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RISK REGISTER 2014

Social 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 travel
2009 2010 2011 2012 2013 2014 trending
Impact High High High High High High
Likelihood Low Low Low Low Low Low
Risk Level Medium Medium Medium Medium Medium Medium
Risk 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 calamities
5) Valuables (ie. Cash advance, electronic devices,
personal items)


Risk mitigations:
1. Improve assigned Vehicle/Driver
2. Awareness of the availability of communal
mobile phone.
3. Avoidance of risky area to conduct research
and coordination
3.1. with country offices/ partners/
collaborators
3.2. 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







1
st
quarter of 2014





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Risk 2: Loss of research data
2009 2010 2011 2012 2013 2014 trending
Impact High High High High High High
Likelihood Low High High Medium Medium Low
Risk Level Medium High High High High Medium
Risk Source:
1. Equipment/technological failure - defective
hardware
2. Physically hazardous environment - Fire, flood, and
pests.
3. Inefficient data turnover of departing staff
4. Natural calamities
5. Theft: Laptop/ Tablet/ Mobile devices
6. 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 retrieval
3. Strict adherence to the Internal clearance for
Asset transfer and Data turnover.
4. Provision of UPS and Service unit
5. Faster after sales service of warranted
workstations from Suppliers

Additional actions to meet
gaps:
Resource requirements Responsibility
Target date of
implementation
1. 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. 2
nd
qtr. 2014

2. As demand
arises


3. (April 2014)

4. 2
nd
qtr. 2014

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Risk 3: Inaccessible research data
2009 2010 2011 2012 2013 2014 trending
Impact

High

High

High
High High High
Likelihood Low Low Low Low High Medium
Risk Level Medium Medium Medium Medium High High
Risk Source:
1. Internal (Database Management)
a. Incomplete Documentation/
Metadata
b. SSD FHS: Partial compliance to
Survey template
c. SSD WRS: Outdated secondary
database
d. 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 interface
c. Cyber-attacks


Risk mitigations:
1. Internal (Database Management)
a. Encourage staff to comply
b. Promote the usage of the FHS
Standard Template
c. Frequent monitoring of online and
published sources
d. Reminders of the Standards for data
documentation in place
e. Call ITS Helpdesk regarding the
status of dead links.

2. External (access to online databases)
a. Frequent monitoring of network
resource availability
b. Redesign interface
c. 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 SOPs 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

(2
nd
qtr. 2014)



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Risk 4: Inaccurate and poor quality research data gathered
2009 2010 2011 2012 2013 2014
Impact Medium Medium Medium Medium Medium Medium
Likelihood Medium Medium Medium Low Low Low
Risk Level Medium Medium Medium Low Low Low
Risk Source:
1. Human behavior (human error, poor judgment)
from outsourced personnel
2. Proficiency of some NARES partners
Risk mitigations:
1. Closed supervision and monitoring by SSD
staff
2. Training and capacity building of NARES
partners
3. 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
implementation
1. 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
DPPC
SSD Staff
Continuous
implementation

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




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Risk 5: Delayed completion of survey results and reports
2009 2010 2011 2012 2013 2014 trending
Impact Low High High High High High
Likelihood Low Medium Medium Low Low Low
Risk Level Low High High Medium Medium Medium
Risk 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 period
2. Digital household survey using tablet PC
3. Proper coordination with
NARES/Partners/Collaborators and additional
manpower
Additional actions to meet
gaps:
Resource
requirements
Responsibility
Target date of
implementation
1. 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



2
nd
Qtr. 2014



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Risk 6: Scientific misconduct
2011 2012 2013 2014
Trending

Impact High High High High
Likelihood Low Low Low Low
Risk Level Medium Medium Medium Medium
Risk Source:
1. Possibility of data fabrication by
staff or partners/collaborators*
2. Career pressure to publish papers
3. Plagiarism; self-plagiarism
4. Publication of papers to un-
reputable publications (online)
Risk mitigations:
1. Compliance with Code of Conduct
2. Peer reviews
3. Checking/validation of data from partners
4. Training of NARES partners
5. SSD Research Database Management Team performs quality
checking (primary data) during re/entry to SSD farm
household database.
6. Data Access Policy for SSD
Additional 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 risk
2012 2013 2014
trending

Impact Medium Medium Medium
Likelihood Medium High Medium
Risk Level Medium High Medium
Risk Source:
1. Slippery floor and stairways during
rainy days
2. Eye discomfort due to too much
glare

3. Installation flaw causes concern and
discomfort
i) Static Electricity
ii) Cracks noticed on the pillars of
the building


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

3. Evaluation and repair of existing installation
i) emergency lights, reinforcement and frosting of
glass cubicle partition
ii) Identify the grounded areas of the building.

4. Request for inspection with Safety Security Services
5. Coordinate further with Physical Plant Sciences, and
Human Resource Services
Additional actions to meet
gaps:
Resource
requirements
Responsibility
Target date of
implementation
Funding, Staff time




SSD staff, Safety
Office, PPS, HR
(OHS)
On-going, ASAP






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Risk 8: Misallocation of Assets
2014
trending

Impact Medium
Likelihood Medium
Risk Level Medium
Risk 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 Forms
2. 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
implementation
1. OCS to go live

Staff time




SSD staff, Finance,
Property Disposal
Unit, ITS
ASAP






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Risk Level matrix

Risk Impact/Consequence
High 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 IRRIs 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 IRRIs 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 Likelihood
High Likelihood:
Risk is almost certain or likely to happen
Medium Likelihood:
Risk is most likely to happen
Low 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