What evidence do auditors commonly ask for on 164.314(a)(2)(iii) Business Associate Contracts with Subcontractors?

Subcontractor BAA template aligned to 164.314(a)(2)(i); Executed subcontractor BAAs; Subcontractor inventory with ePHI scope; Records of subcontractor incident notifications; Subcontractor risk assessment results; Annual subcontractor review.

What is the most common gap auditors find on 164.314(a)(2)(iii)?

Subcontractor inventory incomplete

HIPAA Security Rule · Organizational

`164.314(a)(2)(iii)` Business Associate Contracts with Subcontractors

The requirements of paragraph (a)(2)(i) 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 covered entity and business associate.

Source: HIPAA Security Rule, 164.314(a)(2)(iii). The statement above is our statement of the clause, read from the published text and cited so you can check it against the official text, not the instrument verbatim. Open HIPAA Security Rule in the compliance library.

Applies to covered entities and business associates. An addressable specification can be met by a documented, reasonable alternative.

artefacts

held by a system

at each review

hard

to go live

Document repository

where the evidence lives

teal = a system already holds it · olive = produced at each review. To go live: easy when half or more of the artefacts are already held by a system, moderate from a quarter to a half, hard below a quarter.

These are the artefacts auditors commonly ask for on this requirement, our guidance rather than text from the standard. Your assessor decides what is sufficient in your context, and asks for samples across the period when a report covers one.

system holds itEvidence a system already holds

Records of subcontractor incident notifications · Document repository

periodic reviewEvidence produced at each review

Subcontractor risk assessment results · Policy repository / GRC workspace
Annual subcontractor review · Document repository
Evidence that BA enforces same requirements on subcontractors · Document repository

governing documentDocuments that govern the control

Subcontractor BAA template aligned to 164.314(a)(2)(i) · Document repository
Executed subcontractor BAAs · Document repository
Subcontractor inventory with ePHI scope · Policy repository / GRC workspace
Termination clauses for subcontractor non-compliance · HR system / LMS

First move

Mostly documents and reviews. Pull the 1 system-held artefact from your Document repository on a schedule; put the documents under version control with an owner and review date, and log each review as a dated record with a named reviewer.

Common gaps auditors find

Subcontractor inventory incomplete
BAA flow-down inconsistent
Subcontractor risk assessments absent
Incident notification chain to covered entity unclear
No periodic review of subcontractor compliance
Termination clauses not exercised

Do this for your whole sheet

Paste the rows you run your controls from and get this mapping for every control at once, with the periodic-review ones flagged and a first move per row. No account for the first run.

Build my evidence sheet

164.314(a)(2)(ii) Other Arrangements (Government) · 164.314(b)(1) Requirements for Group Health Plans (Standard)