RISK REGISTER 2014Social Sciences Division (SSD)

Objective: To contribute to the development of technological and policy interventions that improve food security and raise the welfare of low-income households through sustainable increases in the productivity of rice-based production systems.

Risk 1: Accidents during field work/ Safety and Security while on travel2009 2010 2011 2012 2013 2014 trending

Impact High High High High High HighLikelihood Low Low Low Low Low LowRisk Level Medium Medium Medium Medium Medium MediumRisk Source:

1) Allocation of Safe transport (Driver/Vehicle)2) Unavailability of communication services in

carrying out off-site research.3) Physically hazardous environment - Identified

sample geographical areas are risky for researchers (e.g. rebel infested areas, inaccessible areas, rough terrains)

4) Natural calamities5) Valuables (ie. Cash advance, electronic devices,

personal items)

Risk mitigations:1. Improve assigned Vehicle/Driver2. Awareness of the availability of communal

mobile phone.3. Avoidance of risky area to conduct research

and coordination3.1. with country offices/ partners/

collaborators3.2. with local government unit

(LGU/Barangays)4. SSS and TS Safety advisories and guidelines

(SOP)5. Apply all security measures as applicable but

prioritize personal safety

Additional actions to meet gaps:

Resource requirements

Responsibility Target date of implementation

1. Local travels: Provision of appropriate vehicles by TS based on requirements/ specification of the researcher; International travel: Bangladesh and India: Provision of IRRI vehicle and driver

2. Enhanced awareness of staff about security measures

Support from TS

Official cell phone (with roaming); IRRI vehicle

Training

Secured locks highly encrypted passwords, trackers, and tracers app).

SSD admin, Country Offices, Partners and collaborators

SSD RMQA, SSS

Jan. – Dec. 2014

1st quarter of 2014

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Risk 2: Loss of research data2009 2010 2011 2012 2013 2014 trending

Impact High High High High High HighLikelihood Low High High Medium Medium LowRisk Level Medium High High High High MediumRisk Source:1. Equipment/technological failure - defective

hardware2. Physically hazardous environment - Fire, flood, and

pests.3. Inefficient data turnover of departing staff4. Natural calamities5. Theft: Laptop/ Tablet/ Mobile devices6. Poor support from IT Supplier in terms of hardware

fixes.

Risk mitigations:1. and 2. Should practice or check if there is a

regular backup of data to the external hard drive and cloud (google drive).

2. Regular training of backup and retrieval3. Strict adherence to the Internal clearance for

Asset transfer and Data turnover.4. Provision of UPS and Service unit5. Faster after sales service of warranted

workstations from Suppliers

Additional actions to meet gaps: Resource requirements Responsibility Target date of

implementation1. Evaluate status of existing

external drives.2. Dissemination of SSD

Back-up retrieval procedure through training.

3. In house RDM training (Documentation & metadata)

4. Coordinate with ITS the use of anti-theft software for mobile devices.

1. Staff time

2. Staff time

3. RDM Team, SSD Staff time

4. Staff time/ Support from ITS

1. IT Coordinator and RMQA SSD Team member

2. IT Coordinator

3. RMQA

4. SSD RMQA in coordination with ITS

1. 2nd qtr. 2014

2. As demand arises

3. (April 2014)

4. 2nd qtr. 2014

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Risk 3: Inaccessible research data2009 2010 2011 2012 2013 2014 trending

ImpactHigh High High High High High

Likelihood Low Low Low Low High MediumRisk Level Medium Medium Medium Medium High HighRisk Source:

1. Internal (Database Management)a. Incomplete Documentation/

Metadatab. SSD FHS: Partial compliance to

Survey templatec. SSD WRS: Outdated secondary

databased. Network allocated storage (group

sharing inaccessible due to change in url)

2. External (access to online databases)a. Network connectivity (web

databases, broken links)b. Non User-friendly interfacec. Cyber-attacks

Risk mitigations:1. Internal (Database Management)

a. Encourage staff to complyb. Promote the usage of the FHS

Standard Templatec. Frequent monitoring of online and

published sourcesd. Reminders of the Standards for data

documentation in placee. Call ITS Helpdesk regarding the

status of dead links.

2. External (access to online databases)a. Frequent monitoring of network

resource availabilityb. Redesign interfacec. Constant Apply patches/ Enhance IT

security/ update of googlesite

Additional actions to meet gaps:

Resource requirements Responsibility Target date of

implementation

1. Develop Information kit (checklist) on SOP’s of data management (use of google drive)a. Rapid announcement/

Updates from ITS regarding changes in IT infrastructure, patches, upgrades

2. Publish information kit (print/ SSD website)

Support from OU head

SSD RMQA/RDM Staff time

SSD Head

SSD-RDM

On going

(2nd qtr. 2014)

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Risk 4: Inaccurate and poor quality research data gathered2009 2010 2011 2012 2013 2014

Impact Medium Medium Medium Medium Medium MediumLikelihood Medium Medium Medium Low Low LowRisk Level Medium Medium Medium Low Low LowRisk Source:1. Human behavior (human error, poor judgment)

from outsourced personnel2. Proficiency of some NARES partners

Risk mitigations:1. Closed supervision and monitoring by SSD

staff2. Training and capacity building of NARES

partners3. Involvement of NARES/ Partners/

Collaborators in planning/meetings/workshops/ setup

4. Use of digital technologies in data collection

Additional actions to meet gaps:

Resource requirements Responsibility Target date of

implementation1. On-site data audit

(verification and evaluation of data quality)

2. Use of digital technologies in data collection

Funding and SSD Staff time and NARES partners

Funding, Staff time and training

SSD staff, collaborating OUs, NARES partners and DPPCSSD Staff

Continuous implementation

3nd Qtr. 2014 (status update 2nd qtr)

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Risk 5: Delayed completion of survey results and reports2009 2010 2011 2012 2013 2014 trending

Impact Low High High High High HighLikelihood Low Medium Medium Low Low LowRisk Level Low High High Medium Medium MediumRisk Source:

1. Physically hazardous environment - Delayed completion of data collection due to natural calamities, political unrest and insurgencies

2. Delayed response from NARES/Partners/Collaborators

3. Delay encoding process

Risk mitigations:1. Reschedule of data collection period2. Digital household survey using tablet PC3. Proper coordination with

NARES/Partners/Collaborators and additional manpower

Additional actions to meet gaps:

Resource requirements Responsibility Target date of

implementation1. Assessment of various

apps or Development of tablet applications suitable for digital household survey

2. Pre-test of the apps used if viable.

1. Funding, Training, Staff time

2. Funding, Training, Staff time

1. SSD RDM/ IT Coordinator

2nd Qtr. 2014

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Risk 6: Scientific misconduct2011 2012 2013 2014

TrendingImpact High High High HighLikelihood Low Low Low LowRisk Level Medium Medium Medium MediumRisk Source:1. Possibility of data fabrication by

staff or partners/collaborators*2. Career pressure to publish papers3. Plagiarism; self-plagiarism4. Publication of papers to un-

reputable publications (online)

Risk mitigations:1. Compliance with Code of Conduct2. Peer reviews3. Checking/validation of data from partners4. Training of NARES partners5. SSD Research Database Management Team performs quality

checking (primary data) during re/entry to SSD farm household database.

6. Data Access Policy for SSDAdditional actions to meet

gaps:Resource

requirements Responsibility Target date of implementation

Info campaign on new publication guidelines as soon as available

Training to enhance awareness on plagiarism

1. Staff time

2. Staff time

3. Staff time

OU Head

SSD Staff

SSD RDM

On-going

On-going

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Risk 7: Occupational health and safety risk2012 2013 2014

trendingImpact Medium Medium MediumLikelihood Medium High MediumRisk Level Medium High MediumRisk Source:

1. Slippery floor and stairways during rainy days

2. Eye discomfort due to too much glare

3. Installation flaw causes concern and discomforti) Static Electricityii) Cracks noticed on the pillars of

the building

Risk mitigations:1. Installation of devices to prevent rain water intrusion2. Installation of appropriate tint/ blinds

3. Evaluation and repair of existing installationi) emergency lights, reinforcement and frosting of

glass cubicle partitionii) Identify the grounded areas of the building.

4. Request for inspection with Safety Security Services5. Coordinate further with Physical Plant Sciences, and

Human Resource Services

Additional actions to meet gaps:

Resource requirements Responsibility Target date of

implementationFunding, Staff time SSD staff, Safety

Office, PPS, HR (OHS)

On-going, ASAP

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Risk 8: Misallocation of Assets2014

trendingImpact MediumLikelihood MediumRisk Level MediumRisk Source:

1. Manual Acceptance/ Transfer /Disposal of Assigned assets

2. Non-regular staff are not accountable. IT Coordinator and Secretaries are responsible on their behalf.

Risk mitigations:1. Use of SSD Internal Clearance Forms2. Use of Property Disposal/Transfer/ Acceptance

Report.3. To include Supervisors/ Project Leader as the

custodian on behalf of the Non-regular staff.

Additional actions to meet gaps:

Resource requirements Responsibility Target date of

implementation1. OCS to go live Staff time SSD staff, Finance,

Property Disposal Unit, ITS

ASAP

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Risk Level matrix

Risk Impact/ConsequenceHigh Impact:Failure of addressing the risk has the potential to significantly damage or destroy the effective functioning of IRRI or its future viability, particularly through loss of important donors’ confidence or major financial or reputation loss; Also includes potentially significant employee health and safety hazards. Impact will affect the whole institute.Medium impact:Failure of addressing the risk has the potential to damage important aspects of IRRI’s functions or future viability, which would require management effort and time to recover. Impact will affect several units in the institute.Low impact:Failure of addressing the risk has the potential to damage particular aspects of IRRI’s functions, drawing on significant management effort if an adverse event occurred, but not expected to damage the overall medium-long term operations of IRRI. Impact will affect the concerned unit only, or just a few units in the institute.

Risk LikelihoodHigh Likelihood:Risk is almost certain or likely to happenMedium Likelihood:Risk is most likely to happenLow likelihood:Risk is unlikely or rare to happen

Defining the level of risks Once you find the intersection between the likelihood and the consequences, you have determined the level of risk. What does it mean in terms of managing the risk?

High risk: Significant senior executive management attention is needed and investments in additional planned mitigating elements or (where the risks are external and cannot be controlled) closed monitoring of external factors together with contingency plans may be required.

Medium risk: Periodic senior management attention should be given to these, through management information reporting. Control systems or contingency plans should be in place and regularly reviewed to ensure effectiveness/appropriateness.

Low risk: Can be managed through routine procedures, unlikely to need significant application of resources. Subject to periodic evaluation in terms of whether the risk rating should be revised,

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Prepared by:

RMQA Officer(s)

RMQA IRS (as applicable)

Checked and approved by:

OU Unit Head

Date

Date

Date

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