Sample Enterprise Risk Management Work Plan Fiscal Years 20XX and 20YY Revised June Internal Environment / Objectives Setting
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1 STRATEGIC OPERATIONS REPORTING Internal Environment Objective Setting Event Identification Risk Assessment Risk Response Control Activities Information & Communication COMPLIANCE DEPARTMENT SCHOOL CAMPUS SYSTEMWIDE Internal Environment / Objectives Setting The internal environment encompasses the management tone of the campus/medical center, and sets the basis for how risk is viewed and addressed by all employees. It includes the campus/medical center s risk management philosophy and risk appetite, integrity and ethical values, and the environment in which they operate. Within the context of the campus/medical center s mission, management establishes strategic objectives, selects strategy, and sets aligned objectives cascading through the enterprise. The enterprise risk management framework is geared to achieving objectives, in four categories: Strategic high-level goals, aligned with and supporting our mission Operations effective and efficient use of our resources Reporting reliability of reporting Compliance compliance with applicable laws and regulations. Develop a campus/medical center risk management philosophy, and a culture that promotes compliance with top management s risk appetite, allowing managers to manage risks within their spheres of responsibility consistent with established risk tolerances. Develop a campus/medical center environment in which risk assessment and risk management (mitigation) is integrated into all business practices and decision-making activities. Internal Environment / Objectives Setting Articulate philosophy regarding risk management, risk appetite, and risk tolerances Steering Committee or work group Policy Steering Committee will oversee efforts to identify, assess, measure, respond, monitor, and report risks. Develop a comprehensive risk management policy, governance structure and procedures to assess campuswide risks, develop action plans to mitigate the identified risks, and monitor the risks identified on an ongoing basis. Formalization of Steering Committee and Charter Policy on Managing Risks Level* * Many referenced documents are available in the toolkit: Page 1 of 5
2 Event Identification / Risk Assessment Risks are analyzed, considering likelihood and impact, as a basis for determining how they should be managed. Risks are assessed on an inherent and a residual basis. Provide a portfolio view of risks (financial, environmental, research non-compliance, workplace disagreements and injuries, claims and lawsuits, and new and emerging risks) across the entire campus. Assist the campus/medical center and individual units identify and assess risks, develop action plans to mitigate the identified risks, and monitor the risks identified on an ongoing basis to ensure management s risk responses are carried out effectively. Event Identification / Risk Assessment Identify risks across campus Enable the various units on campus/medical center perform their own risk and control assessments Assessments completed prior to approval of new ventures and Objectives aligned with Strategic Plan Risks are analyzed Risk Survey On-line Risk and Controls Self- Assessment Tools Tool Assessment Strategic Goal Programs Risk Mapping Survey leaders to identify risks across campus financial, environmental, research, workplace, claims and lawsuits, and new and emerging risks Questions and check lists for departments to examine processes and procedures for efficiency and effectiveness. These tools can be used to monitor selected risks controls across campus/medical center. Develop an analysis tool assisting departments in assessing risk for an event or activity at the start of the contracting process. Multidisciplinary group and owners complete Assessment exercise. Survey completed based on and Objectives/key departments. Risk Map completed at department or campus level. Meeting with key stakeholders Listing of campuswide risks, prioritized based on likelihood of occurrence and impact to campus Online checklists Separation of duties Cash handling Others as identified Analysis tool identifying strategic, operating, reporting, and compliance risks Report is completed and strategy developed. Report to Chancellor on risk that could impact strategic plan. Report completed on Risk Mapping evaluation. * Many referenced documents are available in the toolkit: Page 2 of 5
3 Risk Response/Control Activities Policies and procedures are established and implemented to help ensure the risk responses (avoiding, accepting, reducing, or sharing risk) align with management s risk tolerances and risk appetite, and are effectively carried out. Assist the campus/medical center and individual units in identifying and assessing risks, develop action plans to mitigate the identified risks, and monitor the risks identified on an ongoing basis to ensure management s risk responses are carried out effectively. Risk Response/Control Activities Assist the campus with risk response and control activities that cross multiple operating and/or control units Determine the current level of activities on campus Identify where key risk and indicator data are located on campus/medical centers Determine root cause of risk and develop risk mitigation plan Preplanning for Mission interruption is ongoing and sustainable Performance Management is ongoing and sustainable. Process Reviews Activities Develop Retrospective Reviews UC Ready Balance Score Card Assist in developing action plans to mitigate identified risks using the process Survey current activities and communicate results to VC-Administration Identify location of data for monitoring key risk and. Risk Management brings risk owners together pos settlement for review. Business/Mission continuity plans are developed at department level. Vision, strategy, objectives and goals are set and measured. Controlled Substances Program Recommendations for improving the process for Reasonable Accommodations Report on investigations Survey on Enterprise Risk Management Data location listing completed Retrospective reviews on all losses >$50,000. Increase in number of plans completed. Balance Score Card program is implemented. * Many referenced documents are available in the toolkit: Page 3 of 5
4 Information and Communication Relevant information is identified, captured, and communicated in a form and timeframe that enable people to carry out their responsibilities. Effective communication also occurs in a broader sense, flowing down, across, and up the entity. Establish and maintain a campus communications structure/support network to support the University s risk management philosophy. Information and Communication Act as a campus resource for information on risk and control topics, links and best practices Push out to the campus, risk and control issues Facilitate greater understanding of Institutional knowledge and training is continuously improved. Web Site Newsletter Training LMS LMS The Controls, Accountability and Risk Management Office web site will be enhanced to provide useful information and links In partnership with Audit and Advisory services, the staff will produce a newsletter called Risky Business. Local training on applying the model to unit activities Content is developed and training is promoted. Enhanced web site Semi-annual newsletter One-hour informational sessions Increase in documented training. * Many referenced documents are available in the toolkit: Page 4 of 5
5 Control activities are monitored, and modifications are made as necessary. is accomplished through ongoing management activities, separate evaluations, or both. Develop measures for monitoring key risks and communicate findings to responsible executives. Assist the campus and individual units identify and assess risks, develop action plans to mitigate the identified risks, and monitor the risks identified on an ongoing basis. Answer the question, Are our controls adequately mitigating risks so that the campus can achieve its goals? Metrics Development Develop key risk and key. The project will include developing a means of communicating the to decision makers. The project would build on the work done at the campus/medical centers. Simple dashboard for annually monitoring the key risk and On-line dashboard for communicating selected monthly key risk and * Many referenced documents are available in the toolkit: Page 5 of 5
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