| A | B | C | D | E | F | G | H | S | T | U | V | W | X | Y | Z | AA | AB | AC | AD | ||
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1 | Office of the Executive Vice-President | ||||||||||||||||||||
2 | Risks, Risk Level and Mitigation Level | ||||||||||||||||||||
3 | For the FY 2021 | ||||||||||||||||||||
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5 | OFFICE | RISKS | RISK AREA | BASELINE RATING | Risk Level | Mitigation Level | September 30, 2021 | Risk Level | Mitigation Level | 31-Dec-21 | Risk Level | Mitigation Level | REMARKS | PHOTOS | |||||||
6 | Likelihood | Impact | RPN | Likelihood | Impact | RPN | Likelihood | Impact | RPN | ||||||||||||
7 | Information and Communications Technology Office (ICTO) | IT Services Management: Long queue of client requests during student enrollment and adjustment period caused by limited number of frontline personnel (During COVID-19 Pandemic - surge of client requests received thru emails) | OPERATIONAL | 5 | 4 | 20 | Extreme | President | 4 | 3 | 12 | Substantial | College Dean/Director | 4 | 3 | 12 | Substantial | College Dean/Director | |||
8 | Weak University IT Security caused by lack of Information Security (Access Control, Data Privacy, and User Input Validation) resulting in unauthorized infiltration/access to data and systems Insufficient IT Infrastructure Management caused by lack of ICT Infrastructure and Corrective Maintenance. This may result to a weak data and voice transmission, and less capability to current and near-future network, data and voice technologies | OPERATIONAL | 5 | 5 | 25 | Extreme | President | 4 | 4 | 16 | High | Sector VP | 4 | 4 | 16 | High | Sector VP | ||||
9 | No Internet connection caused by failure of external Internet Service Provider resulting in low office/worker productivity | OPERATIONAL | 3 | 12 | 36 | Extreme | President | 2 | 4 | 8 | Medium | Department/Unit | 1 | 1 | 1 | Low | Process Owner | ||||
10 | Slow or no Internet/network access caused by lack of industry-standard network cabling or limited Internet bandwidth. This may result in low office/worker productivity | OPERATIONAL | 2 | 3 | 6 | Medium | Department/Unit | 5 | 4 | 20 | Extreme | President | 1 | 1 | 1 | Low | Process Owner | ||||
11 | Installed non license software to PUP computers devices cause by unplanned procurement. This may result in legal implications. | OPERATIONAL | 3 | 4 | 12 | Substantial | College Dean/Director | 3 | 4 | 12 | Substantial | College Dean/Director | 2 | 2 | 4 | Low | Process Owner | ||||
12 | Information Systems that are vulnerable to attacks caused by lack of application security and debugging. This may result in data leakage and defective system | OPERATIONAL | 5 | 4 | 20 | Extreme | President | 4 | 4 | 16 | High | Sector VP | 3 | 3 | 9 | Medium | Department/Unit | ||||
13 | Data leakage of personal information (student, faculty, employee, other sensitive information) caused by hacking of University Information Systems and Online Services. This may result in negative reputation to the University and possible regulatory sanction by the NPC, DICT, and NBI | OPERATIONAL | 4 | 5 | 20 | Extreme | President | 4 | 5 | 20 | Extreme | President | 3 | 4 | 12 | Substantial | College Dean/Director | ||||
14 | Inspection Management Office (IMO) | Delay in the inspection due to non-compliance by the supplier on the delivery and documentary requirements as stipulated in the contract leading to pending insuance of Inspection Report. | OPERATIONAL | 3 | 4 | 12 | Substantial | College Dean/Director | 3 | 3 | 9 | Medium | Department/Unit | 2 | 3 | 6 | Medium | Department/Unit | |||
15 | Difficulty in scouting job-relevant training /seminar due limited information/promotion from training providers which will lead to budget under utilization. | OPERATIONAL | 3 | 4 | 12 | Substantial | College Dean/Director | 2 | 3 | 6 | Medium | Department/Unit | 2 | 3 | 6 | Medium | Department/Unit | ||||
16 | Overworked of employees due to understaffed which will lead to decreased of productivity and efficiency. | OPERATIONAL | 5 | 4 | 20 | Extreme | President | 3 | 4 | 12 | Substantial | College Dean/Director | 3 | 4 | 12 | Substantial | College Dean/Director | ||||
17 | Unconducive working station due to limited working space leading to non-compliance in the Occupational Safety and Health Standard. | OPERATIONAL | 5 | 5 | 25 | Extreme | President | 3 | 5 | 15 | High | Sector VP | 3 | 3 | 9 | Medium | Department/Unit | ||||
18 | Internal Audit Office (IAO) | Lack of manpower (Overutilized / Overworked manpower due to failure of hiring personnel to complete the office roster resulting in multi-tasking and cross-tasking of the units) | OPERATIONAL | 4 | 4 | 16 | High | Sector VP | 4 | 4 | 16 | High | Sector VP | 4 | 3 | 12 | Substantial | College Dean/Director | |||
19 | Lack of sprinkler system and fire exit doors (Uncontrollable fire incident due to lack of fire alarm & sprinkler system resulting to damage in properties, documents, and injuries to personnel) | OPERATIONAL | 3 | 5 | 15 | High | Sector VP | 3 | 5 | 15 | High | Sector VP | 4 | 3 | 12 | Substantial | College Dean/Director | ||||
20 | Business process discontinuity due to sickness caused by virus infection obtained through face to face transactions leading to discontented clients and bottleneck in the system. | OPERATIONAL | 5 | 5 | 25 | Extreme | President | 1 | 1 | 1 | Low | Process Owner | 4 | 3 | 12 | Substantial | College Dean/Director | ||||
21 | Data or process security breach due to failure to de-activate or terminate system access of employees who have been separated from a position, unit or department, or the University which will lead to leakage of sensitive and confidential information. | OPERATIONAL | 5 | 5 | 25 | Extreme | President | 4 | 4 | 16 | High | Sector VP | 4 | 3 | 12 | Substantial | College Dean/Director | ||||
22 | Hazards endangering reporting personnel on-site due to Emerging Infectious Diseases which will lead to prolonged sick leaves. | OPERATIONAL | 5 | 5 | 25 | Extreme | President | 3 | 3 | 9 | Medium | Department/Unit | 4 | 3 | 12 | Substantial | College Dean/Director | ||||
23 | Unable to travel to/from office from/to residence due to impassable, flooded roads hindering personnel from reporting to work or going home from work. | OPERATIONAL | 4 | 5 | 20 | Extreme | President | 4 | 4 | 16 | High | Sector VP | 4 | 3 | 12 | Substantial | College Dean/Director | ||||
24 | Destruction of electronic equipment and records/documents due to high flood water levels inside office resulting to significantly lower productivity of the unit. | OPERATIONAL | 5 | 5 | 25 | Extreme | President | 4 | 4 | 16 | High | Sector VP | 4 | 3 | 12 | Substantial | College Dean/Director | ||||
25 | Non-Compliance to COA and PGIAM Post-Audit Requirements of the Operations and Management Processes of Offices and Colleges within the University in Main Campus, Branches and Campuses. | COMPLIANCE | 5 | 5 | 25 | Extreme | President | 4 | 4 | 16 | High | Sector VP | 4 | 3 | 12 | Substantial | College Dean/Director | ||||
26 | Univesity Printing Press (UPP) | Fire due to the presence of high tension wire on site and improper installation of some electrical wirings that may result to lost of property | OPERATIONAL | 3 | 5 | 15 | High | Sector VP | 3 | 5 | 15 | High | Sector VP | 3 | 5 | 15 | High | Sector VP | |||
27 | Theft and pilferage due to open access of ground that may result to looting | OPERATIONAL | 3 | 4 | 12 | Substantial | College Dean/Director | 3 | 4 | 12 | Substantial | College Dean/Director | 3 | 4 | 12 | Substantial | College Dean/Director | ||||
28 | Accident that may be caused by the slippery floor of UPP Building during rainy season due to the inadequately covered terrace | OPERATIONAL | 2 | 3 | 6 | Medium | Department/Unit | 2 | 3 | 6 | Medium | Department/Unit | 2 | 3 | 6 | Medium | Department/Unit | ||||
29 | Disaster Resilience Institute (DRI) | Failure to submit agency mandatory reports or requirements within the prescribed period due to lack of manpower, which may prompt sanctions | COMPLIANCE | 4 | 4 | 16 | High | Sector VP | 1 | 1 | 1 | Low | Process Owner | 1 | 3 | 3 | Low | Process Owner | |||
30 | Lack of exit doors and signages that violate the PH fire Code. We also have reversed direction of exit doors. | COMPLIANCE | 4 | 4 | 16 | High | Sector VP | 2 | 2 | 4 | Low | Process Owner | 2 | 2 | 4 | Low | Process Owner | ||||
31 | Untimely release of funds for IEC materials due to red-tape, which may lead to delay of fabrication of expected outputs | COMPLIANCE | 2 | 4 | 8 | Medium | Department/Unit | 2 | 1 | 2 | Low | Process Owner | 2 | 1 | 2 | Low | Process Owner | ||||
32 | Delay in the procurement of equipment which will be used for projects, campaigns, and daily work. This may result to failure to effectively anticipate, to repond to, and to recover from potential natural or man-made emergencies. | COMPLIANCE | 4 | 5 | 20 | Extreme | President | 3 | 3 | 9 | Medium | Department/Unit | 3 | 3 | 9 | Medium | Department/Unit | ||||
33 | Uncertainty in the approval of the budget requested due to no previous allocation for: the Occupational & Healthy Workplace Program, DRC Capability Building, DRRM and Disaster Resilience Leadership Program, Program,Disaster Risk Reduction and Management (DRRM) Institutional and Promotional Academic Development Program, DRRM and Gender Leadership, Gender and Disaster Twinning Program, Disaster Risk Reduction and Management (DRRM) Institutional and Promotional Academic, Development Program, and Disaster Prevention and Mitigation Research. | FINANCIAL | 4 | 5 | 20 | Extreme | President | 3 | 3 | 9 | Medium | Department/Unit | 3 | 3 | 9 | Medium | Department/Unit | ||||
34 | Tampered or damaged Official Receipts caused by erroneous printing which cannot be reimbursed or liquidated | FINANCIAL | 2 | 4 | 8 | Medium | Department/Unit | 1 | 1 | 1 | Low | Process Owner | 1 | 1 | 1 | Low | Process Owner | ||||
35 | One internet lan/source at the office | OPERATIONAL | 4 | 3 | 12 | Substantial | College Dean/Director | 1 | 1 | 1 | Low | Process Owner | 1 | 1 | 1 | Low | Process Owner | ||||
36 | Lack of Chief for Disaster Training, Education and Public Awareness Unit | OPERATIONAL | 5 | 5 | 25 | Extreme | President | 1 | 1 | 1 | Low | Process Owner | 1 | 1 | 1 | Low | Process Owner | ||||
37 | Lack of DRI Administrative Staff | OPERATIONAL | 5 | 4 | 20 | Extreme | President | 1 | 1 | 1 | Low | Process Owner | 1 | 1 | 1 | Low | Process Owner | ||||
38 | Unavailable of External or Outsourced Trainer/Speaker/s on DRRM | OPERATIONAL | 3 | 3 | 9 | Medium | Department/Unit | 2 | 2 | 4 | Low | Process Owner | 2 | 2 | 4 | Low | Process Owner | ||||
39 | No to low mobile signal at the office | OPERATIONAL | 4 | 5 | 20 | Extreme | President | 3 | 3 | 9 | Medium | Department/Unit | 3 | 3 | 9 | Medium | Department/Unit | ||||
40 | Safety and security of officials during field work | OPERATIONAL | 3 | 3 | 9 | Medium | Department/Unit | 2 | 1 | 2 | Low | Process Owner | 3 | 3 | 9 | Medium | Department/Unit | ||||
41 | Limited technical resources at the office | OPERATIONAL | 4 | 3 | 12 | Substantial | College Dean/Director | 3 | 3 | 9 | Medium | Department/Unit | 2 | 2 | 4 | Low | Process Owner | ||||
42 | Low research prouctivity due to the weak manpower complement | OPERATIONAL | 4 | 2 | 8 | Medium | Department/Unit | 2 | 2 | 4 | Low | Process Owner | 2 | 2 | 4 | Low | Process Owner | ||||
43 | Multi-tasking due to the lack of administrative staff | OPERATIONAL | 4 | 4 | 16 | High | Sector VP | 2 | 3 | 6 | Medium | Department/Unit | 2 | 3 | 6 | Medium | Department/Unit | ||||
44 | Lack of sprinkler system, signages, and fire exits | OPERATIONAL | 4 | 4 | 16 | High | Sector VP | 3 | 3 | 9 | Medium | Department/Unit | 3 | 3 | 9 | Medium | Department/Unit | ||||
45 | Lack of first aid kit and tools | OPERATIONAL | 4 | 4 | 16 | High | Sector VP | 3 | 3 | 9 | Medium | Department/Unit | 3 | 3 | 9 | Medium | Department/Unit | ||||
46 | Delay in bringing a patient to the nearest hospital | OPERATIONAL | 4 | 4 | 16 | High | Sector VP | 3 | 3 | 9 | Medium | Department/Unit | 3 | 3 | 9 | Medium | Department/Unit | ||||
47 | No dedicated service verhicle that may endanger officals' health and safety | OPERATIONAL | 4 | 4 | 16 | High | Sector VP | 3 | 3 | 9 | Medium | Department/Unit | 3 | 3 | 9 | Medium | Department/Unit | ||||
48 | Limitation in getting production and/or publishing houses for the development of IEC materials | STRATEGIC | 3 | 1 | 3 | Low | Process Owner | 3 | 1 | 3 | Low | Process Owner | 3 | 1 | 3 | Low | Process Owner | ||||
49 | Late announcement of capacity building activities or meetings | STRATEGIC | 4 | 3 | 12 | Substantial | College Dean/Director | 2 | 2 | 4 | Low | Process Owner | 2 | 2 | 4 | Low | Process Owner | ||||
50 | Forgery of documents, approvals, etc. | REPUTATIONAL | 1 | 4 | 4 | Low | Process Owner | 1 | 1 | 1 | Low | Process Owner | 1 | 4 | 4 | Low | Process Owner | ||||
51 | Institute of Data and Statistical Analysis (IDSA) | Unable to gather online data in remote areas, particularly in Branches/Satellite Campuses outside Metro Manila, due to poor internet connectivity resulting in erroneous statistical report and analysis of data. | OPERATIONAL | 5 | 4 | 20 | Extreme | President | 5 | 4 | 20 | Extreme | President | 5 | 3 | 15 | High | Sector VP | |||
52 | Unable to gather online data in remote areas, particularly in Branches/Satellite Campuses outside Metro Manila, due to possible power outage resulting in erroneous statistical report and analysis of data. | OPERATIONAL | 5 | 4 | 20 | Extreme | President | 5 | 4 | 20 | Extreme | President | 5 | 3 | 15 | High | Sector VP | ||||
53 | Limited time in assessing the client because of unconducive (small scale) working area, resulting to long queue and ineffective interaction with clients. | OPERATIONAL | 5 | 3 | 15 | High | Sector VP | 5 | 4 | 20 | Extreme | President | 5 | 3 | 15 | High | Sector VP | ||||
54 | Unable to communicate with internal/external clients thru online platforms due to poor to fair internet connectivity in the office resulting to a delayed processing of internal/external clients' requests. | OPERATIONAL | 5 | 3 | 15 | High | Sector VP | 5 | 3 | 15 | High | Sector VP | 5 | 3 | 15 | High | Sector VP | ||||
55 | Lack of standard turnaround time in processing the Summary of Statistical Results by a Statistical Adviser to be submitted to their respective Statistical Advisee (Client) resulting in the delay of drafting the Client's final thesis paper. | OPERATIONAL | 5 | 3 | 15 | High | Sector VP | 5 | 3 | 15 | High | Sector VP | 5 | 3 | 15 | High | Sector VP | ||||
56 | Limited number of Statistical Advisers with specialization which fit the Client's thesis topic (specialization) resulting to more Clients assigned to these Statistical Advisers than the others. | OPERATIONAL | 5 | 3 | 15 | High | Sector VP | 5 | 3 | 15 | High | Sector VP | 5 | 3 | 15 | High | Sector VP | ||||
57 | Incomplete Evaluation of a Faculty in the Online Faculty Evaluation Survey due to Missing Supervisor (Dean/Director/Chairperson/Academic Head) Evaluation which results to a delayed processing of Overall Rating (Supervisor Evaluation plus Student Evaluation) of a Faculty. | OPERATIONAL | 5 | 3 | 15 | High | Sector VP | 5 | 3 | 15 | High | Sector VP | 5 | 3 | 15 | High | Sector VP | ||||
58 | Narrow office space for movement and no available Fire Exit which results in high risk to IDSA Personnel during emergency situations. | OPERATIONAL | 5 | 4 | 20 | Extreme | President | 5 | 4 | 20 | Extreme | President | 5 | 4 | 20 | Extreme | President | ||||
59 | Office of the International Affairs (OIA) | Number of Enrolled Foreign Students: Decrease in the number of foreign student enrollees due to the memorandum issued by CHED in connection with the COVID-19 pandemic | COMPLIANCE | 3 | 3 | 9 | Medium | Department/Unit | 2 | 2 | 4 | Low | Process Owner | 2 | 2 | 4 | Low | Process Owner | |||
60 | University Academic Calendar: Missed opportunities for program mobility secondary to mismatch in academic calendar. | OPERATIONAL | 3 | 3 | 9 | Medium | Department/Unit | 2 | 2 | 4 | Low | Process Owner | 2 | 2 | 4 | Low | Process Owner | ||||
61 | Partnership Agreement: Missed opportunities / benefits for internationalization due to inactive MOU | OPERATIONAL | 3 | 3 | 9 | Medium | Department/Unit | 2 | 2 | 4 | Low | Process Owner | 1 | 1 | 1 | Low | Process Owner | ||||
62 | Internet Connectivity: Poor internet connectivity in the office which disrupts holding of internationalization-related events and activities. | OPERATIONAL | 5 | 3 | 15 | High | Sector VP | 2 | 2 | 4 | Low | Process Owner | 2 | 2 | 4 | Low | Process Owner | ||||
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