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Package 6: Risk Assessment Bundle Complete package with Policies

 

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Our templates are created based on best practices and standards for Risk Assessment. The complete package has Risk Assessment guidelines, matrix, templates, forms, worksheets, policies, procedures, methodologies, tools, information on free resources and standards. Our risk assessment templates will help you to comply with following regulations and standards like HIPAA, FDA, SOX, FISMA, COOP & COG, FFIEC, Basel II and ISO 27002. Following Risk assessment templates package is available to suit your needs.

These templates can be used by Healthcare organizations, IT departments of different companies, security consulting companies, manufacturing company, servicing companies, financial institutions, educational organizations, law firms, pharmaceuticals & biotechnology companies, telecommunication companies and others.

Feel free to request a sample before buying.

List of documents in this Risk Assessment templates package:

Cost: $195

 

Conducting a Risk Assessment Guide

Objectives

The intention of this document is to help the business conduct a Risk Assessment, which identifies current risks and threats to the business and implement measures to eliminate or reduce those potential risks.  This document provides guidance on how to conduct the Risk Assessment, analyze the information that is collected, and implement strategies that will allow the business to manage the risk.  The following documents are available to help the business complete the assessment:

  • Risk Assessment Template
  • Risk Assessment Worksheet
  • Facility RA Findings Report
  • Executive RA Findings Report
  • Examples of Preventative Measures

The Risk Assessment is only part one of an overall Business Assessment.  A Business Assessment is separated into two constituents, Risk Assessment and Business Impact Analysis (BIA).  The Risk Assessment is intended to measure present vulnerabilities to the business’s environment, while the Business Impact Analysis evaluates probable loss that could result during a disaster.  To maximize the Risk Assessment, a Business Impact Analysis should also be completed. 

Table of Contents of Conducting a Risk Assessment

INTRODUCTION           

Compliance      
Scope  

RISK ASSESSMENT    

Objectives of the Risk Assessment        
Risk Assessment Process        
What Should Be Included?         
Steps to Follow 

ASSESSING YOUR RISK

Identifying Risks / Threats          
Probability of Occurrence           
Vulnerability to Risk      
Potential Impact
Preventative Measures in Place  
Insurance Coverage       
Past Experiences

           
ANALYZING THE RESULTS   

Review Interview Notes  
Follow-Up Meetings       
Report the Results
           

FINAL REPORT & PRESENTATION   

Creation of Executive Report      
Presenting the Results  
Next Steps       
Conclusion       

KEYS FOR SUCCESS

Senior Management Support      
Effective Data Gathering Tools    
Key Resources 
Critical Data     
Executive Report           

APPENDIX ITEMS

Appendix A:  Risk Assessment Survey   
Appendix B:  Risk Assessment Worksheet         
Appendix C:  Facility Risk Assessment Report
Appendix D:  Executive Risk Assessment Report
Appendix E:  Examples of Preventative Measures

Risk Assessment Template

OBJECTIVE

Due to HIPAA Security Rule regulations, your organization must implement Contingency Planning Practices to ensure the protection of ePHI (electronic Protected Health Information).  In order to accomplish this undertaking, there are several steps that your organization will be completing to identify critical business functions, processes and applications that process ePHI and to understand the potential impact to the business if a disruptive event occurred. 

One of the first steps of implementing the Contingency Program for your organization is to conduct a Risk Assessment (RA).  This questionnaire will help you to identify the current risks and threats to the business and implement measures to eliminate or reduce those potential risks.   Once the survey is completed, the RA Project team will analyze the data and create prioritized risk reduction (mitigation) strategies to present to senior management. 

Table of Contents of Risk Assessment Template

OBJECTIVE     

GENERAL INFORMATION        

Respondent Information 
Company Information     

PREVIOUS DISRUPTIONS       

Facility Related 
Technology Related       
Weather Related           

NATURAL & MAN-MADE RISKS & THREATS    

Natural Risks / Threats  
Man-Made Risks / Threats         

ENVIRONMENT & FACILITY RISKS      

Environment Risks / Threats      
Facility Risks / Threat    

PREVENTATIVE MEASURES    

Hazardous Materials     
Fire Containment          
Emergency Notification, Evacuations, Alarms & Exits      
Facility Features, Security,  & Access    
HVAC  
Utilities
Data Center (Technologies)

Preventative Measures

The following list contains examples of preventative measures that can be implemented by the company to mitigate the potential risks that currently exist.   Some of these activities may be achievable easily, as to where some may take more time and more resources.

Natural Risks

These risks are usually associated with weather related events:  flooding, high winds, severe storms, tornado, hurricane, fire, high winds, snow storms, and ice storms. 

Risk / Threat

Preventative Measures

Earthquakes

  • Move large and heavy objects to the fall to prevent injury (from falling on people.)
  • Equipment tie-downs are used on all critical computer equipment.
  • Emergency power is available on-site.
  • Earthquake construction guidelines have been adhered to so that damage can be minimized.
  • Critical data and vital records should be backed up and sent offsite for storage.
  • Staff should be trained in Earthquake evacuations and safety.

Man-Made Risks

These risks are usually associated with man-made type of events:  Bomb threats, vandalism, terrorism, civil disorder, sabotage, hazardous waste, work stoppage (internal/external), and computer crime. 

Risk / Threat

Preventative Measures

Staff Productivity Risks
  • Alternate sources of trained employees have been identified
  • Proper training and necessary cross-training is conducted
  • Files are backed up and procedures are documented
  • The work areas are comfortable and safe

Environmental Risks

These risks are usually associated with exposures from surrounding facilities, businesses, government agencies, etc. 

Risk / Threat

Preventative Measures

Hazardous Materials Plant

 

  • There is a nightly backup of data processing electronic record and that backup is stored off-site
  • The off-site backup facility is a sufficient distance away from this facility
  • An alternate site has been identified for use in the event that this facility is unusable

Final Facility Risk Assessment Report Template w/ charts

<Enter Facility Name>
Address of Location:
Participant: Date of Report:

The interview was conducted by <Enter the Name of Person(s) conducting interviews> on <Enter Month, Day, and Year>. 

Overview of Facility Business Operations

The <Name of Facility> is responsible for <enter overview of all business operations that are conducted at this site.  (Identify if the facility provides patient care.)    

Previous Disruption Experiences

  • <Enter any previous disruption experiences and details of incident>
  • <Enter any previous disruption experiences and details of incident>
  • <Enter any previous disruption experiences and details of incident>

Risks & Vulnerabilities

Natural Risks
These risks are usually associated with weather related events:  flooding, high winds, severe storms, tornado, hurricane, fire, high winds, snow storms, and ice storms.  In each RA Survey, the facilities manager was asked to identify potential natural risks and rate the severity of each. 

<Enter Chart using the template on the Natural Risks tab in the Executive Report Charts located in the appendix.>

Summary of Natural Risks

For the location of this facility and historical weather patterns, it has been stated that <Enter top 3 – 5 Natural Risks> pose the biggest threat.  <Add additional comments if necessary.> 

How the risk ranking was determined:  Overall Risk = Probability * Severity (Magnitude – Mitigation)

Threat

Probability

Magnitude

Mitigation

Overall Risk

Drought

 

 

 

 

Earthquake

 

 

 

 

Fire

 

 

 

 

Flood / Flash Flooding

 

 

 

 

Hurricane / Tropical Storm

 

 

 

 

Ice Storms

 

 

 

 

Landslides

 

 

 

 

Severe Thunderstorms

 

 

 

 

Tornado

 

 

 

 

Wildfire

 

 

 

 

Risk Assessment Policy

Objective

The Risk Assessment (RA) Policy document establishes the activities that need to be carried out by each Business Unit, Technology Unit, and Corporate Units (departments) within the organization. 

All departments must utilize this methodology to identify current risks and threats to the business and implement measures to eliminate or reduce those potential risks.    

Table of Contents for Risk Assessment Policy

TERMINOLOGY
ACCOUNTABILITY
COMPLIANCE
REVISION HISTORY
ENDORSEMENT

I.  POLICY OVERVIEW

A. Purpose
B.  Scope
C.  Ownership Roles & Responsibilities
D. Review Process
E. Reporting Process
F. Update Frequency and Annual Review
G. Approval

II. RA REQUIREMENTS

A. RA Completion
B.  Risks and Threats Identification
C.  Probability of Occurrence
D.  Vulnerability to Risk
E.  Potential Impact of Risk
F.  Preventative Measures
G.  Insurance Coverage
H.  Previous Disruptions

III. RA RESULTS

A.  Overall Facility Risk
B.  Communication
C.  Retention of RA Survey

APPENDIX

Appendix A – Risk Assessment Standards

To view specific section of this document, please contact us at Bob@training-hipaa.net or call us at (515) 865-4591.

 

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