Legal/Risk
Management Core
Risk Assessment
Tools
A course for
Maricopa Community Colleges
Supervisors
Developed and
presented in a
collaborative effort of:
Employee &
Organizational Learning
and
Risk Management

Original Materials Copyrighted Produced 2006, Revised 2010
Maricopa County Community College District (MCCCD)
All Rights Reserved
Permission to reproduce, in part or whole, must be obtained from
Employee & Organizational Learning, 480-731-8763
Participant Guide
Risk Assessment Tools
Table of Contents
What is this module about? ..............................................................................................2
BASIC UNDERSTANDING OF RISK MANAGEMENT ....................................................3
Risk Defined .................................................................................................................4
Enterprise Risk Management: Categories of Risks ......................................................4
Maricopa Integrated Risk Assessment.............................................................................5
All Employees are Responsible for Assessing Risk .....................................................5
Acknowledgements, Disclosures, and Mandatory Training ..........................................5
Risk Management Tools ..................................................................................................6
Wallet/Desk Risk Assessment Reference Tool ............................................................6
How to use the wallet tool .........................................................................................7
Strategic Maricopa Assessment Risk Tool ...................................................................8
Risk Map ......................................................................................................................9
Introduction to e-SMART Tool .................................................................................... 10
RISK ASSESSMENT PROCESS - EXERCISES ........................................................... 11
Exercise 1 Mummified Cats .................................................................................... 12
Exercise 2 Laser Tag .............................................................................................. 13
Exercise 3 A Tasty Treat......................................................................................... 14
Exercise 4 Smoking on Campus ............................................................................. 15
RISK ASSESSMENT RESOURCES ............................................................................. 16
Risk Management Office ............................................................................................ 16
MIRA Web Page......................................................................................................... 16
SUMMARY .................................................................................................................... 17
What you should have learned? ................................................................................. 17
Applying the Learning................................................................................................. 17
Evaluation .................................................................................................................. 17
APPENDIX A: MIRA Supplementary Material ................................................................ 18
4.16 Maricopa Integrated Risk Assessment ............................................................... 19
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Participant Guide
What is this
module
about?
Risk Assessment Tools
This hands-on course is intended to build on the concept of integrated
risk assessment and will explore several qualitative assessment tools
to identify the best course of action in managing risks. Participants will
evaluate moderately complex case scenarios and, using the tools to
assess the situation, determine appropriate direction.
Course Objectives:
After completing this course each participant will have a basic
understanding of risk management and two tools used to evaluate
simple to moderately complex risks.
Participant knowledge will be evaluated through their involvement in
the various group activities.
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Participant Guide
Risk Assessment Tools
BASIC UNDERSTANDING OF RISK MANAGEMENT
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Participant Guide
Risk Assessment Tools
Basic Understanding of Risk Management
Risk Defined
a) The combination of the probability of an event and its
consequences. Risk is inherent in all types of undertaking,
and may carry the potential for benefit or be a threat to
success.
b) The opportunities, uncertainties, threats, or barriers to which
MCCCD must respond in order to achieve its objectives.
Enterprise
Risk
Management:
Categories of
Risks
The eight Risk Categories serve as aids in identifying
opportunities and risks in our day-to-day operations.
The risk categories are defined below:

External: Exposure to uncertainty affecting the communities served by MCCCD.

Financial: Exposure to uncertainty regarding the management and control of the
finances of the organization.

Hazard: Exposure to loss arising from damage to property or from tortious acts; typically
includes the perils covered by insurance.

Human Resource: Exposure to uncertainty related to compliance with personnel
policies and procedures, employee morale, and organizational culture.

Legal/Regulatory Compliance: Exposure to uncertainty related to laws, statutes, and
administrative regulations that govern how MCCCD operates.

Operational: Exposure to uncertainty related to day-to-day business activities.

Reputational: Exposure to uncertainty related to brand, perceived value, organizational
status, and public perception and trust.

Strategic: Exposure to uncertainty related to long-term policy directions of the
organization. "Big picture" risks.
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Risk Assessment Tools
Maricopa Integrated Risk Assessment
All Employees are Responsible for Assessing Risk
Administrative Regulation 4.16 states:

It is the responsibility of every employee to identify, assess, and manage risks and
opportunities individually, throughout our organization, and to collaboratively strive for
continuous quality improvement and the efficient and effective use of our resources.

All Board-Approved employees shall be required to participate in training that focuses on risk
identification, assessment, and management, and this training shall be rigorous, practical, and
application-based.
Acknowledgements, Disclosures, and Mandatory Training
The Maricopa Community Colleges Governing Board Policies and the District's Administrative
Regulations provide the framework for performing our duties. Each of us is responsible for being
aware of these rules and abiding by them.
As a way to help us understand these policies and provide an assurance to our students and
communities we serve that we take public stewardship seriously, we are required to complete two
educational training modules:
 Legal Issues: Public Sector Employment
 MCCCD Public Stewardship
All full-time and part-time board approved employees including OSO, OYO, Specially Funded, and
Skill Center employees, are required to participate in the training. Completion of the mandatory
training is required by February 27, 2009, unless otherwise designated by the college/site
president or vice chancellor. New employees will be required to participate in the training within
their probationary period, or one year of their hire date, whichever is shorter and will be notified
when they are automatically enrolled in the courses.
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Risk Management Tools
Wallet/Desk
Risk
Assessment
Reference
Tool
Side A
Side B
The above tool can be used by employees to assess risks
during daily tasks. The color-coded, three-step risk
assessment tool allows an employee to progress through a
general risk assessment.
The mental analysis provides the user with one of four
suggested directions; proceed without risk management
review, continue with local (college/Site) management review,
consult District Risk Management or seek another alternative.
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Risk Assessment Tools
Wallet/Desk Risk Assessment Reference Tool, Continued
How to use the wallet tool
Starting at the top with Step 1, determine the undesirable impact of conducting this task or project.
Use the provided characteristic to the right of the impact name (catastrophic, critical, marginal or
negligible) to assist in selecting the most appropriate letter. For example, if the impact was
marginal the corresponding number would be 2.
Practice Scenario: Determining the Impact of a Risk
You are participating in a project involving dropping eggs from the Science building. Participants
will drop hardboiled eggs from the 4th floor window into 5 gallon buckets filled with water. A team
member is concerned that a by-stander might be struck in the head with one of the dropped eggs.
You know through your training that this could pose a legal risk and that a risk assessment could
help find a solution. Referring back to your risk tool, which category best describes the impact of a
person being struck by a hardboiled egg dropped from a 4th floor window?




Category 4 - catastrophic
Category 3 - critical
Category 2 - marginal
Category 1 - negligible
In Step 2 of the risk tool, you determine the probability of the impact occurring. As in Step 1, use
the provided specific individual item to the right of the probably level to assist in selecting the most
appropriate letter.
Practice Scenario: Determining the Probability a Risk will Occur
Continuing with the earlier scenario, you share your concern about injuring a by-stander during the
egg drop and the instructor informs you that the class would drop one egg a week for six week as a
part of their group science experiment. Referring back to your risk tool which category best
describes the probability of an injury occurring?





Frequent
Probable
Occasional
Remote
Improbable
The 3rd and last step is to assess the risk (probability and impact) by combining the result of the two
previous steps. The combined results will reveal a suggest path of action.
Practice Scenario: Determining the Results of the Assessment
Using the results of the egg drop scenario, determine the suggested course of action for the legal
concern uncovered during your assessment.




Continue without risk management review
Continue with local risk management review
Consult district risk management ext. 18879
Unacceptable – seek another alternative
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Participant Guide
Risk Assessment Tools
Risk Management Tools, Continued
SMART
Strategic Maricopa Assessment Risk Tool
A Simple Model for Self-Assessing Risks To Achieving Objectives
Refer to:
MCCCD
Mission,
Vision and
Values
Contact Ruth Unks, Director of Enterprise Risk management, for assistance
in using this tool.
Phone - 480-731-8879,
E-mail – [email protected],
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Risk Assessment Tools
Risk Management Tools, Continued
Risk Map
A Risk Map, as shown below, helps determine which items should be addressed first. After
determining the impact and probability, the corrective action item is placed in one of four
quadrants. Once complete, the individual or team addresses the items in the upper right
quadrant of the map before working to resolve the items in the lower left quadrant.
RISK MAP
IMPACT
5.0
4.5
4.0
3.5
3.0
2.5
2.0
1.5
1.0
1.0
1.5
2.0
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3.0
PROBABILITY
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3.5
4.0
4.5
5.0
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Risk Assessment Tools
Risk Management Tools, Continued
Introduction to e-SMART Tool
Accessible via
the internet
Easy to document and track
findings
Seven easy to follow risk
assessments steps
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Risk Assessment Tools
RISK ASSESSMENT PROCESS - EXERCISES
The purpose of these exercises is for participants to practice using the SMART tool
to identifying, evaluating and controlling risks associated with college/site
scenarios.
Instructions
For the following situations, evaluate the risks using the tools
selected. All groups will participant in the first two scenarios, which
will be lead by facilitator. The remaining scenarios will be lead by a
group leader. After the allotted time, each group will report their
findings to the class.
Feedback
Be prepared to:
1. Identify how this activity or situation helps embrace MCCCD
Vision, Mission and Values.
2. Discuss the opportunities and risks you identified.
(Hazard, Financial, Operational, Strategic, Reputational,
Legal/Regulatory Compliance, Human Resources, External)
3. The results of your assessment.
Time
Allotment
20 minutes per exercise

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Risk Assessment Tools
Risk Assessment Process: Exercises, Continued
Exercise 1
Mummified
Cats
Your campus has scheduled an international field trip to Egypt to study
mummified cats. The president believes very strongly that the
research obtained from this trip will help faculty connect recent findings
with stem cell course curriculum. Even though you are in support of
the research (and a cat lover), you have major concerns about the
safety of the students and faculty in Egypt due to recent terrorism
activities. There is also a concern regarding the use of public
resources to fund this trip.
Exercise 1
Feedback
Complete the following discussion points:
1. Identify how this activity or situation helps embrace the
Community College Vision, Mission and Values.
2. Discuss the opportunities and risks you identified.
(Hazard, Financial, Operational, Strategic, Reputational,
Legal/Regulatory Compliance, Human Resources, External)
3. What information will you share with the college administration
regarding the proposed trip?
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Participant Guide
Risk Assessment Tools
Risk Assessment Process: Exercises, Continued
Exercise 2
Laser Tag
As the student services representative, you have just been contacted
by a student group with the following inquiry:
"The game is laser tag and it would be played inside a college building
on a weekend night after normal hours. There would be running in the
game. We would like to use multiple floors. We would have all doors
propped open so there would be no danger of people getting fingers
slammed in doors. The game would be played with only 16 people at
a time."
Complete the following discussion points:
1. Identify how this activity or situation helps embrace your college
Vision, Mission and Values.
2. Discuss the opportunities and risks you identified.
(Hazard, Financial, Operational, Strategic, Reputational,
Legal/Regulatory Compliance, Human Resources, External)
3. Should you support the student group in conducting this
activity? Why or why not?
RISK MAP
Using the blank Risk Map provided and posted notes, determine the
impact/probability of each suggested risk the group identified during
the risk assessment.
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Risk Assessment Tools
Risk Assessment Process: Exercises, Continued
Exercise 3
A Tasty Treat
The entomology club is seeking permission to serve bugs in the
Student Union on Halloween. According to their written request,
they plan to serve crickets and mealworms raised on diets of
oatmeal, Cheerios and carrots. The club will freeze the insects and
thaw them before dipping into chocolate, salsa or incorporating into
a Rice Crispy Treats recipe. All food preparation will be supervised
by the campus chef. Treat ingredients and a shellfish warning
(mealworms are in the crustacean family) will be prominently
displayed on the serving table.
What are the opportunities/risks with the club serving bugs?
Develop risk description
Source: College Administration
Mechanism: Implementing background checks
Outcome: _____________________________
Exercise 3
Feedback
Use the SMART tool to complete the following discussion points:
1. Identify how this activity or situation helps embrace the
college Vision, Mission and Values.
2. Discuss the opportunities and risks you identified.
(Hazard, Financial, Operational, Strategic, Reputational,
Legal/Regulatory Compliance, Human Resources, External)
3. What information will you share with the student group
related to your risk assessment?
RISK MAP and
SMART tool
Using the blank Risk Map provided and posted notes, determine
the impact/probability of each suggested risk treatment your team
suggested during the SMART assessment.
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Participant Guide
Risk Assessment Tools
Risk Assessment Process: Exercises, Continued
Exercise 4
Smoking on
Campus
Last year, the Chancellor announced that effective July 1, 2012, all
District property will be smoke- and tobacco-free, extending the
smoke-free environment of our buildings to the boundaries of
District property.
The administration recognizes that this change will require
behavior change on the part of some students, and employees.
The District is prepared to help those who are affected through a
variety of means, including classes and smoking cessation
programs.
What are the local (college) opportunities/risks with becoming a
smoke-free environment?
Exercise 4
Feedback
Use the SMART tool to complete the following discussion points:
1. Identify how this activity or situation helps embrace MCCCD
Vision, Mission and Values.
2. Discuss the opportunities and risks you identified.
(Hazard, Financial, Operational, Strategic, Reputational,
Legal/Regulatory Compliance, Human Resources, External)
3. What information will you share with the college
administration related to your risk assessment?
RISK MAP
Using the blank Risk Map provided and posted notes, determine
the impact/probability of each suggested risk treatment your team
suggested during the SMART assessment.
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Participant Guide
Risk Assessment Tools
RISK ASSESSMENT RESOURCES
Risk
Management
Office
When you encounter a situation that you do not know how to
manage after using your department, college/site, or web resources,
then it’s time to get in touch with the Risk Management Office.
Contact the Risk Management Office:
Phone - 480-731-8879,
E-mail – [email protected], and/or
Web site - www.maricopa.edu/legal/rmi
MIRA Web
Page
http://www.maricopa.edu/mira
Contains:
MIRA Implementation
Goals and Timetable
Risk Assessment Tools
Glossary of Risk Management Terms
Link to the Administrative Regulation (4.16)
…and MORE!
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Participant Guide
Risk Assessment Tools
SUMMARY
What you
should
have
learned?
This hands-on course was intended to build on the concept of integrated
risk assessment, and this course explored two assessment tools to identify
the best course of action in managing risk. Participants evaluated
moderately complex case scenarios, and using the SMART tool to assess
the situation and determine appropriate direction.
Applying
the
Learning
As a result of this class I will, within the next seven days, I will do one of the
following three things:
1. Identify a significant risk in at least one of the following categories:








External
Financial
Hazard
Human Resource
Legal/Regulatory Compliance
Operational
Reputational
Strategic
2. Practice using the SMART Tool on a local risk.
3. Complete your mandatory training.
Evaluation
Complete the course evaluation form online when the link is sent after
today’s class.
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Participant Guide
Risk Assessment Tools
APPENDIX A: MIRA Supplementary Material
Administrative Regulation 4.16: Maricopa Integrated Risk Assessment
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Risk Assessment Tools
MIRA Supplementary Material
4.16 Maricopa Integrated Risk Assessment
PURPOSE
The Maricopa County Community College District (MCCCD) endeavors to be an innovative,
flexible higher education institution that encourages risk assessment and management as an
integral process for carrying out our mission to promote and enhance student learning and
success. MCCCD also embraces a comprehensive approach to risk management that promotes
broad strategic thinking and analysis, while fundamentally integrating our institution’s vision,
mission, and values. To this end, risk management will provide our institution with the superior
capabilities to identify, assess, and manage the full spectrum of risks and opportunities and to
enable management, faculty and staff at all levels to better understand and manage risk.
BACKGROUND
In March 2000, the Maricopa County Community College District Governing Board, with support
from the Chancellor’s Executive Council (CEC), approved an initiative to embed ongoing risk
assessment and management into MCCCD’s daily operations and culture. The CEC has
reaffirmed its support and commitment in July 2003, August 2004, and September 2005 and
will reaffirm its support annually thereafter. This initiative is called the Maricopa Integrated Risk
Assessment (MIRA) project and it extends beyond traditional risk management to embrace a
wider view of risk management called Enterprise Risk Management (ERM). While traditional risk
management focuses on insurable and hazard risks, enterprise risk management is a process
and management tool to address all sources of risk that would threaten strategic objectives.
APPROACH TO RISK MANAGEMENT
MIRA shall be collaboratively integrated into existing management processes and daily
operations. To ensure that we achieve our strategy, MIRA provides our employees with the
tools and capabilities to overcome barriers that arise in striving to exceed expectations. By
realizing that risk management is everyone’s job, our management, faculty, and staff shall
proactively identify risk while delivering high quality education to our students in a more
efficient and cost effective manner. MIRA allows our employees to view issues from various
angles to identify not only the risk mitigation activities, but also to seek out and act on potential
opportunities—therefore challenging conventional wisdom to create better solutions.
EMPLOYEE RESPONIBILITIES
It is the responsibility of every employee to identify, assess, and manage risks and
opportunities individually, throughout our organization, and to collaboratively strive for
continuous quality improvement and the efficient and effective use of our resources. All
management, faculty and staff are expected to demonstrate appropriate standards of behavior
in the development of strategy and pursuit of expected outcomes. All Board-Approved
employees shall be required to participate in training that focuses on risk identification,
assessment, and management, and this training shall be rigorous, practical, and applicationbased. Newly hired Board-Approved employees shall be required to participate in training
during their probationary period and every two years thereafter. This training shall be
incorporated into other mandatory training and/or shall be stand-alone training. Existing
Board-Approved employees shall be required to participate in training within two years after the
adoption of this administrative regulation and every two years thereafter. The District shall
consider ways of training temporary employees once initial training of Board-Approved
employees is complete.
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Participant Guide
Risk Assessment Tools
MIRA Supplementary Material
Maricopa Integrated Risk Assessment, Continued
GENERAL EXPECTED OUTCOMES
Expected outcomes include:

Increased overall effectiveness and accountability

Sound business processes; greater assurance of business continuity

Clear demonstrated compliance with applicable laws and regulations

Enhanced employee empowerment and pride

Reinforcement of the strong MCCCD cultural identity

Enhanced competitive advantage
The MIRA project shall establish a philosophy of fostering continued evaluation of effectiveness
and efficiency of organizational leadership, systems, and strategies. Ultimately, accountability
for resources—human, financial, intellectual, physical, and technical—will be impacted at every
level of MCCCD.
ANNUAL REVIEW FOR EFFECTIVENESS
Each year the MIRA project committee shall measure progress and monitor results. This
information will be presented in an annual report to the Governing Board and the CEC. This
report will be submitted by August 31 of each fiscal year.
Adopted by the Governing Board on February 27, 2007.
Motion No. 9416
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