Risk Register Template

Risk Management Toolkit - Higher Level Skills, Course Development Projects High Level Risks Template
Date
register Date Log
Project Title: created: updated: owner:
Residual risk - risk management

Demand Led Training Provision - High Level Risks Inherent Risk Analysis controls/actions in place
Residual Residual Residual risk

Risk no/category. Risk Statement Probability Impact Risk rating probability impact rating
There is a risk that if the status of the development project associated with the new
course exceeds defined tolerances and quality criteria leading to one or more critical
success factors being compromised the project may be closed early or fail to meet
1. Main output risks its projected learner and financial targets resulting in loss of realised benefits 5 5 25 5 5 25
There is a risk that without clear direction and explanation from the HEI and its
project partners and suppliers of their strategic, aims and ambitions for the new
training course leading to the viability and reliability of the new course being
2. Strategic and compromised; resulting in loss of financial investment, reputational damage or
commercial risks financial claw back. 4 5 20 4 5 20
There is a risk that without accurate and clear costing and budgetary control the
working capital required to meet the plans will not be available; resulting in time
3. Financial risks delays, critical path impacts and potential overspend 3 4 12 3 4 12
There is a risk that without properly consulted contracts, agreements and

understandings in place between the HEI and its third party suppliers and partners it
will lead to misunderstandings, inconsistencies and an inability to quantify
performance of those providers; resulting in issues going un-noticed, breakdown in
4. Legal risks relationships occur and the new course fails to meet its objectives and benefits 3 5 15 3 5 15
There is a risk that the HEI processes and management are insufficient to support the
resourcing necessary to develop and delivery the new course leading to an inability
to maintain development and/or delivery to the defined plans; resulting in time
5.Organisational and delays that will impact on critical paths, delaying the course start dates; and effecting
management risks employer and internal faculty relationships 3 5 15 3 5 15
There is a risk that the curriculum and/or delivery mechanism of the delivered
training course does not align with the original employer needs and demand, leading
to employer and/or learner dissatisfaction with offered course; no take up of
6. Project delivery delivered course and/or degradation in employer relationship and loss of longer term
risks (operational) benefits 3 5 15 3 5 15
There is a risk that without effective marketing, curriculum planning and clear
transition plans the new course will not be attractive to a wider audience than the
commissioning employer or the HEI faculties will not be able to support ongoing
7. Training delivery delivery; resulting in low learner numbers initially and on an ongoing basis, failure to
risks achieve a return on investment and failure to realise institutional benefits 5 5 25 5 5 25
High Level Risks

6
4
Impact
3 Inherent risks
Residual risks
0
2.5 3 3.5 4 4.5 5 5.5
Probability
Universities South West 370730141.xlsx 31/10/11 1 of 20

Risk Management Toolkit - Higher Level Skills Demand Led Training, Course Development Projects Template
Risk Maps
1. Main Output Risks 1. Main Output Risks
6 6
5 5
4 4
Probability
Inherent risks Inherent risks
Impact
3 Residual risks 3 Residual risks
2 2
1 1
0 0
3.5 4 4.5 5 5.5 6 6.5 7 0 1 2 3 4 5 6
Proximity Probability
2. Strategic/Commercial Risks 2. Strategic/Commercial Risks

6
6
5
5
4
4
Probability
Impact
Inherent risks 3 Inherent risks

3
Residual risks Residual risks
2 2
1 1
0 0
Universities1South West2 3 4 5 6 7 Risk Bubble Maps0 1 2 3 4 5 6 31/10/11 page 2 of 20
2
Risk Management
1 Toolkit - Higher Level Skills Demand Led Training, Course Development Projects 1 Template
0 0
1 2 3 4 5 6 7 0 1 2 3 4 5 6
Universities South West Risk Bubble Maps 31/10/11 page 3 of 20

3. Financial 3. Financial
6
6
5
5
4
4
Probability
Impact
3 Residual risks
Residual risks
2
2
1 1
0 0
2.5 3 3.5 4 4.5 5 5.5 6 6.5 7 0 1 2 3 4 5 6
4. Legal 4. Legal
6
6
5
5
4
4
Probability
Inherent risks
Impact
3 Inherent risks
3
2 2
1 1
0 0
0 1 2 3 4 5 6 7 0 1 2 3 4 5 6

5. Organisational/Management 5. Organisational/Management
6
6
5
5
4
4
Probability
Impact
3 Residual risks
Residual risks
2
2
1 1
0 0
-1 0 1 2 3 4 5 6 7 0 1 2 3 4 5 6
6. Project delivery 6. Project delivery

6
6
5
5
4
4
Probability
Impact
3
2 2
1 1
0 0
-1 0 1 2 3 4 5 6 7 0 1 2 3 4 5 6

7. Training delivery 7. Training delivery

6
6
5
5
4
4
Probability
Impact
3
2
2
1 1
0 0
0 1 2 3 4 5 6 7 0 1 2 3 4 5 6

Baseline Date: 12/30/1899 Inherent Update Date: 12/30/1899 Residual
RISK LOG Scores Risk Management Action (Control, mitigation and contingency) Scores
Baseline action
Baseline action
Planned action
Planned action
Probability
Probability
Probability
variations
Proximity
Impact
Impact
Risk Resulting in (Impact Risk Risk Open/
Source Risk that description) rating Early warning indicators Reduction action (Probability) Reduction action (Impact) Contingency action rating Closed Comments
Output risks 583 585
There is a risk that if the status of the

development project associated with the
new course exceeds defined tolerances and the project may be closed early or fail to
quality criteria leading to one or more meet its projected learner and financial
critical success factors will being targets resulting in loss of realised
1 compromised benefits 5 5 5 5
7. Contractual agreement put in place

with commissioning employer(s)
identifying their expected input into the Seek other employers within the
course development. (-1) 0 0 sector to join the partnership
1. Water tight business case made with 68. Engage with additional employers to
employer prior to commencement of any input into development once course
Non-responsive communication. activity. (-0.3) 0 0 outline has been produced. (0.8) 0 0
5. Employer status identified as high

growth, in profit, stable business priorities 61. Involve SSCs to gain their support and
Dissatisfaction with course material. and structure. (-0.3) 0 0 input for course content. (0.4) 0 0
When a single employer has commissioned 65. Full involvement of employers in 63. Use of material developed to point of
development, but they are not funding Difficulty gaining employer input to steering group and at each stage of withdrawal within other programmes.
development of course, their support/input Loss of financial investment made to development as planned. development. (-0.3) 0 0 (0.2) 0 0
is withdrawn and the project will be closed point of closure .
early prior to completion of development Compromise of all anticipated Changing economic conditions such as 6. Sector trends explored to confirm 10. Financial penalty clause in employer
Employer 1a work institutional benefits 4 3 5 15 recession. course topic is a growth area. (-0.2) 0 0 contract. (0.8) 0 0 3 5 15
1. Water tight business case made with

Difficulty gaining employer input to employers prior to commencement of any Seek other employers within the
development as planned. activity. (0.3) 0 0 sector to join the partnership.
7. Contractual agreement put in place

with commissioning employer(s) 68. Engage with additional employers to
identifying their expected input into the input into development once course
Non-responsive communication. course development. (1) 0 0 outline has been produced. (0.8) 0 0
65. Full involvement of employers in

One or more of the employers steering group and at each stage of 61. Involve SSCs to gain their support and
withdraw. development. (-0.3) 0 0 input for course content. (0.4) 0 0
5. Employer status identified as high 63. Use of material developed to point of

Changing economic conditions such as growth, in profit, stable business priorities withdrawal within other programmes.
When multiple employers are involved, and recession. and structure. (-0.3) 0 0 (0.2) 0 0
they are not funding development of course, Loss of financial investment made to
all withdraw their support/input and the point of closure 6. Sector trends explored to confirm
project will be closed early prior to Compromise of anticipated institutional course topic is a priority/growth area. 10. Financial penalty clause in employer
Employer 1b completion of development work benefits 4 2 5 10 (0.2) 0 0 contract. (0.8) 0 0 2 5 10
58. Clear and effective marketing to other Make delivery available on the open
employers during development of course. market and consideration to running
(0.6) 0 0 a loss leader (subsidising learners).
61. Involve SSCs to gain their support for
course delivery. (0.1) 0 0
Reluctance of commissioning
employers to sign learner number 3a. Employer funds all of the 62. Involve professional bodies to gain
contracts. development of the new course. (1) 0 0 their support for course delivery.(0.1) 0 0
Reticence of employer to discuss actual 3b. Employer part funds development of 63. Course offered as options on other
learner numbers. the new course. (0.5) 0 0 programme. (0.1) 0 0
No employer/learner take up of the
developed training course leading to the 9. Contractual agreement put in place 69. Course design includes template
development of new programme being with the commissioning employer(s) flexible delivery and content mechanisms
completed but no learners on first training Expression of dissatisfaction with defines learner numbers for first delivery to more easily adjust to suit other
Employer 1c delivery Loss of financial investment 5 1 5 5 developed course. of course. (0.3) 0 0 employers. (0.2) 0 0 1 5 5
52. Stringent project management system 31. Communications plans- Maintain close Liaison with commissioning
put in place, with the underlying policies, employer liaison and negotiation with employers at the first indication of
procedures and processes to support it. regard to potential time over-runs, and time slippage, presented with
(2) 0 0 gain their agreement to late delivery. (0.2) 0 0 options and alternatives.
55. Regular monitoring of resourcing and

time to identify early any critical path
48. Timeline with critical paths agreed impacts and enable contingency action to
Missed milestones. with employer. (1) 0 0 be in place to minimise risk impact. (0.4) 0 0
Time over-run on development stages and Reduced return on investment Extension of planned completion
late delivery of course leading to projected Degradation of employer relationship and date/delivery date, driven by HEI not 77. Risk management of related detailed 63. Planned inclusion of course as options
1d learner numbers not being met reputational damage 4 5 4 20 employer. risks below. (1.5) 0 0 within other programmes. (0.4) 0 0 5 4 20
39
Universities South West Risk Log 31/10/11 page 7 of 20

Baseline action
Baseline action
Planned action
Planned action
Probability
Probability
Probability
variations
Proximity
Impact
Impact
40. Accurate scoping and planning

(budget, time, resources, critical paths,
interdependencies and quality) prior to Request funding input from
submitting and gaining approval for employer, if cost increase is caused
funding. (0.7) 0 0 by employer scope changes.
52.Project management system in place

to provide governance for approval and Reduce the scope of the new course
Lack of detailed financial cost authorisation of quality, budget, plans and to bring costs within approved
breakdowns in initial budget plans. stages. (0.1) 0 0 budget.
Changes to how the development is 54. Project management system in place

resourced, for example unplanned use to provide for escalation of budget and
of consultants. progress issues. (0.1) 0 0
Projected costs increase above the 56. Project management system in place
authorised budget and contingency leading Loss of financial investment made to to provide for accurate budget monitoring
to failure to complete the course point of closure and compromise of all and control, including the provision of a
1e development anticipated institutional benefits 4 2 5 10 Scope increases proposed. detailed budget with categories (0.2) 0 0 2 5 10
Marketing not included in development

project plans/scope. Revision of developed course
Transition plans into faculty not 6. Accurate and in depth feasibility study material to suit the requirements of
included in project plans. to identify the potential market (0.3) 0 0 a different/alternative marketplace.
47. Inclusion of sales and marketing Absorbsion of materials into

products and plan within the overall mainstream programmes as new
Very narrow/specialist course topic. scope of the development project. (0.2) 0 0 60. and modules or updated material
63. Benefits realisation plans for course

No SSC or professional body 77. Risk management of high level risk 7. material incorporated into project plans.
collaboration. (0.8) 0 0 (0.2) 0 0
Loss of potential to recover total

New training programme is not sustained investment (where internally funded) and 60. Strategy and plans agreed for 64. Befits realisation plans in place to
beyond first delivery leading to redundancy make a return on investment. Only one employer involved in transition of new course into main exploit employer relationship in favour of
1f of new course material Medium/long term benefits not realised 6 2 4 8 development of materials. stream/faculty marketing activities. (0.2) 0 0 other income streams(CRM) (0.2) 0 0 2 4 8
52. Project management system in place If project tolerances exceeded,

to provide governance for approval and accurate risk and issues
Project progress status outside planned authorisation of quality, budget, plans and management with full liaison and
tolerances and objectives stages (0.3) 0 0 reporting to funder
54. Project management system in place

to provide for escalation of budget and
progress issues. (0.3) 0 0

to provide for planning and stage control,
Steering group dissatisfaction with progress monitoring, quality control,
progress/status leading to early closure Development of course material issues management and risk
1g action or reduction in scope cancelled. No delivery 4 2 5 10 management. (0.4) 0 0 2 5 10
0
0
Strategic/Commercial
There is a risk that without clear direction

and explanation from the HEI and its
project partners and suppliers of their
strategic, aims and ambitions for the new
training course leading to the viability and Resulting in loss of financial investment,
reliability of the new course being reputational damage or financial claw
2 compromised back. 4 5 4 5
If partners fail to agree, the project

14. Meetings during start up to establish should not be initiated until a
and agree the definition and value (1) 0 0 solution is reached.
31. A clear communication plan executed

None or difficult steering group to inform all partners of actions and
meetings. agreements. (0.8) 0 0
66. Steering group roles and

responsibilities are documented and
agreed, together with terms of reference.
No clear business/project briefs. (0.3) 0 0
No documented communication plans. 50. All critical paths agreed. (0.6) 0 0
Failure to achieve a common understanding

across all partners about the definition and 47. Critical path included so that
value of the new development programme Potential loss of initial financial 71. HEI senior management fully briefed development work and spend does not
Project leading to the viability and reliability of the investment to date. Degradation of about the intended outcomes and begin until all partners have formally
Manageme new course being compromised, including customer/employer relationship leading expected long term benefits of the new agreed the intended course specification,
nt 2a validation/accreditation to reputational damage 2 4 4 16 No steering group terms of reference. course (0.5) 0 0 delivery and outcomes. (0.5) 0 0 4 4 16

Baseline action
Baseline action
Planned action
Planned action
Probability
Probability
Probability
variations
Proximity
Impact
Impact
Alternative funding sought from

Changes to government strategies and other public sources or from
policies relating to funding of employer led General election pending 57. Stage plans provide shorter work employers or from HEI partners.
curriculum development will lead to external Closure of course development and Spending reviews expected packages with useable deliverables that Delivered products used as smaller
funding being withdrawn or cut during delivery failure. Restructuring of government funding can be integrated into smaller delivered learning packages to increase
External 2b development period Secondary benefits not realised 4 1 5 5 agencies courses. (0.5) 0 0 benefits realisation 1 5 5
47. HEI executive manager included in the 57. Stage plans provide shorter work
Management meetings indicate major preparation of business case and HEI packages with useable deliverables that Alternative funding sought from
organisational change with other areas approval of start up. (0.3) can be integrated into smaller delivered other public sources or from
Change to HEI strategies and policies relating Cessation of work, loss of financial receiving cutbacks. 0 0 courses. (0.5) 0 0 employers or from HEI partners
to the funding and support of employer investment to date
engagement activities leading to internal Degradation of customer/employer 71. HEI senior management fully briefed
funding being withdrawn or reduced for relationship leading to reputational about the intended outcomes and
Organisatio development and/or course delivery damage. expected long term benefits of the new
nal 2c subsidies Secondary benefits not realised 4 1 5 5 course (0.2) 0 0 1 5 5
47. HEI executive manager included in the

preparation of business case and HEI 28. Agreement from executive managers
Critical paths compromised and time approval of start up. (0.7) to maintain resourcing levels end to end Consultants hired to prepare and/or
Change to HEI strategies and policies relating over-runs in excess of 50%, with potential 0 0 for the project (0.5) 0 0 deliver course
to the funding and support of employer for cessation of work if employer funding,
engagement activities leading to re- loss of financial investment to date. 71. HEI senior management fully briefed
allocation of academic resources and non- Degradation of customer/employer about the intended outcomes and
Organisatio availability of staff to write course materials relationship leading to reputational expected long term benefits of the new
nal 2d or manage project damage and no learners on delivery 4 2 5 10 course (0.3) 0 0 2 5 10
Alternative suppliers contracted.

Changes to the supplier management Loss of relevant expertise input leading Delays will be encountered in the
leading to contractors withdrawing from to inability to develop relevant aspects of Slow or no progress with work. 15. Due diligence on contractors prior to 16. Inclusion of financial penalty clauses development and costs may
External 2e development project course curriculum and closure. 4 1 5 5 Failure to attend meetings. contract issue (0.2) 0 0 (0.5) 0 0 increase. 1 5 5
Loss of relevant expertise input leading

to inability to develop relevant aspects of
course curriculum and closure. 57. Short work package delivery periods
Financial collapse of the supplier leading to No course delivery Slow or no progress with work. agreed to ensure products are handed
contractors withdrawing from development Financial loss of costs paid to date with no Failure to attend meetings. 15. Due diligence on contractors prior to over to HEI in batches rather than at the Source replacement supplier or use
External 2f project delivery of products 4 1 5 5 Sector intelligence. contract issue (0.2) 0 0 end of phase (0.5) 0 0 of internal resources 1 5 5
Additional resource purchased to

speed up remaining development
43. Clearly defined contract with supplier work. Financial implication of
that identifies detailed timelines, critical additional costs, also delays to
paths and monitoring and reporting planned in whilst sourcing and
Milestones being missed. requirements. (1.3) 0 0 contracting.
Suppliers fail to meet their contractual
commitments in terms of timescale for
delivery of products leading to failure of Delays to start date of course of more 55.Regular progress monitoring with risk
critical paths or project interdependencies than 15% with potential loss of employer and issue monitoring to identify problems 16. Inclusion of financial penalty clauses
External 2g impacting on other partners work funded learners. 4 3 4 12 before they cause delays (0.7) 0 0 (0.5) 0 0 3 4 12
1. Full business case and proposal

presented to employer, identifying
organisational need, expected programme Seek other employer engage in
outline, employer and HEI expectations - 2. More than one employer involved in development.
Inadequate business case. signed and agreed with both parties. (0.8) 0 0 curriculum development. (1) 0 0
Decisions regarding amount of

material that has been developed at
the point of risk arising and the
61. Inclusion of SSC representative in feasibility of continuing without
Significant time over run, with late course 3a or 3b. Employer funds or part funds curriculum development advisory group. employer input or absorbing
Employer does not allocate sufficiently high start date. Changing business priorities. development. (1) 0 0 (0.5) 0 0 material into mainstream.
business priority to the collaboration leading Degraded curriculum with potential
to low employer contribution to the employer dissatisfaction of end product 63. Plans in place to absorb material into
curriculum development and the course Potential degradation in relationship with Employer contacts become 7. Contract in place identifying employer other mainstream programmes as
Employer 2h cannot be developed to the required quality faculty/academics affected. 3 3 4 12 unresponsive to communications. input requirements (0.5) 0 0 options. (0.1) 0 0 3 4 12
1. Initial business case is worked up and Further engagement meetings with

then agreed at board level, with senior/executive level managers in
Difficulty gaining agreement to plans responsibilities for course development employer organisation to
from senior managers. support established prior to start up. (1.6) 0 0 retrospectively gain their support.
Total or partial closure of development National trends and demands in

project leading to financial loss of 61. Inclusion of SSC representative in industry sector explored with SSC to
investment made to point of early Senior managers unresponsive to 7. Contract in place identifying employer curriculum development advisory group. establish whether the course may be
Support for programme development at too closure, with no financial recovery from communications. input requirements (0.5) 0 0 (0.5) 0 0 supply led.
low a level in employer organisation leading delivery of course.
to difficulty gaining agreement or Poor delivery take up by learners. Employer representatives involved will 63. Plans in place to absorb material into
contribution to course curriculum Degradation in relationship with not make decisions during meetings, other mainstream programmes as Other employers engaged in
Employer 2i development faculty/academics. 3 3 5 15 needing to escalate. options. (0.1) 0 0 development. 3 5 15
0
0
Financial

Baseline action
Baseline action
Planned action
Planned action
Probability
Probability
Probability
variations
Proximity
Impact
Impact
There is a risk that without accurate and

clear costing and budgetary control the
working capital required to meet the plans Resulting in time delays, critical path
3 will not be available impacts and potential overspend 3 4 3 4
Contracts indicate quarterly in arrears

payment terms with additional claims 45. Negotiate and agree impress/up front Negotiate internal funding loans to
processing time of up to 2 months. payments from funder where possible.(1) 0 0 cover up front costs.
External funder claims process has Scheduling delays caused by cash flow
protracted payment regime leading to issues resulting in delayed course start Significant up front costs in budget 55. Plan deliverables work with 17. Agree payment in arrears with
External 3a shortage of working capital date 3 1 3 3 plans. contractors to back end load (0.3) 0 0 contractors/partners . (0.6) 0 0 1 3 3
Revise delivery costs following first

40. Establish clear and accurate costing delivery.
model for delivery of training, prior to Agree with internal senior
Delivery costing model inaccuracies leading proposing a price to employer/learners management first provision as a loss
Organisatio to failure to meet projected revenue targets None or very slow return of financial that covers all input and output costs leader based on longer term
nal 3b from delivery of the completed programme investment 5 2 4 8 associated with delivery (1) 0 0 benefits. 2 4 8
Budget monitoring and projections

against deliverables progress indicates 40. Clear policies and processes on 53. Allocation of formal contingency Reduction of scope of development
overspend likely costing of internal staff resourcing. (1) 0 0 budget with tolerances for use. (0.3) 0 0 work to return within budget
Development costing model is inaccurate 56. Stringent budget monitoring and Sseek additional funds from
Organisatio leading to failure to remain within original 18. Full quotes from suppliers/consultants control, to enable any under spend areas employer directly or through
nal 3c approved budget plan Overspend on budget 4 3 4 12 for use in costing development. (1) 0 0 to be viered to overspend areas. (0.2) 0 0 delivery pricing 3 4 12
0
0
Legal
There is a risk that without properly

consulted contracts, agreements and
understandings in place between the HEI
and its third party suppliers and partners it
will lead to misunderstandings, Issues go un-noticed, breakdown in
inconsistencies and an inability to quantify relationships occur and the new course
4 performance of those providers fails to meet its objectives and benefits 3 5 3 5
43. Clear process and procedures for

No contracting procedures. drawing up contracts with external Re- negotiate contract terms to
Missed contracting milestones during suppliers and SLAs with internal identify alternative conditions.
initiation. departments. (1) 0 0 (potential financial implications)
Poor initial planning of requirements and/or
lack of formal procedures for contracting or
SLAs leading to failure to achieve mutually 65. Include legal team(s) during
Project satisfactory contractual conditions with Schedule delays during start up, preparation of business case and steering
Manageme partners prior to commencing development Loss of partner from project and potential group to agree procedures and explore
nt 4a of materials project failure 1 3 5 15 Expressions of concern from partners. potential contractual requirements (1) 0 0 Seek other partners (time delay) 3 5 15
19. Potential IPR to be established and

Multiple providers of content and material IPR not apparent in start up plans. agreed during start up and included in Develop all material in house.
fail to agree IPR of developed course Schedule delays of more than 15% that Expressions of concern from partners. contracts during initiation. (0.8) 0 0 (additional costs and time)
Project material leading to failure to commence result in late course delivery start date;
Manageme development of materials or freezing of Degradation of relationship with 43. Process in place for issuing contracts
nt 4b developed course material partners/suppliers 3 2 4 8 Missed milestones for IPR. with suppliers (0.2) 0 0 2 4 8
11. Existing material to be evaluated for

Expressions of concern from academics potential IPR issues during initiation, or as
developing course. soon as the use of existing material
Providers of course content existing material IPR not included in start-up plans or in becomes apparent and a variation to Material developed as new, resulting
fail to share the IPR with the HEI leading to Schedule delays that result in late course feasibility studies. contract drawn up and agreed (0.8) 0 0 in additional costs and time.
failure to commence development of delivery start date;
materials or freezing of developed course Degradation of relationship with 43. Process in place for issuing contracts
External 4c material partners/suppliers 3 2 4 8 IPR omitted from contracts. with suppliers (0.2) 0 0 2 4 8
Professional body representatives not

included during feasibility stage.
Unexpected requirements for professional Misalignment with original demand and Representatives not included on
accreditations will be encountered leading potential employer/learner lack of steering group. 65. Engage with professional accreditation Develop course without
to an inability to gain planned approval for interest in new course. Missed milestones on accreditation body during feasibility/start up and accreditation. Further impact on
External 4d accreditations for developed material Adverse affect on benefits realisation 4 1 3 3 work stream. include on steering/advisory group (0.5) 0 0 long term benefits. Cost saving 1 3 3
Validation requirements not included in 44. Internal process in place for validating
overall plans. demand led courses. (0.5) 0 0
65. Include representatives from

Representative from validation team validation team during feasibility and start Develop course for delivery without
not included on steering group or up stages to ensure accurate detailed accreditation. Further impact on
communications plans. planning. (0.2) 0 0 long term benefits. Cost saving
Unexpected requirements for academic 55. Include validation meetings during

validation will be encountered leading to an Misalignment with original demand and early stages of initiation and development
inability to gain planned approval for potential employer/learner lack of Missed milestones during validation to ensure that course material and
External 4e accreditations for developed material interest in new course 4 2 3 6 work stream. assessment is suitable for validation. (0.1) 0 0 2 3 6

Baseline action
Baseline action
Planned action
Planned action
Probability
Probability
Probability
variations
Proximity
Impact
Impact
HEI processes and procedures to approve 42. Explore existing procedures during
suppliers as course providers are ineffective feasibility and start up to ensure accurate
Organisatio leading to delays or failure to approve Delayed start date of course, with time planning and costing at initiation. Delivery of course by in house
nal 4f suppliers to deliver course as planned potential for total delivery failure 4 2 5 10 Slippage against time lines (0.8) 0 0 teams. Additional costs/time 2 5 10
0
0
Organisational/Management Risks
There is a risk that the HEI processes and

management is insufficient to support the
resourcing necessary to develop and Time delays that will impact on critical
delivery the new course leading to an paths, delaying the course start dates;
inability to maintain development and/or and effecting employer and internal
5 delivery to the defined plans faculty relationships 3 5 3 5
28. Terms and processes agreed with Use of consultants (internal or

HEI policies and procedures for staff faculty senior management during start Cross ref 1d impact reduction external) - additional cost
remuneration. up (0.6) 0 0 0 0 implications
Corporate policies and processes do not Major time delays impacting on critical
enable buy out/backfilling of academic time paths leading to late course start date. 38. Clear policy for engaging academic
leading to academic resources for Potential employer dissatisfaction leading resources in development/delivery of
Organisatio programme design not being available as to low learner numbers demand led provision, including how
nal 5a planned Degradation in relationship with faculties 3 3 4 12 Missed milestones. bought out time will be backfilled. (1.4) 0 0 3 4 12
71. HEI senior management fully briefed

about the intended outcomes and Use of consultants (internal or
Major time delays impacting on critical Management meeting expected long term benefits of the new external) - additional cost
paths leading to late course start date. agendas/minutes. course. (0.5) 0 0 Cross ref 1d impact reduction 0 0 implications
HEI restructures leading to academic Potential employer dissatisfaction leading
Organisatio resources for programme design not being to low learner numbers 47. Business case approved at executive
nal 5b available as planned Degradation in relationship with faculties 0 2 4 8 level in the HEI (0.5) 0 0 2 4 8
Outline timescales and plans agreed 49. Full discussions with employers
with employer indicate major around viable and feasible timescales Use of consultants (internal or
Poor overall planning causing clashes with Major time delays impacting on critical development and/or delivery during within the academic year prior to final external) - additional cost
timetabling at busy periods of the academic paths leading to late course start date. end of year assessment period. agreement of timeline. (1) 0 0 Cross ref 1d impact reduction 0 0 implications
Project calendar leading to academic resources for Potential employer dissatisfaction leading
Manageme programme design not being available as to low learner numbers 26. Qualified project manager is
nt 5c planned Degradation in relationship with faculties 3 3 4 12 appointed. (1) 0 0 3 4 12
28. Ensure faculty senior managers are

involved during the feasibility stage of the
Reluctance of faculty to attend work and whilst proposals are being
meetings during ONA or training drawn up for the employer and/or funder.
specification. (0.3) 0 0 Cross ref 1d impact reduction 0 0
27. Academic champion engaged at start
up. (0.3) 0 0
25. Training content is aligned with HEI
faculty subject expertise. (0.2) 0 0
Lack of buy-in from faculty management 71. HEI senior management fully briefed
Project providing academic input or delivery leading Major time delays impacting on critical about the intended outcomes and Use of consultants (internal or
Manageme to academic resources for programme paths leading to late course start date expected long term benefits of the new external) - additional cost
nt 5d design are not available as planned with potential loss of institutional benefits 4 2 4 8 course (0.2) 0 0 implications 2 4 8
Difficulty converting ONA into training 39. Ensure full count of costings 20. Partnership with other institution who
specification to produce course associated with use of external subject has relevant expertise to co-develop and
outline/scheme. expertise during feasibility stage. (0.5) 0 0 deliver course. (0.5) 0 0
47. Full commitment to the development

The course material is a highly specialised Additional costs and time delays of material that is outside institutional
area with no HEI internal experts leading to associated with use of external remit is obtained in writing from HEI
Organisatio difficulties producing course material and/or consultants. senior management, during feasibility
nal 5e delivery of intended curriculum Inability to sustain delivery 3 2 3 6 stage. (0.5) 0 0 2 3 6
Potential early closure of project during

The subject specialist leaves the employing development and resultant loss of
organisation leading to the loss of subject investment to date and employer
Organisatio specialist input into development of course relationship. 20. Partnership with other institution who Backfill through employing a
nal 5f material Failure of delivery 0 2 5 10 Only one subject expert in HEI. has relevant expertise. (0.5) 0 0 consultant 2 5 10
No dedicated project manager is appointed

to control the development and delivery 26. Dedicated project manager assigned
Project work leading to lack of progress, Significant overspend. internally with bought out time, or
Manageme misunderstandings, inconsistencies and loss Overtime in excess of 15%. external consultant employed during start
nt 5g of quality of the new course development Failure of new course 3 3 5 15 up. (2) 0 0 3 5 15
0
0
Project delivery Risks

Baseline action
Baseline action
Planned action
Planned action
Probability
Probability
Probability
variations
Proximity
Impact
Impact
There is a risk that the curriculum and/or

delivery mechanism of the delivered training
course does not align with the original
employer needs and demand, leading to No take up of delivered course and/or
employer and/or learner dissatisfaction with degradation in employer relationship and
6 offered course loss of longer term benefits All 3 5 3 5
21. Defined job description, with Redefine ONA and detailed TNA as
competence requirements for business soon as disparity becomes apparent,
Difficulty converting ONA into a analysis, clearly specified for business gaining employer agreement and
detailed training specification. advisors. (0.4) 0 0 Cross ref 1d impact reduction 0 0 revising timelines.
Significant schedule delays and potential
overspend will be encountered due to 22. Training to specified level carried out.
revision and re-alignment during design Difficult steering group meetings. (0.7) 0 0
The business analysis knowledge/skills of the and development stages.
advisors engaging employers and carrying Employer may withdraw when Changes occurring to the planned
out ONA is too low leading to inaccurate misalignment becomes apparent leading content or delivery mechanism during
Organisatio training programme expectations/outlines to programme early closure and financial development. Scope creep during 32. Summarised ONA sent to employer for
nal 6a from the ONA cost loss 1 2 5 10 initiation. signed agreement. (0.1) 0 0 2 5 10
Work with a partner institution who

does have the capacity to respond,
Difficulty identifying and engaging 22. Training carried out with advisors in gaining employer agreement and
faculty for inclusion in project briefs for respect of HEI expertise, capacity and revising contracts. (financial
The knowledge levels of the advisors approval delivery capability. (0.3) 0 0 implications)
carrying out the ONA with employers is low
in respect of the HEI capacity to Time over-run. 37. All ONA summaries checked by
respond/deliver new courses leading to Degradation in relationship with employer institution faculty/management to
Organisatio Employer expectations being raised above when their demands are not responded confirm capacity, prior to returning to
nal 6b the capacity of the HEI to respond to by the HEI 1 1 4 4 employer for agreement (0.2) 0 0 1 4 4
Difficulty gaining support from senior Redefine ONA and detailed TNA as
managers in employer organisation. soon as disparity becomes apparent,
Inability to convert ONA into detailed 32. Set internal process and recording gaining employer agreement and
Significant schedule delays and potential training specification. proforma for conducting ONAs. (1.5) 0 0 Cross ref 1d impact reduction 0 0 revising timelines.
overspend will be encountered due to
revision and re-alignment during design
and development stages.
Poor recording of employer skills gaps, Employer may withdraw when 67. Product plans and descriptions that
expectations and ONA leading to unclear misalignment becomes apparent leading include all project documentation, are
training programme expectations from the to programme early closure and financial Difficulties encountered when created that identify quality and
Technical 6c ONA cost loss 1 3 5 15 commencing detailed TNA. expectations. (0.5) 0 0 3 5 15
33. Use of multiple employer managers

for meetings to conduct ONA, including Engage additional employer
Employer representatives engaged in ONA Only one employer representative line managers and senior/executive representatives to advise and
process are not providing an accurate inputting into ONA. managers. (0.5) 0 0 Cross ref 1d impact reduction 0 0 consult, starting again if appropriate
reflection of the organisation's competence
requirements - current and future leading to Failure to obtain employer sign off for
Incorrectly specified demand for training Time over-run. detailed course outlines and
(level, size, subject, number of learners and Development of a course for which there agreement to commence work. 22. Trained staff undertaking ONA. (0.4) 0 0
Employer 6d delivery mechanism) is no final demand. No delivery 2 2 5 10 Difficulty once TNA is started. 32. Clear system for ONA (0.1) 0 0 2 5 10
Redefine ONA and detailed TNA as

21. Clear guidelines regarding time soon as disparity becomes apparent,
Scope creep during initiation. necessary to conduct ONAs, negotiated gaining employer agreement and
and agreed with employer. (0.6) 0 0 Contingency if probability increasing revising timelines.
Project Insufficient time is allocated to ONA leading Loss of employer support for course Additional costs or time delays being
Manageme to inaccurate or unclear training programme Significant schedule increases. incorporated at detailed planning 67. Clear guidelines for staff regarding the
nt 6e expectations from the ONA Adverse affect on faculty "buy in" 2 2 5 10 stage. quality of ONA outputs. (0.4) 0 0 2 5 10
23. Staff leading TNA understand the Revise TNA, re-scope course and re-
requirements for an academic and plan development - time and cost
process to engage one. (0.2) 0 0 implications.
28. Academic faculty engaged at senior

level during feasibility stages to formally
Schedule delays and potential overspend agree resource availability (0.2) 0 0
will be encountered due to revision and
re-alignment during development stages 25. Course is in an area of HEI subject
Planned accreditation of learning may not Milestones being missed. expertise. (0.2) 0 0
Lack of relevant academic input into course be possible with an adverse affect on Employer lack of commitment to
specification process during detailed TNA learner and/or employer engagement agreeing contract for engagement 27. Academic champion engaged. (0.2) 0 0
will lead to an incomplete or wrong with delivery of training and less
translation of ONA to programme opportunity to integrate with other HEI 37. Signoff/authorisation of TNA by
Technical 6f specification, including level of learning programmes 3 2 5 10 employer prior to development. (0.2) 0 0 2 5 10
Learner views on level and delivery Learners encounter problems with

methodology are not taken into account learning or assessment of delivered
leading to the course specification, training leading to poor learner retention Learner representatives not included
particularly the size and level of learning and and potential loss of repeat business, on steering groups. 12. Include potential learners in advisory Rework course following pilot
the type of delivery or assessment High drop out rate in respect of Scope changes occurring during group during the detailed TNA. Built into delivery to better align with learner
Technical 6g mechanism being unacceptable to learners assessment and or learning. 3 3 4 12 development of material initial business case proposals. (2) 0 0 feedback. Cost implications 3 4 12

Baseline action
Baseline action
Planned action
Planned action
Probability
Probability
Probability
variations
Proximity
Impact
Impact
Employer agreement/approval not 67. Define the expected process for Revise TNA, re-scope course and re-
forthcoming for programme producing a programme specification plan development - time and cost
specification from an ONA. (0.5) 0 0 implications.
34. 35. 36. Clear process for negotiating

Employer satisfaction with final training is lack of commitment to placing learners with employers the level, size and type of
The process to produce the detailed training poor, so low or no learners on initial on training learning and assessment . (0.4) 0 0
specification is not managed leading to an delivery or on subsequent delivery,
Project incomplete or wrong full programme resulting in loss of financial recovery of 1. Obtain sign off and authorisation from
Manageme specification for course is , including size and investment and potential degradation of employer prior to starting development.
nt 6h level of learning and delivery mechanism relationship with employer(s) 3 2 5 10 (0.2) 0 0 2 5 10
Scope creep during development. 34. 35.36. Clear process defined for Re-commence TNA,re-scope the
The detailed TNA stage is omitted or is too Difficult steering or advisory group detailed TNA to ensure competence aims, new course development and re-pal
short leading to an incomplete or wrong Employer satisfaction with final training is meetings with employers reluctant to objectives, level, prior learning levels and the stages - time and cost
programme specification, including level of poor, so low or no learners on initial sign off development stages. delivery methodology identified.(0.4) 0 0 implications
learning, delivery mechanism, requirement delivery or on subsequent delivery,
Project for accreditation and there will be an resulting in loss of financial recovery of 37. Obtain sign off and authorisation from
Manageme eventual misalignment of original demand investment and potential degradation of employer prior to starting development.
nt 6i to developed course relationship with employer(s) 3 2 5 10 (0.2) 0 0 2 5 10
High level meetings with employer

management to identify issues and
agree forwards planning and
Difficulty in arranging advisory group 7 Roles and responsibilities and outline 2.More than one employer to contribute communications plans.
meetings. meetings plan included in business case to curriculum design. (0.6) Revise timelines and seek employer
for employer agreement. (0.5) 0 0 0 0 approval for revisions.
68. Strategy and plans are in place to

engage the interest of other similar
employers with the course development
1. Support from key people in employer once the outline course specification has
Employer representatives do not attend organisations gained in writing during been agreed with commissioning
Key people in employer organisations are advisory or steering group meetings. feasibility and start up. (0.5) 0 0 employer(s) (0.2) 0 0
not committed to providing time leading to Significant schedule delays leading to late
Employer input into design and content not delivery 3. Employer funding or part funding 61. Include SSC representatives in
Employer 6j being maintained to plan Low learner numbers 0 3 4 12 development. (1) 0 0 advisory groups.(0.3) 0 0 3 4 12
30. Define clear HEI process for involving

employer with design of curriculum.
Meeting schedule planned and agreed
during start up. (0.5) 0 0
Steering/advisory group meetings 26. Dedicated project manager in place High level meetings with employer
The HEI panning and management for missing milestones. from start up. (0.4) 0 0 management to discuss issues and
employer involvement in an advisory agree forwards planning and
Project capacity t is poor leading to Employer input Significant schedule delays leading to late communications plans.
Manageme into design and content not being delivery Difficulty gaining employer agreement 31. Documented communications plan. Revise timelines and seek employer
nt 6k maintained to plan Low learner numbers 0 2 4 8 to commit learners to course delivery. (0.2) 0 0 approval for revisions. 2 4 8
Agree new resourcing requirements

Employer representatives not attending 26. Dedicated project manager in place with HEI senior management, in
advisory/steering group meetings. from start up. (1) 0 0 writing.
Revise and replan timelines for

HEI Resources allocated to control employer Steering group/advisory group 29. Key HEI staff involved with TNA/course stage.
Project involvement in steering groups is insufficient Significant schedule delays leading to late meetings not accruing to plan. specification included in plans and Liaise with employer over difficulties
Manageme leading to Employer input into design and delivery No communication plans executed. agreement obtained through SLAs with and obtain agreement to revisions to
nt 6l content not being maintained to plan Potential for low learner numbers 0 3 4 10 Slippage against plans. internal departments. (1) 0 0 schedule. 3 4 12
Where restructuring looks likely, the

impact on the programme
development and potential learner
numbers is discussed and
2. Engage with more than one employer documented with key contacts being
for input into curriculum.(0.5) 0 0 identified by role.
Seek to engage other employers to

5. Employer's short and medium term replace lost or low employer
business plans explored and understood. 7. Employer contracts identify contribution. Revise timescales and
Low learner numbers on course delivery Profit and turnover discussed with contingency staffing of advisory groups schedules accordingly, re-plan
Key employer contacts leave organisation or Degradation in relationship with employer. (0.4) 0 0 (0.5) 0 0 stages and seek approval.
role within the project lifecycle due to employer, affecting future business and
restructuring or mobility leading to loss of or repeat business. 6. Sector priorities explored and
low employer contribution to development Misalignment of content of programme understood to identify any potential
of curriculum and/or commitment to final with employer needs potentially resulting Difficulty contacting key personnel or stability issues prior to authorising 33. Include more than one employer
Employer 6m staff training in employer withdrawal 0 2 5 10 non-attendance at meetings project. (0.2) 0 0 representative in the advisory group.(0.5) 0 0 2 5 10
29. SLA established with provider

departments identifying resource and
requirements and plans. (0.2) 0 0 Purchase of new software platforms
67. Clearly planned and defined quality

criteria for the software products to be
developed. (0.5) 0 0
Software platforms are not suitable for

Baseline action
Baseline action
Planned action
Planned action
Probability
Probability
Probability
variations
Proximity
Impact
Impact
b) Meetings with IT/IS to confirm
availability of required software.

Software platforms are not suitable for to provide for planning and stage control,
intended e learning material leading to progress monitoring, quality control,
inability to deliver content in the planned Failure to be able to delivery intended Delays to stage plans for software issues management and risk 57. Develop and deliver software
Technical 6n manner course 4 2 5 10 development work streams. management. (0.3) 0 0 incrementally with signoffs (1) 0 0 2 5 10

criteria for the hardware required for
delivery of e learning with specialists and
employers.
b) confirmation of availability of hardware
(0.5) 0 0 Purchase of additional facilities
39 & 40. Full cost planning for any

additional equipment necessary for
delivery. (0.2) 0 0

Hardware capacity is not sufficient to to provide for planning and stage control,
support intended e learning leading to the progress monitoring, quality control,
infrastructure required for delivery of Failure to be able to delivery intended issues management and risk
Technical 6o training not being available course 4 2 5 10 management. (0.3) 0 0 2 5 10

criteria for the products to be
developed/delivered by contracted 57. Develop and delivery software Re-work of sub-standard products.
suppliers. (0.5) incrementally. (0.4) Liaison with employer regarding
0 0 0 0 delays.
When more than one software
writer/contractor is used the developed E Course start date will be delayed.
Learning software is incompatible leading to Budget overspend. 55. Meetings with suppliers to check Outsource the development of all
miss match between collaborating Development of course curriculum Difficulties integrating staged products quality criteria of products being elearning to specialist suppliers rather
Technical 6p institutions or providers becomes un-viable 4 2 4 8 with other materials/products developed (0.5) 0 0 than develop in house. (transfer risk) 2 4 8
Liaise with employer to deliver initial

29. SLA established with validation pilots of training without
Missed milestones relating to the department with expectations and accreditation, with retrospective
validation of course material timelines. (0.3) 0 0 assessment at a later date.
44. Clear policies and practices relating to

the interpretation of QAA standards. (0.2) 0 0
Staff involved in validating bite-sized courses

may be unaware of the learner-centric 76. Validation staff trained and briefed
approach leading to delays in the validation Minor schedule delays to delivery. about the context of WBL/learner centric
process or additional unnecessary re- Validation/accreditation of course not bite sized provision and the use of any
External 6q working of assessment material achieved 4 2 3 6 "shell frameworks" (0.5) 0 0 2 3 6
0
0
Training delivery risks
There is a risk that without effective

marketing, curriculum planning and clear
transition plans the new course will not be
attractive to a wider audience than the Low learner numbers initially and on an
commissioning employer or the HEI ongoing basis, failure to achieve a return
faculties will not be able to support ongoing on investment and failure to realise
7 delivery institutional benefits 5 5 5 5
47. Marketing department engaged in Marketing plans and material

the overall development project plans to produced at a later stage as an
produce marketing strategy and products. additional function - additional costs
(0.6) 0 0 associated
No inclusion of HEI/faculty marketing

department in development steering 51. Critical path planning includes sales
groups. and marketing. (0.4) 0 0
72. HEI wide business

advisors/engagement staff briefed on the
new course, costs and benefits so that
Marketing not planned into they can include it in their portfolio of
development stage of project. products offered to employers. (0.5) 0 0
61. and 62. 73. Trade associations and

Low learner numbers on first delivery - sector skills councils informed of new
Ineffective marketing of new training failure to recover delivery costs. No connection made with sector trade course during development stage so that (Transfer Risk) External marketing
programme to a wider audience will lead to Low or no repeat business of delivery - no associations. it can be briefed to their members. (0.5) 0 0 consultancy used.
a failure to engage additional employers income generation
Organisatio (and learners) for the delivery of new Intermediate and/or end benefits 46. CRM system in place and operational (Transfer risk) Partner institutions share
nal 7a training programme realisation reduced 4 3 4 12 No incoming enquiries about course. (0.4) 0 0 marketing responsibility. 3 4 12
58. If new course is being developed for

an SME then sustainability should be
SME explored during feasibility stage. (0.1) 0 0
Baseline action
Baseline action
Planned action
Planned action
Probability
Probability
Probability
variations
Proximity
Impact
Impact
59. Marketing plans put in place to

attract additional employer interest to
Curriculum content is unsustainable with place learners prior to delivery. (0.3) 0 0
commissioning employer because there are
insufficient employees in the organisation
Project requiring the higher skills leading to failure No further opportunity for maintaining 64. Explore opportunities to engage
Manageme to repeat delivery of new training and exploiting relationship with employer employer in other educational activities 41. Delivery priced to account for lack of
nt 7b programme after course has been delivered 5 3 3 9 during development of course. (0.4) 0 0 sustainability. (0.7) 0 0 3 3 9
Staff changes within employer 64. Explore opportunities to engage

organisation when only single point of 5. Due diligence to confirm likely high employer in other educational activities
contact. growth or acquisition plans. (0.3) 0 0 during development of course (0.2) 0 0
Curriculum content is unsustainable with

commissioning employer because their 64. Commitment to interest in training
business priorities have changed leading to should be explored with other
failure to repeat delivery of new training No further opportunity for maintaining departments within the employer
Employer 7c programme with that employer and exploiting relationship with employer 5 2 3 6 organisation and relationships built. (0.2) 0 0 46. Use of effective CRM. (0.2) 0 0 2 3 6
No return on investment
Curriculum content is unsustainable with No benefits relating to integration with
other employers because the curriculum is main stream programmes and academic 69. Flexibility mechanisms for content and
too narrow/specific leading to failure to expertise Single employer specific content. delivery built into course development to 41. Delivery priced to reflect the lack of Curriculum broadened and made
repeat delivery of new training programme No benefits associated with Industry requirements/legislation enable rapid and cost effective opportunity for extended business- to more generic to increase the
Technical 7d to other employers and learners employer/sector exploitation 5 3 3 9 changing rapidly. augmentation for other employers. (0.4) 0 0 enable an immediate ROI. (0.6) 0 0 attractiveness to other employers 3 3 9
No return on investment
Ineffective or no transition plans into HEI No benefits relating to integration with 46. Include a sub-project to provide CRM
faculties will lead to failure to sustain main stream programmes and academic transition planning to relevant faculties or
delivery capability of new programme due to expertise 60. Transition planning included in overall central marketing. Additional cost) with
Organisatio lack of ownership of the new course or No benefits associated with development project plan, with SLAs critical path output to start of delivery
nal 7e confusion about where the course sits employer/sector exploitation 6 2 5 10 agreed with HEI faculties (1) 0 0 stage (2) 0 0 2 5 10
58. Engagement of other employers in Deliver as a loss leader to test course

Single employer specific content. 9. Contractual agreement with employer delivery pilot during development stage. and encourage further market
at outset. (1.2) 0 0 (1) 0 0 participation
Failure to deliver first cohort
Without contracts for learners being in place No benefits associated with 30. Employer engagement in course
the Commissioning employer(s) withdraws employer/sector exploitation including Lack of employer support during development maintained throughout.
Employer 7f projected learners prior to delivery ROI 5 3 5 15 development of programme. (0.8) 0 0 3 5 15
When no professional body or SSC is 46. Increase timely institutional marketing

involved with the development/marketing it No incoming enquiries about the 62. Work with trade associations to to the sector via trade associations and
Organisatio will lead to a reduction in sector awareness Difficult to sustain delivery to sector course. promote the new course. (2) 0 0 own CMS (additional cost) (1) 0 0
nal 7g and perception of the course Low numbers on first delivery 4 5 4 20 59. Clear sales plans. (1) 0 0 5 4 20
13. Linked to employer CPD training
requirements. (0.5) 0 0
Low interest from employers for 40. Single pricing structure in place that
When learners are not involved in the assessment of learning. includes assessment. (0.5) 0 0
Project specification of the new course it will lead to High drop out rate of learners completing
Manageme a lack of perceived benefit in assessment of the assessment of accredited programme Low interest from learners for 74. Promote the benefits of assessment.
nt 7h learning and loss of potential for progression. 3 2 3 6 assessment of learning. (0.4) 0 0 2 3 6
13. Course linked to employer CPD
scheme. (0.5) 0 0
Low interest from employer networks 63. Provided as options for full
when attempting to promote course programme. (0.2) 0 0
When there is no professional body High drop out rate of learners completing
accreditation it will lead to lack of the assessment of accredited programme 74. Benefits of assessment and linkage to
Organisatio perception of the benefits of assessment for 2. Difficult to promote course within the Low interest from learners for credit accumulation promoted to all
nal 7i accreditation professional target group 3 3 3 9 assessment of learning. learners. (0.4) 0 0 3 3 9
13. Course linked to employer CPD
scheme. (0.5) 0 0
Assignments not handed in. 4.Employer funding delivery. (0.4) 0 0
A lack of line managers support within the
employer organisations will lead to learners
not getting the time support necessary to High drop out rate of learners completing Learner feedback during course 75. Briefings to line managers by
complete assignments necessary to assess the assessment of accredited programme indicates issues with time allowed by employer senior managers to gain their
Employer 7j learning and loss of potential for progression. 5 3 3 9 line managers. buy-in to time support of learners. (0.4) 0 0 3 3 9
The course venue/location is unattractive to

learners leading to difficulty gaining
Organisatio registrations onto commercially available Low learner numbers and poor return on 70. Intended course venue has good
nal 7k course or low attendance investment 5 2 3 6 low rate of sign up for course access and sufficient parking (1) 0 0 2 3 6
0
0
Risk count 60
Table of Guidance
Risk Source Categorise the risk to allow assignment and clarify mitigation. Select fromdrop down list. Areas to consider include: Employer, External, Organisational, Project Management, Technical
Risk No. Unique identification number for the Risk - Format R-nl
Description of Risk (If) Describe each Risk clearly and succinctly,
Description of Impact
(then)
Describe how the risk manifests itself
Proximity At what point in the lifecycle the risk is likely to materialise. 0 - At any time throughout the full lifecycle, 1 - Feasibility, 2 - Start up, 3- Initiation, 4 - Development of training course, 5 - Course delivery, 6 - Closure. Please refer to the risk management quick reference guide for detailed definition and explanation of these ratings.
Inherent Probability
(P)
6 - Very High, 5 - High 4 - Medium 3 - Low, 2 - Very Low 1 - Conceivable. Please refer to the risk management quick reference guide for detailed definition and explanation of these ratings..

Baseline action
Baseline action
Planned action
Planned action
Probability
Probability
Probability
variations
Proximity
Impact
Impact
Inherent Impact (I) 5 - Severe, 4 - Major, 3 - Moderate, 2 - Minor, 1 - Low. Please refer to the risk management quick reference guide for detailed definition and explanation of these ratings..
Inherent Risk Rating
(IxP)
Rating score is calculated automatically by impact times probability. Risk rating category Red - High, Amber - Medium, Low - Green is calculated from the formulae and shown automatically.
Indicators Describe the indicators that give early warning that a risk is changing/materialising.
Reduction Action -
Probability
Enter the mitigating action proposed to reduce the probability of the risk materialising
Reduction Action-
Impact Enter the mitigating action proposed to reduce the impact of the risk should it materialise
Contingency Action Suggested action to consider should the risk materialise and be transferred to the issues log.
Residual probability The probability score once risk reductionaction has been taken (scored as for inherent probability)
Residual Impact The impact score once risk reduction action has been taken (scored as for inherent impact)
Residual Risk Rating The residual risk rating once risk reduction action has been taken. (calculatedasfor inherent risk rating)
Open / Closed Enter open or closed to indicate the status of the Risk. Only select closed when all likelihood of the risk materialising has passed. It will clear the residual risk rating for that risk.
Probability variation Used when monitoring risks. Enter the amount by which the probability rating has risen. If the risk probability was 2 and it seems to becoming more likely, then using the probability table in the User Guide, assign a new rating and enter the difference between the two in this column. TheColumn F and Column Q will alter accordingly.
Comments Free format comment field for the log Owner to use

Risk Control and Mitigation Action Checklists 12/30/1899 12/30/1899
Action Risk Control and Mitigation Action Linked to reduction Linked to Baseline Planned Target date Action Owner
no. of probability risk reduction of starting point actions to for
number impact risk reduce risk completion
number of action
Employer
1 Clear and detailed business case and proposal for new training 1a, 1b, 2h, 2i, 6h, 6j
course, presented to employer, with summary of ONA and outline
training course specification - agreed with employer at senior
management level
2 More than one employer commissioning new course 2h, 6j, 6m, 7f
3a Employer funding all of the development of course 1c, 2h, 6j
3b Employer part funding development of course (if yes to 3a select yes 1c, 2h, 6j
to 3b too)
4 Employer funding delivery of course 7j
5 Effective due diligence on employer status/situation to identify 1a, 1b, 6m, 7c
-low likelihood of restructuring, changing business priorities or
business failure,
- high growth, profit
6 Sector trends fully explored and consistent predicted demand for 1a, 1b, 1f, 6m
course is identified across multiple employers
7 Contract with employer defining their expected input into course 1a, 1b, 2i, 6j 6m
development via curriculum advisory groups with schedule and
identified staff
8 Contract with employer defining their expected input into steering 1a, 1b, 2h,
groups, with schedule and nominated staff
9 Contract with employer defining expected learner numbers on first 1c, 7f
delivery and subsequent delivery
10 Financial penalty clause included in employer contract in the event 1a,1b,
of their withdrawal from contract
11 IPR issues relating to use of in house materials and final training 4c
materials fully explored and agreed with employer
12 Learners are consulted during detailed TNA and course specification 6g
13 New course is linked to employers internal CPD and/or pay and 7h, 7i, 7j
reward scheme
Suppliers/partners
14 Outputs and outcomes of the new training course agreed with all 2a
partners and suppliers
15 Due diligence on contractors/suppliers during contracting to 2e, 2f
establish reliability
16 Financial penalty clauses agreed in contracts with suppliers in the 2e, 2g
event of their withdrawal
17 Payment in arrears agreed with contractors 3a
18 Full quotations for work packages/products obtained from suppliers 3c, 5e, 6n
prior to final project costing
19 IPR implications fully explored and agreed for training material 4b
20 Partnership identified with other institutions who have relevant 5e, 5f

subject expertise
number of action
Resources
21 Staff undertaking ONA and TNA work with employers have a defined 6a, 6f
job description and understand the extent of their authority and role
22 Staff acting as advisors to employers during initial engagement and 6a, 6b, 6d
ONA are trained in business analysis for training requirements and in
the capacity and capability of the HEI
23 Trained staff undertake the detailed TNA 6f

24 Academic involved with converting TNA to outline course
specification
25 Programme content is aligned with HEI subject expertise and 5d, 6f
priorities
26 Staff identified, available and authorised to act as dedicated project 5c, 5g, 6k
manager throughout the full lifecycle. Appointed during start up.
27 Academic champion is engaged 5d, 6f

28 Faculty engaged at senior level during feasibility and start up stages 5a, 5d, 6f 2d
to formally agree resource availability
29 SLAs established with faculties/departments identifying resource 6l, 6n, 6q
and time commitments and plans, together with expected product
descriptions and outputs
Processes and procedures

30 Clear process and plan for establishing how an employer will be 6k, 7f
engaged in and contribute to the development, with timelines and
meeting schedules
31 Clear process and defined plan for communicating with the 6k, 6k, 7f 1d, 5a, 5b, 5c, 5d,
employer(s) identifying key contacts, their roles and responsibilities 6a, 6c, 6d
and how they require communication, and their level of
involvement/influence with the project.
32 Clear system for initial ONA with an employer, including standard 6a, 6c, 6d
recording documentation, process for conduct and quality, and
process for summarising and returning to employer for agreement
of content and further work
33 ONA and TNA process involves multiple employer representatives to 6d 6m

ensure accurate reflection of requirements
34 Clear process for negotiating and recording level of learning 6f, 6h, 6i
35 Clear process for negotiating and recording size of learning 6f, 6h, 6i
36 Clear process for negotiating and recording type of assessment 6f, 6h, 6i
37 Process in place to check and internally approve ONA/TNA 6b, 6f, 6i

summaries prior to returning to employer for agreement
38 Clear policy for engaging academic resources in 5a
development/delivery of demand led provision, including how
bought out time will be backfilled
39 Clear and robust costing model for development, including process 1e, 5e, 6n, 6o
to cost internal resources, external consultants, contracted products
and any software development
40 Clear and robust costing model for delivery, including process to cost 1e, 3b, 3c, 6o, 7h
internal resources, external consultants, hardware and materials,and
policy for single price to include assessment
41 Delivery pricing model accounts for lack of sustainability when only 7b, 7d
one employer is commissioning a course and subject area is too
narrow to appeal to others, such that ROI is achieved
42 Clear process for approving other providers to deliver courses 4f
43 Clear process and procedures for drawing up legal contracts with 2g, 4a, 4b, 4c, 6n
employers, suppliers and partners and SLAs with internal
departments
44 Process in place to enable validation of intended course 4e, 6q

45 Up front payments system agreed with funder 3a
46 Effective CRM system in place for benefits realisation 7a, 7c, 7e, 7g
number of action
Planning and Project Management

47 Fully costed and scoped business case produced at start up, with a 1f, 2c, 2d, 5b, 5e, 7a 2a
feasibility study; and is approved by employer, funder and provider
organisations including all faculties and departments involved in
development and delivery
48 Timeline with critical paths is available and agreed with employer 1d

during start up, and reviewed regularly
49 Critical path planning takes account of academic annual timetable 5c
resource constrains
50 Critical paths identify product delivery and are agreed with 2a, 2g
partners/suppliers
51 Critical paths take account of sales and marketing 7a
52 Project management system in place to provide governance for 1d, 1e, 1g
approval and authorisation of quality, budget, plans and stages
53 Allocation of budget contingencies is established together with 3c

authority/accountability for use.
54 Project management system in place to provide for escalation of 1e, 1g
budget and progress issues
55 Project management system in place to provide for planning and 1d, 1g, 2g,6n, 6o, 1d, 5a, 5b, 5c, 5d,
stage control, progress monitoring, quality control, issues 6p 6a, 6c,6d
management and risk management.
56 Project management system in place to provide for accurate budget 1e 3c

monitoring and control, including the provision of a detailed budget
with categories
57 Stage plans identify small complete work packages from suppliers 2b, 2c, 2f, 6n, 6p
and faculties to sub-divide development work into re-useable
product parcels
58 Clear marketing plans to engage other employers with placing 1f 1c, 7b, 7f
learners on new course
59 Clear marketing plans to engage learners on immediate and 7a 7b, 7g
subsequent course delivery
60 Strategy and plans agreed for transition of new course into main 1f, 7a, 7e 1f,
stream/ faculty marketing activities
61 Sector Skills Council(s) involvement in steering group and/or 7a 1a, 1b, 1c, 2h, 2i,6j
advisory groups included in plans
62 Trade associations and/or employer networks involvement with 7a,7g 6j
project are included in plans
63 Benefits realisation plans in place to integrate new materials into 7i 1a, 1b, 1c, 1d, 1f,
main stream programmes 2h, 2i, 5a, 5b, 5c,
5d, 6a, 6c
64 Benefits realisation plans in place to exploit employer relationship in 7b 1f, 7c

favour of other income streams (CRM)
65 Steering group established to include: 1b,4a, 4d, 4e, 6j
- Funder representatives
- Employer representative(s)
- Faculty representatives
- SSC representatives (where included in plans)
- Professionalbody representatives (where appropriate)
- Validation team representative
- Legal team representative
- Institutional partners
66 Steering group roles and responsibilities of group members 2a, 4d, 4e, 6j
documented and agreed, together with a schedule of meetings
67 Product plans and descriptions are created for products to be 6c, 6h, 6n, 6o, 6p
developed and for documentation to be used for training
specification to identify product specification, quality expectation
and integration (with other products) for all the outputs
68 Strategy and plans are in place to engage the interest of other 1a,1b, 6j
similar employers with the course development once the outline
course specification has been agreed with commissioning
employer(s)
69 Course design enables flexible mechanisms for content and delivery 7d 1c

that will enable rapid and cost effective augmentation to suit other
employers
70 Intended course venue has good access and sufficient parking 7k

number of action
Briefings
71 HEI senior management fully briefed about the intended outcomes 2a, 2c, 2d, 5b, 5d
and expected long term benefits of the new course.
72 HEI business advisors/engagement staff briefed on the new course, 7a

costs and benefits so that they can include it in their portfolio of
products offered to employers.
73 Trade associations and sector skills councils informed of new course 7a

during development stage so that it can be briefed to their members
74 Benefits of assessment of learning and linkage to credit 7h, 7i

accumulation promoted to all learners
75 Employer line managers fully briefed by employer senior 7j
managers/HEI about the requirements and benefits of the course,
including any support requirements to enable assessment of
learning
76 Validation staff trained and briefed about the context of 6q

WBL/learner centric bite sized provision and the use of any "shell
frameworks"
77 Risk management of High level risks 1 - 7 in place 1d

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Risk Management Toolkit - Higher Level Skills, Course Development Projects High Level Risks Template

Residual risk - risk management

Residual Residual Residual risk

There is a risk that without properly consulted contracts, agreements and

High Level Risks

Universities South West 370730141.xlsx 31/10/11 1 of 20

Inherent risks Inherent risks

2. Strategic/Commercial Risks 2. Strategic/Commercial Risks

Inherent risks 3 Inherent risks

Universities South West Risk Bubble Maps 31/10/11 page 3 of 20

Universities South West Risk Bubble Maps 31/10/11 page 4 of 20

6. Project delivery 6. Project delivery

Universities South West Risk Bubble Maps 31/10/11 page 5 of 20

7. Training delivery 7. Training delivery

Universities South West Risk Bubble Maps 31/10/11 page 6 of 20

There is a risk that if the status of the

7. Contractual agreement put in place

5. Employer status identified as high

1. Water tight business case made with

7. Contractual agreement put in place

65. Full involvement of employers in

5. Employer status identified as high 63. Use of material developed to point of

55. Regular monitoring of resourcing and

Universities South West Risk Log 31/10/11 page 7 of 20

40. Accurate scoping and planning

52.Project management system in place

Changes to how the development is 54. Project management system in place

Marketing not included in development

47. Inclusion of sales and marketing Absorbsion of materials into

63. Benefits realisation plans for course

Loss of potential to recover total

52. Project management system in place If project tolerances exceeded,

54. Project management system in place

55. Project management system in place

There is a risk that without clear direction

If partners fail to agree, the project

31. A clear communication plan executed

66. Steering group roles and

No documented communication plans. 50. All critical paths agreed. (0.6) 0 0

Failure to achieve a common understanding

Universities South West Risk Log 31/10/11 page 8 of 20

Alternative funding sought from

47. HEI executive manager included in the

Alternative suppliers contracted.

Loss of relevant expertise input leading

Additional resource purchased to

1. Full business case and proposal

Decisions regarding amount of

1. Initial business case is worked up and Further engagement meetings with

Total or partial closure of development National trends and demands in

Universities South West Risk Log 31/10/11 page 9 of 20

There is a risk that without accurate and

Contracts indicate quarterly in arrears

Revise delivery costs following first

Budget monitoring and projections

There is a risk that without properly

43. Clear process and procedures for

19. Potential IPR to be established and

11. Existing material to be evaluated for

Professional body representatives not

65. Include representatives from

Unexpected requirements for academic 55. Include validation meetings during

Universities South West Risk Log 31/10/11 page 10 of 20

There is a risk that the HEI processes and