UNIVERSITY of CALIFORNIA, LOCATION
University of California, Location
Financial Control and Accountability
Enterprise Risk Management
Objective
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Improve the unit’s goals and objectives understanding, acceptance, and commitment
Improve or develop the unit’s goals and objectives plan execution
Improve the ability to manage unit’s goals and objectives plan risks
Use this exercise as a way to proactively engage the VCA units in enterprise risk
management (and to advance process risk management)
Methodology
1. Examine unit’s goals, objectives, and operating plan that support UCL strategic
goals
2. Conduct facilitated sessions
a. Purpose of session and duration
b. Discuss definition and concept of risk
c. Review unit’s goals, objectives, and operating plan
d. Assess group’s understanding of goals, objectives, and operating plan
e. Obtain group’s assessment of the UCL strategic goals process
f. Identify UCL strategic goals at the unit level
g. Determine how identified risks are managed
h. Wrap-up and evaluation of ERM process
3. Consolidate collected data for report to ERM committee
Target Groups
1. Design & Construction, Physical Plant
2. Police
3. TAPs
4. Human Resources, Labor Relations
5. Risk Management, Material Management
6. Environmental Health & Safety
7. Housing, Dining Services
8. Child Development Center
9. Printing, Fleet, Mail,
10. Bookstore
11. VCA IT
12. Financial Services, VCA Budget
13. Athletics
14. Campus Health Center
15. Office of Research
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UC Location ERM Survey
Timeline
Facilitated sessions will be conducted throughout the Summer and Fall of 2007. Draft report to
be delivered by December 2007
Survey Questions
Note: These questions appear repetitive, however each one has a nuance to different features.
These questions will not be asked verbatim but rather used as queries to expand or invoke
discussion
Assess Understanding of Unit’s Goals and Objectives
1. Are you familiar with the unit’s goals and objectives and have they been
communicated to you?
2. What are your general impressions on the unit’s goals and objectives?
3. In my unit there is effective communication of relevant and timely information
regarding the unit’s goals and objectives?
4. How have the unit’s goals and objectives been communicated to you?
5. Have you met with various unit heads to discuss the unit’s goals and objectives?
6. The unit’s goals and objectives are clearly understood and incorporated in my unit’s
strategies and activities?
7. My units goals and objectives are clearly established and understood?
8. To what extent do you feel the unit’s goals and objectives drive your unit’s planning
and operation?
9. Are your unit’s goals and objectives consistent and/or congruent with its planned
operations and programs?
10. The individuals responsible for implementing the unit’s goals and objectives in my
unit is clearly understood?
11. The individuals accountable for implementing the unit’s goals and objectives in my
unit is clearly understood?
12. Do staff lose sight over the unit’s goals and objectives?
13. Are the unit’s goals and objectives complete?
14. Are there any missing unit goals and objectives?
15. Is there a road-map to achieve the unit’s goals and objectives?
Identifying Unit Goals and Objectives Risk
What can get in the way (risks) of achieving the unit’s goals and objectives?
What unit’s goals and objectives do you feel are not realistic or achievable?
Follow-up for question 2, why are these goals not achievable?
What risks have arisen as a result of the unit’s goals and objectives planning process?
What are the “Risk Drivers” affecting your unit (e.g., growth, staffing, funding,
facilities)?
6. What are the risks relating to increases in workload?
7. Does your unit’s organization structure enable its goals and objectives?
8. Does your unit have the necessary resources to achieve its goals and objectives?
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UC Location ERM Survey
9. What areas in your unit are at risk in achieving its goals and objectives?
10. What types of support from other units will be critical for your unit in achieving its
goals and objectives?
11. What units, out of your own, are at risk in achieving its goals and objectives?
12. What are the processes in your unit that are at risk in achieving its goals and
objectives ?
13. What processes outside your unit are at risk in achieving the unit’s goals and
objectives?
14. What are the financial and budget risks in your unit in achieving its goals and
objectives?
15. What are the financial and budget risks outside your unit in achieving its goals and
objectives?
16. What are the operational risks in your unit in achieving its goals and objectives?
17. What are the operational risks outside your unit in achieving the unit’s goals and
objectives?
18. What are the compliance risks in your unit in achieving its goals and objectives?
19. What is the single most likely risk that will prevent your unit from achieving its goals
and objectives?
20. What is our overall ability to support the unit’s goals and objectives?
Managing UCL Strategic Goal Risks
1. Obstacles to the unit’s goals and objectives have been identified and assessed?
2. How likely will these identified risks occur?
3. What would be the impact of these risks?
4. What do you do, or will do , to manage these risks?
5. What has been the “action plans” in managing these risks?
6. How do you monitor risk mitigation efforts?
7. What risks do you feel responsible for ?
8. What risks do you not feel responsible for?
9. What are the unit’s goals and objectives strategy measurements?
10. What are the critical success factors to ensure achievement of the unit’s goals and
objectives?
11. Are plans, performance targets, measures, and procedures in place to prevent or
detect its goals and objectives deviations. What are these?
12. How do you allocate resources based on the unit’s goals and objectives?
13. Have you identified any opportunities to streamline or eliminate any processes or
function in the effort to achieve the unit’s goals and objectives?
Wrap-up
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Did you find this survey to be helpful in understanding and managing risks?
Should anything said be held confidential or anonymous?
Who else should be interviewed?
Would you be interested in establishing a risk management program that effectively
assess, manages, and monitors any of these risks that we have identified?
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