Fillable ISO 31000 Risk Management Self Assessment Checklist (Australian National University)

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ISO 31000 Risk Management Self Assessment Checklist (Australian National University)

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ISO 31000:2009
RISK MANAGEMENT
PRINCIPLES AND
GUIDELINES CHECKLIST
ISO 31000:2009 RISK MANAGEMENT – PRINCI
PLES AND GUIDELINES CHECKLIST
Use this self-assessment checklist to show how close you are to being ready for an
ISO 31000:2009 certification assessment from Compass Assurance Services and
which processes you still need to implement in your organisation. The checklist is laid
out in sections which align with the requirements of the standard.
Mark yo
ur answers
✓
for yes as you work through the checklist to identify which
processes are in place or areas which might need attention.
NOTES
4. Framework
4.2 Mandate and Commitment
Have we:
(a) defined and endorsed a risk management policy
(b) determined risk performance indicators
(c) aligned risk objectives and indicators to organizational objectives
and indicators
(d) ensured legal and regulatory compliance
4.3 Design of Framework
4.3.1 Organization and its context
In designing our risk framework have we:
(a) evaluated external context
(b) evaluated internal context
4.3.2 Risk Policy
Does our policy include:
(a) rationale for managing risk
(b) accountabilities
(c) how conflict of interest is dealt with
(d) links between organizations objectives and risk policy
(e) commitment to resource risk management
(f) how risk performance managed, measured and reported
(g) commitment to review and improve the policy
ISO 31000:2009 risk management – principles and guidelines checklist
1
4.3.3 Accountability
Have we established accountability, authority and competence
for managing risk?
Do we
(a) identify risk owners
(b) identify responsibility for our framework
(c) identify risk responsibilities
(d) establish performance measures and reporting and escalation
processes
(e) ensure appropriate levels of recognition
4.3.4 Integration into Organisation Processes
Is risk management embedded into our practices and processes in a
way that is relevant, effective and efficient?
4.3.5 Resources
Have we allocated appropriate resources for risk management?
Including a consideration of:
(a) people
(b) organizational processes, methods and tools
(c) documented processes and procedures
(d) information and knowledge management systems
(e) training
4.3.6 Internal Communication and Reporting
Have we established internal communication and reporting
mechanisms for risk management?
4.3.7 External Communication and Reporting
Have we determined and implemented how we will communicate
with external stakeholders?
NCIPLES AND GUIDELINES CHECKLIST 9 RISK MANAGEMENT – PRINCIPLES AND
ISO 31000:2009 risk management – principles and guidelines checklist 2
ISO 31000:2009 RISK MANAGEMENT – PRINCIPLES AND GUIDELINES CHECKLIST
4.4 Implementing Risk Management
4.4.1 Implementing the Framework
In implementing our framework can we show we have:
(a) applied risk management policy to
organizational processes
(b) complied with legal and regulatory requirements
(c) ensured decision making is aligned with risk management
processes
(d) held information and training sessions
(e) communicated and consulted with stakeholders
4.5 Monitor and Review
Do we:
(a) measure risk management performance against
indicators
(b) measure progress against risk management plans
(c) review whether the framework and policy are still
appropriate
(d) report on risk
(e) review the effectiveness of the framework
4.5 Continual Improvement
Do we continually improve the risk policy, framework, plans?
5. Process
5.1 General
Is the risk management process:
(a) an integral part of management
(b) embedded in culture and practices
(c) tailored to our organisation
ISO 31000:2009 risk management – principles and guidelines checklist
3
ISO 31000:2009 RISK MANAGEMENT – PRINCIPLES AND GUIDELINES CHECKLIST
5.2 Communication and Consultation
Can we demonstrate communication and consultation with external
and internal stakeholders at all stages of the risk management
process?
5.3 Establishing Context
Can we demonstrate we have considered internal and external
context, factors and how they relate to the scope of the particular risk
management process?
5.3.5 Defining Risk Criteria
Have we defined the criteria to be used to evaluate the significance of
risk?
5.4 Risk Assessment
5.4.2 Risk Identification
Have we identified sources of risk, areas of impact and their causes
and potential consequences?
Have we applied risk identification tools and techniques?
Do we use people with appropriate knowledge for risk identification?
5.4.3 Risk Analysis
Do we have processes to consider causes and sources of risks, their
consequences and the likelihood of the consequences to occur?
5.4.4 Risk Evaluation
Do we compare the level of risk found during analysis process (5.4.3)
to our risk criteria to determine the need for treatment or further
analysis?
5.5 Risk Treatment
5.5.2 Selection of Risk Treatment Options
Do we have processes for selecting treatment options that consider
stakeholders, legal, regulatory and context?
Do we have processes to identify new risks introduced through
treatment?
Does the treatment plan identify priority order for risk treatments?
ISO 31000:2009 risk management – principles and guidelines checklist
4
ISO 31000:2009 RISK MANAGEMENT – PRINCIPLES AND GUIDELINES CHECKLIST
5.5.3 Preparing and Implementing Risk Treatment Plans
Do we document how our risk treatment will be implemented?
Do we include
(a) reasons for selection and expected benefits
(b) responsibilities
(c) proposed actions
(d) resource requirements
(e) performance measures
(f) reporting and monitoring requirements
(g) timing
5.6 Monitoring and Review
Have we included regular checks or surveillance in our risk processes
at all levels?
Have we defined responsibilities for monitoring and review?
Do we check progress of risk treatment plans?
Do we report results of monitor and review?
5.7 Recording
Are our processes traceable?
Have we retained suitable records?
ISO 31000:2009 risk management – principles and guidelines checklist
5
ISO 31000:2009 RISK MANAGEMENT – PRINCIPLES AND GUIDELINES CHECKLIST
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ISO 31000 Risk Management Self Assessment Checklist (Australian National University)

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Completed 28 March 2022

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