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1、 Contents · CHAPTER 1: INTRODUCTION o 1.1燩urpose of this guide o 1.2燱hat is management of risk? o 1.3燱hy management of risk is important o 1.4燱ho is involved in risk management o 1.5燞ow to use this guide o 1.6燭he research for this guidance · CHAPTER 2: PRINCIPLES o 2.1燙ritica

2、l success factors for management of risk o 2.2燱hat is at risk and why? o 2.3燚ecisions about risk o 2.4燱here risks occur o 2.5燗 framework for managing risk o 2.6燫isk ownership o 2.7燛mbedding the risk management culture o 2.8燘udgets · CHAPTER 3: HOW RISKS ARE MANAGED o 3.1燚efining a f

3、ramework for management of risk o 3.2燫isk identification o 3.3營dentifying probable risk owners o 3.4燫isk evaluation o 3.5燬etting risk tolerances o 3.6燫esponse to risk o 3.7營mplementing risk responses o 3.8燤onitoring responses o 3.9燗ssurance and review o 3.10燙ontinuing to improve ·

4、 CHAPTER 4: MANAGING RISK AT THE STRATEGIC LEVEL o 4.1燭ypes of risk o 4.2燱here to apply risk management o 4.3燱hen to do it o 4.4燱ho is involved o 4.5燬trategic level policy for management of risk · CHAPTER 5: MANAGING RISK AT THE PROGRAMME LEVEL o 5.1燗reas of risk o 5.2燭ypes of risk

5、o 5.3燱here to apply risk management o 5.4燱hen to do it o 5.5燱ho is involved o 5.6燩rogramme level policy for management of risk · CHAPTER 6: MANAGING RISKS AT THE PROJECT LEVEL o 6.1燘reaking down a project o 6.2燭ypes of risk o 6.3燱here to apply risk management o 6.4燱hen to do it o 6.

6、5燱ho is involved o 6.6燩roject level policy for management of risk · CHAPTER 7: MANAGING RISK AT THE OPERATIONAL LEVEL o 7.1燭ypes of risk o 7.2燱here to apply risk management o 7.3燱hen to do it o 7.4燱ho is involved o 7.5燨perational level policy for management of risk · CHAPTER 8: TECHNIQ

7、UES o 8.1燫isk identification approaches o 8.2燫isk management approaches o 8.3燚ocumentation techniques o 8.4燛xternal review of activities o 8.5燗pplying the risk management processes · ANNEX A: EXAMPLES OF BENEFITS OF RISK MANAGEMENT o A1燬trategic benefits o A2燜inancial benefits o A3燩

8、rogramme benefits o A4燘usiness process benefits o A5燨verall management benefits · ANNEX B: HEALTHCHECK: HOW WELL IS YOUR ORGANISATION MANAGING RISK? o B1燢ey elements o B2燫eview of overall effectiveness o B3燙hecklist: risk ownership o B4燙hecklist: on risk identification o B5燙hecklist:

9、risk evaluation and assessment of the organisation's willingness to take on risk o B6燙hecklist: risk response o B7燙hecklist: monitoring and control mechanisms · ANNEX C: CATEGORISING RISK o C1燭hreats and impacts o C2燬trategic risk - major threats o C3燭hreats to projects or programmes o

10、C4燨perational risks · ANNEX D: SETTING A STANDARD FOR EVALUATION OF RISK o D1燯sing the summary risk profile o D2燣ooking at probability o D3燣ooking at impact · ANNEX E: PROCUREMENT, CONTRACTUAL AND LEGAL CONSIDERATIONS o E1燤odular and incremental approaches o E2燙ontract risk management

11、o E3燨utsourcing to support business needs o E4燣egal aspects of procurement · ANNEX F: BUSINESS CONTINUITY MANAGEMENT o F1燱hy is business continuity management important? o F2燱hat is business continuity management? o F3燞ow to implement business continuity management o F4燬tructuring busines

12、s continuity plans o F5燘usiness continuity supported by a risk management process o F6燱ho to involve in business continuity management o F7營ssues to consider in a BCP o F8燗ssuring your BCP is viable o F9燱here to store BCPs o F10燙ommunications o F11燘CM summary · ANNEX G: MANAGING ORGAN

13、ISATIONAL SAFETY AND SECURITY o G1燞ow are safety and security related? o G2燤andate for ensuring safety and security o G3燬ecuring assets o G4燬ecuring incidents o G5燗dopting good practice in information security management · ANNEX H: INFORMATION ON FURTHER TECHNIQUES TO SUPPORT MANAGEMENT O

14、F RISK o H1燫isk identification workshops o H2燫isk management workshops o H3燙ause-and-effect diagrams o H4燚ecision trees o H5營nsurance premium approach o H6燙ritical path analysis (CPA) or critical path method (CPM) o H7燤onte Carlo simulation o H8燫isk map o H9燩robability and impact g

15、rid o H10燬catter diagram o H11燫adar chart o H12燫isk indicators · ANNEX J: LESSONS LEARNED FROM OTHERS o J1燗ssessing success o J2燱hy projects fail o J3燬topping a project o J4燘arriers · ANNEX K: ASSESSING THE SUITABILITY OF TOOLS o K1營ssues to consider when selecting tools o K2燗ppr

16、aisal and evaluation in context o K3燝eneral appraisal procedure o K4燙ustomisation of criteria · ANNEX L: DOCUMENTATION OUTLINES o L1燘usiness Case o L2燘usiness Continuity Plan (BCP) o L3燙ommunications Plan o L4燙ontingency plan o L5燤anagement of Risk Policy o L6?Activity) plans for pr

17、ogramme and/or project o L7燫isk Register o L8燬ecurity policy o L9燬takeholder map o L10燬ummary Risk Profile CHAPTER 1: INTRODUCTION 1.1 Purpose of this guide 1.2 What is management of risk? 1.3 Why management of risk is important 1.4 Who is involved in risk management 1.5 How to use th

18、is guide 1.6 The research for this guidance 1.1 Purpose of this guide This guide is intended to help organisations to put in place effective frameworks for taking informed decisions about risk. The guidance provides a route map for risk management, bringing together recommended approaches, check

19、lists and pointers to more detailed sources of advice on tools and techniques. It expands on the OGC Guidelines for Managing Risk. The process of investment appraisal, in which assessments are made of costs, benefits and risks, is outside the scope of this guide. However, many of the principles and

20、 techniques described here can be used when developing the business case. The approach described in this guide complements OGC’s guidance on programme and project management and is continually updated to reflect current thinking. This approach, branded by OGC as M_o_R (Management of Risk), is suppor

21、ted by training and qualifications. 1.2 What is management of risk? In this guide risk is defined as uncertainty of outcome, whether positive opportunity or negative threat. The term ‘management of risk’ incorporates all the activities required to identify and control the exposure to risk which ma

22、y have an impact on the achievement of an organisation’s business objectives. Every organisation manages its risk, but not always in a way that is visible, repeatable and consistently applied to support decision making. The task of management of risk is to ensure that the organisation makes cost ef

23、fective use of a risk process that has a series of well defined steps. The aim is to support better decision making through a good understanding of risks and their likely impact. There are two distinct phases: risk analysis and risk management. Risk analysis is concerned with gathering information

24、about exposure to risk so that the organisation can make appropriate decisions and manage risk appropriately. Management of risk involves having processes in place to monitor risks, access to reliable and up to date information about risks, the right balance of control in place to deal with those r

25、isks, and decision making processes supported by a framework of risk analysis and evaluation. Management of risk covers a wide range of topics, including business continuity management, security, programme/project risk management and operational service management. These topics need to be placed in

26、 the context of an organisational framework for the management of risk. Some risk-related topics, such as security, are highly specialised and this guidance provides only an overview of such aspects. 1.3 Why management of risk is important A certain amount of risk taking is inevitable if your orga

27、nisation is to achieve its objectives. Effective management of risk helps you to improve performance by contributing to: · increased certainty and fewer surprises · better service delivery · more effective management of change · more efficient use of resources · better management at all lev

28、els through improved decision making · reduced waste and fraud, and better value for money · innovation · management of contingent and maintenance activities. See Annex A for examples of the benefits of more effective management of risk. 1.4 Who is involved in risk management In practice,

29、everyone in an organisation is involved in risk management to some extent and should be aware of their responsibilities in identifying and managing risk. However, there are some aspects for which responsibility must be assigned to individuals. Without clear responsibility (and the authority to suppo

30、rt that responsibility) some risks will be missed or overlooked. In the public sector, there are two major roles with a clear responsibility to ensure risks are managed (there will be equivalents to these roles in private sector organisations). These roles are: · an Accounting Officer (or equivale

31、nt senior manager), who is responsible for the organisation’s overall exposure to risk. Typically this person will be the Chief Executive Officer (CEO); the senior manager in the organisation. They may delegate some of the actions but cannot forgo the responsibility · a senior manager acting as a

32、project ‘owner’, who is responsible for risk relating to a specific programme or project and for the realisation of associated business benefits. Audience for this guidance Business managers, process owners, strategic planners, project and procurement teams, business continuity planners and secur

33、ity teams are the primary audience for this guidance, together with their service providers. It will also be of interest to auditors, with their responsibility for ensuring effective corporate governance. 1.5 How to use this guide Chapter 1 introduces the structure, process and culture of managem

34、ent of risk, explaining why organisations need to devise and implement effective strategies in order to maximise opportunities and minimise threats to the achievement of their business objectives. It identifies key personnel in the management of risk and the target audience for the guidance. Chapte

35、r 2 outlines the key principles underpinning management of risk: establishing a risk management framework, risk ownership, where risks occur, the decision making process, the importance of embedding the risk management culture, and allocating realistic budgets. Chapter 3 describes the main activiti

36、es of management of risk. It contains practical examples, pointers and checklists for identifying and responding to risk, and monitoring risk responses. Chapters 4–7 explain when and how management of risk should be applied throughout an organisation, at the strategic, programme, project and operat

37、ional levels. Chapter 8 discusses the range of techniques available to support the risk management process. The Annexes provide supporting detail: · A: Examples of benefits of risk management · B: Healthcheck: how well is your organisation managing risk? · C: Categorising risk · D: Setting

38、a standard for evaluation of risk · E: Procurement, contractual and legal considerations · F: Business continuity management · G: Managing organisational safety and security · H: Information on further techniques to support management of risk · J: Lessons learned from others · K: Assessi

39、ng the suitability of tools · L: Documentation outlines. 1.6 The research for this guidance Prepared by OGC's IT Directorate, this guidance has been developed from extensive research into current thinking and practice in both the public and private sectors, drawing on published papers and inter

40、views/studies with a number of leading organisations involved in major change and with specialist experts in the management of risk. It builds on the recent work of the National Audit Office (NAO), HM Treasury and Cabinet Office, together with OGC's published guidance on best practice in risk manage

41、ment; it also aims to address issues relating to corporate governance. This guidance responds to lessons learned and the experiences of real-world practical issues, as reported by consultants in OGC's Strategic Assignments Consultancy Service and their clients. In addition, it incorporates feedback

42、 from contributors to OGC workshops and other review channels. These contributions are acknowledged with thanks. CHAPTER 2: PRINCIPLES 2.1 Critical success factors for management of risk 2.2 What is at risk and why? 2.3 Decisions about risk 2.4 Where risks occur 2.5 A framework for managing r

43、isk 2.6 Risk ownership 2.7 Embedding the risk management culture 2.8 Budgets This chapter outlines the key principles underpinning the effective management of risk. 2.1 Critical success factors for management of risk The key elements that need to be in place if risk management is to be effect

44、ive, and innovation encouraged, include: · clearly identified senior management to support, own and lead on risk management · risk management policies and the benefits of effective management clearly communicated to all staff · existence and adoption of a framework for management of risk that i

45、s transparent and repeatable · existence of an organisational culture which supports well thought-through risk taking and innovation · management of risk fully embedded in management processes and consistently applied · management of risk closely linked to achievement of objectives · risks a

46、ssociated with working with other organisations explicitly assessed and managed · risks actively monitored and regularly reviewed on a constructive ‘no-blame’ basis. Joint working and partnerships often involve more complex types of risk that can adversely affect the delivery of business service

47、s. For example, if part of the service provided by one organisation is delayed or of poor quality, the success of the whole collaboration can be put at risk. You must make sure that your organisation knows about the risk management approaches of your partners. Sharing information about risk manageme

48、nt means that risks in collaborative programmes can be identified and managed in a proactive way. Public sector concerns The Modernising Government initiative seeks to encourage the public sector to adopt well managed risk taking where it is likely to lead to sustainable improvements in service de

49、livery. More effective risk management will improve the public sector’s ability to undertake the increasingly complex and cross-cutting projects that are demanded by the Modernisation agenda. Public sector organisations need to have in place the skills, management structures and organisational struc

50、tures to take advantage of potential opportunities to perform better and to reduce the possibility of failure. The key areas that have to be addressed are: · the requirements of corporate governance – including more focused and open ways of managing risk (see the section on corporate governance be

51、low) · the need for a ‘risk owner’ at senior level, for an activity (strategy, programme or project). He or she is supported by risk owners at everyday working levels as appropriate for the activity and risk exposure · the need for improved reporting and upward referral of major problems · opp

52、ortunities and the potential resolution approaches · the need for shared understanding of risk management at all levels in the organisation and with partners, combined with consistent treatment of risk · managing project risk in the wider context of programmes of change and the business. The N

53、AO study of risk management (Supporting Innovation: Managing Risk in Government Departments), the Cabinet Office’s report Successful IT : Modernising Government in Action, and HM Treasury’s Orange Book provide valuable messages that are incorporated in this guidance. Meeting the needs of corporate

54、governance Corporate governance is the ongoing activity of maintaining a sound system of internal control to safeguard shareholders’ investment and the company’s assets. The Turnbull Report states that: ‘a(chǎn) company’s objectives, its internal organisation and the environment which it operates in ar

55、e continually evolving and as a result the risks it faces are continually changing. A sound system of control therefore depends on a thorough and regular evaluation of the nature and extent of the risks to which the company is exposed. Since profits [or business results] are in part the reward for s

56、uccessful risk taking in business, the purpose of internal control is to help manage and control risk rather than eliminate it.’ Corporate governance frameworks must ensure that management is held accountable for a corporation’s performance and that owners are able to monitor and intervene in the

57、operations of management. These principles apply equally to the public and private sectors. Whereas corporations focus mainly on shareholder returns and the preservation of shareholders’ value, the public sector’s role is to implement programmes cost effectively in accordance with Government legisl

58、ation and policies. The British Standards Institute (BSI) has produced a guidance note on Corporate Governance – PD 6668:2000 – relating to the management of strategic risks. It outlines a management framework for identifying the threats, determining the risks, implementation and maintaining contro

59、l measures and finally reporting annually on the organisation’s commitment to this process. Policy on management of risk to support corporate governance To support corporate governance, there needs to be a risk management policy in place. This policy should: · be appropriate for the size and natu

60、re of your organisation, its business and operating environment · be clear about the roles (and, if possible, individuals) that are responsible for risk · be clear about escalation criteria in relation to risk management (i.e., when to refer decision making upwards) · ensure that processes, an

61、d the culture/infrastructure, to identify and manage risk are put in place; these processes must be repeatable · set up the mechanism for monitoring the success of the application of the policy (including reports to management, at least annually) · ensure that internal control mechanisms are in

62、place for independent assessment that the policy is implemented (and checked). 2.2 What is at risk and why? There are many diverse factors that could place an organisation at risk. Figure 1 outlines the main reasons why there should be a robust risk management process in place. Your organisation

63、 will have a set of key objectives. Risks should be identified against these objectives, ideally not more than 10-15 at high level. These high-level risks will then be considered and managed by senior management, increasing the organisation’s ability to meet its objectives. Annex B provides a ‘healt

64、hcheck’ to see if an organisation is adopting an effective framework for management of risk and risk management process. Annex C expands on possible categories of risk. Relating management of risk to safety, security and business continuity Management of risk should be carried out in the wider co

65、ntext of safety concerns, security and business continuity. · Health and safety policy and practice is concerned with ensuring that the workplace is a safe environment. · Security is concerned with protecting the organisation’s assets, including information, buildings and so on. · Business cont

66、inuity is concerned with ensuring that the organisation could continue to operate in the event of a disaster, such as loss of a service, flood or fire damage. Figure 1: Reasons for a risk management process Reducing risk in large scale projects Experience has shown that programmes and projects attempting a large scale, comprehensive business change are less likely to be successful than those taking a less ambitious, step-by-step approach. Although the latter increases management activity,