Blank Risk Assessment Form - Excel 1 by lzv41816


									Risk Assessment Form                           (For more information, click on "Guidelines" tab below)
Compliance Subject: Bill Number TX80RSB 1138 relating to members and advisors of student organizations                                                                                                                                      This Form Prepared by: Minnie R. Urbano
Responsible Department: Student and Academic Services                                      Assessment Date: 03-25-08                                                                                                                        Check one:
Responsible Office within Department: Student Services                                                                                                                                                                                      New Assessment:                X
Title of Responsible Supervisor: Manager                                                                                                                                                                                                    Updated Assessment:
                                                                                                                                                                                                                                                                                   Rank After   Mitigation

                                                                                                                                                                    Prob. of Occurrance
                                                                                                                                                                                                                                                                                    Controls    Strategy

                                                                                                                                                Potential Impact
                                                                                                                                                (Before Controls)

                                                                                                                                                                      (Before Controls)
                                                     Risk of Non-Compliance
          Compliance Activity                                                                                                                                                                                                                                                                                        Evidence or Other Written

                                               (I.e. fine, reprimand, loss of funding,                                                                                                                                                                                               High        Manage


   (Be specific. Show statutory laws,            loss of accrediation, unfavorable       Primary Responsible Party                                                                                                                                                                   Med         Monitor           Documentation of Compliance
regulations, policy(s) or other legal basis       publicity, audits, investigations,          (Position Title)                                                                                                                                                                       Low         Accept        (What can you show to an auditor that is proof
                                                employee injury, litigation or other                                                                                                                                                          Monitoring and/or Oversight
             for compliance)                                                                                                                                                                          Operating Controls                                                                                       that the operating and monitoring controls you
                                                       negative consequences.
                                                                                                                                                                                                (Briefly bullet each operational control)              Controls                                               have described in Columns G and H are being

                                                                                                                             Student Services
Section 1. Subchapter z, Chapter 51,          Unfavorable audit. Safety risk Manager, Student                                                   Medium Low                                1. The Student Services Office will hold an       1. Follow-up with Student              Meduim Manage             1. Copies of Policy A-6 Campus Safety Policy,
Education Code, is amended by adding          for students. Possible injury Services                                                                                                      annual meeting in September for student           Organization Presidents to ensure                                Policy A-41 Alcoholic Beverage use on Campus,
Section 51.9361 to read as follows:           to students. Liability to                                                                                                                   organization members to present the risk          that all members of student                                      Policy A-26 Risk Management Policy, Policy C-
At least once during each academic year,      university. Lawsuits.                                                                                                                       management process                                organizations understand all risk                                19 Drug and Alcohol Abuse Prevention, Policy F-
a postsecondary educational institution                                                                                                                                                   2. At least one officer and the sponsor/advisor   management policies and                                          3 Student Travel
shall provide a risk management                                                                                                                                                           must be present at the annual meeting.            procedures.                                                      2. A list of attendees at the yearly Risk
program for members of student                                                                                                                                                            3. Student organization members and               2. The Risk Manager will verify that                             Management for Student Organizations meeting.
organizations registered at the institution                                                                                                                                               sponsors must sign an acknowledgement             the program has been presented to                                3. List of attendees will be kept on file for three
                                                                                                                                                                                          form at the meeting stating that they have        the organization members.                                        (3) years.
                                                                                                                                                                                          attended the meeting and that they agree to                                                                        4. Copies of acknowledgement forms from
                                                                                                                                                                                          follow commonly accepted rules, practices,                                                                         members who attended the meetings
                                                                                                                                                                                          and procedures.
                                                                                                                                                                                          4. Student Organization members must
                                                                                                                                                                                          promptly report safety hazards or potential
                                                                                                                                                                                          problems to management or the Campus
                                                                                                                                                                                          Safety & Risk Manager.

     D:\Docstoc\Working\pdf\9a6d4fdd-dc7c-472a-b302-cb92a35a3776.xls Blank Risk Assessment Form
                                           UHV Risk Assessment Guidelines
                                                                  (Revised 6/07)
Compliance Subject: Briefly describe the compliance activity being assessed
Responsible Department: The Department responsible for this compliance activity.
Title of Responsible Supervisor:
Responsible Office Within Department: Specific Office responsible for compliance.
Prepared by: The name of the person who prepared this assessment.
Assessment Date: The date this assessment was completed.
Check one: If this is the first formal assessment of this compliance activity, check New Assessment. If making changes to an existing
assessment, check Updated Assessment.
                                                               Compliance Activity
List the compliance activity first, then show the specific law, regulation, policy (or policies) or other legal basis that make this a required
compliance activity.
                                                             Risk of Non-Compliance
In this column describe the most likely possible consequence(s) of non-compliance. Be as specific as possible: e.g. fine (how much),
reprimand, loss of funding, loss of accreditation, negative publicity, audits, employee injury, litigation, etc.
                                                                Potential Impact
H-High Impact (If the risk happens, we will probably not achieve our objective or to do so will require major damage control.)
M-Medium Impact (If the risk happens, we will have to do extra work or we will be inefficient, but we can still achieve our objective.)
L-Low Impact (If the risk happens, we will be aware of it but will have little or no effect upon operations or achieving the objective.)
                                                          Probability of Occurrence
H-High Probability (It will happen often)
M-Medium probability (It is likely to happen but not often)
L-Low Probability (It is unlikely to happen at all)
                                                             Operating Controls

Operating Controls - The controls that must be properly and consistently applied to manage the risk to an acceptable level.
                                                 Monitoring and Oversight Controls

Monitoring Controls - Generally those procedures performed by the supervisor to determine that the required operating controls are being

Oversight Controls - Generally those procedures used by middle or upper management to ensure that monitoring controls have been
applied as designed, i.e. including reviews of status reports, exception reports, etc.
                                         Evidence or Other Written Documentation of Compliance

(1) What documents or other proof is created that can be shown to an auditor or other reviewer that will verify that the required operating
controls were completed?
(2) What documentation can be produced to show that the supervisor has indeed monitored for compliance?.. i.e. supervisor initials and
dates on some document or report; notations or supervisor's initials on a reconciliation, exception reports, written memo or other
documentation initiated by the supervisor.
                                                          Rank After Controls
High -Generally risk that, if it occurs, can have an institutional wide impact and major damage control will be required.

Med - Generally, a risk that, if should happen, it will have isolated or area only impact but we can still achieve our goal or objective.
Low - Generally, a risk that, if it happens will be low level in its impact with little or no effect upon operations.
                                                             Mitigation Strategies

Manage - Generally, the highest risks that need to be constantly managed to insure that the appropriate controls are being applied.
Monitor - Generally, medium level risks that still may require considerable risk management and monitoring.
Accept - Generally, lower level risks that are accepted, requiring little management and/or monitoring.

        D:\Docstoc\Working\pdf\9a6d4fdd-dc7c-472a-b302-cb92a35a3776.xls Guidelines 6/11/2010                                         2 of 2

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