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In order to enable AFP/F to more effectively achieve its mission, an understanding of its risks is important. Therefore AFP/F asks its Board advisors, all Director-level employees and up, as well as other key employees, to complete the following annual Risk Assessment Survey. The results of this survey will assist in creating an action plan to mitigate risks for our organizations. This survey asks for identifying information as well as in-depth questions for 25 specified risks.
We estimate that this survey will take approximately 30 minutes to complete. This survey can be saved and completed at a later point in time.
We ask that you submit your responses no later than Friday, September 26, 2014.
Thank you for your input. |
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| * Where is your office located? | | |
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| * What is your department? | | |
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| * What do you believe are the top five most significant challenges that our organizations face? | | |
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Environmental Risks
1. Political/Judicial Risk: The risk that a changing political environment or new judicial rulings will result in a new regulatory environment that will impair the ability of the organizations to raise sufficient funds or accomplish their mission.
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How would you rate the likelihood that this risk will occur? |
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| * What is the impact of this risk occurring to AFP/F's operations? |
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| * How would you rate the effectiveness of AFP/F's operations to address this risk? |
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| If you answered 1, 2, or 3 to the above question, what could AFP/F do to address this risk? | | |
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| * Compared to the previous year, how would you rate the direction of the risk? |
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2. Investigation Risk: The risk that an outside investigation results in loss of credibility or change in organization structure, inhibiting ability to accomplish the organizations’ mission.
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How would you rate the likelihood that this risk will occur? |
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| * What is the impact of this risk occurring to AFP/F's operations? |
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| * How would you rate the effectiveness of AFP/F's operations to address this risk? |
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| If you answered 1, 2, or 3 to the above question, what could AFP/F do to address this risk? | | |
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| * Compared to the previous year, how would you rate the direction of the risk? |
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Compliance/Integrity Risks
3. C3/C4 Control Risk: The risk that the organizations lack sufficient internal controls and discipline to achieve 100% compliance to required C3/C4 expense and time allocations.
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How would you rate the likelihood that this risk will occur? |
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| * What is the impact of this risk occurring to AFP/F's operations? |
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| * How would you rate the effectiveness of AFP/F's operations to address this risk? |
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| If you answered 1, 2, or 3 to the above question, what could AFP/F do to address this risk? | | |
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| * Compared to the previous year, how would you rate the direction of the risk? |
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| 4. Contracting Fraud Risk: The risk that an employee could perpetrate fraud in his/her dealings with vendors, organizations sponsored, or other groups with which the organizations interact.
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How would you rate the likelihood that this risk will occur? |
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| * What is the impact of this risk occurring to AFP/F's operations? |
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| * How would you rate the effectiveness of AFP/F's operations to address this risk? |
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| If you answered 1, 2, or 3 to the above question, what could AFP/F do to address this risk? | | |
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| * Compared to the previous year, how would you rate the direction of the risk? |
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| 5. Authority Risk: The risk that failure to establish authority or enforce limits on personnel actions may cause employees to commit unauthorized or unethical acts, or assume unauthorized or unacceptable risks.
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How would you rate the likelihood that this risk will occur? |
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| * What is the impact of this risk occurring to AFP/F's operations? |
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| * How would you rate the effectiveness of AFP/F's operations to address this risk? |
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| If you answered 1, 2, or 3 to the above question, what could AFP/F do to address this risk? | | |
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| * Compared to the previous year, how would you rate the direction of the risk? |
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| 6. Donor Intent Risk: The risk that donors stated requirements result in actions that are not within the mission of the organizations, or are not compliant with existing regulations.
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How would you rate the likelihood that this risk will occur? |
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| * What is the impact of this risk occurring to AFP/F's operations? |
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| * How would you rate the effectiveness of AFP/F's operations to address this risk? |
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| If you answered 1, 2, or 3 to the above question, what could AFP/F do to address this risk? | | |
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| * Compared to the previous year, how would you rate the direction of the risk? |
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Strategic Risks
7. Business Model Risk: The risk that the organizations are unable to reach people in sufficient numbers to influence issues at an affordable cost to the donors; or inability to influence people reached in the direction of economic freedom.
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How would you rate the likelihood that this risk will occur? |
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| * What is the impact of this risk occurring to AFP/F's operations? |
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| * How would you rate the effectiveness of AFP/F's operations to address this risk? |
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| If you answered 1, 2, or 3 to the above question, what could AFP/F do to address this risk? | | |
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| * Compared to the previous year, how would you rate the direction of the risk? |
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| 8. Measurement Risk: The risk that we have insufficient measures to determine whether the efforts of the organizations are achieving the desired result.
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How would you rate the likelihood that this risk will occur? |
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| * What is the impact of this risk occurring to AFP/F's operations? |
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| * How would you rate the effectiveness of AFP/F's operations to address this risk? |
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| If you answered 1, 2, or 3 to the above question, what could AFP/F do to address this risk? | | |
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| * Compared to the previous year, how would you rate the direction of the risk? |
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| 9. Competition Risk: The risk that the actions of the organizations’ competitors inhibit the organizations’ donations and ability to accomplish our mission.
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How would you rate the likelihood that this risk will occur? |
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| * What is the impact of this risk occurring to AFP/F's operations? |
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| * How would you rate the effectiveness of AFP/F's operations to address this risk? |
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| If you answered 1, 2, or 3 to the above question, what could AFP/F do to address this risk? | | |
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| * Compared to the previous year, how would you rate the direction of the risk? |
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| 10. Donor Satisfaction Risk: The risk that donors become unsatisfied with the organizations’ efforts or results and no longer wish to support the organizations through their donations.
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How would you rate the likelihood that this risk will occur? |
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| * What is the impact of this risk occurring to AFP/F's operations? |
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| * How would you rate the effectiveness of AFP/F's operations to address this risk? |
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| If you answered 1, 2, or 3 to the above question, what could AFP/F do to address this risk? | | |
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| * Compared to the previous year, how would you rate the direction of the risk? |
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| 11. Control Risk: The risk that senior management and the Audit Committee do not ensure that there is an appropriate focus on compliance and the organizations’ internal control structure.
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How would you rate the likelihood that this risk will occur? |
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| * What is the impact of this risk occurring to AFP/F's operations? |
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| * How would you rate the effectiveness of AFP/F's operations to address this risk? |
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| If you answered 1, 2, or 3 to the above question, what could AFP/F do to address this risk? | | |
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| * Compared to the previous year, how would you rate the direction of the risk? |
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| 12. Leadership/ Empowerment Risk: The risk that senior management fails to provide the necessary direction and leadership, and appropriately empower employees, may result in confusion regarding management's expectations and difficulty in executing the organizations’ strategic objectives.
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How would you rate the likelihood that this risk will occur? |
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| * What is the impact of this risk occurring to AFP/F's operations? |
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| * How would you rate the effectiveness of AFP/F's operations to address this risk? |
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| If you answered 1, 2, or 3 to the above question, what could AFP/F do to address this risk? | | |
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| * Compared to the previous year, how would you rate the direction of the risk? |
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| 13. Long Term/Short Term Risk: Risk that short-term priorities result in actions that run counter to the long-term goals of the organizations.
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How would you rate the likelihood that this risk will occur? |
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| * What is the impact of this risk occurring to AFP/F's operations? |
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| * How would you rate the effectiveness of AFP/F's operations to address this risk? |
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| If you answered 1, 2, or 3 to the above question, what could AFP/F do to address this risk? | | |
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| Compared to the previous year, how would you rate the direction of the risk? |
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Operations Risks
14. Contract/Firewall Risk: The risk that organizations do not put in place contracts and firewalls with vendors, resulting in regulatory and other issues.
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How would you rate the likelihood that this risk will occur? |
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| * What is the impact of this risk occurring to AFP/F's operations? |
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| * How would you rate the effectiveness of AFP/F's operations to address this risk? |
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| If you answered 1, 2, or 3 to the above question, what could AFP/F do to address this risk? | | |
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| * Compared to the previous year, how would you rate the direction of the risk? |
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| 15. Contracting/Pricing Risk: The risk that supplier negotiations do not result in either the best economic outcome possible or an inappropriate level of risk for the organizations.
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How would you rate the likelihood that this risk will occur? |
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| * What is the impact of this risk occurring to AFP/F's operations? |
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| * How would you rate the effectiveness of AFP/F's operations to address this risk? |
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| If you answered 1, 2, or 3 to the above question, what could AFP/F do to address this risk? | | |
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| * Compared to the previous year, how would you rate the direction of the risk? |
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| 16. Human Resources Risk: The risk that the organizations are unable to attract, train, develop, deploy, and empower competent personnel which may inhibit operations.
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How would you rate the likelihood that this risk will occur? |
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| * What is the impact of this risk occurring to AFP/F's operations? |
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| * How would you rate the effectiveness of AFP/F's operations to address this risk? |
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| If you answered 1, 2, or 3 to the above question, what could AFP/F do to address this risk? | | |
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| * Compared to the previous year, how would you rate the direction of the risk? |
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| 17. Marketing Risk: The risk that the organizations are unable to develop compelling enough media materials, communications and marketing messages to both influence people’s behavior and achieve the mission of the organizations.
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How would you rate the likelihood that this risk will occur? |
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| * What is the impact of this risk occurring to AFP/F's operations? |
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| * How would you rate the effectiveness of AFP/F's operations to address this risk? |
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| If you answered 1, 2, or 3 to the above question, what could AFP/F do to address this risk? | | |
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| * Compared to the previous year, how would you rate the direction of the risk? |
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| 18. Activist Risk: The risk that the organizations are unable to generate enough activist participation to be effective in achieving their missions.
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How would you rate the likelihood that this risk will occur? |
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| * What is the impact of this risk occurring to AFP/F's operations? |
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| * How would you rate the effectiveness of AFP/F's operations to address this risk? |
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| If you answered 1, 2, or 3 to the above question, what could AFP/F do to address this risk? | | |
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| * Compared to the previous year, how would you rate the direction of the risk? |
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| 19. Communications Risk: The risk that employee communications to outside parties are either inappropriate or non-compliant, resulting in damage to the reputations of the organizations
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How would you rate the likelihood that this risk will occur? |
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| * What is the impact of this risk occurring to AFP/F's operations? |
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| * How would you rate the effectiveness of AFP/F's operations to address this risk? |
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| If you answered 1, 2, or 3 to the above question, what could AFP/F do to address this risk? | | |
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| * Compared to the previous year, how would you rate the direction of the risk? |
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* 20. Business Continuity Risk: The risk that the organizations fail to develop appropriate business continuity plans to properly protect, restore, and account for facilities, equipment, and personnel during an emergency or disaster.
How would you rate the likelihood that this risk will occur? |
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| * What is the impact of this risk occurring to AFP/F's operations? |
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| * How would you rate the effectiveness of AFP/F's operations to address this risk? |
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| If you answered 1, 2, or 3 to the above question, what could AFP/F do to address this risk? | | |
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| * Compared to the previous year, how would you rate the direction of the risk? |
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Technology Risks
21. Information Access Risk: The risk that failure to adequately restrict access to information (data, communications, programs) may result in unauthorized knowledge and use of confidential information; or, the risk that overly restricting access to information may preclude personnel from performing their assigned responsibilities effectively and efficiently.
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How would you rate the likelihood that this risk will occur? |
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| * What is the impact of this risk occurring to AFP/F's operations? |
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| * How would you rate the effectiveness of AFP/F's operations to address this risk? |
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| If you answered 1, 2, or 3 to the above question, what could AFP/F do to address this risk? | | |
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| * Compared to the previous year, how would you rate the direction of the risk? |
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| 22. Technology Innovation Risk: The risk that the organizations are not leveraging or making the investment into advancements in technology to achieve or sustain a competitive advantage or achieve the organizations’ mission.
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How would you rate the likelihood that this risk will occur? |
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| * What is the impact of this risk occurring to AFP/F's operations? |
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| * How would you rate the effectiveness of AFP/F's operations to address this risk? |
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| If you answered 1, 2, or 3 to the above question, what could AFP/F do to address this risk? | | |
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| * Compared to the previous year, how would you rate the direction of the risk? |
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| 23. System Availability Risk: The risk that the systems that are required to conduct operations are not available.
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How would you rate the likelihood that this risk will occur? |
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| * What is the impact of this risk occurring to AFP/F's operations? |
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| * How would you rate the effectiveness of AFP/F's operations to address this risk? |
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| If you answered 1, 2, or 3 to the above question, what could AFP/F do to address this risk? | | |
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| * Compared to the previous year, how would you rate the direction of the risk? |
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Financial Reporting Risks
24. Accounting Information Risk: The risk that accounting is not performed in accordance with prescribed accounting rules and regulations and there are issues with respect to the timeliness, accuracy and completeness of data, leading to poor reporting.
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How would you rate the likelihood that this risk will occur? |
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| * What is the impact of this risk occurring to AFP/F's operations? |
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| * How would you rate the effectiveness of AFP/F's operations to address this risk? |
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| If you answered 1, 2, or 3 to the above question, what could AFP/F do to address this risk? | | |
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| * Compared to the previous year, how would you rate the direction of the risk? |
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| 25. Financial Control Risk: The risk that insufficient financial and accounting controls exist to prevent financial fraud, liquidity challenges, and materially misstated financial statements.
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How would you rate the likelihood that this risk will occur? |
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| * What is the impact of this risk occurring to AFP/F's operations? |
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| * How would you rate the effectiveness of AFP/F's operations to address this risk? |
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| If you answered 1, 2, or 3 to the above question, what could AFP/F do to address this risk? | | |
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| * Compared to the previous year, how would you rate the direction of the risk? |
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