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Unit 6

Handout 6.1.1

Risk Management Planning Workbook

Handout 6.1.1 Risk Management Planning Workbook


This handout supports study and skills application in BSBRSK501A Manage Risk. The handout is a complete workbook. It will form the basis for working through a formal risk management process. By completing each Tool you will build all the components required for a basic Risk Management Plan. While Risk Management Plans may vary in terms of focus and content across different organisations and operational areas, this workbook includes standard tools and templates. In discussions with your facilitator or assessor you may choose to substitute tools in this workbook with alternatives, for instance ones you may use in your organisation. If you are being formally assessed for BSBRSK501A Manage Risk the submission of this workbook will provide evidence as to your competence.

There are ten tools and templates in this workbook.

Handout 6.1.1 Risk Management Planning Workbook .........................................................................................................1 Tool 1 - Goal and purpose and the alignment of risk categories and criteria..........................................................................3 Targeting..................................................................................................................................................................................................3 Statements or description.........................................................................................................................................................................3 Vision & Values.......................................................................................................................................................................................3 Goals........................................................................................................................................................................................................3 Describe the risk......................................................................................................................................................................................3 Risk Category...........................................................................................................................................................................................3 Criteria.....................................................................................................................................................................................................3 Tool 2 - Stakeholder identification and ranking template.........................................................................................................4 Tool 3 - Risk register template.................................................................................................................................................5 Tool 4 - Task Analysis and Risk Identification Tool.................................................................................................................6 Tool 5 - SWOT Analysis..........................................................................................................................................................9 Tool 6 - PEST Analysis..........................................................................................................................................................10

Unit 6

Handout 6.1.1

Risk Management Planning Workbook

Tool 7 - Identifying and Analysing Risks................................................................................................................................12 Tool 8 - Risk Assessment Matrix............................................................................................................................................13 Tool 9 - Risk Treatment Schedule and Action Plan...............................................................................................................14 Tool 10 Risk Management Plan Request Form..................................................................................................................15 Green..................................................................................................................................................................................................16 (Controlled)........................................................................................................................................................................................16 Yellow ...............................................................................................................................................................................................16 (Caution)............................................................................................................................................................................................16 Red.....................................................................................................................................................................................................16 (Critical).............................................................................................................................................................................................16

Unit 6

Handout 6.1.1

Risk Management Planning Workbook

Tool 1 - Goal and purpose and the alignment of risk categories and criteria
Targeting Vision & Values Including vision statement and any supporting values that the risk will impact. Goals Including strategy, products, services, profitability, etc. likely to be impacted by the risk.

Statements or description

Describe the risk Including how leaders are measuring goals (KPI) or impact. Risk Category List the risk category or elements of operations the risk will impact. Criteria Determine the likely impact of this level of risk if it is not treated.

Unit 6

Handout 6.1.1

Risk Management Planning Workbook

Tool 2 - Stakeholder identification and ranking template


Team/Project/Operational Area: Description of risk in brief:

Stakeholder

Power*

Interest*

Date Issued: Responsible officer

Version: Contact:

* Use the Power and Influence Grid provided in your study guide to rank each stakeholder.

Unit 6

Handout 6.1.1

Risk Management Planning Workbook

Tool 3 - Risk register template


Organisation: Area: Compiled by: ReferenceRisk The risk Date Issued: Contact details: What can happen? (event or type) How can it happen? (source) What can happen? (impact) Existing controls? Y = Yes N = No

Unit 6

Handout 6.1.1

Risk Management Planning Workbook

Tool 4 - Task Analysis and Risk Identification Tool


Company Name: Position: Job Identification: Assessor/Reviewer: Competency or Role: Description: This role refers to the preparation and firing of shot in an open cut mining operation. Job Steps Risk Possible impact
H=High M=Moderate L=Low

Function/ Department: Job Classification: Date of analysis:

Notes on risk
(ie. Affects safety, process, people, customers, etc.)

1.

4.

7.

10.

Unit 6

Handout 6.1.1

Risk Management Planning Workbook

Example:
The following job has five major technical competencies/roles (1. Site preparation; 2. Shot firing; 3. Dangerous goods handling and transportation; 4. Safety; 5. Documentation and reporting). The Shot firing role has been examined by job steps for risks. Note: This is only an example. Greater Eagle Mining Position: Mining shot firer (Open Cut) Function/ Department: NT Mineral extraction Job Classification: Grade 5 Date of analysis: 11/10/2010

Job Identification: MIN233 Assessor/Reviewer: Peter Bloggs Competency or Role: 2. Shot firing open cut

Description: This role refers to the preparation and firing of shot in an open cut mining operation. Job Steps Risk Possible importance
H=High M=Moderate L=Low

Notes on risk
(ie. Ability to address and possible impact - safety, process, people, customers, etc.)

1.

Check drill holes

Drill holes are not deep enough Drill holes have obstructions Drill holes are not placed correctly Size of holes is incorrect

H M H H H H H H M H H L-M H

Affect efficiency and success of firing May affect efficiency and success of firing Affect efficiency and success of firing Affect positioning of the shot Affect efficiency and success of firing Affect efficiency and success of firing Affect efficiency and success of firing Affect efficiency and success of firing, may cause safety concerns for personnel (placement from shot) Affects personal safety Affects safety of personnel Affects safety of personnel and can cause death Affects safety of personnel Affect efficiency and success of firing

5.

Check and place shot

Shots have not been watered before scaling Incorrect loading Incorrect placement of loads in shot holes Issues affecting scaling are incorrectly determined Incorrect personal protective equipment worn Confirm all on site personnel correctly equipped Personnel inappropriately equipped to deal with possible exposure to carbon monoxide and oxides of nitrogen Duration or delay in firing may cause personnel to have longer exposure to the sun Shot lines are not all checked

9.

Prepare safety equipment

13. Check equipment and prepare for firing

Unit 6

Handout 6.1.1

Risk Management Planning Workbook

Sequence of firing is incorrect Lines are exposed to elements that may affect signal

H M H H H M H H

Affect efficiency and success of firing Affect efficiency and success of firing Affect efficiency of firing and safety of personnel Affects safety of personnel and can cause death Affects safety of personnel and can cause death Affect efficiency of firing and safety of personnel Affect efficiency and success of firing Affect efficiency of firing and safety of personnel

16. Undertake warning and shot firing communication to site and compliance requirements

Communications devices are not working Warning not done in adequate time Not all relevant personnel are aware of shot firing Hazard communication is not understood by personnel on site Signal is not received by detonators Signal is triggered early or late

20. Fire shot

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Handout 6.1.1

Risk Management Planning Workbook

Tool 5 - SWOT Analysis

Unit 6

Handout 6.1.1

Risk Management Planning Workbook

Tool 6 - PEST Analysis

Unit 6

Handout 6.1.1

Risk Management Planning Workbook

Example: The following is a sanitised example of a PEST analysis completed by an Australian public health care organisation in mid 2009. The organisation supports public health services in a number of Australian states and in New Zealand.

Unit 6

Handout 6.1.1

Risk Management Planning Workbook

Tool 7 - Identifying and Analysing Risks


Organisation: Function/Activity: Risk Reference The Risk What Can Happen? Source How can this Happen? Compiled by: Reviewed by: Impact What will happen/ consequences? Current control Strategies and their effectiveness (A) Adequate (M) Moderate (I) Indadequate Date: Date: Risk Analysis Consequence Likelihood Risk Level Acceptability (A/U) Risk Priority

Unit 6

Handout 6.1.1

Risk Management Planning Workbook

Tool 8 - Risk Assessment Matrix


Category
E Extreme risk detailed action plan required H - High risk needs senior management attention M Medium risk specify management responsibility L Low risk manage by routine procedures High or Extreme risks must be reported to Senior Management and require detailed treatment plans to reduce the risk to Low or Medium.

Consequence
Injuries or ailments not requiring medical treatment. Internal Review Minor errors in systems or processes requiring corrective action, or minor delay without impact on overall schedule. Low-level breach with limited follow up and no legal action No injury 1% of Budget or <$5K

Minor injury or First Aid Treatment Case. Scrutiny required by internal committees or internal audit to prevent escalation. Policy procedural rule occasionally not met or services do not fully meet needs. Breach with report required by compliance body and possibility of later legal action Minor injury requiring treatment 2.5% of Budget or <$50K Serious injury causing hospitalisation or multiple medical treatment cases. Scrutiny required by external committees or ACT Auditor Generals Office, or inquest, etc. One or more key accountability requirements not met. Inconvenient but not client welfare threatening. Serious breach with investigation, report by compliance body and possibility of legal sanctions Major injury requiring first aid treatment > 5% of Budget or <$500K Life threatening injury or multiple serious injuries causing hospitalisation. Intense public, political and media scrutiny. Eg: front page headlines, TV, etc. Strategies not consistent with Governments agenda. Trends show service is degraded. Major breach with penalty and possible litigation Major injury requiring hospital treatment > 10% of Budget or <$5M Death or multiple life threatening injuries. Assembly inquiry or Commission of inquiry or adverse national media. Critical system failure, bad policy advice or ongoing noncompliance. Business severely affected. Serious breach, litigation occurs, and investigation by professional, regulatory or legislative body Death or major injury >25% of Budget or >$5M

People Reputation Business Process & Systems Compliance Safety Financial

Minor
Probability: Historical:
Is expected to occur in most circumstances Will probably occur Might occur at some time in the future Could occur but doubtful May occur but only in exceptional circumstances

Moderate

Major

Significant

Catastrophic

1 5 4 3 2 1
Very likely Likely Possible Unlikely Highly unlikely

2 H M M L L

3 H H M M L

4 E H H M L

5 E E H H M

Likelihood

>1 in 10 1 in 10 - 100 1 in 100 1,000 1 in 1,000 10,000 1 in 10,000 100,000

M L L L L

(Adapted from Standards Australia Risk Management AS/NZS 4360: 2004)

Unit 6

Handout 6.1.1

Risk Management Planning Workbook

Tool 9 - Risk Treatment Schedule and Action Plan


Organisation: Function/Activity: Risk Reference Possible Treatment Options Result of cost-benefit analysis A: accept B: reject Compiled by: Reviewed by: Is the Treatment to be Implemented (Y/N) Risk Analysis Current Level Likelihood Consequence Responsible Person Date: Date: Timetable
For implementation, Start Finish date

Unit 6

Handout 6.1.1

Risk Management Planning Workbook

Tool 10 Risk Management Plan Request Form


Organisation: Operational Area- Context:

Risk Reference:

Risk Title:

Level of Risk Proposed By: Reviewed By: Date Received:

Low Risk

Moderate Risks

High Risk

Extreme Risk

Allocate Request Number:

Proposed Treatment Description: Risk Category: People [ ] Procedural [ ] Consequences if risk not treated:
{Notes on how issue will impact context}

Safety [ ] Finance [ ]

Business process & systems [ ] Other [ ] specify:

Compliance [ ]

Treatment Objectives :
{Notes on outcomes treatment and control will bring to the organisation or operational area}

1. 2. 3. 4. 5. 6.

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Handout 6.1.1

Risk Management Planning Workbook

Review: Reviewer comments: {Notes by reviewer of this treatment}

Recommendations: {Reviewers recommendations} Date review completed: {MM/DD/YYYY} Analysis: Risk assessment completed? Cost: Benefit Analysis completed? Supporting documents attached? Planned Milestones for Monitoring and Review List any milestones that are late as well as deliverables that can be monitored in the planned timeframe. Milestone Approved Schedule
{dd/mm/yyyy}

No [ ] No [ ] No [ ]

Yes [ ] Yes [ ] Yes [ ]

Actual
{dd/mm/yyyy}

Current Forecast
{dd/mm/yyyy}

Status*

* Status indicator:
{Used to report monitor and review of treatment progress}

Green
(Controlled)

Yellow
(Caution)

Red
(Critical)

Estimate of Additional Effort: (insert rows as needed) Resources Required Work Days/Costs

Unit 6

Handout 6.1.1

Risk Management Planning Workbook

Management Action:
{Senior management approval required for High and Extreme level risks}

Recommendation status: Approved Commencement Date:


{MM/DD/YYYY}

Accept Reject Defer

[ ] [ ] [ ]

Planned Completion Date:


{MM/DD/YYYY}

Assigned to: Name Title Date


(MM/DD/YYYY)

Comment

Approving Manager:
Signed.

I have reviewed the information contained in this Risk Management Plan Request and agree.

Date: _____/_______/______