Risk Management Tool 1
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1 Risk Management Tool 1
2 Risk Identification Categories of Risk Project, Contract or Other Event Financial Technology Governance Reputation 1A 1B 1C 1D 2A 2B 2C 2D 3A 3B 3C 3D 4A 4B 4C 4D Prioritize Risk 1E 1F 1G 1H 2E 2F 2G 2H 3E 3F 3G 3H 4E 4F 4G 4H Hazard Compliance Client Service for Child Service Providers please note slide 9 Human Capital 2
3 Financial Risks (examples) Loss of Income Rising Costs Liquidity Economy Federal/State budget Investment risks Borrowing rates Inadequate budgeting or planning Unreliable accounting records Fraud Examples from Wipfli, LLP presentation at 9 th Annual Grant Funded Programs Management Conference 3
4 Technology Risks Obsolete equipment (leading to inefficiency or incompatibility) Access to current technology Lack of understanding of technology Examples from Wipfli, LLP presentation at 9 th Annual Grant Funded Programs Management Conference 4
5 Governance Risks Improperly prepared or engaged board of directors Inefficient governance practices Straying from the mission Lack of innovation Poor strategy Examples from Wipfli, LLP presentation at 9 th Annual Grant Funded Programs Management Conference 5
6 Reputational Risks Damage to public image Can be of various types (e.g. image of poor quality service, slow delivery, unethical environment, etc.) Poor relationships with donors Unsatisfied clients/program participants Examples from Wipfli, LLP presentation at 9 th Annual Grant Funded Programs Management Conference 6
7 Hazard Risks Fire, flood and other losses or impairments of physical assets Insurable Examples from Wipfli, LLP presentation at 9 th Annual Grant Funded Programs Management Conference 7
8 Compliance Risks Noncompliance with laws and regulations Grant-related Non grant-related Violating terms of contracts Compliance with donor restrictions Civil wrongs (torts) Examples from Wipfli, LLP presentation at 9 th Annual Grant Funded Programs Management Conference 8
9 Client Service Risks part A Harm caused to clients in connection with services we provide Theft of client property Transportation accidents Overall satisfaction of clients, program participants Changing client needs, desires Quality of service Breaches of confidentiality Examples from Wipfli, LLP presentation at 9 th Annual Grant Funded Programs Management Conference 9
10 Client Service Risks part B Child Service Providers Risk assessment of new service providers is a standard and ongoing process for CBC of Brevard. Thus, the majority of the risk assessment process has previously been completed and the levels of risk factors assigned. The risk identification process for Child Service Providers is completed during the procurement process using: The Request for Administrative Qualifications of Service Providers, and The Service Provider Risk Assessment Form (part of CBC Procedure: CG-360) 10
11 Human Capital Risks Loss or lack of availability of personnel (employees, volunteers, contractors) Loss or lack of availability of specific expertise (e.g. technical skills) Leadership; succession Diminished morale Diminished skills of existing personnel Examples from Wipfli, LLP presentation at 9 th Annual Grant Funded Programs Management Conference 11
12 RISK ASSESSMENT & PRIORITIZATION How likely is it to happen? What if it did happen? 12
13 RISK ASSESSMENT CHART Risk Assessment - Project, Contract or Other Event: Date of Assessment: Assessment: Completed By: List all Participants: Risk Category Identified Risk Probability of Occurrence Impact of Occurrence Consequence of Occurrence Response to Risk (List How) 13
14 Risk Prioritization Probability Chart Probability How likely is this risk to occur? H M L NA NI High Medium Low Not Applicable Need Information Exhibits high risk cue(s): Has happened frequently; Has a very significant chance of happening in the future; and/or, For a single event has already happened. Has happened occasionally or has a reasonable but not completely expected chance of happening in the future. Has happened very infrequently or is expected not to happen except infrequently. This risk is irrelevant to this project or operation. Impossible to determine probability with the current available information. Information must come from an outside source. Consider High Probability until otherwise identified. 14
15 Risk Prioritization Impact Chart Impact What will happen if the risk becomes an issue? H M L NA NI High Medium Low Not Applicable Need Information The issue will have a major impact on the system and is likely to cause significant disruption in service or a very visible event. The issue will have some impact on systems and be visible to a number of users. A possible disruption in service for some non-critical users is expected. No service disruption or negative effects are expected. Any negative impact can be corrected without significant effort or visibility. This risk is irrelevant to this project or operation. Impossible to determine probability with the current available information. Information must come from an outside source. Consider High Impact until otherwise identified. 15
16 RISK ASSESSMENT GRID Project, Contract or Other Event Probability Section 1: High Probability/ Low Impact Medium Probability/ Low Impact Medium Probability/ High Impact Section 2: High Probability/ High Impact High Probability/ Medium Impact Impact Low Probability/ Medium Impact Medium Probability/ Medium Impact Section 3: Low Probability/ Low Impact Section 4: Low Probability/ High Impact 16
17 RISK RESPONSE What do we want to do about it? 17
18 Risk Response Chart Response Decide how to respond to each risk? A E R ST AC Avoidance Elimination Reduction Sharing or Transferring Risk Acceptance List How (Involves changing the project plan to remove the treat. This can be done by changing or reducing the scope of the project.) List How (Could involve adopting a less complicated process, conducting additional tests on the product, building redundancy into a system, and/or designing a quality control or reconciliation process.) List How (Insurance, etc.) List How (Partnership, Use of Outside Contractor, etc.) No action to be taken. 18
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