1. RISK ASSESSMENT OF COLLEGE FORMATION PROCESSES Presented By Godfrey Kazinduka Kagoro Royal Suites Bugolobi – 27 th October, 2010

2. Definition : - The possibility of Loss, Injury, Disadvantage or Destruction. - Can be categorized into different types and levels of; people, property, income, goodwill, Systems, Processes - Risk implies; insecurity, uncertainty and undesirability. - The possibility of damage to human health, to the environment and to property.

3.  …….a systematic examination of likely causes of harm/injury/hindrance to a process, a person or a program’s efficiency &effectiveness to deliver on its intended mission.  Risk Assessment helps to determine the extent of the potential threat and the risk associated with it.

4. Process whereby the University/College ; i. establishes its risk Assessment Goals & Objectives ii. identifies and analyses its risks and iii. selects and implements measures to address these risks in an organized fashion iv. is able to identify appropriate controls for reducing or eliminating risk

5. Goal: To improve and take control of performance by acknowledging and controlling risk in order to improve on service delivery. Mission: Assess potential risk, document the assessments of exposure to risk, establish and update internal control mechanisms. Objectives: - improve Quality & Standards of T&L - respond to new initiatives & opportunities arising from academic and pedagogical studies - respond to internal and external environmental factors (gvt. Policy, UOTIA etc) - proactively address risks to Quality Teaching and Learning

6. Adminis trative Centre/ Office of the Principal Program s (Curricul a) Projects & Function s Top-Down Annual Strategic Risk Assessment embedded in the Strategic Plan -monthly/quarterly reporting of key risks and design mitigation measures -watch-list of risky business initiatives -Key overall risks - carry out strategy review -Current and future risk profile -Integration of strategies &operation-wide reviews -Assessment of impact on overall risk profile FEEDBACK & ACTIONS Action Planning Coordinated Mitigation Plan Action Tracking -monthly/quarterly collating of identified operational risks -Program and project risk review -Monthly/quarterly risk reporting with mitigating actions FUNCTIONAL SUPPORT RISK REVIEW Bottom-up Operation- wide Risk assessment Operat ions Risk Review & Report ing

7. 1. Clear, Consistent, Rational & Understandable/accessible Policies & Practices 2. Institutional Ownership and Maintenance (TLC Environment) 3. Staff/Student Responsibility 4. Clear definitions of the Nature, Justification and Pathways to Awards 5. Relevance of courses to Vision & Mission 6. Admission Criteria (open timely procedures) 7. Quality Assurance in courses offered (Admissions/Enrolment Standards) 8. Pedagogy & Andragogy; Flexible learning (student-centered T&L methods) 9. Resources and Administrative practices 10. Staff (both academic & admin.) Guidance and Support – clarity of role definition, professional devpt. Opportunities 11. Institutional standards reporting scheme – monitoring academic performance, scholarship reviews, external examination, appeals procedures 12. Cross-cutting information flow/exchange on standards and procedures

8. Design activities to ensure:  Programs achieve their intended results  Resources are used effectively and efficiently  Programs and resources are protected from waste, fraud and mismanagement  Laws, Regulations and Grant Agreements are adhered to  Reliable and Timely information is obtained, maintained and reported

9. Step 1: Identify the Risks Step 2: Decide the areas/people/programs likely to be at risk Step 3: Evaluate the risks and decide on precautions Step 4: Record your findings & implement them Step 5: Review the assessment and update

10. SYSTEM CHARACTERIZATION Input Output System interfaces Mandate Data & Information Curriculum scope Staff &Students system functions Vision/Mission system limits THREAT IDENTIFICATION Institutional SWOT /PESTEL Statement of Threat LEVEL OF VULNERABILITY -reports from prior risk assessment -audit reports/proposals -QA checklist -List of potential vulnerability CONTROL ANALYSIS Input Output AS-IS systems, procedures, controls List of current TO-BE systems, procedures, controls & planned control mechanism DETERMINE LIKELIHOOD Input: capacity of the threat,nature of vulnerability Output: Likelihood rating DETERMINE RISK LEVEL Input: magnitude of impact, adequacy of existing controls Output: Associated risk IMPACT ANALYSIS Input: M ission Analysis, Curriculum Assessment Output: I mpact Rating RECOMMENDATIONS FOR CONTROL -establishment of standards -integration of code of practice -monitoring & evaluation - Best Practice management Document the Results

11. Consists of: a) assessment of potential risk in each faculty/school/institute b) Documented ( SEE END OF FLOW-CHART ) assessments of exposure to risk c) Document of procedures needed to be taken to mitigate risk d) Update of detailed procedures within each unit NB: the departmental/school RAD must be integrated with the College-wide RAD