international maritime organization e · the objectives was re-cast, where not already so stated,...

For reasons of economy, this document is printed in a limited number. Delegates are kindly asked to bring their copies to meetings and not to request additional copies.

I:\COUNCIL\CWGRM\3\2-1.doc

INTERNATIONAL MARITIME ORGANIZATION

IMO

E

COUNCIL RISK REVIEW, MANAGEMENT AND REPORTING WORKING GROUP 3rd session Agenda item 2

CWGRM 3/2/1 8 April 2008 ENGLISH ONLY

DEVELOPMENT OF A RISK MANAGEMENT PROCESS

Risk Management Pilot Study

Note by the Secretariat

SUMMARY Executive summary: This document reports on the outcome of the Secretariat�s pilot risk

management exercise Strategic direction: 4 High-level action: 4.4.1 Planned output: 4.4.1.1 Action to be taken: Paragraph 8 Related documents: C/ES.24/D and C/ES.24/3(b)

Background 1 As requested by the second session of the Council Risk Review, Management and Reporting Working Group (see paragraph 27 of the annex to document C/ES.24/3(b)), the Secretariat has undertaken a pilot risk management study based on the draft risk management process produced by that second session. 2 The purpose of the pilot study was to trial the risk management process in practice and, in doing so, to identify significant issues or areas for improvement with a view to informing the discussion during the present session of the Working Group. The approach taken to the pilot study and a brief summary of the lessons learned are set out below. Pilot study process and outputs 3 As indicated above, the Secretariat took as the basis for its pilot study the risk management process developed by the second session of the Working Group (appendix 1 of the annex to C/ES.24/3(b)). In view of the pilot nature of the study and the comments made during that session of the Group, emphasis was placed on the initial steps in the process, particularly on risk identification and analysis, with appropriate guidance and instructions on the process to be

CWGRM 3/2/1 - 2 -


followed and on the format of the responses required being provided to the Secretariat�s six Divisions. Additionally, respondents were given the option to complete information on risk tolerance, on risk treatment and control, and on potential action for improvement (where existing guidance was incomplete, pending the work of the correspondence group), and a number of respondents did so. 4 The focus on the work of the Secretariat raised some issues regarding linkages to the Strategic Plan (SP) as, at present, not all potential outputs of the Secretariat are fully represented in the High-level Action Plan (HLAP). For this reason, the pilot risk management study was conducted in the context of the Divisional objectives for 2008. These objectives are, in turn, linked to the achievement of the SP, whilst having the advantage of having been framed in terms clearly understood by each Division. To make the pilot study as practicable as possible, each of the objectives was re-cast, where not already so stated, in SMART (Specific, Measurable, Achievable, Realistic and Time-specified) terms. The pilot study was conducted for a representative sample of three objectives covering each Division, with respondents being asked to identify and assess three risks for each objective. 5 The outputs from each Division are attached at annex to this document. Analysis of the pilot study results and lessons learned 6 The high-level lesson from the pilot study is that, in principle and in substance, the risk management process developed to date is �fit for purpose� � that is, to facilitate the analysis of the risks facing the Secretariat in delivering its own objectives. More specific �lessons learned�, identified by those undertaking the study, are set out briefly below.

• Importance of training � whilst, as indicated above, a broad written explanation of the requirements was circulated to all six Divisions, no further detailed briefing was provided directly to those involved in assessing Divisional risks. And whilst the responses received were broadly uniform in format, some discrepancies in the approach taken point to the need for a more detailed and comprehensive briefing for those involved in the risk management exercise when the work beyond the pilot study begins. This view was also supported by some of those who undertook the study.

• Linking of Secretariat objectives to the Strategic Plan � outside of the issue of

risk management itself, the pilot study identified some difficulties in linking the day-to-day work of the Secretariat to the SP and, in particular, to the HLAP which focuses largely on the work of the various intergovernmental bodies of the Organization. Whilst the actions of the Secretariat necessarily support the delivery of both the SP and HLAP, the link is not always well-established or pre-defined and, consequently, as explained in paragraph 4, the pilot study had to be run on the basis of the Divisions� own objectives for the year. For the future, it may be helpful to consider a closer linkage between divisional objectives and the SP to improve the coherence of the overall structure. Whilst the pilot study has been effective against a sample of the 2008 Divisional objectives, it may be anticipated that a full risk management exercise will be more effective against the 2009 Divisional objectives, which are to be established against a format to be developed by the Secretary-General�s Policy and Planning Unit.

- 3 - CWGRM 3/2/1


• Five-by-five matrix structure suitable to the Organization�s situation � no practical issues were raised in the use of the five-by-five matrix, which had been a concern of the Working Group. The additional level of detail in assessing risks allows for a greater degree of flexibility of reporting, when monitoring and prioritizing risks.

• Risk sub-categorization � no natural sub-divisions of �risk event� were identified

in the course of the pilot work. Respondents took two approaches � they either related a risk event solely to the high-level risk event category (as previously defined by the Working Group), or they provided a more detailed textual analysis of the risk event itself. It is possible that the latter approach could, if refined, form the basis for a hierarchical structure of risk sub-categorizations. However, the Divisional objectives and, consequently, the risks identified for the pilot study vary so greatly that no immediate conclusions can be drawn.

• Level of risk analysis � the level of risk analysis undertaken by the respondents

appears to be appropriate to the requirements of the Working Group, being focused on the major Divisional objectives (i.e. on the activities of most importance to the Secretariat) and also being restricted to those risks classified as �Significant� or above (i.e. those risk events which are of most concern in achieving these high-level objectives). This process, when fully implemented, should result in a comprehensive and consolidated understanding of the most important risks facing the Organization, and of how these are being addressed, in a form suitable for senior management reporting and other oversight.

7 The Working Group may wish to consider the outputs from the pilot study and, on the basis of those outputs, determine whether further lessons may be learned from the study, which may feed into the Group�s finalization of the risk management process. In so doing, the Working Group should note that, as anticipated, the pilot study has largely addressed risks to the good governance of the Secretariat � these being, essentially, those relating to financial and operational risks, although some Divisions reported risked to organizational status and effectiveness. However, those organizational status and effectiveness risk events which lie principally with the various organs of the Organization have not been addressed through this study. Action requested of the Working Group 8 The Working Group is invited to consider the information provided and comment as appropriate.

***

CWGRM 3/2/1


ANNEX

RESULTS OF THE ORGANIZATION�S RISK MANAGEMENT PILOT STUDY1 Respondent: (individual�s name) Division: Administrative Division (AD) Sub-Division: n/a Section: Financial Services (FS) Objective: To obtain an unqualified opinion from the External Auditor on, and Council approval of (at C 100 in June 2008), the 2006-2007 biennium accounts Date: March 2008

Risk assessment Risk event

number Name of risk event Scope of risk event Nature of

risk event

Strategic Directions / objectives

Stakeholders and responsibilities Impact Likelihood Assessment Risk tolerance

Risk treatment and control mechanisms

Potential action for

improvement

AD-FS1

Material errors found Presently unknown material errors found by auditors and cannot be resolved

Financial Strategic Direction 4

Financial Services, AD. External auditors

Extreme Rare Significant Low Detailed review of accounts by FS and Management Accounting Services (MAS). MAS review of expenditure in November 2007.

Development and issuance of monthly financial review pack for the Senior Management Committee (SMC).

AD-FS2

After Service Health Insurance (ASHI) dispute

Disagreement with the auditors over the accounting treatment of the Organization�s ASHI liability



Extreme Rare Significant Low Early discussion with auditors over disclosure. Accounting under UNSAS clearly allows the Organization�s treatment. Liaison with other UN organizations for benchmark comparisons.

Build into planning for IPSAS project. Employ professional actuarial firm to provide advice on IPSAS accounting requirements and valuation.

1 Columns shown in shaded text were optional, not obligatory, for respondents. However, some respondents chose to complete them also.

CWGRM 3/2/1 ANNEX Page 2




risk event





improvement

AD-FS3

Auditors unable to complete work

The early deadline of C 100 leaves the auditors unable to discharge their obligations and arrive at an opinion in the time available



Extreme Unlikely Significant Low Early discussion with auditors, auditor planning takes into account early deadline, increased audit team staffing for shorter period.

None

Respondent: (individual�s name) Division: Administrative Division (AD) Sub-Division: n/a Section: Publishing Service (PS) Objective: To achieve a publications� sales revenue of £8 million by year-end Date: March 2008



risk event





improvement

AD-PS1

Loss/destruction of inventory late in year

Catastrophic loss of publications stock (e.g., through fire/flooding in warehouse) during last 3-4 months of the year: delay causes temporary loss of earnings and necessitates replacement of stock

Operational Achieve sales revenue of £8 million

Prevention: Building Management Mitigation: Publishing Service

4 E Moderate Disperse stock in several locations. Expand virtual publications offering.

Introduce print on demand where appropriate.

AD-PS2

Delay in publication of important title

Important title (e.g., IMDG Code, Ships� Routeing) delayed from one year to next: delay causes temporary loss of earnings

Financial Achieve sales revenue of £8 million

Technical Divisions, Publishing Service

4 C Significant Changes by technical committees (e.g., MSC, in case of IMDG Code) cannot be prevented.

Allow margin for error in production planning.

Build culture of adherence to deadlines that are not meeting-related. Build margin for error into sales forecasts.

AD-PS3

Introduction of free access to IMO text skills sales

Membership requires IMO to make all IMO texts available to public/industry free of charge: causes permanent collapse of publications sales

Financial Achieve sales revenue of £8 million

Secretary-General, Members

4 E Moderate Instructions of Member States must be followed.

Prepare alternative revenue streams.

CWGRM 3/2/1 ANNEX

Page 3


Respondent: (individual�s name) Division: Administrative Division (AD) Sub-Division: n/a Section: Human Resources Services (HRS) Objective: To trial and deliver, at least once by year-end, each module of the new staff development programme Date: March 2008



risk event





improvement

AD-HRS1

Staff absence Unavailability of staff due to illness or other professional commitments

Operational Overall performance of IMO

Each Division is responsible for ascertaining staff participation. HRS monitors attendance

1 Negligible

D Unlikely

1 Low

AD-HRS2

Supplier failure Failure of supplier to deliver the courses


HRS monitors the course structure, the timely delivery of courses and the quality of training provided

1 Negligible

D Unlikely

1 Low

AD-HRS3

Unavailability of premises

Unavailability of conference rooms or equipment


HRS coordinates with Office of General Services the availability of rooms and equipment

1 Negligible

D Unlikely

1 Low



Respondent: (individual�s name) Division: Conference Division (CD) Sub-Division: n/a Section: Conference Section (CS) Objective: To organize and service, logistically, 20 sessions of IMO/other bodies and 12intersessional meetings by year-end Date: March 2008


number Name of risk event Scope of risk event Nature of risk

event





improvement

CD-CS1

Inability to recruit adequate team of interpreters

To ensure meetings are serviced according the various language requirements with appropriate languages (5 or 6)

Administrative contractual dispute / obligations for IMO to follow

To ensure that a team of Interpreters with the right combination of languages is assembled for every meeting according to the different requirements for different status of meetings

CD, AIIC, freelance conference interpreters, delegates

4 Severe

malfunctioning of this process would lead to severe disruption of IMO work throughout its structure of Committees and Sub-committees and higher bodies (Council, Assembly, Diplomatic Conferences).

D Again, with the high number of multilingual meetings run by IMO the likelihood of this risk manifesting itself is very high.

3 The positive professional relationship established by IMO with the body representing freelance interpreters has to be strengthened. Careful selection of language combination has to be ensured through adequate training for the officer responsible. Careful consideration should be given to the peculiar situation of the London market and contingency plans should be drawn up for a medium-/ long-term strategy (50%)

CWGRM 3/2/1 ANNEX

Page 5




event





improvement

CD-CS2

Inadequate functioning of simultaneous interpretation (SI) and audio-visual (AV) systems and logistics related to meetings� organization

Lack of proper maintenance of SI and AV equipment can disrupt meetings totally. Lack of logistic organization could lead to poor outcome of meetings and complaints from our clients. Meetings are fully serviced and logistically supported to the high standard expected by our clients (furniture, sound reinforcement, delegates/Secretariat interface, projection facilities and technical assistance, etc.)

Total disruption of meeting

Facilitate a successful outcome of the meetings; provide delegates and Secretariat with the facilities necessary to run the event and to achieve positive results.

Staff in CS, in particular those involved in the AV and SI support unit

4 Severe

Lack of logistic and technical support would cause poor/delayed outcome of the meetings and have a negative impact on the proceedings of the body to which a particular meeting reports. It would have a negative knock- on effect on the rest of the activities of that particular body.

C Very high

With proper sourcing and adequate staff training and support this area will be constantly covered and closely monitored to ensure that this objective is achieved.

4 With the number of official and intersessional meetings run by IMO, it is highly likely that, if not carefully planned and properly sourced, this risk would occur.

CD-CS3

Breach of process of registration of delegates

Registration of delegates in possession of the relevant required papers in accordance with Circular letter No.2692; issuance of delegate passes to grant access to those duly accredited to an IMO meeting in coordination with Building Management Services (Security); and ensure the timely reproduction of the required List of Participants

Security risk. The process is fully dependent on IT support.

To ensure all delegates who present the appropriate required papers are registered in a timely manner and issued with the relevant security passes in time for the start of the meeting

Staff working in the Registration Unit, delegates, IMO Security personnel

3 Severe

Delays in registering delegates would cause delays to the start of the meeting; official complaints from delegates could cause embarrassment to the Organization and generate a very negative atmosphere at the start of the meeting that could reflect and impact on its outcome.

D High

With the high number of meetings run by IMO the potential for the risk occurring is high and very dependent on adequate IT services.

2 The long experience and highly professional commitment of staff in CS, its Registration Unit and in IT Support have over the years made this process easy and trouble free. Facilities will have to be kept up to date and processes constantly reviewed to ensure that the present efficient output





event





improvement is maintained in the future and improved in the medium/long term (75%).

Respondent: (individual�s name) Division: Conference Division (CD) Sub-Division: n/a Section: Translation Sections (TS) Objective: To achieve, by year-end, the translation of 100% of IMO meeting documents within the established deadlines Date: March 2008



event





improvement

CD-TS1

Lack of proper planning and execution

Given the heavy and, to a great extent, unpredictable workload of TS � as well as tight deadlines, which are beyond TS control � there is a permanent risk of failure in the proper planning and execution of translation work and, therefore, of meeting the targets related to the strategic objective

Organizational status and effectiveness (failure to meet expectations) Operational (day-to-day running and safe operation of the organization: possible illness due to stress)

To provide high-quality translation services to international meetings within established deadlines

TS (translation sections and word processing units)

3 Member States� satisfaction would be affected as their expectations would not be properly met.

C Moderate

But at a great individual cost in terms of personal effort and stress.

3 Up to now, the risk has been �averted� but it is always present and significant.

CD-TS2

Lack of proper coordination with technical Divisions

There is a need for proper communication and follow-up from meeting Secretaries, and also within CD, regarding the workflow

As above To provide high-quality translation services to international meetings within established deadlines

CD (and technical divisions)

3 The Organization would fail its membership in its linguistic obligations as a UN specialized agency

C Moderate but could be easily reduced

3 The risk is significant if the required degree of co-operation and coordination among Divisions is not achieved through established mechanisms.

CWGRM 3/2/1 ANNEX

Page 7




event





improvement

CD-TS3

Inability to attract highly qualified staff and temporary and contractual translators

Due to the technical nature of IMO�s work, the Organization's working methods and lack of resources, as well as external factors, (e.g., the cost of living in London), it is increasingly difficult to hire and retain the qualified translators needed to meet the targets related to the strategic objective s

Operational (administrative contractual obligations/ disputes for IMO to follow)

To provide high-quality translation services to international meetings within established deadlines

CD, AD, AITC 3 This could only aggravate the present situation and its consequences for TS whereby it is increasingly difficult (and very stressful) to try and meet deadlines while preserving a certain standard of quality.

B Already present to a certain extent.

3 There seems to be a trend already manifesting itself.

Respondent: (individual�s name) Division: Conference Division (CD) Sub-Division: n/a Section: Documents Section (DS) Objective: To achieve, by year-end, the distribution and uploading on to IMODOCS of 100% of IMO meeting documents, within the established deadlines Date: March 2008



event





improvement

CD-DS1

Failure to process all IMO meeting documents, circulars, etc.

Lack of communication with other Divisions; non-compliance with various deadlines; failure to check that all documents conform to IMO format and follow guidelines and methods of work of the Committees before registering in DRITS database.

Failure to process documents in the shortest possible time and to observe established guidelines

To provide timely and efficient distribution of all IMO documents prior to and during meetings

Member States, organizations and all Secretariat Divisions

4 As other sections within CD depend on receiving documents in time, the risk is high.

E Moderate

2 A proper system in place should ensure that all documents are processed within a maximum of two hours from receipt.

CD-DS2

Failure and inability to print documents in a timely fashion

Failure to ensure that printing machines are of high standard and are adequately maintained and linked

Not meeting deadlines in printing documents for forthcoming

To provide timely and efficient distribution of all IMO

Member States, organizations and all Secretariat Divisions

4 As the IMODOCS website is accessed daily

D Moderate

3 The new IMODOCS site has gone live - trained





event





improvement to the IMO network meetings documents

prior to and during meetings

and frequently, the impact is high.

resources are needed to deal with distribution of documents following appropriate set guidelines

CD-DS3

Inability to distribute documents, upload them on to the IMODOCS site in time and service meetings

Failure to provide timely and efficient distribution of all documentation, both in house (posting), and to upload it onto the IMODOCS site electronically, and service meetings

Delays in posting documents, uploading them electronically onto the IMODOCS site, preparing for meetings

To provide timely and efficient distribution of all IMO documents prior to and during meetings

Member States and organizations, IT and Information Systems, Word-Processing Units (WPUs), DS

3 As the IMODOCS website is accessed daily and frequently, the impact is high.

2 Moderate

Relate with WPUs for timely availability of meeting documents and other circulars

CWGRM 3/2/1 ANNEX

Page 9


Respondent: (individual�s name) Division: Legal Affairs and External Relations Division (LED) Sub-Division: Sub-Division for Legal Affairs (LA) Section: Treaties and Rules Section (TRS) Objective: To ensure that accurate information on the status of IMO treaties is available internally and externally through monthly updates of the related GISIS module and IMO webpage Date: March 2008



event





improvement

LED-TRS1

Temporary absence of competent staff

Divisional objective: keeping the status of the treaties module of the GISIS database accurately updated. The risk event would prevent LED from fulfilling its requirement to provide accurate and timely information to Member Governments and other users of the database

Organizational status and effectiveness

2; 2.1.1 TRS/LED: Deputy Director/Head; Senior Depositary and Administrative Officer

3 C 2

LED-TRS2

Incorrect data entered Divisional objective: as above. The risk event may seriously jeopardize or compromise the Organization's reputation with regard to the provision of accurate treaty status information on the database



3 B 3

LED-TRS3

Loss of data to be entered

Divisional objective: as above. The risk event could seriously embarrass the Organization and cast doubts on its custodial reliability with regard to its depositary role



3 C 2



Respondent: (individual�s name) Division: Legal Affairs and External Relations Division (LED) Sub-Division: Sub-Division for External Relations (ERO) Section: Accreditation and Liaison Section (ALS) Objective: To coordinate and deliver the World Maritime Day parallel event in Athens (19 September 2008) and the IMO event in London (25 September); support other bodies in the delivery of similar celebrations; and report to

C 101 on al such events by the end of October Date: March 2008



event





improvement

LED-ALS1

Not meeting consecutive deadlines

Divisional objective: to promote public awareness of IMO and its activities and, through the parallel event, to raise national consciousness of IMO�s work. Failing to meet deadlines would jeopardize the above.


11.1 ALS/LED 3 D 1

LED-ALS2

Failure to provide necessary information

Divisional objective: to inform Council of the messages received from Member States and provide information of their celebration activities. Failure to do so would result in severe embarrassment to the Organization and leave Member States uninformed as to the activities of other Member States.


11.1 ALS/LED 3 D 1

LED-ALS3

Failure to adequately supervise and monitor the parallel event activities

Divisional objective: to provide a common opportunity for Member Governments, the Secretariat and organizations in official relationship with IMO to give suitable publicity to the Organization and its work, by bringing to the attention of the


11.1 ALS/LED 3 D 1





event





improvement public in the Member States important aspects of the work of the Organization. Failure to supervise and monitor, as described, may result in the event being purely localized and IMO�s activities being ignored or marginalized.

Respondent: (individual�s name) Division: Legal Affairs and External Relations Division (LED) Sub-Division: Sub-Division for External Relations (ERO Section: Maritime Knowledge Centre (MKC) Objective: To prepare and deliver a presentation and information materials to representatives of Member States and other entities on the launch of the IMO Maritime Knowledge Centre, during C 100 (June 2008) Date: March 2008



event





improvement

LED-MKC1

Not meeting production deadlines

Divisional objective: raise awareness of the IMO and the role of shipping. Failing to meet deadlines would result in loss of planned products which are a feature of the C 100 celebrations and loss of opportunity to publicize the work of IMO and the role of shipping on this important occasion.


11.1 MKC/LED 2 D 1

LED-MKC2

Failure to update information

Divisional objective: as above. Failing to provide up-to-date information would result in the promulgation of incorrect/outdated information on various aspects of IMO�s work.


11.1 MKC 3 D 1





event





improvement

LED-MKC3

Failure to adequately organize and showcase the information

Divisional objective: as above. Failure would give a poor impression of the Secretariat (particularly the MKC) and of the use of financial and technological resources.


11.1 MKC 3 D 1



Respondent: (individual�s name) Division: Marine Environment Division (MED) Sub-Division: Sub-Division on Pollution Response and TC Coordination (PRTCC) Section: TC Coordination and Major Projects (TCCMP) Objective: To secure, by year end, agreement between IMO, the EC and other partners on the technical content and implementation modalities of the SAFEMED II project (i.e. finalize project preparation) Date: March 2008



event





improvement

MED-SAF1

Failure to conclude an agreement on the review of the SAFEMED II Technical Annex

Agreement between IMO and EC and other partners on the technical content and implementation modalities is not achieved by the end of 2008

Organizational status and effectiveness and Operational

1; 3; 7; 8; and 13

PRTCC/MED and REMPEC

4 D 3 (Significant)

Moderate REMPEC, in consultation with MED, to prepare draft review of Project�s Technical Annex for early submission to the EC. Schedule meetings with the EC.

Input from MED and other Divisions on the proposed review of the Technical Annex. Meeting with the EC to finalize the review of the Technical Annex and initiate action to amend the SAFMED II contract. Amend the SAFEMED II project document.

MED- SAF2

Implementation of project tasks affected due to political/social situation in the Mediterranean region

Political and social turbulences in the Mediterranean region affect the implementation of project tasks

Operational 1; 3; 7; 8; and 13


2 A 3 (Significant)

High

Inform the EC about the risk and its consequence on the implementation of project tasks.

MED- SAF3

SAFEMED II current budget insufficient to fully implement all project tasks

Lump sum budget lines in current SAFEMED II budget could result in lack of funds to implement some project activities

Financial and Operational

1; 3; 7; 8; and 13


3 C 3 (Significant)

Moderate REMPEC, MED and AD to review the SAFEMED II budget and propose changes in line with the review of the Project�s Technical Annex.

IMO/REMPEC and EC to agree on an amended budget for SAFEMED II to be reflected in the amendment to the project�s contract.



Respondent: (individual�s name) Division: Marine Environment Division (MED) Sub-Division: Sub-Division on Pollution Response and TC Coordination (PRTCC) Section: TC Coordination and Major Projects (TCCMP) Objective: To ensure, by year end, that all administrative, financial, legal and technical arrangements are in place for full scale implementation of the GloBallast Partnerships project (i.e. prepare for implementation) Date: March 2008



event





improvement

MED-GBL1

No project implementation as Memoranda of Agreements (MoAs) are not in place

Failure to have legal agreement between IMO, Regional Co-operating Organizations (RCOs) and Lead Partner Countries (LPCs) on project coordination, monitoring and reporting, leading to significant delay in project implementation

Operational 3; 7; 9; and 13

GloBallast Programme Coordination Unit (GPCU)/MED

4 Very High

C High Low Global Project Task Force (GPTF) Meeting. Discussions, clarifications of expectations, incentives for early agreements.

MED-GBL2

Private Sector Partnerships not formed

Failure in the discussions with industry on the formation of Global Industry Alliance for Marine Biosecurity (GIA), impacting significantly the delivery of a major project component on private sector participation


GPCU/MED 3 Medium

B Significant Moderate Discussions with more potential industry partners.

MED-GBL3

No adaptive project management framework and policies

Failure to develop and agree on internal policies that will support adaptive Project management and rapid deployment of resources that are required to manage critical project tasks and critical paths


GPCU/MED and Technical Co-operation Division

4 Very High

C High Low Discussions with internal partners to streamline delivery of outputs in a timely fashion.



Respondent: (individual�s name) Division: Marine Environment Division (MED) Sub-Division: Sub-Division on Pollution Response and TC Coordination (PRTCC) Section: TC Coordination and Major Projects (TCCMP) Objective: To ensure delivery of the MEH project components in accordance with its agreed programme of activities and budget for 2008 (i.e. implement) Date: March 2008



event





improvement

MED-MEH1

Significant delay or failure to carry out the hydrographic survey (HS) of the Traffic Separation Scheme (TSS) in the Straits of Malacca and Singapore

Shortfall of funding following call for tenders for the HS of the TSS, based on commercial rates and using World Bank procurement rules. Subsequent failure to get buy-in on the possibility to carry out the HS by the littoral States, which would also need to be in keeping with World Bank�s procurement procedures.

Political and Financial

1; 3; 5; 6; and 12 PRTCC/MED Project Management Office (PMO) Implementing agencies in the relevant littoral States

3 Medium

B 3 (significant)

Moderate Hold technical meetings with stakeholders, in particular, the National Focal Points, hydrographic offices and the Project to discuss scope of work and co-operative arrangements.

PMO to arrange Technical Committee Meetings in consultation with National Focal Points. The Project Steering Committee to make a final decision to proceed with the HS.

MED-MEH2

Failure to establish the Batam Information Centre (BIC)

The BIC is one of three centres to be established by the Project. Failure to share resources, including information access and exchange, will undermine the operation of the BIC and the establishment of the MEH system.

Political

1; 3; 4; 5; 7; 8; and 11

PRTCC/MED PMO National Focal Points in littoral States

3 Medium

B 3 (significant)

Moderate Hold technical meetings with stakeholders, in particular with various technical groups such as the Tripartite Technical Expert Group, Co-operative Mechanism and relevant agencies.

PMO to arrange meetings in consultation with National Focal Points and the Project Steering Committee.





event





improvement

MED-MEH3

Barriers to effective administration and management of the PMO

The PMO, located in Batam Island, Indonesia, carries out day-to-day operation, administration and management of the Project. Obligations under the host country Agreement are not fully realized. Delay in establishing bank account in the host country. PMO requires more time than anticipated to reach its potential as a UN technical field office, which is compounded by its remote location and the time/distance differentials with IMO, the latter factor necessary for backstopping.

Political and Operational

1; 3; 4; and 11 PRTCC/MED PMO National Focal Point of the host country

3 Medium

B 3 (significant)

Low Supervision of the Project Manager from IMO Headquarters via tele-communication, correspondence and occasional site visits. Project Manager to maintain continuous contact with the host country�s National Focal Point. IMO to continue to provide technical and administrative backstopping to the PMO.

Engage the National Focal Point in the capacity-building activities of the Project, through the secondment of staff from relevant agencies in the host country, to the PMO. Project Manager to attend short seminars to become familiarized with UN working system. Utilization of UN agencies present on the ground (e.g., UNDP) to assist in streamlining administrative arrangements for the PMO�s operation. IMO to provide standing arrangements for the operation and management for the PMO and the project.



Respondent: (individual�s name) Division: Maritime Safety Division (MSD) Sub-Division: All Section: All Objective: To achieve, by year-end, the finalization of 100% of all IMO meeting documents for the 11 sessions of MSC and its Sub-Committees, within the established deadlines Date: March 2008



event





improvement

MSD-DOC1

Unavailability of key-staff prior to the meeting

Key technical staff involved in the preparation/holding of meetings, including direct line managers, become unavailable to process submissions, prepare Notes by the Secretariat and other supporting documentation, acting upon instruction

Operational Finalize the preparation of relevant documentation and holding of the meeting with sufficient technical expertise to support the work of the IMO body and its Chairman

MSD and AD 1 C 1 Low

MSD-DOC2

Unavailability of, or delayed, draft report (drafting, printing and translation) during the course of a meeting

During and following a meeting of drafting and working groups, the Secretariat is not able to finalize the working papers to be approved by the groups in time for their translation, consideration in plenary and inclusion in the draft report of the IMO body concerned.


Achieve full consideration of the work of drafting and working groups by the plenary and recording of decisions

MSD and CD 3 C 3 Significant

MSD-DOC3



Respondent: (individual�s name) Division: Maritime Safety Division (MSD) Sub-Division: All Section: All Objective: To ensure, by year-end, the identification and implementation of all required follow-up actions deriving from the 11 sessions of the MSC and its Sub-Committees Date: March 2008



event





improvement

MSD - MTG1

Circulation of draft amendments to IMO instruments

Failure to circulate draft amendments to IMO instruments, for adoption, after approval by MSC


Follow-up to the outcome of meetings

MSD 3 E 1 Low

MSD -MTG2

Circulation of IMO guidelines

Failure to circulate MSC guidelines and recommendations


Follow-up to the outcome of meetings

MSD 2 D 1 Low

MSD -MTG3

Reporting full outcome of the meetings of IMO bodies

Failure to accurately report the outcome of the meetings of MSC and its Sub-Committees


Follow-up outcomes of meetings

MSD 2 D 1 Low

Respondent: (individual�s name) Division: Maritime Safety Division (MSD) / Administrative Division (AD) Sub-Division: Sub-Division for Operational Safety and Human Element (OSHE) / n/a Section: Operational Safety Section (OSS) / IT and Information Systems (ITIS) Objective: To establish, by the end of June 2008, a functioning module within GISIS on the LRIT Data Distribution Plan (DDP) Date: March 2008



event





improvement

MSD-OSS1

Wrong software design relating to incremental and periodical updates of the DDP

Either performance is not consistent with the �Information and guidance on the XML SCHEMA for the DDP�, or the Guidance is incomplete or faulty


Finalize the set-up and operate the LRIT DDP

MSD and IT IS/AD 4 D 3 Significant





event





improvement

MSD-OSS2

Failure of hardware; failure of network connectivity

Total failure of the physical hardware (physical components, machines) providing access to the DDP; failure of network connectivity due to failure by service providers.


Finalize the set-up and operate the LRIT DDP

IT IS/AD 5 C 5 Severe

MSD-OSS3

Failure of system security

System failure due to malicious attacks by outsiders (e.g., hackers) since, for the first time, IMO would be holding security sensitive data.

Operational Finalize the set-up and operate the LRIT DDP

IT IS/AD 5 C 4 High



Respondent: (individual�s name) Division: Technical Co-operation Division (TCD) Sub-Division: n/a Section: Africa (Anglophone) Section / Arab States and Africa (Francophone) Section Objective: To finalize, by the end of June 2008, a strategy, related action plan and timelines, for the strengthening of the IMO regional presence in Africa Date: March 2008



event





improvement

TCD-RPA1

Failure to secure an agreement with the host countries on their long-term financial and in-kind support

Agreement between IMO and the host Governments on a regional presence strategy, related action plan and timelines

Financial 3 Governments hosting the IMO regional presence; and IMO Secretariat

4 D 2

TCD-RPA2

Failure to secure support for the strategy from all African beneficiary countries

Agreement between IMO and the beneficiary African countries on the regional presence strategy

Political 3 Beneficiary African countries; and IMO Secretariat

3 E 1

TCD-RPA3

Council and/or TCC discussion on IMO regional presence, indicating a future change of approach to IMO's regional outreach

Effect of the Council/TCC discussion regarding IMO regional presence on the finalization and subsequent implementation of the strategy

Financial and operational

3 Member States; Council; TCC; and IMO Secretariat

4 D 2



Respondent: (individual�s name) Division: Technical Co-operation Division (CD) Sub-Division: n/a Section: All Objective: To finalize, by year-end, an IMO resource mobilization strategy with a related action plan and timelines Date: March 2008



event





improvement

TCD-RMS1

Lack of resources in the Secretariat for the finalization of the strategy

No full time personnel in the Secretariat assigned exclusively to fund-raising for the ITCP activities and for donor relations

Financial 3 IMO Secretariat 4 C 3

TCD-RMS2

Very limited number of fund-raising companies which can assist with the development of the strategy

Very limited number of fund-raising companies with good knowledge of both the operation of the UN system and potential donors for the maritime sector

Operational 3 IMO Secretariat 4 C 3

TCD-RMS3

Lack of expertise in the Secretariat in identifying the fund-raising companies which can assist with the strategy

Lack of fund-raising expertise in the Secretariat, including knowledge of fund-raising mechanisms and ways to negotiate

Operational 3 IMO Secretariat 4 C 3



Respondent: (individual�s name) Division: Technical Co-operation Division (TCD) Sub-Division: n/a Section: All Objective: To increase TC delivery by 15%, as compared to 2007, through enhanced co-operation with other Divisions in the preparation and implementation of approved activities Date: March 2008



event





improvement

TCD-DEL1

Time constraints on Technical Co-operation (TC) Implementation Agents and Officers

Competing work priorities often force TC Implementation Agents/Implementation Officers to postpone the delivery of TC activities

Operational 3 Contract Managers in TCD; and TC Implementation Agents and Officers

4 C 3

TCD-DEL2

Non-availability of consultants

Non-availability of consultants at the time when the delivery of TC activities is scheduled

Operational 3 Contract Managers in TCD; TC Implementation Agents and Officers; and consultants

4 C 3

TCD-DEL3

Non-availability of host countries

Non-availability of host countries for regional events or difficulties encountered in reaching an agreement with beneficiary countries and consultants on suitable dates for national events

Operational 3 Contract Managers in TCD; TC Implementation Agents and Officers; beneficiary countries; and consultants

4 C 3

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