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The Alarm National

Performance Model
for Risk Management
in the Public Services
The Alarm National Performance Model for Risk Management in the Public Services
The comprehensive National
Performance Model:
Measures current performance
against a recognised achievement
level
Provides the basis for clear
performance indicators
Acts as a catalyst for improved
performance within the
organisation
Informs assurance in corporate
governance terms
Demonstrates current maturity in
terms of
- External inspection expectations
- National and international
standards
Allows for comparison with other
organisations and learning from
best practice through systematic
benchmarking
Organisations can use the National
Performance Model Assessment
Framework to undertake quick
health checks of their organisation
by using the indicators within the
summary of progress to come to
a conclusion of their current risk
management maturity level.
What does good risk management look like in a public service organisation?
The Alarm National Performance Model for Risk Management in the Public Services has been designed to answer
that key question. Using the experience and expertise of risk managers, risk consultants and other experts, this
performance model maps out risk management maturity, clearly and concisely.
A detailed and comprehensive set of questions have been designed to test
current performance against the Assessment Framework. This self-assessment
questionnaire has been designed by Alarms Benchmarking Special Interest
Group and forms the basis of Alarms Benchmarking Programme, due to launch
in 2010. This document provides an overview of the key areas of the Alarm
National Performance Model and Assessment Framework.
Assessment Framework
Risk Management Activity
The National Performance Model breaks down risk management activity into
seven strands: ve enablers and two focused on results.
Enablers Results
Leadership and management Risk handling and assurance
Strategy and policy Outcomes and delivery
People
Partnership, shared risks and resources
Processes and tools
Risk Management Maturity
The Model tests the extent to which risk management is having a positive effect
on the organisation. Risk management maturity is assessed as being at one of
ve levels:
Level 1 Risk management is engaging with the organisation
Level 2 Risk management is happening within the organisation
Level 3 Risk management is working for the organisation
Level 4 Risk management is embedded and integrated within the organisation
Level 5 Risk management is driving the organisation
This section is concerned with:
Risk judgements
Clear direction
Risk appetite
Assessment Framework
The Alarm National Risk Management Performance Model Assessment Framework is adapted from the EFQM Excellence Model. Alarm also acknowledges, with thanks,
the inuence of the HM Treasury Self-Assessment Tool: Risk Management Framework (RMAF) on the development of this model.
The questions in this section deal with:
Information and decision making
Escalation and reporting systems
Accountability and management
responsibility
The following pages show how each activity within the National Performance Model is assessed:
Leadership and Management
Do senior management and the Executive Board support and promote risk management?
For this section, you should have
evidence to demonstrate the extent
to which the leadership of the
organisation:
Uses risk management to develop
effective policies at the policy
making stage
Uses risk management to achieve
better outcomes
Provides clear direction on the
management of risk
Enables unanimity on the key
strategic risks
Summary of Behavioural Progress toward Leadership and Management Maturity
Capabilities
People
Strategy
& Policy
Partnerships,
Shared Risks
& Resources
Leadership &
Membership
Processes
& Tools
Risk Handling
& Assurance
Outcomes
& Delivery
Innovation & Learning
Results
Level 1
Engaging
Senior management
are aware of the need
to manage uncertainty
and risk and have made
resources available to
improve
Level 2
Happening
Board/ Councillors
and senior managers
take the lead to ensure
that approaches for
addressing risk are
being developed and
implemented
Level 3
Working
Senior managers take
the lead to apply risk
management thoroughly
across the organisation
Level 4
Embedded &
Working
Risk management is
championed by the CEO
Level 5
Driving
Senior management uses
consideration of risk to
drive excellence through
the business, with strong
support and reward for
well-managed risk-taking
Typical organisational behaviour
associated with each level of maturity
Evidence of maturity level
Self-assessment topics Areas of risk practice covered by this activity
Key activity being measured
Level 5
Driving
Level 1
Engaging
Level 4
Embedded
& Working
Level 2
Happening
Level 3
Working
The Alarm National Performance Model for Risk Management in the Public Services
The comprehensive National
Performance Model:
Measures current performance
against a recognised achievement
level
Provides the basis for clear
performance indicators
Acts as a catalyst for improved
performance within the
organisation
Informs assurance in corporate
governance terms
Demonstrates current maturity in
terms of
- External inspection expectations
- National and international
standards
Allows for comparison with other
organisations and learning from
best practice through systematic
benchmarking
Organisations can use the National
Performance Model Assessment
Framework to undertake quick
health checks of their organisation
by using the indicators within the
summary of progress to come to
a conclusion of their current risk
management maturity level.
What does good risk management look like in a public service organisation?
The Alarm National Performance Model for Risk Management in the Public Services has been designed to answer
that key question. Using the experience and expertise of risk managers, risk consultants and other experts, this
performance model maps out risk management maturity, clearly and concisely.
A detailed and comprehensive set of questions have been designed to test
current performance against the Assessment Framework. This self-assessment
questionnaire has been designed by Alarms Benchmarking Special Interest
Group and forms the basis of Alarms Benchmarking Programme, due to launch
in 2010. This document provides an overview of the key areas of the Alarm
National Performance Model and Assessment Framework.
Assessment Framework
Risk Management Activity
The National Performance Model breaks down risk management activity into
seven strands: ve enablers and two focused on results.
Enablers Results
Leadership and management Risk handling and assurance
Strategy and policy Outcomes and delivery
People
Partnership, shared risks and resources
Processes and tools
Risk Management Maturity
The Model tests the extent to which risk management is having a positive effect
on the organisation. Risk management maturity is assessed as being at one of
ve levels:
Level 1 Risk management is engaging with the organisation
Level 2 Risk management is happening within the organisation
Level 3 Risk management is working for the organisation
Level 4 Risk management is embedded and integrated within the organisation
Level 5 Risk management is driving the organisation
This section is concerned with:
Risk judgements
Clear direction
Risk appetite
Assessment Framework
The Alarm National Risk Management Performance Model Assessment Framework is adapted from the EFQM Excellence Model. Alarm also acknowledges, with thanks,
the inuence of the HM Treasury Self-Assessment Tool: Risk Management Framework (RMAF) on the development of this model.
The questions in this section deal with:
Information and decision making
Escalation and reporting systems
Accountability and management
responsibility
The following pages show how each activity within the National Performance Model is assessed:
Leadership and Management
Do senior management and the Executive Board support and promote risk management?
For this section, you should have
evidence to demonstrate the extent
to which the leadership of the
organisation:
Uses risk management to develop
effective policies at the policy
making stage
Uses risk management to achieve
better outcomes
Provides clear direction on the
management of risk
Enables unanimity on the key
strategic risks
Summary of Behavioural Progress toward Leadership and Management Maturity
Capabilities
People
Strategy
& Policy
Partnerships,
Shared Risks
& Resources
Leadership &
Membership
Processes
& Tools
Risk Handling
& Assurance
Outcomes
& Delivery
Innovation & Learning
Results
Level 1
Engaging
Senior management
are aware of the need
to manage uncertainty
and risk and have made
resources available to
improve
Level 2
Happening
Board/ Councillors
and senior managers
take the lead to ensure
that approaches for
addressing risk are
being developed and
implemented
Level 3
Working
Senior managers take
the lead to apply risk
management thoroughly
across the organisation
Level 4
Embedded &
Working
Risk management is
championed by the CEO
Level 5
Driving
Senior management uses
consideration of risk to
drive excellence through
the business, with strong
support and reward for
well-managed risk-taking
Typical organisational behaviour
associated with each level of maturity
Evidence of maturity level
Self-assessment topics Areas of risk practice covered by this activity
Key activity being measured
Level 5
Driving
Level 1
Engaging
Level 4
Embedded
& Working
Level 2
Happening
Level 3
Working
The Alarm National Performance Model for Risk Management in the Public Services
Summary of Behavioural Progress toward Strategy and Policy Maturity
This section is concerned with:
Risk judgements
Clear direction
Risk appetite
Understanding of key risks
Accountability and responsibility
Driving improvement
Challenge to levels of risk
acceptance
Stakeholder engagement
The questions in this section deal with:
Information and decision making
Escalation and reporting systems
Leadership and Management
Do senior management and the Executive Board support and promote risk management?
Accountability and management
responsibility
Leading risk management
implementation
Stakeholders engagement
For this section, you should have
evidence to demonstrate the extent
to which the leadership of the
organisation:
Uses risk management to develop
effective policies at the policy
making stage
Uses risk management to achieve
better outcomes
Provides clear direction on the
management of risk
Enables unanimity on the key
strategic risks
Sets the criteria/ arrangements
for the organisations appetite for
taking risks
Encourages innovation through
well-managed risk-taking
Supports staff when things go
wrong (i.e. avoids a blame culture)
Ensures clear accountability for
managing risk
Drives implementation of
improvements in risk management
Uses the principles of good
governance to manage risks
This section is concerned with:
A strategic approach to the
management of risk and
increasing its effectiveness
Policies
The questions in this section deal with:
Strategy development
Summary of Behavioural Progress toward Leadership and Management Maturity
Strategy and Policy
Are there clear strategies and policies for risk?
Risk management policy
(including risk appetite)
Risk management framework and
strategy implementation
For this section, you should have
evidence to demonstrate the extent to
which the organisation has:
Set a clear direction for the
scope and priorities of its risk
management
Set the organisations
requirements of risk management
as part of its overall approach to
governance
Designed and implemented a risk
management framework
Level 1
Engaging
The need for a risk
strategy and risk-related
policies has been
identied and accepted
The risk management
system may be
undocumented with few
formal processes present
Level 2
Happening
Risk management
strategy and
polices drawn up,
communicated and
being acted upon
Roles and responsibilities
established, key
stakeholders engaged
Level 3
Working
Risk management
principles are reected
in the organisations
strategies and policies
Risk framework is
reviewed, developed,
rened and
communicated
Level 4
Embedded &
Working
Risk handling is an
inherent feature of policy
and strategy making
processes
Risk management
system is benchmarked
and best practices
identied and shared
across the organisation
Level 5
Driving
Risk management
capability in policy and
strategy making helps
to drive organisational
excellence
Level 1
Engaging
Senior management
are aware of the need
to manage uncertainty
and risk and have made
resources available to
improve
Level 2
Happening
Board/ Councillors
and senior managers
take the lead to ensure
that approaches for
addressing risk are
being developed and
implemented
Level 3
Working
Senior managers take
the lead to apply risk
management thoroughly
across the organisation
They own and manage a
register of key strategic
risks and set the risk
appetite
Level 4
Embedded &
Working
Risk management is
championed by the CEO
The Board and senior
managers challenge the
risks to the organisation
and understand their risk
appetite
Management leads risk
management by example
Level 5
Driving
Senior management uses
consideration of risk to
drive excellence through
the business, with strong
support and reward for
well-managed risk-taking
Level 5
Driving
Level 1
Engaging
Level 4
Embedded
& Working
Level 2
Happening
Level 3
Working
Level 5
Driving
Level 1
Engaging
Level 4
Embedded
& Working
Level 2
Happening
Level 3
Working
The Alarm National Performance Model for Risk Management in the Public Services
Summary of Behavioural Progress toward Strategy and Policy Maturity
This section is concerned with:
Risk judgements
Clear direction
Risk appetite
Understanding of key risks
Accountability and responsibility
Driving improvement
Challenge to levels of risk
acceptance
Stakeholder engagement
The questions in this section deal with:
Information and decision making
Escalation and reporting systems
Leadership and Management
Do senior management and the Executive Board support and promote risk management?
Accountability and management
responsibility
Leading risk management
implementation
Stakeholders engagement
For this section, you should have
evidence to demonstrate the extent
to which the leadership of the
organisation:
Uses risk management to develop
effective policies at the policy
making stage
Uses risk management to achieve
better outcomes
Provides clear direction on the
management of risk
Enables unanimity on the key
strategic risks
Sets the criteria/ arrangements
for the organisations appetite for
taking risks
Encourages innovation through
well-managed risk-taking
Supports staff when things go
wrong (i.e. avoids a blame culture)
Ensures clear accountability for
managing risk
Drives implementation of
improvements in risk management
Uses the principles of good
governance to manage risks
This section is concerned with:
A strategic approach to the
management of risk and
increasing its effectiveness
Policies
The questions in this section deal with:
Strategy development
Summary of Behavioural Progress toward Leadership and Management Maturity
Strategy and Policy
Are there clear strategies and policies for risk?
Risk management policy
(including risk appetite)
Risk management framework and
strategy implementation
For this section, you should have
evidence to demonstrate the extent to
which the organisation has:
Set a clear direction for the
scope and priorities of its risk
management
Set the organisations
requirements of risk management
as part of its overall approach to
governance
Designed and implemented a risk
management framework
Level 1
Engaging
The need for a risk
strategy and risk-related
policies has been
identied and accepted
The risk management
system may be
undocumented with few
formal processes present
Level 2
Happening
Risk management
strategy and
polices drawn up,
communicated and
being acted upon
Roles and responsibilities
established, key
stakeholders engaged
Level 3
Working
Risk management
principles are reected
in the organisations
strategies and policies
Risk framework is
reviewed, developed,
rened and
communicated
Level 4
Embedded &
Working
Risk handling is an
inherent feature of policy
and strategy making
processes
Risk management
system is benchmarked
and best practices
identied and shared
across the organisation
Level 5
Driving
Risk management
capability in policy and
strategy making helps
to drive organisational
excellence
Level 1
Engaging
Senior management
are aware of the need
to manage uncertainty
and risk and have made
resources available to
improve
Level 2
Happening
Board/ Councillors
and senior managers
take the lead to ensure
that approaches for
addressing risk are
being developed and
implemented
Level 3
Working
Senior managers take
the lead to apply risk
management thoroughly
across the organisation
They own and manage a
register of key strategic
risks and set the risk
appetite
Level 4
Embedded &
Working
Risk management is
championed by the CEO
The Board and senior
managers challenge the
risks to the organisation
and understand their risk
appetite
Management leads risk
management by example
Level 5
Driving
Senior management uses
consideration of risk to
drive excellence through
the business, with strong
support and reward for
well-managed risk-taking
Level 5
Driving
Level 1
Engaging
Level 4
Embedded
& Working
Level 2
Happening
Level 3
Working
Level 5
Driving
Level 1
Engaging
Level 4
Embedded
& Working
Level 2
Happening
Level 3
Working
The Alarm National Performance Model for Risk Management in the Public Services
Summary of Behavioural Progress toward Partnership, Shared Risks and Resources Maturity
Summary of Behavioural Progress toward People Maturity
Partnerships, Shared Risks and Resources
Are there effective arrangements for managing risks with partners?
Key people are aware of
areas of potential risk in
partnerships and the need
to allocate resources to
manage risk
Approaches for
addressing risk with
partners are being
developed and
implemented
Appropriate tools are
developed and resources
for risk identied
Risk with partners and
suppliers is well managed
across organisational
boundaries
Appropriate resources are
in place to manage risk
Sound governance
arrangements are
established
Partners support
one anothers risk
management capacity and
capability
Clear evidence of
improved partnership
delivery through risk
management and that key
risks to the community are
being effectively managed
This section is concerned with:
Culture
Roles and responsibilities
Skills, training and guidance
Communications
The questions in this section deal with:
Risk management culture
Responsibility
Skills and guidance - capability
Communications
People
Are people equipped and supported to manage risk well?
For this section, you should have
evidence to demonstrate the extent to
which there is:
A risk-aware culture as opposed
to a risk-averse culture at all levels
within the organisation
Responsibilities for risks are
allocated to individuals to manage
There are arrangements to ensure
appropriate risk management
awareness, knowledge,
experience and skills among:
- Governors/ Executive Members
- Senior management
- Staff
Key people are aware of
the need to understand
risk principles and increase
capacity and competency
in risk management
techniques through
appropriate training
Suitable guidance is
available and a training
programme has been
implemented to develop
risk capability
A core group of people
have the skills and
knowledge to manage risk
effectively and implement
the risk management
framework
Staff are aware of key risks
and responsibilities
People are encouraged
and supported to take
managed risks through
innovation
Regular training and clear
communication of risk is
in place
All staff are empowered
to be responsible for risk
management
The organisation has a
good record of innovation
and well-managed risk-
taking
Absence of a blame
culture
This section is concerned with:
Managing risk to and within
partnerships
Area specic risks
Shared risks
Risk faced by the community
Local resilience
Partnership guidance
Joint risk registers
Resources available to manage
risk effectively
The questions in this section deal with:
Partnerships and shared risks
Risk nance
Information and knowledge
Tools
For this section, you should have
evidence to demonstrate the extent to
which:
There are agreed mechanisms
for identifying, assessing and
managing risks in each key
partnership
There is a common risk
language which creates shared
understanding of the key
partnerships risk appetite
There are appropriate
mechanisms for the provision
and testing of contingency
arrangements
There are appropriate
mechanisms for identifying and
addressing the implications of
sharing risk amongst those best
placed to manage them
Level 5
Driving
Level 1
Engaging
Level 4
Embedded
& Working
Level 2
Happening
Level 3
Working
Level 5
Driving
Level 1
Engaging
Level 4
Embedded
& Working
Level 2
Happening
Level 3
Working
The Alarm National Performance Model for Risk Management in the Public Services
Summary of Behavioural Progress toward Partnership, Shared Risks and Resources Maturity
Summary of Behavioural Progress toward People Maturity
Partnerships, Shared Risks and Resources
Are there effective arrangements for managing risks with partners?
Key people are aware of
areas of potential risk in
partnerships and the need
to allocate resources to
manage risk
Approaches for
addressing risk with
partners are being
developed and
implemented
Appropriate tools are
developed and resources
for risk identied
Risk with partners and
suppliers is well managed
across organisational
boundaries
Appropriate resources are
in place to manage risk
Sound governance
arrangements are
established
Partners support
one anothers risk
management capacity and
capability
Clear evidence of
improved partnership
delivery through risk
management and that key
risks to the community are
being effectively managed
This section is concerned with:
Culture
Roles and responsibilities
Skills, training and guidance
Communications
The questions in this section deal with:
Risk management culture
Responsibility
Skills and guidance - capability
Communications
People
Are people equipped and supported to manage risk well?
For this section, you should have
evidence to demonstrate the extent to
which there is:
A risk-aware culture as opposed
to a risk-averse culture at all levels
within the organisation
Responsibilities for risks are
allocated to individuals to manage
There are arrangements to ensure
appropriate risk management
awareness, knowledge,
experience and skills among:
- Governors/ Executive Members
- Senior management
- Staff
Key people are aware of
the need to understand
risk principles and increase
capacity and competency
in risk management
techniques through
appropriate training
Suitable guidance is
available and a training
programme has been
implemented to develop
risk capability
A core group of people
have the skills and
knowledge to manage risk
effectively and implement
the risk management
framework
Staff are aware of key risks
and responsibilities
People are encouraged
and supported to take
managed risks through
innovation
Regular training and clear
communication of risk is
in place
All staff are empowered
to be responsible for risk
management
The organisation has a
good record of innovation
and well-managed risk-
taking
Absence of a blame
culture
This section is concerned with:
Managing risk to and within
partnerships
Area specic risks
Shared risks
Risk faced by the community
Local resilience
Partnership guidance
Joint risk registers
Resources available to manage
risk effectively
The questions in this section deal with:
Partnerships and shared risks
Risk nance
Information and knowledge
Tools
For this section, you should have
evidence to demonstrate the extent to
which:
There are agreed mechanisms
for identifying, assessing and
managing risks in each key
partnership
There is a common risk
language which creates shared
understanding of the key
partnerships risk appetite
There are appropriate
mechanisms for the provision
and testing of contingency
arrangements
There are appropriate
mechanisms for identifying and
addressing the implications of
sharing risk amongst those best
placed to manage them
Level 5
Driving
Level 1
Engaging
Level 4
Embedded
& Working
Level 2
Happening
Level 3
Working
Level 5
Driving
Level 1
Engaging
Level 4
Embedded
& Working
Level 2
Happening
Level 3
Working
The Alarm National Performance Model for Risk Management in the Public Services
Summary of Behavioural Progress toward Risk Handling and Assurance Maturity
Risk Handling and Assurance
Are risks handled well and does the organisation have assurance that risk management
is delivering successful outcomes and supporting creative risk-taking?
No clear evidence that
risk management is being
effective
Some evidence that risk
management is being
effective
Performance monitoring
and assurance reporting
being developed
Clear evidence that risk
management is being
effective in all key areas
Capability assessed
within a formal assurance
framework and against
best practice standards
Evidence that risk
management is being
effective and useful for
the organisation and
producing clear benets
Evidence of innovative risk
taking
Clear evidence that risks
are being effectively
managed throughout the
organisation
Considered risk taking
part of the organisational
culture
This section is concerned with:
Successfully seizing opportunities
Considered risk-taking
Supporting innovation
Challenges to preconceptions of
risk
Assurance of the organisations
level of compliance against the
risk management strategy
The questions in this section deal with:
Risk handling
Assurance and performance
For this section, you should have
evidence to demonstrate the extent
to which risk management-related
activity has contributed to:
Delivering innovation
Effective anticipation and
management of strategic risks
Effective decision making
Effective policy making
Effective handling of cross-cutting
issues
Effective review of business
planning and target setting
Effective management of risks to
the public
Effective risk allocation
Better management of risks to
delivery
Greater efciency/ reduced costs
Information integrity and asset
security
Some stand-alone risk
processes have been
identied and are being
developed
The need for service
continuity arrangements
has been identied
Risk management
processes are being
implemented and reported
upon in key areas
Service continuity
arrangements are being
developed in key areas
Risk management
processes used to support
key business processes
Early warning indicators
and lessons learned are
reported
Critical services supported
through continuity plans
A framework of risk
management processes in
place and used to support
service delivery
Robust business
continuity management
system in place
Management of risk
and uncertainty is well-
integrated with all key
business processes and
shown to be a key driver
in business success
Processes
Does the organisation have effective risk management processes to support the business?
This section is concerned with:
Embedding risk management
in organisational management
processes
Identication and evaluation
criteria
Risk controls
Action planning and reporting
Use of risk management in
strategic and nancial planning,
policy making and review,
performance, and project and
contract management
Use of risk management in
decision making
Risk management integration into
key business processes
The questions in this section deal with:
Risk management process
overview
Links to business/ service
processes
Risk context
Risk identication
Risk assessment
Risk response
Risk reporting and review
Investigation and root cause
analysis
Service continuity management
For this section, you should have
evidence to demonstrate the extent to
which risk management contributes to
the success of the following business
processes in your organisation:
Policy making
Performance management
Governance arrangements
Financial management;
and the extent to which:
Risk processes support a lessons
learnt culture
There is an effective business
continuity framework in place to
support service delivery
Summary of Behavioural Progress toward Processes Maturity
Level 5
Driving
Level 1
Engaging
Level 4
Embedded
& Working
Level 2
Happening
Level 3
Working
Level 5
Driving
Level 1
Engaging
Level 4
Embedded
& Working
Level 2
Happening
Level 3
Working
The Alarm National Performance Model for Risk Management in the Public Services
Summary of Behavioural Progress toward Risk Handling and Assurance Maturity
Risk Handling and Assurance
Are risks handled well and does the organisation have assurance that risk management
is delivering successful outcomes and supporting creative risk-taking?
No clear evidence that
risk management is being
effective
Some evidence that risk
management is being
effective
Performance monitoring
and assurance reporting
being developed
Clear evidence that risk
management is being
effective in all key areas
Capability assessed
within a formal assurance
framework and against
best practice standards
Evidence that risk
management is being
effective and useful for
the organisation and
producing clear benets
Evidence of innovative risk
taking
Clear evidence that risks
are being effectively
managed throughout the
organisation
Considered risk taking
part of the organisational
culture
This section is concerned with:
Successfully seizing opportunities
Considered risk-taking
Supporting innovation
Challenges to preconceptions of
risk
Assurance of the organisations
level of compliance against the
risk management strategy
The questions in this section deal with:
Risk handling
Assurance and performance
For this section, you should have
evidence to demonstrate the extent
to which risk management-related
activity has contributed to:
Delivering innovation
Effective anticipation and
management of strategic risks
Effective decision making
Effective policy making
Effective handling of cross-cutting
issues
Effective review of business
planning and target setting
Effective management of risks to
the public
Effective risk allocation
Better management of risks to
delivery
Greater efciency/ reduced costs
Information integrity and asset
security
Some stand-alone risk
processes have been
identied and are being
developed
The need for service
continuity arrangements
has been identied
Risk management
processes are being
implemented and reported
upon in key areas
Service continuity
arrangements are being
developed in key areas
Risk management
processes used to support
key business processes
Early warning indicators
and lessons learned are
reported
Critical services supported
through continuity plans
A framework of risk
management processes in
place and used to support
service delivery
Robust business
continuity management
system in place
Management of risk
and uncertainty is well-
integrated with all key
business processes and
shown to be a key driver
in business success
Processes
Does the organisation have effective risk management processes to support the business?
This section is concerned with:
Embedding risk management
in organisational management
processes
Identication and evaluation
criteria
Risk controls
Action planning and reporting
Use of risk management in
strategic and nancial planning,
policy making and review,
performance, and project and
contract management
Use of risk management in
decision making
Risk management integration into
key business processes
The questions in this section deal with:
Risk management process
overview
Links to business/ service
processes
Risk context
Risk identication
Risk assessment
Risk response
Risk reporting and review
Investigation and root cause
analysis
Service continuity management
For this section, you should have
evidence to demonstrate the extent to
which risk management contributes to
the success of the following business
processes in your organisation:
Policy making
Performance management
Governance arrangements
Financial management;
and the extent to which:
Risk processes support a lessons
learnt culture
There is an effective business
continuity framework in place to
support service delivery
Summary of Behavioural Progress toward Processes Maturity
Level 5
Driving
Level 1
Engaging
Level 4
Embedded
& Working
Level 2
Happening
Level 3
Working
Level 5
Driving
Level 1
Engaging
Level 4
Embedded
& Working
Level 2
Happening
Level 3
Working
The Alarm National Performance Model for Risk Management in the Public Services
Outcomes and Delivery
Does risk management contribute to achieving outcomes?
This section is concerned with:
Risk management efforts making
a contribution to successful
outcomes
Learning from best practice and
continuous improvement
The questions in this section deal with:
Risk management contribution to
overall performance
Risk management contribution to
specic outcomes
In this section you should have
evidence to demonstrate the extent
to which risk management action
contributes to:
Successful delivery of improved
outcomes for local people/ the
community
Meeting planned nancial
outcomes
Increased public condence that
risks are well-managed
The high reputation of the
organisation
Successful innovation
Summary of Behavioural Progress toward Outcomes and Delivery Maturity
Level 5
Driving
Level 1
Engaging
Level 4
Embedded
& Working
Level 2
Happening
Level 3
Working
No clear evidence of
improved outcomes
Limited evidence that risk
management is being
effective in, at least, the
most relevant areas
Clear evidence that risk
management is supporting
the delivery of key
outcomes in all relevant
areas
Very clear evidence of
very signicantly improved
delivery of all relevant
outcomes and showing
positive and sustained
improvement
Risk management
arrangements clearly
acting as a driver for
change and linked to
plans and planning cycles
A
l
a
r
m

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t
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4
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E
m
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&

W
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The Alarm National Performance Model for Risk Management in the Public Services
Outcomes and Delivery
Does risk management contribute to achieving outcomes?
This section is concerned with:
Risk management efforts making
a contribution to successful
outcomes
Learning from best practice and
continuous improvement
The questions in this section deal with:
Risk management contribution to
overall performance
Risk management contribution to
specic outcomes
In this section you should have
evidence to demonstrate the extent
to which risk management action
contributes to:
Successful delivery of improved
outcomes for local people/ the
community
Meeting planned nancial
outcomes
Increased public condence that
risks are well-managed
The high reputation of the
organisation
Successful innovation
Summary of Behavioural Progress toward Outcomes and Delivery Maturity
Level 5
Driving
Level 1
Engaging
Level 4
Embedded
& Working
Level 2
Happening
Level 3
Working
No clear evidence of
improved outcomes
Limited evidence that risk
management is being
effective in, at least, the
most relevant areas
Clear evidence that risk
management is supporting
the delivery of key
outcomes in all relevant
areas
Very clear evidence of
very signicantly improved
delivery of all relevant
outcomes and showing
positive and sustained
improvement
Risk management
arrangements clearly
acting as a driver for
change and linked to
plans and planning cycles
A
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&

D
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