HIPAA Security Controls Mapping

AWS Enterprise Accelerator – Compliance:
HIPAA Regulatory Mappings for AWS Quick Start Implementation
April 2, 2021
This Quick Start supports the following frameworks:

Health Insurance Portability and Accountability Act of 1996 (HIPAA), as amended by Subtitle D of th
Technology for Economic and Clinical Health (HITECH) Act of 2009, and their implementing
This document shows which portions of this AWS Quick Start package are relevant for customer
their ability to comply with certain HIPAA regulatory requirements. The column titled "Quick S
Applicability to the Customer's HIPAA Compliance Program" describes AWS services and features co
best-practices, so that the customer can determine whether the infrastructure layer provide
architecture is helpful to the customer's HIPAA compliance program. The architecture and se
contained in this Quick Start package are only suggestions, and should not be used as a sing
compliance. HIPAA compliance programs differ from customer to customer, and each custom
customizing the architecture to align with their particular security and compliance goals.
In addition to implementation descriptions, there are columns of data that indicate which
CloudFormation template(s) and AWS Resource types within the template(s) instantiate the AW
described. Given this information, one can locate the statements within the AWS CloudFormati
there is a need to make modifications.
IMPORTANT: AWS does not provide legal or compliance advice. Customers are solely responsibl
complying with their obligations under HIPAA, the AWS Business Associate Addendum (BAA), an
laws, rules and regulations. Customers should consult with qualified legal counsel or consultants
that their use of AWS complies with HIPAA, the terms of the AWS BAA, and other applic
regulations. The information contained in this QuickStart package is not exhaustive, and must be
assessed, and approved by the customer in connection with the customer's particular securit
configurations.
Compliance:
k Start Implementation
ng frameworks:
amended by Subtitle D of the Health Information
009, and their implementing regulations
are relevant for customers when they evaluate

The column titled "Quick Start Implementation's
WS services and features configured using typical
frastructure layer provided by the Quick Start
m. The architecture and security documentation
uld not be used as a singular guide for HIPAA
ustomer, and each customer is responsible for
ompliance goals.
data that indicate which of the Quick Start

plate(s) instantiate the AWS configuration that is
thin the AWS CloudFormation templates in case
mers are solely responsible for determining and

ociate Addendum (BAA), and all other applicable
gal counsel or consultants, as needed, to ensure
WS BAA, and other applicable laws, rules, and
ot exhaustive, and must be reviewed, evaluated,
stomer's particular security features, tools, and
AWS Enterprise Accelerator - Compliance: Reference Architecture for Running HIPAA Workloads on AWS Services
HIPAA Regulatory Mappings to AWS Quick Start Implementation
IMPORTANT, PLEASE READ:
1. This QuickStart guide is intended as a reference to assist customers when using the reference architecture in the AWS HIP
2. AWS is not providing legal or compliance advice. Each customer is solely responsible for understanding and complying wi
3. Customers must accept the terms of the AWS Business Associate Addendum (BAA) and follow its configuration requireme
4. The AWS BAA can be reviewed and accepted online through AWS Artifact. For more information about the AWS BAA, ple
5. All examples provided in this guide are for illustration only. HIPAA contains a complicated set of requirements, and each
6. Customers are solely responsible for determining and complying with their obligations under HIPAA, the AWS BAA, and a
7. Customers should consult with qualified legal counsel or consultants, as needed, to ensure that their use of AWS complie
8. Due to cell size restrictions, some information may be hidden. Please click into cells to see all data contained in the cell.
Definitions used in this QuickStart guide

1. Where this QuickStart guide referes to an "entity," it means both a "covered entity" and a "business associate" (as defined u
2. "Management" refers to the appropriate privacy, security, and breach notification official(s) or person(s) designated by the
3. "Workforce members" include entity employees, on-site contractors, students, and volunteers.
4. "Information systems" include hardware, software, information, data, applications, communications, and people.
HIPAA Regulatory Citation
Name
(45 C.F.R. § xxx.xxx)
Prohibited uses
and disclosures –
Use and disclosure
§164.502(a)(5)(i) of genetic
information for
underwriting
purposes
Deceased
§164.502(f)
individuals
Personal
§164.502(g) representatives
Confidential
§164.502(h)
communications
Uses and
disclosures
§164.502(i)
consistent with
notice
Disclosures by
§164.502(j)(1)
whistleblowers
Disclosures by
workforce
§164.502(j)(2)
members who are
victims of a crime
Business associate
§164.504(e)
contracts
Requirements for
§164.504(f)
group health plans
Requirements for a
covered entity
§164.504(g)
with multiple
covered functions
§164.506(a) Permitted uses and

disclosures
Consent for uses
§§164.506(b); (b)(1); and (b)(2)
and disclosures
Authorizations for
uses and
§§164.508(a)(1-3) and §§164.508(b)(1-2) disclosures is
required
Compound
§164.508(b)(3) authorizations —
Exceptions
Prohibition on
§164.508(b)(4) conditioning of
authorizations
Uses and
Disclosures for
which an
§164.508(b)(6) and §§164.508(c)(1-4) Authorization is
Required –
Documentation
and Content
Use and Disclosure
for Facility
§§164.510(a)(1) and (a)(2) Directories;
Opportunity to
Object
Uses and
Disclosures for
§164.510(a)(3) Facility Directories
in Emergency
Circumstances
Permitted uses and
§164.510(b)(1)
disclosures
Uses and
disclosures with
§164.510(b)(2)
the individual
present
Limited uses and

disclosures when
§164.510(b)(3)
the individual is
not present
Uses and
disclosures for
§164.510(b)(4)
disaster relief
purposes
Uses and
disclosures when
§164.510(b)(5)
the individual is
deceased
Uses and
§164.512(a) disclosures
required by law
Uses and
disclosures for
§164.512(b)
public health
activities
Disclosures about
victims of abuse,
§164.512(c)
neglect or
domestic violence
Uses and
disclosures for
§164.512(d)
health oversight
activities
Disclosures for
judicial and
§164.512(e)
administrative
proceedings
Disclosures for law
§164.512(f)(1) enforcement
purposes
Disclosures for law
enforcement
§164.512(f)(2) purposes – for
identification and
location –
Disclosures for law
enforcement
§164.512(f)(3) purposes– PHI of a
possible victim of a
crime
Disclosures for law

enforcement
purposes– an
§164.512(f)(4) individual who has
died as a result of
suspected criminal
conduct
Disclosures for law

enforcement
§164.512(f)(5)
purposes: crime on
premises
Disclosures for law
§164.512(f)(6) enforcement
purposes
Uses and
§164.512(g) disclosures about
decedents
Uses and
disclosures for
§164.512(h) cadaveric organ,
eye or tissue
donation
Uses and
disclosures for
§164.512(i)(1) research purposes
— Permitted Uses
and Disclosures
Uses and
disclosures for
§164.512(i)(2) research purposes
— Documentation
of Waiver Approval
Uses and
disclosures for
specialized
§164.512(k)(1)
government
functions —
Military
Uses and
disclosures for
specialized
government
§164.512(k)(2)
functions —
National Security
and intelligence
activities
Uses and
disclosures for
specialized
§164.512(k)(3)
government
functions —
Protective Services
Uses and
disclosures for
specialized
§164.512(k)(4) government
functions —
Medical Suitability
Determinations
Uses and
disclosures for
specialized
functions –
Correctional
institutions
Uses and
disclosures for
specialized
functions –
Providing public
benefits
Disclosures for
§164.512(l) workers’
compensation
Requirements for
De-Identification of
§§164.514(b) and 164.514(c) PHI & Re-
Identification of
PHI
Standard:
Minimum
Necessary &
§§164.514(d)(1) and (d)(2)
Minimum
Necessary Uses of
PHI
Minimum
§164.514(d)(3) Necessary –
Disclosures of PHI
Minimum
Necessary requests
§164.514(d)(4)
for protected
health information
Minimum
Necessary – Other
§164.514(d)(5)
content
requirement
Limited Data Sets
§164.514(e) and Data Use
Agreements
Uses and
§164.514(f) Disclosures for
Fundraising
Uses and
Disclosures for
§164.514(g)
Underwriting and
Related Purposes
Verification
§164.514(h)
Requirements
Notice of Privacy
§§164.520(a)(1) and 164.520(b)(1)
Practices
Provisions of
§164.520(c)(1) Notice – Health
Plans
Provisions of
Notice – Certain
§164.520(c)(2)
Covered Health
Care Providers
Provision of Notice
§164.520(c)(3)
– Electronic Notice
Joint Notice by
§164.520(d) Separate Covered
Entities
§164.520(e) Documentation
Right of an
Individual to
§164.522(a)(1) Request
Restriction of Uses
and Disclosures
Terminating a
§164.522(a)(2)
Restriction
§164.522(a)(3) Documentation
Confidential
§164.522(b)(1) Communications
Requirements
§§164.524(a)(1), (b)(1), (b)(2), (c)(2), (c)(3),
Right to access
(c)(4), (d)(1), (d)(3)
§164.524(d)(2) Denial of Access
Unreviewable
§164.524(a)(2)
grounds for denial
Reviewable
§164.524(a)(3)
grounds for denial
Review of denial of
§§164.524(a)(4) and (d)(4)
access
§164.524(e) Documentation
§164.526(a)(1) Right to Amend

Denying the
§164.526(a)(2)
Amendment
Accepting the
§164.526(c)
Amendment
Denying the
§164.526(d)
Amendment
Right to an
§164.528(a) Accounting of
Disclosures of PHI
Content of the
§164.528(b)
Accounting
Provision of the
§164.528(c)
Accounting
§164.528(d) Documentation
Personnel
§164.530(a)
designations
§164.530(b) Training
§164.530(c) Safeguards
Complaints to the
§164.530(d)(1)
Covered Entity
Complaints to the
§164.530(d)(2)
Covered Entity
§164.530(e)(1) Sanctions
§164.530(f) Mitigation
Refraining from
§164.530(g) Intimidating or
Retaliatory Acts
§164.530(h) Waiver of rights

Policies and
§164.530(i)
Procedures
§164.530(j) Documentation
General
§164.306(a)
Requirements
Flexibility of
§164.306(b)
approach
Security
§164.308(a) Management
Process
Security
§164.308(a)(1)(ii)(A) Management
Process — Risk
Analysis
Security
Management
§164.308(a)(1)(ii)(B)
Process — Risk
Management
Security
Management
§164.308(a)(1)(ii)(C)
Process – Sanction
Policy
Security
Management
Process –
§164.308(a)(1)(ii)(D)
Information
System Activity
Review
Assigned Security
§164.308(a)(2)
Responsibility
§164.308(a)(3)(i) Workforce Security
Workforce security
§164.308(a)(3)(ii)(A) — Authorization
and/or Supervision
Workforce security
— Workforce
§164.308(a)(3)(ii)(B)
Clearance
Procedure
Workforce security
— Establish
§164.308(a)(3)(ii)(C)
Termination
Procedures
Information Access
§164.308(a)(4)(i)
Management
Information Access
Management —
Isolating
§164.308(a)(4)(ii)(A)
Healthcare
Clearinghouse
Functions
Information Access
Management —
§164.308(a)(4)(ii)(B)
Access
Authorization
Information Access
Management —
§164.308(a)(4)(ii)(C) Access
Establishment and
Modification
Security
§164.308(a)(5)(i) Awareness and
Training
Security
Awareness and
§164.308(a)(5)(ii)(A)
Training —
Security Reminders
Security
Awareness,
§164.308(a)(5)(ii)(B) Training, and Tools
— Protection from
Malicious Software
Security
Awareness,
§164.308(a)(5)(ii)(C) Training, and Tools
— Log-in
Monitoring
Security
Awareness,
§164.308(a)(5)(ii)(D) Training, and Tools
— Password
Management
§164.308(a)(6)(i) Security Incident

Procedures
Security Incident
Procedures —
§164.308(a)(6)(ii) Response and
Reporting
§164.308(a)(7)(i) Contingency Plan
§164.308(a)(7)(ii)(A) Contingency Plan –

Data Backup Plan
Contingency Plan –
§164.308(a)(7)(ii)(B) Disaster Recovery
Plan
Contingency Plan
— Emergency
§164.308(a)(7)(ii)(C)
Mode Operation
Plan
Contingency Plan
§164.308(a)(7)(ii)(D) — Testing and
Revision Procedure
Contingency Plan –
Application and
§164.308(a)(7)(ii)(A)
Data Criticality
Analysis
§164.308(a)(8) Evaluation
Business Associate
Contracts and
§164.308(b)(1)
Other
Arrangements
Business Associate
Contracts and
Other
§164.308(b)(3) Arrangements —
Written Contract
or Other
Arrangement
Facility Access
§164.310(a)(1)
Controls
Facility Access
Controls —
§164.310(a)(2)(i)
Contingency
Operations
Facility Access
§164.310(a)(2)(ii) Controls — Facility
Security Plan
Facility Access
Controls — Access
§164.310(a)(2)(iii) Control and
Validation
Procedures
Facility Access
Controls —
§164.310(a)(2)(iv) Maintain
Maintenance
Records
§164.310(b) Workstation Use
Workstation
§164.310(c)
Security
§164.310(d)(1) Device and Media

Controls
Device and Media

§164.310(d)(2)(i) Controls —
Disposal
Device and Media

§164.310(d)(2)(ii) Controls — Media
Re-use
Device and Media
§164.310(d)(2)(iii) Controls —
Accountability
Device and Media

Controls — Data
§164.310(d)(2)(iv) Backup and
Storage
Procedures
§164.312(a)(1) Access Control
Access Control —
§164.312(a)(2)(i) Unique User
Identification
Access Control —
§164.312(a)(2)(ii) Emergency Access
Procedure
Access Control —
§164.312(a)(2)(iii)
Automatic Logoff
Access Control —
§164.312(a)(2)(iv) Encryption and
Decryption
§164.312(b) Audit Controls

§164.312(c)(1) Integrity
Integrity —
§164.312(c)(2) Mechanism to
Authenticate ePHI
Person or Entity
§164.312(d)
Authentication
§164.312(e)(1) Transmission
Transmission
§164.312(e)(2)(i) Security —
Integrity Controls
Transmission
§164.312(e)(2)(ii) Security –
Encryption
Business Associate
§164.314(a)(1) Contracts or Other
Arrangements
Business associate
§164.314(a)(2)(i)(A)
contracts
§164.314(a)(2)(i)(B) Business associate

contracts.
Business associate
§164.314(a)(2)(i)(C)
contracts.
Other
§164.314(a)(2)(ii)
Arrangements
Business associate
§164.314(a)(2)(iii) contracts with
subcontractors
Requirements for
§164.314(b)(1)
Group Health Plans
Group Heath Plan

§164.314(b)(2)(i) Implementation
Specification
Group Heath Plan
§164.314(b)(2)(ii) Implementation
Specification
Group Heath Plan

§164.314(b)(2)(iii) Implementation
Specification
Group Heath Plan

§164.314(b)(2)(iv) Implementation
Specification
Policies and
§164.316(a)
Procedures
§164.316(b)(1) Documentation
Documentation –
§164.316(b)(2)(i) Time Limit
Documentation-
§164.316(b)(2)(ii)
Availability
Documentation –
§164.316(b)(2)(iii)
Updates
Administrative
§164.414(a) Requirements
Definitions: Breach
§164.402
– Risk Assessment
Definitions: Breach
§164.402 – exceptions
(unsecured PHI)
Notice to
§164.404(a)
Individuals
Timeliness of
§164.404(b)
Notification
Content of
§164.404(c)(1)
Notification
Methods of
§164.404(d)
Notification
Notification to the
§164.406
Media
Notification to the
§164.408
Secretary
Notification by a
§164.410
Business Associate
Law Enforcement
§164.412
Delay
§164.414(b) Burden of Proof

Architecture for Running HIPAA Workloads on AWS Services
k Start Implementation
assist customers when using the reference architecture in the AWS HIPAA QuickStart implementation. It is provided for informational
ach customer is solely responsible for understanding and complying with their own legal and compliance obligations.
ness Associate Addendum (BAA) and follow its configuration requirements before using AWS Services in connection with protected hea
e through AWS Artifact. For more information about the AWS BAA, please visit https://aws.amazon.com/compliance/hipaa-complianc
tion only. HIPAA contains a complicated set of requirements, and each customer's obligations and compliance requirements under HIP
and complying with their obligations under HIPAA, the AWS BAA, and all other applicable laws, rules and regulations.
nsel or consultants, as needed, to ensure that their use of AWS complies with HIPAA, the terms of the AWS BAA, and other applicable la
y be hidden. Please click into cells to see all data contained in the cell.
it means both a "covered entity" and a "business associate" (as defined under HIPAA), unless otherwise identified as one or the other.
ecurity, and breach notification official(s) or person(s) designated by the covered entity or business associate for the implementation of po
n-site contractors, students, and volunteers.
information, data, applications, communications, and people.
HIPAA Regulation Text HIPAA Rule Category
Use and disclosure of genetic information for

underwriting purposes: Notwithstanding any
other provision of this subpart, a health plan,
excluding an issuer of a long-term care policy
falling within paragraph (1)(viii) of the definition
of health plan, shall not use or disclose
protected health information that is genetic
information for underwriting purposes. For
purposes of paragraph (a)(5)(i) of this section,
underwriting purposes means, with respect to a
health plan: (A) Except as provided in paragraph
(a)(5)(i)(B) of this section: (1) Rules for, or
determination of, eligibility (including enrollment
and continued eligibility) for, or determination
of, benefits under the plan, coverage, or policy
(including changes in deductibles or other cost-
sharing mechanisms in return for activities such
as completing a health risk assessment or
participating in a wellness program); (2) The Privacy Rule
computation of premium or contribution
amounts under the plan, coverage, or policy
(including discounts, rebates, payments in kind,
or other premium differential mechanisms in
return for activities such as completing a health
risk assessment or participating in a wellness
program); (3) The application of any pre-existing
condition exclusion under the plan, coverage, or
policy; and (4) Other activities related to the
creation, renewal, or replacement of a contract
of health insurance or health benefits.
(B) Underwriting purposes
does not include determinations of medical
appropriateness where an individual seeks a
benefit under the plan, coverage, or policy.
From §160.103 Definitions.

Genetic information means:
Standard: Deceased individuals: A covered entity
must comply with the requirements of this
subpart with respect to the protected health
information of a deceased individual for a period
of 50 years following the death of the individual.
From §160.103 (Definitions):

Protected health information
means individually identifiable health
information: (1) Except as provided in paragraph
(2) of this definition,[...] Privacy Rule
(2) Protected health
information excludes individually identifiable
health information: [...] (iv) Regarding a person
who has been deceased for more than 50 years.
Standard: Personal representatives. As specified

in this paragraph, a covered entity must, except
as provided in paragraphs (g)(3) and (g)(5) of this
section, treat a personal representative as the
individual for purposes of this subchapter.
§164.502(g)(2)
Implementation specification: adults and
emancipated minors: If under applicable law a
person has authority to act on behalf of an
individual who is an adult or an emancipated
minor in making decisions related to health care,
a covered entity must treat such person as a
personal representative under this subchapter,
with respect to protected health information
relevant to such personal representation.
§164.502(g)(3)(i)
Implementation specification: unemancipated Privacy Rule
minors: If under applicable law a parent,
guardian, or other person acting in loco parentis
has authority to act on behalf of an individual
who is an unemancipated minor in making
decisions related to health care, a covered entity
must treat such person as a personal
representative under this subchapter, with
respect to protected health information relevant
to such personal representation, except that
such person may not be a personal
representative of an unemancipated minor, and
the minor has the authority to act as an
individual, with respect to protected health
information pertaining to a health care service,
if:
(A) The minor consents to
such health care service; no other consent to
such health care service is required by law,
Standard: Confidential communications: A
covered health care provider or health plan must
comply with the applicable requirements of
§164.522(b) in communicating protected health
information.
§164.522(b)(1) Standard:
Confidential communications requirements: (i) A
covered health care provider must permit
individuals to request and must accommodate
reasonable requests by individuals to receive
communications of protected health information
from the covered health care provider by
alternative means or at alternative locations. (ii)
A health plan must permit individuals to request
and must accommodate reasonable requests by
individuals to receive communications of
protected health information from the health
plan by alternative means or at alternative
locations, if the individual clearly states that the Privacy Rule
disclosure of all or part of that information could
endanger the individual.
§164.522(b)(2)
Implementation specifications: Conditions on
providing confidential communications: (i) A
covered entity may require the individual to
make a request for a confidential
communication described in paragraph (b)(1) of
this section in writing. (ii) A covered entity may
condition the provision of a reasonable
accommodation on: (A) When appropriate,
information as to how payment, if any, will be
handled; and (B) Specification of an alternative
address or other method of contact. (iii) A
covered health care provider may not require an
explanation from the individual as to the basis
for the request as a condition of providing
Standard: Uses and disclosures consistent with
notice: A covered entity that is required by
§164.520 to have a notice may not use or
disclose protected health information in a
manner inconsistent with such notice. A covered
entity that is required by §164.520(b)(1)(iii) to
include a specific statement in its notice if it
intends to engage in an activity listed in
Privacy Rule
§164.520(b)(1)(iii)(A)-(C), may not use or disclose
protected health information for such activities,
unless the required statement is included in the
notice.
Disclosures by whistleblowers: A covered entity
is not considered to have violated the
requirements of this subpart if a member of its
workforce or a business associate discloses
protected health information, provided that:
(i) The workforce member or
business associate believes in good faith that the
covered entity has engaged in conduct that is
unlawful or otherwise violates professional or
clinical standards, or that the care, services, or
conditions provided by the covered entity
potentially endangers one or more patients,
workers, or the public; and
(ii) The disclosure is to:
(A) A health oversight agency
or public health authority authorized by law to
investigate or otherwise oversee the relevant
conduct or conditions of the covered entity or to
an appropriate health care accreditation Privacy Rule
organization for the purpose of reporting the
allegation of failure to meet professional
standards or misconduct by the covered entity;
or
(B) An attorney retained by or
on behalf of the workforce member or business
associate for the purpose of determining the
legal options of the workforce member or
business associate with regard to the conduct
described in paragraph (j)(1)(i) of this section.
Disclosures by workforce members who are

victims of a crime: A covered entity is not
considered to have violated the requirements of
this subpart if a member of its workforce who is
the victim of a criminal act discloses protected
health information to a law enforcement official,
provided that:
(i) The protected health
information disclosed is about the suspected Privacy Rule
perpetrator of the criminal act; and
(ii) The protected health
information disclosed is limited to the
information listed in §164.512(f)(2)(i).
Standard: Business associate contracts.
(i) The contract or other
arrangement required by §164.502(e)(2) must
meet the requirements of paragraph (e)(2), (e)
(3), or (e)(5) of this section, as applicable.
(ii) A covered entity is not in
compliance with the standards in §164.502(e)
and this paragraph, if the covered entity knew of
a pattern of activity or practice of the business
associate that constituted a material breach or
violation of the business associates
obligation under the contract or other
arrangement, unless the covered entity took
reasonable steps to cure the breach or end the
violation, as applicable, and, if such steps were
unsuccessful, terminated the contract or
arrangement, if feasible.
(iii) A business associate is not
in compliance with the standards in §164.502(e) Privacy Rule
and this paragraph, if the business associate
knew of a pattern of activity or practice of a
subcontractor that constituted a material breach
or violation of the subcontractors obligation
under the contract or other arrangement, unless
the business associate took reasonable steps to
cure the breach or end the violation, as
applicable, and, if such steps were unsuccessful,
terminated the contract or arrangement, if
feasible.
(2) Implementation
specifications: Business associate contracts. A
contract between the covered entity and a
business associate must:
(i) Establish the permitted and
required uses and disclosures of protected
health information by the business associate.
Standard: Requirements for group health plans.
(i) Except as provided under
paragraph (f)(1)(ii) or (iii) of this section or as
otherwise authorized under §164.508, a group
health plan, in order to disclose protected health
information to the plan sponsor or to provide for
or permit the disclosure of protected health
information to the plan sponsor by a health
insurance issuer or HMO with respect to the
group health plan, must ensure that the plan
documents restrict uses and disclosures of such
information by the plan sponsor consistent with
the requirements of this subpart. (ii) Except as
prohibited by §164.502(a)(5)(i), the group health
plan, or a health insurance issuer or HMO with
respect to the group health plan, may disclose
summary health information to the plan
sponsor, if the plan sponsor requests the
summary health information for purposes of: (A) Privacy Rule
Obtaining premium bids from health plans for
providing health insurance coverage under the
group health plan; or (B) Modifying, amending,
or terminating the group health plan. (iii) The
group health plan, or a health insurance issuer or
HMO with respect to the group health plan, may
disclose to the plan sponsor information on
whether the individual is participating in the
group health plan, or is enrolled in or has
disenrolled from a health insurance issuer or
HMO offered by the plan. (2) Implementation
specifications: Requirements for plan
documents. The plan documents of the group
health plan must be amended to incorporate
provisions to: (i) Establish the permitted and
required uses and disclosures of such
information by the plan sponsor, provided that
such permitted and required uses and
Requirements for a covered entity with multiple
covered functions. (1) A covered entity that
performs multiple covered functions that would
make the entity any combination of a health
plan, a covered health care provider, and a
health care clearinghouse, must comply with the
standards, requirements, and implementation
specifications of this subpart, as applicable to
the health plan, health care provider, or health
care clearinghouse covered functions
performed. (2 )A covered entity that performs
multiple covered functions may use or disclose
the protected health information of individuals Privacy Rule
who receive the covered entity's health plan or
health care provider services, but not both, only
for the purposes related to the appropriate
function being performed.
Uses and disclosures to carry out treatment,

payment, or health care operations. Except with
respect to uses or disclosures that require an
authorization under §164.508(a)(2) through (4)
or that are prohibited under §164.502(a)(5)(i), a
covered entity may use or disclose protected
health information for treatment, payment, or
health care operations as set forth in paragraph
(c) of this section, provided that such use or Privacy Rule
disclosure is consistent with other applicable
requirements of this subpart.
Standard: Consent for uses and disclosures
permitted.
§164.506(b)(1) A covered
entity may obtain consent of the individual to
use or disclose protected health information to
carry out treatment, payment, or health care
operations.
§164.506(b)(2) Consent, under

paragraph (b) of this section, shall not be
effective to permit a use or disclosure of Privacy Rule
protected health information when an
authorization, under §164.508, is required or
when another condition must be met for such
use or disclosure to be permissible under this
subpart.
Authorization required: General rule.

Except as otherwise permitted
or required by this subchapter, a covered entity
may not use or disclose protected health
information without an authorization that is
valid under this section. When a covered entity
obtains or receives a valid authorization for its
use or disclosure of protected health
information, such use or disclosure must be
consistent with such authorization.
§164.508(a)(2) Authorization
required: Psychotherapy notes.
(i) Notwithstanding any
provision of this subpart, other than the
transition provisions in §164.532, a covered
entity must obtain an authorization for any use
or disclosure of psychotherapy notes, except:
(i) To carry out the following Privacy Rule
treatment, payment, or health care operations:
(A) Use by the originator of
the psychotherapy notes for treatment;
(B) Use or disclosure by the
covered entity for its own training programs in
which students, trainees, or practitioners in
mental health learn under supervision to
practice or improve their skills in group, joint,
family, or individual counseling; or
(C) Use or disclosure by the
covered entity to defend itself in a legal action or
other proceeding brought by the individual; and
(ii) A use or disclosure that is
required by §164.502(a)(2)(ii) or permitted by
§164.512(a); §164.512(d) with respect to the
oversight of the originator of the psychotherapy
notes; §164.512(g)(1); or §164.512(j)(1)(i).
Compound authorizations. An authorization for
use or disclosure of protected health information
may not be combined with any other document
to create a compound authorization, except as
follows:
(i) An authorization for the use
or disclosure of protected health information for
a research study may be combined with any
other type of written permission for the same or
another research study. This exception includes
combining an authorization for the use or
disclosure of protected health information for a
research study with another authorization for
the same research study, with an authorization
for the creation or maintenance of a research
database or repository, or with consent to
participate in research. Where a covered health
care provider has conditioned the provision of
research-related treatment on the provision of Privacy Rule
one of the authorizations, as permitted under
paragraph (b)(4)(i) of this section, any compound
authorization created under this paragraph must
clearly differentiate between the conditioned
and unconditioned components and provide the
individual with an opportunity to opt in to the
research activities described in the
unconditioned authorization.
(ii) An authorization for a use
or disclosure of psychotherapy notes may only
be combined with another authorization for a
use or disclosure of psychotherapy notes.
(iii) An authorization under
this section, other than an authorization for a
use or disclosure of psychotherapy notes, may
be combined with any other such authorization
under this section, except when a covered entity
has conditioned the provision of treatment,
Prohibition on conditioning of authorizations. A
covered entity may not condition the provision
to an individual of treatment, payment,
enrollment in the health plan, or eligibility for
benefits on the provision of an authorization,
except:
(i) A covered health care
provider may condition the provision of
research-related treatment on provision of an
authorization for the use or disclosure of
protected health information for such research
under this section;
(ii) A health plan may
condition enrollment in the health plan or
eligibility for benefits on provision of an
authorization requested by the health plan prior
to an individual's enrollment in the health plan,
if:
(A) The authorization sought is Privacy Rule
for the health plan's eligibility or enrollment
determinations relating to the individual or for
its underwriting or risk rating determinations;
and
(B) The authorization is not for
a use or disclosure of psychotherapy notes under
paragraph (a)(2) of this section; and
(iii) A covered entity may
condition the provision of health care that is
solely for the purpose of creating protected
health information for disclosure to a third party
on provision of an authorization for the
disclosure of the protected health information to
such third party.
Documentation. A covered entity must
document and retain any signed authorization
under this section as required by §164.530(j).
§164.508(c) Implementation
specifications: Core elements and requirements.
(1) Core elements. A valid authorization under
this section must contain at least the following
elements:
(i) A description of the
information to be used or disclosed that
identifies the information in a specific and
meaningful fashion.
(ii) The name or other specific
identification of the person(s), or class of
persons, authorized to make the requested use
or disclosure.
(iii) The name or other specific
identification of the person(s), or class of Privacy Rule
persons, to whom the covered entity may make
the requested use or disclosure.
(iv) A description of each
purpose of the requested use or disclosure. The
statement at the request of the individual
is a sufficient description of the purpose when
an individual initiates the authorization and does
not, or elects not to, provide a statement of the
purpose.
(v) An expiration date or an
expiration event that relates to the individual or
the purpose of the use or disclosure. The
statement end of the research study,
none, or similar language is sufficient if
the authorization is for a use or disclosure of
protected health information for research,
including for the creation and maintenance of a
research database or research repository.
Standard: Use and disclosure for facility
directories. (1) Permitted uses and disclosure.
Except when an objection is expressed in
accordance with paragraph (a)(2) or (3) of this
section, a covered health care provider may:
(i) Use the following protected
health information to maintain a directory of
individuals in its facility:
(A) The individual's name;
(B) The individual's location in
the covered health care provider's facility;
(C) The individual's condition
described in general terms that does not
communicate specific medical information about
the individual; and
(D) The individual's religious
affiliation; and
(ii) Use or disclose for
directory purposes such information: Privacy Rule
(A) To member of the clergy;
or
(B) Except for religious
affiliation, to other persons who ask for the
individual by name.
(2) Opportunity to object. A
covered health care provider must inform an
individual of the protected health information
that it may include in a directory and the persons
to whom it may disclose such information
(including disclosures to clergy of information
regarding religious affiliation) and provide the
individual with the opportunity to restrict or
prohibit some or all of the uses or disclosures
permitted by paragraph (a)(1) of this section.
Emergency circumstances. (i) If the opportunity
to object to uses or disclosures required by
paragraph (a)(2) of this section cannot
practicably be provided because of the
individual's incapacity or an emergency
treatment circumstance, a covered health care
provider may use or disclose some or all of the
protected health information permitted by
paragraph (a)(1) of this section for the facility's
directory, if such disclosure is: (A) Consistent
with a prior expressed preference of the
individual, if any, that is known to the covered
health care provider; and (B) In the individual's
best interest as determined by the covered
health care provider, in the exercise of Privacy Rule
professional judgment. (ii) The covered health
care provider must inform the individual and
provide an opportunity to object to uses or
disclosures for directory purposes as required by
paragraph (a)(2) of this section when it becomes
practicable to do so.
Standard: Uses and disclosures for involvement
in the individual's care and notification purposes
(1) Permitted uses and
disclosures. (i) A covered entity may, in
accordance with paragraphs (b)(2), (b)(3), or (b)
(5) of this section, disclose to a family member,
other relative, or a close personal friend of the
individual, or any other person identified by the
individual, the protected health information
directly relevant to such person s
involvement with the individual's health care
or payment related to the individual s health
care.
(ii) A covered entity may use
or disclose protected health information to
notify, or assist in the notification of (including
identifying or locating), a family member, a
personal representative of the individual, or
another person responsible for the care of the Privacy Rule
individual of the individual's location, general
condition, or death. Any such use or disclosure
of protected health information for such
notification purposes must be in accordance
with paragraphs (b)(2), (b)(3), (b)(4), or (b)(5) of
this section, as applicable.
(2) Uses and disclosures with
the individual present. If the individual is present
for, or otherwise available prior to, a use or
disclosure permitted by paragraph (b)(1) of this
section and has the capacity to make health care
decisions, the covered entity may use or disclose
the protected health information if it:
(i) Obtains the individual's
agreement;
(ii) Provides the individual with
the opportunity to object to the disclosure, and
the individual does not express an objection; or Privacy Rule
(iii) Reasonably infers from the
circumstances, based on the exercise of
professional judgment, that the individual does
not object to the disclosure.
Limited uses and disclosures when the individual

is not present. If the individual is not present, or
the opportunity to agree or object to the use or
disclosure cannot practicably be provided
because of the individual's incapacity or an
emergency circumstance, the covered entity
may, in the exercise of professional judgment,
determine whether the disclosure is in the best
interests of the individual and, if so, disclose only
the protected health information that is directly
relevant to the persons involvement with the
individual's care or payment related to the
individual'`s health care or needed for
notification purposes. A covered entity may use
professional judgment and its experience with
common practice to make reasonable inferences Privacy Rule
of the individual's best interest in allowing a
person to act on behalf of the individual to pick
up filled prescription, medical supplies, X-rays, or
other similar forms of protected health
information.
(4) Uses and disclosures for
disaster relief purposes. A covered entity may
use or disclose protected health information to a
public or private entity authorized by law or by
its charter to assist in disaster relief efforts, for
the purpose of coordinating with such entities
the uses or disclosures permitted by paragraph
(b)(1)(ii) of this section. The requirements in
paragraphs (b)(2), (b)(3) or (b)(5) of this section
apply to such uses and disclosures to the extent
that the covered entity, in the exercise of Privacy Rule
professional judgment, determines that the
requirements do not interfere with the ability to
respond to the emergency circumstances.

(5) Uses and disclosures when the individual is
deceased. If the individual is deceased, a
covered entity may disclose to a family member,
or other persons identified in paragraph (b)(1) of
this section who were involved in the
individuals care or payment for health care
prior to the individuals death, protected
health information of the individual that is
relevant to such persons involvement, unless Privacy Rule
doing so is inconsistent with any prior expressed
preference of the individual that is known to the
covered entity.
A covered entity may use or disclose protected

health information to the extent that such use or
disclosure is required by law and the use or
disclosure complies and is limited to the relevant
requirements of such law.
§164.512(a)(2) - A covered
entity must meet the requirements described in Privacy Rule
paragraph (c), (e), or (f) of this section for uses or
disclosures required by law.
Standard: Uses and disclosures for public health
activities.
(1) Permitted uses and
disclosures. A covered entity may use or disclose
protected health information for the public
health activities and purposes described in this
paragraph to:
(i) A public health authority
that is authorized by law to collect or receive
such information for the purpose of preventing
or controlling disease, injury, or disability,
including, but not limited to, the reporting of
disease, injury, vital events such as birth or
death, and the conduct of public health
surveillance, public health investigations, and
public health interventions; or, at the direction
of a public health authority, to an official of a
foreign government agency that is acting in
collaboration with a public health authority; Privacy Rule
(ii) A public health authority or
other appropriate government authority
authorized by law to receive reports of child
abuse or neglect.
(iii) A person subject to the
jurisdiction of the Food and Drug Administration
(FDA) with respect to an FDA-regulated products
or activity for which that person has
responsibility, for the purpose of activities
related to the quality, safety or effectiveness of
such FDA-regulated product or activity. Such
purposes include:
(A) To collect or report
adverse events (or similar activities with respect
to food or dietary supplements), product defects
or problems (including problems with the use or
labeling of a product), or biological product
deviations; (B) To track FDA-regulated products;
Standard: Disclosures about victims of abuse,
neglect or domestic violence
(1) Permitted disclosures.
Except for reports of child abuse or neglect
permitted by paragraph (b)(1)(ii) of this section,
a covered entity may disclose protected health
information about an individual whom the
covered entity reasonably believes to be a victim
of abuse, neglect, or domestic violence to a
government authority, including a social service
or protective services agency, authorized by law
to receive reports of such abuse, neglect, or
domestic violence: (i) To the extent the
disclosure is required by law and the disclosure
complies with and is limited to the relevant
requirements of such law; (ii) If the individual
agrees to the disclosure; or (iii) To the extent the
disclosure is expressly authorized by statute or
regulation and: (A) The covered entity, in the Privacy Rule
exercise of professional judgment, believes the
disclosure is necessary to prevent serious harm
to the individual or other potential victims; or (B)
If the individual is unable to agree because of
incapacity, a law enforcement or other public
official authorized to receive the report
represents that the protected health information
for which disclosure is sought is not intended to
be used against the individual and that an
immediate enforcement activity that depends
upon the disclosure would be materially and
adversely affected by waiting until the individual
is able to agree to the disclosure.
§164.512(c)(2) Informing the

individual. A covered entity that makes a
disclosure permitted by paragraph (c)(1) of this
section must promptly inform the individual that
Standard: Uses and disclosures for health
oversight activities
(1) Permitted disclosures. A
covered entity may disclose protected health
information to a health oversight agency for
oversight activities authorized by law, including
audits; civil, administrative, or criminal
investigations; inspections; licensure or
disciplinary actions; civil, administrative, or
criminal proceedings or actions; or other
activities necessary for appropriate oversight of:
(i) The health care system;
(ii) Government benefit
programs for which health information is
relevant to beneficiary eligibility;
(iii) Entities subject to
government regulatory programs for which
health information is necessary for determining
compliance with program standards; or Privacy Rule
(iv) Entities subject to civil
rights laws for which health information is
necessary for determining compliance.
§164.512(d)(2) Exception to
health oversight activities. For the purpose of
the disclosures permitted by paragraph (d)(1) of
this section, a health oversight activity does not
include an investigation or other activity in which
the individual is the subject of the investigation
or activity and such investigation or other
activity does not arise out of and is not directly
related to:
(i) The receipts of health care;
(ii) A claim for public benefits
related to health; or
(iii) Qualification for, or receipt
of, public benefits or services when a patient's
Permitted disclosures. A covered entity may
disclose protected health information in the
course of any judicial or administrative
proceeding:
(i) In response to an order of a
court or administrative tribunal, provided that
the covered entity discloses only the protected
health information expressly authorized by such
order; or
(ii) In response to a subpoena,
discovery request, or other lawful process, that
is not accompanied by an order of a court or
administrative tribunal, if:
(A) The covered entity receives
satisfactory assurance, as described in paragraph
(e)(1)(iii) of this section, from the party seeking
the information that reasonable efforts have
been made by such party of the protected health
information that has been requested has been Privacy Rule
given notice of the request; or
(B) The covered entity receives
satisfactory assurance, as described in paragraph
(e)(1)(iv) of this section, from the party seeking
the information that reasonable efforts have
been made by such party to secure a qualified
protective order that meets the requirements of
paragraph (e)(1)(v) of this section.
(iii) For the purposes of
paragraph (e)(1)(ii)(A) of this section, a covered
entity receives satisfactory assurances from a
party seeking protected health information if the
covered entity receives from such party a written
statement and accompanying documentation
demonstrating that:
(A) The party requesting such
information has made a good faith attempts to
provide written notice to the individual (or, if the
Standard: Disclosures for law enforcement
purposes. A covered entity may disclose
protected health information for a law
enforcement purpose to a law enforcement
official if the conditions in paragraphs (f)(1)
through (f)(6) of this section are met, as
applicable.
(1) Permitted disclosures:
Pursuant to process and as otherwise required
by law. A covered entity may disclose protected
health information:
(i) As required by law including
laws that require the reporting of certain types
of wounds or other physical injuries, except for
laws subject to paragraph (b)(1)(ii) or (c)(1)(i) of
this section; or
(ii) In compliance with and as
limited by the relevant requirements of:
(A) A court order or court- Privacy Rule
ordered warrant, or a subpoena or summons
issued by a judicial officer;
(B) A grand jury subpoena; or
(C) An administrative request,
including an administrative subpoena or
summons, a civil or an authorized investigative
demands, or similar process authorized under
law, provided that:
(1) The information sought is
relevant and material to a legitimate law
enforcement inquiry;
(2) The request is specific and
limited in scope to the extent reasonably
practicable in light of the purpose for which the
information is sought; and
(3) De-identified information
could not reasonably be used.
Permitted disclosures: Limited information for
identification and location purposes. Except for
disclosures required by law as permitted by
paragraph (f)(1) of this section, a covered entity
may disclose protected health information in
response to a law enforcement official's request
for such information for the purpose of
identifying or locating a suspect, fugitive,
material witness, or missing person, provided
that:
(i) The covered entity may
disclose only the following information:
(A) Name and address;
(B) Date and place of birth;
(C) Social security number;
(D) ABO blood type and rh
factor;
(E) Type of injury;
(F) Date and time of Privacy Rule
treatment;
(G) Date and time of death, if
applicable; and
(H) A description of
distinguishing physical characteristics, including
height, weight, gender, race, hair and eye color,
presence or absence of facial hair (beard or
moustache), scars, and tattoos.
(ii) Except as permitted by
paragraph (f)(2)(i) of this section, the covered
entity may not disclose for the purpose of
identification or location under paragraph (f)(2)
of this section any protected health information
related to the individual's DNA or DNA analysis,
dental records, or typing, samples or analysis of
blood fluids or tissue.
Permitted disclosure: Victims of a crime. Except
for disclosures required by law as permitted by
paragraph (f)(1) of this section, a covered entity
may disclose protected health information in
response to a law enforcement official's request
for such information about an individual who is
or is suspected to be a victim of a crime, other
than disclosures that are subject to paragraph
(b) or (c) of this section, if:
(i) The individual agrees to the
disclosure; or
(ii) The covered entity is
unable to obtain the individual's agreement
because of incapacity or other emergency
circumstance, provided that:
(A) The law enforcement
official represents that such information is
needed to determine whether a violation of law
by a person other than the victim has occurred, Privacy Rule
and such information is not intended to be used
against the victim;
(B) The law enforcement
official represents that immediate law
enforcement activity that depends upon the
disclosure would be materially and adversely
affected by waiting until the individual is able to
agree to the disclosure; and
(C) The disclosure is in the best
interest of the individual as determined by the
covered entity, in the exercise of professional
judgment.
Permitted disclosure: Decedents. A covered

entity may disclose protected health information
about an individual who has died to a law
enforcement official for the purpose of alerting
law enforcement of the death of the individual if
the covered entity has a suspicious that such Privacy Rule
death may have resulted from criminal conduct.
Permitted disclosure: Crime on premises. A

covered entity may disclose to a law
enforcement official protected health
information that the covered entity believes in
good faith constitutes evidence of criminal Privacy Rule
conduct that occurred on the premises of the
covered entity.
Permitted disclosure: Reporting crime in
emergencies.
provider providing emergency health care in
response to a medical emergency, other than
such emergency on the premises of the covered
health care provider, may disclose protected
health information to a law enforcement official
if such disclosure appears necessary to alert law
enforcement to: (A) The commission and nature
of a crime; (B) The location of such crime or of
the victim(s) of such crime; and (C) The identity,
description, and location of the perpetrator of
such crime.
(ii) If a covered health care
provider believes that the medical emergency
described in paragraph (f)(6)(i) of this section is Privacy Rule
the result of abuse, neglect, or domestic violence
of the individual in need of emergency health
care, paragraph (f)(6)(i) of this section does not
apply and any disclosure to a law enforcement
official for law enforcement purposes is subject
to paragraph (c) of this section.
Standard: Uses and disclosures about decedents.
(1) Coroners and medical
examiners. A covered entity may disclose
protected health information to a coroner or
medical examiner for the purpose of identifying
a deceased person, determining a cause of
death, or other duties as authorized by law. A
covered entity that also performs the duties of a
coroner or medical examiner may use protected
health information for the purposes described in
this paragraph.
§164.512(g)(2) Funeral
directors. A covered entity may disclose
protected health information to funeral
directors, consistent with applicable law, as Privacy Rule
necessary to carry out their duties with respect
to the decedent. If necessary for funeral
directors to carry out their duties, the covered
entity may disclose the protected health
information prior to, and in reasonable
anticipation of, the individual's death.
Standard: Uses and disclosures for cadaveric

organ, eye or tissue donation purposes. A
health information to organ procurement
organizations or other entities engaged in the
procurement, banking, or transplantation of Privacy Rule
cadaveric organs, eyes, or tissue for the purpose
of facilitating organ, eye or tissue donation and
transplantation.
Standard: Uses and disclosures for research
purposes (1) Permitted uses and disclosures. A
health information for research, regardless of
the source of funding of the research, provided
that:
(i) Board approval of a waiver
of authorization. The covered entity obtains
documentation that an alteration to or waiver, in
whole or in part, of the individual authorization
required by §164.508 for use or disclosure of
protected health information has been approved
by either:
(A) An Institutional Review
Board (IRB), established in accordance with7 CFR
1c.107, 10 CFR 745.107, 14 CFR 1230.107, 15
CFR 27.107, 16 CFR 1028.107, 21 CFR 56.107, 22
CFR 225.107, 24 CFR 60.107, 28 CFR 46.107, 32
CFR 219.107, 34 CFR 97.107, 38 CFR 16.107, 40 Privacy Rule
CFR 26.107, 45 CFR 46.107, 45 CFR 690.107, or
49 CFR 11.107; or
(B) A privacy board that:
(1) Has members with varying
backgrounds and appropriate professional
competency as necessary to review the effect of
the research protocol on the individual's privacy
rights and related interests;
(2) Includes at least one
member who is not affiliated with the covered
entity, not affiliated with any entity conducting
or sponsoring the research, and not related to
any person who is affiliated with any of such
entities; and
(3) Does not have any member
participating in a review of any project in which
the member has a conflict of interest.
(ii) Reviews preparatory to
Standard: Uses and disclosures for research
purposes (2) Documentation of waiver approval.
For a use or disclosure to be permitted based on
documentation of approval of an alteration or
waiver, under paragraph (i)(1)(i) of this section,
the documentation must include all of the
following:
(i) Identification of IRB or date
of action - A statement identifying the
institutional review board or privacy board and
the date on which the alteration or waiver of
authorization was approved;
(ii) Waiver criteria - A
statement that the institutional review board or
privacy board has determined that the alteration
or waiver, in whole or in part, of authorization
satisfies the following criteria:
(A) The use or disclosure of
protected health information involves no more Privacy Rule
than a minimal risk to the privacy of individuals,
based on, at least, the presence of the following
elements;
(1) An adequate plan to
protect the Identifiers from improper use and
disclosure;
(2) An adequate plan to
destroy the identifiers at the earliest opportunity
consistent with conduct of the research, unless
there is a health or research justification for
retaining the identifiers or such retention is
otherwise required by law; and
(3) Adequate written
assurances that the protected health
information will not be reused or disclosed to
any other person or entity, except as required by
law, for authorized oversight of the research
study, or for other research for which the use or
Standard: Uses and disclosures for specialized
government functions.
(1) Military and veterans
activities
(i) Armed Forces personnel. A
covered entity may use or disclose the protected
health information of individuals who are Armed
Forces personnel for activities deemed necessary
by appropriate military command authorities to
assure the proper execution of the military
mission, if the appropriate military authority has
published by notice in the Federal Register the
following information:
(A) Appropriate military
command authorities; and
(B) The purposes for which the
protected health information may be used or
disclosed.
(ii) Separation or discharge Privacy Rule
from military service. A covered entity that is a
component of the Departments of Defense or
Homeland Security may disclose to the
Department of Veterans Affairs (DVA) the
protected health information of an individual
who is a member of the Armed Forces upon the
separation or discharge of the individual from
military service for the purpose of a
determination by DVA of the individual s
eligibility for or entitlement to benefits under
laws administered by the Secretary of Veterans
Affairs.
(iii) Veterans. A covered entity
that is a component of the Department of
Veterans Affairs may use and disclose protected
health information to components of the
Department that determine eligibility for or
entitlement to, or that provide, benefits under
National security and intelligence activities. A
covered entity may disclose protected health
information to authorized federal officials for the
conduct of lawful intelligence, counter-
intelligence, and other national security activities
authorized by the National Security Act (50 Privacy Rule
U.S.C. 401, et seq.) and implementing authority
(e.g., Executive Order 12333).
Protective services for the President and others.
A covered entity may disclose protected health
information to authorized Federal officials for
the provision of protective services to the
President or other persons authorized by 18
U.S.C. 3056 or to foreign heads of state or other
persons authorized by 22 U.S.C. 2709(a)(3), or Privacy Rule
for the conduct of investigations authorized by
18 U.S.C. 871 and 879.
Medical suitability determinations.- A covered

entity that is a component of the Department of
State may use protected health information to
make medical suitability determinations and
may disclose whether or not the individual was
determined to be medically suitable to the
officials in the Department of State who need
access to such information for the following
purposes:
(i) For the purpose of a
required security clearance conducted pursuant
to Executive Orders 10450 and 12698;
(ii) As necessary to determine
worldwide availability or availability for
mandatory service abroad under sections 101(a) Privacy Rule
(4) and 504 of the Foreign Service Act; or
(iii) For a family to accompany
a Foreign Service member abroad, consistent
with section 101(b)(5) and 904 of the Foreign
Service Act.
Correctional institutions and other law
enforcement custodial situations.
(i) Permitted disclosures. A
covered entity may disclose to a correctional
institution or a law enforcement official having
lawful custody of an inmate or other individual
protected health information about such inmate
or individual, if the correctional institution or
such law enforcement official represents that
such protected health information is necessary
for: (A) The provision of health care to such
individuals; (B) The health and safety of such
individual or other inmates; (C) The health and
safety of the officers or employees of or others
at the correctional institution; (D) The health and
safety of such individuals and officers or other
persons responsible for the transporting of
inmates or their transfer from one institution,
facility, or setting to another; (E) Law Privacy Rule
enforcement on the premises of the correctional
institution; or (F) The administration and
maintenance of the safety, security, and good
order of the correctional institution.
(ii) Permitted uses. A covered
entity that is a correctional institution may use
protected health information of individuals who
are inmates for any purpose for which such
protected health information may be disclosed.
(iii) No application after
release. For the purposes of this provision, an
individual is no longer an inmate when released
on parole, probation, supervised release, or
otherwise is no longer in lawful custody.
(6) Covered entities that are government
programs providing public benefits.
(i) A health plan that is a
government program providing public benefits
may disclose protected health information
relating to eligibility for or enrollment in the
health plan to another agency administering a
government program providing public benefits if
the sharing of eligibility or enrollment
information among such government agencies or
the maintenance of such information in a single
or combined data system accessible to all such
government agencies is required or expressly
authorized by statute or regulation.
(ii) A covered entity that is a
government agency administering a government
program providing public benefits may disclose
protected health information relating to the
program to another covered entity that is a Privacy Rule
government agency administering a government
program providing public benefits if the
programs serve the same or similar populations
and the disclosure of protected health
information is necessary to coordinate the
covered functions of such programs or to
improve administration and management
relating to the covered functions of such
programs.
Standard: Disclosures for workers'

compensation. A covered entity may disclose
protected health information as authorized by
and to the extent necessary to comply with laws
relating to workers' compensation or other
similar programs, established by law, that Privacy Rule
provide benefits for work-related injuries or
illness without regard to fault.
Implementation specifications: Requirements for
de-identification of protected health
information. A covered entity may determine
that health information is not individually
identifiable health information only if:
(1) A person with appropriate
knowledge of any experience with generally
accepted statistical scientific principles and
methods for rendering information not
individually identifiable:
(i) Applying such principles
and methods, determines that the risk is very
small that the information could be used, alone
or in combination with other reasonably
available information, by an anticipated recipient
to identify and individual who is a subject for the
information; and
(ii) Documents the methods
and results of the analysis that justify such Privacy Rule
determination; or
(2)(i) The following identifiers
of the individual or of relatives, employers, or
household members of the individual, are
removed:
(A) Names;
(B) All geographic subdivisions
smaller than a State, including street address,
city, county, precinct, zip code, and their
equivalent geocodes, except for the initial three
digits of a zip code if, according to the current
available data from the Bureau of the Census;
(1) The geographic unit
formed by combining all zip codes with the same
three initial digits contains more than 20,000
people; and
(2) The initial three digits of a
zip code for all such geographic units containing
(b) Standard: Minimum necessary
(1) Minimum necessary
applies. When using or disclosing protected
health information or when requesting
protected health information from another
covered entity or business associate, a covered
entity or business associate must make
reasonable efforts to limit protected health
information to the minimum necessary to
accomplish the intended purpose of the use,
disclosure, or request.
(2) Minimum necessary does
not apply. This requirement does not apply to:
(i) Disclosures to or requests
by a health care provider for treatment;
(ii) Uses or disclosures made
to the individual, as permitted under paragraph
(a)(1)(i) of this section or as required by
paragraph (a)(2)(i) of this section; Privacy Rule
(iii) Uses or disclosures made
pursuant to an authorization under §164.508;
(iv) Disclosures made to the
Secretary in accordance with subpart C of part
160 of this subchapter;
(v) Uses or disclosures that are
required by law, as described by §164.512(a);
and
(vi) Uses or disclosures that
are required for compliance with applicable
requirements of this subchapter.
§164.514(d)(2)
Implementation specifications: Minimum
necessary uses of protected health information.
(i) A covered entity must
identify: (A) Those persons or classes of persons,
as appropriate, in its workforce who need access
to protected health information to carry out
Implementation specification: Minimum
necessary disclosures of protected health
information.
(i) For any type of disclosure
that it makes on a routine and recurring basis, a
covered entity must implement policies and
procedures (which may be standard protocols)
that limit the protected health information
disclosed to the amount reasonably necessary to
achieve the purpose of the disclosure.
(ii) For all other disclosures, a
covered entity must: (A) Develop criteria
designed to limit the protected health
information disclosed to the information
reasonably necessary to accomplish the purpose
for which disclosure is sought; and (B) Review
requests for disclosure on an individual basis in
accordance with such criteria.
(iii) A covered entity may rely, Privacy Rule
if such reliance is reasonable under the
circumstances, on a requested disclosure as the
minimum necessary for the stated purpose
when: (A) Making disclosures to public officials
that are permitted under §164.512, if the public
official represents that the information
requested is the minimum necessary for the
stated purpose(s); (B) The information is
requested by another covered entity; (C) The
information is requested by a professional who is
a member of its workforce or is a business
associate of the covered entity for the purpose
of providing professional services to the covered
entity, if the professional represents that the
information requested is the minimum necessary
for the stated purpose(s); or (D) Documentation
or representations that comply with the
applicable requirements of §164.512(i) have
Implementation specifications: Minimum
necessary requests for protected health
information. (i) A covered entity must limit any
request for protected health information to that
which is reasonably necessary to accomplish the
purpose for which the request is made, when
requesting such information from other covered
entities.
(ii) For a request that is made
on a routine and recurring basis, a covered entity
must implement policies and procedures (which
may be standard protocols) that limit the
protected health information requested to the
amount reasonably necessary to accomplish the
purpose for which the request is made.
(iii) For all other requests, a
covered entity must:
(A) Develop criteria designed Privacy Rule
to limit the request for protected health
information to the information reasonably
necessary to accomplish the purpose for which
the request is made; and
(B) Review requests for
disclosure on an individual basis in accordance
with such criteria.
Implementation specification: Other content

requirement. For all uses, disclosures, or
requests to which the requirements in paragraph
(d) of this section apply, a covered entity may
not use, disclose or request an entire medical
record, except when the entire medical record is
specifically justified as the amount that is Privacy Rule
reasonably necessary to accomplish the purpose
of the use, disclosure, or request.
Standard: Limited data set. A covered entity may
use or disclose a limited data set that meets the
requirements of paragraphs (e)(2) and (e)(3) of
this section, if the covered entity enters into a
data use agreement with the limited data set
recipient, in accordance with paragraph (e)(4) of
this section.
§164.514(e)(2)
Implementation specification: Limited data set: A
limited data set is protected health information
that excludes the following direct identifiers of
the individual or of relatives, employers, or
household members of the individual: (i) Names;
(ii) Postal address information, other than town
or city, State, and zip code; (iii) Telephone
numbers; (iv) Fax numbers; (v) Electronic mail
addresses; (vi) Social security numbers; (vii)
Medical record numbers; (viii) Health plan Privacy Rule
beneficiary numbers; (ix) Account numbers; (x)
Certificate/license numbers; (xi) Vehicle
identifiers and serial numbers, including license
plate numbers; (xii) Device identifiers and serial
numbers; (xiii) Web Universal Resource Locators
(URLs); (xiv) Internet Protocol (IP) address
numbers; (xv) Biometric identifiers, including
finger and voice prints; and (xvi) Full face
photographic images and any comparable
images.
§164.514(e)(3)
Implementation specification: Permitted
purposes for uses and disclosures. (i) A covered
entity may use or disclose a limited data set
under paragraph (e)(1) of this section only for
the purposes of research, public health, or
health care operations.
Fundraising communications.
(1) Standard: Uses and
disclosures for fundraising. Subject to the
conditions of paragraph (f)(2) of this section, a
covered entity may use, or disclose to a business
associate or to an institutionally related
foundation, the following protected health
information for the purpose of raising funds for
its own benefit, without an authorization
meeting the requirements of §164.508: (i)
Demographic information relating to an
individual, including name, address, other
contact information, age, gender, and date of
birth; (ii) Dates of health care provided to an
individual; (iii) Department of service
information; (iv) Treating physician; (v) Outcome
information; and (vi) Health insurance status.
(2) Implementation Privacy Rule

specifications: Fundraising requirements.
(i) A covered entity may not
use or disclose protected health information for
fundraising purposes as otherwise permitted by
paragraph (f)(1) of this section unless a
statement required by §164.520(b)(1)(iii)(A) is
included in the covered entity s notice of
privacy practices. (ii) With each fundraising
communication made to an individual under this
paragraph, a covered entity must provide the
individual with a clear and conspicuous
opportunity to elect not to receive any further
fundraising communications. The method for an
individual to elect not to receive further
fundraising communications may not cause the
individual to incur an undue burden or more
than a nominal cost. (iii) A covered entity may
not condition treatment or payment on the
Standard: Uses and disclosures for underwriting
and related purposes. If a health plan receives
protected health information for the purpose of
underwriting, premium rating, or other activities
relating to the creation, renewal, or replacement
of a contract of health insurance or health
benefits, and if such health insurance or health
benefits are not placed with the health plan,
such health plan may only use or disclose such
protected health information for such purpose
or as may be required by law, subject to the
prohibition at §164.502(a)(5)(i) with respect to
genetic information included in the protected
health information.
§164.502(a)(5)(i) Use and
disclosure of genetic information for
underwriting purposes: Notwithstanding any
other provision of this subpart, a health plan,
excluding an issuer of a long-term care policy Privacy Rule
falling within paragraph (1)(viii) of the definition
of health plan, shall not use or disclose
protected health information that is genetic
information for underwriting purposes. For
purposes of paragraph (a)(5)(i) of this section,
underwriting purposes means, with respect to a
health plan:
(A) Except as provided in
paragraph (a)(5)(i)(B) of this section: (1) Rules
for, or determination of, eligibility (including
enrollment and continued eligibility) for, or
determination of, benefits under the plan,
coverage, or policy (including changes in
deductibles or other cost-sharing mechanisms in
return for activities such as completing a health
risk assessment or participating in a wellness
program); (2) The computation of premium or
contribution amounts under the plan, coverage,
Standard: Verification requirements. Prior to any
disclosure permitted by this subpart, a covered
entity must: (i) Except with respect to disclosures
under §164.510, verify the identity of a person
requesting protected health information and the
authority of any such person to have access to
protected health information under this subpart,
if the identity or any such authority of such
person is not known to the covered entity; and
(ii) Obtain any documentation, statements, or
representations, whether oral or written, from
the person requesting the protected health
information when such documentation,
statement, or representation is a condition of
the disclosure under this subpart.
(2) Implementation
specifications: Verification.
(i) Conditions on disclosures. If
a disclosure is conditioned by this subpart on Privacy Rule
particular documentation, statements, or
representations from the person requesting the
protected health information, a covered entity
may rely, if such reliance is reasonable under the
circumstances, on documentation, statements,
or representations that, on their face, meet the
applicable requirements. (A) The conditions in
§164.512(f)(1)(ii)(C) may be satisfied by the
administrative subpoena or similar process or by
a separate written statement that, on its face,
demonstrates that the applicable requirements
have been met. (B) The documentation required
by §164.512(i)(2) may be satisfied by one or
more written statements, provided that each is
appropriately dated and signed in accordance
with §164.512(i)(2)(i) and (v).
(ii) Identity of public officials. A
covered entity may rely, if such reliance is
Right to notice. Except as provided by paragraph
(a)(2) or (3) of this section, an individual has a
right to adequate notice of the uses and
disclosures of protected health information that
may be made by the covered entity, and of the
individual's rights and the covered entity's legal
duties with respect to protected health
information.
§164.520(b)(1) Required
elements. The covered entity must provide a
notice that is written in plain language and that
contains the elements required by this
paragraph.
(i) Header. The notice must
contain the following statement as a header or
otherwise prominently displayed: "THIS NOTICE
DESCRIBES HOW MEDICAL INFORMATION
ABOUT YOU MAY BE USED AND DISCLOSED AND Privacy Rule
HOW YOU CAN GET ACCESS TO THIS
INFORMATION. PLEASE REVIEW IT CAREFULLY."
(ii) Uses and disclosures. The
notice must contain: (A) A description, including
at least one example, of the types of uses and
disclosures that the covered entity is permitted
by this subpart to make for each of the following
purposes: treatment, payment, and health care
operations. (B) A description of each of the other
purposes for which the covered entity is
permitted or required by this subpart to use or
disclose protected health information without
the individual's written authorization. (C) If a use
or disclosure for any purpose described in
paragraphs (b)(1)(ii)(A) or (B) of this section is
prohibited or materially limited by other
applicable law, the description of such use or
disclosure must reflect the more stringent law as
Implementation specifications: Provision of
notice. A covered entity must make the notice
required by this section available on request to
any person and to individuals as specified in
paragraphs (c)(1) through (c)(3) of this section,
as applicable.
(1) Specific requirements for
health plans. (i) A health plan must provide the
notice: (A) no later than the compliance date for
the health plan, to individuals then covered by
the plan; (B) thereafter, at the time of
enrollment, to individuals who are new
enrollees.
(ii) No less frequently than
once every three years, the health plan must
notify individuals then covered by the plan of the
availability of the notice and how to obtain the
notice.
(iii) The health plan satisfies Privacy Rule
the requirements of paragraph (c)(1) of this
section if notice is provided to the named
insured of a policy under which coverage is
provided to the named insured and one or more
dependents.
(iv) If a health plan has more
than one notice, it satisfies the requirements of
paragraph (c)(1) of this section by providing the
notice that is relevant to the individual or other
person requesting the notice.
(v) If there is a material
change to the notice:
(A) A health plan that posts its
notice on its web site in accordance with
paragraph (c)(3)(i) of this section must
prominently post the change or its revised notice
on its web site by the effective date of the
material change to the notice, and provide the
Specific requirements for certain covered health
care providers. A covered health care provider
that has a direct treatment relationship with an
individual must:
(i) Provide the notice:
(A) No later than the date of
the first service delivery, including service
delivered electronically, to such individual after
the compliance date for the covered health care
provider; or
(B) In an emergency treatment
situation, as soon as reasonably practicable after
the emergency treatment situation.
(ii) Except in an emergency
treatment situation, make a good faith effort to
obtain a written acknowledgment of receipt of
the notice provided in accordance with
paragraph (c)(2)(i) of this section, and if not
obtained, document its good faith efforts to Privacy Rule
obtain such acknowledgment and the reason
why the acknowledgment was not obtained;
(iii) If the covered health care
provider maintains a physical service delivery
site:
(A) Have the notice available
at the service delivery site for individuals to
request to take with them; and
(B) Post the notice in a clear
and prominent location where it is reasonable to
expect individuals seeking service from the
covered health care provider to be able to read
the notice.
(iv) Whenever the notice is
revised, make the notice available upon request
on or after the effective date of the revision and
promptly comply with the requirements of
paragraph (c)(2)(iii) of this section, if applicable.
Specific requirements for electronic notice. (i) A
covered entity that maintains a web site that
provides information about the covered entity's
customer services or benefits must prominently
post its notice on the web site and make the
notice available electronically through the web
site.
(ii) A covered entity may
provide the notice required by this section to an
individual by e-mail, if the individual agrees to
electronic notice and such agreement has not
been withdrawn. If the covered entity knows
that the e-mail transmission has failed, a paper
copy of the notice must be provided to the
individual. Provision of electronic notice by the
covered entity will satisfy the provision
requirements of paragraph (c) of this section
when made in accordance with paragraph (c)(1)
or (2) of this section. Privacy Rule
(iii) For purposes of paragraph
(c)(2)(i) of this section, if the first service delivery
to an individual is delivered electronically, the
covered health care provider must provide
electronic notice automatically and
contemporaneously in response to the
individual's first request for service. The
requirements in paragraph (c)(2)(ii) of this
section apply to electronic notice.
(iv) The individual who is the
recipient of electronic notice retains the right to
obtain a paper copy of the notice from a covered
entity upon request.
Implementation specifications: Joint notice by
separate covered entities. Covered entities that
participate in organized health care
arrangements may comply with this section by a
joint notice, provided that: (1) The covered
entities participating in the organized health care
arrangement agree to abide by the terms of the
notice with respect to protected health
information created or received by the covered
entity as part of its participation in the organized
health care arrangement. (2) The joint notice
meets the implementation specifications in
paragraph (b) of this section, except that the
statements required by this section may be
altered to reflect the fact that the notice covers
more than one covered entity: (i) Describes with
reasonable specificity the covered entities, or
class of entities, to which the joint notice applies;
(ii) Describes with reasonable specificity the Privacy Rule
service delivery sites, or classes of service
delivery sites, to which the joint notice applies;
and (iii) If applicable, states that the covered
entities participating in the organized health care
arrangement will share protected health
information with each other, as necessary to
carry out treatment, payment, or health care
operations relating to the organized health care
arrangement. (3) The covered entities included
in the joint notice must provide the notice to
individuals in accordance with the applicable
implementation specifications of paragraph (c)
of this section. Provision of the joint notice to an
individual by any one of the covered entities
included in the joint notice will satisfy the
provision requirement of paragraph (c) of this
section with respect to all others covered by the
joint notice.
Implementation specifications: Documentation.
A covered entity must document compliance
with the notice requirements, as required by
§164.530(j), by retaining copies of the notices
issued by the covered entity and, if applicable,
any written acknowledgments of receipt of the
notice or documentation of good faith efforts to
obtain such written acknowledgment, in Privacy Rule
accordance with paragraph (c)(2)(ii) of this
section.
Standard: Right of an individual to request
restriction of uses and disclosures.
permit an individual to request that the covered
entity restrict: (A) uses or disclosures of
protected health information about the
individual to carry out treatment, payment, or
health care operations; and (B) disclosures
permitted under §164.510(b).
(ii) Except as provided in
paragraph (a)(1)(vi) of this section, a covered
entity is not required to agree to a restriction.
(iii) A covered entity that
agrees to a restriction under paragraph (a)(1)(i)
of this section may not use or disclose protected
health information in violation of such
restriction, except that, if the individual who
requested the restriction is in need of
emergency treatment and the restricted Privacy Rule
protected health information is needed to
provide the emergency treatment, the covered
entity may use the restricted protected health
information, or may disclose such information to
a health care provider, to provide such
treatment to the individual.
(iv) If restricted protected
health information is disclosed to a health care
provider for emergency treatment under
paragraph (a)(1)(iii) of this section, the covered
entity must request that such health care
provider not further use or disclose the
information.
(v) A restriction agreed to by a
covered entity under paragraph (a) of this
section, is not effective under this subpart to
prevent uses or disclosures permitted or
required under §164.502(a)(2)(ii), 164.510(a) or
Implementation specifications: Terminating a
restriction. A covered entity may terminate a
restriction, if:
(i) the individual agrees to or
requests the termination in writing;
(ii) the individual orally agrees
to the termination and the oral agreement is
documented; or
(iii) the covered entity informs
the individual that it is terminating its agreement
to a restriction, except that such termination is:
(A) Not effective for protected
health information restricted under paragraph Privacy Rule
(a)(1)(vi) of this section; and
(B) Only effective with respect
to protected health information created or
received after it has so informed the individual
Implementation specification: Documentation. A

covered entity must document a restriction in
accordance with §164.530(j) of this subchapter. Privacy Rule
Standard: Confidential communications

requirements.
provider must permit individuals to request and
must accommodate reasonable requests by
individuals to receive communications of
protected health information from the covered
health care provider by alternative means or at
alternative locations.
(ii) A health plan must permit
individuals to request and must accommodate
reasonable requests by individuals to receive
communications of protected health information Privacy Rule
from the health plan by alternative means or at
alternative locations, if the individual clearly
states that the disclosure of all or part of that
information could endanger the individual.
Standard: Access to protected health
information. (1) Right of access. Except as
otherwise provided in paragraph (a)(2) or (a)(3)
of this section, an individual has a right of access
to review and obtain a copy of protected health
information about the individual in a designated
record set, for as long as the protected health
information is maintained in the designated
record set, except for (i) psychotherapy notes;
and (ii) information compiled in reasonable
anticipation of, or for use in, a civil, criminal, or
administrative action or proceeding.
§164.524(b) Implementation
specifications: Requests for access and timely
action. (1) Individual's request for access. The
covered entity must permit an individual to
request access to review or to obtain a copy of
the protected health information about the Privacy Rule
individual that is maintained in a designated
record set. The covered entity may require
individuals to make requests for access in
writing, provided that it informs individuals of
such a requirement.
§164.524(b) Timely action by

the covered entity. (i) Except as provided in
paragraph (b)(2)(ii) of this section, the covered
entity must act on a request for access no later
than 30 days after receipt of the request as
follows. (A) If the covered entity grants the
request, in whole or in part, it must inform the
individual of the acceptance of the request and
provide the access requested, in accordance
with paragraph (c) of this section. (B) If the
covered entity denies the request, in whole or in
part, it must provide the individual with a
Implementation specifications: Denial of access.
If the covered entity denies access, in whole or
in part, to protected health information, the
covered entity must comply with the following
requirements. (1) Making other information
accessible. The covered entity must, to the
extent possible, give the individual access to any
other protected health information requested,
after excluding the protected health information
as to which the covered entity has a ground to
deny access.
§164.524(d)(2) Denial. The

covered entity must provide a timely, written
denial to the individual, in accordance with
paragraph (b)(2) of this section. The denial must
be in plain language and contain:
(i) The basis for the denial;
(ii) If applicable, a statement Privacy Rule
of the individual's review rights under paragraph
(a)(4) of this section, including a description of
how the individual may exercise such review
rights; and
(iii) A description of how the
individual may complain to the covered entity
pursuant to the complaint procedures in
§164.530(d) or to the Secretary pursuant to the
procedures in §160.306. The description must
include the name, or title, and telephone
number of the contact person or office
designated in §164.530(a)(1)(ii).
information. (2) Unreviewable grounds for
denial. A covered entity may deny an individual
access without providing the individual an
opportunity for review, in the following
circumstances.
(i) The protected health

information is excepted from the right of access
by paragraph (a)(1) of this section.
(ii) A covered entity that is a
correctional institution or a covered health care
provider acting under the direction of the
correctional institution may deny, in whole or in
part, an inmate's request to obtain a copy of
protected health information, if obtaining such
copy would jeopardize the health, safety,
security, custody, or rehabilitation of the
individual or of other inmates, or the safety of Privacy Rule
any officer, employee, or other person at the
correctional institution or responsible for the
transporting of the inmate.
(iii) An individual's access to
protected health information created or
obtained by a covered health care provider in
the course of research that includes treatment
may be temporarily suspended for as long as the
research is in progress, provided that the
individual has agreed to the denial of access
when consenting to participate in the research
that includes treatment, and the covered health
care provider has informed the individual that
the right of access will be reinstated upon
completion of the research.
(iv) An individual's access to
protected health information that is contained in
records that are subject to the Privacy Act, 5
information. (3) Reviewable grounds for denial.
A covered entity may deny an individual access,
provided that the individual is given a right to
have such denials reviewed, as required by
paragraph (a)(4) of this section, in the following
circumstances:
(i) A licensed health care
professional has determined, in the exercise of
professional judgment, that the access
requested is reasonably likely to endanger the
life or physical safety of the individual or another
person;
(ii) The protected health
information makes reference to another person
(unless such other person is a health care
provider) and a licensed health care professional
has determined, in the exercise of professional
judgment, that the access requested is Privacy Rule
reasonably likely to cause substantial harm to
such other person; or
(iii) The request for access is
made by the individual's personal representative
and a licensed health care professional has
determined, in the exercise of professional
judgment, that the provision of access to such
personal representative is reasonably likely to
cause substantial harm to the individual or
another person.
information. (4) Review of a denial of access. If
access is denied on a ground permitted under
paragraph (a)(3) of this section, the individual
has the right to have the denial reviewed by a
licensed health care professional who is
designated by the covered entity to act as a
reviewing official and who did not participate in
the original decision to deny. The covered entity
must provide or deny access in accordance with
the determination of the reviewing official under
paragraph (d)(4) of this section.
§164.524(d) Implementation
specifications: Denial of access. If the covered
entity denies access, in whole or in part, to
protected health information, the covered entity
must comply with the following requirements:
(4) Review of denial requested. If the individual Privacy Rule
has requested a review of a denial under
paragraph (a)(4) of this section, the covered
entity must designate a licensed health care
professional, who was not directly involved in
the denial, to review the decision to deny access.
The covered entity must promptly refer a
request for review to such designated reviewing
official. The designated reviewing official must
determine, within a reasonable period of time,
whether or not to deny the access requested
based on the standards in paragraph (a)(3) of
this section. The covered entity must promptly
provide written notice to the individual of the
determination of the designated reviewing
official and take other action as required by this
section to carry out the designated reviewing
official's determination.
covered entity must document the following and
retain the documentation as required by
§164.530(j): (1) the designated record sets that
are subject to access by individuals; and (2) the
titles of the persons or offices responsible for Privacy Rule
receiving and processing requests for access by
individuals.
Standard: Right to amend. (1) Right to amend.

An individual has the right to have a covered
entity amend protected health information or a
record about the individual in a designated
record set for as long as the protected health Privacy Rule
information is maintained in the designated
record set.
Standard: Right to amend. (2) Denial of
amendment. A covered entity may deny an
individual's request for amendment, if it
determines that the protected health
information or record that is the subject of the
request: (i) was not created by the covered
entity, unless the individual provides a
reasonable basis to believe that the originator of
protected health information is no longer
available to act on the requested amendment; Privacy Rule
(ii) is not part of the designated record set; (iii)
would not be available for reviewing under
§164.524; or (iv) is accurate and complete.
Implementation specifications: Accepting the

amendment. If the covered entity accepts the
requested amendment, in whole or in part, the
requirements.
(1) Making the amendment.
The covered entity must make the appropriate
amendment to the protected health information
or record that is the subject of the request for
amendment by, at a minimum, identifying the
records in the designated record set that are
affected by the amendment and appending or
otherwise providing a link to the location of the
amendment.
(2) Informing the individual. In
accordance with paragraph (b) of this section,
the covered entity must timely inform the
individual that the amendment is accepted and
obtain the individual's identification of an Privacy Rule
agreement to have the covered entity notify the
relevant persons with which the amendment
needs to be shared in accordance with
paragraph (c)(3) of this section.
(3) Informing others. The
covered entity must make reasonable efforts to
inform and provide the amendment within a
reasonable time to: (i) Persons identified by the
individual as having received protected health
information about the individual and needing
the amendment; and (ii) persons, including
business associates, that the covered entity
knows have the protected health information
that is the subject of the amendment and that
may have relied, or could foreseeably rely, on
such information to the detriment of the
individual.
Implementation specifications: Denying the
amendment. If the covered entity denies the
requested amendment, in whole or in part, the
requirements.
(1) Denial. The covered entity must provide the
individual with a timely, written denial, in
accordance with paragraph (b)(2) of this section.
The denial must use plain language and contain:
(i) The basis for the denial, in accordance with
paragraph (a)(2) of this section; (ii) The
individual's right to submit a written statement
disagreeing with the denial and how the
individual may file such a statement; (iii) A
statement that, if the individual does not submit
a statement of disagreement, the individual may
request that the covered entity provide the
individual's request for amendment and the
denial with any future disclosures of the Privacy Rule
protected health information that is the subject
of the amendment; and (iv) A description of how
the individual may complain to the covered
entity pursuant to the complaint procedures
established in §164.530(d) or to the Secretary
pursuant to the procedures established in
§160.306. The description must include the
name, or title, and telephone number of the
contact person or office designated in
§164.530(a)(1)(ii).
(2) Statement of
disagreement. The covered entity must permit
the individual to submit to the covered entity a
written statement disagreeing with the denial of
all or part of a requested amendment and the
basis of such disagreement. The covered entity
may reasonably limit the length of a statement
of disagreement.
Right to an accounting of disclosures of
protected health information.
(1) An individual has a right to
receive an accounting of disclosures of protected
health information made by a covered entity in
the six years to the date on which the accounting
is requested, except for disclosures: (i) To carry
out treatment, payment and health care
operations as provided in §164.506; (ii) To
individuals of protected health information
about them as provided in §164.502; (iii)
Incident to a use or disclosure otherwise
permitted or required by this subpart, as
provided in §164.502; (iv) Pursuant to an
authorization as provided in §164.508; (v) For
the facility's directory or to persons involved in
the individual's care or other notification
purposes as provided in §164.510; (vi) For
national security or intelligence purposes as Privacy Rule
provided in §164.512(k)(2); (vii) To correctional
institutions or law enforcement officials as
provided in §164.512(k)(5); (viii) As part of a
limited data set in accordance with §164.514(e);
or (ix) That occurred prior to the compliance
data for the covered entity.
(2)(i) The covered entity must
temporarily suspend an individual's right to
receive an accounting of disclosures to a health
oversight agency or law enforcement official, as
provided in §164.512(d) or (f), respectively, for
the time specified by such agency or official, if
such agency or official provides the covered
entity with a written statement that such an
accounting to the individual would be reasonably
likely to impede the agency's activities and
specifying the time for which such a suspension
is required. (ii) If the agency or official statement
Implementation specifications: Content of the
accounting. The covered entity must provide the
individual with a written accounting that meets
the following requirements.
(1) Except as otherwise
provided by paragraph (a) of this section, the
accounting must include disclosures of protected
health information that occurred during the six
years (or such shorter time period at the request
of the individual as provided in paragraph (a)(3)
of this section) prior to the date of the request
for an accounting, including disclosures to or by
business associates of the covered entity.
(2) Except as otherwise
provided by paragraphs (b)(3) or (b)(4) of this
section, the accounting must include for each
disclosure: (i) The date of the disclosure; (ii) The
name of the entity or person who received the
protected health information and, if known, the Privacy Rule
address of such entity or person; (iii) A brief
description of the protected health information
disclosed; and (iv) A brief statement of the
purpose of the disclosure that reasonably
informs the individual of the basis for the
disclosure or, in lieu of such statement, a copy of
a written request for a disclosure under
§164.502(a)(2)(ii) or 164.512, if any.
(3) If, during the period
covered by the accounting, the covered entity
has made multiple disclosures of protected
health information to the same person or entity
for a single purpose under §164.502(a)(2)(ii) or
164.512, the accounting may, with respect to
such multiple disclosures, provide: (i) The
information required by paragraph (b)(2) of this
section for the first disclosure during the
accounting period; (ii) The frequency, periodicity,
Implementation specifications: Provision of the
accounting. (1) The covered entity must act on
the individuals request for an accounting, no
later than 60 days after receipt of such a
request, as follows.
(i) The covered entity must
provide the individual with the accounting
requested; or
(ii) If the covered entity is
unable to provide the accounting within the time
required by paragraph (c)(1) of this section, the
covered entity may extend the time to provide
the accounting by no more than 30 days,
provided that: (A) The covered entity, within the
time limit set by paragraph (c)(1) of this section,
provides the individual with a written statement
of the reasons for the delay and the date by
which the covered entity will provide the
accounting; and (B) The covered entity may have Privacy Rule
only one such extension of time for action on a
request for an accounting.
§164.528(c)(2) The covered
entity must provide the first accounting to an
individual in any 12 month period without
charge. The covered entity may impose a
reasonable, cost-based fee for each subsequent
request for an accounting by the same individual
within the 12 month period, provided that the
covered entity informs the individual in advance
of the fee and provides the individual with an
opportunity to withdraw or modify the request
for a subsequent accounting in order to avoid or
reduce the fee.

covered entity must document the following and
retain the documentation as required by
§164.530(j): (1) the information required to be
included in an accounting under paragraph (b) of
this section for disclosures of protected health
information that are subject to an accounting
under paragraph (a) of this section; (2) the
written accounting that is provided to the
individual under this section; and (3) the titles of Privacy Rule
the persons or offices responsible for receiving
and processing requests for an accounting by
individuals.
(a)(1) Standard: Personnel designations.
designate a privacy official who is responsible for
the development and implementation of the
policies and procedures of the entity.
(ii) A covered entity must
designate a contact person or office who is
responsible for receiving complaints under this
section and who is able to provide further
information about matters covered by the notice
required by §164.520. Privacy Rule
(2) Implementation
specification: Personnel designations. A covered
entity must document the personnel
designations and maintain in written or
electronic form for six years.
Standard: Training. A covered entity must train

all members of its workforce on the policies and
procedures with respect to protected health
information required by this subpart and subpart
D of this part, as necessary and appropriate for
the members of the workforce to carry out their
functions within the covered entity.
(2) Implementation
specifications: Training. (i) A covered entity must
provide training that meets the requirements of
paragraph (b)(1) of this section, as follows: (A) To
each member of the covered entity's workforce
by no later than the compliance date for the
covered entity; (B) Thereafter, to each new
member of the workforce within a reasonable
period of time after the person joins the covered
entity's workforce; and (C) To each member of
the covered entity's workforce whose functions Privacy Rule
are affected by a material change in the policies
or procedures required by this subpart or
subpart D of this part, within a reasonable period
of time after the material change becomes
effective in accordance with paragraph (i) of this
section. (ii) A covered entity must document that
the training as described in
paragraph (b)(2)(i) of this
section has been provided, as required by
paragraph (j) of this section.
Standard: Safeguards. A covered entity must
have in place appropriate administrative,
technical, and physical safeguards to protect the
privacy of protected health information. (2)(i)
Implementation specification: Safeguards. A
covered entity must reasonably safeguard
protected health information from any
intentional or unintentional use or disclosure
that is in violation of the standards,
implementation specifications or other
requirements of this subpart.
(ii) A covered entity must Privacy Rule
reasonably safeguard protected health
information to limit incidental uses or
disclosures made pursuant to an otherwise
permitted or required use or disclosure.
Standard: Complaints to the covered entity. A

covered entity must provide a process for
individuals to make complaints concerning the
covered entity's policies and procedures
required by this subpart and subpart D of this
part or its compliance with such policies and Privacy Rule
procedures or the requirements of this subpart
or subpart D of this part.
Implementation specification: Documentation of

complaints. As required by paragraph (j) of this
section, a covered entity must document all
complaints received, and their disposition, if any. Privacy Rule
Standard: Sanctions. A covered entity must have
and apply appropriate sanctions against
members of its workforce who fail to comply
with the privacy policies and procedures of the
covered entity or the requirements of this
subpart or subpart D of this part. This standard
does not apply to a member of the covered
entity's workforce with respect to actions that
are covered by and that meet the conditions of
§164.502(j) or paragraph (g)(2) of this section.
specification: Documentation. As required by
paragraph (j) of this section, a covered entity
must document the sanctions that are applied, if
any.
Standard: Mitigation. A covered entity must

mitigate, to the extent practicable, any harmful
effect that is known to the covered entity of a
use or disclosure of protected health information
in violation of its policies and procedures or the
requirements of this subpart by the covered Privacy Rule
entity or its business associate.
Standard: Refraining from intimidating or

retaliatory acts. A covered entity
(1) May not intimidate,
threaten, coerce, discriminate against, or take
other retaliatory action against any individual for
the exercise by the individual of any right
established, or for participation in any process
provided for, by this subpart or subpart D of this
Privacy Rule
part, including the filing of a complaint under
this section; and (2) must refrain from
intimidation and retaliation as provided in
§160.316.
Standard: Waiver of rights. A covered entity may

not require individuals to waive their rights
under §160.306 of this subchapter, this subpart,
or subpart D of this part, as a condition of the
provision of treatment, payment, enrollment in a Privacy Rule
health plan, or eligibility for benefits.
Standard: Policies and procedures. A covered
entity must implement policies and procedures
with respect to protected health information
that are designed to comply with the standards,
implementation specifications, or other
requirements of this subpart and subpart D of
this part. The policies and procedures must be
reasonably designed, taking into account the size
and the type of activities that relate to protected
health information undertaken by a covered
entity, to ensure such compliance. This standard
is not to be construed to permit or excuse an
action that violates any other standard,
implementation specification, or other
requirement of this subpart.
(2) Standard: Changes to
policies and procedures. (i) A covered entity
must change its policies and procedures as
necessary and appropriate to comply with Privacy Rule
changes in the law, including the standards,
requirements, and implementation specifications
of this subpart or subpart D of this part. (ii)
When a covered entity changes a privacy
practice that is stated in the notice described in
§164.520, and makes corresponding changes to
its policies and procedures, it may make the
changes effective for protected health
information that it created or received prior to
the effective date of the notice revision, if the
covered entity has, in accordance with
§164.520(b)(1)(v)(C), included in the notice a
statement reserving its right to make such a
change in its privacy practices; or (iii) A covered
entity may make any other changes to policies
and procedures at any time, provided that the
changes are documented and implemented in
accordance with paragraph (i)(5) of this section.
Standard: Documentation. A covered entity
must: (i) Maintain the policies and procedures
provided for in paragraph (i) of this section in
written or electronic form; (ii) If a
communication is required by this subpart to be
in writing, maintain such writing, or an electronic
copy, as documentation; and (iii) If an action,
activity, or designation is required by this
subpart to be documented, maintain a written or
electronic record of such action, activity, or
designation. (iv) Maintain documentation
sufficient to meet its burden of proof under
§164.414(b).
specification: Retention period. A covered entity
must retain the documentation required by
paragraph (j)(1) of this section for six years from
the date of its creation or the date when it last
was in effect, whichever is later.
Covered entities and business associates must
do the following:
(1) Ensure the confidentiality, integrity, and

availability of all electronic protected health
information the covered entity or business
associate creates, receives, maintains, or
transmits. (2) Protect against any reasonably
anticipated threats or hazards to the security or
integrity of such information. (3) Protect against
any reasonably anticipated uses or disclosures of
such information that are not permitted or
required under subpart E of this part; and (4)
Ensure compliance with this subpart by its
workforce.
Security Rule
Flexibility of approach.
(1) Covered entities and
business associates may use any security
measures that allow the covered entity or
business associate to reasonably and
appropriately implement the standards and
implementation specifications as specified in this
subpart. (2) In deciding which security measures
to use, a covered entity or business associate
must take into account the following factors: (i)
The size, complexity, and capabilities of the
covered entity or business associate. (ii) The
covered entity's or the business associate's Security Rule
technical infrastructure, hardware, and software
security capabilities. (iii) The costs of security
measures. (iv) The probability and criticality of
potential risks to electronic protected health
information.
A covered entity or business associate must in

accordance with §164.306:
(1)(i) Implement policies and
procedures to prevent, detect, contain, and
correct security violations.
Security Rule
Conduct an accurate and thorough assessment

of the potential risks and vulnerabilities to the
confidentiality, integrity, and availability of
electronic protected health information held by
the covered entity or business associate.
Security Rule
Implement security measures sufficient to
reduce risks and vulnerabilities to a reasonable
and appropriate level to comply with
§164.306(a).
Security Rule
Apply appropriate sanctions against workforce

members who fail to comply with the security
policies and procedures of the covered entity or
business associate. Security Rule
Implement procedures to regularly review

records of information system activity, such as
audit logs, access reports, and security incident
tracking reports.
Security Rule
Identify the security official who is responsible

for the development and implementation of the
policies and procedures required by this subpart
for the covered entity or business associate. Security Rule
Implement policies and procedures to ensure
that all members of its workforce have
appropriate access to electronic protected
health information, as provided under paragraph
(a)(4) of this section, and to prevent those
workforce members who do not have access
under paragraph (a)(4) of this section from
obtaining access to electronic protected health
information.
Security Rule
Implement procedures for the authorization

and/or supervision of workforce members who
work with electronic protected health
information or in locations where it might be Security Rule
accessed.
Implement procedures to determine that the

access of a workforce member to electronic
protected health information is appropriate.
Security Rule
Implement procedures for terminating access to

electronic protected health information when
the employment of, or other arrangement with,
a workforce member ends or as required by
determinations made as specified in paragraph Security Rule
(a)(3)(ii)(b).
Implement policies and procedures for

authorizing access to electronic protected health
information that are consistent with the
applicable requirements of subpart E of this part. Security Rule
If a health care clearinghouse is part of a larger

organization, the clearinghouse must implement
policies and procedures that protect the
electronic protected health information of the
clearinghouse from unauthorized access by the Security Rule
larger organization.
Implement policies and procedures for granting
access to electronic protected health
information, As one illustrative example, through
access to a workstation, transaction, program, Security Rule
process, or other mechanism.
Implement policies and procedures that, based

upon the covered entitys or the business
associates access authorization policies,
establish, document, review, and modify a
users right of access to a workstation, Security Rule
transaction, program, or process.
Implement a security awareness and training

program for all members of its workforce Security Rule
(including management).
Periodic security updates.
Security Rule
Procedures for guarding against, detecting, and

reporting malicious software.
Security Rule
Procedures for monitoring log-in attempts and

reporting discrepancies.
Security Rule
Procedures for creating, changing, and
safeguarding passwords.
Security Rule
Implement policies and procedures to address

security incidents.
Security Rule
Identify and respond to suspected or known

security incidents; mitigate, to the extent
practicable, harmful effects of security incidents
that are known to the covered entity or business
associate; and document security incidents and
their outcomes.
Security Rule
Establish (and implement as needed) policies
and procedures for responding to an emergency
or other occurrence (As one illustrative example,
fire, vandalism, system failure, and natural
disaster) that damages systems that contain
electronic protected health information.
Security Rule
Establish and implement procedures to create

and maintain retrievable exact copies of
Security Rule
Establish (and implement as needed) procedures
to restore any loss of data.
Security Rule

to enable continuation of critical business
processes for protection of the security of
electronic protected health information while
operating in emergency mode.
Security Rule
Implement procedures for periodic testing and

revision of contingency plans.
Security Rule
Assess the relative criticality of specific

applications and data in support of other
contingency plan components. Security Rule
Perform a periodic technical and nontechnical
evaluation, based initially upon the standards
implemented under this rule and subsequently,
in response to environmental or operational
changes affecting the security of electronic
protected health information, which establishes
the extent to which a covered entity's or
business associates security policies and Security Rule
procedures meet the requirements of this
subpart.
A covered entity may permit a business associate

to create, receive, maintain, or transmit
electronic protected health information on the
covered entity's behalf only if the covered
entity obtains satisfactory assurances, in
accordance with §164.314(a) that the business
associate will appropriately safeguard the
information. A covered entity is not required to
obtain such satisfactory assurances from a
business associate that is a subcontractor.
§164.308(b)(2): A business
associate may permit a business associate that is
a subcontractor to create, receive, maintain, or
transmit electronic protected health information Security Rule
on its behalf only if the business associate
obtains satisfactory assurances, in accordance
with §164.314(a), that the subcontractor will
appropriately safeguard the information.
Document the satisfactory assurances required

by paragraph (b)(1) or (b)(2) of this section
through a written contract or other arrangement
with the business associate that meets the
applicable requirements of §164.314(a).
Security Rule
Implement policies and procedures to limit
physical access to [an entity's] electronic
information systems and the facility or facilities
in which they are housed, while ensuring that
properly authorized access is allowed.
Security Rule

that allow facility access in support of
restoration of lost data under the disaster
recovery plan and emergency mode operations
plan in the event of an emergency.
Security Rule
Implement policies and procedures to safeguard

the facility and the equipment therein from
unauthorized physical access, tampering, and
theft.
Security Rule
Implement procedures to control and validate a

person's access to facilities based on their role or
function, including visitor control, and control of
access to software programs for testing and
revision
Security Rule
Implement policies and procedures to document

repairs and modifications to the physical
components of a facility which are related to
security (As one illustrative example, hardware,
walls, doors, and locks). Security Rule
Implement policies and procedures that specify
the proper functions to be performed, the
manner in which those functions are to be
performed, and the physical attributes of the
surroundings of a specific workstation or class of
workstation that can access electronic protected Security Rule
health information.
Implement physical safeguards for all

workstations that access electronic protected
health information, to restrict access to
authorized users. Security Rule
Implement policies and procedures that govern

the receipt and removal of hardware and
electronic media that contain electronic
protected health information, into and out of a
facility, and the movement of these items within
the facility.
Security Rule
Implement policies and procedures to address

the final disposition of electronic protected
health information and/or the hardware or
electronic media on which it is stored.
Security Rule
Implement procedures for removal of electronic

protected health information from electronic
media before the media are made available for
re-use.
Security Rule
Maintain a record of the movements of
hardware and electronic media and any person
responsible therefore.
Security Rule
Create a retrievable, exact copy of electronic

protected health information, when needed,
before movement of equipment.
Security Rule
Implement technical policies and procedures for
electronic information systems that maintain
electronic protected health information to allow
access only to those persons or software
programs that have been granted access rights
as specified in §164.308(a)(4).
Security Rule
Assign a unique name and/or number for

identifying and tracking user identity.
Security Rule

for obtaining necessary electronic protected
health information during an emergency.
Security Rule
Implement electronic procedures that terminate
an electronic session after a predetermined time
of inactivity.
Security Rule
Implement a mechanism to encrypt and decrypt

Security Rule
Implement hardware, software, and/or

procedural mechanisms that record and examine
activity in information systems that contain or
use electronic protected health information. Security Rule
Implement policies and procedures to protect
electronic protected health information from
improper alteration or destruction.
Security Rule
Implement electronic mechanisms to

corroborate that electronic protected health
information has not been altered or destroyed in
an unauthorized manner.
Security Rule
Implement procedures to verify that a person or

entity seeking access to electronic protected
health information is the one claimed. Security Rule
Implement technical security measures to guard

against unauthorized access to electronic
protected health information that is being
transmitted over an electronic communications
network.
Security Rule
Implement security measures to ensure that
electronically transmitted electronic protected
health information is not improperly modified
without detection until disposed of.
Security Rule
Implement a mechanism to encrypt electronic

protected health information whenever deemed
appropriate.
Security Rule
The contract or other arrangement between the

covered entity and its business associate
required by §164.308(b)(3) must meet the
requirements of paragraph (a)(2)(i) or (a)(2)(ii) of Security Rule
this section, as applicable.
The contract must provide that the business

associate will (A) Comply with the applicable Security Rule
requirements of this subpart;

associate will, in accordance with §164.308(b)
(2), ensure that any subcontractors that create,
receive, maintain, or transmit electronic
protected health information on behalf of the
business associate agree to comply with the
applicable requirements of this subpart by Security Rule
entering into a contract or other arrangement
that complies with this section
associate will report to the covered entity any
security incident of which it becomes aware,
including breaches of unsecured protected Security Rule
health information as required by §164.410
The covered entity is in compliance with

paragraph (a)(1) of this section if it has another
arrangement in place that meets the
requirements of §164.504(e)(3). Security Rule
The requirements of paragraphs (a)(2)(i) and (a)

(2)(ii) of this section apply to the contract or
other arrangement between a business associate
and a subcontractor required by §164.308(b)(4)
in the same manner as such requirements apply
to contracts or other arrangements between a Security Rule
covered entity and business associate.
Except when the only electronic protected

health information disclosed to a plan sponsor is
disclosed pursuant to §164.504(f)(1)(ii) or (iii), or
as authorized under §164.508, a group health
plan must ensure that its plan documents
provide that the plan sponsor will reasonably
and appropriately safeguard electronic
protected health information created, received, Security Rule
maintained, or transmitted to or by the plan
sponsor on behalf of the group health plan.
The plan documents of the group health plan

must be amended to incorporate provisions to
require the plan sponsor to-- (i) Implement
administrative, physical, and technical
safeguards that reasonably and appropriately
protect the confidentiality, integrity, and
availability of the electronic protected health Security Rule
information that it creates, receives, maintains,
or transmits on behalf of the group health plan.
require the plan sponsor to-- (ii) Ensure that the
adequate separation required by §164.504(f)(2) Security Rule
(iii) is supported by reasonable and appropriate
security measures.

require the plan sponsor to-- (iii) Ensure that any
agent to whom it provides this information
agrees to implement reasonable and appropriate Security Rule
security measures to protect the information.

require the plan sponsor to-- (iv) Report to the
group health plan any security incident of which Security Rule
it becomes aware.
Implement reasonable and appropriate policies

and procedures to comply with the standards,
implementation specifications, or other
requirements of this subpart, taking into account
those factors specified in §164.306(b)(2)(i), (ii),
(iii), and (iv). This standard is not to be construed
to permit or excuse an action that violates any
other standard, implementation specification, or
other requirements of this subpart. A covered
entity or business associate may change its
policies and procedures at any time, provided Security Rule
that the changes are documented and are
implemented in accordance with this subpart.
Maintain the policies and procedures

implemented to comply with this subpart in
written (which may be electronic) form; and
(ii) If an action, activity or
assessment is required by this subpart to be
documented, maintain a written (which may be Security Rule
electronic) record or the action, activity, or
assessment.
Retain the documentation required by

paragraph (b)(1) of this section for 6 years from
the date of its creation or the date when it last Security Rule
was in effect, whichever is later.
Make documentation available to those persons
responsible for implementing the procedures to
which the documentation pertains. Security Rule
Review documentation periodically, and update

as needed, in response to environmental or
operational changes affecting the security of the
electronic protected health information. Security Rule
Administrative Requirements.
A covered entity is required to
comply with the administrative requirements of
§164.530(b), (d), (e), (g), (h), (i), and (j) with
respect to 45 CFR Part 164, Subpart D ("the
Breach Notification Rule").
[Training, complaints to the

covered entity, sanctions, refraining from
intimidating or retaliatory acts, waiver of rights, Breach Notification Rule
policies and procedures, and documentation]
Definitions: Breach - Risk Assessment.
Breach means the acquisition,
access, use, or disclosure of PHI in a manner not
permitted under subpart E of this part which
compromises the security or privacy of the PHI.
(2) Except as provided in

paragraph (1) of this definition, an acquisition,
permitted under subpart E is presumed to be a
breach unless the covered entity or business
associate, as applicable, demonstrates that there
is a low probability that the PHI has been
compromised based on a risk assessment of at
least the following factors:
(i) The nature and extent of
the PHI involved, including the types of
identifiers and the likelihood of re-identification; Breach Notification Rule
(ii) The unauthorized person
who used the PHI or to whom the disclosure was
made;
(iii) Whether the PHI was
actually acquired or viewed; and
(iv) The extent to which the
risk to the PHI has been mitigated.
Definitions: Breach Exceptions - Unsecured PHI
Breach means the acquisition,
permitted under subpart E of this part which
compromises the security or privacy of the PHI.
(1) Breach excludes:
(i) Any unintentional
acquisition, access, or use of PHI by a workforce
member or person acting under the authority of
a covered entity or a business associate, if such
acquisition, access, or use was made in good
faith and within the scope of authority and does
not result in further use or disclosure in a
manner not permitted under subpart E of this
part.
(ii) Any inadvertent disclosure
by a person who is authorized to access PHI at a
covered entity or business associate to another
person authorized to access PHI at the same Breach Notification Rule
covered entity or business associate, or
organized health care arrangement in which the
covered entity participates, and the information
received as a result of such disclosure is not
further used or disclosed in a manner not
permitted under subpart E of this part.
(iii) A disclosure of PHI where
a covered entity or business associate has a good
faith belief that an unauthorized person to
whom the disclosure was made would not
reasonably have been able to retain such
information.
(2) Except as provided in
paragraph (1) of this definition, an acquisition,
access, use, or disclosure of protected health
information in a manner not permitted under
subpart E is presumed to be a breach unless the
covered entity or business associate, as
Notice to Individuals.
A covered entity shall,
following the discovery of a breach of unsecured
protected health information, notify each
individual whose unsecured protected health
information has been, or is reasonably believed
by the covered entity to have been, accessed,
acquired, used, or disclosed as a result of such
breach.
(2) Breaches treated as
discovered. For purposes of paragraph (a)(1) of
this section, § 164.406(a), and 164.408(a), a
breach shall be treated as discovered by a
covered entity as of the first day on which such
breach is known to the covered entity, or, by
exercising reasonable diligence would have been
known to the covered entity. A covered entity Breach Notification Rule
shall be deemed to have knowledge of a breach
if such breach is known, or by exercising
reasonable diligence would have been known, to
any person, other than the person committing
the breach, who is a workforce member or agent
of the covered entity (determined in accordance
with the federal common law of agency).
Timeliness of Notifications.
Except as provided in
§164.412, a covered entity shall provide the
notification required by paragraph (a) of this Breach Notification Rule
section without unreasonable delay and in no
case later than 60 calendar days after discovery
of a breach.
Content of Notification.
The notification required by
paragraph (a) of this section shall include, to the
extent possible:
(A) A brief description of what
happened, including the date of the breach and
the date of the discovery of the breach, if
known;
(B) A description of the types
of unsecured protected health information that
were involved in the breach (such as whether
full name, social security number, date of birth,
home address, account number, diagnosis,
disability code, or other types of information
were involved);
(C) Any steps the individual
should take to protect themselves from potential
harm resulting from the breach;
(D) A brief description of what Breach Notification Rule
the covered entity is doing to investigation the
breach, to mitigate harm to individuals, and to
protect against further breaches; and
(E) Contact procedures for
individuals to ask questions or learn additional
information, which shall include a toll-free
telephone number, an email address, Web site,
or postal address.
(2) The notification required
by paragraph (a) of this section shall be written
in plain language.
Methods of Notification.
The notification required by
paragraph (a) of this section shall be provided in
the following form:
(1)(i) Written notification by
first-class mail to the individual at the last known
address of the individual or, if the individual
agrees to electronic notice and such agreement
has not been withdrawn, by electronic mail. The
notification may be provided in one or more
mailings as information becomes available.
(ii) If the covered entity knows
the individual is deceased and has the address of
the next of kin or personal representative of the
individual (as specified under §164.502(g)(4) of
subpart E) , written notification by first-class mail
to either the next of kin or personal
representative of the individual is required. The
notification may be provided in one or more Breach Notification Rule
mailings as information is available.
(2) Substitute notice. In the
case in which there is insufficient or out-of-date
contact information that precludes written
notification to the individual under this
paragraph (d)(1)(i) of this section, a substitute
form of notice reasonably calculated to reach
the individual shall be provided. Substitute
notice need not be provided in the case in which
there is insufficient or out-of-date contact
information that precludes written notification
to the next of kin or personal representative of
the individual under paragraph (d)(1)(ii).
(i) In the case in which there is
insufficient or out-of-date contact information
for fewer than 10 individuals, then substitute
notice may be provided by an alternative form of
written notice, telephone, or other means.
Notification to the Media.
For a breach of unsecured PHI
involving more than 500 residents of a State or
jurisdiction, a covered entity shall, following the
discovery of the breach as provided in
§164.404(a)(2), notify prominent media outlets
serving the State or jurisdiction.
(b)Except as provided in
§164.412, a covered entity shall provide the
notification required by paragraph (a) of this
section without unreasonable delay and in no Breach Notification Rule
of a breach.
(c) The content of the
section shall meet the requirements of
§164.404(c).
Notification to the Secretary.
(a) A covered entity shall,
following the discovery of a breach of unsecured
protected health information as provided in
§164.404(a)(2), notify the Secretary.
(b) For breaches of unsecured
protected health information involving 500 or
more individuals, a covered entity shall, except
as provided in §164.412, provide the notification
required by paragraph (a) of this section
contemporaneously with the notice required by
§164.404(a) and in the manner specified on the
HHS Web site.
(c) For breaches of unsecured
protected health information involving less than
500 individuals, a covered entity shall maintain a Breach Notification Rule
log or other documentation of such breaches
and, not later than 60 days after the end of each
calendar year, provide the notification required
by paragraph (a) of this section for breaches
discovered during the preceding calendar year,
in the manner specified on the HHS Web site.
Notification by a Business
Associate.
(a) Standard. (1) General Rule.
A business associate shall, following the
discovery of a breach of unsecured protected
health information, notify the covered entity of
such breach. (2) For purposes of paragraph (a)(1)
of this section, a breach shall be treated as
discovered by a business associate as of the first
day on which such breach is known to the
business associate or, by exercising reasonable
diligence, would have been known to the
business associate. A business associate shall be
deemed to have knowledge of a breach if the
breach is known, or by exercising reasonable
diligence would have been known, to any
person, other than the person committing the
breach, who is an employee, officer, or other
agent of the business associate (determined in Breach Notification Rule
accordance with the federal common law of
agency).
(b) Except as provided in
§164.412, a business associate shall provide the
section without unreasonable delay and in no
of a breach.
(c)(1) The notification required
by paragraph (a) of this section shall include, to
the extent possible, the identification of each
individual whose unsecured protected health
information has been, or is reasonably believed
by the business associate to have been,
accessed, acquired, used, or disclosed during the
breach. (2) A business associate shall provide the
covered entity with any other available
information that the covered entity is required
Law Enforcement Delay.
If a law enforcement official
states to a covered entity or business associate
that a notification, notice, or posting required
under this subpart would impede a criminal
investigation or cause damage to national
security, a covered entity or business associate
shall: (a) If the statement is in writing and
specifies the time for which a delay is required,
delay such notification, notice, or posting for the
time period specified by the official; or (b) If the
statement is made orally, document the
statement, including the identity of the official
making the statement, and delay the Breach Notification Rule
notification, notice, or posting temporarily and
no longer than 30 days from the date of the oral
statement, unless a written statement as
described in paragraph (a) of this section is
submitted during that time.
Burden of proof.
In the event of a use or
disclosure in violation of subpart E, the covered
entity or business associate, as applicable, shall
have the burden of demonstrating that all
notifications were made as required by the Breach Notification Rule
subpart or that the use or disclosure did not
constitute a breach as defined at §164.402.
kStart implementation. It is provided for informational purposes only.
wn legal and compliance obligations.
re using AWS Services in connection with protected health information (PHI). Customers must use only HIPAA Eligible Services in conne
https://aws.amazon.com/compliance/hipaa-compliance/
er's obligations and compliance requirements under HIPAA will be different according to their particular circumstances.
pplicable laws, rules and regulations.
PAA, the terms of the AWS BAA, and other applicable laws, rules, and regulations.
AA), unless otherwise identified as one or the other.

entity or business associate for the implementation of policies and procedures and other standards.
AWS Commentary
AWS does not control how the customer uses AWS services to use and disclose PHI. It is the
customer’s responsibility to only use AWS services to use and disclose PHI in a manner permissible
under HIPAA. As one illustrative example, if the customer is a health plan and uses AWS to perform
underwriting, it is the customer’s responsibility to ensure that genetic information is not used in the
underwriting.
under HIPAA. As one illustrative example, if the customer uses AWS to transmit the PHI of deceased
individuals, it is the customer's responsibility to ensure that the information is afforded protection
under HIPAA for a period of 50 years following the individual's death.
under HIPAA.
under HIPAA. As one illustrative example, if the customer operates patient messaging on AWS and a
patient requests a reasonable alternative means of communications, it is the responsibility of the
customer (and its health care provider customer) to ensure that any PHI messages transmitted
through AWS comply with the patient’s request.
under HIPAA. As one illustrative example, if the customer uses uses or discloses PHI on AWS, it is the
customer’s responsibility to ensure that the use and disclosure is consistent with the customer's
notice of privacy practices.
under HIPAA.
under HIPAA.
The AWS Business Associate Addendum (BAA) is available through a self-service portal in AWS
Artifact. Using that portal, the customer can review, agree to, and obtain a BAA on-demand. It is the
customer's responsibility to obtain a BAA from AWS before using AWS in connection with PHI. Note
that the BAA is contingent upon the customer putting in place certain AWS security configurations
(e.g. encryption) specified in the BAA.
If customer notifies AWS that it believes AWS is in violation of the BAA, AWS will work with the
customer to address the customer's concerns.
under HIPAA. As one illustrative example, if the customer is a group health plan and the plan sponsor
uses AWS to use or disclose PHI, it is the customer’s responsibility to ensure that the plan sponsor has
modified the plan document and certified as to those modifications accordingly.
under HIPAA. As one illustrative example, if the customer is a health plan and health care provider, it
is the customer's responsibility to maintain appropriate separation between plan data and patient
data on AWS.
under HIPAA. As one illustrative example, if the customer uses AWS to disclose an individual's PHI for
treatment, payment, or health care operations, it is the customer's responsibility to ensure that any
PHI messages transmitted through AWS comply with §164.506(c) and other Privacy Rule
requirements.
under HIPAA. As one illustrative example, if the customer uses AWS to disclose an individual's PHI for
treatment, payment, or health care operations, it is the customer's responsibility to determine when
consent is sufficient and when an authorization is required.
under HIPAA. It is the customer's responsibility to ensure that authorizations for a use or disclosure of
PHI meet the requirements under §164.508.
under HIPAA. As one illustrative example, if the customer uses AWS to provide a facility directory and
a patient objects to a use or disclosure of PHI in the facility directory, it is the customer's responsibility
to comply with the patient’s objection.
under HIPAA. As one illustrative example, if the customer uses AWS to provide a facility directory and
a patient objects to a use or disclosure of PHI in the facility directory, it is the customer's responsibility
to comply with the patient’s objection.
under HIPAA. As one illustrative example, if the customer uses AWS to use or disclose PHI to an
individual's family member for purposes of payment, it is the customer's responsibility to ensure that
any PHI transmitted is directly relevant to the family member's involvement with the individual's
payment.
individual's family member for purposes of payment, and the customer knows that the individual has
objected to such a use or disclosure, it is the customer's responsibility to adhere to the patient's
objection.
any PHI transmitted is directly relevant to the family member's involvement with the individual's
payment.
under HIPAA. As one illustrative example, if the customer uses AWS to use or disclose PHI for disaster
relief purposes, it is the customer's responsibility to ensure that any such PHI transmitted is for the
purpose of coordinating with disaster relief entities.
any such PHI transmitted is directly relevant to the family member's involvement with the individual's
payment.
under HIPAA. As one illustrative example, if the customer uses AWS to make a disclosure required by
law, it is the customer's responsibility to ensure that the disclosure is limited to the relevant
requirements imposed by law.
under HIPAA. As one illustrative example, if the customer uses AWS to make disclosures to public
health authorities, it is the customer's responsibility to ensure that such disclosure(s) comply with the
applicable requirements of §164.512(b).
under HIPAA. As one illustrative example, if a customer uses AWS to disclose PHI to a government
authority in connection with an individual whom the customer reasonably believes to be a victim of
abuse, neglect, or domestic violence, it is the customer's responsibility to ensure that such
disclosure(s) comply with the applicable requirements of §164.512(c).
under HIPAA. As one illustrative example, if a customer uses AWS to disclose PHI to a health oversight
agency, it is the customer's responsibility to ensure that such disclosure(s) comply with the applicable
requirements of §164.512(d).
under HIPAA. As one illustrative example, if a customer uses AWS to disclose PHI in the course of a
judicial or administrative proceeding, it is the customer's responsibility to ensure that such
disclosure(s) comply with the applicable requirements of §164.512(e).
under HIPAA. As one illustrative example, if a customer uses AWS to disclose PHI to a law
enforcement official for a law enforcement purpose, it is the customer's responsibility to ensure that
such disclosure(s) comply with the applicable requirements of §164.512(f).
under HIPAA. As one illustrative example, if the customer uses AWS to disclose PHI to a coroner or
medical examiner regarding a decedent, it is the customer's responsibility to ensure that any such
disclosure is for the purpose of identifying a deceased person, determining a cause of death, or other
duties as authorized by law.
under HIPAA. As one illustrative example, it is the customer's responsibility to verify that any
disclosures of PHI made to organ procurement or tissue banking organizations are for the purpose of
facilitating organ, eye or tissue donation and transplantation.
under HIPAA. As one illustrative example, if the customer uses AWS to perform research involving PHI,
it is the customer's responsibility to ensure that the research was reviewed by an IRB or privacy board
under §164.512(i)(1), or is otherwise permitted by the Privacy Rule.
under HIPAA. As one illustrative example, if the customer uses AWS to perform research involving PHI,
it is the customer's responsibility to ensure that any IRB waiver of authorization meets the Privacy
Rule's requirements.
under HIPAA. As one illustrative example, if the customer uses AWS to use or disclose PHI of
individuals in the Armed Forces, veterans, or foreign militar personnel, it is the customer's
responsibility to ensure that such use or disclosure is permitted under the conditions set forth in
§164.512(k)(1).
under HIPAA. As one illustrative example, if the customer uses AWS to disclose PHI to authorized
federal officials for the conduct of intelligence, counter-intelligence, or other national security
activities, it is the customer's responsibility to determine that such activities are lawful and authorized
by the National Security Act and implementing authority.
under HIPAA, including under §164.512(k)(3).
under HIPAA, including under §164.512(k)(4).
under HIPAA. As one illustrative example, if the customer uses AWS to disclose PHI to a correctional
institution, it is the customer's responsibility to determine that such disclosure is necessary for a
permitted purpose under §164.512(k)(5).
under HIPAA. As one illustrative example, if a customer is a government agency using AWS to
administer a public benefit program, and it elects to disclose PHI to another covered entity that is a
government agency administering a government program, the customer is responsible for ensuring
that the disclosure of PHI is necessary to coordinate the covered functions of such programs or to
improve administration and management relating to the covered functions of such programs.
under HIPAA. As one illustrative example, if a customer wants to disclose PHI in order to comply with
applicable workers' compensation laws, it is the customer's responsibility to ensure that such
disclosures are permissible under §164.512(l).
AWS does not control how the customer uses AWS services to de-identify/re-identify PHI. It is the
customer’s responsibility to only use AWS to de-identify/re-identify PHI in a manner permissible under
HIPAA. As one illustrative example, if the customer uses AWS to perform de-identification, it is the
customer’s responsibility to ensure that HIPAA's de-identification requirements are met.
under HIPAA. As one illustrative example, it is the customer's responsibility to make reasonable efforts
to include only the minimum amount of PHI on AWS that is necessary to perform a HIPAA-permitted
activity.
under HIPAA. As one illustrative example, if the customer uses AWS to make routine disclosures of
PHI, it is the customer’s responsibility to implement policies and procedures that limit disclosures to
the minimum necessary amount required.
under HIPAA. As one illustrative example, if the customer uses AWS to request PHI from another
entity, it is the customer's responsibility to request only the minimum necessary amount required.
under HIPAA. As one illustrative example, it is the customer's responsibility to determine whether it is
reasonable to store entire medical records on AWS.
under HIPAA.
under HIPAA. As one illustrative example, if the customer uses AWS to send fundraising
communications to individuals, it is the customer's responsibility to provide the individual with a clear
and conspicuous opportunity to elect not to receive any further fundraising communications.
under HIPAA. As one illustrative example, if the customer is a health plan and uses AWS to perform
underwriting, it is the customer’s responsibility to ensure that genetic information is not used in the
underwriting.
under HIPAA. As one illustrative example, before using AWS to disclose PHI, it is the customer’s
responsibility to verify the identify of the person requesting PHI, and their authority to request PHI.
under HIPAA. As one illustrative example, if the customer uses AWS to use or disclose PHI, it is the
customer's responsibility to ensure that it provides adequate notice to individuals about such uses or
disclosures, in accordance with applicable HIPAA regulations, including §164.520.
disclosures in accordance with applicable HIPAA regulations, including §164.520.
under HIPAA. As one illustrative example, if the customer uses AWS to use or disclose PHI, and/or to
give electronic notice under §164.520(c)(3), it is the customer's responsibility to ensure that it
provides adequate notice to individuals about such uses or disclosures in accordance with applicable
HIPAA regulations, including §164.520.
customer’s responsibility to only use AWS services to use and disclose PHI in accordance with
applicable HIPAA regulations, including §164.520.
AWS does not control how the customer uses AWS services to address a patient's rights with regard to
PHI. It is the customer’s responsibility to only use AWS to act on a patient's rights in a manner
permissible under HIPAA. As one illustrative example, if the customer transmits PHI on AWS and a
patient requests permissible restrictions on the transmission of PHI, it is the customer's responsibility
to ensure that any PHI transmitted through AWS complies with the patient’s request.
customer’s responsibility to only use AWS services to use and disclose PHI in accordance with HIPAA.
As one illustrative example, if the customer transmits PHI on AWS subject to agreed-upon restrictions
on the transmission of PHI, it is the customer's responsibility to ensure that any termination of those
restrictions are permissible under §164.522(a)(2).
customer’s responsibility to only use AWS services to use and disclose PHI in accordance with HIPAA,
including §164.522(a).
under HIPAA. As one illustrative example, if the customer uses AWS for patient messaging and a
patient requests a reasonable alternative means of communications, it is the responsibility of the
customer (and its health care provider customer) to ensure that any PHI messages transmitted
through AWS comply with the patient’s request.
under HIPAA. As one illustrative example, if a customer uses AWS to provide individuals with access to
their PHI, it is the customer's responsibility to ensure that it provides access consistent with the
Privacy Rule's right of access.
As an illustrative example, if a customer uses AWS to deny access to PHI, it is the customer's
responsibility to ensure any such denial is permissible under, and in accordance with, §164.524.
under HIPAA. As one illustrative example, if a customer uses AWS to provide individuals with an ability
to amend their PHI, it is the customer's responsibility to do so consistent with the Privacy Rule's right
of amendment.
As one illustrative example, if a customer uses AWS to deny individuals' requests to amend their PHI,
it is the customer's responsibility to do so consistent with the Privacy Rule's right of amendment.
under HIPAA. As one illustrative example, if a customer accepts a request to amend PHI that it
maintains on AWS, then it is the customer's responsibility to amend the PHI maintained on AWS,
determine whether it is necessary under §164.526(c) to inform AWS of the amendment, and provide
such notice if necessary.
under HIPAA. As one illustrative example, if a customer denies a request to amend PHI that it
maintains on AWS, it is the customer's responsibility to annotate the PHI with the individual's
amendment request or statement of disclosure, to the extent required by HIPAA.
under HIPAA. As one illustrative example, if a customer uses AWS to make disclosures of PHI that are
subject to the accounting of disclosures requirement, it is the customer's responsibility to track all
information necessary to provide an individual with an accounting of disclosures.
In the event that AWS makes a disclosure that is subject to the accounting of disclosures, such as
providing access to a customer account pursuant to a court order, AWS will not know the contents of
the customer account. Accordingly, it is the customer's responsibility to be able to describe the PHI
that was in the account in the event that an individual requests an accounting of disclosures.
In the event that AWS makes a disclosure that is subject to the accounting of disclosures requirement,
such as providing access to a customer account pursuant to a court order, AWS will not know the
contents of the customer account. Accordingly, it is the customer's responsibility to ensure it is able to
describe the PHI that was in the account in the event that an individual requests an accounting of
disclosures.
the customer account. Accordingly, while AWS will track the date of the disclosure and the purpose of
the disclosure, it is the customer's responsibility to be able to describe the PHI that was in the account
in the event that an individual requests an accounting of disclosures.
the customer account. Accordingly, it is the customer's responsibility to be able to describe the PHI
that was in the account in the event that an individual requests an accounting of disclosures.
The customer is responsible for designating and documenting appropriate personnel under
§164.530(a) and if approriate, ensuring such personnel are prepared to address the customer's use of
AWS in connection with PHI.
The customer is responsible for training workforce members on compliance with the Privacy Rule,
including, if appropriate, with respect to their use of AWS.
The customer is responsible for implementing appropriate administrative safeguards governing the
PHI it stores on AWS. AWS is responsible for implementing physical safeguards in its data centers,
including with respect to the PHI that customer stores on AWS, except that customer is responsible
for the physical security of any local copies it makes of PHI on AWS. AWS provides reasonable
technical controls, but it is the customer's responsibility to configure such technical controls
appropriately (such as ensuring that encryption of data at-rest and audit logging are turned on).
Additional details are included below in the Security Rule sections.
It is the customer’s responsibility to only use AWS services to use and disclose PHI in accordance with
HIPAA. Consistent with §164.530(d), the customer is responsible for providing a process for
individuals to make compliants regarding its compliance with HIPAA, and for documenting any such
complaints.
HIPAA. Consistent with §164.530(d), the customer is responsible for providing a process for
individuals to make compliants regarding its compliance with HIPAA, and for documenting any such
complaints.
HIPAA. If a customer's workforce member uses AWS services in a manner inconsistent with the
Privacy Rule, it is the customer's responsibility to impose a sanction on their workforce member
consistent with customer's sanctions policy.
under HIPAA. As one illustrative example, if the customer uses AWS to transmit PHI and the customer
discloses PHI to the wrong individual, it is the customer's responsibility to mitigate harmful effects of
such a disclosure.
It is the customer’s responsibility to only use AWS services in a manner that complies with HIPAA. As
an illustrative example, it is the customer's responsibility to ensure it handles any complaints about its
use or disclosure of PHI in a manner consistent with §164.530(g).
AWS does not control how the customer uses AWS services in connection with PHI. It is the
customer’s responsibility to only use AWS services in a manner that complies with HIPAA, including
§164.530(h).
The customer is responsible for implementing and enforcing policies and procedures related to the
privacy of PHI, including PHI maintained on AWS.
The customer is responsible for maintaining any HIPAA-required documentation related to its use of
AWS to create, receive, maintain, or transmit PHI.
Although AWS implements robust safeguards and provides security tools for customers to protect the
confidentiality, integrity, and availability of ePHI on AWS servers and to protect against reasonably
anticipated threats, AWS alone cannot ensure such security.
The customer should consider what reasonably anticipated threats fall under its control. As one
illustrative example, the customer should consider the risk that a workforce member will accidentally
delete, or abuse access to, ePHI that the customer maintains on AWS.
To meet this requirement, employ a combination of access control mechanisms, cryptographic

mechanisms, and redundancy relevant to the confidentiality, integrity (to include alteration and
destruction) and availability of data at-rest and in-transit.
For data at-rest, Amazon S3 storage buckets should include access control policies which restrict data
read/write/delete to authorized AWS IAM roles/groups, with a default-deny permissions model..
Enable AES-256 Server Side encryption for data stored in S3, RDS databases, and for full disk
encryption of an EBS data volume that is attached to EC2 server instances. This supports the
capability of storing ePHI on a local volume if required. In addition, enable versioning on S3 buckets
so that original content is retained upon any data object changes for potential comparison, and bucket
logging is enabled to log changes.
For data in-transit, to protect against exposure of any clear text ePHI transmitted deliberately
(upload/download) or incidentally during interactive systems management operations, all AWS
Management Console sessions, API call sessions, and Amazon S3 object access should only be
conducted over encrypted sessions via TLS. Access to EC2 instances iva bastion hosts or AWS Systems
Manager (SSM) Sessions Manager and associated security groups should be configured for encrypted
SSH sessions only. Another example is if user web access is required to an EC2 endpoint, leverage TCP
pass-thorough through Elastic Load Balancers (ELB) to enforce end-to-end HTTPS encryption.
AWS is responsible for hardware maintenance activities that involve movement of physical
equipment, and maintains storage redundancy so that customer data is not impacted by any
infrastructure maintenance/hardware moves.
To address availability requirements, leveraging multiple AWS Availability Zones (AZs) provides
redundant storage capability for data stored in Amazon S3 and Amazon RDS databases. S3 uses
multiple AZs by default while RDS databases must be deployed in a multi-AZ architecture to be
replicated across multiple AZs, which instantiates a retrievable exact copy of ePHI.
AWS offers a variety of security tools, and the customer has certain flexibility in determining how best
to secure any ePHI it maintains on AWS using such tools. The customer should also be aware of
security-related contractual requirements in the AWS Business Associate Addendum (BAA), such as
the requirement to encrypt ePHI. It is the customer's responsibility to follow all contractual
requirements in the BAA.
AWS does not control a customer's security management process. It is the customer's responsibility to
conduct a risk analysis, implement a risk management plan, implement a sanctions policy, and
conduct information system activity review. As part of the security management process, the
customer should consider how AWS will fit within its policies and procedures to prevent, detect,
contain, and correct security violations. As one illustrative example, the customer should consider
enabling Amazon CloudWatch features and reviewing alerts and logs to detect potential security
violations.
The customer's obligation under HIPAA to conduct a risk analysis is not satisfied by utilizing AWS. It is
the customer's responsibility to conduct its own risk analysis to comply with HIPAA.
Each customer's risk analysis will be different depending on the circumstances. The customer should
consider any ePHI stored on AWS within its risk analysis. This may require customer to identify risks to
confidentiality, integrity, and availability of ePHI stored on AWS (which may vary based on
configurations and services). As one illustrative example, the risk of lack of availability of ePHI will vary
between AWS S3 and AWS Glacier, as Glacier provides longer access times at a lower cost.
A customer's risk analysis may also need to address risks related to customer's particular
implementation of AWS. As another illustrative example, the customer should consider the risks that
might arise if users download AWS content to an unsecure device, use a weak password, or
misconfigure an AWS service.
A customer's requirement to implement a risk management plan is not satisfied by utilizing AWS. It is
the customer's responsibility to implement its own risk management plan to comply with HIPAA.
The customer should consider addressing risks to confidentiality, integrity, and availability of ePHI
stored on AWS (which may vary based on particular configurations and services). The risk
management plan may also address risks related to customer's implementation of AWS. As one
illustrative example, if a customer identifies downloads of ePHI as a risk in its risk analysis, the
customer should consider implementing procedures to ensure that downloads of ePHI are only stored
on secure devices.
The customer is responsible for implementing and enforcing a sanctions policy with regard to
workforce members that fail to comply with the customer's security policies and procedures, including
with respect to the use of AWS services. As one illustrative example, if a workforce member
misconfigures AWS in a manner that does not reasonably safeguard ePHI, the customer may choose
to sanction the workforce member with appropriate retraining.
The customer is responsible for implementing internal policies and procedures to ensure active review
and analysis of audit logs and access reports is performed per organizational standards, and for
configuring any required application logging. The customer is also responsible for reviewing security
incident tracking reports. For a list of partners, see: https://aws.amazon.com/cloudtrail/partners/
It is the customer's responsibility to identify the security official responsible for the development and
implementation of the security policies and procedures required by HIPAA, and whose duties may
include overseeing that customer's use of AWS is in a secure manner.
The customer is responsible for implementing policies and procedures to ensure that workforce
members have appropriate access to ePHI and to prevent workforce members who do not have
access to ePHI from obtaining access. This includes controlling which workforce members have
credentials for accessing ePHI stored on AWS.
Customers can configure AWS Services to control workforce access to ePHI stored or processed on
AWS by ensuring S3 buckets are encrypted and IAM is configured with baseline access control policies
for groups and roles to which authorized users may be assigned by the customer.
AWS is responsible for controlling physical access to data centers to prevent against unauthorized
access to system hardware that contains PHI. As part of that, AWS has implemented procedures for
its workforce members. If exact details are needed, the AWS SOC2 report can be downloaded in the
AWS management console with Artifact. To learn more, go to https://aws.amazon.com/artifact.
The customer is responsible for authorizing and supervising workforce members that work with ePHI,
including supervising their access to ePHI on AWS.
The customer is responsible for determining which workforce members require access to ePHI on
AWS, such as checking references or performing appropriate background checks before providing a
new workforce member with credentials to access ePHI on AWS.
The customer is responsible for establishing procedures to terminate access to ePHI when access is no
longer necessary. As one illustrative example, where an employee is terminated, the customer is
responsible for terminating access to ePHI maintained on AWS.
The customer is responsible for implementing policies and procedures that authorize access to ePHI.
For instance, it is the customer's responsibility to identify which workforce members / class of
workforce members require access to ePHI on AWS, and under what circumstances.
If the customer operates a health care clearinghouse and uses AWS for such clearinghouse activities,
then the customer is responsible for configuring AWS services in such a manner that ePHI used on
AWS for clearinghouse activities is not accessible to workforce members for non-clearinghouse
purposes.
The customer is responsible for implementing policies and procedures that authorize access to ePHI.
As one illustrative example, it is the customer's responsibility to identify which workforce members /
class of workforce members require access to ePHI and under what circumstances.
The customer is responsible for implementing policies and procedures that modify access to ePHI. As
one illustrative example, it is the customer's responsibility to implement and manage the creation and
modification of access privileges to workstations and programs that provide access to ePHI stored on
AWS.
The customer is responsible for implementing a security awareness training program for its workforce
members.
The customer is responsible for implementing security reminders as a part of the customer's security
awareness training procedures. As one illustrative example, the customer may, during a quarterly
meeting, remind workforce members with access to ePHI to lock their workstations when away.
The customer is responsible for training its workforce members on procedures for guarding against
malicious software. There are AWS partners that can help guard against, detecting, and reporting
malicious software: https://aws.amazon.com/security/partner-solutions/#infrastructure
The customer is responsible for training appropriate workforce members on how to monitor log-in
attempts and identify discrepancies. As one illustrative example, the customer should train
appropriate workforce members on how to use AWS CloudTrail to identify suspicious attempts to
access AWS.
The customer, at its discretion, may choose to provide AWS user accounts and privileges to workforce
members within the customer's AWS infrastructure. The customer is responsible for configuring the
password policies to be enforced, and is responsible for all aspects of developing and managing
mechanisms and procedures for creating, changing, and safeguarding passwords within its operating
systems and applications.
For more information, refer to:
http://docs.aws.amazon.com/IAM/latest/UserGuide/getting-started_create-admin-group.html
http://docs.aws.amazon.com/IAM/latest/UserGuide/access.html
http://docs.aws.amazon.com/IAM/latest/UserGuide/id_credentials_passwords_account-policy.htm
Under the AWS Business Associate Addendum (BAA), AWS agrees to report to the customer any
successful security incident involving HIPAA accounts of which AWS becomes aware. The customer is
additionally responsible for detecting security incidents involving ePHI on AWS by appropriately
reviewing audit logs, and for taking appropriate action upon identifying a security incident.
Under the AWS Business Associate Addendum (BAA), AWS agrees to report to the customer any
successful security incident involving HIPAA accounts of which AWS becomes aware. The customer is
also responsible for detecting security incidents involving ePHI on AWS by appropriately reviewing
audit logs, and for taking appropriate action upon identifying a security incident.
The customer is responsible for creating a contingency plan that appropriately incorporates all aspects
of their AWS use case (e.g. for backing up and restoring ePHI), and which address situations such as a
potential lack of availability of ePHI on AWS.
To address organizational requirements related to major regional disasters, AWS supports the ability
to place data in multiple geographic regions, and multiple AWS Availability Zones (AZs) within each
region. AZs consist of one or more discrete data centers, each with redundant power, networking and
connectivity, housed in separate facilities. These AZs offer the ability to operate production
applications and databases which are more highly available, fault tolerant and scalable than would be
possible from a single data center.
The customer is responsible for modifying this architecture to employ additional AWS regions and AZs,
and to implement cross-region data synchronization, load balancing, etc.
The customer is responsible for all backups of data to address any requirements related to the
recovery of individual S3 objects, RDS database objects, or EBS files, file systems that are destroyed,
modified, or overwritten by logical actions, and to mitigate any residual risk of data loss caused by
AWS hardware failures.
to place data in multiple geographic regions, and multiple AWS Availability Zones (AZs) within each
region. AZs consist of one or more discrete data centers, each with redundant power, networking and
connectivity, housed in separate facilities. These AZs offer the ability to operate production
applications and databases which are more highly available, fault tolerant and scalable than would be
possible from a single data center.
You can build on this architecture using the multiple AWS Availability Zones (AZs) to provide alternate
storage site capabilityies. For example, RDS databases can be deployed within this architecture
configured to replicate across multiple availability zones providing a retrievable exact copy of ePHI.
The customer is responsible for modifying this architecture to employ additional AWS regions and AZs,
and to implement cross-region data synchronization, load balancing, etc.
AWS employs live storage redundancy for Amazon S3 across multiple Availability Zones within a region
by default, which provides 99.999999999% durability of objects over a given year.
The customer is responsible for documenting organizational procedures related to data recovery.
The customer should consider backing up all data to address any requirements related to the recovery
of individual S3 objects, RDS database objects, or EBS files, file systems that are destroyed, modified,
or overwritten by logical actions, and to mitigate any residual risk of data loss caused by AWS
hardware failures.
Amazon RDS documentation for backup and recovery is located at:

https://docs.aws.amazon.com/AmazonRDS/latest/UserGuide/CHAP_CommonTasks.BackupRestore.ht
ml
Documentation for backing up Amazon EBS volumes is located at:

shttps://docs.aws.amazon.com/AWSEC2/latest/UserGuide/EBSSnapshots.html
AWS employs live storage redundancy for Amazon S3 across multiple Availability Zones within a region
by default, which provides 99.999999999% durability of objects over a given year. For addtional
protection of S3 data, enable S3 Versioning. Documentation can be found at:
https://docs.aws.amazon.com/AmazonS3/latest/userguide/Versioning.html
The customer is responsible for determining how AWS will be used if customer is operating in an
emergency mode. As one illustrative example, the customer should determine whether it expects to
have access to networks with access to AWS when operating in an emergency mode.
The use of multiple AWS Availability Zones (AZs) for application servers, Amazon S3 storage, and
replicated RDS database would constitute a built-in, live alternate storage and processing capability
that would dynamically provide transfer and resumption of all system operations, to include any
critical business processes instantiated by the customer in their environment. As the customer
deploys application and storage resources, leverage the multiple AWS availability zones employed by
this architecture provide identical security safeguards for the protection of ePHI.
To the extent the customer incorporates AWS into its contingency plans, the customer is responsible
for testing such contingency plans. As one illustrative example, if the customer intends to have certain
systems failover to AWS if the systems become unavailable, the customer should consider periodically
testing its ability to failover to AWS, and whether it is able to meet recovery time objectives and
recovery point objectives.
The customer is responsible for conducting an analysis of application and data criticality, and then
appropriately using AWS for such ePHI. As one illustrative example, if a customer determines that
certain ePHI is not mission critical, the customer may opt for AWS services like Glacier, which have
slower availability times and lower costs.
The customer is responsible for periodically evaluating its use of AWS to determine whether it is fully
consistent with the Security Rule. As one illustrative example, the customer is responsible for
periodically evaluating whether AWS accounts have been properly configured, and whether it has
identified in the AWS Business Associate Addendum all accounts containing ePHI.
Artifact. Using that portal, the customer can review, agree to, and obtain a BAA on-demand for each
AWS account that it will use in connection wtih PHI. It is the customer's obligation to obtain a BAA
from AWS. Note that the BAA is contingent upon the customer putting in place certain AWS security
configurations (e.g. encryption) specified in the BAA.
The AWS Business Associate Addendum (BAA) provides that if AWS uses subcontractors that create,
receive, maintain, or transmit PHI on behalf of AWS, the obligations of the BAA will be extended to
that relationship.
As part of the Shared Responsibility Model, AWS has implemented, physical environment controls
associated with AWS data center facilities and the hardware components within them. If exact details
are needed, the AWS SOC2 report can be downloaded in the AWS management console with Artifact.
To learn more, go to https://aws.amazon.com/artifact.
The customer is responsible for portions of the requirement that are applicable to the customer's
physical property (such as facility access controls and local devices with access to ePHI), as well as the
configurable portions of the logical infrastructure within its AWS account, including the operating
systems on EC2 instances and the customer's applications.
As part of the Shared Responsibility Model, AWS has implemented procedures associated with AWS
access to its data center facilities and the hardware components within them as part of a recovery
operation. If exact details are needed, the AWS SOC2 report can be downloaded in the AWS
management console with Artifact. To learn more, go to https://aws.amazon.com/artifact.
As part of the Shared Responsibility Model, AWS has implemented procedures associated with AWS
access to its data center facilities and the hardware components within them. If exact details are
needed, the AWS SOC2 report can be downloaded in the AWS management console with Artifact. To
learn more, go to https://aws.amazon.com/artifact.
As part of the Shared Responsibility Model, AWS has implemented procedures associated with
controlling access to AWS data center facilities and the hardware components within them. If exact
details are needed, the AWS SOC2 report can be downloaded in the AWS management console with
Artifact. To learn more, go to https://aws.amazon.com/artifact.
As part of the Shared Responsibility Model, AWS has implemented maintenance controls associated
with AWS facilities and hardware components. If exact details are needed, the AWS SOC2 report can
be downloaded in the AWS management console with Artifact. To learn more, go to
https://aws.amazon.com/artifact.
physical property (such as facility access controls and local devices).
AWS does not control how the customer's workforce members or contractors use workstations, or
how the customer's workstations are configured. It is the customer’s responsibility to ensure that
appropriate policies, procedures, and safeguards are in place with regard to workstations. As one
illustrative example, if a customer's workforce member uses AWS to transmit ePHI, it is the customer's
responsibility to ensure that the workforce member's workstation is not easily seen by members of
the general public.
AWS does not control how the customer workforce members or contractors access workstations. It is
the customer’s responsibility to ensure that appropriate policies, procedures, and safeguards are in
place with regard to workstations. As one illustrative example, if a customer uses AWS to transmit
ePHI, it is the customer's responsibility to ensure that workstations are only accessible to those with
necessary access.
As part of the Shared Responsibility Model, AWS has implemented policies and procedures that
govern the receipt and removal of AWS hardware and electronic media that contain ePHI, into and
out of an AWS facility, and the movement of these items within the AWS facility. For example, AWS
has a policy that prohibits the removal of ANY storage device or media unless it has been properly
degaussed and destroyed. If exact details are needed, the AWS SOC2 report can be downloaded in
the AWS management console with Artifact. To learn more, go to https://aws.amazon.com/artifact.
The customer is responsible for implementing policies and procedures that govern the receipt and
removal of hardware and electronic media containing ePHI within the customer's facilities and on-
premises environment, such as when a workforce member downloads ePHI from AWS to a local
device.
As part of the Shared Responsibility Model, AWS has implemented policies and procedures to address
the final disposition of hardware and electronic media within AWS facilities. AWS prohibits the
removal of ANY storage device or media, unless it has been properly degaussed and destroyed, and
AWS degausses and destroys media at the time of disposal. Additionally, customers may choose to
proactively wipe information when no longer needed. For more information on AWS's wiping policy,
please see https://d0.awsstatic.com/whitepapers/Security/AWS_Security_Whitepaper.pdf
The customer is responsible for implementing policies and procedures that govern the receipt,
removal, and final disposition of ePHI and/or hardware and electronic media containing ePHI within
the customer's facilities and on-premises environment, as well as the customer's configurable portion
of the logical infrastructure, such as data on EC2 instances and the customer's applications.
AWS erases all data stored or processed on shared resources (storage, memory, CPU) before those
resources are re-provisioned to other AWS users or AWS accounts.
The customer is responsible for implementing processes to delete objects or volumes containing ePHI
when they are no longer needed. For more information on AWS's wiping policywiping policy please
see https://d0.awsstatic.com/whitepapers/Security/AWS_Security_Whitepaper.pdf
As part of the Shared Responsibility Model, AWS maintains a record of the movements of hardware
and electronic media and any person responsible therefor, for hardware and electronic media within
AWS's facilites. If exact details are needed, the AWS SOC2 report can be downloaded in the AWS
management console with Artifact. To learn more, go to https://aws.amazon.com/artifact.
The customer is responsible for implementing this control within the customer's facilities and on-
premises environment. As one illustrative example, when the customer downloads ePHI from AWS to
a local device or media, then the customer is responsible for documenting the movement of such
hardware and electronic media.
As part of the Shared Responsibility Model, AWS is responsible for hardware maintenance activities
that involve movement of physical equipment within AWS's facilities, and maintains storage
redundancy to ensure customer data is not impacted by any infrastructure maintenance/hardware
moves.
to place data in multiple geographic regions, as well as AWS Availability Zones. The customer is
responsible for modifying this architecture to employ additional AWS regions and Availability Zones,
and for implementing cross-region data synchronization, load balancing, etc. AZs consist of one or
more discrete data centers, each with redundant power, networking and connectivity, housed in
separate facilities. AZs offer the ability to operate production applications and databases which are
more available, fault-tolerant, and scalable than would be possible from a single data center. S3 uses
multiple AZs by default which instantiates a retrievable exact copy of ePHI as it is stored in the
environment. AWS also employs live storage redundancy for Amazon S3, which provides
99.999999999% durability of objects over a given year.
The customer is responsible for all backups of data to address any requirements related to the
recovery of individual S3 objects, RDS database objects, or EBS files, filesystems that are destroyed,
modified, overwritten by logical actions and to mitigate any residual risk of data loss caused by AWS
hardware failures. If the customer downloads information from AWS to local devices, the customer is
responsible for ensuring there is appropriate backup of the data before moving such devices. If the
customer retains a copy of the ePHI on AWS, this may potentially serve as such a backup.
As part of the Shared Responsibility Model, AWS is responsible for, and has put in place, technical
safeguards within AWS facilites and the AWS environment to limit access to AWS accounts to only
those persons or applications with appropriate credentials.
AWS Identity and Access Management (IAM) permits the customer to control and enforce access to
the AWS infrastructure. Login/API access is restricted to those users for whom the customer has
authorized and created or federated IAM user accounts, and provided IAM group and/or role
membership (which specify access policies).
The customer is responsible for implementing policies and procedures to: 1) authorize users before
granting system permissions, 2) ensure that only authorized persons are assigned permissions within
IAM, and 3) configure access control mechanisms within applications and operating systems to
enforce access authorizations.
S3 buckets used for logging in this deployment have specific policies to restrict access to appropriate
roles/groups, based on various criteria and under various conditions.
AWS Identity and Access Management (IAM) gives the customer the capability to identify and
authenticate unique users. The customer organization, at its discretion, provides user accounts and
privileges to both organizational non-organizational users in addition to organizational users.
AWS provides the ability to assign unique user IDs to users. The customer is responsible for
implementing policies and procedures related to providing workforce members with unique user
identification, rather than having multiple users share AWS user IDs and passwords. Customers
should consider using IAM to create unique logins for each user accessing the AWS system. The
Customer should also have a unique identifier for the operating system and application.
The customer is responsible for implementing policies that document the required procedures to
access ePHI on AWS in an emergency. As one illustrative example, it is the customer's responsibility to
decide whether it wishes to ensure that there is not only one user with access to any particular ePHI
on AWS, in the event the primary user is unavailable in an emergency.
The use of multiple AWS Availability Zones (AZs) and Amazon S3 storage with versioning constitutes
built-in, live durable storage capabilities. AWS built-in features give the customer the abilty to
connect to and access its AWS account environment from any location approved and configured by
the customer. This supports the capability for accessing AWS resources and ePHI data during an
emergency.
The customer is responsible for implementing policies and procedures that ensure termination of
electronic sessions after a period of inactivity. As one illustrative example, the customer should check
that their applications have automatic logoff timers.
The AWS console and remote API/CLI sessions employ Amazon STS tokens which automatically expire
after 24 hours by default, regardless of activity, which terminates the electronic session. If the 24-hour
automatic logoff timer for the AWS console is not sufficient, the customer is reponsible for ensuring
that the operating system is configured to terminate SSH/RDP connections after a set timeout
threshold. See here to learn about federating access into AWS accounts using active directory to
achieve session timeouts: https://aws.amazon.com/blogs/security/enabling-federation-to-aws-using-
windows-active-directory-adfs-and-saml-2-0/ for more information.
Under HIPAA, encryption of data is "addressable," meaning that it must be implemented when
reasonable and appropriate. If it is not, then a covered entity or business associate may document
that it is not reasonable and appropriate, and implement an alternative equivalent measure if
reasonable and appropriate.
Although addressable under HIPAA, the customer is required under the AWS Business Associate
Addendum (BAA) to encrypt all PHI in-transit or at-rest, either through server-side encryption or
client-side encryption, in order to minimize risk to both the customer and AWS under HIPAA and other
laws.
The customer is responsible for employing any file encryption/decryption tools, PKI system, Amazon
KMS , Amazon CloudHSM, etc. to provide any other encryption/decryption or key management
capabilities required by the organization. By default, the Amazon ELB cipher suite does not allow the
older and less secure RC4 encryption. If Windows XP and IE6 are needed, an older cipher suite must
be enabled within the load balancer listener HTTPS cipher settings.
With respect to encryption of data at-rest, this architecture employs AES-256 Server Side encryption
in S3.
As you deploy EC2 instances and RDS databases, configure full disk encryption of EBS data volume(s)
that is attached to application/web server EC2 instances, to support the capability of storing ePHI on a
local volume if required.
The customer is responsible for configuring systems to use storage volumes according to
organizational requirements, such as for the paging file, system logging, and application logs to the
secondary drive to prevent any spillage of ePHI on a non-encrypted volume.
The customer's policies and procedures should ensure that information systems provide some level of
audit controls while also ensuring that a workforce member reviews audit control reports on a regular
basis. The AWS Business Associate Addendum (BAA) requires the customer to implement policies and
procedures regarding audit controls.
AWS provides technical tools to maintain integrity of ePHI. Use a combination of access control and
cryptographic mechanisms to protect the integrity (to include alteration and destruction) of data at
rest. It is the customer's responsibility to enable encryption and appropriately assign access, such as
providing read-only access to certain users where appropriate to avoid unintentional or unauthorized
alteration or deletion of ePHI on AWS.
For example, Amazon S3 storage buckets can be configured to include access control policies which
restrict data read/write/delete to authorized AWS IAM roles/groups, with a default-deny permissions
model. For data at-rest, employ AES-256 server-side encryption for data stored in S3. In addition,
enable versioning on S3 buckets so that original content is retained upon any data object changes for
potential comparison. Enable bucket logging to log changes.
AWS provides technical tools to maintain integrity of ePHI, such as access controls that restrict
alteration or deletion of files. It is the customer's responsibility to appropriately assign access, such as
providing read-only access to certain users where appropriate to avoid unintentional or unauthorized
alteration or deletion of ePHI on AWS.
The customer is responsible for implementing person/entity authentication policies and procedures.
The customer may want to consider multi-factor authentication for any workstations or systems that
will have access to ePHI.
The customer is responsible for implementing transmission security policies and procedures. The
customer should consider how ePHI is transmitted (e.g. email, point-to-point network, etc.), and
should establish appropriate means of safeguarding such transmissions.
By default, the Amazon ELB cipher suite does not allow the older and less secure RC4 encryption. If
Windows XP and IE6 are needed, an older cipher suite must be enabled within the load balancer
listener HTTPS cipher settings.
TLS is employed for AWS Console access, CLI, and API endpoints for AWS service access, and Amazon
S3 for object access. TLS/SSH ports and protocols should be employed to protect ePHI in transit. The
customer can monitor and enforce these configurations through policies, AWS Certificate Manger,
AWS Config Rules, Security Groups, to name a few.
AWS provides technical controls, such as encryption features that are designed to protect the
confidentiality and integrity of data in-transit and at-rest. The customer is responsible for
implementing these integrity controls, policies, and procedures. As one illustrative example, the
customer should consider protecting the integrity of ePHI being transmitted through the use of
network communications protocols. The customer should also consider employing additional required
file integrity management systems and/or logging tools to detect unauthorized changes to Amazon S3
objects, RDS database objects, as well as files that reside on EC2 instance filesystems, per
organizational requirements.
AWS Management Console sessions, AWS API calls and Amazon S3 object access can only be
conducted over TLS.
Under HIPAA, encryption of data in transit is "addressable," meaning that it must be implemented
when reasonable and appropriate, but a covered entity or business associate may document that it is
not reasonable and appropriate, in which case it must implement an alternative equivalent measure if
reasonable and appropriate.
Although addressable under HIPAA, the customer is required under the AWS Business Associate
Addendum (BAA) to encrypt all PHI in-transit or at-rest in order to minimize risk to both the customer
and AWS under HIPAA and other laws.
All AWS Management Console sessions, API call sessions, and Amazon S3 object access can only be
conducted over encrypted sessions via TLS. Provisioned resources such as EC2 instances and
associated security groups should be configured for encrypted SSH sessions only, to protect clear text
ePHI from being transmitted deliberately (upload/download) or inadvertantly during interactive
systems management operations.
customer's obligation to obtain a BAA from AWS. Note that the BAA is contingent upon the customer
putting in place certain AWS security configurations (e.g. encryption) specified in the BAA.
The AWS Business Associate Addendum (BAA) provides that AWS will implement safeguards
consistent with the Security Rule.
The AWS Business Associate Addendum (BAA) provides that AWS will ensure that any subcontractors
agree to the restrictions and conditions at least as stringent as those set forth in the BAA.
The AWS Business Associate Addendum (BAA) provides that AWS will report successful security
incidents to the customer.
customer's obligation to obtain a BAA from AWS. Note that the BAA is contingent upon the customer
putting in place certain AWS security configurations (e.g. encryption) specified in the BAA.
The AWS Business Associate Addendum (BAA) provides that if AWS uses subcontractors that create,
receive, maintain, or transmit PHI on behalf of AWS, the obligations of the BAA will be extended to
that relationship.
It is the responsibility of customers that are Group Health Plans to ensure that their plan documents
indicate that the plan sponsor will reasonably and appropriately safeguard ePHI.
indicate that the plan sponsor will reasonably and appropriately safeguard ePHI.
indicate that the plan sponsor will ensure adequate separation between the health plan and plan
sponsor.
indicate the plan will require any agent to agree to implement reasonable and appropriate security
measures to protect the ePHI.
require the plan sponsor to report security incidents to the Group Health Plan.
The customer is responsible for maintaining its own policies and procedures related to the security of
ePHI, including ePHI that the customer uses in connection with AWS services.
The customer is responsible for maintaining its own policies and procedures related to the security of
ePHI, including ePHI that the customer uses in connection with AWS services.
The customer is responsible for maintaining its own policies and procedures, as well as any other
documentation related to the security of ePHI (including ePHI that the customer uses in connection
with AWS services), according to §164.316(b)(2)(i).
The customer is responsible for making its policies and procedures related to the security of ePHI,
including ePHI that the customer uses in connection with AWS services, available to the persons
responsible for implementing those policies and procedures.
The customer is responsible for reviewing and updating policies and procedures in response to
changes in the customer's environment or operations that affect ePHI, including changes in
connection with its use of AWS services.
The customer is responsible for addressing breach notification in its training, complaint process,
sanctions process, non-retaliation process, waiver process, policies and procedures, and
documentation and retention requirements.
AWS does not control how the customer uses AWS services in connection with ePHI. It is the
customer’s responsibility to determine its obligations under HIPAA, and only use AWS services in a
manner that complies with HIPAA.
AWS does not control how the customer uses AWS services in connection with ePHI. It is the
In the event of a breach involving unsecured PHI on AWS, the customer is responsible for providing
required breach notification to impacted individuals.
In the event of a breach of unsecured PHI on AWS, the customer is responsible for adhering to all
timing requirements related to its breach notification to affected individuals.
notice content requirements related to breach notification to affected individuals.
methods-of-notice requirements related to breach notification of affected individuals.
In the event of a breach of unsecured PHI on AWS, the customer is responsible for determining
whether or not notification to the media is necessary and if so, for ensuring that the notice includes
the appropriate content requirements.
In the event of a breach of unsecured PHI on AWS, the customer is responsible for determining
whether or not notification to the Secretary of Health and Human Services is necessary and if so, for
appropriately providing such notice through the HHS website.
AWS agrees in its Business Associate Addendum (BAA) to notify the customer of any breach of
unsecured PHI in the customer's self-identified HIPAA Accounts on AWS, of which AWS becomes
aware.
Because AWS does not monitor customer content on AWS, it is the customer's responsibility to
identify what individuals' ePHI was in the impacted HIPAA Accounts, to describe such ePHI, and to
identify what steps are appropriate for impacted individuals. As one illustrative example, AWS does
not know whether a customer's PHI on AWS includes information that would potentially make credit
monitoring appropriate in the event of a breach.
If requested by a law enforcement official in accordance with HIPAA, AWS is required to delay breach
notification to a customer to the extent requested by law enforcement and required by HIPAA.
AWS does not control how the customer uses AWS services in connection with PHI. It is the
ly HIPAA Eligible Services in connection with PHI in their designated HIPAA Accounts (as described in the AWS BAA).
ar circumstances.
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In this architecture, Amazon CloudWatch alarms and AWS AWS::CloudTrail::Trail

Config and associated Config Rules (in regions where available) AWS::CloudWatch::Alarm
are employed to provide a configuration history, resource AWS::SNS::Topic
inventory, automated review mechanisms for system changes in AWS::Config::ConfigRule
near real time, and are pre-configured to notify subscribers of an
SNS topic If these security-relevant changes occur: IAM
Configuration changes detected, New IAM access key created,
CloudTrail log configuration changes detected, creation, update
or deletion of a Security Group or Network ACL, unrestricted-
ssh-access and unrestricted ports (no source/destination
restrictions)

administrative requirement, but the customer should take into
account its use of AWS services when conducting its own risk
analysis.
N/A
If the customer incorporates and relies on AWS Services (such as
those in this architecture), it should identify those uses in its risk
management plan. In this architecture for example, Amazon
CloudWatch alarms and AWS Config and associated Config Rules
(in regions where available) are employed to provide a
configuration history, resource inventory, automated review
mechanisms for system changes in near real time, and are pre-
configured to notify subscribers of an SNS topic if these security-
relevant changes occur: IAM Configuration changes detected,
New IAM access key created, CloudTrail log configuration
changes detected, creation, update or deletion of a Security
Group or Network ACL, unrestricted-ssh-access and unrestricted
ports (no source/destination restrictions). The customer is N/A
responsible for incorporating these uses in its risk management
plan.
N/A N/A
Customers may choose to incorporate certain features in AWS AWS::CloudTrail::Trail

Services as a component of its procedures for reviewing AWS::S3::Bucket
information system activity. For example, in this architecture, AWS::S3::BucketPolicy
AWS CloudTrail and S3 bucket logging are enabled to support
the capability for review of IS activity by logging all security-
relevant user/API activities, data access activities, and source
and destination addresses. Log records are stored in an S3
bucket for access by auditors and/or log analysis tools.
N/A N/A
In this architecture, CloudTrail provides visibility to workforce
access and AWS Config is configured to use the HIPAA
Conformance pack allowing for continuous monitoring of
resources and the ability to automate notification when
resources are not configured according to your specified
requirements.
N/A
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In this architecture, AWS CloudTrail is enabled, which provides AWS::CloudTrail::Trail

audit trail capability for the organization to monitor the use of AWS::CloudWatch::Alarm
AWS Identity and Access Management (IAM) accounts. An AWS::SNS::Topic
Amazon S3 bucket centrally contains the CloudTrail audit logs. AWS::S3::Bucket
An Amazon CloudWatch alarm is configured to send an alert via
Amazon SNS when Root user activity detected, when multiple
API actions or login attempts fail, when IAM Configuration
changes are detected, when new IAM access key was created
and when changes to the CloudTrail log configuration is
detected
The customer may choose to use AWS Identity and Access
Management (IAM) to manage workforce members' passwords.
AWS IAM contains built-in features that provide mechanisms for
creating, changing, and protecting passwords for the AWS
account. IAM performs enforcement of AWS account password
policies such as minimum complexity, password expiration, re-
use of old passwords, requirement for a new password to be
entered upon login, etc.
AWS IAM provides the capability for uniquely identifying and N/A
authenticating users, providing privileges based on the
credentials, group memberships, and access policies assigned to
them.
In this architecture, AWS CloudTrail is enabled, which provides

audit trail capability for the organization to monitor the use of
AWS Identity and Access Management (IAM) accounts. An
Amazon S3 bucket centrally contains the CloudTrail audit logs.
Amazon SNS when Root user activity detected, when multiple AWS::CloudTrail::Trail
API actions or login attempts fail, when IAM Configuration AWS::CloudWatch::Alarm
changes are detected, when new IAM access key was created AWS::SNS::Topic
and when changes to the CloudTrail log configuration is AWS::S3::Bucket
detected.
In this architecture, AWS CloudTrail is enabled, which provides

audit trail capability for the organization to monitor the use of
AWS Identity and Access Management (IAM) accounts. An
Amazon S3 bucket centrally contains the CloudTrail audit logs.
Amazon SNS when Root user activity detected, when multiple AWS::CloudTrail::Trail
API actions or login attempts fail, when IAM Configuration AWS::CloudWatch::Alarm
changes are detected, when new IAM access key was created AWS::SNS::Topic
and when changes to the CloudTrail log configuration is AWS::S3::Bucket
detected
This architecture incorporates multiple AWS Availability Zones
(AZs). Amazon S3 storage replicates data within a Region by
default. Storing ePHI in Amazon S3 and leveraging multiple AZs
are elemental to organizational plans for transfer of, processing,
and storage of data to alternate sites. This architecture enables
the customer to leverage built-in alternate storage and
processing capabilities that dynamically provides transfer and
resumption of system operations in the event of failures due to
fire, vandalism, hardware malfunctions, network/power N/A
outages, or a small area natural disaster.
N/A N/A
N/A N/A
In this architecture, use the multiple AWS Availability Zones AWS::S3::Bucket

(AZs) to host applications and resources in different locations
within a Region configured in a way that meet this requirement.
Another example is S3 buckets are replicated to multiple AZs
within a Region providing a built in safeguard for CloudTrail logs.
While this is not ePHI, it is required to track access to resources
containing ePHI. S3 provides built-in, live alerternate storage
and protection of AWS API and access activity logs.
N/A N/A
N/A N/A
N/A N/A

administrative safeguard, but AWS does offer a BAA to
customers.
N/A

administrative safeguard, but AWS does offer a BAA to
customers.
N/A
administrative safeguard, but the customer should take into
account its use of AWS services when evaluating this
requirement.
N/A

requirement.
N/A

requirement.
N/A

requirement.
N/A

requirement.
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requirement.
N/A

requirement.
N/A

requirement.
N/A
requirement.
N/A
In this virtual environment, there is no movement of equipment.
N/A
N/A N/A
In this architecture, AWS CloudTrail and Amazon S3 Bucket AWS::CloudTrail::Trail

logging are enabled by default, which provide tracking/audit trail AWS::CloudWatch::Alarm
capability for the organization to monitor the use of AWS IAM AWS::SNS::Topic
accounts for both interactive and non-interactive API-based user AWS::S3::Bucket
activity and data access activity. An Amazon S3 bucket centrally AWS::S3::BucketPolicy
contains the CloudTrail audit logs.
In this architecture, AWS CloudTrail and Amazon S3 Bucket AWS::S3::Bucket

logging are enabled by default, which provide tracking/audit trail
capability for the organization to monitor access to electronic
health information during an emergency.
requirement.
N/A
N/A N/A
In this architecture, AWS CloudTrail and S3 bucket logging are AWS::CloudTrail::Trail

enabled to record security-relevant user/API activities, data AWS::S3::Bucket
access activities, and source and destination addresses. Log
records are stored in an S3 bucket for access by auditors and/or
log analysis tools.
N/A N/A
In this architecture, AWS CloudTrail and S3 bucket logging are AWS::CloudTrail::Trail

enabled to log all security-relevant user/API activities, data AWS::S3::Bucket
access activities, with the associated source and destination IP
addresses. Log records are stored in an S3 bucket for access by
auditors and/or log analysis tools. Versioning is enabled on the
web data and log S3 buckets so that original content is retained
upon any data object changes for potential comparison, and
bucket logging is enabled to log changes.
N/A N/A
N/A N/A
N/A N/A
N/A N/A

customers.
N/A

administrative requirement, but AWS does offer a BAA to N/A
customers.

customers.
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customers.
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customers.
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customers.
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the AWS BAA).
AWS CloudFormation Template Name (Stack)
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compliance-hipaa-logging template
compliance-hipaa-config template
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compliance-hipaa-config template
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compliance-hipaa-prod template
compliance-hipaa-management template
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compliance-hipaa-dev template
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compliance-hipaa-dev template
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Topic Areas
HIPAA Regulatory Citation (45 C.F.R. § xxx.xxx)
Name
HIPAA Regulation Text
HIPAA Rule Category
AWS Commentary
Quick Start Implementation's Applicability to

the Customer's HIPAA Compliance Program
AWS Resource Type(s)
AWS CloudFormation Template Name (Stack)

Comments
Citation for the applicable HIPAA regulation.
Name of the applicable HIPAA regulation.
Text of the applicable HIPAA regulation.
This section provides a sorting category to indicate which type of HIPAA Rule is specified within the row.
Categories:
Breach Notification Rule
Privacy Rule
Security Rule
In this section, AWS provides additional commentary related to best practices, links to online documentation, and o
suggestions or recommendations to assist the customer in meeting HIPAA requirements within the AWS cloud.
In this section, AWS provides a synopsis of the implemented configurations at the infrastructure layer for
workloads/customer accounts (as well as information on controls inherited from the cloud back-end infrastructure)
relevant to customer's requirements specified in the applicable HIPAA regulation.
This section lists any AWS CloudFormation template(s) in scope for HIPAA and a Description of the AWS Quick Start
Implementation (e.g. which template(s) perform actions that are relevant to the customer's requirements).
This section lists specific AWS resource types configured within the CloudFormation templates that are relevant to
customer's ability to comply with HIPAA requirements.
Date
February 10, 2017
August 24, 2017
April 2, 2021
Change Log
Initial version
Updated to reflect BAA Change
Updated quick start templates to reflect AWS best practices and leverage updated services and features

HIPAA Security Controls Mapping

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HIPAA Security Controls Mapping

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AWS Enterprise Accelerator – Compliance:

HIPAA Regulatory Mappings for AWS Quick Start Implementation

This Quick Start supports the following frameworks:

are relevant for customers when they evaluate

data that indicate which of the Quick Start

mers are solely responsible for determining and

Definitions used in this QuickStart guide

§164.506(a) Permitted uses and

Limited uses and

Disclosures for law

Disclosures for law

§164.526(a)(1) Right to Amend

§164.530(h) Waiver of rights

§164.308(a)(6)(i) Security Incident

§164.308(a)(7)(ii)(A) Contingency Plan –

§164.310(d)(1) Device and Media

Device and Media

Device and Media

Device and Media

§164.312(b) Audit Controls

§164.314(a)(2)(i)(B) Business associate

Group Heath Plan

Group Heath Plan

Group Heath Plan

§164.414(b) Burden of Proof

Use and disclosure of genetic information for

From §160.103 Definitions.

From §160.103 (Definitions):

Standard: Personal representatives. As specified

Disclosures by workforce members who are

Uses and disclosures to carry out treatment,

§164.506(b)(2) Consent, under

Authorization required: General rule.

Limited uses and disclosures when the individual

Standard: Uses and disclosures for involvement

A covered entity may use or disclose protected

§164.512(c)(2) Informing the

Permitted disclosure: Decedents. A covered

Permitted disclosure: Crime on premises. A

Standard: Uses and disclosures for cadaveric

Medical suitability determinations.- A covered

Standard: Disclosures for workers'

Implementation specification: Other content

(2) Implementation Privacy Rule

Implementation specification: Documentation. A

Standard: Confidential communications

§164.524(b) Timely action by

§164.524(d)(2) Denial. The

(i) The protected health

Standard: Right to amend. (1) Right to amend.

Implementation specifications: Accepting the

Implementation specification: Documentation. A

Standard: Training. A covered entity must train

Standard: Complaints to the covered entity. A

Implementation specification: Documentation of

Standard: Mitigation. A covered entity must

Standard: Refraining from intimidating or

Standard: Waiver of rights. A covered entity may

(1) Ensure the confidentiality, integrity, and

A covered entity or business associate must in

Conduct an accurate and thorough assessment

Apply appropriate sanctions against workforce

Implement procedures to regularly review