This is a complete templates suite required by any Information
Technology (IT) department to conduct the risk assessment,
plan for risk management and take necessary steps for disaster
recovery of IT dept. Any organization, large or small, can
use this template and adapt to their environment.
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.
The complete package has Risk Assessment guidelines, matrix,
templates, forms, worksheets, policies, procedures, methodologies,
tools, recovery plan, 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
17799.
Feel free to request a sample before buying.
List of documents in this Risk Assessment templates package:
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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 |
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Earthquake |
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Fire |
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Flood / Flash Flooding |
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Hurricane / Tropical Storm |
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Ice Storms |
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Landslides |
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Severe Thunderstorms |
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Tornado |
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Wildfire |
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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
Applications and Data Criticality Analysis Template
Objective
The purpose of the Application & Data Criticality Analysis is to determine the criticality to covered entity of all application based components and the potential losses which may be incurred if these components were not available for a period of time. This questionnaire is designed to collect the information necessary to support the development of alternative processing strategies, solutions and IS Recovery plans.
The Business Impact Analysis (BIA) should be completed prior to this engagement. The results of the BIA should be used to assess technology requirements based on the business needs.
This questionnaire also serves as a compliancy method for meeting the HIPAA Security Rule requirements for Application & Data Criticality Analysis.
Table of Contents of Applications and Data Criticality Analysis Template
OBJECTIVE
RESPONDENT INFORMATION
APPLICATION INFORMATION
Application Information
Application Specifications
Application Users
Application Service Providers
Application Vulnerability
Application Recovery Complexity
Application Recovery Plan
Application Recovery History
Application Standard Operating Procedures
Application Source Code and Backup Information
Application Dependencies
Application Data Reconstruction
DATABASE INFORMATION
Database Information
Database Service Providers
Database Vulnerability
Database Recovery Complexity
Database Recovery Information
Database Recovery History
Database Standard Operating Procedures
Database Backup Information
Database Backup Tape Information
HARDWARE (SYSTEM) INFORMATION
Hardware Information
Hardware Environment Information
Hardware Service Providers
Hardware Vulnerability
Hardware Recovery Complexity
Hardware Recovery Plan
Hardware Recovery History
Hardware Backup Information
Hardware Backup Tape Information
NETWORK INFORMATION
Network Equipment Requirements
Network Service Providers
Network Vulnerability
Network Recovery Complexity
Network Recovery Plan
Network Recovery History
Network Standard Operating Procedures
Application Recovery Plan
Purpose
This Recovery Plan documents the strategies, personnel, procedures and resources necessary to recover the <Enter Application Name> Application following any type of short or long term disruption. The following objectives have been established for this plan:
- Maximize the value of contingency planning by establishing recovery plans that consists of the following phases:
- Notification / Activation: To activate the plan and notify vendors, customers, employees, etc of the recovery activities
- Recovery Phase: To recovery and resume temporary IT operations on alternate hardware (equipment) and possibly at an alternate location
- Restoration Phase: To restore IT systems processing capabilities to normal operations at the primary location or the new location
- Define the activities, procedures, and essential resources required to perform <Enter Application Name> processing requirements during prolonged periods of disruption to normal operations.
- Allocate responsibilities to designated personnel and provide guidance for recovering <Enter Application Name> during prolong periods of interruption to normal operations.
- Make certain coordination with other <Enter Company Name> staff is conducted.
- Ensure coordination with external contacts, like vendors, suppliers, etc. who will participate in the recovery process.
Table of Contents for Applications Recovery Plan Template
PLAN MAINTENANCE
PLAN EXERCISE
PLAN LOCATION
PLAN DISTRIBUTION
PLAN INTRODUCTION
Purpose
Applicability
Scope
Assumptions
Use Of This Plan
APPLICATION PROFILE
Application Specifications
Server Requirements
Database Requirements
Network Requirements
Input (Feeders) Dependencies on Applications / Systems
Output (Receivers) Dependencies on Applications / Systems
Business Processes
PLAN ACTIVATION PROCEDURES
Plan Activation Team
TEAM MEMBERS & RESPONSIBILITIES
Activate Team Members
Travel to Alternate Location
RECOVERY PROCEDURES
Restore Application Services
File Verification Tasks
Application Validation and Synchronization Tasks
Restoration Procedures
Original or New Site Restoration
Concurrent Processing
Plan Deactivation
APPENDIX
Appendix A: Employee Contact List
Appendix B: Vendor Contact List
Database Recovery Plan Template
Purpose
This Recovery Plan documents the strategies, personnel, procedures and resources necessary to recover the Database following any type of short or long term disruption. The following objectives have been established for this plan:
- Maximize the value of contingency planning by establishing recovery plans that consists of the following phases:
- Notification / Activation: To activate the plan and notify vendors, customers, employees, etc of the recovery activities
- Recovery Phase: To recovery and resume temporary IT operations on alternate hardware (equipment) and possibly at an alternate location
- Restoration Phase: To restore IT systems processing capabilities to normal operations at the primary location or the new location
- Define the activities, procedures, and essential resources required to perform <Enter Database Name> processing requirements during prolonged periods of disruption to normal operations.
- Allocate responsibilities to designated personnel and provide guidance for recovering <Enter Database Name> during prolong periods of interruption to normal operations.
- Make certain coordination with other <Enter Company Name> staff is conducted.
- Ensure coordination with external contacts, like vendors, suppliers, etc. who will participate in the recovery process.
Table of Contents for Database Recovery Plan Template
CONFIDENTIALITY STATEMENT
PLAN MAINTENANCE
PLAN EXERCISE
PLAN LOCATION
PLAN DISTRIBUTION
PLAN INTRODUCTION
Purpose
Applicability
Scope
Assumptions
Use of This Plan
DATABASE PROFILE
Database Specifications
Server Requirements
PLAN ACTIVATION PROCEDURES
Plan Activation Team
TEAM MEMBERS & RESPONSIBILITIES
Activate Team Members
Travel to Alternate Location
RECOVERY PROCEDURES
Restore Database Services
RESTORATION PROCEDURES
Original or New Site Restoration
Concurrent Processing
Plan Deactivation
APPENDIX
Appendix A: Employee Contact List
Appendix B: Vendor Contact List
Network Recovery Plan Template
Purpose
This Recovery Plan documents the strategies, personnel, procedures and resources necessary to recover the <Enter Company Name> network following any type of short or long term disruption. The following objectives have been established for this plan:
- Maximize the value of contingency planning by establishing recovery plans that consists of the following phases:
- Notification / Activation: To activate the plan and notify vendors, customers, employees, etc of the recovery activities
- Recovery Phase: To recovery and resume temporary IT operations on alternate hardware (equipment) and possibly at an alternate location
- Restoration Phase: To restore IT systems processing capabilities to normal operations at the primary location or the new location
- Define the activities, procedures, and essential resources required to perform network recovery during prolonged periods of disruption to normal operations.
- Allocate responsibilities to designated personnel and provide guidance for recovering the network during prolong periods of interruption to normal operations.
- Make certain coordination with other <Enter Company Name> staff is conducted.
Ensure coordination with external contacts, like vendors, suppliers, etc. who will participate in the recovery process.
Table of Contents of Network Recovery Plan Template
PLAN MAINTENANCE
PLAN EXERCISE
PLAN LOCATION
PLAN DISTRIBUTION
PLAN INTRODUCTION
Purpose
Applicability
Scope
Assumptions
Use of this Plan
NETWORK PROFILE
Network Specifications
Network Requirements
PLAN ACTIVATION PROCEDURES
Plan Activation Team
TEAM MEMBERS & RESPONSIBILITIES
Activate Team Members
Travel to Alternate Location
RECOVERY PROCEDURES
Restore Network Services
Restoration Procedures
Original or New Site Restoration
Concurrent Processing
Plan Deactivation
APPENDIX
Appendix A: Employee Contact List
Appendix B: Vendor Contact List
Appendix C: Network Diagrams
This main document contains the non-technical activities that need to be completed in support of Disaster Recovery operations. The following sections contain contact numbers, contact personnel, activation and notification procedures, overview of recovery teams, vendor contact information and recovery locations.
The detailed technical recovery procedures for all components are located in the appendix since these recovery plans are modified on a regular basis due to periodic configuration changes of the company’s Technology Environment. Furthermore, with continual changes to the hardware, network, and operating systems (OS), technical documents such as the detailed individual DR Plans for this environment will be updated on a regular basis to ensure changes in hardware and operating systems are reflected in the technical DR Procedures.
Table of Contents for Server Recovery Plan
CONFIDENTIALITY STATEMENT
PLAN MAINTENANCE
PLAN EXERCISE
PLAN LOCATION
PLAN DISTRIBUTION
MEDIA POLICY
EXECUTIVE SUMMARY
Definition of A Disaster
Disaster Declaration Criteria
QUICK REFERENCE GUIDE
SCOPE & OBJECTIVES
Scope of This Plan
Objectives of This Plan
RECOVERY STRATEGY
Recovery Strategy
Application & System Recovery
Network Recovery
Telecommunications Recovery
Contractual Agreement for Recovery Services
PLAN ASSUMPTIONS & EXPOSURES
Planning Assumptions
Known Exposures
DISASTER DECLARATION PROCEDURE
Declaration Authority
NOTIFICATION PROCEDURES
Notification & Activation Team
RECOVERY TEAMS
Management Team
Administrative Team
Alternate Site Team
Offsite Storage Team
CONTACT LISTS
Employee Contact Information
Department Notifications
Vendor Notification
Other Emergency Contact Numbers
ALTERNATE LOCATIONS
Assembly Site
Command Center
Recovery Site Information
OFFSITE STORAGE LOCATION
Offsite Storage Information
PLAN CERTIFICATION
Plan Certification
APPENDIX ITEMS
I. Application Technical Recovery
II. Systems Technical Recovery
III. Network Technical Recovery
IV. Telecommunications Technical Recovery
V. Database Technical Recovery
Appendix A – Employee Notification Procedures
Appendix B – Notification Log
Appendix C – Event / Disaster Information
Appendix D – Record Log
Appendix E – Alternate Site Authorization Form
Appendix F – Recovery Status Report
Appendix G – Disaster Recovery Report
Appendix H – Travel Accommodations Request Form
Appendix I – Employee Tracking Form
Appendix J – Assessing Potential Business Impact
Server Recovery Plan
Template
Purpose
This Recovery Plan documents the strategies, personnel, procedures and resources necessary to recover the <Enter Server Name> Server following any type of short or long term disruption. The following objectives have been established for this plan:
- Maximize the value of contingency planning by establishing recovery plans that consists of the following phases:
- Notification / Activation: To activate the plan and notify vendors, customers, employees, etc of the recovery activities
- Recovery Phase: To recovery and resume temporary IT operations on alternate hardware (equipment) and possibly at an alternate location
- Restoration Phase: To restore IT systems processing capabilities to normal operations at the primary location or the new location
- Define the activities, procedures, and essential resources required to perform <Enter Server Name> processing requirements during prolonged periods of disruption to normal operations.
- Allocate responsibilities to designated personnel and provide guidance for recovering <Enter Server Name> during prolong periods of interruption to normal operations.
- Make certain coordination with other <Enter Company Name> staff is conducted.
- Ensure coordination with external contacts, like vendors, suppliers, etc. who will participate in the recovery process.
Table of Contents for Server Recovery Plan
CONFIDENTIALITY STATEMENT
PLAN MAINTENANCE
PLAN EXERCISE
PLAN LOCATION
PLAN DISTRIBUTION
PLAN INTRODUCTION
Purpose
Applicability
Scope
Assumptions
Use of this Plan
SERVER PROFILE
Server Specifications
Network Requirements
Applications
PLAN ACTIVATION PROCEDURES
Plan Activation Team
TEAM MEMBERS & RESPONSIBILITIES
Activate Team Members
Travel to Alternate Location
RECOVERY PROCEDURES
Restore Server Services
RESTORATION PROCEDURES
Original or New Site Restoration
Concurrent Processing
Plan Deactivation
APPENDIX
Appendix A: Employee Contact List
Appendix B: Vendor Contact List
Telecom Recovery Plan Template
Overview:
Telecommunications Recovery Plan documents the strategies, personnel, procedures and resources necessary to recover company’s Telecommunications following any type of short or long term disruption. The following objectives have been established for this plan:
- Maximize the value of contingency planning by establishing recovery plans that consists of the following phases:
- Notification / Activation: To activate the plan and notify vendors, customers, employees, etc of the recovery activities
- Recovery Phase: To recovery and resume temporary IT operations on alternate hardware (equipment) and possibly at an alternate location
- Restoration Phase: To restore IT systems processing capabilities to normal operations at the primary location or the new location
- Define the activities, procedures, and essential resources required to perform network recovery during prolonged periods of disruption to normal operations.
- Allocate responsibilities to designated personnel and provide guidance for recovering the network during prolong periods of interruption to normal operations.
- Make certain coordination with other staff is conducted.
- Ensure coordination with external contacts, like vendors, suppliers, etc. who will participate in the recovery process.
Table of Contents for Telecommunications Recovery Plan Template
CONFIDENTIALITY STATEMENT
PLAN MAINTENANCE
PLAN EXERCISE
PLAN LOCATION
PLAN DISTRIBUTION
PLAN INTRODUCTION
Purpose
Applicability
Scope
Assumptions
Use of this Plan
TELECOMMUNICATION PROFILE
Telecommunication Specifications
Telecommunication Requirements
PLAN ACTIVATION PROCEDURES
Plan Activation Team
TEAM MEMBERS & RESPONSIBILITIES
Activate Team Members
Travel to Alternate Location
RECOVERY PROCEDURES
Restore Telecommunication Services
RESTORATION PROCEDURES
Original or New Site Restoration
Concurrent Processing
Plan Deactivation
APPENDIX
Appendix A: Employee Contact List
Appendix B: Vendor Contact List
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