e-book Understanding Risk Management and Compliance, What is different after Monday, October 14, 2013

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Effective Date: Tuesday, June 26, Regarding Rulemaking: IV. Registration Effective Date : March 19, Data Recordkeeping Effective Date : March 13, Effective Date: Tuesday, July 03, Position Limits Effective Date : January 17, Comment File. Foreign Exchange Effective Date : September 12, Whistleblowers Effective Date : October 24, Agricultural Swaps Effective Date : December 31, Rule Certification Effective Date : September 26, Anti-Manipulation Effective Date : August 15, Step 1 - Identify hazards.

NAFCU Compliance Blog: Risk Management

Detailed information is in Chapter 2 how to identify hazards. Step 2 - Assess risks. If necessary — understand the nature of the harm that could be caused by the hazard, how serious the harm could be and the likelihood of it happening. Detailed information is in Chapter 3 how to assess risks. Step 3 - Control risks.

Implement the most effective control measure that is reasonably practicable in the circumstances and ensure that it remains effective over time. Specific information about the hierarchy of control measures and developing and implementing control measures is in Chapter 4 how to control risks. Step 4 - Review control measures. Review the control measures to ensure they are working as planned.

Identify, assess and control hazards

Learn more about reviewing control measures in Chapter 5 how to review controls. Consultation with workers and their health and safety representatives is required at each step of the risk management process. By drawing on the experience, knowledge and ideas of your workers, you are more likely to identify all hazards and choose effective control measures. Deciding what is reasonably practicable to protect people from harm requires taking into account and considering all the relevant matters, including:.

Further information is available in the Guide: How to determine what is reasonably practicable to meet a health and safety duty and the model Code of Practice : Work health and safety consultation, cooperation and coordination. Practical examples and scenarios of the risk management process are in Appendix B — examples of the risk management process. The ways of controlling risks are ranked from the highest level of protection and reliability to the lowest. This ranking is known as the hierarchy of control measures.

The hierarchy of control measures can be applied in relation to any risk. You must always aim to eliminate the risk , which is the most effective control. If this is not reasonably practicable, you must minimise the risk by working through the other alternatives in the hierarchy. Administrative controls and PPE are the least effective at minimising risk because they do not control the hazard at the source and rely on human behaviour and supervision. Detailed information about each control is in Section 4.

The risk management process that is used for physical risks should also be applied to psychological risks in the workplace. Further guidance specific to psychological risks is available in the Guide: Work-related psychological health and safety: A systematic approach to meeting your duties, and the Guide for preventing and responding to workplace bullying. Managing WHS risks is an ongoing process that needs attention over time, but particularly when any changes affect work activities.

Details can be found in Chapter 1. Other approved codes of practice should be referenced for guidance on managing the risk of specific hazards. If you need help, please contact your state or territory work health and safety authority. You must check with your WHS regulator if a model Code of Practice has been implemented in your jurisdiction. Check with your WHS Regulator.

Consumer Compliance Outlook

This site is undergoing constant refinement. If you have noticed something that needs attention or have ideas for the site please let us know. Search form Search. Identify, assess and control hazards. Grid List. The benefits of assessing and managing risks The effective systematic management of risks improves worker health and safety, as well as productivity. Eliminating and controlling risks in the workplace helps to: prevent and reduce the number and severity of workplace injuries, illnesses and associated costs promote and improve worker health, wellbeing and capacity to work, and helps to foster innovation and improve quality and productivity of work.

Duty holders include: PCBUs designers, manufacturers, importers, suppliers and installers of plant, substances or structures, and officers. A step-by-step approach to managing WHS risks Risk management is a proactive process that helps you respond to change and facilitate continuous improvement in your business. Step 2 - Assess risks If necessary — understand the nature of the harm that could be caused by the hazard, how serious the harm could be and the likelihood of it happening.

This step may not be necessary if you are dealing with a known risk, with known controls. Step 3 - Control risks Implement the most effective control measure that is reasonably practicable in the circumstances and ensure that it remains effective over time. Step 4 - Review control measures Review the control measures to ensure they are working as planned.


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Figure 1. The risk management process Consulting workers Consultation with workers and their health and safety representatives is required at each step of the risk management process. Reasonably practicable Deciding what is reasonably practicable to protect people from harm requires taking into account and considering all the relevant matters, including: the likelihood of the hazard or risk occurring the degree of harm that might result from the hazard or risk knowledge about the hazard or risk, and ways of minimising or eliminating the risk the availability and suitability of ways to eliminate or minimise the risk, and after assessing the extent of the risk and the available ways of eliminating or minimising the risk, the cost associated with available ways of eliminating or minimising the risk, including whether the cost is grossly disproportionate to the risk.

Controlling risks using the hierarchy of control measures The ways of controlling risks are ranked from the highest level of protection and reliability to the lowest. Figure 2.


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Risk Assessments and the New COSO Framework

Open Meeting Wednesday, April 28, Agenda for this meeting. Open Meeting Tuesday, April 13, Agenda for this meeting. Open Meeting Thursday, March 11, Agenda for this meeting. Open Meeting Wednesday, February 25, Agenda for this meeting. Open Meeting Tuesday, February 24, Agenda for this meeting. Open Meeting Wednesday, February 11, Agenda for this meeting.

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Data Ethics: Risk Management for the Algorithmic Age

Open Meeting Wednesday, December 3, Agenda for this meeting. Open Meeting Wednesday, November 19, Agenda for this meeting. Open Meeting Wednesday, October 29, Agenda for this meeting. Open Meeting Wednesday, October 22, Agenda for this meeting.