• 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