Risk Based Plannerm

Introduction First thing!
Make a copy of this spreadsheet in

ISO 9001:2015 requires Risk-Based Thinking (RBT), a term that has been widely debated. The core of debate centers aroun
While it's true that ISO 9001:2015 does not require a formal documented risk management program, 6.1 requires the organi
so as to "give assurance" that risks undesired effects can be prevented or reduced, and intended results can be achieved. T
version's requirement for a documented preventive action procedure. Call it whatever you like; chances are good that you a
The Risk Management guidance document ISO 31000 cites four essential steps to help us get started:
(a) Identify the risks for processes as relative to the activity under consideration;
(b) Assess the (relative) significance of those risks. It is recognized that not all risk is equal;
(c) Take appropriate actions to mitigate the risks. It is recognized that actions are relative to need and resources;
(d) Verify effectiveness of the actions. It is recognized that a process is never 100% perfect, that improvements m
it hard to know which were effective or if some interferred with others. Start, repeat, and improve as more informa
Understanding
Stakeholders
Some ideas and methods for identifying and planning to address risks:
Risk Management in HR:
SWOT Analysis:
Checklist approach:
Business Plan:
How to use this tool kit

Note: Feel free to adapt it to your needs, but distribution for sale is not permitted.
(1) Enter your department names in cell
F6 of each worksheet. The cells below will
update with the names as well as links to the
sheets.
Human Resources
Engineering
Maintenance
Quality Assurance
Purchasing
Department 6
Department 7
Department 8
Department 9
Department 10
Department 11
Department 12
Department 13
Department 14
Department 15
(5) Sections to the right of the risk

assessment process show what has
been done to mitigate or improve risk.
- Action Taken can be used as you like. You

might prefer to list procedure(s) here and use
the List Procedure(s) column
for measurement(s) used to assess
effectiveness.
- Risk Types self-populate from Step (2).
- The Resulting score shows the previous
score until effects are re-evaluated. After
actions are taken, Step (4) can be repeated
to reflect the effect on risk by comparing this
score to previous.
- The Notes column can be used for revision
history, describing what actions were taken
previously and on what date when continual
improvements occur.
n First thing! Make a copy of this spreadsheet in case you need to replace a fo
Thinking (RBT), a term that has been widely debated. The core of debate centers around the question of whether or not ISO 9001:2015 re
oes not require a formal documented risk management program, 6.1 requires the organization to determine risks in its processes and plan a
undesired effects can be prevented or reduced, and intended results can be achieved. This is a proactive approach to preventive action tha
nted preventive action procedure. Call it whatever you like; chances are good that you are already doing it.
cument ISO 31000 cites four essential steps to help us get started:
s as relative to the activity under consideration;

nce of those risks. It is recognized that not all risk is equal;
itigate the risks. It is recognized that actions are relative to need and resources;
ions. It is recognized that a process is never 100% perfect, that improvements may be incremental, and that taking multiple act
ive or if some interferred with others. Start, repeat, and improve as more information becomes available.
See more in: ISO 31000:2009
2.13 of ISO 31000 defines a stakeholder as "person or organization that can affect, be affected by, or perceive themselves to b
or activity." Note 1 to entry: A decision maker can be a stakeholder.
Stakeholders can be internal, as in people or pcoesses that depend on a process output as their process input. Stakeholders ca
including financial services, insurance, local governments and federal governments, and others. Determining who is affected b
bad, can help define risks.
hods for identifying and planning to address risks:

List the Activity, Potential Risks and Potential Considerations in a brainstorming event. Human Resources is a good support pro
Strength-Weakness-Opportunity-Threat definition is a popular business planning tool. SWOT analysis can form the basis of pro
OurCommunity.com in Australia describes the process, and provides several checklist examples that have a strong stakeholder
The long-established business planning process helps to define the organization's context and culture, two of ISO 9001:2015's
Free templates from SCORE
How to use this tool kit

adapt it to your needs, but distribution for sale is not permitted.
(2) list up to 6 process risks in the yellow cells at the top of the worksheet.
The category cells in Row 7 will populate based on your entries.
(3) Determine the levels of risk at which action priority will be ranked:
- The highest score for which Low Priority would be appropriate
- The smallest score for which High Priority would be appropriate.
NOTE: These can be changed, but will apply for all the listed processes.
(4) Assign risk based on criteria in the dropdown menus in "Risk types"
- Scores will automatically calculate based on the Low/High settings.
- Listing a regulation code will automatically trigger High Priority.
- Action Priorities for processes not listing regulation code(s) will
automatically be assigned based on Scores.
- Cells in the Action Priorities column have a dropdown menu for selecting
other options as you decide, including the option No action req'd; however,
selecting this will erase the formula.
- Cells in the Action Priorities column have a dropdown menu for selecting
other options as you decide, including the option No action req'd; however,
selecting this will erase the formula.
ed to replace a formula.
her or not ISO 9001:2015 requires risk management.
s in its processes and plan actions to address them
oach to preventive action that replaces the 2008
nd that taking multiple actions at once can make

ble.
ISO 31000:2009
or perceive themselves to be affected by a decision
ocess input. Stakeholders can be external as well,

etermining who is affected by the process, good or
ources is a good support process example.

sis can form the basis of process control definition.
at have a strong stakeholder focus.
ure, two of ISO 9001:2015's most confusing terms.
mplates from SCORE
0 Identify (up 1 Risk type 1 4 Risk type 4
1 to 6) risk 2 Risk type 2 5 Risk type 5
2 types → 3 Risk type 3 6 Risk type 6
3
4 Department: Human Resources

Date added/
Process Name Process Owner
changed
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Given a maximum possible of 24, set your
maximum score for Nil Priority, the maximum
score for Low Priority and your minimum scor
for High Priority in the blue cells →
Resources
Regulated? List the
Risk type 1 Risk type 2 Risk type 3 Risk type 4
code(s)
No action req'd
possible of 24, set your
Nil Priority, the maximum Low (max) 8 Low Priority
and your minimum score Medium Priority
in the blue cells →
High (min) 16 High Priority
Risk Based
Project
Risk type 5 Risk type 6 Score Action priority
number
0
0
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Risk Based Process Planner
Date List
Action taken Risk type 1
completed Procedure(s)
Risk type 2 Risk type 3 Risk type 4 Risk type 5 Risk type 6
Resulting
score
Notes
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0
0
3
4 Department: Engineering
Date added/
changed
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score for Low Priority and your minimum score
ring
Regulated? List the
code(s)
No action req'd
ossible of 24, set your
il Priority, the maximum Low (max) 8 Low Priority
Risk Based
Project
number
0
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Date List
Resulting
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Notes
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0
0
0
0
3
4 Department: Maintenance
Date added/
changed
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ance
Regulated? List the
code(s)
No action req'd
Risk Based
Project
number
0
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Date List
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0
3
4 Department: Quality Assurance

Date added/
changed
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Assurance
Regulated? List the
code(s)
No action req'd
Risk Based
Project
number
0
0
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0
0
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Date List
Resulting
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Notes
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0
0
0
3
4 Department: Purchasing
Date added/
changed
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ng
Regulated? List the
code(s)
No action req'd
Risk Based
Project
number
0
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Date List
Resulting
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3
4 Department: Department 6
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ent 6
Regulated? List the
code(s)
No action req'd
Risk Based
Project
number
0
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Date List
Resulting
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Notes
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Date added/
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ent 7
Regulated? List the
code(s)
No action req'd
Risk Based
Project
number
0
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ent 8
Regulated? List the
code(s)
No action req'd
Risk Based
Project
number
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Date List
Resulting
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Notes
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Date added/
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ent 9
Regulated? List the
code(s)
No action req'd
Risk Based
Project
number
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ent 10
Regulated? List the
code(s)
No action req'd
Risk Based
Project
number
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ent 11
Regulated? List the
code(s)
No action req'd
Risk Based
Project
number
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Date added/
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ent 12
Regulated? List the
code(s)
No action req'd
Risk Based
Project
number
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Date added/
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ent 13
Regulated? List the
code(s)
No action req'd
Risk Based
Project
number
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ent 14
Regulated? List the
code(s)
No action req'd
Risk Based
Project
number
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ent 15
Regulated? List the
code(s)
No action req'd
Risk Based
Project
number
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Risk Based Plannerm

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Risk Based Plannerm

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Introduction First thing!

Make a copy of this spreadsheet in

How to use this tool kit

(5) Sections to the right of the risk

- Action Taken can be used as you like. You

s as relative to the activity under consideration;

hods for identifying and planning to address risks:

How to use this tool kit

nd that taking multiple actions at once can make

ocess input. Stakeholders can be external as well,

ources is a good support process example.

4 Department: Human Resources

4 Department: Quality Assurance

Вам также может понравиться