RISK ASSESSMENT AND CONTROL SHEET

UNIT/DEPARTMENT/OFFICE: College oF Educaton REVIEWED BY: APPROVED: RAC CONTROL NO.: 2021-INS-002
Conducted By: SCOPE: DMMMSU-INS-SOP-002
TEAM LEADER: CEDRIC ANTHONY E. OCHOCO 5.1 Preparation and Approval of Syllabus
TEAM MEMBERS: Program Chair & Faculty GENEVIEVE C. CADAOAS EDUARDO C. CORPUZ and Learning Plan
UPDATED AS OF: August 11, 2021 Head, Quality Assurance CHANCELLOR / EXECUTIVE DIRECTOR

RISK ASSESSMENT AFTER

RISK SOURCE RISK ASSESSMENT RISK TREATMENT PLAN
ACTION

Interested RG RECALCUL
Parties RECOMMENDED TARGET STATUS
DATE DESCRIPTION DESCRIPTION Existing (SIGNIFICAN ATION OF
PROCESS/ (NEEDS/ T/ NOT ACTION / REPONSIBLE/ IMPLEMENTATI ACTION Completion (I-IMPLEMENTED, P-
OF OF OF RISK Risk C L RISK REMARKS
ACTIVITY EXPECTATION/ SIGNIFICANT OPPORTUNITY/ RISK OWNER ON DATE TAKEN Date PARTIAL, NI-NOT
ENTRY REQUIREMENT) RISK/ISSUE EFFECT Controls (S – RED, NS IMPLEMENTED
CONTROL (Month & Year)
– YELLOW)
S P RR
Non-Issuance
Non- of Certificate Provide copies of Deans/ Institute
August Compliance Copy of the
compliance of Program 4 1 D4 the CMOs to all Director, Program August 2021
11, 2021 with CMOs CMOs
with the CMOs Compliance by faculty members Chair
CHED
Occurrence of
Not aligned
Prepares/ Non-
with the Provide copy of Deans/ Institute
Revises the Conformity Copy of the
approved 4 1 D4 the approved Director, August 2021
Course Curriculum
Aligned with university curriculum Program Chair
Syllabus Inability to
the approved curriculum
meet target
university
Irrelevant
curriculum Review and
content of the Deans/ Institute
Customer Copy of the approval of the
course syllabi 4 1 D4 Director, Program August 2021
Compliant Curriculum course syllabi and
and learning Chair
learning plan
Plan

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 RISK ASSESSMENT AND CONTROL SHEET

Non-Issuance
Prepares/
Non- of Certificate Provide copies of Deans/ Institute
Reviews the Compliance Copy of the
compliance of Program 4 1 D4 the CMOs to all Director, Program August 2021
Learning with CMOs CMOs
with CMOs Compliance by faculty members Chair
Plan
CHED
Occurrence of
Not aligned
Aligned with Non-
with the Use checklists on
the approved Conformity Copy of the
approved 4 2 C8 topics from CMO Program Chairs August 2021
university Curriculum
university vs Syllabus
curriculum Inability to
curriculum
meet target
Timeliness for Issuance of
Submits
the Late submission Memorandum for
course
submission (7 of course Off-target on Faculty deadline of Dean/ Institute
syllabus and 3 4 B12 August 2021
working days syllabi and the IPCR Manual submissions Director
learning
before the learning plan
plan
start classes) Monitoring of IPCR
Unavailability Non-
Availability of Appointment of
of the compliance Special
curriculum/ 3 1 E3 OIC/ alternate Dean/ Institute August 2021
curriculum/ with ease of Order
program chair signatory
program chair doing business
Reviews
ISO registered
Course Use of Ensure
forms for Occurrence of DCC/MIS/ Process
Syllabus and uncontrolled ISO Portal 3 2 D6 accessibility of the August 2021
Syllabi and non-conformity Owners
Learning forms ISO Portal
Learning Plan
Plan
Consistency of Inconsistency
course of course Use of checklist on
Customer
content content Curriculum 4 2 C8 topics from CMO Program Chair August 2021
Compliant
(syllabus and (syllabus and vs Syllabus
learning plan) learning plan)
Timeliness of
Faculty
submission for Issuance of
Manual
approval (on Late submission Off-target in Memorandum for Dean/ Institute
3 2 D6 August 2021
Approves or before the for approval the IPCR the deadline of Director
Office
the Course start of the submission
Memoranda
Syllabus and class)
Learning Availability of Unavailability Delayed
Plan Recommendin of approval by Appointment of Dean/ Institute
g approval of Recommending the Dean ISO Forms 3 2 D6 OIC/ alternate Director/ August 2021
the Program approval of the leading to non- signatory Chancellor
Chair Program Chair compliance
Copy of the No immediate Submit copy of the
Records the Unavailable
approved reference approved course
approved copy of the Receiving
Course Syllabi leading to 4 3 B12 syllabi to August 2021
Course Approved logbook
and Learning customer Facilitator,
Syllabus and Course Syllabi
Plan compliant Program Chairs,

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 RISK ASSESSMENT AND CONTROL SHEET

Learning and Learning Deans, Institute

Plan Plan Director & Office
Staff for
reproduction
Upload the
approve course
syllabi to the
University Portal
Upload the
approve course
Timeliness in
Implements syllabi and
the Late Delayed
the learning plan to
distribution distribution of delivery of Approved Program Chairs,
approved the University
of the course the course services University Institute
course 4 4 A16 Portal and Inform August 2021
syllabi and Syllabi and leading to Academic Director/ Dean,
syllabus and student the
learning plan Learning Plan customer Calendar Office Staff, MIS
learning through
(first (first meeting) compliant
plan University
meeting)
prescribed
platform
Upload the
approve course
syllabi and
No distribution Non-delivery learning plan to
Approved Program Chairs,
of the Course of services the University
University Institute
Syllabi and leading to 4 3 B12 Portal and Inform August 2021
Academic Director/ Dean,
Learning Plan customer student the
Calendar Office Staff, MIS
(first meeting) compliant through
University
prescribed
platform

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RISK CRITERIA TABLE

Part 1: CONSEQUENCE

RATING CONSEQUENCE
Customer Minimal impact- no customer complaint; customer feedback only

Compliance Obligation No legal complaint

Very Financial Compliant- 100% utilization rate/within the budget

Low 1
(VL) Performance Indicator Compliant- On-target performance

Environment Activity has no changes to the environment

Health and Safety Slight injury to the interested parties

Low (L) 2 Customer Low impact- noticeable effect; verbal customer complaint

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Compliance Obligation Verbal legal complaint

Financial Off target (<2% from the utilization rate/budget)

Performance Indicator Off target performance (<2% from the target)

Environment Activity has minor damage to the environment but will not adversely affect the current use

Health and Safety Injury/illness to the interested parties requiring first aid treatment, minor financial and reputation loss

Customer Moderate impact- minor customer complaint but alternatives available

Compliance Obligation Written legal complaint or with audit observation

Financial Off target (<3-5% from the utilization rate/budget)

Medium
3
(M)
Performance Indicator Off target performance (<3-5% from the target)

Environment Activity has minor damage to the environment that affect neighbourhood but will not interfere with activities.

Injury/illness to the interested parties requiring medical treatment, moderate financial and reputation loss,
Health and Safety
loss time injury
High
4 Customer Major impact- major customer complaint or costly compensation but alternatives available
(H)

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Compliance Obligation Legal action with investigation or Notice of Disallowance

Financial Off target (<6-10% from the utilization rate/budget)

Performance Indicator Off target performance (<6-10% from the target)

Environment Severe damage to the environment resulting to partial stoppage of operation/activities or community

Serious injuries/illness to the interested parties (i.e. permanent disability), loss of production capability,
Health and Safety
major financial and reputation loss

Customer
Major impact- major customer complaint or very costly compensation. No alternatives available.

Compliance Obligation Legal action with resolution or Notice of Finality of Decision

Very
High 5 Financial Off target (more than 10% from utilization rate/budget)
(VH)
Performance Indicator Off target performance (more than 10% from the target)

Severe damage to the environment resulting to full stoppage of operation/activities or severe nuisance
Environment
extending over large area

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Extensive injuries/illness to the interested parties (i.e. fatality, serious or life-threatening), with legal action
Health and Safety
resulting to huge financial and reputation loss

Part 2: LIKELIHOOD
RATING LIKELIHOOD/PROBABILITY
Very
Not known to happen, proven or completely mitigated by existing
Low 1
procedure and control
(VL)

Very low likelihood of happening, less than 1 per quarter/year/5 year,

Low (L) 2
demonstrated or well mitigated by existing procedure and control

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Medium Known to happen, may happen up to 1 per month/quarter/year,

3
(M) partially demonstrated or mitigated by existing procedure and control

Highly likely to happen, may happen more than 1 per

High
4 month/weekly/yearly, analytically demonstrated or mitigated by
(H)
existing procedure and control
Very
Very highly likely to happen, may happen more than 1x per week or
High 5
daily, speculative with no mitigation procedure and control
(VH)

Part 3: RISK/OPPORTUNITY GRADING

Consequence

VL (1) L (2) M (3) H (4) VH (5)

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VL (1) E (1) E (2) E (3) D (4) D (5)

L (2) E (2) D (4) D (6) C (8) B (10)
B
Likelihood M (3) E (3) D (6) C (9) (12) B (15)
A
H (4) D (4) C (8) B (12) (16) A (20)
A
VH (5) D (5) B (10) B (15) (20) A (25)

Grade CXL Action on Risk

Numbe
r

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Intolerable level of risk. Activity/operation should not proceed in current condition. Action or project to be initiated within 1-3
A 16-25
months.

Unacceptable level of risk. Action be second priority in the absence of Grade A risk action. Action or project to be initiated
B 10-15 Significant
within 3-6 months.

Risk relatively acceptable. Action to be done if there are available resources, or when higher Risk Grade exist (4-5 Rating of
C 8-9 Consequence). When applicable, action or project to be initiated within 6-12 months.

Acceptable risk without further action unless escalation of risk is possible. When applicable, opportunity/improvement plans to
D 4-6
be initiated within 6-12 months
Not
Significant
E 1-3 To be noted, no action needed. If opportunity is identified, improvement plans to be initiated within 12 months.

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