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1. Facilitated Risk Analysis Process(FRAP)Adapted from Tom Peltier & Associates
2. Objectives We?ll answer the following:
What is a FRAP?
Why a FRAP?
What are the roles needed for an effective FRAP work group?
What is a threat and how do we rank it?
What is a control?
3. What is a FRAP? A FRAP is:
A delicious blended coffee beverage served at the always hard-to-find Starbucks.
4. What is a FRAP? A FRAP is:
A formal methodology developed through understanding the previously developed qualitative risk assessment processes and modifying them to be faster and simpler to conduct
Facilitator + small group of subject matter experts
Consists of these specific steps:
Brainstorming Session to identify threats
Assigning Impact and Probability scores to each threat
Identifying and Assigning Controls/Safeguards
5. FRAP Successful at Adventist Health The FRAP process:
Was used to conduct risk analysis for 7 key areas of the HIPAA Security Rule
Utilized four facilitators, about 45 SMEs
Provided value to AH by:
Conducting a full risk analysis in about five days
Qualitatively prioritized threats and the corresponding controls
Allowed management to make decisions on which projects to approve based on the FRAP and other findings
6. Why a FRAP? The Value of a FRAP:
Takes hours/days instead of weeks or months;
Once the resource owner is involved in identifying threats, they generally see the business reason why implementing cost-effective controls to help limit the exposure is necessary
The FRAP allows the business units to take control of their resources.
It allows them to determine what safeguards are needed and who will be responsible for implementing those safeguards.
7. What are the Roles in the FRAP groups? Facilitator ? trained in FRAP methodology
Subject Matter Experts (SMEs) ? Small set of users representing a larger group of expert users ?Similar to the Delphi Technique in this regard
Scribe ? Invaluable in documenting all of the major areas of contention as well as off-topic items that can be addressed at another time (including another FRAP session)
Ask participants if they have participated in any of the surveys. Possible a separate slide. Ask participants if they have participated in any of the surveys. Possible a separate slide.
8. Session Facilitation Led by an experienced facilitator
This individual will lead the team through the identification of threats, the establishment of a risk level by determining probability and impact and then select possible safeguards or controls.
Because of qualitative risk assessment?s subjective nature, it will be the responsibility of the facilitator to lead the team into different areas of concern to ensure as many threats as possible are identified
Assists in keeping the group on topic
On the clock as the official timekeeper
Acts as referee
9. Session Facilitation Basic facilitation rules must be observed by all facilitators if the FRAP is to be successful.
FRAP leaders must observe carefully and listen to all that the team says and does.
Recognize all input and encourage participation.
Be observant for non-verbal responses.
Do not lecture, listen and get the team involved.
Never loose sight of the objective.
Stay neutral (or always appear to remain neutral).
10. Subject Matter Experts By convening a balanced team of internal subject matter experts the FRAP will rely on the organization?s own people to complete the risk assessment process.
These experts may include the business managers who are familiar with mission needs of the asset under review and the staff who have a detailed understanding of potential threats and related controls related to the subject matter.
Should be able to function in a team setting
TIP: SME should conduct a quick informal poll in their dept./area regarding the topic they are going to discuss in the FRAP group
11. FRAP Definitions Threat?an undesirable event that could impact the business objectives or mission of the risk assessment asset.
Probability ? a measure of how likely it is that some event will occur
Impact ? the potential effect a risk may have on our assets
Control/Safeguard ? measure taken to detect, prevent, minimize, or eliminate risk
12. What is a Threat?
13. Probability Definitions Can be modified to fit situation
High Probability: very likely that the threat will occur within the next year
Medium Probability: possible that the threat may occur during the next year
Low Probability: highly unlikely that the threat will occur during the next year.
14. Impact Definitions Can be modified to fit situation *
High impact: Entire business or mission affected
Medium impact: Loss is limited to single business unit or objectives
Low impact: Business as usual
15. What is a Control/Safeguard?
16. FRAP Agenda
17. FRAP Techniques Brainstorming Techniques
Remain neutral at all times
Be prepared - have flip charts and pens ready
Don?t judge ideas (NO bad answers)
Get input from everyone
Write down all ideas and post them
Help participants visualize the situation
Keep the meeting fast paced
18. FRAP Tool
19. Control Recommendations During this step the controls that could mitigate or eliminate the identified risks, as appropriate to the organization?s operations, are identified.
The goal of the recommended controls is to reduce the risk to an acceptable level.
The following factors should be considered in recommending controls and alternative solutions to minimize or eliminate identified risks:
Effectiveness of recommended controls
Legislation and regulation
Safety and reliability
20. Brief Demonstration of FRAP Situation: Accountants R Us Franchisee Accountant with a single computer connected to the internet via non-wireless modem in a one room office in an office complex.
Assets: Computer contains personal, sensitive information of all clients in MS Excel Spreadsheets.
21. FRAP Definitions Probability
High : very likely that the threat will occur within the next year
Medium : possible that the threat may occur during the next year
Low : highly unlikely that the threat will occur during the next year.
High : Business would need to close
Medium : Business would continue after some delay
Low : Business as usual
22. Brainstorming Session
23. FRAP Tool
24. Brainstorming Session
25. Management Summary High Level Summary of:
Prioritized Threats and Corresponding Controls
Recommendation from SMEs
Other pertinent information
26. << Update: January 2009 >> Impact of FRAP Methodology on one Adventist Health project: HIPAA Security Rule / Information Security --
Project size: About $ 3 M (Phase 1)
Initial investment in FRAP accepted by Senior Exec project champions (questioned by some middle managers)
Utilized 9 separate FRAP groups with specific charters (each of 3-8 members, average size 5+)
Very large number of risks identified and ranked; initial controls identified
Ranking allowed project Execs to prioritize initial spending on high-impact risks (concept: ?waterlining? ? spending ?down? to a certain total cost, or identified level of risk)
FRAP-based ranking allowed the project a level of certainty that most-critical risks were being addressed first
28. Facilitated Risk Analysis Process(FRAP)THANK YOU FOR YOURPARTICIPATION