Business Associate Agreement

The following Business Associate Agreement (BAA) is a sample template provided by AssemblyAI. Paid customers can sign a BAA with us self-serve from the Data Controls page in the AssemblyAI dashboard.

BUSINESS ASSOCIATE ADDENDUM AND QUALIFIED SERVICE ORGANIZATION AGREEMENT

This Business Associate Addendum and Qualified Service Organization Agreement (“BAA”) by and between the Customer identified in the Agreement (“Covered Entity”) and AssemblyAI Inc. (“Business Associate”) shall supplement and be incorporated into the Agreement (defined below) only upon mutual execution of this BAA by Business Associate and Covered Entity pursuant to Section 9 herein. Covered Entity and Business Associate may be referred to herein together as the “Parties” or individually as “Party”.

WHEREAS, The Parties have entered into the Agreement pursuant to which Business Associate provides certain Services to Covered Entity which may involve the creation, receipt, maintenance or transmission of Protected Health Information from or on behalf of Covered Entity, which information is subject to protection under the Federal Health Insurance Portability and Accountability Act of 1996, Pub. L. No. 104-191 (“HIPAA”), the Health Information Technology for Economic and Clinical Health Act, Title XIII of the American Recovery and Reinvestment Act of 2009 (the “HITECH Act”), and related regulations promulgated by the Secretary (“HIPAA Regulations”); and

WHEREAS, Business Associate qualifies as a “business associate” (as defined by the HIPAA Regulations) of its clients, which means that Business Associate has certain responsibilities with respect to the Protected Health Information of its clients; and

WHEREAS, Covered Entity acknowledges that it must comply with the Federal Confidentiality of Alcohol and Drug Abuse Patient Records law and regulations, 42 USC § 290dd2 and 42 CFR Part 2 (collectively, “Part 2”) and to the extent that Business Associate is also a Qualified Service Organization (“QSO”) under Part 2, Business Associate must agree to certain mandatory provisions regarding the use and disclosure of substance abuse treatment information; and 

WHEREAS, in light of the foregoing and the requirements of HIPAA, the HITECH Act, the HIPAA Regulations, and Part 2, Business Associate and Covered Entity agree to be bound by the following terms and conditions.

NOW, THEREFORE, for good and valuable consideration, the receipt and sufficiency of which is hereby acknowledged, the Parties agree in this BAA as follows:

1. Definitions.

(a) “Affiliate” shall have the meaning set forth in the Agreement. 

(b) “Agreement” shall mean any present or future agreements, either written or oral, between Covered Entity and Business Associate under which Business Associate provides Services to Covered Entity which involve the use or disclosure of Protected Health Information, including, as applicable, the Terms of Service.  

(c) “Breach” shall have the same meaning as the term “breach” in 45 CFR § 164.402.

(d) “Electronic Health Record” shall have the same meaning as the term “electronic health record” in the HITECH Act, Section 13400(5).

(e) “Electronic Protected Health Information” shall have the same meaning as the term “electronic protected health information” in 45 CFR § 160.103, limited to the information that Business Associate creates, receives, maintains, or transmits from or on behalf of Covered Entity.

(f) “Individual” shall have the same meaning as the term “individual” in 45 CFR § 160.103 and shall include a person who qualifies as a personal representative in accordance with 45 CFR § 164.502(g).

(g) “Privacy Rule” shall mean the Standards for Privacy of Individually Identifiable Health Information at 45 CFR Part 160 and Part 164.

(h) “Protected Health Information” shall have the same meaning as the term “protected health information” in 45 CFR § 160.103, and patient-identifying information, as that term is defined in 42 CFR § 2.11, limited to the information created, received, maintained or transmitted by Business Associate from or on behalf of Covered Entity.

(i) “Qualified Service Organization Agreement” shall have the same meaning as defined in 42 CFR 2.12(c)(4).

(j) “Required by Law” shall have the same meaning as the term “required by law” in 45 CFR § 164.103.

(k) “Secretary” shall mean the Secretary of the Department of Health and Human Services or his designee.

(l) “Security Rule” shall mean the Security Standards at 45 Part 160 and Part 164.

(m) “Services” shall have the meaning set forth in the Agreement. 

(n) Subcontractor.  “Subcontractor” shall have the same meaning as the term “subcontractor” in 45 CFR § 160.103.

(o) Unsecured Protected Health Information. “Unsecured Protected Health Information” shall have the same meaning as the term “unsecured protected health information” in 45 CFR § 164.402.

Any capitalized term used, but not otherwise defined, in this BAA shall have the respective meaning given to that term by HIPAA, the HITECH Act, the HIPAA Regulations, or Part 2, each as applicable, in effect, and as may be amended from time to time.

2. Obligations and Activities of Business Associate.

(a) Use and Disclosure.  Business Associate agrees not to use or disclose Protected Health Information other than as permitted or required by the Agreement, this BAA or as Required By Law.  Business Associate shall comply with the provisions of this BAA relating to privacy and security of Protected Health Information and all present and future provisions of HIPAA, the HITECH Act and HIPAA Regulations that relate to the privacy and security of Protected Health Information and that are applicable to Covered Entity and/or Business Associate.  Without limiting the foregoing, to the extent the Business Associate will carry out one or more of the Covered Entity’s obligations under the Privacy Rule, Business Associate shall comply with the requirements of the Privacy Rule that apply to the Covered Entity in the performance of such obligations.  

(b) Qualified Service Organization.  Business Associate acknowledges that it may also be a Qualified Service Organization as defined in 42 CFR 2.11 and as such: (i) acknowledges that, to the extent it receives, stores, processes or otherwise deals with any information, whether recorded or not, relating to a patient received or acquired by a federally assisted alcohol or drug program, it is fully bound by the regulations in 42 CFR Part 2; and (ii) if necessary, will resist in judicial proceedings any efforts to obtain access to any information, whether recorded or not, relating to a patient received or acquired by a federally assisted alcohol or drug program, except as permitted by 42 CFR Part 2.

(c) Appropriate Safeguards. Business Associate agrees to use appropriate safeguards and comply, where applicable, with the Security Rule to prevent the use or disclosure of the Protected Health Information other than as provided for by this BAA.  Without limiting the generality of the foregoing sentence, Business Associate will (i) implement administrative, physical, and technical safeguards that reasonably and appropriately protect the confidentiality, integrity and availability of Electronic Protected Health Information as required by the Security Rule; and (ii) ensure that any Subcontractor to whom Business Associate provides Electronic Protected Health Information agrees in writing to implement reasonable and appropriate safeguards and comply, where applicable, with the Security Rule to protect Electronic Protected Health Information and comply with the other requirements of Section 2(a) above.

(d) Reporting.  Business Associate agrees to promptly report to Covered Entity the occurrence of any of the following (i) any use or disclosure of Protected Health Information not permitted by this BAA of which Business Associate becomes aware, or (ii) any Security Incident of which Business Associate becomes aware. However, Customer is hereby notified of the possible occurrence of, and Subcontractor shall not have any further obligation to notify Customer of any, unsuccessful attempts to (A) obtain unauthorized access to, or make unauthorized use, disclose, modification or destruction of, any PHI or (B) interfere with system operations in an information system, in each case where such unsuccessful attempts are extremely numerous and common to all users of electronic information systems (e.g., unsuccessful attempted unauthorized access to information systems, unsuccessful attempted modification or destruction of data files and software, unsuccessful attempted transmission of a computer virus, unsuccessful pings or other broadcast attacks on a firewall, unsuccessful denial of service attacks, port scans or login attempts, unsuccessful interception of encrypted information where the key is not compromised, or any combination of the above).

In addition, Business Associate agrees to notify Covered Entity without unreasonable delay and in no event more than thirty (30) days following the discovery of a Breach of Unsecured Protected Health Information. Any notice of a Security Incident or Breach of Unsecured Protected Health Information shall include, if known by Business Associate, the identification of each Individual whose Protected Health Information has been, or is reasonably believed by Business Associate to have been, accessed, acquired or disclosed during such Security Incident or Breach as well as any other relevant information regarding the Security Incident or Breach.  Any such notice shall be directed to Covered Entity as set forth in the Agreement.

(e) Mitigation.  Business Associate agrees to mitigate, to the extent practicable, any harmful effect that is known to Business Associate of a use or disclosure of Protected Health Information by Business Associate or its employees, officers, Subcontractors or agents in violation of the requirements of this BAA (including, without limitation, any Security Incident or Breach of Unsecured Protected Health Information).

(f) Subcontractors. Business Associate shall ensure that any Subcontractor to whom Business Associate provides Protected Health Information received from, or created, maintained, received or transmitted by, Business Associate on behalf of Covered Entity enters into a written agreement meeting the requirements of 45 C.F.R. §§ 164.504(e) and 164.314(a)(2).

(g) Access to Designated Record Sets. To the extent that Business Associate possesses or maintains Protected Health Information in a Designated Record Set, Business Associate agrees to provide access, at the request of Covered Entity to Protected Health Information in a Designated Record Set, to Covered Entity in order to meet the requirements under HIPAA Regulations.  If an Individual makes a request for access to Protected Health Information directly to Business Associate, Business Associate shall notify Covered Entity of the request within five (5) business days of such receipt of such request.

(h) Amendments to Designated Record Sets. To the extent that Business Associate possesses or maintains Protected Health Information in a Designated Record Set, Business Associate agrees to make any amendment(s) to Protected Health Information in a Designated Record Set that the Covered Entity directs or agrees to pursuant to HIPAA Regulations at the request of Covered Entity or an Individual.  If an Individual makes a request for an amendment to Protected Health Information directly to Business Associate, Business Associate shall notify Covered Entity of the request within five (5) business days of such receipt of such request.

(i) Access to Books and Records. Business Associate agrees to make its internal practices, books, and records, including policies and procedures and Protected Health Information, relating to the use and disclosure of Protected Health Information received from, or created or received by Business Associate on behalf of, Covered Entity available to the Secretary, in a time and manner designated by the Secretary, for purposes of the Secretary determining Covered Entity’s compliance with the Privacy Rule.

(j) Accountings. Business Associate agrees to document such disclosures of Protected Health Information and information related to such disclosures as would be required for Covered Entity to respond to a request by an Individual for an accounting of disclosures of Protected Health Information in accordance with HIPAA, HIPAA Regulations and the HITECH Act.

(k) Requests for Accountings. Business Associate agrees to provide to Covered Entity, within thirty (30) days of a request by Covered Entity, information collected in accordance with Section 2(j) of this BAA, to permit Covered Entity to respond to a request by an Individual for an accounting of disclosures of Protected Health Information in accordance with HIPAA, HIPAA Regulations and the HITECH Act.  If an Individual makes a request for an accounting directly to Business Associate, Business Associate shall notify Covered Entity of the request within five (5) business days of such receipt of such request.

3. Permitted Uses and Disclosures by Business Associate.

(a) Agreement.  Except as otherwise limited in this BAA, Business Associate may use or disclose Protected Health Information to perform functions, activities, or Services for, or on behalf of, Covered Entity as specified in the Agreement, provided that such use or disclosure would not violate HIPAA, HIPAA Regulations or the HITECH Act if done by Covered Entity. Covered Entity shall be responsible for ensuring such use or disclosure of Protected Health Information by Business Associate consistent with this Section 3(a) will not cause Business Associate to violate HIPAA, HIPAA Regulations or the HITECH Act.

(b) Use for Administration of Business Associate. Except as otherwise limited in this BAA, Business Associate may use Protected Health Information for the proper management and administration of the Business Associate or to carry out the legal responsibilities of the Business Associate.

(c) Disclosure for Administration of Business Associate. Except as otherwise limited in this BAA, Business Associate may disclose Protected Health Information for the proper management and administration of the Business Associate, provided that (i) disclosures are Required by Law, or (ii) Business Associate obtains reasonable assurances from the person to whom the information is disclosed that it will remain confidential and used or further disclosed only as Required by Law or for the purpose for which it was disclosed to the person, and the person notifies the Business Associate of any instances of which it is aware in which the confidentiality of the information has been breached.

(d) De-identification. The Business Associate is authorized to de-identify the Protected Health Information in accordance with 45 CFR 164.514(a)-(c) and use and disclose such de-identified information to the extent permitted by applicable law.

(e) Data Aggregation.  Business Associate may provide data aggregation Services relating to the health care operations of the covered entity.

4. Permissible Requests by Covered Entity. 

Except as set forth in Section 3 of this BAA, Covered Entity shall not request Business Associate to use or disclose Protected Health Information in any manner that would not be permissible under the Privacy Rule if done by Covered Entity.

5. Term and Termination.

(a) Term. This BAA shall be effective as of the date of this BAA and shall terminate when all of the Protected Health Information provided by Covered Entity to Business Associate, or created, received or maintained by Business Associate on behalf of Covered Entity, is destroyed or returned to Covered Entity, or, if it is infeasible to return or destroy Protected Health Information, protections are extended to such information, in accordance with the termination provisions in this Section.

(b) Termination for Cause. Any other provision of this BAA notwithstanding, either Party (the “Non-Breaching Party”) may terminate this BAA upon 30 days advance written notice to the other party (the “Breaching Party”) in the event that the Breaching Party breaches this BAA in any material respect and such breach is not cured to the reasonable satisfaction of the Non-Breaching Party within such 30-day period.

(c) Effect of Termination.

(i) Except as provided in Section 5(c)(ii), upon termination of this BAA, for any reason, Business Associate shall return or destroy all Protected Health Information received from Covered Entity, or created or received by Business Associate on behalf of Covered Entity. This provision shall apply to Protected Health Information that is in the possession of Subcontractors or agents of Business Associate. Business Associate shall retain no copies of the Protected Health Information.

(ii) In the event that Business Associate determines that returning or destroying the Protected Health Information is infeasible, Business Associate shall provide to Covered Entity notification of the conditions that make return or destruction infeasible. Business Associate shall extend the protections of this BAA to such Protected Health Information and limit further uses and disclosures of such Protected Health Information to those purposes that make the return or destruction infeasible, for so long as Business Associate maintains such Protected Health Information.

6. Obligations of Covered Entity.

(a) Privacy Notice. Covered Entity shall notify Business Associate of any limitation(s) in its notice of privacy practices of Covered Entity in accordance with 45 CFR § 164.520, to the extent that such limitation may affect Business Associate’s use or disclosure of Protected Health Information.

(b) Changes of Permission of Individual. Covered Entity shall notify Business Associate of any changes in, or revocation of, permission by an Individual to use or disclose Protected Health Information, to the extent that such changes may affect Business Associate’s use or disclosure of Protected Health Information.

(c) Restrictions on Use or Disclosure. Covered Entity shall notify Business Associate of any restriction to the use or disclosure of Protected Health Information that Covered Entity has agreed to in accordance with 45 CFR § 164.522, to the extent that such restriction may affect Business Associate’s use or disclosure of Protected Health Information.

(d) Responsibilities Regarding Protected Health Information. Covered Entity is solely responsible for the accuracy, quality, and legality of (i) the Protected Health Information received, maintained or transmitted by or on behalf of Covered Entity to Business Associate, (ii) the means by which Covered Entity acquired any such Protected Health Information, and (iii) the instructions it provides to Business Associate under this BAA.

7. Coordination of Business Associate and Covered Entity.

(a) Investigation.  The Parties shall reasonably cooperate and coordinate with each other in the investigation of any violation of the requirements of this BAA and/or any Security Incident or Breach.  

(b) Reports and Notices.  The Parties shall reasonably cooperate and coordinate with each other in the preparation of any reports or notices to the Individual, a regulatory body or any third party required to be made under HIPAA, HIPAA Regulations, the HITECH Act, or any other Federal or State laws, rules or regulations.

8. Miscellaneous.

(a) Regulatory References. A reference in this BAA to a section in HIPAA, HIPAA Regulations, or the HITECH Act means the section as in effect or as amended or modified from time to time, including any corresponding provisions of subsequent superseding laws or regulations.

(b) Amendment. The Parties agree to take such action as is necessary to amend the Agreement and/or this BAA from time to time as is necessary for Covered Entity to comply with the requirements of HIPAA, the HIPAA Regulations and the HITECH Act.

(c) Survival. The rights and obligations of Business Associate under Sections 5(c) and the Parties under Section 7 and this Section 8 of this BAA shall survive the termination of the Agreement and this BAA.

(d) Interpretation. Any ambiguity in this BAA shall be resolved to permit both Parties  to comply with HIPAA, HIPAA Regulations and the HITECH Act.

(e) Limitation of Liability. In no event shall Business Associate’s and its present and former Affiliates’, directors’, officers’, employees’, and agents’ aggregate liability arising out of or related to this BAA, whether in contract, tort, or under any other theory of liability, exceed the amounts actually paid by and due from Covered Entity under the Agreement during the one year period immediately preceding the date the cause of action arose.

(f) Exclusion of Consequential Damages. In no event shall Business Associate or its present and former Affiliates, directors, officers, employees, or agents have any liability to Covered Entity or any third party for any lost profits, loss of data, loss of use, costs of procurement of substitute good or services, or for any indirect, special, incidental, punitive, or consequential damages however caused and, whether in contract, tort, or under any other theory of liability whether or not Business Associate has been advised of the possibility of such damage. Because some states or jurisdictions do not allow the exclusion or the limitation of liability for consequential or incidental damages, in such states or jurisdictions, Business Associate’s and its present and former subsidiaries’, Affiliates’, directors’, officers’, employees’, and agents’ liability shall be limited to the maximum extent permitted by law.

(g) Miscellaneous.  This BAA is for the benefit of, and will be binding upon the Parties, their Affiliates and respective successors and assigns. This BAA will not apply to any operations, functions, or activities of Business Associate that are not subject to HIPAA or Part 2, do not involve processing of Protected Health Information or Part 2 data, or do not otherwise require a Business Associate Agreement. The terms of this BAA are hereby incorporated into the Agreement only upon execution pursuant to Section 9 of this BAA. Except as otherwise set forth in Section 8(d) of this BAA, in the event of a conflict between the terms of this BAA and the terms of the Agreement, the terms of this BAA shall prevail. The terms of the Agreement which are not modified by this BAA shall remain in full force and effect in accordance with the terms thereof.  This BAA shall be governed by, and construed in accordance with, the state where the Business Associate is located, exclusive of conflict of law rules.  Each Party hereby agrees and consents that any legal action or proceeding with respect to this BAA shall only be brought in the courts of the state where the Business Associate is located in the county where the Business Associate is located. The Agreement together with this BAA constitutes the entire agreement between the Parties with respect to the subject matter contained herein, and this BAA supersedes and replaces any former business associate agreement or addendum entered into by the Parties.  This BAA may be executed in counterparts, each of which when taken together shall constitute one original.  Any PDF or facsimile signatures to this BAA shall be deemed original signatures to this BAA.  No amendments or modifications to the BAA shall be effective unless agreed upon by both Parties in writing.

9. Execution; Effective Date.

This BAA shall only be effective and deemed incorporated into the Agreement upon execution of this BAA by the Parties, as of the date that the Covered Entity executes this BAA pursuant to the mechanism made available to Covered Entity. To execute and effectuate this BAA, the Covered Entity must submit a request to enter into this BAA here.