SA/SNZ HB 436:2013
Risk management guidelines - Companion to AS/NZS ISO 31000:2009
This Handbook provides guidance on the implementation of AS/NZS ISO 31000:2009, Risk management - Principles and guidelines (the Standard). The Standard defines the concept of risk, explains how it comes about, and describes the principles, framework and process that allow risk to be managed effectively. The Handbook expands on and explains these elements and provides advice about applying the Standard, including using it to evaluate and improve existing risk management practice.
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SA/SNZ HB 436:2013 RISK MANAGEMENT GUIDELINES-COMPANION TO AS/NZS ISO 31000:2009
PREFACE
CONTENTS
SECTION 1 SCOPE
1.1 SCOPE OF THE STANDARD
1.2 SCOPE OF THIS HANDBOOK
SECTION 2 TERMS AND FUNDAMENTAL CONCEPTS
2.1 RISK AND OBJECTIVES
2.2 UNCERTAINTY
2.3 RISK SOURCE, CAUSE AND EVENT MECHANISMS
2.4 HOW RISKS SHOULD BE DESCRIBED
2.5 CONTROLS AND RISK TREATMENT
2.6 RISK MANAGEMENT FRAMEWORK
2.7 PRINCIPLES
2.8 THE MEANING OF 'CONTEXT' AS USED IN THE FRAMEWORK AND THE PROCESS
2.9 MANAGEMENT, RISK MANAGEMENT AND MANAGING RISK
2.10 THE RELATIONSHIP BETWEEN GOVERNANCE AND RISK MANAGEMENT
2.11 THE RELATIONSHIP BETWEEN THE PRINCIPLES, FRAMEWORK AND PROCESS
2.12 RISK MANAGEMENT PLANS
2.13 SILO-BASED APPROACHES TO RISK MANAGEMENT
SECTION 3 PRINCIPLES
3.1 GENERAL
3.2 HOW TO GIVE EFFECT TO THE PRINCIPLES
3.3 EXAMPLES
SECTION 4 FRAMEWORK FOR MANAGING RISK
4.1 SIGNIFICANCE OF THE RISK MANAGEMENT FRAMEWORK
4.2 THE INTENT COMPONENT OF THE FRAMEWORK
4.2.1 Implications of intentions
4.2.2 Means of communicating the mandate and commitment
4.3 THE CAPABILITY COMPONENT OF THE FRAMEWORK
4.3.1 Tailoring the framework to the organization
4.3.2 Policy about managing risk
4.3.3 Accountability
4.3.4 Integration
4.3.5 Resources needed for managing risk
4.3.6 Communication, consultation and reporting capability of the framework
4.4 IMPLEMENTING RISK MANAGEMENT
4.4.1 Implementing the framework for managing risk
4.4.2 Implementing the risk management process
4.5 MONITORING, REVIEW AND CONTINUAL IMPROVEMENT OF THE FRAMEWORK
SECTION 5 PROCESS
5.1 WHY A RISK MANAGEMENT PROCESS NEEDS TO BE APPLIED
5.1.1 Design of the risk management process
5.1.2 Application of the risk management process
5.2 COMMUNICATION AND CONSULTATION
5.2.1 Purpose
5.2.2 How to communicate and consult effectively
5.3 ESTABLISHING THE CONTEXT
5.3.1 General
5.3.2 The external environment
5.3.3 The internal environment
5.3.4 Articulating the context of the risk management process
5.3.5 Defining risk criteria
5.3.6 The statement of context
5.4 RISK ASSESSMENT
5.4.1 General
5.4.2 Risk identification
5.4.3 Risk analysis
5.4.4 Risk evaluation
5.5 RISK TREATMENT
5.5.1 General
5.5.2 Selecting risk treatment options
5.5.3 Preparing and implementing risk treatment plans
5.6 MONITORING AND REVIEW
5.6.1 General
5.6.2 Monitoring
5.6.3 Review
5.6.4 Assurance
5.6.5 Post-event analysis
5.6.6 Planning monitoring and review
5.7 RECORDING THE RISK MANAGEMENT PROCESS
5.7.1 General
5.7.2 General purposes of records
5.7.3 Making records
5.7.4 Planning documentation
SECTION 6 HOW TO USE ANNEX A OF AS/NZS ISO 31000 TO MAINTAIN AND IMPROVE RISK MANAGEMENT EFFECTIVENESS
6.1 INTRODUCTION
6.2 METHODS FOR USING ANNEX A TO MAINTAIN AND IMPROVE PERFORMANCE-OUTCOME TESTS
6.3 METHODS FOR USING ANNEX A TO MAINTAIN AND IMPROVE PERFORMANCE-ATTRIBUTES TESTS
6.3.1 Continual improvement
6.3.2 Full accountability for risks
6.3.3 Application of risk management in all decision making
6.3.4 Continual communications
6.3.5 Full integration in the organization's governance structure
APPENDIX A - HOW TO TRANSITION THE FRAMEWORK FOR MANAGING RISK TO ALIGN WITH AS/NZS ISO 31000
A1 HOW TO MAKE THE CHANGE
A2 THE TRANSITION PROCESS
A2.1 General
A2.2 Continual improvement
APPENDIX B - EXAMPLES OF POLICY STATEMENTS
B1 EXAMPLE OF RISK MANAGEMENT POLICY ANNOUNCEMENT-SMALL ORGANIZATION
B2 EXAMPLE OF POLICY STATEMENT-LARGE ORGANIZATION-SET BY DIRECTORS
B3 EXAMPLE OF POLICY STATEMENT-LARGE ORGANIZATION-SET BY THE CEO
B4 EXAMPLE OF POLICY FOR MANAGING RISK-GOVERNMENT DEPARTMENT-SET BY CHIEF EXECUTIVE (DIRECTOR GENERAL OR EQUIVALENT)
APPENDIX C - USE OF QUALITATIVE AND QUANTITATIVE TECHNIQUES TO DEVELOP RISK CRITERIA
C1 SCOPE OF THIS APPENDIX
C2 DEVELOPING RISK CRITERIA FOR QUALITATIVE RISK ANALYSIS
C2.1 General
C2.2 Step 1: Select outcomes for each objective
C2.3 Step 2: Select and define scales for consequences
C2.4 Step 3: Decide how likelihood will be expressed
C2.5 Step 4: Use a table or matrix to derive the level of risk
C2.6 Step 5: Decide how the level of risk will be expressed
C2.7 Step 6: Establish the rules for evaluating risk
C3 USE OF MATHEMATICAL DISTRIBUTIONS TO EXPRESS LEVEL OF RISK
APPENDIX D - INTEGRATION GUIDELINES
D1 INTRODUCTION
D2 INTEGRATION OF COMPONENTS OF THE RISK MANAGEMENT FRAMEWORK
D2.1 General
D2.2 Method
D3 INTEGRATING THE RISK MANAGEMENT PROCESS INTO DECISION MAKING
D3.1 General
D3.2 Methods
APPENDIX E - DEALING WITH PARTICULAR CHALLENGES TO EFFECTIVE COMMUNICATION AND CONSULTATION
E1 Introduction
E2 Language differences
E3 Technical complexity
E4 Uncertainty
E5 Timing
E6 Large meetings
E7 Conflicts of interest
E8 Anger
E9 Meeting dynamics
E10 Precedents
E11 Design of questionnaire/survey
APPENDIX F - TERMS AND DEFINITIONS
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SA/SNZ HB 436:2013 RISK MANAGEMENT GUIDELINES-COMPANION TO AS/NZS ISO 31000:2009
PREFACE
CONTENTS
SECTION 1 SCOPE
1.1 SCOPE OF THE STANDARD
1.2 SCOPE OF THIS HANDBOOK
SECTION 2 TERMS AND FUNDAMENTAL CONCEPTS
2.1 RISK AND OBJECTIVES
2.2 UNCERTAINTY
2.3 RISK SOURCE, CAUSE AND EVENT MECHANISMS
2.4 HOW RISKS SHOULD BE DESCRIBED
2.5 CONTROLS AND RISK TREATMENT
2.6 RISK MANAGEMENT FRAMEWORK
2.7 PRINCIPLES
2.8 THE MEANING OF 'CONTEXT' AS USED IN THE FRAMEWORK AND THE PROCESS
2.9 MANAGEMENT, RISK MANAGEMENT AND MANAGING RISK
2.10 THE RELATIONSHIP BETWEEN GOVERNANCE AND RISK MANAGEMENT
2.11 THE RELATIONSHIP BETWEEN THE PRINCIPLES, FRAMEWORK AND PROCESS
2.12 RISK MANAGEMENT PLANS
2.13 SILO-BASED APPROACHES TO RISK MANAGEMENT
SECTION 3 PRINCIPLES
3.1 GENERAL
3.2 HOW TO GIVE EFFECT TO THE PRINCIPLES
3.3 EXAMPLES
SECTION 4 FRAMEWORK FOR MANAGING RISK
4.1 SIGNIFICANCE OF THE RISK MANAGEMENT FRAMEWORK
4.2 THE INTENT COMPONENT OF THE FRAMEWORK
4.2.1 Implications of intentions
4.2.2 Means of communicating the mandate and commitment
4.3 THE CAPABILITY COMPONENT OF THE FRAMEWORK
4.3.1 Tailoring the framework to the organization
4.3.2 Policy about managing risk
4.3.3 Accountability
4.3.4 Integration
4.3.5 Resources needed for managing risk
4.3.6 Communication, consultation and reporting capability of the framework
4.4 IMPLEMENTING RISK MANAGEMENT
4.4.1 Implementing the framework for managing risk
4.4.2 Implementing the risk management process
4.5 MONITORING, REVIEW AND CONTINUAL IMPROVEMENT OF THE FRAMEWORK
SECTION 5 PROCESS
5.1 WHY A RISK MANAGEMENT PROCESS NEEDS TO BE APPLIED
5.1.1 Design of the risk management process
5.1.2 Application of the risk management process
5.2 COMMUNICATION AND CONSULTATION
5.2.1 Purpose
5.2.2 How to communicate and consult effectively
5.3 ESTABLISHING THE CONTEXT
5.3.1 General
5.3.2 The external environment
5.3.3 The internal environment
5.3.4 Articulating the context of the risk management process
5.3.5 Defining risk criteria
5.3.6 The statement of context
5.4 RISK ASSESSMENT
5.4.1 General
5.4.2 Risk identification
5.4.3 Risk analysis
5.4.4 Risk evaluation
5.5 RISK TREATMENT
5.5.1 General
5.5.2 Selecting risk treatment options
5.5.3 Preparing and implementing risk treatment plans
5.6 MONITORING AND REVIEW
5.6.1 General
5.6.2 Monitoring
5.6.3 Review
5.6.4 Assurance
5.6.5 Post-event analysis
5.6.6 Planning monitoring and review
5.7 RECORDING THE RISK MANAGEMENT PROCESS
5.7.1 General
5.7.2 General purposes of records
5.7.3 Making records
5.7.4 Planning documentation
SECTION 6 HOW TO USE ANNEX A OF AS/NZS ISO 31000 TO MAINTAIN AND IMPROVE RISK MANAGEMENT EFFECTIVENESS
6.1 INTRODUCTION
6.2 METHODS FOR USING ANNEX A TO MAINTAIN AND IMPROVE PERFORMANCE-OUTCOME TESTS
6.3 METHODS FOR USING ANNEX A TO MAINTAIN AND IMPROVE PERFORMANCE-ATTRIBUTES TESTS
6.3.1 Continual improvement
6.3.2 Full accountability for risks
6.3.3 Application of risk management in all decision making
6.3.4 Continual communications
6.3.5 Full integration in the organization's governance structure
APPENDIX A - HOW TO TRANSITION THE FRAMEWORK FOR MANAGING RISK TO ALIGN WITH AS/NZS ISO 31000
A1 HOW TO MAKE THE CHANGE
A2 THE TRANSITION PROCESS
A2.1 General
A2.2 Continual improvement
APPENDIX B - EXAMPLES OF POLICY STATEMENTS
B1 EXAMPLE OF RISK MANAGEMENT POLICY ANNOUNCEMENT-SMALL ORGANIZATION
B2 EXAMPLE OF POLICY STATEMENT-LARGE ORGANIZATION-SET BY DIRECTORS
B3 EXAMPLE OF POLICY STATEMENT-LARGE ORGANIZATION-SET BY THE CEO
B4 EXAMPLE OF POLICY FOR MANAGING RISK-GOVERNMENT DEPARTMENT-SET BY CHIEF EXECUTIVE (DIRECTOR GENERAL OR EQUIVALENT)
APPENDIX C - USE OF QUALITATIVE AND QUANTITATIVE TECHNIQUES TO DEVELOP RISK CRITERIA
C1 SCOPE OF THIS APPENDIX
C2 DEVELOPING RISK CRITERIA FOR QUALITATIVE RISK ANALYSIS
C2.1 General
C2.2 Step 1: Select outcomes for each objective
C2.3 Step 2: Select and define scales for consequences
C2.4 Step 3: Decide how likelihood will be expressed
C2.5 Step 4: Use a table or matrix to derive the level of risk
C2.6 Step 5: Decide how the level of risk will be expressed
C2.7 Step 6: Establish the rules for evaluating risk
C3 USE OF MATHEMATICAL DISTRIBUTIONS TO EXPRESS LEVEL OF RISK
APPENDIX D - INTEGRATION GUIDELINES
D1 INTRODUCTION
D2 INTEGRATION OF COMPONENTS OF THE RISK MANAGEMENT FRAMEWORK
D2.1 General
D2.2 Method
D3 INTEGRATING THE RISK MANAGEMENT PROCESS INTO DECISION MAKING
D3.1 General
D3.2 Methods
APPENDIX E - DEALING WITH PARTICULAR CHALLENGES TO EFFECTIVE COMMUNICATION AND CONSULTATION
E1 Introduction
E2 Language differences
E3 Technical complexity
E4 Uncertainty
E5 Timing
E6 Large meetings
E7 Conflicts of interest
E8 Anger
E9 Meeting dynamics
E10 Precedents
E11 Design of questionnaire/survey
APPENDIX F - TERMS AND DEFINITIONS
Previous versions
SA/SNZ HB 436:2013
Online Library subscription information
Online library subscriptions provide a cost-effective solution for organisations of any size to access the latest standards, offering 24/7 access to a personalised catalogue. The service ensures subscribers have have the most up-to-date version of selected standards, incluing automatic updates for any amendments or versions. Pricing is dependent on the chosen standards and the number of concurrent users, with discounts applied from the standards PDF price. For customised subscriptions or further inquiries, contact the Online Library team.