Enterprise Risk Management Process Overview
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1 Enterprise Risk Management Process Overview MISO Corporate Governance and Strategic Planning October 20, 2013
2 2013 ERM assessments indicated current status and improvement needs Booz & Company Study Maturity Assessment: Policy Risk: Operational Risk: Member Risk: Lagging Common Distinctive Leading Assessed Capability Recommendations: Aspiration Perspective Formalize risk assessment process Transform ERM into a Center of Excellence Increase / expand risk training Incorporate ERM into the Corporate Planning process Clifton Larson Allen Audit Recommendations: Formalize ERM processes and responsibilities company-wide Formalize assignment of and responsibilities for risk mitigation ownership and reporting Align strategic planning activities and ERM Formally document risk assessments using consistent methodologies and tools 1
3 ERM is addressing these items and implementing a Center of Excellence / Partnership Model Proposed Operating Model Partnership Model ERM Facilitate Support Discussion Board and executive buy-in and top-down communications are essential to implementing a Partnership Model Risk Philosophy Risk Identification Governance Risk Reporting Expertise Advise Training Tool Development ERM should continue to build expertise on the latest risk issues and analytics in order to provide value to the Business Divisions Risk Identification & Analysis Business Divisions Risk Ownership Risk Management & Strategy Effective training program for directors / managers and employees will improve company risk culture and build trust between ERM and the organization 2
4 As ERM transitions to a strategic partner, the business functions will be better equipped to identify, own, and manage their risks Key Interfaces ERM assesses for risks and risk correlations during strategic scenario and plan development ERM accounts for risk elements during development of corporate objectives document ERM Key Interfaces ERM and Business Divisions collaborate on initial risk identification and assessment ERM and Business Divisions coordinate in developing and reviewing Composite Risk Report Strategic Planning Business Divisions Key Interfaces Business Divisions participate in issue development and vetting 3
5 Board structure for risk discussions Decentralized Oversight for Risk Management, based on committee subject matter expertise Board of Directors Corporate Governance & Strategic Planning Reporting on most significant risks ERM process & strategic risks System Planning Markets Information Technology Human Resources Audit & Finance generation and transmission planning, MTEP, resource adequacy grid reliability, market operations / efficiencies, new products / services system availability, performance; new technologies; cyber security health & safety, benefits, ethics & conduct financial audit, reporting, cost recovery, risks identified by internal audit 4
6 ERM process advances in 2013 Aligned Strategic Planning, Business Planning, and ERM Formally documented ERM processes and responsibilities Risk mitigation ownership Risk assessment methods and tools Integrated risk in line organization planning process Improved corporate visibility into operational risks 5
7 ERM s 2014 plan for continuing improvement Continuing process improvement Enhanced risk assessment tools Tiered risk reporting Expanded ERM Training Management Team Continued transformation into a Center of Excellence 6
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