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HIPAA Compliant Third-Party Vendor Risk Assessment Checklist

A comprehensive checklist designed to guide healthcare organizations in assessing and managing the HIPAA compliance and security risks associated with third-party vendors who have access to protected health information (PHI).

HIPAA Compliant Third-Party Vendor Risk Assessment Checklist
by: audit-now
4.8

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About This Checklist

The HIPAA Compliant Third-Party Vendor Risk Assessment Checklist is a crucial tool for healthcare organizations to evaluate and manage the risks associated with engaging external vendors who may have access to protected health information (PHI). This comprehensive checklist guides covered entities through the process of assessing potential and existing vendors' HIPAA compliance, security measures, and data handling practices. By systematically reviewing vendor relationships, healthcare providers can ensure that their partners maintain the same level of data protection and regulatory compliance, thereby reducing the risk of data breaches and HIPAA violations. Regular use of this checklist helps create a robust vendor management program, enhances overall data security, and demonstrates due diligence in safeguarding patient information across the entire supply chain.

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Industry

Healthcare

Standard

HIPAA - Health Insurance Portability and Accountability Act

Workspaces

Healthcare administrative offices

Occupations

Vendor Management Specialist
HIPAA Compliance Officer
IT Security Manager
Procurement Officer
Risk Management Professional

1
Is the vendor compliant with HIPAA regulations?

Select the compliance status of the vendor.

To ensure that suppliers are adhering to necessary legal standards for protecting PHI.
2
Does the vendor have a data breach response policy in place?

Indicate whether the vendor has a data breach policy.

To assess the vendor's preparedness in case of a data breach.
3
How many times per year does the vendor conduct HIPAA training for employees?

Enter the number of training sessions conducted annually.

To evaluate the vendor's commitment to employee training on HIPAA compliance.
Min: 0
Target: 2
Max: 12
4
Are there adequate controls in place to protect PHI?

Select the availability status of PHI access controls.

To ensure that the vendor has measures to safeguard sensitive healthcare data.
5
Does the vendor have an incident response plan for data breaches?

Select whether an incident response plan is in place.

To determine the vendor's ability to react to data breaches effectively.

6
What is the name of the vendor being assessed?

Enter the full name of the vendor.

To identify the specific vendor under evaluation for HIPAA compliance.
7
What is the assessed risk level associated with this vendor?

Select the risk assessment level for the vendor.

To categorize the vendor based on their risk to PHI security.
8
Please provide any additional notes regarding vendor compliance.

Enter any relevant comments or observations about the vendor.

To capture specific details or concerns that may not be covered by other questions.
9
On a scale of 1 to 10, how effective are the vendor's data protection measures?

Rate the effectiveness of data protection measures.

To quantify the effectiveness of the vendor's security protocols.
Min: 1
Target: 7
Max: 10
10
When was the last compliance audit conducted for this vendor?

Select the date of the last compliance audit.

To track the timeline of compliance audits and ensure regular evaluations.

11
Who is the primary contact person for this vendor?

Enter the name of the primary contact person.

To establish a point of contact for communication regarding compliance issues.
12
Is sensitive data encrypted during transmission and storage?

Select the encryption status of sensitive data.

To evaluate the vendor's commitment to data security through encryption.
13
How many incident reports related to PHI breaches has the vendor had in the last year?

Enter the number of incident reports for the past year.

To assess the vendor's history of data breaches and incidents.
Min: 0
Target: 0
Max: 100
14
Does the vendor regularly review third-party access to PHI?

Indicate whether the vendor conducts regular access reviews.

To confirm the vendor's diligence in monitoring external access to sensitive information.
15
When is the next scheduled compliance review for this vendor?

Select the date of the next compliance review.

To track upcoming compliance activities and ensure timely assessments.

16
What services does the vendor provide related to PHI?

Provide a brief description of the services offered by the vendor.

To understand the scope of services that may involve protected health information.
17
Is there a current Business Associate Agreement (BAA) with this vendor?

Select the status of the Business Associate Agreement.

To verify that a legal agreement is in place to protect PHI.
18
How often does the vendor undergo audits for HIPAA compliance?

Enter the number of audits conducted per year.

To assess the regularity of compliance audits conducted for the vendor.
Min: 1
Target: 1
Max: 12
19
Describe any remediation actions taken by the vendor following the last audit.

Provide details regarding any corrective actions implemented.

To document the vendor's responsiveness to compliance findings.
20
When was the last risk assessment conducted for this vendor?

Select the date of the last risk assessment.

To track the timeline of risk assessments relevant to vendor compliance.

21
What is the primary location of the vendor?

Enter the city and state of the vendor's primary location.

To identify the geographical area in which the vendor operates, which may affect compliance.
22
Are the vendor's data handling procedures documented and accessible?

Select the status of the vendor's data handling procedures.

To ensure that the vendor has formalized procedures for managing PHI.
23
How many staff training sessions on HIPAA compliance does the vendor conduct annually?

Enter the total number of training sessions held each year.

To assess the vendor's commitment to ongoing staff education regarding HIPAA regulations.
Min: 0
Target: 2
Max: 12
24
Does the vendor regularly review their privacy and security policies?

Indicate whether the vendor conducts regular policy reviews.

To confirm that the vendor is updating their policies in line with current regulations.
25
When is the next scheduled training session for vendor staff on HIPAA compliance?

Select the date of the next training session.

To keep track of the vendor's training schedule for compliance education.

FAQs

The checklist covers vendor HIPAA training programs, data encryption practices, access control measures, incident response plans, subcontractor management, data disposal procedures, and compliance documentation.

Organizations should conduct initial assessments before engaging new vendors, perform annual reassessments of existing vendors, and additional reviews following any significant changes in vendor operations or services that impact PHI handling.

The assessments should be led by a cross-functional team including representatives from IT security, legal, compliance, procurement, and the specific department engaging the vendor's services.

The checklist includes sections on vendor policies regarding subcontractor use, requirements for flow-down of HIPAA obligations to subcontractors, and vendor oversight of subcontractor compliance and security practices.

Yes, the checklist is designed to be used for both prospective vendors during the selection process and for ongoing assessment of existing vendors to ensure continued compliance and security.

Benefits

Ensures thorough evaluation of vendors' HIPAA compliance and security practices

Reduces risks associated with third-party access to PHI

Facilitates informed decision-making in vendor selection and management

Supports ongoing monitoring and improvement of vendor relationships

Enhances overall data protection strategy across the healthcare ecosystem