Risk Business Assessment Controls Assessment Action Risk Plan in Planned Owner Inherent Residual Objective Place & Target date (s) Identifier Identifier Likelihood Likelihood Impact Impact 4 Failure to have 1.3, 6.2, MSFM with DSD and bi monthly Business Plan Progress Report and CEX/ necessary resourcing 6.3 Liaison meetings with sponsor branch quarterly Info Assurance return to Dept HCoS (people, budget, Governance Framework end June 15 – systems and A&RA Committee review procedures Progress 1st half of Phase II Strategic facilities) and ensure robustness HCoS Review of HR Procedures to Board by compromises ability Conflict of interest and Whistle end Q2 15/16 – to deliver efficient blowing policies in and effective Internal audit provide advice and HCoS Report on implementation of services because of guidance organisational culture development ineffective assessment and Staff exercise recommendations end Q2 – policies and Performance Management & Appraisal 15/16 4 4 3 4 performance systems in place F&AM monitoring. Regular Business plan updates to Circulate and collate TNLA forms to Board, A&R, SMT and DSD inform annual Training plan by end Q2 – Risk Category: Monthly SMT review of Business 15/16 Corporate Aim/ Plan progress and assurance updates F&AM Implement Project Plan for 2016/19 Reputational by middle management strategic planning process end Q2 – – Risk Appetite Low Engagement of HR & R committee 15/16. in staff development, TNA process Staffing Handbook approved by HCoS/ Liaise with sponsor branch and IT Assist Board and assurance processes in place ICT re management of CRM server memory ICT strategy agreed by board. Officer and operation of disaster recovery Current Assessment: This is an extreme to high risk. Following the June monitoring round additional resource and capital was provided, but further pressures have been identified in relation to emerging business needs, particularly given the nature and scale of emerging legal challenges which include the first tribunal work related to registration decisions and consents. Additional resource bids will be made to the Dept. The impact of cuts and potential responses are being modelled as part of strategic planning work and will be discussed with managers and staff. Further work with the middle management group as part of a new 3 year strategic plan is intended to further mitigate this risk going forward. The wider issue of the Executive’s overall budget position remains a risk for the Commission as a public sector body wholly funded by grant in aid.
Identifier Identifier Risk Business Plan Objective (s) Assessment Controls in Place Assessment Action Planned & Target date Risk Owner Inherent Residual Impact Likelihood Impact Likelihood 4 Failure to have necessary resourcing (people, budget, systems and facilities) compromises ability to deliver efficient and effective services because of ineffective policies and performance monitoring. Risk Category: Corporate Aim/ Reputational Risk Appetite Low 1.3, 6.2, 6.3 4 4 MSFM with DSD and bi monthly Liaison meetings with sponsor branch Governance Framework A&RA Committee review procedures and ensure robustness Conflict of interest and Whistle blowing policies in Internal audit provide advice and guidance assessment and Staff Performance Management & Appraisal systems in place Regular Business plan updates to Board, A&R, SMT and DSD Monthly SMT review of Business Plan progress and assurance updates by middle management Engagement of HR & R committee in staff development, TNA process Staffing Handbook approved by Board and assurance processes in place ICT strategy agreed by board. 3 4 Business Plan Progress Report and quarterly Info Assurance return to Dept – end June 15 Progress 1st half of Phase II Strategic Review of HR Procedures to Board by end Q2 – 15/16 Report on implementation of organisational culture development exercise recommendations end Q2 – 15/16 Circulate and collate TNLA forms to inform annual Training plan by end Q2 – 15/16 Implement Project Plan for 2016/19 strategic planning process – end Q2 – 15/16. Liaise with sponsor branch and IT Assist re management of CRM server memory and operation of disaster recovery CEX/ HCoS HCoS HCoS F&AM F&AM HCoS/ ICT Officer Current Assessment: This is an extreme to high risk. Following the June monitoring round additional resource and capital was provided, but further pressures have been identified in relation to emerging business needs, particularly given the nature and scale of emerging legal challenges which include the first tribunal work related to registration decisions and consents. Additional resource bids will be made to the Dept. The impact of cuts and potential responses are being modelled as part of strategic planning work and will be discussed with managers and staff. Further work with the middle management group as part of a new 3 year strategic plan is intended to further mitigate this risk going forward. The wider issue of the Executive’s overall budget position remains a risk for the Commission as a public sector body wholly funded by grant in aid.
DSD%202015%200225%20McKee%20August%202015%20CCNI%20Risk%20Register.DOCX.docx