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Canadian Evaluation Society Vancouver – June 4, 2003 Using Integrated Risk Management to Improve Strategic Outcomes and

Canadian Evaluation Society Vancouver – June 4, 2003 Using Integrated Risk Management to Improve Strategic Outcomes and Public Transparency. Basil Orsini – Director, Corporate Audits & Risks, Gatineau/Ottawa Mardy Duncan – Director, Corporate Services, BC/Yukon Region . Presentation Overview.

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Canadian Evaluation Society Vancouver – June 4, 2003 Using Integrated Risk Management to Improve Strategic Outcomes and

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  1. Canadian Evaluation Society Vancouver – June 4, 2003Using Integrated Risk Management to Improve Strategic Outcomes and Public Transparency • Basil Orsini – Director, Corporate Audits & Risks, Gatineau/Ottawa • Mardy Duncan – Director, Corporate Services, BC/Yukon Region

  2. Presentation Overview • HRDC 101 • Evolution of Risk Management • Some HRDC Experiences • Evaluation Can Contribute to Risk Mitigation

  3. Circle of Life - Basic Client Data - The Circle of Life Events: our Client Focus HRDC helps holistically through life transitions • Student Loan • CSLP, CESG • CPP +18 children’s benefit • CPP Survivor Pension • CPP Death Benefit • CPP Child Benefit • OAS Survivor Allowance Birth Death • Maternity Benefits • SIN • Child Tax Credit • Student Loan Repayment • Insurance Premium • CPP Contribution • Workplace Standards School Low Income Pensioner Work • OAS - GIS • OAS - Allowance Retired Sickness • Employment • Insurance • CPP Pension • OAS Pension Homeless Disability • Labour Standards • Fed Workers' Compensation • Occupational Health & Safety • CPP Disability • Disability Tax Credit Unemployed Maternity/ Paternity Volunteer • CPP drop out provision • Re-training • CSLP re-payments • suspended • Employment Leave • Education Savings Grant • Child Tax Credit • Grant & Contribution • Community Assistance

  4. HRDC Operations Service Canada (229) Call Centres (26) HRCCs (320) MIX: CPC (156), HRCCs (57), HRDC Partners (7), Heritage (9) MIX: EI (11), ISP (10), CSLP (4), CESG (1) MIX: Main (100), Satellites (220) HRDC INFRASTRUCTURE Third Parties (2,550) Regional Offices (10) MIX: Provinces, Municipalities,Aboriginal, NGOs, Financial Institutions, etc. Internet + Kiosks NHQ (15 Branches) Processing Centres (122+) MIX: Internal Kiosk (3,750), External Kiosk (1,070 phasing out), 121 websites MIX: Policy, Program Delivery, Processing, Corporate Support MIX: EI (100), IPOC (6), SIN + ROE (1), ISP (11), IT Centres (4).

  5. Evolution of Risk Management

  6. Enterprise-wide Risk Management Business Risk Management Risk Management Enterprise-wide Risk Management is a natural evolution in the art of risk management strategy management operations Value contributed • Business risk • Linkage is crystalline • Align strategy, people, process, technology and knowledge on an enterprise-wide basis • Financial and hazard risk and controls • Linkage understated • Treasury, insurance and operations • Business risk • Linkage is clearer • Business managers accountable (risk-by-risk) financial Risk Management perspective

  7. IRM 101 Define Objectives Identify Risk Factors is the overall process * Risk Communications Assess Risks Risk Response * “Federal” approach with flexibility for different business lines! Learning

  8. Types of Risk Opportunity Uncertainty • Harness risk to your advantage and enhance stakeholder value Hazard • Risk arising from change • Event driven risk PriceWaterHouseCoopers

  9. Risk Identification • Risk - Control Measures = Residual Risk • Residual Risk - Mitigating Measures = Un Managed Risk

  10. Some HRDC IRM Experiences

  11. Establishing An IRM Function- How We Evolved • Initial pilots led by internal audit needed to be connected to the management agenda. • The Associate Deputy Minister directed that all branches report on their key risks. • Senior executives are now fully engaged in managing their branch risks. • IRM capacity is being progressively built.

  12. Establishing An IRM Function- Planning Process • First report on 2002 Corporate Risks was appended to the first Corporate Plan • Integrated Risk Management is being embedded into the new integrated planning process • 2003-2005 Strategic Plan is being built on principles of integrated risk management: • Priorities are key risk areas • Initiatives are mitigating strategies

  13. Practicing Integrated Risk Management • We have adopted a common core process while encouraging flexibility by business line • As a social instrument of the Federal Government, our risks include taking advantage of opportunities for Canadians • Risk management reduces the likelihood but does not eliminate problems • Risks should be framed for mitigation.

  14. BC/Yukon Experiences • Value for senior management team • Practical, useful business application • Regional process • Some illustrative outcomes

  15. HRDC Framework for IRM comprises … • Departmental Objectives • Approach to Implementation • Process for Risk Management • Framework for Prioritizing • Developing Mitigation Strategies • Implementation Standards • Action Plan & Monitoring

  16. Corporate Risks, 2002 • Public Confidence: Meeting citizen expectations for stewardship and security • Knowledge & Policy: Making an impact with comprehensive, timely, and strategic knowledge creation & policy analysis • Service Delivery: Meeting Citizen/Client expectations for consistent, efficient and effective service

  17. … Corporate Risks, 2002 • Human Resources: Recruiting and retaining the personnel to effectively deliver citizen-focused service • Information Technology: Resourcing /managing technology development and maintenance • Integrated Planning/Resourcing: Aligning objectives, resources, and accountabilities

  18. Departmental Risk Profile for 2003 will cover: • Policy • Program Management • Client Services • Corporate Service Functions • Change Management

  19. Areas for Strategic Risk Mitigation • Policy & Program: Improvements to the Canadian workforce • Investing in People • Program Management • Services: Integrated, Cost-effective & Citizen-centred • Modernizing • Information Technology • Privacy • Organizational Effectiveness • Organizational Workforce • Integrated Management Framework • Change Management • Communications

  20. Evaluation Can Contribute to Risk Mitigation

  21. Formative & Summative Evaluations Performance Measurement Results-Based Management Change Initiatives How Does Evaluation most support risk mitigation ?

  22. Formative & Summative Evaluations • Performance Measures • Results-Based Management • Change Initiatives Tool for Risk Mitigation Planning AREA OF FOCUS Policy Program Government-wide STRATEGIC RISK AREA

  23. Significant IRM Implementation Issues For Evaluation Are ... • Key Issues FOSTERING ... • Key Issues HINDERING ...

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