AFBI CRR - Agri-Food and Biosciences Institute

R
CORPORATE RISK REGISTER
www.afbini.gov.uk
November 2014
CONTENTS
PAGE
AFBI Vision, Mission, Values and Strategic Goals …………………………………………………...........
2
Explanatory Notes ………………………………………………………………………………………………..
3
Corporate Risk Summary ………………………………………………………………………………………..
4-5
Individual Risk Summaries and Controls …………………………………………………………………….
6 - 36
1
November 2014
AFBI – Vision, Mission, Values and Strategic Goals
Vision
AFBI’s vision is “Scientific excellence in Northern Ireland…serving the world”.
Mission
AFBI’s mission is “Supporting government policy and industry innovation across the agri-food and rural sector through the provision of high
quality scientific services, advice and expertise”.
Values

Customer first

Scientific Excellence and Integrity

Respecting People

Honesty and Trust

Innovative and Forward Looking
Strategic Goals
1. Successfully deliver the assigned work programme to the department of Agriculture and Rural Development (DARD) and in so doing support
DARD in protecting the integrity and improving the competitiveness of the NI agri-food sector and rural economy.
2. Provision of scientific support to DARD and other government departments and agencies in managing the impact of agri-food and
environment emergencies.
3. Actively manage AFBI’s commercial portfolio and in so doing build our international reputation as a customer-first organisation.
4. Sustain and develop AFBI’s knowledge base and position AFBI as a leader in the delivery of innovation and scientific support to the agrifood sector.
5. Invest in our people and ensure that the best systems and processes are in place to manage our organisation.
6. Ensure the long-term financial sustainability of AFBI.
2
November 2014
Explanatory Notes
Section A
provides the risk title and a score for the risk based on 3 criteria, each is defined below.
Inherent Risk is that risk which exists before any management controls are applied. This enables decisions to be made about resources and the level of
priority given to managing a risk.
Residual Risk is determined as the level of risk that remains after existing controls (section B) have been actioned. The residual risk gives an indication of
how effectively a risk is being managed by existing controls.
Target Level of Risk is the level of risk that management has set as its target level of risk.
Management Comments provides an assessment of whether management consider that the additional controls to be actioned (section C) will be sufficient to
bring the level of residual risk down to the target Level of Risk.
Corporate Goal Alignment shows which Corporate Strategy and Business Plan goals the risk could impact upon and conversely which risks are relevant
when considering strategic goals during strategic and business planning.
Impact
Risk Scoring is based on impact and likelihood as indicated in section A of each risk and summarised in the Risk Assessment Matrix below.
Critical
Major
Significant
Moderate
Minor
5
4
3
2
1
5
4
3
2
1
Remote
(<20%)
10
8
6
4
2
Unlikely
(20-40%)
15
12
9
6
3
Possible
(40-60%)
20
16
12
8
4
Probable
(60-80%)
25
20
15
10
5
Almost Certain
(80%+)
1
2
3
4
5
Likelihood
Low
Medium
Section B provides a summary of controls already in place to manage the risk.
Section C provides a summary of additional controls that will be put in place to manage the risk.
3
High
November 2014
Corporate Risk Summary
Ref
Overarching Risk Description
CR1
If AFBI fails to deliver key priority areas
of DARD’s Assigned Work Programme
(AWP) it may negatively impact its
reputational standing with DARD.
If AFBI fails to provide agreed external
emergency response capability (ERC)
requirements and maintain internal
business continuity this will negatively
impact AFBI’s service delivery and
reputation.
If AFBI fails to achieve its targets for
non-GiA income, this will put at risk its
ability to deliver a balanced annual
budget and maintain scientific capacity.
If AFBI fails to identify and plan to
mitigate financial risks and pressures
this will pose a risk to its sustainability
and impact negatively on its reputation.
If AFBI fails to maintain and grow its
excellence in scientific capability this will
adversely impact AFBI’s ability to deliver
to its customers and impact negatively
on its reputation
Failure to maintain resilient, secure and
scalable hardware and software
solutions, including systems to support
management decision-making, will
adversely impact the delivery and
efficiency of AFBI
CR2
CR3
CR4
CR5
CR6
Inherent
Impact
Inherent
Likelihood
Inherent
Risk
Score
Residual
Impact
Residual
Likelihood
Residual
Risk
Score
Total
Target
Risk
Score
Alignment with
4 year Goals as
per the
Business Plan
5
4
20
5
2
10
10
1
5
4
20
5
3
15
10
2, 5
4
4
16
4
4
16
9
3
5
5
25
5
5
25
9
6
4
4
16
3
3
9
6
4
5
4
20
4
3
12
8
1, 2, 3, 4
4
Movement
Ref
Overarching Risk Description
CR7
If there is a failure to have a fit for
purpose and efficient AFBI Estate this
will adversely impact on the Institute’s
ability to deliver to its customers, sustain
and increase external income, and
negatively affect its reputation.
Failure to recruit, retain and motivate
staff with the right skills, experience and
competencies required to meet business
needs will adversely impact on AFBI’s
ability to deliver the DARD Assigned
Work Programme (AWP).
If AFBI fails to implement NIAO and
PAC recommendations it may negatively
impact its reputational standing
CR8
CR9
Inherent
Impact
Inherent
Likelihood
Inherent
Risk
Score
Residual
Impact
Residual
Likelihood
Residual
Risk
Score
Total
Target
Risk
Score
Alignment with
4 year Goals as
per the
Business Plan
4
4
16
4
3
12
9
1,2,3,6
5
4
20
4
4
16
9
5
2
3
6
2
2
4
1
5,6
5
Movement
A
CR1 - If AFBI fails to deliver key priority areas of DARD’s Assigned Work Programme (AWP) it may negatively
impact its reputational standing with DARD.
Corporate Goal Alignment
Risk owner:
Sinclair Mayne/Stanley
McDowell
*Score Key (Likelihood x Impact = Total Score)
Impact: 1. Minor 2. Moderate 3. Significant 4. Major 5. Critical
Goal 1
To successfully deliver the assigned work programme to DARD and in doing so support
Likelihood of Occurrence: 1. Remote (<20%) 2. Unlikely (20-40%)
DARD in protecting the integrity and improving the competitiveness of the NI agri-food
sector and rural economy.
3. Possible (40-60%) 4. Probable (60-80%) 5. Almost Certain (80%+)
Inherent Risk Scoring
Residual Risk Scoring
Target Risk Scoring
B
Controls that are in place to manage the risk
Impact
Likelihood
Total Score
Impact
Likelihood
Total Score
Impact
Likelihood
Total Score
5
4
20
5
2
10
5
2
10
Is it performed?
N/A
Yes
No
Who performs It?
How often?
How is it evidenced?
1. MoU for the delivery of the Assigned Work
Programme agreed between DARD and AFBI
✓
AFBI CEO/DARD Senior
Sponsor
In Place
Signed MoU in place
2. Mid-year and Year-end review of AFBI’s delivery
of the Assigned Work Programme as required by
the MoU
✓
Head of Innovations
Bi-annually
Report to AFBI Board signifying
that both DARD and AFBI are
content with delivery of AWP
3. Assigned Work Programme reviewed and
agreed between DARD and AFBI on an annual
basis. Change control procedure also agreed with
AFBI Sponsor Branch
✓
AFBI CEO/DARD Senior
Sponsor
Annually
Work Programme formally
assigned to AFBI
4. KPIs incorporated in the AWP monitored
✓
Board/EMT/HOD/HOB
Quarterly/Monthly
Corporate\Divisional KPI Reports
5. Scientific tests accredited to the quality
standards specified in the AWP
✓
Heads of Branch
Annual
Accreditation maintained
6. Business Planning process timetable agreed
with DARD. Corporate, Divisional & Branch
Business Plans in place
✓
EMT
Annual
Plans documented
7. Review of E&I project status by DARD
✓
Project Managers
Quarterly
Report issued to DARD
8. Enhanced monitoring procedures for E&I
Projects
✓
Head of Innovations
Quarterly
E&I Project Reports
6
9. Ship management contract in place to ensure
business continuity
✓
HOB FAEB and AFBI
procurement Manager
5 year contract
New 3-year contract in place,
starting August 2014.
10. Use of change control process to monitor
changing DARD priorities
✓
Project managers
As required
Change control in place
7
C
Additional actions that will be taken to manage the risk
Proposed
implementation
date
Who will
perform it?
How
often?
How will it be
evidenced?
1. Continuing to pursue medium term work plan from DARD
(Also refer to CR5 additional action 3)
2. Plan to ensure continuity of research vessel operations during
transition to new management contract.
Ongoing
Head of
Innovations
Annually
Formal plan in
place
New contract to be
st
in place by 31
August 2014.
HOB FAEB and
AFBI
Procurement
Manager
5 year
contract
Contract
awarded.
8
Position at
30 September 2014
DARD has agreed to
move to a programme
based approach in
respect of
commissioning of
DARD R&D projects,
with a minimum five
year horizon for nonstrategic projects was
agreed although this
still has to be
implemented.
Complete. (Move to
section B)
A
CR2 - If AFBI fails to provide agreed external emergency response capability (ERC) requirements and maintain
internal business continuity this will negatively impact AFBI’s service delivery and reputation.
Risk owner:
Eileen Stewart, Head of
Emergency Planning,
Safety & Estate Branch
Corporate Goal Alignment
*Score Key (Likelihood x Impact = Total Score)
Goal 2
Provision of scientific support to DARD and other government departments and agencies
in managing the impact of animal and plant health, food and environmental emergencies.
Goal 5
Invest in our people and ensure that the best systems and processes are in place to
manage our organisation.
Impact: 1. Minor 2. Moderate 3. Significant
Likelihood of Occurrence: 1. Remote (<20%) 2. Unlikely (20-40%)
3. Possible (40-60%) 4. Probable (60-80%) 5. Almost Certain (80%+)
Inherent Risk Scoring
B
4. Major 5. Critical
Residual Risk Scoring
Target Risk Scoring
Impact
Likelihood
Total Score
Impact
Likelihood
Total Score
Impact
Likelihood
Total Score
5
4
20
5
3
15
5
2
10
Is it performed?
Controls that are in place to manage the risk
Who performs It?
How often?
How is it evidenced?
✓
Directors, HOBs and Head
of Emergency Planning,
Safety & Estate Branch
Annually
Formal sign off and hard copies
of updated plans
✓
Head of Emergency
Planning, Safety & Estate
Branch, IMTs, and IMATs
Annually
Test documentation, Lessons
learned report prepared
✓
Directors, HOBs and Head
of Emergency Planning,
Safety & Estate Branch
Annually
Test documentation, Lessons
learned report prepared
4. Core of trained staff in place – identification of
training needs and CPD for staff involved in
business continuity management and provision of
AFBI’s emergency response capability.
✓
EMT, HOB’s, Head of HR
and Head of Emergency
Planning, Safety & Estate
Branch
Continuous
Training needs identified and
submitted to AFBI’s L&D unit for
consideration. Individual training
plans. Documented records of
training. CPD attendance
5. Monitoring, checking and maintenance of key
✓
Head of Emergency
Continuous
Reports to EMT and DARD as
1. Current suite of Emergency Response Capability
(ERC) Contingency Plans in place which are
reviewed and updated on an annual basis
2. Testing of AFBI Incident Management Plan
3. Testing of AFBI Emergency Response Capability
(ERC) Contingency Plans
N/A
Yes
No
9
facilities especially high containment facilities
6. Agreement of DARD’s and other government
departments/agencies ERC requirements from AFBI
Planning, Safety & Estate
Branch, Directors and HOBs
✓
EMT, HOBs and Head of
Emergency Planning, Safety
& Estate Branch
10
required / Annual Planned
Preventative Maintenance
schedule (Refer to CR7)
Annually
Documentation showing
mutually agreed ERC
requirements. Documented
report of meetings with DARD
and other government
departments/ agencies.
C
Additional actions that will be taken to manage the risk
Proposed
implementation
date
1. Suite of Business Continuity Plans (BCPs) to be put in place.
2. Site specific Incident Management Plans (IMPs) to be drawn
up.
3. Review and implementation of updated exercising,
maintenance and review regime for Emergency Response
Capability (ERC) Contingency Plans
4. Drafting and implementation of an appropriate exercising,
maintenance and review regime for Incident Management and
Business Continuity Plans.
Who will
perform it?
31 March 2015
EMT, HOB’s,
Head of
Emergency
Planning, Safety
& Estate Branch
31 March 2015
Head of
Emergency
Planning, Safety
& Estate Branch
31 March 2015
EMT, HOB’s,
Head of
Emergency
Planning, Safety
& Estate Branch
31 March 2015
EMT, HOB’s,
Head of
Emergency
Planning, Safety
& Estate Branch
31 March 2015
Head of
Emergency
Planning, Safety
& Estate
Branch,
Directors, HOBs
5. Identify gaps in facility and equipment requirements in
support of emergency response capabilities
11
How
often?
How will it be
evidenced?
Ongoing
Suite of BCPs in
place
Annually
Updated Corporate
IMP and new sitespecific IMPs and
BURPs developed.
Annually
Exercise
documentation,
lessons learned
reports
Regime for ERC
Contingency Plans
implemented – further
updates for 2014/15 to
be implemented by midNovember.
Annually
Exercise
documentation,
lessons learned
reports
Regime for BCPs draft
but needs to be updated
and implemented.
Reports to EMT
and DARD
UPS required for VSDStormont Contingency
Facility. Installation due
to be completed end
October 2014.
Ongoing
Position at
30 September 2014
Approx 30 BCPs have
been developed with
plans (circ 10) to be
drafted.
Drafting of IMPs
commenced.
6. Implementation of DARD’s emergency response capability
(ERC) requirements from AFBI
31 March 2015
EMT and HOB’s
and Head of
Emergency
Planning, Safety
& Estate Branch
Annually
DARD-AFBI ERC
Review reports
and associated
Action Plans;
Minutes of
meetings held with
DARD.
Outstanding actions from
the 2012 and 2013 DARDAFBI ERC Review have
been closed-out. The scale
of emergency response to
be provided to DARD is
being clarified with relevant
DARD Policy areas. > A
DARD/AFBI Animal Health
Emergency Response
Working Group has been
set up with the first meeting
taking place 16/06/14.
AFBI and DARD Veterinary
Science leads are in regular
communication on
emergency response
issues.
Work on the 2014 ERC
Review commenced May
2014 and a series of
identified actions for AFBI
have been received from
the DARD ERC Working
Group for response by
17/10/14
Staff trained in
provision of
different elements
of ERC
Addressed in PPA/PDP
process/Training Needs
Analysis undertaken by
AFBI L&D Unit.
AFBI ERC training
requirements and costs
for 14/15 submitted to
Costs being reviewed by
AFBI following
discussions with DARD
(under identified actions
from 2014 DARD-AFBI
ERC Review)
7. Identify key training needs and CPD for new and additional
staff across the Institute to be involved in provision of AFBI’s
emergency response capability
31 March 2015
12
HOB’s. Head of
HR and Head of
Emergency
Planning, Safety
& Estate Branch
Annually
A
Risk owner:
CR3 - If AFBI fails to achieve its targets for non-GiA income, this will put at risk its ability to deliver a balanced
annual budget and maintain scientific capacity.
Lesley Hogg, Head of
Finance & Corporate
Affairs
Corporate Goal Alignment
*Score Key (Likelihood x Impact = Total Score)
Goal 3
Actively manage AFBI’s commercial portfolio and in so doing build our reputation as a
customer-first organisation.
Impact: 1. Minor 2. Moderate 3. Significant
Likelihood of Occurrence: 1. Remote (<20%) 2. Unlikely (20-40%)
3. Possible (40-60%) 4. Probable (60-80%) 5. Almost Certain (80%+)
Residual Risk Score
Target Risk Score
Inherent Risk Score
B
4. Major 5. Critical
Impact
Likelihood
Total Score
Impact
Likelihood
Total Score
Impact
4
4
16
4
4
16
3
Likelihood
3
Total Score
9
Is it performed?
Controls that are in place to manage the risk
Who performs It?
How often?
How is it evidenced?
✓
AFBI Heads of Division/Head
of Finance
Annually
Income targets agreed with
Branches and Divisions
✓
AFBI Heads of Division/Head
of Finance
Monthly
Monthly EMT reports
3. Programme budgets aligned to income
✓
AFBI Heads of Division/Head
of Finance
Annually
4.
✓
Head of Innovations
Annually
✓
Heads of Division
Plans reviewed annually
Formal sign off in annual
Branch Business Plan
✓
AFBI Innovations
Contracts reviewed on an
ongoing basis
IP Policy in place. Review of
contracts and agreements by
in-house solicitor.
1. Targets for non-GIA income generation agreed with
Divisions annually
2. Monthly EMT and Divisional monitoring of income
forecasts and updating of target forecast to end of
year
Innovations Branch Business Plan Reviewed
Annually
5. Branch Business Development Plans in place to
articulate strategy for sustaining/growing non-GIA
income at Branch level
6. Intellectual Property (IP) Policy and Guidance notes
in place to protect and develop IP. Actions include:
 All contracts reviewed by the AFBI IP &
Contracts Solicitor.
N/A
Yes
No
13
DARD AWP reviewed and
assigned annually.
Branch bids based on AWP
and non-GiA needs
Plan agreed with Head of
Division

IP assets reviewed twice yearly and actions
considered.
7. NI Contact Point supporting the development of
funding applications under Horizon 2020.
✓
Head of AFBI Innovations
An on-demand activity
Evidence of activity in
supporting staff available from
NI Contact Point (NICP).
8. Strategic Cost Model enables the costs of delivering
work to DARD to be measured and used in setting
budgets. Also enables Divisions and Branches to
assess business activity and focus business
development activity accordingly.
✓
Heads of Division and Head
of Finance
Annual and Quarterly
reports
Reports generated by Finance
Branch
14
C
Additional actions that will be taken to manage the
risk
Proposed
implementation
date
Who will
perform it?
How often?
How will it be
evidenced?
1. Deliver improved approval processes to monitor and
report against research funding applications and notify
staff of Research Support Office functions.
2. Deliver IP awareness sessions to Branch Heads and
AFBI staff to highlight importance of IP, how to identify
IP and what to do when it is identified.
3. AFBI plan for increasing drawdown under Horizon
2020 to be produced.
Initial
improvements to
internal approval
process to be in
place by end June
2014
Head of
Finance
January to
December 2014
Head of AFBI
Innovations
Oct 2014
Head of AFBI
Innovations
Evidence of
sessions noted
Strategy
Produced
One off
Review
documented
and reported to
EMT
September 2014
Head of AFBI
Innovations
Annual
Agreed by EMT
and Action Plan
in place
6. IP assets reviewed twice yearly and actions
considered.
July 2014
Head of AFBI
Innovations
Twice Yearly
7. Produce Marketing, Media and Customer Engagement
Plan and review quarterly
July 2014
Head of AFBI
Innovations
Quarterly
5. Produce a Research Funding Strategy and Plan for
AFBI
Head of AFBI
Innovations
Ongoing
Annual
4. Branch Business Development Plans to be reviewed
with a focus on maximising income/ achieving financial
sustainability.
30 June 2015
One off
Process
approved and
operational with
database of
applications
maintained
15
Reported to
EMT twice
yearly
Agreed with
Divisions and
reported to EMT
Position at
30 September 2014
Internal research funding
approvals and costing/charging
process have been reviewed and
amended. The team is working
with stakeholders to agree all
potential changes before finalising
new process.
Systems benchmarked and initial
business case drafted for on-line
research contract management
system has been placed on hold
until updated system is agreed
December 2014.
Sessions being delivered across
AFBI in 2014/15.
Drawdown targets will be
established in quarter 4, after the
outcomes of AFBI’s current H2020
applications are known so that an
indicative success rate can be
determined.
Business development plans to be
incorporated into Branch Business
Plans.
No further progress following
departure of the Head of
Innovations. Will be progressed
when new head is appointed.
Complete. In-year review
conducted and end year review
scheduled.
Complete.
8. Agree parameters of AFBI Directed Research Fund
with DARD
9.. Plan to ensure continuity of research vessel operations
during transition to new management contract.
July 2014
Head of
Innovations
Annual
Documented
procedure
agreed with
DARD
New contract to be
st
in place by 31
August 2014.
HOB FAEB
and AFBI
Procurement
Manager
5 year
contract
Contract
awarded.
16
AFBI directed research fund
agreed in principle but discussions
on parameters have yet to be set.
Complete.
A
CR4 – If AFBI fails to identify and plan to mitigate financial risks and pressures this will pose a risk to its
sustainability and impact negatively on its reputation.
Risk owner:
Colin Berry, Head of
Finance
Corporate Goal Alignment
*Score Key (Likelihood x Impact = Total Score)
Goal 6 - Ensure the long-term financial sustainability of AFBI.
Impact: 1. Minor 2. Moderate 3. Significant
4. Major 5. Critical
Likelihood of Occurrence: 1. Remote (<20%) 2. Unlikely (20-40%)
3. Possible (40-60%) 4. Probable (60-80%) 5. Almost Certain (80%+)
Inherent Risk Scoring
Residual Risk Scoring
Target Risk Scoring
B
Impact
Likelihood
Total Score
Impact
Likelihood
Total Score
Impact
Likelihood
5
5
25
5
5
25
3
3
Total Score
9
Is it performed?
List controls that are in place to manage the risk
Who performs It?
How often?
How is it evidenced?
✓
Head of Finance
Monthly
Formal minutes
✓
Director of Finance and
Corporate Affairs
Throughout the second
half of the year
Minutes of EMT and AFBI
Corporate Plan
✓
Head of Finance
Annually
Report to EMT and DARD
4. Regular financial meetings with DARD
✓
Director of Finance and
Corporate Affairs \ Head of
Finance
Monthly
Minuted meeting
5. Agreement with HMRC on basis upon which to
calculate Corporation Tax and VAT liabilities
6. Scrutiny role exercised by the Finance SubCommittee
7. Asset Management Strategy
✓
Head of Finance
As required
Letter from HMRC
✓
✓
Finance Sub-Committee
members
Head of Finance
No less than four times
per annum
Annual Review
8. Medium Term Financial Plan
✓
Head of Finance
Annual Review
1. Monthly financial monitoring and reporting of
management accounts to EMT, AFBI Board and
DARD
2. Formal budget development and approval
process
3. Strategic Cost Model to calculate cost of AWP
and external work
N/A
Yes
No
17
Minutes of each meeting
Minutes of EMT
Minutes of EMT
9. Savings Plans for2014/15 and 2015/16
✓
10. DARD/AFBI Strategic Working Group in place
✓
Head of Finance
CEO & Director of Finance
and Corporate Affairs
18
As required
Plans submitted to DARD
As required
Notes of meeting
C
Additional actions that will be taken to manage the risk.
Proposed
implementation
date
1. Rolling Medium Term Financial Plan to be updated once
comments received from DARD and mitigating actions to
be agreed with DARD.
30 June 2014
Who will
perform it?
How
often?
How will it
be
evidenced?
Director of
Finance and
Corporate
Affairs \ Head
of Finance
Quarterly
review
Submission
to EMT and
then
agreement
with DARD
SCM Manager
Annual
review
Papers to
EMT
2. Refinement of Strategic Cost Model (SCM)
a) Further refine the existing SCM methodology focusing
on improvements to cost allocation and the process of
inputting estimates of income and expenditure.
August 2014
b) Renew the Income and Charging Policy in light of the
revised approach to project costing.
September 2014
c) Work with Divisions and Finance to produce key unit
costs for the purpose of demonstrating VFM.
Ongoing
d) Work with Branches to develop their understanding of
activity based costing and how they can use the SCM
to identify efficiency savings and areas of potential
cost reductions
Ongoing
19
Position at
30 September 2014
Plan was submitted to DARD in
November 2013 feedback was
received and an updated version
prepared in August 2014. AFBI
is working with DARD in the
Strategic Issues Working Group
(SIWG) to take forwards
proposals to mitigate the actions.
a) A number of refinements to the
methodology have been agreed
and improvements made to the
system for entering estimates of
income and expenditure.
b) The development of the SCM
necessitates a complete re-write
of the Income and Charging
Policy. A draft of the new policy
is to be discussed with DARD in
November with a view to
submitting to DFP for final sign
off.
c) DARD has identified an initial
‘definites’ and ‘possibles’ list of
tests for which it requires unit
costs for the purposes of
benchmarking. Discussions are
ongoing with a view to agreeing a
final list.
d) The SCM project leader works
closely with Heads of Branch and
their teams to improve their
understanding of the SCM
categories. Workshops have
already been held in some
Branches and sessions with the
remainder are being diarised.
3. Development of activity based financial reports to be
issued monthly at branch, division and institute level
showing the relevant net financial position of each tier.
July 2014
SCM Manager
Monthly
Issuing of reports
4. Adoption of an Asset Replacement Programme to model
capital pressures over the long term
31 May 2014
Head of
Finance
Annual
refresh
EMT Minutes
November 2014
Head of
Finance
Monthly
Reports issued to
budget managers
May 2014
EMT/Head of
Finance
Annually
Budgets allocated
at Branch level
5. Use of Profit and Loss statements to monitor and
incentivise Branch and Divisional financial performance
6. Delegation of staff budgets to Branch level
20
In year reports from the SCM
have been drafted and are
now being refined, but the
benefit of the SCM has been
apparent in the recent
exercise to analyse and
identify savings in
consumable spend – using
SCM reports, AFBI and
DARD have been able to
identify savings at activity
level, which would not have
been achievable (within a
reasonable timescale)
previously. Whilst this
exercise has taken priority, it
is anticipated that Q2 reports
for Branches will be
available in November.
The programme was
updated and presented to
EMT in October 2014. This
update will be inserted in
the Asset Replacement
Strategy document
Staffing budgets were
devolved in the SCM and
P&L expected to be
produced in from November
2014.
Complete.
Budgets for staff cost were
delegated to Divisions.
7. Negotiation with HMRC on the quantum of penalties and
interest to be charged in relation to the ‘late’ Corporation Tax
returns.
November 2014
Head of
Finance
One-off
Written
agreement
with HMRC
October 2014
Head of
Finance
One-off
Approval of
Plan
December 2014
Head of
Finance
One-off
Approval of
Plan
8. Implementation of Savings Plan 2014/15.
9. Implementation of Savings Plan 2015/16
21
AFBI has been advised of
the quantum by HMRC and
the appeal has been
rejected. Now working with
HMRC to agree repayments
in each respective year.
2014/15 Savings Plan
submitted to DARD in April
2014 and AFBI is working
through the agreed actions.
2015/16 Savings Plan
submitted to DARD in
February 2014 and working
through the proposed
savings to be agreed with
DARD via workstreams
under the SIWG
A
CR5 - If AFBI fails to maintain and grow its excellence in scientific capability this will adversely impact AFBI’s
ability to deliver to its customers and impact negatively on its reputation
Risk owner:
Divisional Directors
Corporate Goal Alignment
*Score Key (Likelihood x Impact = Total Score)
Goal 4
Sustain and develop AFBI’s knowledge base and position AFBI as a leader in the delivery of innovation
and scientific support to the agri-food sector.
Impact: 1. Minor 2. Moderate 3. Significant
Likelihood of Occurrence: 1. Remote (<20%) 2. Unlikely (20-40%)
3. Possible (40-60%) 4. Probable (60-80%) 5. Almost Certain
(80%+)
Residual Risk Scoring
Target Risk Scoring
Inherent Risk Scoring
B
4. Major 5. Critical
Impact
Likelihood
Total Score
Impact
Likelihood
Total Score
Impact
Likelihood
Total Score
4
4
16
3
3
9
3
2
6
Is it performed?
List controls that are in place to manage the
risk
N/A
Yes
No
Who performs It?
How often?
How is it evidenced?
1. Performance management and training and
development system in place
✓
Divisional Directors
Bi-Annually
Formal PPAs and PDPs
2. Capital investment (scientific equipment)
✓
Divisional Directors
Annual
Divisional bids for capital
equipment and associated
business cases.
3. Staff participation in international networks re
conferences, research and development,
consortia, etc
✓
Divisional Directors
Continuous
Reviewed annually
Divisional Business Plans and
outputs database records
4. Maintenance of quality standards to include
ISO9001 & ISO17025 accreditation where
required by customers
✓
Divisional Directors
Annual
Roadmaps, Quality Inspection
Reports, Accrediting bodies
websites
5. Scientific skills & capacity identified to meet
current customer requirements
✓
Divisional Directors
Quarterly
Business critical vacancies
reported to EMT
As required
Strategy approved by Board
December 2013.
Implementation plan progress
reports to EMT on regular
basis.
6. Science Strategy and implementation plan in
place
✓
Science Strategy SubCommittee / EMT
22
C
Additional actions that will be taken to manage the risk.
1. Development of an Implementation Plan for the Science
Strategy, including a prioritisation of key areas for AFBI wide
capacity building.
2. Development of an implementation plan for an AFBI wide ISO
17025 Quality Assurance Unit.
Proposed
implementation
date
30 September 2014
Who will
perform it?
EMT & Board
Strategy Sub
Committee
How often?
How will it be
evidenced?
Position at
30 September 2014
Annual Review
Formal plan in
place
Complete.
31 March 2015
Divisional
Directors
One off
Completion of
scoping
exercise
3. Identification of the scientific skills and capacity required for
anticipated customer requirements (Also refer to CR1 additional
action 1 and CR8 additional action 4)
31 March 2015
Divisional
Directors
Quarterly
BCV
submissions to
EMT
4. Implementation of actions arising from the AFBI-wide strategy on
genomics
31 March 2015
Divisional
Directors
One off
Strategy
Report
23
Ongoing.
Quality Assurance
Review Group
Report with EMT for
implementation.
Ongoing
requirements will be
taken forward via the
AFBI Learning &
Development Group.
Action Plan being
developed by
working group.
A
CR6 – Failure to maintain resilient, secure and scalable hardware and software solutions, including
systems to support management decision-making, will adversely impact the delivery and efficiency of AFBI
Risk owner:
David Kilpatrick, Head of BIS
Corporate Goal Alignment
*Score Key (L x I = TS)
Goal 1
To successfully deliver the assigned work programme to DARD and in doing so support DARD in protecting the integrity and
improving the competitiveness of the NI agri-food sector and rural economy.
Goal 2
Provision of scientific support to DARD and other government departments and agencies in managing the impact of animal and plant
health, food and environmental emergencies.
Goal 3
Actively manage AFBI’s commercial portfolio and in so doing build our reputation as a customer-first organisation.
Goal 4
Sustain and develop AFBI’s knowledge base and position AFBI as a leader in the delivery of innovation and scientific support to the
agri-food sector.
Inherent Risk Scoring
Residual Risk Scoring
Impact: 1. Minor 2. Moderate 3.
Significant 4. Major 5. Critical
B
Likelihood of Occurrence: 1.
Remote (<20%) 2. Unlikely (20-40%)
3. Possible (40-60%) 4. Probable
(60-80%) 5. Almost Certain (80%+)
Target Risk Scoring
Impact
Likelihood
Total Score
Impact
Likelihood
Total Score
Impact
Likelihood
Total Score
5
4
20
4
3
12
4
2
8
Controls that are in place to manage the risk
Is it performed?
N/A
Yes
No
Who performs It?
How often?
How is it evidenced?
1. Network security accreditation (externally audited)
✓
BIS-IT
Annually
2. IT strategic framework, policies, procedures
✓
BIS-IT
Annually
3. IT Assist SLA for managed services
✓
IT Assist/BIS-IT
Ongoing
audit reports, test logs
strategic framework, policies,
procedures, audit reports
minutes, KPI reports
IT Assist/BIS-IT
Ongoing
minutes, KPI reports
✓
FCAD/BIS
Ongoing
business unit resumption plan,
training records, project docs
✓
BIS-IT
Annually
policies, procedures
✓
BIS-IT
Quarterly
minutes, reports
4. IT Assist hosting of AFBI e-services
5. In-house IT resource for line-of-business services
(technical support, software development, information
management)
6. Backup/Restore capability including provision for data
replication and failover of critical systems between
Newforge & Stormont, and server resilience for
Hillsborough systems
7. ICT Committee
24
C
Additional actions that will be taken to manage the
risk.
1.
Develop system-specific strategies.
A) Legacy Systems
B) E-services
2.
Improve server resilience and network storage
capacity for Hillsborough systems
Proposed
implementation
date
Who will perform
it?
How
often?
How will it be
evidenced?
Position at
30 September 2014
BIS-IT
One off
strategy docs
Complete for legacy - Corporate LIMS
Strategic Business Case developed.
Pending for eServices
BIS-IT
One off
bids, projects
Complete - server installed and data
migrated onto new hardware (included
in B6)
No progress with fire suppression in
Hillsborough server room; dependent
on IPT (telephony) upgrade
BIS-IT
As
require
d
test logs
Data replication between Newforge and
VSD sites has again broken with a fault
developing at the Stormont site;
working with the supplier to resolve and
steps are being taken to ensure the
safety of the data backups
Once normal service restored, staff
contingency
measures
will
be
implemented and a restoration exercise
performed; this may result in some
disruption to weekend working
BIS-IT
test logs
Disaster Recovery (DR) meeting held;
Incident Management Plan to be
subsequently updated and tested
IT Assist/BIS-IT
As
require
d
One off
monitoring logs
Biometrics to agree requirement with
clients then consult IT Assist
BIS-IT
One off
bids, projects
Action
Plans
developed
for
Hillsborough
and
Crossnacreevy
addressing
Windows
compatibility
issues
Corporate LIMS Strategic Business
Case
developed
including
capital/current
projections
over
proposed 10-yr contract term
June 2014
December 2014
June 2014
3.
Test backup and restore capability
March 2015
4.
Test Incident Management Plan
March 2015
5.
Utilise IT Assist contingency site for AFBI eservices
6.
Implement IT Modernisation programme:
(a) OpenVMS (mainframe) replacement
(b) Corporate LIMS (laboratory information
management system)
March 2015
March 2016
Proposed 10-yr
contract term
(multiple labs)
25
7.
Address gaps in information governance
BIS-IT
As
required
policies,
procedures
Clear Desk/Screen Policy and Data
Breach Management Plan implemented
AFBI has agreed in principle to
participate in NICS Records NI shared
service; exploratory meeting with IT
Assist scheduled
FCAD-Finance/BIS
As
required
bids, reports
Strategic Cost Model aligned with AWP
Contracts System (Non-AWP) updated
to reflect new variable overhead rates
BIS-IT
As
required
staff
communicatio
ns, report to
FCAD Dir
ICT Committee informed of AFBI Policy
for the Storage and Backing up of
Electronic Data; reminder to be sent to
all AFBI staff
For user files (e.g. Office), participation
in RecordsNI agreed to in principle by
EMT; alternative in-house networked
solution estimated to cost £250k with
further £250k for resilience, and would
not address the need for a searchable
repository
For scientific data (which continues to
grow exponentially), network attached
storage (NAS) technology is being
evaluated
March 2015
8.
9.
Identify management information needs to support
AFBI decision-making processes; facilitate interim
IT solutions and develop business case for longterm solution
(a) Raise awareness among staff of current
position and policy on back up of user files,
(b) Assess options for improved file storage
management
March 2015
November 2014
March 2015
26
A
Risk owner:
Eileen Stewart, Head of
Emergency Planning,
Safety & Estate Branch
CR7 - If there is a failure to have a fit for purpose and efficient AFBI Estate this will adversely impact on the
Institute’s ability to deliver to its customers, sustain and increase external income, and negatively affect its
reputation.
Corporate Goal Alignment
*Score Key (Likelihood x Impact = Total Score)
Goal 1
To successfully deliver the assigned work programme to DARD and in doing so support
DARD in protecting the integrity and improving the competitiveness of the NI agri-food
sector and rural economy.
Goal 2
Provision of scientific support to DARD and other government departments and agencies
in managing the impact of agri-food and environment emergencies.
Goal 3
Actively manage AFBI’s commercial portfolio and in so doing build our international
reputation as a customer-first organisation.
Goal 6
Ensure the long-term financial sustainability of AFBI.
Impact: 1. Minor 2. Moderate 3. Significant
Likelihood of Occurrence: 1. Remote (<20%) 2. Unlikely (20-40%)
3. Possible (40-60%) 4. Probable (60-80%) 5. Almost Certain (80%+)
Inherent Risk Scoring
B
4. Major 5. Critical
Residual Risk Scoring
Target Risk Scoring
Impact
Likelihood
Total Score
Impact
Likelihood
Total Score
Impact
Likelihood
Total Score
4
4
16
4
3
12
3
3
9
Is it performed?
Controls that are in place to manage the risk
N/A
Yes
1. Agreed Planned Preventative Maintenance
(PPM) schedule in place
✓
2. Minor Works programme
✓
No
Who performs It?
How often?
How is it evidenced?
DFP Properties Division /
DARD Estate Branch /
AFBI Estate Unit
Annual
Monthly monitoring reports from DARD
Estate Branch
Annual
Minor Works List produced annually /
Minutes of Estate Management Meetings /
Co-ordination meetings / E-mail
correspondence with relevant stakeholders
DFP Properties Division /
DARD Estate Branch /
AFBI Estate Unit
27
3. AFBI Defects Reporting System (DRS) in
place
✓
4. Estate Management Meetings & Co-ordination
Meetings between DARD Estate Branch, DFP
Properties Division & AFBI
✓
5. Estate Unit staff and Premises Officers (and
Deputies)in place to monitor estate related issues
and works
✓
6. Annual budget managed by DARD Estate
Branch (circ. £2.5M) and AFBI Estate Unit/ AFBI
Agriculture Branch, Hillsborough (circ. £600k)
✓
7. Asbestos registers available on all sites and
scheduled/unscheduled asbestos surveys carried
out as required and certificates retained
✓
8. Key freeze/thaw risk areas identified and
mitigation measures activated. Inspection regime
for freeze/thaw leaks put in place over period of
severe winter weather.
✓
9. Site Security Policy
✓
10. Health and Safety Policies (Corporate &
Divisional)
✓
11. DARD AFBI Estate Programme Board
✓
DFP Properties Division /
DARD Estate Branch /
AFBI Estate Unit
On-going
Outputs from DRS and
Submissions to DFP Helpdesk/
Work orders, Engineers’ reports
collated
DFP Properties Division /
DARD Estate Branch /
AFBI (Estate Unit,
Premises Officers, &
Health and Safety Unit)
Quarterly
Minutes and action points formally
recorded
Head of Emergency
Planning, Safety & Estate
Branch Estate Unit staff,
Premises Officers and
Deputies
Ongoing
Minutes and action points formally
recorded in Estate Management
Meetings/PPAs/E-mail
correspondence
Head of DARD Estate
Branch / Head of AFBI
Head of Emergency
Planning, Safety & Estate
Branch / Head of AFBI
Agriculture Branch
Quarterly (DARD)
Monthly budget reporting
(AFBI)
Quarterly reports (DARD)
Monthly reports (AFBI)
DFP Properties Division /
DARD Estate Branch /
AFBI Estate Unit
As required under
legislation and Ad-hoc
Asbestos registers and survey
reports available.
Head of AFBI Emergency
Planning, Safety & Estate
Branch
Reviewed annually
Annual Winter Management Plan
Head of AFBI Estate Unit
Reviewed annually
Site Security Policy / Monthly site
security reports from each AFBI
site/ Monthly reports to EMT
Divisional Directors
Reviewed annually
Health and Safety Policies
(Corporate & Divisional); Monthly
Adverse Events Reports to EMT
DARD / AFBI
Ongoing
Minutes and action points formally
recorded
28
C
Additional actions that will be taken to
manage the risk
Proposed
implementation date
Who will perform
it?
31 March 2015
DARD-AFBI
Estate
Programme
Board / AFBI EMT
/ Head of Head of
AFBI Emergency
Planning, Safety
& Estate Branch
31 December2014
AFBI EMT /
DARD-AFBI
Estate
Programme
Board / VSDStormont OBC
Project Board /
DARD Resource
Economics
Branch
1. Development of AFBI Estate Strategy
2. VSD-Stormont Outline Business Case
(OBC) Project
3. AFBI Headquarters/ Loughgall Plant
Science Centre Project
How
often?
How will it be
evidenced?
Ongoing
AFBI Estate
Strategy
One-off
VSD-Stormont
OBC produced
and submitted
to DFP
31 December 2014
AFBI EMT /
DARD-AFBI
Estate
Programme
Board / AFBI
Estate Project
Board
One-off
AFBI HQ/Plant
Science
Centre OBC
produced and
submitted to
DFP
31 March 2015
AFBI EMT / DARD
Estate Programme
Board / AFBI Estate
Project Board /
Head of Agriculture
Branch
One-off
Masterplan /
Series of
Business Cases
4. AFBI Hillsborough Masterplan project
29
Position at
30 September 2014
DARD Estate 2020 – Strategic Outline Case
agreed with DFP. Priority has been given to
VSD main building, AFBI HQ/ Loughgall
Plant Science Centre and Hillsborough
Master Plan. The Strategic Investment
Board (SIB) continues to work with DARD
and AFBI to take the estate strategy forward
as part of the overall DARD Estate
Framework.
Second draft of OBC to be submitted to
DARD by 31/10/14.
SIB working in conjunction with DARD/AFBI
to take forward OBC for relocation of AFBINewforge functions (AFBI HQ Project) / AFBI
Loughgall Plant Sciences Centre OBC AFBI
Working Groups have been engaged with
SIB/Hamilton Architects to determine
accommodation requirements for proposed
new builds - draft report received Sept 2014
and under consideration. Work on drafting
OBC commenced.
Draft Masterplan produced by Hamilton
Architects in conjunction with Heads of AFBI
Hillsborough business units and acting Head
of Agriculture Branch. Prioritised list of
infrastructure business cases to be
developed. Drafting of Beef Accommodation
business case commenced. SIB tendering
for external company to produce feasibility
costings the funding for which is being
provided by DARD Estate Branch.
5. VSD-Stormont Containment Level 2
(CL2) Animal Accommodation Project
31 March 2016
AFBI EMT / Head
of AFBI
Emergency
Planning, Safety &
Estate Branch /
Head of VSD
Virology Brach /
DARD AFBI
Sponsor Branch
31 March 2015
AFBI EMT / Head
of AFBI
Emergency
Planning, Safety &
Estate Branch /
DARD AFBI
Sponsor Branch /
Head of
Agriculture Branch
6. AFBI-Hillsborough Farm Buildings Reroofing Projects
Ongoing
Outline Business
Cases in place /
Building in place
Ongoing
Outline Business
Case in place,
funding obtained
and works
completed
7. Asbestos Compliance Programme
8. AFBI Laboratory Gas regulators and
manifolds upgrade/replacement/repair
programme 2013/14
31 March 2016
DFP Properties
Division / DARD
Estate Branch /
AFBI Estate Unit
31 March 2015
DFP Properties
Division / DARD
Estate Branch /
AFBI Estate Unit/
Site gas
managers
30
Ongoing
One-off
Asbestos
Management
Survey Report &
associated
remedial works;
asbestos
management plan
Site survey
reports of gas
installations on
AFBI sites /
Completion of
recommended
works
Preparation of VSD CL2 Animal
Accommodation Business Case progressing.
Feasibility Report received from CPD outlining
recommendations and costs. Costs /
specification challenged by DARD who
requested SIB to assess further. Stevenson
Munn engaged by SIB (beginning July 2014) to
provide external challenge. Following
meetings/input from AFBI, costings report
received 01/10/14. Report to be finalised and
agreed by DARD/AFBI and decision taken
regarding proceeding with the project.
Re-roofing of dry-sow accommodation
completed mid-September 2014; dairy byres
works commenced and due to be completed
31/10/14; planning permission for works on
grass silos applied for, final specification for
works being agreed and works due to be
completed by 31/03/15.
Surveys have been actioned by DARD Estate
Branch and will mainly be undertaken during
2014/15 and 2015/16.AFBI-Hillsborough reinspection completed in 2013/14 – awaiting
final reports.
Works complete (£200k). Maintenance
schedule to be put in place during 2014/15.
9. Identification of efficiency savings
31 March 2015
AFBI EMT / Head
of Head of AFBI
Emergency
Planning, Safety &
Estate Branch
31 March 2015
AFBI Emergency
Planning, Safety &
Estate Branch
/DARD Business
Support Branch
/Site Premises
Officers/Officers in
Charge
10. Site security improvements for AFBILoughgall, Hillsborough and Omagh
11. Adverse weather management plan to
be put in place
31 March 2015
12. Upgrade of HV electrical infrastructure
at AFBI Stormont
31 March 2018
AFBI Emergency
Planning, Safety &
Estate Branch
DFP CPD / DARD
Estate Branch /
AFBI Sponsor
Branch / AFBI
Emergency
Planning, Safety &
Estate Branch
31
Ongoing
Identification of
potential utility
savings
As
required
Site security
survey reports &
associated
remedial actions
agreed and
completed /
Improved site
security
One-off
Plan in place
One-off
Upgraded HV
electrical
infrastructure in
place
(i) Further savings on site security identified for
period of 01/08/14 to 31/07/14 with new fixed
term contract in place.
(ii) Energy management awareness campaign
currently being drafted.
(iii) Review of boiler usage at Newforge and
Stormont due to be taken forward in 2014/15
but may be postponed due to budgetary
constraints within DARD Estate Branch.
(iv) Review of Planned Preventative
Maintenance (PPM) schedule for work areas
on AFBI sites no longer in use. As PPM
schedule is part of maintenance included
within the DARD/AFBI lease this should
contribute to a reduction in this overhead
charge.
Majority of security works from ASM 2011/12
estate management (site security) audit
completed by end April 2014. Location of new
security barrier at AFBI-Hillsborough and
works to be completed by end March 2015
The current Winter Management Plan will be
adapted to cover adverse weather in general.
Discussions have taken place between DARD
Estate Branch and CPD/Properties Division –
no further update as of end September 2014.
13. Review of space utilisation within the
AFBI estate with a view to consolidation and
reduction in overall footprint
31 March 2015
DARD-AFBI
Strategic Working
Group / DARD
Estate Branch /
AFBI Emergency
Planning, Safety &
Estate Branch
One-off
Review of space
utilisation
31 March 2016
AFBI Sponsor
Branch / DARD
Estate Branch /
AFBI Emergency
Planning, Safety &
Estate Branch
One-off
Demolition of
buildings
31 March 2018
AFBI Sponsor
Branch / DARD
Estate Branch /
AFBI
Emergency
Planning, Safety
& Estate Branch
One-off
Refurbished
houses
14. Demolition of dilapidated buildings with
Health & Safety concerns on the AFBI
Estate
15. Refurbishment of tenancy houses on
the AFBI Estate
32
DARD/AFBI Strategic Issues Working Group
has considered the possibility of consolidating
and reducing AFBI’s footprint in the short-term.
Initial work on consolidation of space at AFBINewforge has been completed by
SIB/Hamilton Architects/Absolute Technical
Solutions (ATS) and report received end
September 2014. SIB is currently tendering for
further work on review of space utilisation at
AFBI-Newforge and Stormont and this will is
being funded by DARD Estate Branch.
A number of buildings on the AFBI estate
(Hillsborough and Stormont) identified for
demolition due to pertaining Health & Safety
issues. Funding (resource) was sought
through 2014/15 June Monitoring Round to
commence these works but bid was
unsuccessful. Given currently budgetary
constraints it is unlikely future bids will be
successful so any demolitions will have to be
included within capital bids for new
builds/refurbishments as is the case for VSDStormont OBC
Tenancy houses on the AFBI Estate have
been identified as in need of refurbishment.
Condition surveys of the 4 Red Row houses at
AFBI –Hillsborough were undertaken in
2013/14 and a successful funding bid was
made through 2014/15 June Monitoring
Round to undertake works on these houses.
DARD Estate Branch will be funding the works
on these houses which fall under statutory
requirements and energy efficiency e.g.
asbestos removal and insulation. Further
condition surveys were to be taken forward in
2014/15 but due to budgetary constraints this
will have to be postponed to 2015/16.
A
Risk owner:
Paul Brennan, Head of HR
CR8 - Failure to recruit, retain and motivate staff with the right skills, experience and competencies required to
meet business needs will adversely impact on AFBI’s ability to deliver the DARD Assigned Work Programme
(AWP).
Corporate Goal Alignment
*Score Key (Likelihood x Impact = Total Score)
Goal 5
Impact: 1. Minor 2. Moderate 3. Significant
Invest in our people and ensure that the best systems and processes are in place to
manage our organisation.
Likelihood of Occurrence: 1. Remote (<20%) 2. Unlikely (20-40%)
3. Possible (40-60%) 4. Probable (60-80%) 5. Almost Certain (80%+)
Inherent Risk Scoring
B
4. Major 5. Critical
Residual Risk Scoring
Target Risk Scoring
Impact
Likelihood
Total Score
Impact
Likelihood
Total Score
Impact
Likelihood
5
4
20
4
4
16
3
3
Total Score
9
Is it performed?
Controls that are in place to manage the risk
N/
A
Yes
No
Who performs It?
How often?
How is it evidenced?
1. Staff Establishment

EMT
Monthly
Monthly reports
2 Personal Development Programme

EMT and Head of HR
Monthly
Monthly reports
3. Temporary Worker’s Protocol

EMT and Head of HR
Continuous basis
Monthly reports
4. Flexible Terms and Conditions

EMT and Head of HR
Continuous basis
Monthly reports
5. Learning and Development Programme

EMT and Head of HR
Annually
Formally agreed training
programme
6. Assistance to Study Programme

EMT and Head of HR
Annually
Formally agreed Assistance to
Study programme
7. Organisational Development and Human
Resource Sub-Committee

OD&HR and FCAD
3 times per annum
Minutes
33
C
Additional actions that will be taken to manage the risk
1. Implementation of Staff & Organisational Improvement Plan
actions
Proposed
implementation date
30 September 2014
other than staff survey
which will take place
during 2015/16
Who will
perform it?
EMT and
Head of HR
How
often?
How will it be
evidenced?
Ongoing
Periodical
reports
2. Internal review of the Learning & Development strategy
31 March 2015
Head of HR
Ongoing
Revised L&D
Strategy
supported by
review outcome
report
3. Leadership Development Programme
31 August 2015
Head of FCAD
and Head of
HR
Ongoing
Programme
delivered
Position at
30 September 2014
Improvement Plan is in place
and a progress update was
presented to the OD&HR SubCommittee at the quarterly
meetings in May and September
2014.
Was presented to the HSENI in
May 2014. Updates have also
been shared with the respective
TUC bodies.
st
1 draft has been reviewed to
take account of initial feedback
from EMT, OD&HR, and Branch
Heads from the Science
Divisions. Working Group
established to further develop
the strategy. Current restrictions
on the L&D delivery plan, due to
in-year pressures, may impact
on the development of the
strategy.
Delivery plan is in place and
ongoing.
st
4. Organisational Capability Plan – to include succession
planning, scope and flexibility pertaining to external
recruitment, fit for purpose grade structures, business critical
review process – not exhaustive.
5. Internal review of Management of Attendance
31 March 2015
31 May 2014
34
EMT and
Head of HR
Head of HR
Ongoing
Annual
Plan endorsed
and
implemented
1 draft presented to the
OD&HR Sub-Committee in
September 2014. It was agreed
that it would be revisited to take
account of the findings from the
Strategic Issues Working Group.
Management
Complete. Recommendations
Summary Report
from the review are being taken
and supporting
forward.
recommendations
A
CR9 – If AFBI fails to implement NIAO and PAC recommendations it may negatively impact its reputational
standing
Corporate Goal Alignment
Risk owner:
Seamus Kennedy, CEO
*Score Key (Likelihood x Impact = Total Score)
Impact: 1. Minor 2. Moderate 3. Significant 4. Major 5. Critical
Goal 5
Invest in our people and ensure that the best systems and processes are in place to
Likelihood of Occurrence: 1. Remote (<20%) 2. Unlikely (20-40%)
manage our organisation efficiently and effectively
Goal 6
3. Possible (40-60%) 4. Probable (60-80%) 5. Almost Certain (80%+)
Ensure the long-term financial sustainability of AFBI.
Inherent Risk Scoring
Residual Risk Scoring
Target Risk Scoring
B
Controls that are in place to manage the risk
Impact
Likelihood
Total Score
Impact
Likelihood
Total Score
Impact
Likelihood
Total Score
2
3
6
2
2
4
1
1
1
Is it performed?
N/A
Yes
No
Who performs It?
How often?
How is it evidenced?
1. A consolidated NIAO and PAC action plan is in
place and is being co-ordinated by DARD
✓
DARD AFBI Sponsor
Branch/AFBI Director of
Finance & Corporate Affairs
Monthly
Updated action plan
2.The AFBI actions in the consolidated NIAO and
PAC action plan are managed by EMT
✓
EMT
Quarterly
EMT minutes
3 The consolidated NIAO and PAC action plan is
monitored by the Audit and Risk Assurance
Committee (ARAC)
✓
ARAC
Quarterly
ARAC minutes
4.The consolidated NIAO and PAC action plan is
monitored by the AFBI Board
✓
Board
6-monthly
Board minutes
5. Actions have been allocated a senior
responsible officer to ensure delivery of the AFBI
actions
✓
Relevant member of EMT
Monthly
Updated action plan
35
C
Additional actions that will be taken to manage the risk
1. Completion of actions outlined in the consolidated NIAO and PAC
action plan
Proposed
implementation
date
Who will
perform it?
How
often?
How will it be
evidenced?
Position at
30 September 2014
As per the action
plan
As per the
action plan
As per the
action plan
As per the
action plan
As per the action plan
36

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