Figures

  1. 1.1 Decision making is a balance between risk and opportunity
  2. 1.2 Risk tolerance relative to diverse goals and objectives
  3. 1.3 The elements of RIDM and CRM applied to the TRIO enterprise's management activities at various levels
  4. 2.1 The three levels of management within a typical enterprise
  5. 2.2 The principal activities and transfer of information within and between levels of management
  6. 2.3 Activities within the executive level and transfer of information from/to external and internal sources
  7. 2.4 Activities within a program directorate (programmatic level) and transfer of information from/to external and internal sources
  8. 2.5 Activities within a technical center (institutional/technical level) and transfer of information from/to external and internal sources
  9. 2.6 Interfaces between EROM activities and management activities in the development of an organizational plan
  10. 2.7 Interfaces between EROM activities and management activities in the evaluation of performance relative to the organizational plan
  11. 2.8 The relationship between governance, enterprise risk management, and internal controls according to the new OMB Circular A-123
  12. 3.1 Types of objectives developed at the executive level
  13. 3.2 Types of objectives developed at the programmatic level
  14. 3.3 Types of objectives developed at the institutional/technical level
  15. 3.4 Conceptualization of an enterprise-wide objectives hierarchy
  16. 3.5 Associating risk and opportunity information with objectives in the organizational objectives hierarchy
  17. 3.6 Risk and opportunity response and watch boundaries
  18. 3.7 Example taxonomy for enterprise risks and opportunities
  19. 3.8 Risk and opportunity leading indicator triggers
  20. 3.9 Hypothetical results showing how the elimination of a risk driver affects cumulative risk and the elimination of an opportunity driver affects cumulative opportunity
  21. 3.10 Iterative process for identifying and evaluating a risk response, opportunity action, and internal control plan that balances cumulative risk, cumulative opportunity, and cost
  22. 4.1 Executive-level objectives for the example demonstration
  23. 4.2 Programmatic-level objectives for the example demonstration
  24. 4.3 Center-level objectives for the example demonstration
  25. 4.4 Integrated objectives hierarchy showing primary interfaces between objectives
  26. 4.5 Individual risks and associated leading indicators for executive-level objectives
  27. 4.6 Individual risks and associated leading indicators for program-level objectives
  28. 4.7 Individual risks and associated leading indicators for center-level objectives
  29. 4.8 Individual opportunities, introduced risks, and associated leading indicators for executive-level objectives
  30. 4.9 Secondary objective interfaces for the example demonstration
  31. 4.10 Schematic of roll-up method alternative 1 for Objective E (>10) #1
  32. 4.11 Schematic of roll-up method alternative 2 for Objective E (>10) #1
  33. 4.12 Schematic of risk roll-up for Objective P (1) #11 in the example demonstration
  34. 4.13 Illustration of risk and opportunity scenario drivers and their time-frame criticalities
  35. 4.14 Illustration of risk and opportunity constituent drivers and their time-frame criticalities
  36. 4.15 Schematic showing the upward propagation of templates for full-scope EROM applications
  37. 5.1 The extended organization for a NASA center
  38. 5.2 NASA example of how each center takes risk and opportunity inputs from a variety of entities and supports multiple strategic objectives of the agency
  39. 5.3 A representative EROM organizational chart for a technical center that manages extended enterprises
  40. 5.4 The success of a technical center's inherited strategic objectives is dependent on the “right-sizing” of the resources available to the center (NASA example)
  41. 5.5 Outline of the steps in the iterative process for optimizing asset distributions based on costs and current and projected values of leading indicators
  42. 5.6 Illustration of iterative process for optimizing asset distributions based on costs and current and projected values of leading indicators
  43. 6.1 Integration of qualitative and quantitative modeling to evaluate the likelihood of success of a commercial TRIO enterprise
  44. 6.2 Example enterprise risk taxonomy for a commercial TRIO enterprise
  45. 6.3 Example opportunity taxonomy for a commercial TRIO enterprise
  46. 6.4 Example risk scenario statement and scenario event diagram for a risk in the taxonomic category “Competition from other companies”
  47. 6.5 Example risk scenario statement and scenario event diagram for a risk in the taxonomic category “Customer satisfaction”
  48. 6.6 Example risk scenario statement and scenario event diagram for a risk in the taxonomic category “Leadership mortality and succession issues”
  49. 6.7 Example risk scenario statement and scenario event diagram for a risk in the taxonomic category “Accident causing human deaths”
  50. 6.8 Example risk scenario statement and scenario event diagram for a risk in the taxonomic category “Changes in foreign exchange rates and interest rates”
  51. 6.9 Example risk scenario statement and scenario event diagram for a risk in the taxonomic category “Labor strikes”
  52. 6.10 Example risk scenario statement and scenario event diagram for a risk in the taxonomic category “Exploitation of new technology”
  53. 6.11 Example risk scenario statement and scenario event diagram for a risk in the taxonomic category “Act of terror”
  54. 6.12 Example risk and opportunity matrix for quantitative financial objectives
  55. 6.13 Example risk scenario statement, scenario event diagram, and scenario matrix for a risk in the taxonomic category “Competition from other companies”
  56. 6.14 Example risk scenario statement, scenario event diagram, and scenario matrix for a risk in the taxonomic category “Exploitation of new technology”
  57. 7.1 Objectives and hypothetical cumulative risk parity table for GMD example
  58. 7.2 Risks and leading indicators for GMD example (2002 time frame)
  59. 7.3 Hypothetical composite leading indicator parity table for GMD example
  60. 7.4 Objectives and hypothetical cumulative risk parity table for CCTS example
  61. 9.1 Relationship between the TCA process and the EROM objectives interface and influence template
  62. 9.2 Relationship between the EROM risk-and-opportunity-based asset optimization process and the TCA asset right-sizing objective
  63. 9.3 Relationship between the EROM risk and opportunity identification and leading indicator evaluation templates and the SAR process
  64. 9.4 Relationship between the EROM risk and opportunity roll-up templates and the SAR process
  65. 10.1 Conceptualization of the relationship between governance, risk management, and internal controls: strategic planning
  66. 10.2 Conceptualization of the relationship between governance, risk management, and internal controls: organizational performance evaluation
  67. 10.3 Simplified schematic of the interfaces between organizational management functions and organizational management levels
  68. 10.4 Standard control loop form
  69. 10.5 Example simple control loop for a mechanical system
  70. 10.6 Example form of a hierarchical system of internal control loops
  71. 10.7 Example primary control loop for the objective of improving risk management and system safety methodology and practice within the enterprise
  72. 10.8 Process diagram for the selected control activity: “Develop and update risk management and system safety policies, procedures, standards, and guides”
  73. 10.9 Secondary control loop for the selected control activity: “Develop and update risk management and system safety policies, procedures, standards, and guides”
  74. 10.10 Process diagram and tertiary control loop for the selected control activity: “Develop and update RM and SS policies, procedures, standards, and guides”
  75. 10.11 Example primary control loop for CCP's objective of achieving acceptable safety within schedule and budget using the RBA process and shared assurance model
  76. 10.12 Example generic primary control loop for achievement of internal control principles
  77. 10.13 Example primary control loop for demonstration of a commitment to integrity and ethical values
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