Risk Management Tips for completing risk registers Donna Dark, Manager Risk and Performance

June 2009 reports- timeframe Are due Monday 15 June by 4pm to Manager Risk and Performance. This means you need to get the registers to your Area Operations Managers by Friday 12th June 5pm so that they can check the register and discuss any issues with you that need additional information or correction, before the register is sent on for collation.

June 2009 reports-full review For June reports we will be reviewing the central register (what we also call our risk profile). Therefore all services and departments will need to send their complete risk register for the review. This means that services cannot state that they have no risks to report on, as everyone will have either risks already identified and/or new risks to report on. The register should include a review of central register risks (including their rating). Any local strategies used to mitigate the risk are to be included. Risks relevant or unique to the service only, and new risks not previously identified on the central register should also be included.

Central Register-location The central register can be located at: W:\Risk Management\Central Risk Register\CentralRisk RegisterJul08.doc

Report process The register needs to be sent to your Area Operations Manager in electronic format, using either the risk register (Form 630) or the excel sheet. Form 630 is in the forms register. The excel sheet can be found at: W:\Risk Management\risk register example 2008.xls Hardcopy faxed/mailed will not be accepted. If you are unable to complete and send your register electronically, you will need to discuss administration assistance with your Area Operations Manager before the due date.

Feedback from reports received so far In general, report content is improving considerably each quarter. However, there are some areas of confusion. The information provided in this presentation is expected to assist services in successfully completing their risk register and quarter risk reports on an ongoing basis.

Tip 1 Be familiar the Risk Management Manual It is available on the Intranet, and you have received a copy from your training. Get it out when you are completing risk assessments and the risk register.

Tip 2 Risk Categories-check the definitions before you use the category.

Tip 3- complete a risk assessment form Risk assessment forms help you clarify the issue, and give you room to write down all relevant information about the risk. The risk register is supposed to just be a summary. You can be more brief in this (ie dot points) and refer to your completed risk assessment for more information (eg refer to risk assessment WBG0109 for more info). If you are an IT whiz, you can even store your completed risk assessment forms (either scanned in or completed electronically) in the same folder and hyperlink the assessment forms to your register.

The risk assessment form All risks initially assessed as moderate or above should have a risk assessment completed.

Tip 4-clarify the risk issue Think about what the issue is, and then what the risk is. For example, the issue is: “ Trees might fall in the village” The risk is: “ Risk of property damage/injury to persons (from falling trees)”

Tip 5 Use the risk rating description, not just the number CONSEQUENCE Insignificant 1 Minor 2 Moderate 3 Major 4 Catastrophic 5 When completing your risk register, describe the risk rating using the words in the risk rating table, not the number you have calculated. LIKELIHOOD Almost Certain 5 Significant High Likely 4 Moderate Possible 3 Low Unlikely 2 Rare 1

Tip 6- share your knowledge You could work as a team across your area group, and: Select a central risk that you will work on Work through the central risk using a risk assessment form Summarise this on your risk register Place your risk register in an agreed place on the W drive so that your colleagues can use this information and adapt it for their registers.. and provide you with their examples. Also look at new risks identified by others and consider whether they could be relevant for you (eg snakes, fire risk, loss of key personnel).

Tip 8 -Completing Form 630 The following slide provides a summary of what to think about when completing the risk register.

Completing the risk register See the mitigation table to work out the grade (A,B,C) Needs to be realistic but timely according to the risk What else could be done to control the risk? Identify the risk, not just the issue. You can also put a register number in here. What are we already doing to control the risk? Rate the risk using the table-put the rating description, not a number. Who is responsible to oversee that the controls occur? Do they know about the risk? Have they been part of the assessment process? This may be the same person, or the relevant senior manager The risk that is left after all possible controls implemented. Again it is the description, not the number

Tip 7-Act local, think and plan global When you identify an individual staff/resident/client risk, try and think about this at a broader or global level. For example: “ A new resident has absconded from the facility 3 times using a pool gate near the southern end of the garden. Risk is resident absconding” Could be “ Risk of injury/harm to residents with confusion/dementia via easy access to exits”. This way you can develop a number of strategies to assist variations of this type of risk, rather than just focusing on the one incident or specific resident.

Excel risk register The excel sheet asks for some more information, but is self-explanatory. It allows you to continue to review risks, whereas form 630 is limited in this aspect. If you use the excel sheet, you can send this as your report for each quarter, as it provides all information required. Tip for use-do not delete rows as this will disrupt the formulas used to calculate risk ratings.

Risk Register-using the excel sheet

Checklist for completing risk register Have we: Reviewed all relevant risks from the central risk register? Assessed and documented all new or emerging risks identified locally and/or by other services? Completed risk assessments for all risks with an initial risk rating of moderate or above? Documented the risks on the risk register appropriately (as provided in this presentation). Advised our Manager if we cannot complete the risk register electronically before the due date? Provided completed risk assessments for all risks assessed as high and significant (residual risk rating) to the Area Operations Manager?

Ongoing risk management training Ongoing risk management training for new and existing staff is available via the Central Training calendar. Site or area specific training is no longer available, as this was provided only for the implementation of the risk management framework. Please ensure staff requiring training are booked into central training dates.

Questions? Please contact your Manager in the first instance if you have any further questions. Good Luck and keep up the good work!