founded 1993 primary focus – enterprise risk management solutions company profile
TRANSCRIPT
• Founded 1993• Primary focus – Enterprise Risk
Management Solutions
COMPANY PROFILECOMPANY PROFILE
2005 – Bromide Technologies buys 30% of Guideline
Guideline’s BEE & Growth Guideline’s BEE & Growth PartnersPartners
2006 Bromide bought out by EOHEOH supports a staff of over a 1000 employeesEOH is a listed ICT company specialising in enterprise business solutions
Guideline expands service Guideline expands service capabilities through EOH capabilities through EOH
acquisitionacquisition
RUBI has been designed as a single integrated solution to implement enterprise risk management in any large organisation.
CEO -Risk ownerThe executive Division
The Board
Internal Audit
Group risk management
Sales and marketing
Compliance
HR Quality
Treasury/Finance
Production
Business Function/Activity
Risk Owner
Risk Facilitator
Risk Owner
Risk Owner
Risk Owner
Risk Owner
Risk Owner
Risk Owner
Risk Owner
Goals, objectives, strategies
objectives, strategies objectives, strategies objectives, strategies objectives, strategies objectives, strategies
Plans and Projects
objectives, strategies objectives, strategies objectives, strategies
The Executive division defines its
strategies and business
objectives
Risk Facilitator
Risk Facilitator
RUBI drives corporate governance
accountability and responsibility
•What can go wrong? (Risk Event)•How often could it happen? (Probability)•How bad can it get? (Impact and Consequence)
•What can go wrong? (Risk Event)•How often could it happen? (Probability)•How bad can it get? (Impact and Consequence)
•What did go wrong?•How did it impact on us?•What's the likelihood of it happening again?
•What did go wrong?•How did it impact on us?•What's the likelihood of it happening again?
Actions taken to reduce impact and probabilityActions taken to reduce impact and probability
Actions taken to correct and improve conditions when something goes wrong
Actions taken to correct and improve conditions when something goes wrong
Real time analysis showing where action needs to be taken to control the risk
Real time analysis showing where action needs to be taken to control the risk
Identifying and
measuring risk
Identifying and
measuring risk
Controlling and
managing risk
Controlling and
managing risk
•What can we measure to indicate that something is going wrong?
•What can we measure to indicate that something is going wrong?
Risk Assessment
Key Risk Indicators
Incident Management
AuditAuditAudit
(Are we doing what we intended to do in managing
the risk)
RUBI system of integrated
Enterprise Risk Management
Applicable Industries
• Banking / Finance• Brewing / Beverage• Timber / Lumber• Mining
• Postal Services• Utilities• Governmental Departments• City Services
The RUBI System has been successfully used by companies in the following industries:
THE RUBI MODULESTHE RUBI MODULES
RUBI is made up of 4 key modules:1. Risk Assessment Module2. Event Management Module3. Audit Module4. Key Risk Indicator Module
Risks are assessed and linked to processes and objectives
Causes are identifiedControls are identified and assessedAction plans are created to mitigate the riskRisk levels are continually monitoredControl reviews and action plans are driven to completion and risk profile is updated
Risk Assessment in ProgressRisk Assessment in Progress
Actions OutstandingActions Outstanding
After logging in, the home screen displays all the outstanding actions for each individual user
Action Plan ReviewAction Plan Review
Users are prompted to follow up on Action Plans with an automated email that links to the action plan
Control ReviewControl Review
Users are prompted to complete Control Reviews
Overview DashboardsOverview Dashboards
The Risk Assessment Module contains over 25 standard reports and overviews
Risk events are capturedEvents are investigated and managed to signoff Events can be risk assessed for future occurrenceTrends monitored against completed action plansNumber of incidents and amount of losses
adjusts company risk profile
Capturing an IncidentCapturing an Incident
Anyone in the company can register an incident
Incident Notifications Incident Notifications Sent to Responsible PeopleSent to Responsible People
Investigation & Case Investigation & Case Management OccursManagement Occurs
Analyze Causes, View Site Information,Analyze Causes, View Site Information,& Create Corrective Action Plans& Create Corrective Action Plans
RUBI Keeps All RUBI Keeps All Personnel InformedPersonnel Informed
RUBI Follows All Actions RUBI Follows All Actions Through to CompletionThrough to Completion
Company specific audit protocols definedAction plans on findings are trackedEscalations monitored and trackedIntegrates with other audit software
already in placeAudit results integrate into all other Modules
Define Key Risk Indicators & ThresholdsLink Key Risk Indicators to specific risksMonitors all other modules for risk indicatorsMonitors other source databases for risk indicatorsFlags alerts on indicator trendsAction Plans on indicators in the yellow/redEscalations of unhandled risksKey Risks adjust the integrated risk profile
Key Risk Indicators Key Risk Indicators & Thresholds Identified& Thresholds Identified
Key Risk Data Key Risk Data Captured ManuallyCaptured Manually
Turnover/sales targets
Budget targets
Staff Leave
System overloads
Customer Complaints
Card Fraud
Downtime
Slow response
Key Risk Data Key Risk Data Captured AutomaticallyCaptured Automatically
Monthly KRI DashboardsMonthly KRI Dashboards
Key Risk Action Plan Key Risk Action Plan MonitoringMonitoring
REPORTINGREPORTING
RUBI Calculates the Overall Risk ProfileRUBI Calculates the Overall Risk Profile
KRI Dashboards Regional Heat Maps
Break-Downs of Losses Advanced Slice/Dice Reporting
A Sample of the types of companies using A Sample of the types of companies using Guideline ProductsGuideline Products
South African Breweries– Enterprise Risk Management
Rand Water– Enterprise Risk Management
First Rand Group – Basel II Op Risk Standardised Approach
Standard Bank – Basel Standardised Op Risk Approach
Nedcor – Forensic Case Management
African Bank – Forensic Case Management
South African Post Office– Enterprise Risk Management
Guideline AfricaGuideline Africa400 16400 16thth Road RoadJohannesburg Johannesburg South AfricaSouth Africa+2711 312 1484+2711 312 1484
Guideline Risk TechnologiesGuideline Risk TechnologiesContact DetailsContact Details
Guideline USAGuideline USA2840 West Bay Dr2840 West Bay Dr
#125 #125 Belleair Bluffs, FloridaBelleair Bluffs, Florida
+1 202 657 4545+1 202 657 4545