Health regulation

HIPAA

Administrative, physical, and technical safeguards for protected health information, with business associate agreement tracking.

In progress Applies in: North America

Controls passing
2 of 4
Needs action
2
Readiness
50%

Sample data The framework defines 54 controls in total. The figures above and the checklist below track a sample of 4 of them, with owners and due dates.

What HIPAA requires

HIPAA is the United States law that governs how protected health information is handled. The Privacy, Security, and Breach Notification Rules apply to covered entities — health plans, healthcare providers, and clearinghouses — and to the business associates that create, receive, or transmit protected health information on their behalf.

The Security Rule, at 45 CFR Part 164, divides safeguards into administrative, physical, and technical groups. The administrative group carries much of the weight: a documented risk analysis, a sanction policy, workforce training, and contingency planning. The technical group covers unique user identification, audit controls, integrity checks, and encryption of electronic protected health information in transit and at rest.

Business associate agreements are a condition of working together, not an afterthought: a vendor that touches protected health information signs one before the work starts. If unsecured information is breached, affected individuals must be notified without unreasonable delay and no later than 60 days after discovery. The documentation behind each safeguard is kept for six years from the date it was last in effect.

Evidence checklist

The sample controls tracked for this guide, in due-date order. A control marked as passing has current evidence on file; one marked as needing action has an owner and a deadline.

  • 164.308(a)(1) — Risk analysis refreshed for the current year

    Owner: Security lead · Due

    Passing
  • 164.308(a)(3) — Workforce clearance records complete

    Owner: People operations · Due

    Needs action
  • 164.312(b) — Audit controls enabled on systems holding ePHI

    Owner: Platform engineer · Due

    Passing
  • 164.308(b)(1) — Business associate agreements signed and filed

    Owner: Compliance manager · Due

    Needs action
HIPAA sample controls by status (controls)
0 1 2 HIPAA Passing Needs action

Related guides

Guides in the same family are listed first.