Enterprise Risk Management in UNHCR
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1 Enterprise Risk Management in UNHCR Briefing for Members and Observers of the Executive Committee and the Standing Committee Mr. Arman Harutyunyan, Chief Risk Officer 7 May 2015
2 Towards Enterprise Risk Management (ERM) in UNHCR : Risk profiling supported by PricewaterhouseCoopers : Risk assessment by the internal audit 2011: External audit recommends ERM : Internal conceptualization 2014-onwards: Formal adoption of ERM and implementation 2017: Scheduled policy review & revision as needed 2
3 Internal frameworks contributing to risk management Policy and procedures on anti-money laundering Policy for addressing resettlement fraud perpetrated by refugees Risk-based policies related to Implementing Partnerships High-level internal control framework with focus on financial management Security management policy Guidance on programme criticality Risk Management Strategic framework for the prevention of fraud and corruption 3
4 Internal conceptualization UNHCR-specific approach to ERM developed Pilot risk assessments in the field HQ focus groups conduct preliminary risk assessments Initial development of detailed guidance and training material ISO adopted as the guiding framework Main roles and responsibilities outlined Implementation options considered Pilot risk assessments conducted in 4 field operations Assessment methodology reviewed and revised Implementation options tested Focus group generated a preliminary outline of risks Risk categories reviewed and revised Assessment methodology revisited Multi-functional project advisory group created Draft guidance and training material produced Supporting tools developed (templates and dashboards) 4
5 2014-onwards: Formal adoption and implementation Policy and administrative instructions issued ERM focal points trained ERM elearning for all staff launched First risk assessment completed in Q1/2015 Mandatory annual risk reviews to be held in Q4 Monitoring and treatment of high priority risks First risk assessment already covered over 85% of 2015 prioritized plans/budgets in the field. 5
6 ERM policy and administrative instructions Purpose, scope, rationale and main principles Risk management process Key roles and responsibilities Definitions (risk categories, risk attributes) Implementation instructions and procedures Organization-wide risk criteria/appetite Prescriptive risk treatments 6
7 Main roles and responsibilities Key roles Risk owners: the High Commissioner, Heads of HQ entities, Field Representatives Risk management focal points: key field and HQ staff Key activities Develop and maintain risk registers, annual review at the time of detailed planning Treat priority risks throughout programme implementation Monitoring and review ERM unit Support the risk management process throughout the organization Manage ERM rollout, provide training, facilitate risk assessments Maintain Corporate and Strategic risk registers Organization-wide monitoring, reporting and trend analysis Enterprise Risk Management and Oversight functions ERM will support planning of oversight activities (audits, inspections, others) Audit will provide assurance on effectiveness of risk management IAOC regularly reviews progress of ERM implementation 7
8 UNHCR Risk Registers (designed for internal use only) Risk info detailed description of a risk, including: Causes, risk event, consequences Impact level of impact on objectives, expressed as: Insignificant Minor Moderate Major Disastrous Likelihood likelihood of a risk to occur, expressed as: Very Low Low Medium High Very High Risk categories thematic grouping into three categories for analysis: Institutional; management and support; operations / implementation Risk treatment Corporate risk register: Field risks + HQ entity risks measures in place, measures needed to be put in place: Proactive treatments; reactive treatments Strategic risk register: Significant organization-wide risks 8
9 Thank you Q & A 9
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