We recently worked with a audit firm to develop a risk assessment report for their client. The mandate which we got was clear, we had to make a presentation which was highly visual and would make the risk areas come alive while simultaneously ensuring that the document was crisp. The client loved the end product (which we delivered in approximately 21 hours).

1. Risk Management
Report

2. Table of contents
Business contextI
Executive summaryII
Departmental wise risk analysisII

3. Business Context

4. Our understanding of your business context and scope
of work
• Insert your understanding of the business context and the scope of
work

5. Executive Summary

6. Risk areas across the major functions have been identified
as a part of this assignment
Compliance
Human
Resources
Maintenance
Marketing &
Strategy
Operations Accounts
• 7 areas of HIGH RISK and 6 areas of
MEDIUM RISK have been identified across
the organization
• Majority of the risk resides in the Operations
and Accounts function

7. Furthermore, risks have been categorized across 6 major
categories
OperationalFinancial
Liquidity
ReputationalCompliance
Strategic

8. Recommended risk mitigation measures have led to an
overall reduction in the risk score of the organization
Inaccurate
Billing
Revenue
Leakage
Business
Forecasting
Inaccurate
Estimations
Negative
Cashflow
Contractual Theft &
Pilferage
People
Dependence
Fire Repeat
Customers
Equipment
Breakdown
Attrition Statutory
Compliance
Pre Mitigation Post Mitigation
Data has been intentionally
hidden to protect the privacy
of the original report

9. Departmental wise risk
analysis

10. Issue of inaccurate billing can be controlled through the
implementation of a “maker-checker” system
External +
Controllable
External +
Uncontrollable
Internal +
Controllable
Internal +
Uncontrollable
Risk Classification
Risk
Category
Issues of
inaccurate billing
HIGH RISK AREA
Risk Response
Implementation of a
maker-checker system
i.e. the person who
verifies the accuracy of
the bill will be different
from the maker of the
bill
Controls Key Risk Owner Monitoring Response Analysis
Periodic internal audit
should be undertaken by
an independent third
party to verify accuracy
of the billing and
collection process Accounts Head
• Monthly revenue
reports
• Customer complaints
on errors in the bill

11. Issue of revenue leakage can addressed through a zero
tolerance policy
External +
Controllable
External +
Uncontrollable
Internal +
Controllable
Internal +
Uncontrollable
Risk Classification
Risk
Category
Issues of revenue
leakage
HIGH RISK AREA
Risk Response
A zero tolerance policy
should be applied
towards any identified
forms of revenue leakage
Controls Key Risk Owner Monitoring Response Analysis
Revenues should be
generated automatically
through your internal
billing systems
Collection Officer
• Overdue reports
• NC Authorization
Reports
• Ageing Analysis

12. Issue of incorrect estimates and provisions can be controlled
through effective interdepartmental coordination
External +
Controllable
External +
Uncontrollable
Internal +
Controllable
Internal +
Uncontrollable
Risk Classification
Risk
Category
Use if incorrect
estimates and
provisions
MEDIUM RISK
AREA
Risk Response
Top management should
encourage and drive
constant inter-
departmental
coordination
Controls Key Risk Owner Monitoring Response Analysis
Build active provisioning
policies and follow
industry standards in
relation to estimation
and provisioning
Accounts Finance
• Provisioning List
• Wastage Control
Report

14. We would love to
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and DELIVER
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