't wait
Get organized - Use HIPAA Hub
Pass your audit - You've got this

Remember: 30 days is enough if you start now. The best time to prepare was yesterday. The second best time is now.

This checklist is based on input from OCR auditors and real audit experiences. For personalized compliance guidance, consider using HIPAA Hub.