RISK REGISTER 2012

Social Sciences Division (SSD)

Page 1 2014-05-15
Risk 1: Loss of life and accidents
2008 2009 2010 2011 2012 201 t!endin"
I#$act High High High High High %i"&
Likeli&ood Medium Low Low Low Low Lo'
Risk Level %i"& (edi)# (edi)# (edi)# (edi)# (edi)#
Risk So)!ce:
1. Physically hazardous environment - denti!ied sam"le
geogra"hical areas are ris#y !or researchers $e.g. re%el
in!ested areas& inaccessi%le areas& rough terrains'
2. (atural calamities
Risk #iti"ations:
1. )voidance o! ris#y area to conduct
research and coordination with
local government unit $L*+'
2. ,,, and -, ,a!ety advisories and
guidelines $,.P'
*dditional actions to #eet
"a$s:
Reso)!ce
!e+)i!e#ents
Res$onsi,ilit- Ta!"et date of
i#$le#entation
1. /lose coordination with
,a!ety and ,ecurity and
PP, regarding trans!er o!
assets to new %ldg.
.!!icial cell "hone $with
roaming'0 11 vehicle
Logistics
,,2 sta!!& PM.& and
11 out-"osted sta!!
)dmin /oordinator&
PP,& ,,,& Lazaga
)"r. 3 2ec.2010
4une-)ugust 2011
Page 2 2014-05-15
Risk 2: Loss of !esea!c& data
2008 2009 2010 2011 2012 201 t!endin"
I#$act High High High High %i"&
Likeli&ood Low Low High High (edi)#
Risk Level (edi)# (edi)# %i"& %i"& %i"&
Risk So)!ce:
1. 56ui"ment7technological !ailure - de!ective
hardware0 limited storage $Mdrive'0 incom"ati%ility
issues $e.g. 25LL la"to"s vs e8ternal drives'0
inaccessi%le .+ central de"ository o! data0 %ac#u"
"rocedures7old units due !or re"lacement $since
2005-2009'.
2. Physically hazardous environment - :ire& !lood& and
"ests. ,tructural design o! the %uilding and location
o! o!!ice $"ro8imity to high-ris# areas'
;. ne!!icient data turnover o! de"arting sta!!
4. (atural calamities
;. -rans!er o! e6ui"ment and research data to new
%uilding $!rom (/<L to 2rilon Hall'
Risk #iti"ations:
1. 1egular %ac#u" o! data to /2 and e8ternal
hard drive0 -, %ac#u"
2. )vaila%ility o! sa!ety gadgets li#e !ire
e8tinguisher& smo#e sensor
;. 2ata management team in "lace
4. Pro"er turnover o! data through - and
)dmin /oordinator and res"ective
secretaries
5. 2isaster recovery "lan in "lace !or each
server=
>. 5sta%lished alternative %ac#-u" on-site
?. +se o! -, clearance sheet.
9. Provision o! +P,
*dditional actions to #eet
"a$s:
Reso)!ce !e+)i!e#ents Res$onsi,ilit-
Ta!"et date of
i#$le#entation
1. 58"lore alternative %ac#-u"
o!!-site
2. 2issemination o! ,,2
<ac#-u" retrieval "rocedure
through training.
;. +"date ,,2 58ternal
<ac#u" List and (5-@(
)ccess.8ls
4. -imeta%le o! PP, regarding
the com"letion o! the <ldg.
renovation.
5. denti!y timeta%le during
"hysical asset trans!er.
1. Hiring o! !ulltime
highly 6uali!ied sta!!
2. :unding7 -raining
;. Hiring o! .4-
4. /lose coordination
with PP,7 Lazaga
1. ). 1ala and -,
2. - /oordinator
and 1MA)
;. - /oordinator
4. - /oordinator
5. -7 )dmin
/oordinator7 PP,7
Lazaga
1. +ns"eci!iedB
$*, will s"eci!y'
2. May 2011$1
st

wee#'
;. )"ril-May 2011
4. .ngoing
"ractice
5. May-)ugust
2011
Page ; 2014-05-15
Risk : Inaccessi,le !esea!c& data
2008 2009 2010 2011 2012 201 t!endin"
I#$act Medium High Low$C=' Low$C='
Likeli&ood High Low Low Low
Risk Level %i"& (edi)# Lo' Lo'
Risk So)!ce:
1. Lac# o! coordination - Lac# o! standard in
documentation and !ormatting o! research data
!or "u%lic use.
2. (atural calamities
Risk #iti"ations:
1. Primary 2ata 50 D
2. ,econdary 2ataB 90D $@1,& :H,& *eo
Ma"s etc.'
;. 2ata management team in "lace
*dditional actions to #eet
"a$s:
Reso)!ce
!e+)i!e#ents
Res$onsi,ilit-
Ta!"et date of
i#$le#entation
1. 2evelo" standards !or data
documentation and
!ormatting !or "u%lic use
2. 2evelo" 2ata )ccess Policy
!or ,,2=
Hiring o! !ulltime
highly 6uali!ied
sta!!
,ta!! time&
,,2 sta!! and ()15,
"artners
Pie Moya& ,am
Mohanty
1. 4an-:e% 2011B
Hired 2 sta!! !or
2ata%ase
Management
-eam
2. )"r. 3 2ec. 2010B
2ata%ase
Management
team already set
u" itEs standard
!ormatting and
2ocumentation
;. )"r. 3 2ec. 2010B
.nline
availa%ility
Page 4 2014-05-15
Risk .: Inacc)!ate and lo' +)alit- !esea!c& data "at&e!ed
2008 2009 2010 2011 2012 201 t!endin"
I#$act High (edi)# (edi)# (edi)#
Likeli&ood Low (edi)# (edi)# (edi)#
Risk Level (edi)# (edi)# (edi)# (edi)#
Risk So)!ce:
1. Human %ehavior $human error& "oor Fudgment'
- Mismatch research s#ills vis-G-vis research
study re6uirements.
2. nade6uate training o""ortunities o! ()15,
"artners
Risk #iti"ations:
1. 58isting L.) %etween 11 and ()15,
"artners0
2. -raining o! ()15, "artners
*dditional actions to #eet
"a$s:
Reso)!ce
!e+)i!e#ents
Res$onsi,ilit-
Ta!"et date of
i#$le#entation
1. .n-site data audit
$veri!ication and evaluation
o! data 6uality' using latest
technologies availa%le
:unding and a""roval
!rom 1, $,,2' and
colla%orating .+s
,,2 sta!!&
colla%orating .+s&
()15, "artners and
2PP/
)"r-2ec. 2010
Page 5 2014-05-15
Risk /: Dela-ed co#$letion of data anal-sis and !esea!c& !e$o!ts
2008 2009 2010 2011 2012 201 t!endin"
I#$act Medium Lo' (0) %i"& %i"&
Likeli&ood Low Lo' (edi)# (edi)#
Risk Level Lo' Lo' %i"& %i"&
Risk So)!ce:
1. 56ui"ment7 technological !ailure - nade6uate num%er o!
so!tware licenses0 com"uter !ailureH
2. Physically hazardous environment - 2elayed com"letion o!
data collection due to natural calamities& "olitical unrest and
insurgencies
;. Human %ehavior $human error& "oor Fudgment' - 2elayed
com"letion o! data collection due to under sta!! and
unavaila%ility o! enumerators and res"ondents0 2elayed
com"letion o! data analysis and research re"orts due to wor#
overload o! researcher
4. -rans!er o! e6ui"ment and research data to new %uilding
$!rom (/<L to 2rilon Hall'
Risk #iti"ations:
1. 1enewal7"urchase o! licenses& and
so!twareIs0 1e6uest -, !or service
unit.H
2. @or# overtime
;. 1eschedule o! data collection
"eriod
4. /onstant !ollow-u" through email&
"hone calls
5. Providing incentives to ()15,
"artners through co-authorshi" o!
"u%lication
*dditional actions to #eet
"a$s:
Reso)!ce
!e+)i!e#ents
Res$onsi,ilit-
Ta!"et date of
i#$le#entation
1. ,trictly im"lement control
measures.
2. +"dating o! licenses is done
through annual division
/)P5J
;. /oordinate with -, a%out
the ne8t "hase o!
re"lacement.H
4. -imeta%le o! PP, regarding
the com"letion o! the
%uilding renovation.
;. -, to deliver
re"lacement H
4. denti!y timeta%le
during "hysical asset
trans!er. /lose
coordination with
PP,7 Lazaga
1. ,,2 sta!!7 ()15,
Partners
2. ,,2 )dmin7 -
/oordinator
;. -,H
4. -7 )dmin
/oordinator7 PP,7
Lazaga
1. )"r.32ec. 2010
2. )"r-2ec. 2010
;. 2e"ending on -,
deli%eration and user
re6uirement. 2011
4. May-)ugust 2011
Page > 2014-05-15
Risk 1: Scientific #iscond)ct
2008 2009 2010 2011 2012 201 t!endin"
I#$act %i"& %i"&
Likeli&ood Lo' Lo'
Risk Level (edi)# (edi)#
Risk So)!ce:
1. Possi%ility o! data !a%rication %y
sta!! or "artners7colla%oratorsH
2. /areer "ressure to "u%lish "a"ers
;. Plagiarism0 sel!-"lagiarism
Risk #iti"ations:
1. /om"liance with /ode o! /onduct
2. Peer reviews
;. /hec#ing7validation o! data !rom "artners
4. -raining o! ()15, "artners
5. ,,2 1esearch 2ata%ase Management -eam "er!orms 6uality
chec#ing $"rimary data' during re7entry to ,,2 !arm
household data%ase.
*dditional actions to #eet
"a$s:
Reso)!ce
!e+)i!e#ents
Res$onsi,ilit-
Ta!"et date of
i#$le#entation
n!o cam"aign on new
"u%lication guidelines as
soon as availa%le
-raining to enhance
awareness on "lagiarism
2evelo" 2ata )ccess Policy
!or ,,2=
22*-1
22*-1&
1esource Person
$.utsourced'
1MA) team
Pei Moya& ,am
Mohanty
)ugust- ,e"t. 2011
1isk Level #at!i2
Risk Impact/Consequence
High Impact:
Failure of addressing the risk has the potential to significantly damage or destroy the effective
functioning of IRRI or its future viability, particularly through loss of important donors confidence
or major financial or reputation loss; Also includes potentially significant employee health and
safety hazards Impact !ill affect the !hole institute
Medium impact:
Failure of addressing the risk has the potential to damage important aspects of IRRIs functions or
future viability, !hich !ould re"uire management effort and time to recover Impact !ill affect
several units in the institute
Low impact:
Failure of addressing the risk has the potential to damage particular aspects of IRRIs functions,
dra!ing on significant management effort if an adverse event occurred, but not e#pected to
damage the overall medium$long term operations of IRRI Impact !ill affect the concerned unit
only, or just a fe! 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
%nce you find the intersection bet!een the likelihood and the conse"uences, you have
determined the level of risk &hat does it mean in terms of managing the risk'
High risk( )ignificant senior e#ecutive management attention is needed and investments in
additional planned mitigating elements or *!here the risks are e#ternal and cannot be
controlled+ closed monitoring of e#ternal factors together !ith contingency plans may be
re"uired
Medium risk( ,eriodic senior management attention should be given to these, through
management information reporting -ontrol systems or contingency plans should be in place
and regularly revie!ed to ensure effectiveness.appropriateness
Low risk: -an be managed through routine procedures, unlikely to need significant application of
resources )ubject to periodic evaluation in terms of !hether the risk rating should be
revised,
Page ? 2014-05-15
repared !":
R/0A %fficer*s+
R/0A IR) *as applicable+
Checked and approved !":
%1 1nit 2ead
3ate
3ate
3ate
Page 9 2014-05-15