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Information Technology (IT) Risk Assessment, Risk Management and Data Center (technology) Disaster Recovery Template Suite

This is a complete templates suite required by any Information Technology (IT) department to conduct the risk assessment, plan for risk management and takes 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 27002.

Feel free to request a sample before buying.

List of documents in this Risk Assessment templates package:

Cost: $480
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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 the 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 are 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

Address of Location:
Participant: Date of Report:

The interview was conducted by on .

Overview of Facility Business Operations

The is responsible for

The previous Disruption Experiences

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.

 

Summary of Natural Risks

For the location of this facility and historical weather patterns, it has been stated that pose the biggest threat.

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

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 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 consist of the following phases:
    1. Notification / Activation:  To activate the plan and notify vendors, customers, employees, etc of the recovery activities
    2. Recovery Phase:  To recovery and resume temporary IT operations on alternate hardware (equipment) and possibly at an alternate location
    3. 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 processing requirements during prolonged periods of disruption to normal operations.
  • Allocate responsibilities to designated personnel and provide guidance for recovering 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 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 consist of the following phases:
    1. Notification / Activation:  To activate the plan and notify vendors, customers, employees, etc of the recovery activities
    2. Recovery Phase:  To recovery and resume temporary IT operations on alternate hardware (equipment) and possibly at an alternate location
    3. 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 processing requirements during prolonged periods of disruption to normal operations.
  • Allocate responsibilities to designated personnel and provide guidance for recovering 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 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 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 consist of the following phases:
    1. Notification / Activation:  To activate the plan and notify vendors, customers, employees, etc of the recovery activities
    2. Recovery Phase:  To recovery and resume temporary IT operations on alternate hardware (equipment) and possibly at an alternate location
    3. 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 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

Disaster Recovery Plan Template

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, the 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 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:
    1. Notification / Activation:  To activate the plan and notify vendors, customers, employees, etc of the recovery activities
    2. Recovery Phase:  To recovery and resume temporary IT operations on alternate hardware (equipment) and possibly at an alternate location
    3. 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 processing requirements during prolonged periods of disruption to normal operations.
  • Allocate responsibilities to designated personnel and provide guidance for recovering 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 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 consist of the following phases:
    1. Notification / Activation:  To activate the plan and notify vendors, customers, employees, etc of the recovery activities
    2. Recovery Phase:  To recovery and resume temporary IT operations on alternate hardware (equipment) and possibly at an alternate location
    3. 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

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

Information Technology Risk Assessment Template

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