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Compliance Implementation Roadmap

Prioritized Actions for Full Compliance

Implementation Overview

This roadmap prioritizes compliance actions based on risk, regulatory requirement, and implementation effort.

Phase 1: Immediate (Week 1-2)

Action Owner Deliverable Status
Appoint Privacy Officer Leadership Designated individual ⬜
Vapi BAA execution Legal Signed agreement ⬜
Clinic BAA template Legal Agreement template ⬜

Documentation

Action Owner Deliverable Status
Update privacy policy Privacy Officer Published policy ⬜
Breach notification procedure Security Documented procedure ⬜
Data retention schedule Privacy Officer Documented schedule ⬜

Technical

Action Owner Deliverable Status
Verify OSCAR credential encryption Engineering Verification report ⬜
Confirm no PHI in logs Engineering Log audit report ⬜

Phase 2: Short-Term (Week 3-4)

Documentation

Action Owner Deliverable Status
Access request procedure Privacy Officer Documented procedure ⬜
Complaint handling procedure Privacy Officer Documented procedure ⬜
Sub-processor list Privacy Officer Published list ⬜
Security policies Security Policy documents ⬜

Technical

Action Owner Deliverable Status
Implement vulnerability scanning Engineering Trivy integration ⬜
Automated log retention Engineering 1-year purge job ⬜
Backup encryption verification Engineering Verification report ⬜

Phase 3: Medium-Term (Month 2)

Operational

Action Owner Deliverable Status
Incident response plan Security Documented plan ⬜
Access review process Security Quarterly schedule ⬜
Vendor review process Security Annual schedule ⬜
Risk assessment Security Risk register ⬜

Technical

Action Owner Deliverable Status
Centralized logging Engineering Loki deployment ⬜
Alerting integration Engineering PagerDuty/Slack ⬜
DR testing Engineering DR test report ⬜

Phase 4: Long-Term (Month 3+)

SOC 2 Preparation

Action Owner Deliverable Status
Evidence collection Security Evidence repository ⬜
Readiness assessment Security Gap analysis ⬜
Auditor selection Leadership Signed engagement ⬜
SOC 2 audit External Type II report ⬜

Ongoing

Action Owner Frequency Status
Security review Security Annual ⬜
Penetration testing External Annual ⬜
Privacy training Privacy Officer Annual ⬜
Policy review Privacy Officer Annual ⬜
Access review Security Quarterly ⬜

Key Dependencies

┌─────────────────────────────────────────────────────────────────┐
│                    DEPENDENCY CHAIN                              │
├─────────────────────────────────────────────────────────────────┤
│                                                                  │
│  Week 1-2                                                        │
│  ────────                                                       │
│  Privacy Officer → Privacy Policy → Clinic BAAs                 │
│                 → Breach Procedure                               │
│                 → Retention Schedule                             │
│                                                                  │
│  Week 3-4                                                        │
│  ────────                                                       │
│  Security Policies → Access Review → Incident Response          │
│                                                                  │
│  Month 2                                                         │
│  ───────                                                        │
│  Risk Assessment → Evidence Collection → SOC 2 Readiness        │
│                                                                  │
│  Month 3+                                                        │
│  ────────                                                       │
│  SOC 2 Readiness → Auditor Selection → SOC 2 Audit             │
│                                                                  │
└─────────────────────────────────────────────────────────────────┘

Success Metrics

Milestone Target Date Measure
Privacy Officer appointed Week 1 Named individual
Vapi BAA signed Week 2 Executed agreement
Privacy policy live Week 2 Published on website
Vulnerability scanning Week 4 Trivy in CI/CD
SOC 2 readiness Month 3 Internal assessment
SOC 2 Type II report Month 6-8 Auditor report

Risk Matrix

Risk Likelihood Impact Mitigation
Breach without BAA Medium High Priority 1: Execute BAAs
Privacy complaint Low Medium Priority 1: Privacy policy
OSCAR credential exposure Low Critical Verify encryption
Audit failure Medium High Follow roadmap
Vendor non-compliance Low Medium Vapi BAA, monitoring

Compliance Calendar

Monthly

Task Week Owner
Log review 1 Engineering
Alert review 1 Engineering
Vulnerability scan review 2 Security

Quarterly

Task Month Owner
Access review 1, 4, 7, 10 Security
Policy review 1, 4, 7, 10 Privacy Officer

Annual

Task Month Owner
Risk assessment January Security
Security review January Security
Penetration test February External
Privacy training March Privacy Officer
Vendor review April Security
DR test May Engineering
SOC 2 audit August External

Next Steps