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It emphasizes ongoing risk analysis and timely updates, focusing on recipient and participant safety, conflict-of-interest controls, whistleblower and ethics procedures, cyber/digital security, and data protection across local contexts. It also details required annex content for environments involving sanctioned or terrorist actors, including operating-environment analysis, screening controls for procurement and hiring, relevant sanctions program information, safeguards against interference, and measures to prevent indirect or reputational benefits.",{"@graph":63,"@context":118},[64,80,101],{"@type":65,"itemListElement":66},"BreadcrumbList",[67,71,74,77],{"item":68,"name":69,"@type":70,"position":9},"https://docshare.wps.com","Home","ListItem",{"item":72,"name":10,"@type":70,"position":73},"https://docshare.wps.com/template/",2,{"item":75,"name":36,"@type":70,"position":76},"https://docshare.wps.com/template/forms/",3,{"item":78,"name":59,"@type":70,"position":79},"https://docshare.wps.com/template/risk-assessment-and-security-plan-template-risk-assessment-instructions-and-sanctions-environment-analysis/161430/",4,{"url":78,"name":59,"@type":81,"image":82,"author":87,"headline":59,"publisher":90,"fileFormat":93,"inLanguage":57,"description":61,"dateModified":94,"datePublished":95,"encodingFormat":93,"isAccessibleForFree":96,"interactionStatistic":97},"DigitalDocument",{"url":83,"@type":84,"width":85,"height":86},"https://docshare.wps.com/thumbnails/risk-assessment-and-security-plan-template-risk-assessment-instructions-and-sanctions-environment-analysis/161430.png","ImageObject",442,249,{"name":88,"@type":89},"Tawan","Person",{"url":68,"name":91,"@type":92},"DocShare","Organization","application/vnd.openxmlformats-officedocument.wordprocessingml.document","2026-09-23","2026-08-30",true,{"@type":98,"interactionType":99,"userInteractionCount":79},"InteractionCounter",{"@type":100},"ViewAction",{"@type":102,"mainEntity":103},"FAQPage",[104,110,114],{"name":105,"@type":106,"acceptedAnswer":107},"What is the main purpose of the risk assessment in this template?","Question",{"text":108,"@type":109},"To identify internal and external risks for the proposed program, assess likelihood and potential impact, and specify actions that help mitigate those risks.","Answer",{"name":111,"@type":106,"acceptedAnswer":112},"How should risk assessments be managed over the program lifecycle?",{"text":113,"@type":109},"Risk analysis should be conducted throughout the life of the program, with revisions to risk-related processes and prompt sharing of updates.",{"name":115,"@type":106,"acceptedAnswer":116},"What additional annex details are required for programs operating in sanctioned or terrorist environments?",{"text":117,"@type":109},"The annex must include operating-environment analysis, screening and controls for procurement and hiring, relevant sanctions program information, safeguards to prevent interference or benefits to sanctioned groups or terrorists, and measures to address incidental payments and equipment/supply diversion risks.","https://schema.org",{"og:url":78,"og:type":120,"og:title":59,"og:site_name":91,"og:description":61},"article",{"robots":122,"canonical":78},"index,follow",{"doc_id":124,"site_id":56},161430,1788099535,{"code":4,"msg":5,"data":127},{"doc_id":124,"user_id":128,"nickname":88,"user_avatar":129,"doc_module":9,"category_id":35,"category_name":36,"doc_title":59,"doc_description":61,"doc_content":130,"file_id":131,"file_url":132,"file_type":133,"file_size":134,"view_count":79,"is_deleted":4,"is_public":9,"is_downloadable":9,"audit_status":9,"page_count":135,"language":136,"language_code":57,"site_id":56,"html_lang":57,"table_of_contents":137,"faqs":138,"seo_title":139,"seo_description":61,"update_tm":125,"read_time":76},2336475104042,"https://ap-avatar.wpscdn.com/avatar/22000c4c32af1715be0?x-image-process=image/resize,m_fixed,w_180,h_180&k=1786537525561427321","RISK ASSESSMENT AND SECURITY PLAN TEMPLATE\nNote: Instructions, suggested format examples, helpful links, and table examples should be deleted from your submission.\nRisk Assessment Instructions\nThe purpose of the risk assessment is to identify the internal and external risks associated with the proposed program in the application, assess the likelihood of the risks, assess the potential impact of the risks on the program, and identify actions that could help mitigate the risks.  PRM partners should not consider a risk assessment a one-time exercise or a static document.  PRM expects partners to conduct risk analysis and remediation throughout the life of a program, as well as revise risk-related analysis and processes, and promptly share updates with PRM.  The safety and security of recipients and program participants are of utmost importance.  The risk assessment should describe risk mitigation strategies (including for any sub-recipients) to include conflict of interest policy, whistleblower procedures, ethics training, cyber/digital security, and data protection procedures, including how organizations protect program participants’ personal data broadly and in the given local context, banking protocols, procurement and logistics policies, human resources policies including Sexual Exploitation and Abuse and context-specific strategies to mitigate against host/de facto government or local authority interference in pre- or post-distribution of assistance.  Additional analysis is required if programs operate in locations where U.S. designated terrorists or sanctioned actors, live, operate, or control territory (see “Analysis for Environments with Sanctions or Terrorist Actors” below).\nSuggested Risk Assessment Format\nThe risk assessment should address the risk for fraud, waste, and abuse associated with the proposed program including, but not limited to the categories in the table below.  Under “Description of Risk,” the risk analysis must explain each risk and rate the “Likelihood of Risk” and “Potential Impact of Risk” as “High,” “Medium,” or “Low.”  Partners should include a risk mitigation plan/action for every risk described.\nTable: Suggested Risk Assessment Format\nAnalysis for Environments with Sanctioned or Terrorist Actors\nPRM recognizes that some programs provide support in locations where groups or individuals designated as terrorists under the U.S. Material Support statutes and/or sanctioned under programs administered by the U.S. Department of Treasury Office of Foreign Assets Control (OFAC) live or operate.   Applicants should provide additional information regarding safeguards and risk mitigation strategies where these conditions exist.\nThe annex should include details on the applicable prevention measures including:\nAn analysis of the operating environment in the geographic area(s) in which the organization proposes to work, including identification of sanctioned groups and individuals that have a presence in or control territory and how those groups and individuals operate vis-à-vis humanitarian partners and programming.\nThe controls and systems the organization has in place to ensure that procurement and hiring do not benefit sanctioned groups and individuals, or Designated Terrorist Organizations (DTOs). This should include searches of public databases, such as SAM.gov, the Department of the Treasury’s Office of Foreign Assets Control’s (OFAC) Specially Designated National List, UN Security Council Sanctions List, the Department of State’s Designated Foreign Terrorist Organizations (FTO) list and commercial screening software. Please also describe internal processes used to screen staff and vendors.\nInformation on applicable \u0013 HYPERLINK \"https://home.treasury.gov/policy-issues/financial-sanctions/sanctions-programs-and-country-information\" \\h \u0014sanctions programs\u0015 (e.g., \u0013 HYPERLINK \"https://home.treasury.gov/policy-issues/financial-sanctions/sanctions-programs-and-country-information/afghanistan-related-sanction","cbCaisMb1oaCpTVi","https://ap.wps.com/l/cbCaisMb1oaCpTVi","docx",44111,7,"English","# Risk Assessment Instructions\n## Purpose and Ongoing Risk Analysis\n## Required Risk Mitigation Elements\n# Suggested Risk Assessment Format\n## Likelihood and Potential Impact Ratings\n## Fraud, Waste, and Abuse Categories\n# Analysis for Environments with Sanctioned or Terrorist Actors\n## Additional Safeguards and Prevention Measures\n## Screening and Controls for Procurement and Hiring\n## Safeguards During Implementation Phases\n## Preventing Indirect Benefits and Incidental Payments\n## Equipment and Supplies Risk Mitigation","[{\"question\":\"What is the main purpose of the risk assessment in this template?\",\"answer\":\"To identify internal and external risks for the proposed program, assess likelihood and potential impact, and specify actions that help mitigate those risks.\"},{\"question\":\"How should risk assessments be managed over the program lifecycle?\",\"answer\":\"Risk analysis should be conducted throughout the life of the program, with revisions to risk-related processes and prompt sharing of updates.\"},{\"question\":\"What additional annex details are required for programs operating in sanctioned or terrorist environments?\",\"answer\":\"The annex must include operating-environment analysis, screening and controls for procurement and hiring, relevant sanctions program information, safeguards to prevent interference or benefits to sanctioned groups or terrorists, and measures to address incidental payments and equipment/supply diversion risks.\"}]","RISK ASSESSMENT AND SECURITY PLAN TEMPLATE - Risk Assessment Instructions and Sanctions Environment Analysis | DOCX"]