Business Associate Agreement

Posted: March 5, 2020

THIS BUSINESS ASSOCIATE AGREEMENT (the “BAA”) is made as of by and between you (“Customer” or “Covered Entity”) and TRHC OpCo, Inc. (“TRHC” or “Business Associate”). Covered Entity and Business Associate are collectively known as the “Parties”.

Business Associate provides Services to Covered Entity that involve the use, disclosure and/or creation of Protected Health Information (“PHI”).

Covered Entity and Business Associate desire to enter into this BAA to address the Parties use, disclosure and creation of PHI, along with any and all requirements applicable to Covered Entity and Business Associate pursuant to the Health Insurance Portability and Accountability Act of 1996 (“HIPAA“), as amended by Health Information Technology for Economic and Clinical Health Act of 2009 (“HITECH Act“), including all pertinent regulations issued by the Department of Health and Human Services (“HHS“).

Therefore, in consideration of the mutual covenants, terms, and conditions set forth below, the adequacy of which consideration is hereby accepted and acknowledged, the Parties agree as follows:

A. Definitions.
  1. “Breach” will have the same meaning given to such term in 45 C.F.R. § 164.402.
  2. Business Associate” means TRHC in its capacity as a business associate as that term is defined in 45 C.F.R. § 160.103.
  3. Covered Entity” means Customer in its capacity as a covered entity as that term is defined in 45 C.F.R. 160.103.
  4. “Designated Record Set” will have the same meaning as the term “designated record set” in 45 C.F.R. § 164.501.
  5. “Electronic Protected Health Information” or “Electronic PHI” will have the meaning given to such term under the Privacy Rule and the Security Rule, including, but not limited to, 45 C.F.R. § 160.103, as applied to the information that Business Associate creates, receives, maintains or transmits from or on behalf of Customer.
  6.  “Individual” will have the same meaning as the term “individual” in 45 C.F.R. § 160.103 and will include a person who qualifies as a personal representative in accordance with 45 C.F.R. § 164.502(g).
  7. “Privacy Rule” will mean the Standards for Privacy of Individually Identifiable Health Information at 45 C.F.R. Part 160 and Part 164, Subparts A and E.
  8. “Protected Health Information” or “PHI” will have the same meaning as the term “protected health information” in 45 C.F.R. § 160.103, as applied to the information created, received, maintained or transmitted by Business Associate from or on behalf of Customer.
  9.  “Required by Law” will have the same meaning as the term “required by law” in 45 C.F.R. § 164.103.
  10.  “Secretary” will mean the Secretary of the Department of Health and Human Services or his or her designee.
  11. “Security Incident” will have the meaning given to such term in 45 C.F.R. § 164.304.
  12.  “Security Rule” will mean the Security Standards at 45 C.F.R. Part 160 and Part 164, Subparts A and C.
  13. “Unsecured PHI” will have the same meaning given to such term under 45 C.F.R. § 164.402, and guidance promulgated thereunder.
  14. Capitalized Terms. Capitalized terms used in this Agreement and not otherwise defined herein will have the meanings set forth in the Privacy Rule, the Security Rule, and the HIPAA Final Rule, which definitions are incorporated in this Agreement by reference.
B. Obligations of Business Associate
  1. Uses and Disclosures of PHI Pursuant to the Services Agreement. Except as otherwise limited in this BAA, Business Associate may use or disclose PHI to perform functions, activities or services for, or on behalf of, Covered Entity as specified in the Services Agreement by and between TRHC OpCo, Inc. and Covered Entity (“Services Agreement”), provided that such use or disclosure would not violate the Privacy Rule if done by Covered Entity.
  2. Permitted Uses of PHI by TRHC. Except as otherwise limited in this Agreement, Business Associate may use PHI for the proper management and administration of Business Associate or to carry out the legal responsibilities of Business Associate.
  3. Permitted Disclosures of PHI by TRHC. Except as otherwise limited in this Agreement,  Business Associate may disclose PHI for the proper management and administration of Business Associate, provided that the disclosures are Required by Law, or Business Associate obtains reasonable assurances from the person to whom the information is disclosed that it will remain confidential and will be used or further disclosed only as Required by Law or for the purpose for which it was disclosed to the person (which purpose must be consistent with the limitations imposed upon Business Associate pursuant to this Agreement), and that the person agrees to notify Business Associate of any instances of which it is aware in which the confidentiality of the information has been breached.  Business Associate may disclose PHI to report violations of law to appropriate federal and state authorities, consistent with 45 C.F.R. § 164.502(j)(1).
  4. Data Aggregation. Except as otherwise limited in this Agreement, Business Associate may use PHI to provide Data Aggregation services for the Health Care Operations of the Covered Entity as permitted by 45 C.F.R. § 164.504(e)(2)(i)(B).
  5. De-identified Data. Business Associate may de-identify PHI in accordance with the standards set forth in 45 C.F.R. § 164.514(b) and may use or disclose such de-identified data unless prohibited by applicable law.
C. Obligations of Business Associate
  1. Appropriate Safeguards. Business Associate will use appropriate safeguards and will, after the compliance date of the HIPAA Final Rule, comply with the Security Rule with respect to Electronic PHI, to prevent use or disclosure of such information other than as provided for by the Services Agreement and this Agreement.  Except as expressly provided in the Services Agreement or this Agreement, Business Associate shall not assume any obligations of Covered Entity under the Privacy Rule.  To the extent that Business Associate is to carry out any of Covered Entity’s obligations under the Privacy Rule as expressly provided in the Services Agreement or this Agreement, Business Associate will comply with the requirements of the Privacy Rule that apply to Covered Entity in the performance of such obligations.
  2.  Reporting of Improper Use or Disclosure, Security Incident or Breach. Business Associate will report to Covered Entity any use or disclosure of PHI not permitted under this Agreement, Breach of Unsecured PHI or any Security Incident, without unreasonable delay, and in any event no more than thirty (30) days following discovery; provided, however, that the Parties acknowledge and agree that this Section constitutes notice by Business Associate to Covered Entity of the ongoing existence and occurrence of attempted but Unsuccessful Security Incidents (as defined below).  “Unsuccessful Security Incidents” will include, but not be limited to, pings and other broadcast attacks on Business Associate firewall, port scans, unsuccessful log-on attempts, denials of service and any combination of the above, so long as no such incident results in unauthorized access, use or disclosure of PHI.  Business Associate notification to Covered Entity of a Breach will include: (i) the identification of each individual whose Unsecured PHI has been, or is reasonably believed by Business Associate to have been, accessed, acquired or disclosed during the Breach; and (ii) any particulars regarding the Breach that Covered Entity would need to include in its notification, as such particulars are identified in 45 C.F.R. § 164.404.
  3.  TRHC’s Agents.  In accordance with 45 C.F.R. § 164.502(e)(1)(ii) and 45 C.F.R. § 164.308(b)(2), as applicable, Business Associate will enter into a written agreement with any agent or subcontractor that creates, receives, maintains or transmits PHI on behalf of Business Associate for services provided to Covered Entity, providing that the agent agrees to restrictions and conditions that are substantially similar to those that apply through this Agreement to Business Associate with respect to such PHI.
  4. Access to PHI. The Parties do not intend for Business Associate to maintain any PHI in a Designated Record Set for Covered Entity.  To the extent Business Associate possesses PHI in a Designated Record Set, Business Associate agrees to make such information available to Covered Entity pursuant to 45 C.F.R. § 164.524, within ten (10) business days of Business Associate’s receipt of a written request from Covered Entity; provided, however, that Business Associate is not required to provide such access where the PHI contained in a Designated Record Set is duplicative of the PHI contained in a Designated Record Set possessed by Covered Entity.  If an Individual makes a request for access pursuant to 45 C.F.R. § 164.524 directly to Business Associate, or inquires about his or her right to access, Business Associate will either forward such request to Covered Entity or direct the Individual to Covered Entity
  5.  Amendment of PHI. The Parties do not intend for Business Associate to maintain any PHI in a Designated Record Set for Covered Entity.  To the extent Business Associate possesses PHI in a Designated Record Set, Business Associate agrees to make such information available to Covered Entity for amendment pursuant to 45 C.F.R. § 164.526 within twenty (20) business days of Business Associate’s receipt of a written request from Covered Entity.  If an Individual submits a written request for amendment pursuant to 45 C.F.R. § 164.526 directly to Business Associate, or inquires about his or her right to amendment, Business Associate will either forward such request to Covered Entity or direct the Individual to Covered Entity.
  6. Documentation of Disclosures. Business Associate agrees to document such disclosures of PHI 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 PHI in accordance with 45 C.F.R. § 164.528. Business Associate will document, at a minimum, the following information (“Disclosure Information”): (a) the date of the disclosure; (b) the name and, if known, the address of the recipient of the PHI; (c) a brief description of the PHI disclosed; (d) the purpose of the disclosure that includes an explanation of the basis for such disclosure; and (e) any additional information required under the HITECH Act and any implementing regulations.
  7.  Accounting of Disclosures. Business Associate agrees to provide to Covered Entity, within twenty (20) business days of Business Associate’s receipt of a written request from Covered Entity, information collected in accordance with Section (C)(6). of this Agreement, to permit Covered Entity to respond to a request by an Individual for an accounting of disclosures of PHI in accordance with 45 C.F.R. § 164.528.  If an Individual submits a written request for an accounting of disclosures of PHI pursuant to 45 C.F.R. § 164.528 directly to Business Associate, or inquires about his or her right to an accounting, Business Associate will direct the Individual to Covered Entity.
  8. Governmental Access to Records. Business Associate will make its internal practices, books and records relating to the use and disclosure of PHI received from, or created or received by Business Associate on behalf of, Covered Entity available to the Secretary for purposes of the Secretary determining Covered Entity’s compliance with the Privacy Rule and the Security Rule.
  9. Mitigation. To the extent practicable, Business Associate will cooperate with Covered Entity’s efforts to mitigate a harmful effect that is known to Business Associate of a use or disclosure of PHI by Business Associate that is not permitted by this Agreement.
  10. Minimum Necessary. Business Associate will request, use and disclose the minimum amount of PHI necessary to accomplish the purpose of the request, use or disclosure, in accordance with 45 C.F.R. § 164.514(d), and any amendments thereto.
  11. HIPAA Final Rule Applicability. Business Associate acknowledges that enactment of the HITECH Act, as implemented by the HIPAA Final Rule, amended certain provisions of HIPAA in ways that now directly regulate, or will on future dates directly regulate, Business Associate under the Privacy Rule and Security Rule. Business Associate agrees, as of the compliance date of the HIPAA Final Rule, to comply with applicable requirements imposed under the HIPAA Final Rule, including any amendments thereto.
D. Obligations of Business Associate
  1. Notice of Privacy Practices. Covered Entity will notify Business Associate of any limitation(s) in its notice of privacy practices in accordance with 45 C.F.R. § 164.520, to the extent that such limitation may affect Business Associate’s use or disclosure of PHI.  Covered Entity will provide such notice no later than fifteen (15) days prior to the effective date of the limitation.
  2. Notification of Changes Regarding Individual Permission. Covered Entity will obtain any consent or authorization that may be required by the Privacy Rule, or applicable state law, prior to furnishing Business Associate with PHI.  Covered Entity will notify Business Associate of any changes in, or revocation of, permission by an Individual to use or disclose PHI, to the extent that such changes may affect Business Associate’s use or disclosure of PHI.  Covered Entity will provide such notice no later than fifteen (15) days prior to the effective date of the change.
  3. Notification of Restrictions to Use or Disclosure of PHI. Covered Entity will notify Business Associate of any restriction to the use or disclosure of PHI that Covered Entity has agreed to in accordance with 45 C.F.R. § 164.522, to the extent that such restriction may affect Business Associate’s use or disclosure of PHI.  Covered Entity will provide such notice no later than fifteen (15) days prior to the effective date of the restriction.  If Business Associate reasonably believes that any restriction agreed to by Covered Entity pursuant to this Section may materially impair Business Associate’s ability to perform its obligations under the Services Agreement or this Agreement, the Parties will mutually agree upon any necessary modification of Business Associate’s obligations under such agreements.
  4. Permissible Requests by Covered Entity. Covered Entity will not request Business Associate to use or disclose PHI in any manner that would not be permissible under the Privacy Rule, the Security Rule or the HITECH Act if done by Covered Entity, except as permitted pursuant to the provisions of Sections 2 of this Agreement.
E. Term and Termination.
  1. Term. The term of this Agreement will commence as of the Effective Date, and will terminate when all of the PHI provided by Covered Entity to Business Associate, or created or received by Business Associate on behalf of Covered Entity, is destroyed or returned to Covered Entity.  If it is infeasible to return or destroy PHI, Business Associate will extend the protections to such information, in accordance with Section E(3).
  2. Termination for Cause. Upon either Party’s knowledge of a material breach by the other Party of this Agreement, such Party may terminate this Agreement immediately if cure is not possible.  Otherwise, the non-breaching party will provide written notice to the breaching Party detailing the nature of the breach and providing an opportunity to cure the breach within thirty (30) business days.  Upon the expiration of such thirty (30) day cure period, the non-breaching Party may terminate this Agreement if the breaching party does not cure the breach or if cure is not possible.  If termination is not feasible, the non-breaching party may report the breach or violation to the Secretary.
  3. Effect of Termination.
    • 3.1 Except as provided in Section 3.2, upon termination of the Services Agreement or this Agreement for any reason, Business Associate will return or destroy all PHI received from Covered Entity, or created or received by Business Associate on behalf of Covered Entity, at Covered Entity’s expense, and will retain no copies of the PHI. This provision will apply to PHI that is in the possession of subcontractors or agents of Business Associate.
    • 3.2 If it is infeasible for Business Associate to return or destroy the PHI upon termination of the Services Agreement or this Agreement, Business Associate will: (a) extend the protections of this Agreement to such PHI and (b) limit further uses and disclosures of such PHI to those purposes that make the return or destruction infeasible, for so long as Business Associate maintains such PHI.
F. Cooperation in Investigations.

The Parties acknowledge that certain breaches or violations of this Agreement may result in litigation or investigations pursued by federal or state governmental authorities of the United States resulting in civil liability or criminal penalties.  Each Party will cooperate in good faith in all respects with the other Party in connection with any request by a federal or state governmental authority for additional information and documents or any governmental investigation, complaint, action or other inquiry.

G. Survival

The respective rights and obligations of Business Associate under Section E(3) of this Agreement will survive the termination of this Agreement and the Services Agreement.

H. Amendment

This Agreement may be modified, or any rights under it waived, only by a written document executed by the authorized representatives of both Parties.  In addition, if any relevant provision of the Privacy Rule, the Security Rule or the HIPAA Final Rule is amended in a manner that changes the obligations of Business Associate or Covered Entity that are embodied in terms of this Agreement, then the Parties agree to negotiate in good faith appropriate non-financial terms or amendments to this Agreement to give effect to such revised obligations.

I. Effective of Agreement

In the event of any inconsistency between the provisions of this Agreement and the Services Agreement, the provisions of this Agreement will control.  In the event that a court or regulatory agency with authority over Business Associate or Covered Entity interprets the mandatory provisions of the Privacy Rule, the Security Rule or the HIPAA Final Rule, in a way that is inconsistent with the provisions of this Agreement, such interpretation will control. Where provisions of this Agreement are different from those mandated in the Privacy Rule, the Security Rule, or the HIPAA Final Rule, but are nonetheless permitted by such rules as interpreted by courts or agencies, the provisions of this Agreement will control.

J. Notices

Any notices to be given hereunder to a Party shall be made via U.S. Mail or express courier to such Party’s address given below.

If to Covered Entity:

At the contact information provided to Business Associate.

If to Business Associate:

TRHC OpCo, Inc.
Attn: Privacy Officer
228 Strawbridge Road
Moorestown, NJ 08057

 Each Party named above may change its address and that of its representative for notice by the giving of notice thereof in the manner hereinabove provided.