Higher Education Community Vendor Assessment Toolkit (Free Template)
The Higher Education Community Vendor Assessment Tool (HECVAT) is a security assessment template designed to simplify and standardize information security and data protection questions related to cloud services for the higher education sector. HECVAT operates as a vendor risk assessment template that incorporates security control requirements and best practices to mitigate third-party risks.
In this blog post, we’ll explore what HECVAT is and how it benefits users. Included is a questionnaire template for solution providers preparing for HECVAT compliance or higher education institutions interested in Third-Party Risk Management.
Learn more about how UpGuard streamlines Vendor Risk Management >
What is the Higher Education Community Vendor Assessment Toolkit (HECVAT)?
The Higher Education Community Vendor Assessment Toolkit (HECVAT) is a questionnaire that helps higher education institutions assess the information security and data protection practices of their technology vendors, mainly focusing on cloud service providers and SaaS solutions. The Higher Education Information Security Council (HEISC) created the HECVAT alongside the Shared Assessments Working Group and in collaboration with Internet2 and REN-ISAC under the guidance of Educause.
HECVAT streamlines the assessment process by addressing the various regulatory and best practice frameworks that apply to data security in the higher education environment, such as FERPA, HIPAA, and GLBA. In particular, HECVAT aligns with standards set by NIST and covers critical areas like information technology and protection against data breaches. HECVAT also standardizes how institutions evaluate vendor risk and compliance, making it easier for them to make informed decision - standards inspired by the objectives of Vendor Risk Management.
What is in the HECVAT?
HECVAT includes four different types of questionnaires, including:
- HECVAT Full 3.04: A fully robust questionnaire used to assess the most critical data-sharing engagements, especially suitable for comprehensive self-assessment
- HECVAT Lite 3.04: A lightweight questionnaire that expedites the security assessment process
- Triage: A questionnaire used to initiate risk/security assessment requests and can be reviewed to determine assessment requirements
- On-Premise: A specific questionnaire used to evaluate on-premise appliances and software
HECVAT also includes a Community Broker Index (CBI). The CBI is a tool for higher education security assessors to research and evaluate the security services provided by current and potential vendors. It is an updated list of vendors who have completed HECVAT assessments and are willing to share their results. Additionally, it includes a list of vendors who have incorporated HECVAT into their cloud, third-party, or vendor risk management tools or services. This vendor list helps assessors make informed decisions about choosing the right security service providers.
Who Uses HECVAT?
Higher education institutions like colleges and universities and solution providers who offer services to those institutions both use the HECVAT.
- Colleges and Universities: The HEISC specifically designed the HECVAT questionnaire for higher education institutions like colleges and universities to measure vendor risk. Before purchasing a third-party solution, ask the solution provider to complete a HECVAT tool. This helps colleges and universities evaluate the information, data, and security policies of the vendor and determine if it is substantial enough to protect its sensitive institutional information and constituents’ PII.
- Solution Providers: For vendors who work with colleges and universities, completing the HCVAT tool showcases their dedication to information, data, and security policies. Additionally, once completed, results are shared in the Cloud Broker Index, where institutions can view and streamline the procurement processes with higher ed clients.
Why is HECVAT Important?
The Higher Education Community Vendor Assessment Toolkit (HECVAT) holds significant importance for higher education institutions. Its relevance stems from the distinctive challenges and responsibilities that these institutions face in terms of data security, compliance, and vendor management.
The HECVAT has multiple benefits for both Higher Education institutions and third-party vendors. These include:
Enhancing Cybersecurity Posture
- Standardizing Security Assessments: HECVAT provides a standardized framework for assessing vendors' security and privacy policies. This ensures consistent and thorough evaluations of various service providers.
- Identifying and Mitigating Risks: HECVAT uses questionnaires to identify potential security risks and vulnerabilities associated with third-party vendors, which is vital in safeguarding sensitive data and IT systems from breaches and cyber threats.
Compliance and Regulatory Alignment
- Regulatory Compliance: Higher education institutions handle sensitive personal and financial data, subjecting them to regulatory requirements such as FERPA, HIPAA, and GDPR. HECVAT helps vendors comply with these regulations, safeguarding institutional compliance.
- Adherence to Best Practices: By evaluating vendors based on industry-standard questions and criteria, institutions can ensure alignment with data security and privacy best practices.
Operational Efficiency
- Streamlining Vendor Assessments: The toolkit streamlines vendor security evaluation, saving time and resources for higher ed.
- Facilitating Informed Decision Making: HECVAT helps institutions make informed decisions about vendors' security postures.
Building Trust and Transparency
- Enhancing Trust: Utilizing HECVAT can increase the trust of students, staff, and stakeholders in how the institution manages third-party relationships and protects data.
- Transparency with Vendors: HECVAT promotes transparent and effective relationships between institutions and vendors through open dialogue about security expectations and performance.
Risk Management and Due Diligence
- Proactive Risk Management: HECVAT allows institutions to address risks associated with outsourcing and handling electronic data proactively.
- Due Diligence in Vendor Selection: HECVAT provides a framework for performing due diligence in selecting vendors, ensuring they meet the security standards required by the institution.
Free Template: Higher Education Community Vendor Assessment Toolkit Questionnaire
HECVAT Full 3.04 is a thorough and comprehensive questionnaire covering various topics relevant to information and data security for third-party solution providers.
To prepare for this questionnaire, check out the free template below. It covers all categories in HECVAT Full 3.04 but is summarized into three questions so vendors can begin evaluating their security posture and identify areas of improvement before tackling the complete questionnaire.
Higher Education Community Vendor Assessment Toolkit Questionnaire
Qualifiers
What is the size of your company, and what are the primary services you offer to higher education institutions?
- [Free Text Field]
How long has your company been operating in the higher education sector, and what relevant experience do you have?
- [Free Text Field]
Do you comply with all applicable laws and regulations in the jurisdictions where you operate?
- Yes
- No
- [Free Text Field]
[Open text field for vendor comments]
Company Overview
Can you provide a brief history and background of your company?
- Yes
- No
- [Free Text Field]
Can you provide documents detailing your compliance with relevant data protection and privacy regulations?
- Yes
- No
- [Free Text Field]
Who are your primary clients, and what markets or sectors do you mainly focus on?
- [Free Text Field]
[Open text field for vendor comments]
Documentation
Are your security policies, procedures, and control documentation available for review?
- Yes
- No
- [Free Text Field]
Can you provide documents detailing your compliance with relevant data protection and privacy regulations?
- Yes
- No
- [Free Text Field]
Do you have documented incident response plans and breach notification procedures?
- Yes
- No
- [Free Text Field]
[Open text field for vendor comments]
IT Accessibility
How do your services comply with accessibility standards such as WCAG and Section 508?
- [Free Text Field]
What specific features or functions support accessibility in your products or services?
- [Free Text Field]
What testing methods ensure the accessibility of your products or services?
- [Free Text Field]
[Open text field for vendor comments]
Assessment of Third Parties
How do you assess and manage risks associated with third-party providers?
- [Free Text Field]
What measures ensure third-party providers adhere to your security and privacy standards?
- [Free Text Field]
How are security incidents involving third parties handled and communicated?
- [Free Text Field]
[Open text field for vendor comments]
Consulting (If Applicable)
What consulting services do you offer, especially IT security and risk management?
- [Free Text Field]
What are the qualifications and experience of your consulting staff?
- [Free Text Field]
How do you manage consulting projects for higher education institutions?
- [Free Text Field]
[Open text field for vendor comments]
Application/Service Security
What security measures have you integrated into your application or service?
- [Free Text Field]
How frequently do you conduct security testing, and how are updates managed?
- [Free Text Field]
Can you describe your secure software development lifecycle?
- Yes
- No
- [Free Text Field]
[Open text field for vendor comments]
Authentication, Authorization, and Accounting
What authentication methods are used, including support for MFA and SSO?
- [Free Text Field]
How is user access controlled and permissions managed based on roles?
- [Free Text Field]
How are user activities monitored, and what logging or auditing methods are used?
- [Free Text Field]
[Open text field for vendor comments]
Business Continuity Plan
Can you outline your business continuity and disaster recovery plans?
- Yes
- No
- [Free Text Field]
How often are these plans tested and updated?
- [Free Text Field]
What strategies are in place for responding to and minimizing disruptions from major incidents?
- [Free Text Field]
[Open text field for vendor comments]
Change Management
How are changes to systems and services managed?
- [Free Text Field]
What processes are in place for impact assessment and testing before implementing changes?
- [Free Text Field]
How are clients informed about significant changes?
- [Free Text Field]
[Open text field for vendor comments]
Data
How are different types of data managed and classified?
- [Free Text Field]
What measures, including encryption, are used to secure data?
- [Free Text Field]
What are your policies on data retention and secure disposal?
- [Free Text Field]
[Open text field for vendor comments]
Data Center
What security controls are in place at your data centers?
- [Free Text Field]
What environmental controls and risk mitigation strategies are used?
- [Free Text Field]
How is physical access to data centers controlled and monitored?
- [Free Text Field]
[Open text field for vendor comments]
Firewalls, IDS, IPS, and Networking
What types of firewalls, IDS, and IPS are used?
- [Free Text Field]
How is the network segmented and sensitive areas protected?
- [Free Text Field]
How are network security incidents detected and managed?
- [Free Text Field]
[Open text field for vendor comments]
Policies, Procedures, and Processes
What key security and privacy policies are in place?
- [Free Text Field]
How often are policies reviewed and updated?
- [Free Text Field]
How is staff compliance with policies ensured and monitored?
- [Free Text Field]
[Open text field for vendor comments]
Incident Handling
How are potential security incidents detected and reported within your organization?
- [Free Text Field]
What steps are outlined in your incident response plan, including roles, responsibilities, and timelines?
- [Free Text Field]
How are clients notified about incidents, and what is the process for resolving and learning from these incidents?
- [Free Text Field]
[Open text field for vendor comments]
Quality Assurance
What quality assurance processes and standards are employed in your service or product development?
- [Free Text Field]
How is testing conducted to ensure product quality, and what validation methods are used?
- [Free Text Field]
How do you incorporate feedback and results from QA testing to drive continuous improvement in your products or services?
- [Free Text Field]
[Open text field for vendor comments]
Vulnerability Scanning
How frequently do you conduct vulnerability scans, and what tools or technologies are utilized?
- [Free Text Field]
What is the process for addressing vulnerabilities discovered during scans?
- [Free Text Field]
What is your policy regarding disclosing vulnerabilities to clients and the public?
- [Free Text Field]
[Open text field for vendor comments]
HIPAA
What specific measures and controls have you implemented to ensure compliance with the Health Insurance Portability and Accountability Act (HIPAA)?
- [Free Text Field]
How is Protected Health Information (PHI) managed and secured in your systems?
- [Free Text Field]
How do you ensure your staff are trained and aware of HIPAA requirements and their responsibilities in handling PHI?
- [Free Text Field]
[Open text field for vendor comments]
PCI DSS
What level of Payment Card Industry Data Security Standard (PCI DSS) compliance does your service meet, and what is the scope of this compliance?
- [Free Text Field]
How do you protect cardholder data as per PCI DSS requirements?
- [Free Text Field]
How often are PCI DSS assessments conducted, and can you provide recent attestation of compliance documents?
- [Free Text Field]
[Open text field for vendor comments]
Prepare for HECVAT Compliance with UpGuard
UpGuard’s Vendor Risk Management solution, Vendor Risk, includes HECVAT-specific security questionnaires for both HECVAT full and HECVAT lite, allowing both education entities and their suppliers to track compliance efforts.
Vendor Risk is our all-in-one TPRM platform that allows you to control your organization’s Vendor Risk Management processes. Vendor Risk allows you to automate your third-party risk assessment workflows and get real-time notifications about your vendors’ security in one centralized dashboard. Additional Vendor Risk features include:
- Security Questionnaires: Automate security questionnaires with workflows to get deeper insights into your vendors’ security and utilize templates and custom questionnaires for your specific needs
- Security Ratings: Instantly understand your vendors' security posture with our data-driven, objective, and dynamic security ratings
- Risk Assessments: Let us guide you each step of the way, from gathering evidence, assessing risks, and requesting remediation
- Monitoring Vendor Risk: Monitor your vendors daily and view the details to understand what risks are impacting a vendor’s security posture
- Reporting and Insights: UpGuard’s Reports Library makes it easier and faster for you to access tailor-made reports for different stakeholders
- Managed Third-Party Risks: Let our expert analysts manage your third-party risk management program and allocate your security resources
