HEALTHCARE VENDOR MANAGEMENT CHECKLIST: RISK & COMPLIANCE

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--- VENDOR ONBOARDING & DUE DILIGENCE ---
[ ] Vendor Description and Services Offered
[ ] Vendor Risk Level (Low, Medium, High) (Low, Medium, High)
[ ] Estimated Annual Spend
[ ] Services Provided (Select all that apply) (Software Development, Data Storage, Consulting, Medical Device Maintenance, IT Support)
[ ] Vendor Start Date
[ ] Vendor Business License/Registration

--- CONTRACT REVIEW & LEGAL COMPLIANCE ---
[ ] Contract Type (Service Agreement, Procurement Agreement, Business Associate Agreement (BAA), Software License Agreement)
[ ] Summary of Key Contract Terms
[ ] Effective Date of Contract
[ ] Contract Expiration Date
[ ] Contract Value (USD)
[ ] HIPAA Compliance Clauses Present? (Data Security, Data Breach Notification, Confidentiality, Subcontractor Agreements)
[ ] Legal Review Signature

--- FINANCIAL STABILITY ASSESSMENT ---
[ ] Annual Revenue (USD)
[ ] Debt-to-Equity Ratio
[ ] Current Ratio
[ ] Credit Rating (if applicable) (AAA, AA, A, BBB, BB, B, Not Rated)
[ ] Date of Last Financial Statement
[ ] Upload Last Financial Statements (PDF)
[ ] Business Continuity Plan Availability? (Yes, No)

--- SECURITY & DATA PROTECTION ---
[ ] Vendor Security Framework Certification (e.g., SOC 2, HITRUST) (SOC 2 Type II, HITRUST CSF, ISO 27001, None)
[ ] Encryption Strength (Bit Length)
[ ] Data Security Controls Implemented (Access Controls (RBAC), Data Loss Prevention (DLP), Intrusion Detection/Prevention Systems (IDS/IPS), Vulnerability Scanning, Firewalls)
[ ] Vendor Security Assessment Report (e.g., Penetration Test Results)
[ ] Data Residency Compliance (Compliant, Non-Compliant, Pending Assessment)
[ ] Summary of Vendor's Incident Response Plan

--- BUSINESS ASSOCIATE AGREEMENT (BAA) COMPLIANCE ---
[ ] BAA Executed? (Yes, No, In Progress)
[ ] BAA Execution Date
[ ] Summary of Key BAA Terms
[ ] HIPAA Security Addendum Included? (Yes, No)
[ ] Copy of Executed BAA
[ ] Number of Covered Entities Listed in BAA
[ ] Data Use Restrictions Clarified? (Yes, No, Unclear)

--- PERFORMANCE MONITORING & REPORTING ---
[ ] Uptime Percentage (Last Month)
[ ] Average Response Time (Seconds)
[ ] Service Level Agreement (SLA) Compliance (Met, Partially Met, Not Met)
[ ] Number of Critical Incidents
[ ] Date of Last Performance Review
[ ] Summary of Performance Trends (Last Quarter)

--- AUDIT & RISK ASSESSMENTS ---
[ ] Last Audit Date
[ ] Audit Type (Financial, Security, Compliance, Operational)
[ ] Audit Score (1-100)
[ ] Summary of Audit Findings
[ ] Areas of Non-Compliance (HIPAA, Data Security, Contractual Obligations, Financial Reporting)
[ ] Supporting Audit Documentation
[ ] Remediation Plan Owner
[ ] Remediation Completion Date

--- VENDOR RELATIONSHIP MANAGEMENT ---
[ ] Frequency of Scheduled Check-in Meetings
[ ] Last Communication/Meeting Date
[ ] Overall Vendor Satisfaction Level (Very Satisfied, Satisfied, Neutral, Dissatisfied, Very Dissatisfied)
[ ] Summary of Recent Communication & Key Discussion Points
[ ] Escalation Point of Contact for Issues
[ ] Topics for Next Scheduled Review (Performance Metrics, Contract Renewals, Security Updates, Cost Optimization, Service Level Agreements)

--- OFFBOARDING AND DATA RETRIEVAL ---
[ ] Contract Termination Date
[ ] Reason for Contract Termination
[ ] Termination Notice Documentation
[ ] Data Retrieval Status (Initial Retrieval Started, Partial Retrieval Complete, Full Retrieval Complete, Data Transfer Verified)
[ ] Number of Data Records Retrieved
[ ] Notes on Data Retrieval Process
[ ] Signature of Responsible Party

--- CONTINUOUS IMPROVEMENT & UPDATES ---
[ ] Last Process Review Date
[ ] Summary of Recent Process Changes
[ ] Regulatory Updates Considered? (Yes, No)
[ ] Number of Vendor Management Audits Completed This Year
[ ] Areas for Potential Improvement Identified (Vendor Communication, Security Protocols, Contract Negotiation, Risk Assessment)
[ ] Action Items for Next Review Cycle

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