Quality Control (QC) is a system of routine technical activities, to measure and control the quality of the inventory as it is being developed. The QC system is designed to:
(a) Provide routine and consistent checks to ensure data integrity, correctness, and completeness;
(b) Identify and address errors and omissions;
(c) Document and archive inventory material and record all QC activities.
QC activities include general methods such as :
(a) accuracy checks on data acquisition and calculations
(b) the use of approved standardized procedures for emission calculations, measurements, estimating uncertainties, archiving information and reporting. Higher tier QC activities include technical reviews of source categories, activity and emission factor data, and methods.
While
Quality Assurance (QA) activities include:
(a) a planned system of review procedures conducted by personnel not directly involved in the inventory compilation/development process.
(b) Reviews,preferably by independent third parties, should be performed upon a finalized inventory following the implementation of QC procedures.
(c) Reviews verify that data quality objectives were met,
(d) ensure that the inventory represents the best possible estimates of emissions and sinks given the current state of scientific knowledge and data available, and
(e) support the effectiveness of the QC programme.
Before implementing QA/QC activities, it is necessary to determine which techniques should be used, and where and when they will be applied.
May 9, 2010
How To Write A Job Description
Think of a job description as a “snapshot” of a job. The job description needs to communicate clearly and concisely what responsibilities and tasks the job entails and to indicate, as well, the key qualifications of the job – the basic requirements (specific credentials or skills) – and, if possible, the attributes that underlie superior performance.
Following is a quick look at the categories that make up a well-written job description:
• Title of the position
• Job Code
• Department
• Reports to (to whom the person directly reports)
• Supervise ( person(s) directly report to the position holder)
• Overall responsibility
• Key areas of responsibility
• Consults with (those who the person works with on a regular basis)
• Term of employment (Full time, temporary, 12 months, etc..)
• Qualifications (necessary skills and experience required) KSAs
• Job requirement (physical , mental, etc..)
• Authorities
• Reports/ documents
• Key performance criteria/ area(s)
Tips & Tactics
Helpful advice for making the most of this Guide
• Don’t rely solely on a job’s history as you’re putting together a job description for today. Focus instead on what the job needs to be in light of the organization’s current needs and long-term objectives.
• A task is what the person in the job will actually do.
• Qualifications are the skills, attributes, or credentials a person needs to perform each task.
• Credentials (such as degrees and licenses) are absolute necessities in some jobs. The thing you want to make sure of, however, is that whatever credentials you establish have a direct bearing on the candidate’s ability to become a top performer.
• Be specific with your job requirements. It will save you time during the screening process and will keep your focus on qualified candidates.
• Clarify the actual tasks and responsibilities before you start thinking about what special attributes will be needed by the person who will be fulfilling those responsibilities.
• A well-written job description consists of more than a shopping list of the tasks and responsibilities that the job entails. It reflects a sense of priorities.
• Instead of detailing tasks, keep your job descriptions focused on responsibilities and what you would like the individual to accomplish in this position.
• The job you describe must be truly doable. When you’re lumping several tasks into the same job description, make sure that you’re not creating a job that very few people could fill.
• Experience should not include an upper limit
• Any reference to race, color, religion, age, sex, national origin or nationality, physical or mental disability, or sexual orientation in your job description is illegal, so avoid them!
• Be sure you are clear regarding the physical requirements of the position. If it requires heavy lifting, you will want to be sure to document that in the description for legal reasons.
• Finally, Compare your description to positions in similar companies. Is your description competitive?
• Compose specific duty statements that contain most of the following elements
- A precious action verb (see below)
- An object of the verb
- The expected outcome
- The frequency of duties
- The tools, equipment, aids and processes to be used
• Always use specific language. For example:
Too General
- Computer literate
- Good communication skills
- Good organizational skills
- Handles administrative chores
- Lifts heavy packages
- Operates electronic imaging machine
- General verbs such as:
* Prepares ..
* Handles
* Processes
* Maintains
Specific
- Proficient with Microsoft Word, Excel, QuickBooks
- Ability to communicate technical information to nontechnical audiences
- Ability to set priorities, manage time effectively and efficiently, etc..
- Receives, sorts, and files monthly personnel action reports
- Frequently lifts heavy packages weighing up to 50 pounds
- Must know how to operate an electronic imaging machine
- Specific verbs such as:
* Assists – to create, plan, and conduct
* Manages
* Administers
* Resolves
* Ensures
* Identifies
* Recruits
* Analyzes
* Provides
* Reviews
* Interviews
* Coordinates
* Performs
* Sorts and distributes
* Orders, stores, and receives—
* Facilitates
* Records
* Documents
* Oversees
* Approves
- Be consistent: Define terms like may, periodically, occasionally regularly, etc..
- Prepare a miscellaneous clause: This clause provides flexibility, and may be phrased as follows: "performs other related duties as assigned by supervisory personnel"
Following is a quick look at the categories that make up a well-written job description:
• Title of the position
• Job Code
• Department
• Reports to (to whom the person directly reports)
• Supervise ( person(s) directly report to the position holder)
• Overall responsibility
• Key areas of responsibility
• Consults with (those who the person works with on a regular basis)
• Term of employment (Full time, temporary, 12 months, etc..)
• Qualifications (necessary skills and experience required) KSAs
• Job requirement (physical , mental, etc..)
• Authorities
• Reports/ documents
• Key performance criteria/ area(s)
Tips & Tactics
Helpful advice for making the most of this Guide
• Don’t rely solely on a job’s history as you’re putting together a job description for today. Focus instead on what the job needs to be in light of the organization’s current needs and long-term objectives.
• A task is what the person in the job will actually do.
• Qualifications are the skills, attributes, or credentials a person needs to perform each task.
• Credentials (such as degrees and licenses) are absolute necessities in some jobs. The thing you want to make sure of, however, is that whatever credentials you establish have a direct bearing on the candidate’s ability to become a top performer.
• Be specific with your job requirements. It will save you time during the screening process and will keep your focus on qualified candidates.
• Clarify the actual tasks and responsibilities before you start thinking about what special attributes will be needed by the person who will be fulfilling those responsibilities.
• A well-written job description consists of more than a shopping list of the tasks and responsibilities that the job entails. It reflects a sense of priorities.
• Instead of detailing tasks, keep your job descriptions focused on responsibilities and what you would like the individual to accomplish in this position.
• The job you describe must be truly doable. When you’re lumping several tasks into the same job description, make sure that you’re not creating a job that very few people could fill.
• Experience should not include an upper limit
• Any reference to race, color, religion, age, sex, national origin or nationality, physical or mental disability, or sexual orientation in your job description is illegal, so avoid them!
• Be sure you are clear regarding the physical requirements of the position. If it requires heavy lifting, you will want to be sure to document that in the description for legal reasons.
• Finally, Compare your description to positions in similar companies. Is your description competitive?
• Compose specific duty statements that contain most of the following elements
- A precious action verb (see below)
- An object of the verb
- The expected outcome
- The frequency of duties
- The tools, equipment, aids and processes to be used
• Always use specific language. For example:
Too General
- Computer literate
- Good communication skills
- Good organizational skills
- Handles administrative chores
- Lifts heavy packages
- Operates electronic imaging machine
- General verbs such as:
* Prepares ..
* Handles
* Processes
* Maintains
Specific
- Proficient with Microsoft Word, Excel, QuickBooks
- Ability to communicate technical information to nontechnical audiences
- Ability to set priorities, manage time effectively and efficiently, etc..
- Receives, sorts, and files monthly personnel action reports
- Frequently lifts heavy packages weighing up to 50 pounds
- Must know how to operate an electronic imaging machine
- Specific verbs such as:
* Assists – to create, plan, and conduct
* Manages
* Administers
* Resolves
* Ensures
* Identifies
* Recruits
* Analyzes
* Provides
* Reviews
* Interviews
* Coordinates
* Performs
* Sorts and distributes
* Orders, stores, and receives—
* Facilitates
* Records
* Documents
* Oversees
* Approves
- Be consistent: Define terms like may, periodically, occasionally regularly, etc..
- Prepare a miscellaneous clause: This clause provides flexibility, and may be phrased as follows: "performs other related duties as assigned by supervisory personnel"
May 7, 2010
Job description guidelines
Writing a compelling job description can make the difference between attracting a superstar and a not-so-super candidate. You do not have to be an experienced recruiter to write a job description that gets noticed. A terrific job description lets candidates know what will be expected of her from the outset helping to ensure a smooth transition once hired. A well-written job description can also help you be sure you are complying with necessary employment laws.
Identify the Goal
Job descriptions don't just communicate required duties to your employees; they also clarify your organization's purpose and its effectiveness.
Study the Job
As the first step in writing a job description, you need to study the job itself. This process--job analysis--gives an overview of your organization's functions.
Learn Legal Constraints
JDs are generally treated as legal documents, providing grounds for removing employees who do not meet written expectations.
Categorize
You can start the writing process by placing the job functions into categories. Categories common to job descriptions include position title, department name, supervisor's name, job objectives, essential functions, work condition, and experience or skills required.
Write
In writing this document, concentrate on your use of language.
Review
Pass it on to someone else to review it, ideally someone who has performed the job involved.
Revise
You should immediately incorporate valid feedback into the job description. Since jobs, like everything else, constantly evolve, you can expect to be making periodic changes to the job description in the future as well.
Identify the Goal
Job descriptions don't just communicate required duties to your employees; they also clarify your organization's purpose and its effectiveness.
Study the Job
As the first step in writing a job description, you need to study the job itself. This process--job analysis--gives an overview of your organization's functions.
Learn Legal Constraints
JDs are generally treated as legal documents, providing grounds for removing employees who do not meet written expectations.
Categorize
You can start the writing process by placing the job functions into categories. Categories common to job descriptions include position title, department name, supervisor's name, job objectives, essential functions, work condition, and experience or skills required.
Write
In writing this document, concentrate on your use of language.
Review
Pass it on to someone else to review it, ideally someone who has performed the job involved.
Revise
You should immediately incorporate valid feedback into the job description. Since jobs, like everything else, constantly evolve, you can expect to be making periodic changes to the job description in the future as well.
May 5, 2010
Employee satisfaction survey
Employee satisfaction is the terminology used to describe whether employees are happy and contented and fulfilling their desires and needs at work. Many measures purport that employee satisfaction is a factor in employee motivation, employee goal achievement, and positive employee morale in the workplace.
Factors contributing to employee satisfaction include treating employees with respect, providing regular employee recognition, empowering employees, offering above industry-average benefits and compensation, providing employee perks and company activities, and positive management within a success framework of goals, measurements, and expectations.
Employee satisfaction is often measured by unsigned employee satisfaction surveys administered periodically that gauge employee satisfaction in areas such as:
• management support,
• understanding of mission and vision,
• empowerment,
• teamwork,
• communication/ priorities,
• supervision/involvement
• work environment; coworker interaction,
• training and coaching,
• recognition/reward,
• motivation,
• workload/resources,
• growth and advancement, and
The facets of employee satisfaction measured vary from company to company.
A second method used to measure employee satisfaction is meeting with small groups of employees and asking the same questions verbally. Depending on the culture of the company, either method can contribute knowledge about employee satisfaction to managers and employees.
Exit interviews are another way to assess employee satisfaction in that satisfied employees rarely leave companies.
Employee satisfaction surveys and facilitated focus groups help the employer identify areas of employee satisfaction and dissatisfaction. For accurate, reliable results, employee satisfaction surveys or focus group questions need to be:
• developed by professionals who understand how to put questions together that obtain unbiased information;
• administered appropriately with care and consideration for the organization's culture and communication; and
• analyzed by people who understand survey research and can provide effective analysis.
Further, in the interest of building a relationship of honesty, integrity, and trust, among organization employees, the results should be communicated effectively and acted upon by the organization. Finally, the organization's managers need to track progress and communicate implementation successes and failures.
Communicate the Fact That While Employee Responses Are Confidential, the Data Gathered Will be Used to Improve the Workplace
The reason employers do employee satisfaction or customer satisfaction surveys is to telegraph their openness to employee input. The second is to genuinely understand what is on their employees’ minds.
The Questions Asked Really Do Matter
No one is as familiar with your company culture as the people who work in the company every day. A small group of employees should determine the topics of the questions to ask. These questions will relate to the perceived likes, dislikes, and challenges your employees might experience in your organization.
Once you’ve determined the topics of the questions to ask, develop questions. Your questions should be evaluated to make sure they are not leading to a desired response, vague, or open to interpretation, depending on the employee reading the question.
Leading questions or statements are a problem when unqualified individuals develop the survey questions. An example of a leading statement that will also receive a biased answer is: My manager’s door is always open to me. An example of an unclear statement is: My career development and job satisfaction are improved by the performance development planning (PDP) process.
Hold Employee Focus Groups or Survey Processes at Your Work Site
If you take employee groups offsite to participate in surveys and focus groups, you are sending a clear message that it is not “safe” to talk about employee satisfaction in the company. This is exactly the opposite of the message that you really want to send.
Never Lose Control of Your Data
Access to the data and analysis will allow you to assess the degree to which various opinions permeate your workforce. The data will allow you to make your own assessment of employee satisfaction. Particularly correlation analysis and other data charts and graphs are important for you to access.
Never Allow Employees to Self-select for Participation in Surveys and Focus Groups
Employees should never self-select to participate in an employee focus group or survey. When you allow self-selection, you’ll generally find that less satisfied or very satisfied employees sign up for the group. Or, your more communicative employees are more comfortable expressing their opinions in a group. Your less communicative staff is guaranteed to be unrepresented.
For valid and reliable results, either every employee should be included in the survey process or a random selection method should be employed to decide who will be included.
To ensure widespread participation, perhaps offer an incentive, either company-wide or for individuals.
Conclusions About Employee Satisfaction Surveys
You can use a simple paper and pencil instrument, an online survey, or a much more sophisticated process to assess your employees' satisfaction. e.g access software.
Your results may skew positively or negatively based on the skills of your facilitators or survey producers and the employees who decided to participate. Worst, you may have sent the wrong message to your employees about the safety and worth of communication in your company. Do this at your own risk.
Here are a few quick tips for your survey design before you publish it online. Do a complete test of your data collection template – a dry run right through to the development of action plans:
1. Test a sample questionnaire on a small targetted group.
2. Analyze the results of your sample questionnaire.
3. Create a sample report to the survey management team.
4. Ask the survey management team what insights they've learned and action plans they will recommend based on the results.
Factors contributing to employee satisfaction include treating employees with respect, providing regular employee recognition, empowering employees, offering above industry-average benefits and compensation, providing employee perks and company activities, and positive management within a success framework of goals, measurements, and expectations.
Employee satisfaction is often measured by unsigned employee satisfaction surveys administered periodically that gauge employee satisfaction in areas such as:
• management support,
• understanding of mission and vision,
• empowerment,
• teamwork,
• communication/ priorities,
• supervision/involvement
• work environment; coworker interaction,
• training and coaching,
• recognition/reward,
• motivation,
• workload/resources,
• growth and advancement, and
The facets of employee satisfaction measured vary from company to company.
A second method used to measure employee satisfaction is meeting with small groups of employees and asking the same questions verbally. Depending on the culture of the company, either method can contribute knowledge about employee satisfaction to managers and employees.
Exit interviews are another way to assess employee satisfaction in that satisfied employees rarely leave companies.
Employee satisfaction surveys and facilitated focus groups help the employer identify areas of employee satisfaction and dissatisfaction. For accurate, reliable results, employee satisfaction surveys or focus group questions need to be:
• developed by professionals who understand how to put questions together that obtain unbiased information;
• administered appropriately with care and consideration for the organization's culture and communication; and
• analyzed by people who understand survey research and can provide effective analysis.
Further, in the interest of building a relationship of honesty, integrity, and trust, among organization employees, the results should be communicated effectively and acted upon by the organization. Finally, the organization's managers need to track progress and communicate implementation successes and failures.
Communicate the Fact That While Employee Responses Are Confidential, the Data Gathered Will be Used to Improve the Workplace
The reason employers do employee satisfaction or customer satisfaction surveys is to telegraph their openness to employee input. The second is to genuinely understand what is on their employees’ minds.
The Questions Asked Really Do Matter
No one is as familiar with your company culture as the people who work in the company every day. A small group of employees should determine the topics of the questions to ask. These questions will relate to the perceived likes, dislikes, and challenges your employees might experience in your organization.
Once you’ve determined the topics of the questions to ask, develop questions. Your questions should be evaluated to make sure they are not leading to a desired response, vague, or open to interpretation, depending on the employee reading the question.
Leading questions or statements are a problem when unqualified individuals develop the survey questions. An example of a leading statement that will also receive a biased answer is: My manager’s door is always open to me. An example of an unclear statement is: My career development and job satisfaction are improved by the performance development planning (PDP) process.
Hold Employee Focus Groups or Survey Processes at Your Work Site
If you take employee groups offsite to participate in surveys and focus groups, you are sending a clear message that it is not “safe” to talk about employee satisfaction in the company. This is exactly the opposite of the message that you really want to send.
Never Lose Control of Your Data
Access to the data and analysis will allow you to assess the degree to which various opinions permeate your workforce. The data will allow you to make your own assessment of employee satisfaction. Particularly correlation analysis and other data charts and graphs are important for you to access.
Never Allow Employees to Self-select for Participation in Surveys and Focus Groups
Employees should never self-select to participate in an employee focus group or survey. When you allow self-selection, you’ll generally find that less satisfied or very satisfied employees sign up for the group. Or, your more communicative employees are more comfortable expressing their opinions in a group. Your less communicative staff is guaranteed to be unrepresented.
For valid and reliable results, either every employee should be included in the survey process or a random selection method should be employed to decide who will be included.
To ensure widespread participation, perhaps offer an incentive, either company-wide or for individuals.
Conclusions About Employee Satisfaction Surveys
You can use a simple paper and pencil instrument, an online survey, or a much more sophisticated process to assess your employees' satisfaction. e.g access software.
Your results may skew positively or negatively based on the skills of your facilitators or survey producers and the employees who decided to participate. Worst, you may have sent the wrong message to your employees about the safety and worth of communication in your company. Do this at your own risk.
Here are a few quick tips for your survey design before you publish it online. Do a complete test of your data collection template – a dry run right through to the development of action plans:
1. Test a sample questionnaire on a small targetted group.
2. Analyze the results of your sample questionnaire.
3. Create a sample report to the survey management team.
4. Ask the survey management team what insights they've learned and action plans they will recommend based on the results.
May 4, 2010
Orientation Programs Key to Long-Term Success
There are significant differences in employee engagement among companies that focus on the details of the hiring and orientation process and those that don't.
In a review of human resources practices at 50 large U.S. companies, It is found that 65 % of companies with a highly engaged workforce provide interview training for managers, compared with 33 % of companies with a less engaged workforce.
Those with highly engaged workers also spend more time in preparing workers for their new jobs--they take an average of 35 weeks to bring a new hire up to speed versus 15 weeks for those with low engagement.
"Few things are more important to a company's long-term performance than choosing the right employees and ensuring they have the proper outlook from Day One. As a result, employers should view the recruitment and orientation process as an opportunity, not as a burden. Preparing employees for their new roles and communicating how they can help the firm meet its goals can go a long way toward determining whether new employees ultimately succeed."
A simple but key technique for driving worker engagement is to explain to new employees why they were hired.
"Sharing with new hires the attributes that drew the company to them is an easy and meaningful way to begin a productive relationship It gives new employees an immediate tie to the company and a clear understanding of how their skills can be used productively at their new place of employment."
The orientation of a new employee is the final step in the hiring process. Without a planned orientation program, employees may not receive the information they need or might be misinformed about company policies, practices, and procedures. A well-organized orientation program lets new employees get all the facts firsthand, boosts their confidence, and contributes to a more positive attitude toward the Company.
The Company has devised a formal Orientation Program for all new employees. It consists of two (2) phases:
Phase I – Human Resources Department
Phase II – Immediate Supervisor
The orientation of new employees is very important and should be carried out conscientiously. Every effort should be made to make them feel comfortable and welcome.
Human Resources Department : The following items are to be discussed with the new employee upon his/her successful completion of physical exam
1. Equal Opportunity Employer / Policy Against Harassment
2. Safety equipment (if required )
3. United Way
4. Group Insurance Program
5. Probationary Period
6. Bulletin Boards
7. Job-Posting Provisions
8. Pension Plan
9. Holidays — Eligibility
10. Vacations — Eligibility
11. Safety — First Aid
12. Attendance — Proper Reporting
13. Telephone Calls — Emergency or Other
14. Changes in Personnel Records
15. Cafeteria Facilities
16. Parking Facilities
17. Service Award Program
18. Training Program
19. Tuition Reimbursement Program
20. Working hour
21. Pay procedures
22. Show, in contract book, job classifications and pay grade, automatic and merit steps for increases.
Immediate Supervisor : This checklist is to insure that all necessary supplies, tools, information, and safety equipment have been given to your new employee. Welcome new employee and put him/her at ease
1. Lock with key, where applicable.
2. Required tools.
3. Required safety equipment.
4. Employee's job classification (title).
5. Initial assignment and necessary training.
Discuss:
6. Goals of the first few months — what he/she should learn.
7. Type of on-the-job training he/she will be given.
8. In general, his/her possible promotional opportunities.
9. Pay procedures: when, where, how.
10. Bulletin boards: where.
11. Hours of work — rest periods.
12. Meal periods — time and place — mention cafeteria facilities .
13. Department and plant rules and regulations.
14. How to get tools and supplies.
15. organization Safety Policy:
• Review department safety rules and record.
• Explain procedures to follow in case on-the-job injury occurs.
16. Overtime policy.
17. Company Attendance Policy — Importance of good attendance, calling in, etc.
Also:
18. Show new employees their job and have them observe others doing it.
19. Explain each step as performed.
20. Introduce employee to Department Steward.
21. Introduce employee to his/her training instructor.
22. Completely answer any remaining questions.
23. Introduce employee to department head.
In a review of human resources practices at 50 large U.S. companies, It is found that 65 % of companies with a highly engaged workforce provide interview training for managers, compared with 33 % of companies with a less engaged workforce.
Those with highly engaged workers also spend more time in preparing workers for their new jobs--they take an average of 35 weeks to bring a new hire up to speed versus 15 weeks for those with low engagement.
"Few things are more important to a company's long-term performance than choosing the right employees and ensuring they have the proper outlook from Day One. As a result, employers should view the recruitment and orientation process as an opportunity, not as a burden. Preparing employees for their new roles and communicating how they can help the firm meet its goals can go a long way toward determining whether new employees ultimately succeed."
A simple but key technique for driving worker engagement is to explain to new employees why they were hired.
"Sharing with new hires the attributes that drew the company to them is an easy and meaningful way to begin a productive relationship It gives new employees an immediate tie to the company and a clear understanding of how their skills can be used productively at their new place of employment."
The orientation of a new employee is the final step in the hiring process. Without a planned orientation program, employees may not receive the information they need or might be misinformed about company policies, practices, and procedures. A well-organized orientation program lets new employees get all the facts firsthand, boosts their confidence, and contributes to a more positive attitude toward the Company.
The Company has devised a formal Orientation Program for all new employees. It consists of two (2) phases:
Phase I – Human Resources Department
Phase II – Immediate Supervisor
The orientation of new employees is very important and should be carried out conscientiously. Every effort should be made to make them feel comfortable and welcome.
Human Resources Department : The following items are to be discussed with the new employee upon his/her successful completion of physical exam
1. Equal Opportunity Employer / Policy Against Harassment
2. Safety equipment (if required )
3. United Way
4. Group Insurance Program
5. Probationary Period
6. Bulletin Boards
7. Job-Posting Provisions
8. Pension Plan
9. Holidays — Eligibility
10. Vacations — Eligibility
11. Safety — First Aid
12. Attendance — Proper Reporting
13. Telephone Calls — Emergency or Other
14. Changes in Personnel Records
15. Cafeteria Facilities
16. Parking Facilities
17. Service Award Program
18. Training Program
19. Tuition Reimbursement Program
20. Working hour
21. Pay procedures
22. Show, in contract book, job classifications and pay grade, automatic and merit steps for increases.
Immediate Supervisor : This checklist is to insure that all necessary supplies, tools, information, and safety equipment have been given to your new employee. Welcome new employee and put him/her at ease
1. Lock with key, where applicable.
2. Required tools.
3. Required safety equipment.
4. Employee's job classification (title).
5. Initial assignment and necessary training.
Discuss:
6. Goals of the first few months — what he/she should learn.
7. Type of on-the-job training he/she will be given.
8. In general, his/her possible promotional opportunities.
9. Pay procedures: when, where, how.
10. Bulletin boards: where.
11. Hours of work — rest periods.
12. Meal periods — time and place — mention cafeteria facilities .
13. Department and plant rules and regulations.
14. How to get tools and supplies.
15. organization Safety Policy:
• Review department safety rules and record.
• Explain procedures to follow in case on-the-job injury occurs.
16. Overtime policy.
17. Company Attendance Policy — Importance of good attendance, calling in, etc.
Also:
18. Show new employees their job and have them observe others doing it.
19. Explain each step as performed.
20. Introduce employee to Department Steward.
21. Introduce employee to his/her training instructor.
22. Completely answer any remaining questions.
23. Introduce employee to department head.
Induction Program
Things to think about when implementing an employee induction process
1. Identify the business objectives and desired benefits
Effective induction can have many benefits including reducing turnover costs, engaging and motivating new and existing employees, contributing to the implementation of good systems and processes and gaining feedback and ideas from new hires looking at an organisation through “fresh eyes”. Thinking about how a new or improved induction process could benefit your organisation will help you determine the focus and shape of the programme. If you are keen to help new hires build internal networks for example, a programme which brings all new hires together may be important. If your key business driver is to ensure consistent standards and messages across a multi-site organisation, an e-learning solution may be most appropriate.
2. Secure early commitment
Don’t underestimate the powerful effect that induction can have in developing commitment to a new organisation. A good induction process shows that the company cares and is committed to setting people up for success. It can also help to identify problems or barriers at an early stage and allow the appropriate action to be taken. Conversely a poor induction experience could make some new entrants doubt their decision to join your organisation representing a risk in terms of future retention and reputation.
3. Agree roles and responsibilities of different players in the process
Clearly identify the roles and responsibilities of the different players in the induction process. These may include the HR/ Learning and Development functions, the line manager, the administration function, mentors or buddies and of course the individual themselves. This is perhaps best achieved via a detailed induction checklist which allocates specific responsibilities and timelines to the various stakeholders.
4. Think of induction as a journey
Thinking about your induction process as a journey rather than a one-off event is essential. It may be useful to consider the induction journey in terms of the first 3 days, first 3 weeks and first 3 months. This approach might include a mini induction during the first 3 days with an immediate supervisor covering essentials such as security, organization charts, initial objectives and introductions to key personnel. A more comprehensive induction training session may follow during the first 3 weeks and then a review meeting after 3 months to check that everything is on track. Giving consideration to what post-programme support may be needed is also important. This may include additional training, quick reference guides, key contact lists or personal support which could be provided by mentors or buddies.
5. Engage staff prior to joining
A good induction process should start from the moment an employee accepts an offer with your organisation. Develop a comprehensive induction checklist and also give thought to what could be covered pre-arrival to prepare someone for life within your organisation. This may include a pre-joining visit, regular phone and email contact or access to the company intranet site. Ensuring that all the relevant administrative and IT arrangements are in place will also be a big factor in getting a new employee up and running as soon as possible and creating good first impression.
6. Have clear learning objectives for training sessions
When designing content for induction training, it is important to start by identifying the desired outcomes of the training. Michael Meighan advises thinking in terms of what a new entrant “must know”, “should know” and “could know”. The “must knows” will include key policies and procedures, regulatory, health and safety and personnel matters essential for a person to do their particular job. “Should knows” may be things that the person ought know in order to fit in within the organisation and “could knows” may be of interest but would not be essential for a new entrant to do their job e.g. organizational history. When designing the training also ensure that training sessions and induction materials take account of different learning preferences and where possible include a variety of delivery styles.
7. Respect the induction needs of different audiences
One size does not necessarily fit all and recognizing that different groups of new employees may have varying induction needs is essential. Within the same organisation, the induction needs of a senior director, a school leaver and indeed a returning expatriate are likely to be quite different. Whilst the fundamentals of the induction process may remain the same, ensuring that the content of induction training sessions is appropriately tailored and relevant to the needs of different audiences will be vital in securing engagement.
8. Ensure a quality experience
For most people, the induction programme will be their first experience with the Learning and Development function within the organisation - and all too often this can be less than positive. It is important to remember that this is a unique opportunity for L&D to “set out its stall” with new hires. Developing carefully tailored content and choosing competent trainers who motivate and engage their audiences will be key ingredients in delivering a high quality experience.
9. Keep induction material up to date
All too often organizations will make a significant investment in designing a new induction process and then fail to keep key content up to date. It is vital that at the outset an owner for the process is identified and it is agreed how induction content will be updated by key stakeholders on an on-going basis. Using e-based induction materials can be one way to ensure that it can be easily maintained and updated. Whilst this may mean a more significant up-front investment, e-based induction materials may also help reduce expenditure on classroom based training and the associated travel and delivery costs particularly in multi-site organisations.
10. Evaluation
Finally, as with any new process it is important to continuously evaluate the success of your induction process and make appropriate changes as required. Some measures which may be helpful in assessing the success of your approach could include:
- Feedback from new hires who have gone through the process – this could take the from of course evaluation sheets if you are delivering an induction training session or could be achieved via 1:1 interviews with a selected group of new entrants after their first 3 months with the organisation.
- Retention rates for new entrants – monitoring these will be particularly important for organizations who implemented a new process in an attempt to reduce attrition levels amongst new joiners.
- Exit Interviews – data from individuals choosing to leave the organisation can provide valuable information about the success of an induction process.
- Monitoring common queries – where your organisation has a HR Service Centre it may also be useful to monitor the types of common queries coming from new joiners to review whether additional information should be included in the induction process.
- Employee Engagement Survey – where your organisation has a regular employee engagement survey, this could prove valuable in measuring changes in levels of commitment and engagement following the introduction of a new induction process.
Positive outcomes of a good induction process
High levels of motivation and commitment amongst new employees.
High retention rates for new joiners within the organisation.
Positive influence on existing staff involved in the induction process – who are reminded of the positives attributes of their organisation and
motivated by their involvement in the process
Organization is perceived externally as a good employer, who cares and works hard to integrate new staff – likely to act as a positive attraction tool for new hires.
Positive impact on the implementation of processes and procedures within the organisation.
1. Identify the business objectives and desired benefits
Effective induction can have many benefits including reducing turnover costs, engaging and motivating new and existing employees, contributing to the implementation of good systems and processes and gaining feedback and ideas from new hires looking at an organisation through “fresh eyes”. Thinking about how a new or improved induction process could benefit your organisation will help you determine the focus and shape of the programme. If you are keen to help new hires build internal networks for example, a programme which brings all new hires together may be important. If your key business driver is to ensure consistent standards and messages across a multi-site organisation, an e-learning solution may be most appropriate.
2. Secure early commitment
Don’t underestimate the powerful effect that induction can have in developing commitment to a new organisation. A good induction process shows that the company cares and is committed to setting people up for success. It can also help to identify problems or barriers at an early stage and allow the appropriate action to be taken. Conversely a poor induction experience could make some new entrants doubt their decision to join your organisation representing a risk in terms of future retention and reputation.
3. Agree roles and responsibilities of different players in the process
Clearly identify the roles and responsibilities of the different players in the induction process. These may include the HR/ Learning and Development functions, the line manager, the administration function, mentors or buddies and of course the individual themselves. This is perhaps best achieved via a detailed induction checklist which allocates specific responsibilities and timelines to the various stakeholders.
4. Think of induction as a journey
Thinking about your induction process as a journey rather than a one-off event is essential. It may be useful to consider the induction journey in terms of the first 3 days, first 3 weeks and first 3 months. This approach might include a mini induction during the first 3 days with an immediate supervisor covering essentials such as security, organization charts, initial objectives and introductions to key personnel. A more comprehensive induction training session may follow during the first 3 weeks and then a review meeting after 3 months to check that everything is on track. Giving consideration to what post-programme support may be needed is also important. This may include additional training, quick reference guides, key contact lists or personal support which could be provided by mentors or buddies.
5. Engage staff prior to joining
A good induction process should start from the moment an employee accepts an offer with your organisation. Develop a comprehensive induction checklist and also give thought to what could be covered pre-arrival to prepare someone for life within your organisation. This may include a pre-joining visit, regular phone and email contact or access to the company intranet site. Ensuring that all the relevant administrative and IT arrangements are in place will also be a big factor in getting a new employee up and running as soon as possible and creating good first impression.
6. Have clear learning objectives for training sessions
When designing content for induction training, it is important to start by identifying the desired outcomes of the training. Michael Meighan advises thinking in terms of what a new entrant “must know”, “should know” and “could know”. The “must knows” will include key policies and procedures, regulatory, health and safety and personnel matters essential for a person to do their particular job. “Should knows” may be things that the person ought know in order to fit in within the organisation and “could knows” may be of interest but would not be essential for a new entrant to do their job e.g. organizational history. When designing the training also ensure that training sessions and induction materials take account of different learning preferences and where possible include a variety of delivery styles.
7. Respect the induction needs of different audiences
One size does not necessarily fit all and recognizing that different groups of new employees may have varying induction needs is essential. Within the same organisation, the induction needs of a senior director, a school leaver and indeed a returning expatriate are likely to be quite different. Whilst the fundamentals of the induction process may remain the same, ensuring that the content of induction training sessions is appropriately tailored and relevant to the needs of different audiences will be vital in securing engagement.
8. Ensure a quality experience
For most people, the induction programme will be their first experience with the Learning and Development function within the organisation - and all too often this can be less than positive. It is important to remember that this is a unique opportunity for L&D to “set out its stall” with new hires. Developing carefully tailored content and choosing competent trainers who motivate and engage their audiences will be key ingredients in delivering a high quality experience.
9. Keep induction material up to date
All too often organizations will make a significant investment in designing a new induction process and then fail to keep key content up to date. It is vital that at the outset an owner for the process is identified and it is agreed how induction content will be updated by key stakeholders on an on-going basis. Using e-based induction materials can be one way to ensure that it can be easily maintained and updated. Whilst this may mean a more significant up-front investment, e-based induction materials may also help reduce expenditure on classroom based training and the associated travel and delivery costs particularly in multi-site organisations.
10. Evaluation
Finally, as with any new process it is important to continuously evaluate the success of your induction process and make appropriate changes as required. Some measures which may be helpful in assessing the success of your approach could include:
- Feedback from new hires who have gone through the process – this could take the from of course evaluation sheets if you are delivering an induction training session or could be achieved via 1:1 interviews with a selected group of new entrants after their first 3 months with the organisation.
- Retention rates for new entrants – monitoring these will be particularly important for organizations who implemented a new process in an attempt to reduce attrition levels amongst new joiners.
- Exit Interviews – data from individuals choosing to leave the organisation can provide valuable information about the success of an induction process.
- Monitoring common queries – where your organisation has a HR Service Centre it may also be useful to monitor the types of common queries coming from new joiners to review whether additional information should be included in the induction process.
- Employee Engagement Survey – where your organisation has a regular employee engagement survey, this could prove valuable in measuring changes in levels of commitment and engagement following the introduction of a new induction process.
Positive outcomes of a good induction process
High levels of motivation and commitment amongst new employees.
High retention rates for new joiners within the organisation.
Positive influence on existing staff involved in the induction process – who are reminded of the positives attributes of their organisation and
motivated by their involvement in the process
Organization is perceived externally as a good employer, who cares and works hard to integrate new staff – likely to act as a positive attraction tool for new hires.
Positive impact on the implementation of processes and procedures within the organisation.
Apr 23, 2010
Healthy habits to improve memory
Treating your body well can enhance your ability to process and recall information.
Healthy Habits that Improve Memory
Regular exercise
• Increases oxygen to your brain.
• Reduces the risk for disorders that lead to memory loss, such as
diabetes and cardiovascular disease.
• May enhance the effects of helpful brain chemicals and protect brain cells.
Managing stress
• Cortisol, the stress hormone, can damage the hippocampus if the stress is unrelieved.
• Stress makes it difficult to concentrate.
Good sleep habits • Sleep is necessary for memory consolidation.
• Sleep disorders like insomnia and sleep apnea leave you tired and unable to concentrate during the day.
Not smoking
• Smoking heightens the risk of vascular disorders that can cause stroke and constrict arteries that deliver oxygen to the brain.
Nutrition and Memory improvement
You probably know already that a diet based on fruits, vegetables, whole grains, and “healthy” fats will provide lots of health benefits, but such a diet can also improve memory. Research indicates that certain nutrients nurture and stimulate brain function.
• B vitamins, especially B6, B12, and folic acid, protects neurons by breaking down homocysteine, an amino acid that is toxic to nerve cells. They’re also involved in making red blood cells, which carry oxygen. (Best sources: spinach and other dark leafy greens, broccoli, asparagus, strawberries, melons, black beans and other legumes, citrus fruits, soybeans.)
• Antioxidants like vitamins C and E, and beta carotene, fight free radicals, which are atoms formed when oxygen interacts with certain molecules. Free radicals are highly reactive and can damage cells, but antioxidants can interact with them safely and neutralize them. Antioxidants also improve the flow of oxygen through the body and brain. (Best sources: blueberries and other berries, sweet potatoes, red tomatoes, spinach, broccoli, green tea, nuts and seeds, citrus fruits, liver.)
• Omega-3 fatty acids are concentrated in the brain and are associated with cognitive function. They count as “healthy” fats, as opposed to saturated fats and trans fats, protecting against inflammation and high cholesterol. (Best sources: cold-water fish such as salmon, herring, tuna, halibut, and mackerel; walnuts and walnut oil; flaxseed and flaxseed oil)
Because older adults are more prone to B12 and folic acid deficiencies, a supplement may be a good idea for seniors. An omega-3 supplement (at any age) if you don’t like eating fish. But nutrients work best when they’re consumed in foods, so try your best to eat a broad spectrum of colorful plant foods and choose fats that will help clear, not clog, your arteries. Your brain will thank you!
Healthy Habits that Improve Memory
Regular exercise
• Increases oxygen to your brain.
• Reduces the risk for disorders that lead to memory loss, such as
diabetes and cardiovascular disease.
• May enhance the effects of helpful brain chemicals and protect brain cells.
Managing stress
• Cortisol, the stress hormone, can damage the hippocampus if the stress is unrelieved.
• Stress makes it difficult to concentrate.
Good sleep habits • Sleep is necessary for memory consolidation.
• Sleep disorders like insomnia and sleep apnea leave you tired and unable to concentrate during the day.
Not smoking
• Smoking heightens the risk of vascular disorders that can cause stroke and constrict arteries that deliver oxygen to the brain.
Nutrition and Memory improvement
You probably know already that a diet based on fruits, vegetables, whole grains, and “healthy” fats will provide lots of health benefits, but such a diet can also improve memory. Research indicates that certain nutrients nurture and stimulate brain function.
• B vitamins, especially B6, B12, and folic acid, protects neurons by breaking down homocysteine, an amino acid that is toxic to nerve cells. They’re also involved in making red blood cells, which carry oxygen. (Best sources: spinach and other dark leafy greens, broccoli, asparagus, strawberries, melons, black beans and other legumes, citrus fruits, soybeans.)
• Antioxidants like vitamins C and E, and beta carotene, fight free radicals, which are atoms formed when oxygen interacts with certain molecules. Free radicals are highly reactive and can damage cells, but antioxidants can interact with them safely and neutralize them. Antioxidants also improve the flow of oxygen through the body and brain. (Best sources: blueberries and other berries, sweet potatoes, red tomatoes, spinach, broccoli, green tea, nuts and seeds, citrus fruits, liver.)
• Omega-3 fatty acids are concentrated in the brain and are associated with cognitive function. They count as “healthy” fats, as opposed to saturated fats and trans fats, protecting against inflammation and high cholesterol. (Best sources: cold-water fish such as salmon, herring, tuna, halibut, and mackerel; walnuts and walnut oil; flaxseed and flaxseed oil)
Because older adults are more prone to B12 and folic acid deficiencies, a supplement may be a good idea for seniors. An omega-3 supplement (at any age) if you don’t like eating fish. But nutrients work best when they’re consumed in foods, so try your best to eat a broad spectrum of colorful plant foods and choose fats that will help clear, not clog, your arteries. Your brain will thank you!
Mnemonic devices to improve memory
Mnemonics are clues of any kind that help us remember something, usually by causing us to associate the information we want to remember with a visual image, a sentence, or a word.
Common types of mnemonic devices include:
1. Visual images - a microphone to remember the name “Mike,” a rose for “Rosie.” Use positive, pleasant images, because the brain often blocks out unpleasant ones, and make them vivid, colorful, and three-dimensional — they’ll be easier to remember.
2. Sentences in which the first letter of each word is part of or represents the initial of what you want to remember. Millions of musicians, for example, first memorized the lines of the treble staff with the sentence “Every good boy does fine” (or “deserves favor”), representing the notes E, G, B, D, and F. Medical students often learn groups of nerves, bones, and other anatomical features using nonsense sentences.
3. Acronyms, which are initials that creates pronounceable words. The spaces between the lines on the treble staff, for example, are F, A, C, and E: FACE.
4. Rhymes and alliteration: remember learning “30 days hath September, April, June, and November”? A hefty guy named Robert can be remembered as “Big Bob” and a smiley co-worker as “Perky Pat” (though it might be best to keep such names to yourself).
5. Jokes or even off-color associations using facts, figures, and names you need to recall, because funny or peculiar things are easier to remember than mundane images.
6. “Chunking” information; that is, arranging a long list in smaller units or categories that are easier to remember. If you can reel off your Social Security number without looking at it, that’s probably because it’s arranged in groups of 3, 2, and 4 digits, not a string of 9.
7. “Method of loci”: This is an ancient and effective way of remembering a lot of material, such as a speech. You associate each part of what you have to remember with a landmark in a route you know well, such as your commute to work.
Common types of mnemonic devices include:
1. Visual images - a microphone to remember the name “Mike,” a rose for “Rosie.” Use positive, pleasant images, because the brain often blocks out unpleasant ones, and make them vivid, colorful, and three-dimensional — they’ll be easier to remember.
2. Sentences in which the first letter of each word is part of or represents the initial of what you want to remember. Millions of musicians, for example, first memorized the lines of the treble staff with the sentence “Every good boy does fine” (or “deserves favor”), representing the notes E, G, B, D, and F. Medical students often learn groups of nerves, bones, and other anatomical features using nonsense sentences.
3. Acronyms, which are initials that creates pronounceable words. The spaces between the lines on the treble staff, for example, are F, A, C, and E: FACE.
4. Rhymes and alliteration: remember learning “30 days hath September, April, June, and November”? A hefty guy named Robert can be remembered as “Big Bob” and a smiley co-worker as “Perky Pat” (though it might be best to keep such names to yourself).
5. Jokes or even off-color associations using facts, figures, and names you need to recall, because funny or peculiar things are easier to remember than mundane images.
6. “Chunking” information; that is, arranging a long list in smaller units or categories that are easier to remember. If you can reel off your Social Security number without looking at it, that’s probably because it’s arranged in groups of 3, 2, and 4 digits, not a string of 9.
7. “Method of loci”: This is an ancient and effective way of remembering a lot of material, such as a speech. You associate each part of what you have to remember with a landmark in a route you know well, such as your commute to work.
An Integrated Risk Management Framework
The Integrated Risk Management Framework provides guidance to adopt a more holistic approach to managing risk. The application of the Framework is expected to enable employees and organizations to better understand the nature of risk, and to manage it more systematically.
Four Elements and Their Expected Results
The Integrated Risk Management Framework is comprised of four related elements. The elements, and a synopsis of the expected results for each, are presented below
Element 1: Developing the Corporate Risk Profile
the organization's risks are identified through environmental scanning;
current status of risk management within the organization is assessed; and
the organization's risk profile is identified.
Element 2: Establishing an Integrated Risk Management Function
management direction on risk management is communicated, understood and applied;
approach to operationalize integrated risk management is implemented through existing decision-making and reporting structures; and
capacity is built through development of learning plans and tools.
Element 3: Practising Integrated Risk Management
a common risk management process is consistently applied at all levels;
results of risk management practices at all levels are integrated into informed decision-making and priority setting;
tools and methods are applied; and
consultation and communication with stakeholders is ongoing.
Element 4: Ensuring Continuous Risk Management Learning
a supportive work environment is established where learning from experience is valued, lessons are shared;
learning plans are built into an organization's risk management practices;
results of risk management are evaluated to support innovation, learning and continuous improvement; and
experience and best practices are shared, internally and across government.
The four elements of the Integrated Risk Management Framework are presented as they might be applied: looking outward and across the organization as well as at individual activities. This comprehensive approach to managing risk is intended to establish the relationship between the organization and its operating environment, revealing the interdependencies of individual activities and the horizontal linkages.
While it is acknowledged that some departments are more advanced than others in moving towards the implementation of an integrated risk management approach, there is growing appreciation across the Public Service of the need to strengthen risk management practices and develop a more strategic and corporate-wide focus. Implementing integrated risk management will depend largely on an organization's state of readiness, overall priorities and the level of effort necessary to implement the various elements. As a result, developing a more mature risk management environment will require sustained commitment and will evolve over time.
This Framework is a step in establishing the foundation for integrated risk management in the public sector. It is acknowledged that to support and facilitate implementation, the development of specific tools and guidelines as well as sharing of best practices and lessons learned will be required.
Element 1: Developing the Corporate Risk Profile
A broad understanding of the operating environment is an important first step in developing the corporate risk profile. Developing the risk profile at the corporate level is intended to examine both threats and opportunities in the context of an organization's mandate, objectives and available resources.
In building the corporate risk profile, information and knowledge at both the corporate and operational levels is collected to assist departments in understanding the range of risks they face, both internally and externally, their likelihood and their potential impacts. In addition, identifying and assessing the existing departmental risk management capacity and capability is another critical component of developing the corporate risk profile.
An organization can expect three key outcomes as a result of developing the corporate risk profile:
Threats and opportunities are identified through ongoing internal and external environmental scans, analysis and adjustment.
Current status of risk management within the organization is assessed-challenges/opportunities, capacity, practices, culture- and recognized in planning organization-wide management of risk strategies.
The organization's risk profile is identified-key risk areas, risk tolerance, ability and capacity to mitigate, learning needs.
External and Internal Environment
Through the environmental scan, key external and internal factors and risks influencing an organization's policy and management agenda are identified. Identifying major trends and their variation over time is particularly relevant in providing potential early warnings. Some external factors to be considered for potential risks include:
Political: the influence of international governments and other governing bodies;
Economic: international and national markets, globalization;
Social: major demographic and social trends, level of citizen engagement; and
Technological: new technologies.
Internally, the following factors are considered relevant to the development of an organization's risk profile: the overall management framework; governance and accountability structures; values and ethics; operational work environment; individual and corporate risk management culture and tolerances; existing risk management expertise and practices; human resources capacity; level of transparency required; and local and corporate policies, procedures and processes.
The environmental scan increases the organization's awareness of the key characteristics and attributes of the risks it faces. These include:
type of risk: technological, financial, human resources (capacity, intellectual property), health, safety;
source of risk: external (political, economic, natural disasters); internal (reputation, security, knowledge management, information for decision making);
what is at risk: area of impact/type of exposure (people, reputation, program results, materiel, real property); and
level of ability to control the risk: high (operational); moderate (reputation); low (natural disasters).
An organization's risk profile identifies key risk areas that cut across the organization (functions, programs, systems) as well as individual events, activities or projects that could significantly influence the overall management priorities, performance, and realization of organizational objectives.
The environmental scan assists the department in establishing a strategic direction for managing risk, making appropriate adjustments in decisions and actions. It is an ongoing process that reinforces existing management practices and supports the attainment of overall management excellence.
Assessing Current Risk Management Capacity
In assessing internal risk management capacity, the mandate, governance and decision-making structures, planning processes, infrastructure, and human and financial resources are examined from the perspective of risk. The assessment requires an examination of the prevailing risk management culture, risk management processes and practices to determine if adjustments are necessary to deal with the evolving risk environment.
Furthermore, the following factors are considered key in assessing an organization's current risk management capacity: individual factors (knowledge, skills, experience, risk tolerance, propensity to take risk); group factors (the impact of individual risk tolerances and willingness to manage risk); organizational factors (strategic direction, stated or implied risk tolerance); as well as external factors (elements that affect particular risk decisions or how risk is managed in general).
Risk Tolerance
An awareness and understanding of the current risk tolerances of various stakeholders is a key ingredient in establishing the corporate risk profile. The environmental scan will identify stakeholders affected by an organization's decisions and actions, and their degree of comfort with various levels of risk. Understanding the current state of risk tolerance of citizens, parliamentarians, interest groups, suppliers, as well as other government departments will assist in developing a risk profile and making decisions on what risks must be managed, how, and to what extent. It will also help identify the challenges associated with risk consultations and communication.
In general, there is lower risk tolerance for the unknown, where impacts are new, unobservable or delayed. There are higher risk tolerances where people feel more in control (for example, there is usually a higher risk tolerance for automobile travel than for air travel).
Risk tolerance can be determined through consultation with affected parties, or by assessing stakeholders'response or reaction to varying levels of risk exposure. Risk tolerances may change over time as new information and outcomes become available, as societal expectations evolve and as a result of stakeholder engagement on trade-offs. Before developing management strategies, a common approach to the assessment of risk tolerance needs to be understood organization-wide.
Determining and communicating an organization's own risk tolerance is also an essential part of managing risk. This process identifies areas where minimal levels of risk are permissible, as well as those that should be managed to higher, yet reasonable levels of risk.
Element 2: Establishing an Integrated Risk Management Function
Establishing an integrated risk management function means setting up the corporate "infrastructure" for risk management that is designed to enhance understanding and communication of risk issues internally, to provide clear direction and demonstrate senior management support. The corporate risk profile provides the necessary input to establish corporate risk management objectives and strategies. To be effective, risk management needs to be aligned with an organization's overall objectives, corporate focus, strategic direction, operating practices and internal culture. In order to ensure risk management is a consideration in priority setting and revenue allocation, it needs to be integrated within existing governance and decision-making structures at the operational and strategic levels.
To ensure that risk management is integrated in a rational, systematic and proactive manner, an organization should seek to achieve three related outcomes:
Management direction on risk management is communicated, understood and applied-vision, policies, operating principles.
Approach to operationalize integrated risk management is implemented through existing decision-making structures: governance, clear roles and responsibilities, and performance reporting.
Building capacity-learning plans and tools are developed for use throughout the organization.
Strategic Risk Management Direction
The establishment and communication of the organization's risk management vision, objectives and operating principles are vital to providing overall direction, and ensure the successful integration of the risk management function into the organization. Using these instruments can reinforce the notion that risk management is everyone's business.
It is essential that management provides a clear statement of its commitment to risk management and determines the best way to implement risk management in its organization. This includes establishing a corporate focus and communicating internal parameters, priorities, and practices for the implementation of risk management. To reinforce the corporate focus on risk management, organizations may dedicate a small number of resources to provide both advisory and challenge functions, and to specifically integrate these responsibilities into an existing unit (for example, Corporate Planning and Policy, Comptrollership Secretariat, Internal Audit).
In establishing the strategic risk management direction, internal and external concerns, perceptions and risk tolerances are taken into account. It is also imperative to identify acceptable risk tolerance levels so those unfavourable outcomes can be remedied promptly and effectively. Clear communication of the organization's strategic direction will help foster the creation and promotion of a supportive corporate risk management culture.
Objectives and strategies for risk management are designed to complement the organization's existing vision and goals. In establishing an overall risk management direction, a clear vision for risk management is articulated and supported by policies and operating principles. The policy would guide employees by describing the risk management process, establishing roles and responsibilities, providing methods for managing risk, as well as providing for the evaluation of both the objectives and results of risk management practices.
Integrating Risk Management into Decision Making
Effective risk management cannot be practised in isolation, but needs to be built into existing decision-making structures and processes. As risk management is an essential component of good management, integrating the risk management function into existing strategic management and operational processes will ensure that risk management is an integral part of day-to-day activities. In addition, organizations can capitalize on existing capacity and capabilities (e.g., communications, committee structures, existing roles and responsibilities, etc.)
While each organization will find its own way to integrate risk management into existing decision-making structures, the following are factors that may be considered:
aligning risk management with objectives at all levels of the organization;
introducing risk management components into existing strategic planning and operational processes;
communicating corporate directions on acceptable level of risk; and
improving control and accountability systems and processes to take into account risk management and results.
The integration of risk management into decision-making is supported by a corporate philosophy and culture that encourages everyone to manage risks. This can be accomplished in a number of ways, such as:
seeking excellence in management practices, including risk management;
having senior managers champion risk management;
encouraging innovation, while providing guidance and assistance in situations that do not turn out favourably;
encouraging managers to develop knowledge and skills in risk management;
including risk management as part of employees'performance appraisals;
introducing incentives and rewards; and
recruiting on risk management ability as well as experience.
Reporting on Performance
The development of evaluation and reporting mechanisms for risk management activities provides feedback to management and other interested parties in the organization and government-wide. The results of these activities ensure that integrated risk management is effective in the long term. Some of these activities could fall to functional groups in the organization responsible for review and audit. Responsibility may also be assigned to operational managers and employees to ensure that information affecting risk that is collected as part of local reporting or practices is incorporated into the environmental scanning process. Reporting could take place through normal management channels (performance reporting, ongoing monitoring, appraisal) as part of the advisory and challenge functions associated with risk management.
Reporting facilitates learning and improved decision-making by assessing both successes and failures, monitoring the use of resources, and disseminating information on best practices and lessons learned. Organizations should evaluate the effectiveness of their integrated risk management processes on a periodic basis.
Building Organizational Capacity
Building risk management capacity is an ongoing challenge even after integrated risk management has become firmly entrenched. Environmental scanning will continue to identify new areas and activities that require attention, as well as the risk management skills, processes, and practices that need to be developed and strengthened.
Organizations need to develop their own capacity strategies based on their specific situation and risk exposure.
To build capacity for risk management, there needs to be a focus on two key areas: human resources, and tools and processes at both the corporate and local levels. The risk profile will identify the organization's existing strengths and weaknesses vis-à-vis capacity. Areas that may require attention include:
Human Resources
building awareness of risk management initiatives and culture;
broadening skills base through formal training including appropriate applications and tools;
increasing knowledge base by sharing best practices and experiences; and
building capacity, capabilities and skills to work in teams.
Tools and Processes
developing and adopting corporate risk management tools, techniques, practices and processes;
providing guidance on the application of tools and techniques;
allowing for development and/or the use of alternative tools and techniques that may be better suited to managing risk in specialized applications; and
adopting processes to ensure integration of risk management across the organization.
Element 3: Practising Integrated Risk Management
Implementing an integrated risk management approach requires a management decision and sustained commitment, and is designed to contribute to the realization of organizational objectives. Integrated risk management builds on the results of an environmental scan and is supported by appropriate corporate infrastructure.
The following outcomes are expected for practising integrated risk management:
A departmental risk management process is consistently applied at all levels, where risks are understood, managed and communicated.
Results of risk management practices at all levels are integrated into informed decision-making and priority setting-strategic, operational, management and performance reporting.
Tools and methods are applied as aids to make decisions.
Consultation and communication with stakeholders is ongoing-internal and external.
A Common Process
A common, continuous risk management process assists an organization in understanding, managing and communicating risk. Continuous risk management has several steps. Emphasis on various points in the process may vary, as may the type, rigour or extent of actions considered, but the basic steps are similar. In the exhibits that follow, Exhibit 1 illustrates an example of a continuous risk management process that focuses on an integrated approach to risk management, while Exhibit 2 presents a risk management decision-making process in the context of public policy.
Exhibit 1: A Common Risk Management Process
Internal and external communication and continuous learning improve understanding and skills for risk management practice at all levels of an organization, from corporate through to front-line operations. The process provides common language, guides decision-making at all levels, and allows organizations to tailor their activities at the local level. Documenting the rationale for arriving at decisions strengthens accountability and demonstrates due diligence.
The common risk management process and related activities are:
Risk Identification
1. Identifying Issues, Setting Context
Defining the problems or opportunities, scope, context (social, cultural, scientific evidence, etc.) and associated risk issues.
Deciding on necessary people, expertise, tools and techniques (e.g., scenarios, brainstorming, checklists).
Performing a stakeholder analysis (determining risk tolerances, stakeholder position, attitudes).
Risk Assessment
2. Assessing Key Risk Areas
Analyzing context/results of environmental scan and determining types/categories of risk to be addressed, significant organization-wide issues, and vital local issues.
3. Measuring Likelihood and Impact
Determining degree of exposure, expressed as likelihood and impact, of assessed risks, choosing tools.
Considering both the empirical/scientific evidence and public context.
4. Ranking Risks
Ranking risks, considering risk tolerance, using existing or developing new criteria and tools.
Responding to Risk
5. Setting Desired Results
Defining objectives and expected outcomes for ranked risks, short/long term.
6. Developing Options
Identifying and analyzing options-ways to minimize threats and maximize opportunities-approaches, tools.
7. Selecting a Strategy
Choosing a strategy, applying decision criteria-results-oriented, problem/opportunity driven.
Applying, where appropriate, the precautionary approach/principle as a means of managing risks of serious or irreversible harm in situations of scientific uncertainty.
8. Implementing the Strategy
Developing and implementing a plan.
Monitoring and Evaluation
9. Monitoring, Evaluating and Adjusting
Learning, improving the decision-making/risk management process locally and organization-wide, using effectiveness criteria, reporting on performance and results.
Organizations may vary the basic steps and supporting tasks most suited to achieving common understanding and implementing consistent, efficient and effective risk management. A focused, systematic and integrated approach recognizes that all decisions involve management of risk, whether in routine operations or for major initiatives involving significant resources. It is important that the risk management process be applied at all levels, from the corporate level to programs and major projects to local systems and operations. While the process allows tailoring for different uses, having a consistent approach within an organization assists in aggregating information to deal with risk issues at the corporate level.
Exhibit 2: Risk Management in Public Policy: A Decision-Making Process
Exhibit 2 presents the model, developed by the PCO-led ADM Working Group on Risk Management, which addresses the issue of risk management in the context of public policy development. This model presents a basis for exploring issues of interest to government policy-makers, and provides a context in which to discuss, examine, and seek out interrelationships between issues associated with public policy decisions in an environment of uncertainty and risk (i.e., a model of public risk management).
As in Exhibit 1, this model recognizes six basic steps: identification of the issue; analysis or assessment of the issue; development of options; decision; implementation of the decision; and evaluation and review of the decision. [4]
In this model, several key elements were identified as influencing the public policy environment surrounding risk management:
There is a public element to virtually all government decision-making, and it is a central and legitimate input to the process.
Uncertainty in science, together with competing policy interests (including international obligations) has led to increased focus on the precautionary approach.
A decision-making process does not occur in isolation-the public nature and complexity of many government policy issues means that certain factors, such as communications and consultation activities, legal considerations, and ongoing operational activities, require active consideration at each stage of the process.
Integrating Results for Risk Management into Practices at all Levels
The results of risk management are to be integrated both horizontally and vertically into organizational policies, plans and practices. Horizontally, it is important that results be considered in developing organization-wide policies, plans and priorities. Vertically, functional units, such as branches and divisions, need to incorporate these results into programs and major initiatives.
In practice, the risk assessment and response to risk would be considered in developing local business plans at the activity, division or regional level. These plans would then be considered at the corporate level, and significant risks (horizontal or high-impact risks) would be incorporated into the appropriate corporate business, functional or operational plan.
The responsibility centre providing the advisory and "corporate challenge" functions can add value to this process, since new risks might be identified and new risk management strategies required after the roll-up. There needs to be a synergy between the overall risk management strategy and the local risk management practices of the organization.
Each function or activity would have to be examined from three standpoints:
its purpose: risk management would look at decision-making, planning, and accountability processes as well as opportunities for innovation;
its level: different approaches are required based on whether a function or activity is strategic, management or operational; and
the relevant discipline: the risks involved with technology, finance, human resources, and those regarding legal, scientific, regulatory, and/or health and safety issues.
Tools and Methods
At a technical level, various tools and techniques can be used for managing risk. The following are some examples:
risk maps: summary charts and diagrams that help organizations identify, discuss, understand and address risks by portraying sources and types of risks and disciplines involved/needed;
modelling tools: such as scenario analysis and forecasting models to show the range of possibilities and to build scenarios into contingency plans;
framework on the precautionary approach: a principle-based framework that provides guidance on the precautionary approach in order to improve the predictability, credibility and consistency of its application across the federal government;
qualitative techniques: such as workshops, questionnaires, and self -assessment to identify and assess risks; and
Internet and organizational Intranets: promote risk awareness and management by sharing information internally and externally.
Exhibit 3 provides an example of a risk management model. In this model, one can assess where a particular risk falls in terms of likelihood and impact and establish the organizational strategy/response to manage the risk.
Exhibit 3: A Risk Management Model
In developing methods to provide guidance on risk management, the different levels of readiness and experience in a department, as well as variations in available resources need to be recognized. Therefore, methods need to be flexible and simple using clear language to ensure open channels of communication.
Several practical methods that could be used to provide guidance are:
a managers'forum: where risks are identified, proposed actions are discussed and best practices are shared;
an internal risk management advisory function: dedicated to risk management, either as a special unit or associated with an existing functional unit; and
tool kits: a collection of effective risk management tools such as checklists, questionnaires, best practices.
Communication and Consultation
Communication of risk and consultation with interested parties are essential to supporting sound risk management decisions. In fact, communication and consultation must be considered at every stage of the risk management process.
A fundamental requirement for practising integrated risk management is the development of plans, processes and products through ongoing consultation and communication with stakeholders (both internal and external) who may be involved in or affected by an organization's decisions and actions.
Consultation and proactive citizen engagement will assist in bridging gaps between statistical evidence and perceptions of risk. It is also important that risk communication practices anticipate and respond effectively to public concerns and expectations. A citizen's request for information presents an opportunity to communicate about risk and the management of risk.
In the public sector context, some high-profile risk issues would benefit from proactively involving parliamentarians in particular forums of discussion thus creating opportunities for exchanging different perspectives. In developing public policy, input from both the empirical and public contexts ensures that a more complete range of information is available, therefore, leading to the development of more relevant and effective public policy options. Internally, risk communication promotes action, continuous learning, innovation and teamwork. It can demonstrate how management of a localized risk contributes to the overall achievement of corporate objectives.
Risk communication involves a range of activities, including issue identification and assessment, analysis of the public environment (including stakeholder interests and concerns), development of consultation and communications strategies, message development, working with the media, and monitoring and evaluating the public dialogue. The public sector has the additional responsibility of reporting to and communicating with Parliament.
Within the Public Service, it is expected that consultation activities, including those related to risk management, will be undertaken in a manner that is consistent with the Government Communications Policy.
Element 4: Ensuring Continuous Risk Management Learning
Continuous learning is fundamental to more informed and proactive decision-making. It contributes to better risk management, strengthens organizational capacity and facilitates integration of risk management into an organizational structure. To ensure continuous risk management learning, pursue the following outcomes:
Learning from experience is valued, lessons are shared-a supportive work environment.
Learning plans are built into organization's risk management practices.
Results of risk management are evaluated to support innovation, capacity building and continuous improvement-individual, team and organization.
Experience and best practices are shared-internally and across government.
Creating a Supportive Work Environment
A supportive work environment is a key component of continuous learning. Valuing learning from experience, sharing best practices and lessons learned, and embracing innovation and responsible risk-taking characterize an organization with a supportive work environment. An organization with a supportive work environment would be expected to:
Promote learning
by fostering an environment that motivates people to learn;
by valuing knowledge, new ideas and new relationships as vital aspects of the creativity that leads to innovation; and
by including and emphasizing learning in strategic plans.
Learn from experience
by valuing experimentation, where opportunities are assessed for benefits and consequences;
by sharing learning on past successes and failures; and
by using "lessons learned" and "best practices" in planning exercises.
Demonstrate management leadership
by selecting leaders who are coaches, teachers and good stewards;
by demonstrating commitment and support to employees through the provision of opportunities, resources, and tools; and
by making time, allotting resources and measuring success through periodic reviews (e.g., learning audits).
Building Learning Plans in Practices
Since continuous learning contributes significantly to increasing capacity to manage risk, the integration of learning plans into all aspects of risk management is fundamental to building capacity and supporting the strategic direction for managing risk.
As part of a unit's learning strategy, learning plans provide for the identification of training and development needs of each employee. Effective learning plans, reflecting risk management learning strategies, are linked to both operational and corporate strategies, incorporate opportunities for managers to coach and mentor staff, and address competency gaps (knowledge and skills) for individuals and teams. The inclusion of risk management learning objectives in performance appraisals is a useful approach to support continuous risk management learning.
Supporting Continuous Learning and Innovation
In implementing a continuous learning approach to risk management, it is important to recognize that not all risks can be foreseen or totally avoided. Procedures are paramount to ensure due diligence and to maintain public confidence. Goals will not always be met and innovations will not always lead to expected outcomes. However, if risk management actions are informed and lessons are learned, promotion of a continuous learning approach will create incentives for innovation while still respecting organizational risk tolerances. The critical challenge is to show that risk is being well-managed and that accountability is maintained while recognizing that learning from experience is important for progress.
In addition to demonstrating accountability, transparency and due diligence, proper documentation may also be used as a learning tool.
Practising integrated risk management should support innovation, learning, and continuous improvement at the individual, team and organization level.
An organization demonstrates continuous learning with respect to risk management if:
an appropriate risk management culture is fostered;
learning is linked to risk management strategy at many levels;
responsible risk-taking and learning from experience is encouraged and supported;
there is considerable information sharing as the basis for decision-making;
decision-making includes a range of perspectives including the views of stakeholders, employees and citizens; and
input and feedback are actively sought and are the basis for further action.
Conclusion
The Integrated Risk Management Framework advances a more systematic and integrated approach for risk management. By focusing on the importance of risk communication and risk tolerance, it looks outside the organization for the views of Canadians. Internally, it emphasizes the importance of people and leadership and the need for departments and agencies to more clearly define their roles. The Framework provides a tool that helps organizations communicate a vision and objectives for management of risk based on government values and priorities, lessons learned, best practices and consultation with stakeholders.
The Framework is a fundamental part of the federal management agenda and Modern Comptrollership. It is designed to support the optimization of resource allocation and responsible spending, paramount for achieving results. It also builds on public sector values, knowledge management and continuous learning for innovation. The Integrated Risk Management Framework is the first step in establishing the foundation for more strategic and corporate integrated risk management in departments and in government. In the future, the Framework will be supported by tools and guidance documents as well as complemented by other risk management initiatives.
adapted from: Treasury Board of Canada Secretariat
Four Elements and Their Expected Results
The Integrated Risk Management Framework is comprised of four related elements. The elements, and a synopsis of the expected results for each, are presented below
Element 1: Developing the Corporate Risk Profile
the organization's risks are identified through environmental scanning;
current status of risk management within the organization is assessed; and
the organization's risk profile is identified.
Element 2: Establishing an Integrated Risk Management Function
management direction on risk management is communicated, understood and applied;
approach to operationalize integrated risk management is implemented through existing decision-making and reporting structures; and
capacity is built through development of learning plans and tools.
Element 3: Practising Integrated Risk Management
a common risk management process is consistently applied at all levels;
results of risk management practices at all levels are integrated into informed decision-making and priority setting;
tools and methods are applied; and
consultation and communication with stakeholders is ongoing.
Element 4: Ensuring Continuous Risk Management Learning
a supportive work environment is established where learning from experience is valued, lessons are shared;
learning plans are built into an organization's risk management practices;
results of risk management are evaluated to support innovation, learning and continuous improvement; and
experience and best practices are shared, internally and across government.
The four elements of the Integrated Risk Management Framework are presented as they might be applied: looking outward and across the organization as well as at individual activities. This comprehensive approach to managing risk is intended to establish the relationship between the organization and its operating environment, revealing the interdependencies of individual activities and the horizontal linkages.
While it is acknowledged that some departments are more advanced than others in moving towards the implementation of an integrated risk management approach, there is growing appreciation across the Public Service of the need to strengthen risk management practices and develop a more strategic and corporate-wide focus. Implementing integrated risk management will depend largely on an organization's state of readiness, overall priorities and the level of effort necessary to implement the various elements. As a result, developing a more mature risk management environment will require sustained commitment and will evolve over time.
This Framework is a step in establishing the foundation for integrated risk management in the public sector. It is acknowledged that to support and facilitate implementation, the development of specific tools and guidelines as well as sharing of best practices and lessons learned will be required.
Element 1: Developing the Corporate Risk Profile
A broad understanding of the operating environment is an important first step in developing the corporate risk profile. Developing the risk profile at the corporate level is intended to examine both threats and opportunities in the context of an organization's mandate, objectives and available resources.
In building the corporate risk profile, information and knowledge at both the corporate and operational levels is collected to assist departments in understanding the range of risks they face, both internally and externally, their likelihood and their potential impacts. In addition, identifying and assessing the existing departmental risk management capacity and capability is another critical component of developing the corporate risk profile.
An organization can expect three key outcomes as a result of developing the corporate risk profile:
Threats and opportunities are identified through ongoing internal and external environmental scans, analysis and adjustment.
Current status of risk management within the organization is assessed-challenges/opportunities, capacity, practices, culture- and recognized in planning organization-wide management of risk strategies.
The organization's risk profile is identified-key risk areas, risk tolerance, ability and capacity to mitigate, learning needs.
External and Internal Environment
Through the environmental scan, key external and internal factors and risks influencing an organization's policy and management agenda are identified. Identifying major trends and their variation over time is particularly relevant in providing potential early warnings. Some external factors to be considered for potential risks include:
Political: the influence of international governments and other governing bodies;
Economic: international and national markets, globalization;
Social: major demographic and social trends, level of citizen engagement; and
Technological: new technologies.
Internally, the following factors are considered relevant to the development of an organization's risk profile: the overall management framework; governance and accountability structures; values and ethics; operational work environment; individual and corporate risk management culture and tolerances; existing risk management expertise and practices; human resources capacity; level of transparency required; and local and corporate policies, procedures and processes.
The environmental scan increases the organization's awareness of the key characteristics and attributes of the risks it faces. These include:
type of risk: technological, financial, human resources (capacity, intellectual property), health, safety;
source of risk: external (political, economic, natural disasters); internal (reputation, security, knowledge management, information for decision making);
what is at risk: area of impact/type of exposure (people, reputation, program results, materiel, real property); and
level of ability to control the risk: high (operational); moderate (reputation); low (natural disasters).
An organization's risk profile identifies key risk areas that cut across the organization (functions, programs, systems) as well as individual events, activities or projects that could significantly influence the overall management priorities, performance, and realization of organizational objectives.
The environmental scan assists the department in establishing a strategic direction for managing risk, making appropriate adjustments in decisions and actions. It is an ongoing process that reinforces existing management practices and supports the attainment of overall management excellence.
Assessing Current Risk Management Capacity
In assessing internal risk management capacity, the mandate, governance and decision-making structures, planning processes, infrastructure, and human and financial resources are examined from the perspective of risk. The assessment requires an examination of the prevailing risk management culture, risk management processes and practices to determine if adjustments are necessary to deal with the evolving risk environment.
Furthermore, the following factors are considered key in assessing an organization's current risk management capacity: individual factors (knowledge, skills, experience, risk tolerance, propensity to take risk); group factors (the impact of individual risk tolerances and willingness to manage risk); organizational factors (strategic direction, stated or implied risk tolerance); as well as external factors (elements that affect particular risk decisions or how risk is managed in general).
Risk Tolerance
An awareness and understanding of the current risk tolerances of various stakeholders is a key ingredient in establishing the corporate risk profile. The environmental scan will identify stakeholders affected by an organization's decisions and actions, and their degree of comfort with various levels of risk. Understanding the current state of risk tolerance of citizens, parliamentarians, interest groups, suppliers, as well as other government departments will assist in developing a risk profile and making decisions on what risks must be managed, how, and to what extent. It will also help identify the challenges associated with risk consultations and communication.
In general, there is lower risk tolerance for the unknown, where impacts are new, unobservable or delayed. There are higher risk tolerances where people feel more in control (for example, there is usually a higher risk tolerance for automobile travel than for air travel).
Risk tolerance can be determined through consultation with affected parties, or by assessing stakeholders'response or reaction to varying levels of risk exposure. Risk tolerances may change over time as new information and outcomes become available, as societal expectations evolve and as a result of stakeholder engagement on trade-offs. Before developing management strategies, a common approach to the assessment of risk tolerance needs to be understood organization-wide.
Determining and communicating an organization's own risk tolerance is also an essential part of managing risk. This process identifies areas where minimal levels of risk are permissible, as well as those that should be managed to higher, yet reasonable levels of risk.
Element 2: Establishing an Integrated Risk Management Function
Establishing an integrated risk management function means setting up the corporate "infrastructure" for risk management that is designed to enhance understanding and communication of risk issues internally, to provide clear direction and demonstrate senior management support. The corporate risk profile provides the necessary input to establish corporate risk management objectives and strategies. To be effective, risk management needs to be aligned with an organization's overall objectives, corporate focus, strategic direction, operating practices and internal culture. In order to ensure risk management is a consideration in priority setting and revenue allocation, it needs to be integrated within existing governance and decision-making structures at the operational and strategic levels.
To ensure that risk management is integrated in a rational, systematic and proactive manner, an organization should seek to achieve three related outcomes:
Management direction on risk management is communicated, understood and applied-vision, policies, operating principles.
Approach to operationalize integrated risk management is implemented through existing decision-making structures: governance, clear roles and responsibilities, and performance reporting.
Building capacity-learning plans and tools are developed for use throughout the organization.
Strategic Risk Management Direction
The establishment and communication of the organization's risk management vision, objectives and operating principles are vital to providing overall direction, and ensure the successful integration of the risk management function into the organization. Using these instruments can reinforce the notion that risk management is everyone's business.
It is essential that management provides a clear statement of its commitment to risk management and determines the best way to implement risk management in its organization. This includes establishing a corporate focus and communicating internal parameters, priorities, and practices for the implementation of risk management. To reinforce the corporate focus on risk management, organizations may dedicate a small number of resources to provide both advisory and challenge functions, and to specifically integrate these responsibilities into an existing unit (for example, Corporate Planning and Policy, Comptrollership Secretariat, Internal Audit).
In establishing the strategic risk management direction, internal and external concerns, perceptions and risk tolerances are taken into account. It is also imperative to identify acceptable risk tolerance levels so those unfavourable outcomes can be remedied promptly and effectively. Clear communication of the organization's strategic direction will help foster the creation and promotion of a supportive corporate risk management culture.
Objectives and strategies for risk management are designed to complement the organization's existing vision and goals. In establishing an overall risk management direction, a clear vision for risk management is articulated and supported by policies and operating principles. The policy would guide employees by describing the risk management process, establishing roles and responsibilities, providing methods for managing risk, as well as providing for the evaluation of both the objectives and results of risk management practices.
Integrating Risk Management into Decision Making
Effective risk management cannot be practised in isolation, but needs to be built into existing decision-making structures and processes. As risk management is an essential component of good management, integrating the risk management function into existing strategic management and operational processes will ensure that risk management is an integral part of day-to-day activities. In addition, organizations can capitalize on existing capacity and capabilities (e.g., communications, committee structures, existing roles and responsibilities, etc.)
While each organization will find its own way to integrate risk management into existing decision-making structures, the following are factors that may be considered:
aligning risk management with objectives at all levels of the organization;
introducing risk management components into existing strategic planning and operational processes;
communicating corporate directions on acceptable level of risk; and
improving control and accountability systems and processes to take into account risk management and results.
The integration of risk management into decision-making is supported by a corporate philosophy and culture that encourages everyone to manage risks. This can be accomplished in a number of ways, such as:
seeking excellence in management practices, including risk management;
having senior managers champion risk management;
encouraging innovation, while providing guidance and assistance in situations that do not turn out favourably;
encouraging managers to develop knowledge and skills in risk management;
including risk management as part of employees'performance appraisals;
introducing incentives and rewards; and
recruiting on risk management ability as well as experience.
Reporting on Performance
The development of evaluation and reporting mechanisms for risk management activities provides feedback to management and other interested parties in the organization and government-wide. The results of these activities ensure that integrated risk management is effective in the long term. Some of these activities could fall to functional groups in the organization responsible for review and audit. Responsibility may also be assigned to operational managers and employees to ensure that information affecting risk that is collected as part of local reporting or practices is incorporated into the environmental scanning process. Reporting could take place through normal management channels (performance reporting, ongoing monitoring, appraisal) as part of the advisory and challenge functions associated with risk management.
Reporting facilitates learning and improved decision-making by assessing both successes and failures, monitoring the use of resources, and disseminating information on best practices and lessons learned. Organizations should evaluate the effectiveness of their integrated risk management processes on a periodic basis.
Building Organizational Capacity
Building risk management capacity is an ongoing challenge even after integrated risk management has become firmly entrenched. Environmental scanning will continue to identify new areas and activities that require attention, as well as the risk management skills, processes, and practices that need to be developed and strengthened.
Organizations need to develop their own capacity strategies based on their specific situation and risk exposure.
To build capacity for risk management, there needs to be a focus on two key areas: human resources, and tools and processes at both the corporate and local levels. The risk profile will identify the organization's existing strengths and weaknesses vis-à-vis capacity. Areas that may require attention include:
Human Resources
building awareness of risk management initiatives and culture;
broadening skills base through formal training including appropriate applications and tools;
increasing knowledge base by sharing best practices and experiences; and
building capacity, capabilities and skills to work in teams.
Tools and Processes
developing and adopting corporate risk management tools, techniques, practices and processes;
providing guidance on the application of tools and techniques;
allowing for development and/or the use of alternative tools and techniques that may be better suited to managing risk in specialized applications; and
adopting processes to ensure integration of risk management across the organization.
Element 3: Practising Integrated Risk Management
Implementing an integrated risk management approach requires a management decision and sustained commitment, and is designed to contribute to the realization of organizational objectives. Integrated risk management builds on the results of an environmental scan and is supported by appropriate corporate infrastructure.
The following outcomes are expected for practising integrated risk management:
A departmental risk management process is consistently applied at all levels, where risks are understood, managed and communicated.
Results of risk management practices at all levels are integrated into informed decision-making and priority setting-strategic, operational, management and performance reporting.
Tools and methods are applied as aids to make decisions.
Consultation and communication with stakeholders is ongoing-internal and external.
A Common Process
A common, continuous risk management process assists an organization in understanding, managing and communicating risk. Continuous risk management has several steps. Emphasis on various points in the process may vary, as may the type, rigour or extent of actions considered, but the basic steps are similar. In the exhibits that follow, Exhibit 1 illustrates an example of a continuous risk management process that focuses on an integrated approach to risk management, while Exhibit 2 presents a risk management decision-making process in the context of public policy.
Exhibit 1: A Common Risk Management Process
Internal and external communication and continuous learning improve understanding and skills for risk management practice at all levels of an organization, from corporate through to front-line operations. The process provides common language, guides decision-making at all levels, and allows organizations to tailor their activities at the local level. Documenting the rationale for arriving at decisions strengthens accountability and demonstrates due diligence.
The common risk management process and related activities are:
Risk Identification
1. Identifying Issues, Setting Context
Defining the problems or opportunities, scope, context (social, cultural, scientific evidence, etc.) and associated risk issues.
Deciding on necessary people, expertise, tools and techniques (e.g., scenarios, brainstorming, checklists).
Performing a stakeholder analysis (determining risk tolerances, stakeholder position, attitudes).
Risk Assessment
2. Assessing Key Risk Areas
Analyzing context/results of environmental scan and determining types/categories of risk to be addressed, significant organization-wide issues, and vital local issues.
3. Measuring Likelihood and Impact
Determining degree of exposure, expressed as likelihood and impact, of assessed risks, choosing tools.
Considering both the empirical/scientific evidence and public context.
4. Ranking Risks
Ranking risks, considering risk tolerance, using existing or developing new criteria and tools.
Responding to Risk
5. Setting Desired Results
Defining objectives and expected outcomes for ranked risks, short/long term.
6. Developing Options
Identifying and analyzing options-ways to minimize threats and maximize opportunities-approaches, tools.
7. Selecting a Strategy
Choosing a strategy, applying decision criteria-results-oriented, problem/opportunity driven.
Applying, where appropriate, the precautionary approach/principle as a means of managing risks of serious or irreversible harm in situations of scientific uncertainty.
8. Implementing the Strategy
Developing and implementing a plan.
Monitoring and Evaluation
9. Monitoring, Evaluating and Adjusting
Learning, improving the decision-making/risk management process locally and organization-wide, using effectiveness criteria, reporting on performance and results.
Organizations may vary the basic steps and supporting tasks most suited to achieving common understanding and implementing consistent, efficient and effective risk management. A focused, systematic and integrated approach recognizes that all decisions involve management of risk, whether in routine operations or for major initiatives involving significant resources. It is important that the risk management process be applied at all levels, from the corporate level to programs and major projects to local systems and operations. While the process allows tailoring for different uses, having a consistent approach within an organization assists in aggregating information to deal with risk issues at the corporate level.
Exhibit 2: Risk Management in Public Policy: A Decision-Making Process
Exhibit 2 presents the model, developed by the PCO-led ADM Working Group on Risk Management, which addresses the issue of risk management in the context of public policy development. This model presents a basis for exploring issues of interest to government policy-makers, and provides a context in which to discuss, examine, and seek out interrelationships between issues associated with public policy decisions in an environment of uncertainty and risk (i.e., a model of public risk management).
As in Exhibit 1, this model recognizes six basic steps: identification of the issue; analysis or assessment of the issue; development of options; decision; implementation of the decision; and evaluation and review of the decision. [4]
In this model, several key elements were identified as influencing the public policy environment surrounding risk management:
There is a public element to virtually all government decision-making, and it is a central and legitimate input to the process.
Uncertainty in science, together with competing policy interests (including international obligations) has led to increased focus on the precautionary approach.
A decision-making process does not occur in isolation-the public nature and complexity of many government policy issues means that certain factors, such as communications and consultation activities, legal considerations, and ongoing operational activities, require active consideration at each stage of the process.
Integrating Results for Risk Management into Practices at all Levels
The results of risk management are to be integrated both horizontally and vertically into organizational policies, plans and practices. Horizontally, it is important that results be considered in developing organization-wide policies, plans and priorities. Vertically, functional units, such as branches and divisions, need to incorporate these results into programs and major initiatives.
In practice, the risk assessment and response to risk would be considered in developing local business plans at the activity, division or regional level. These plans would then be considered at the corporate level, and significant risks (horizontal or high-impact risks) would be incorporated into the appropriate corporate business, functional or operational plan.
The responsibility centre providing the advisory and "corporate challenge" functions can add value to this process, since new risks might be identified and new risk management strategies required after the roll-up. There needs to be a synergy between the overall risk management strategy and the local risk management practices of the organization.
Each function or activity would have to be examined from three standpoints:
its purpose: risk management would look at decision-making, planning, and accountability processes as well as opportunities for innovation;
its level: different approaches are required based on whether a function or activity is strategic, management or operational; and
the relevant discipline: the risks involved with technology, finance, human resources, and those regarding legal, scientific, regulatory, and/or health and safety issues.
Tools and Methods
At a technical level, various tools and techniques can be used for managing risk. The following are some examples:
risk maps: summary charts and diagrams that help organizations identify, discuss, understand and address risks by portraying sources and types of risks and disciplines involved/needed;
modelling tools: such as scenario analysis and forecasting models to show the range of possibilities and to build scenarios into contingency plans;
framework on the precautionary approach: a principle-based framework that provides guidance on the precautionary approach in order to improve the predictability, credibility and consistency of its application across the federal government;
qualitative techniques: such as workshops, questionnaires, and self -assessment to identify and assess risks; and
Internet and organizational Intranets: promote risk awareness and management by sharing information internally and externally.
Exhibit 3 provides an example of a risk management model. In this model, one can assess where a particular risk falls in terms of likelihood and impact and establish the organizational strategy/response to manage the risk.
Exhibit 3: A Risk Management Model
In developing methods to provide guidance on risk management, the different levels of readiness and experience in a department, as well as variations in available resources need to be recognized. Therefore, methods need to be flexible and simple using clear language to ensure open channels of communication.
Several practical methods that could be used to provide guidance are:
a managers'forum: where risks are identified, proposed actions are discussed and best practices are shared;
an internal risk management advisory function: dedicated to risk management, either as a special unit or associated with an existing functional unit; and
tool kits: a collection of effective risk management tools such as checklists, questionnaires, best practices.
Communication and Consultation
Communication of risk and consultation with interested parties are essential to supporting sound risk management decisions. In fact, communication and consultation must be considered at every stage of the risk management process.
A fundamental requirement for practising integrated risk management is the development of plans, processes and products through ongoing consultation and communication with stakeholders (both internal and external) who may be involved in or affected by an organization's decisions and actions.
Consultation and proactive citizen engagement will assist in bridging gaps between statistical evidence and perceptions of risk. It is also important that risk communication practices anticipate and respond effectively to public concerns and expectations. A citizen's request for information presents an opportunity to communicate about risk and the management of risk.
In the public sector context, some high-profile risk issues would benefit from proactively involving parliamentarians in particular forums of discussion thus creating opportunities for exchanging different perspectives. In developing public policy, input from both the empirical and public contexts ensures that a more complete range of information is available, therefore, leading to the development of more relevant and effective public policy options. Internally, risk communication promotes action, continuous learning, innovation and teamwork. It can demonstrate how management of a localized risk contributes to the overall achievement of corporate objectives.
Risk communication involves a range of activities, including issue identification and assessment, analysis of the public environment (including stakeholder interests and concerns), development of consultation and communications strategies, message development, working with the media, and monitoring and evaluating the public dialogue. The public sector has the additional responsibility of reporting to and communicating with Parliament.
Within the Public Service, it is expected that consultation activities, including those related to risk management, will be undertaken in a manner that is consistent with the Government Communications Policy.
Element 4: Ensuring Continuous Risk Management Learning
Continuous learning is fundamental to more informed and proactive decision-making. It contributes to better risk management, strengthens organizational capacity and facilitates integration of risk management into an organizational structure. To ensure continuous risk management learning, pursue the following outcomes:
Learning from experience is valued, lessons are shared-a supportive work environment.
Learning plans are built into organization's risk management practices.
Results of risk management are evaluated to support innovation, capacity building and continuous improvement-individual, team and organization.
Experience and best practices are shared-internally and across government.
Creating a Supportive Work Environment
A supportive work environment is a key component of continuous learning. Valuing learning from experience, sharing best practices and lessons learned, and embracing innovation and responsible risk-taking characterize an organization with a supportive work environment. An organization with a supportive work environment would be expected to:
Promote learning
by fostering an environment that motivates people to learn;
by valuing knowledge, new ideas and new relationships as vital aspects of the creativity that leads to innovation; and
by including and emphasizing learning in strategic plans.
Learn from experience
by valuing experimentation, where opportunities are assessed for benefits and consequences;
by sharing learning on past successes and failures; and
by using "lessons learned" and "best practices" in planning exercises.
Demonstrate management leadership
by selecting leaders who are coaches, teachers and good stewards;
by demonstrating commitment and support to employees through the provision of opportunities, resources, and tools; and
by making time, allotting resources and measuring success through periodic reviews (e.g., learning audits).
Building Learning Plans in Practices
Since continuous learning contributes significantly to increasing capacity to manage risk, the integration of learning plans into all aspects of risk management is fundamental to building capacity and supporting the strategic direction for managing risk.
As part of a unit's learning strategy, learning plans provide for the identification of training and development needs of each employee. Effective learning plans, reflecting risk management learning strategies, are linked to both operational and corporate strategies, incorporate opportunities for managers to coach and mentor staff, and address competency gaps (knowledge and skills) for individuals and teams. The inclusion of risk management learning objectives in performance appraisals is a useful approach to support continuous risk management learning.
Supporting Continuous Learning and Innovation
In implementing a continuous learning approach to risk management, it is important to recognize that not all risks can be foreseen or totally avoided. Procedures are paramount to ensure due diligence and to maintain public confidence. Goals will not always be met and innovations will not always lead to expected outcomes. However, if risk management actions are informed and lessons are learned, promotion of a continuous learning approach will create incentives for innovation while still respecting organizational risk tolerances. The critical challenge is to show that risk is being well-managed and that accountability is maintained while recognizing that learning from experience is important for progress.
In addition to demonstrating accountability, transparency and due diligence, proper documentation may also be used as a learning tool.
Practising integrated risk management should support innovation, learning, and continuous improvement at the individual, team and organization level.
An organization demonstrates continuous learning with respect to risk management if:
an appropriate risk management culture is fostered;
learning is linked to risk management strategy at many levels;
responsible risk-taking and learning from experience is encouraged and supported;
there is considerable information sharing as the basis for decision-making;
decision-making includes a range of perspectives including the views of stakeholders, employees and citizens; and
input and feedback are actively sought and are the basis for further action.
Conclusion
The Integrated Risk Management Framework advances a more systematic and integrated approach for risk management. By focusing on the importance of risk communication and risk tolerance, it looks outside the organization for the views of Canadians. Internally, it emphasizes the importance of people and leadership and the need for departments and agencies to more clearly define their roles. The Framework provides a tool that helps organizations communicate a vision and objectives for management of risk based on government values and priorities, lessons learned, best practices and consultation with stakeholders.
The Framework is a fundamental part of the federal management agenda and Modern Comptrollership. It is designed to support the optimization of resource allocation and responsible spending, paramount for achieving results. It also builds on public sector values, knowledge management and continuous learning for innovation. The Integrated Risk Management Framework is the first step in establishing the foundation for more strategic and corporate integrated risk management in departments and in government. In the future, the Framework will be supported by tools and guidance documents as well as complemented by other risk management initiatives.
adapted from: Treasury Board of Canada Secretariat
Mar 28, 2010
Why ISO 22000 Food Safety Management Standard?
The International Organization for Standardization (ISO) has developed ISO 22000:2005 as a way to systematically ensure safety and control in all links of the food chain. Organizations implementing ISO 22000, which includes the principles of the Codex HACCP system, can now cover the key requirements of the various global standards by using a single document.
A generic food safety management standard, ISO 22000 can be used by any organization directly or indirectly involved in the food chain. The scope of application for ISO 22000 / HACCP system covers the whole food chain from primary production till point of consumption and includes:
Primary procedures (Agriculture, Aquaculture, Horticulture, Dairy etc.)
Food processors and manufactures
Retailers, storage facilities and transporters.
Hospitality sector – Hotels, Restaurants, Catering institutes
The standard ensures food safety “from farm to fork” based on these generally recognized key elements:
Interactive communication: An innovative and essential factor for risk management. A structured informative flow in every direction, internally and externally. It guarantees effective control of hazards.
System management: The control of the interaction between the system’s elements guarantees efficiency and the effectiveness of the system.
Prerequisite programs: Good Manufacturing Practices, Good Hygiene Practices, Good Agricultural Practices, including e.g. equipment and buildings maintenance programs and procedures, and pest control programs, are the pillars on which a HACCP (Hazard Analysis & Critical Control Points) system is based.
HACCP principles: The basic methodology to plan safe production processes which are appropriate for every individual company, without unnecessary bureaucracy.
Benefits of ISO 22000
The ISO 22000 Standard enables your organization to:
Build and operate a food safety management system within a well-defined and clear framework that is flexible to your business needs and expectations
Understand what the actual risks are for the consumers and for your company
Provide a tool for food safety performance improvement and the means to monitor and measure food safety performance effectively
Better meet food safety legal compliance and corporate requirements
provide an effective means for your company to communicate with stakeholders and other interested parties.
Demonstrate food safety commitment under corporate governance, corporate responsibility, and financial reporting requirements.
make decisions easy based on factual analysis and knowledge.
Ensure all requirements of consumers about food safety are met
Export easily because it is recognized on the international level.
Increase Job productivity and employee satisfaction.
Ensure employees become conscious about hygiene and food safety,
Decrease loss of products, returns and
Expand market access
Reduce cost of sales
Lower the risk of liability
It is trusted system which is confirmed by FAO / WHO.
Reinforce a responsible and well-managed reputation with customers, stakeholders, and communities
The ISO 22000 Standard enables your staff to:
Improve overall performance
Improve Work environment
Adjusting to rules are provided.
Product safety problems are prevented.
Notice potential hazards before occurring.
Develop efficiency controls systematically.
Provide tools to ensure health & safety is everyone's responsibility
Integrate safety into all aspects of your business
Improve performance through policies and procedures
Reduce work-related accidents and ill-health and the costs associated with them
Improve performance through heightened employee morale and adherence to policies and procedures
A generic food safety management standard, ISO 22000 can be used by any organization directly or indirectly involved in the food chain. The scope of application for ISO 22000 / HACCP system covers the whole food chain from primary production till point of consumption and includes:
Primary procedures (Agriculture, Aquaculture, Horticulture, Dairy etc.)
Food processors and manufactures
Retailers, storage facilities and transporters.
Hospitality sector – Hotels, Restaurants, Catering institutes
The standard ensures food safety “from farm to fork” based on these generally recognized key elements:
Interactive communication: An innovative and essential factor for risk management. A structured informative flow in every direction, internally and externally. It guarantees effective control of hazards.
System management: The control of the interaction between the system’s elements guarantees efficiency and the effectiveness of the system.
Prerequisite programs: Good Manufacturing Practices, Good Hygiene Practices, Good Agricultural Practices, including e.g. equipment and buildings maintenance programs and procedures, and pest control programs, are the pillars on which a HACCP (Hazard Analysis & Critical Control Points) system is based.
HACCP principles: The basic methodology to plan safe production processes which are appropriate for every individual company, without unnecessary bureaucracy.
Benefits of ISO 22000
The ISO 22000 Standard enables your organization to:
Build and operate a food safety management system within a well-defined and clear framework that is flexible to your business needs and expectations
Understand what the actual risks are for the consumers and for your company
Provide a tool for food safety performance improvement and the means to monitor and measure food safety performance effectively
Better meet food safety legal compliance and corporate requirements
provide an effective means for your company to communicate with stakeholders and other interested parties.
Demonstrate food safety commitment under corporate governance, corporate responsibility, and financial reporting requirements.
make decisions easy based on factual analysis and knowledge.
Ensure all requirements of consumers about food safety are met
Export easily because it is recognized on the international level.
Increase Job productivity and employee satisfaction.
Ensure employees become conscious about hygiene and food safety,
Decrease loss of products, returns and
Expand market access
Reduce cost of sales
Lower the risk of liability
It is trusted system which is confirmed by FAO / WHO.
Reinforce a responsible and well-managed reputation with customers, stakeholders, and communities
The ISO 22000 Standard enables your staff to:
Improve overall performance
Improve Work environment
Adjusting to rules are provided.
Product safety problems are prevented.
Notice potential hazards before occurring.
Develop efficiency controls systematically.
Provide tools to ensure health & safety is everyone's responsibility
Integrate safety into all aspects of your business
Improve performance through policies and procedures
Reduce work-related accidents and ill-health and the costs associated with them
Improve performance through heightened employee morale and adherence to policies and procedures
Mar 19, 2010
The Proven benefits of OHSAS 18001
OHSAS 18001 is a consensus standard developed in 1999 by an independent group of national standards bodies and certification bodies (registrars). OHSAS stands for Occupational Health and Safety Assessment Series. OHSAS 18001 is structured the same way as ISO 14001, the environmental management system standard, and has essentially the same elements. It was specifically developed to be compatible with ISO 9001, the quality management system standard, and ISO 14001 to allow companies to develop and register integrated quality, environmental and occupational safety and health management systems
Benefits of OHSAS 18001 for organizations
Like registration to ISO 9001 and ISO 14001, registration to OHSAS 18001 can offer companies a number of benefits.
• OHSAS 18001 certification has a positive impact on businesses of all sizes and in all industry sectors.
• OSHMS (Occupational Safety & Health Management System) applies to organizations seeking to prioritize occupational safety and health practices and methods;
• Through OSHMS allows organizations to apply OHSAS 18001 2007, Loss Control or ILO-OSH, Z-10, and other recognizable systems as these are internationally recognize (as occupational health and safety management systems best practices).
• OHSAS can provide a basis for organizations to implement health and safety through reduction of risks by identifying and acting on work relating hazards.
• Organizations that have implemented a system to improve the management of health and safety practices have reported reduced improved employee safety awareness, fewer accidents and reduced costs.
• OHSAS 18001 provides a structure companies can use to integrate quality, environmental and safety and health program management for increased management efficiencies.
• Strong interconnection between environmental and safety and health programs in areas such as emergency planning and risk assessment.
• Far from being a marketing tool, the real and proven benefits of certification are plain to see.
• The fundamentals of certification will make your company more efficient and increase your reputation and competitive edge.
• Effective safety and health programs earn positive returns on their health and safety investment
• In many industries it has already become a basic requirement for doing business.
• Increased safety awareness, efficiency, a real strengthening of your position in the marketplace and increased revenue are direct results of achieving certification.
• Reduce liability, worker's compensation and health costs;
• Reduced risk of citations/penalties
Benefits of OHSAS 18001 for staff
• EHS managers can’t be every place at the same time -
• Provides tools to ensure health & safety is everyone's responsibility
• Integrate health and safety into all aspects of your business
• Improved performance through policies and procedures
• Reducing work-related accidents and ill-health and the costs associated with them
• Improving performance through heightened employee morale and adherence to policies and procedures
• Reinforcing a responsible and well-managed reputation with customers, stakeholders, and communities
• OHSAS 18001 provides a structure to incorporate health and safety into the business
• Includes health and safety impacts as part of the business process and planning activities and achieving the goal of an accident-free workplace
• Reduce workplace injuries; accidents and illness
• Decrease loss of work hours; and
key areas are addressed by OHSAS 18001
Planning for hazard identification, risk assessment and risk control
OHSAS management program
Structure and responsibility
Training, awareness and competence
Consultation and communication
Operational control
Emergency preparedness and response
Performance measuring, monitoring and improvement
Benefits of OHSAS 18001 for organizations
Like registration to ISO 9001 and ISO 14001, registration to OHSAS 18001 can offer companies a number of benefits.
• OHSAS 18001 certification has a positive impact on businesses of all sizes and in all industry sectors.
• OSHMS (Occupational Safety & Health Management System) applies to organizations seeking to prioritize occupational safety and health practices and methods;
• Through OSHMS allows organizations to apply OHSAS 18001 2007, Loss Control or ILO-OSH, Z-10, and other recognizable systems as these are internationally recognize (as occupational health and safety management systems best practices).
• OHSAS can provide a basis for organizations to implement health and safety through reduction of risks by identifying and acting on work relating hazards.
• Organizations that have implemented a system to improve the management of health and safety practices have reported reduced improved employee safety awareness, fewer accidents and reduced costs.
• OHSAS 18001 provides a structure companies can use to integrate quality, environmental and safety and health program management for increased management efficiencies.
• Strong interconnection between environmental and safety and health programs in areas such as emergency planning and risk assessment.
• Far from being a marketing tool, the real and proven benefits of certification are plain to see.
• The fundamentals of certification will make your company more efficient and increase your reputation and competitive edge.
• Effective safety and health programs earn positive returns on their health and safety investment
• In many industries it has already become a basic requirement for doing business.
• Increased safety awareness, efficiency, a real strengthening of your position in the marketplace and increased revenue are direct results of achieving certification.
• Reduce liability, worker's compensation and health costs;
• Reduced risk of citations/penalties
Benefits of OHSAS 18001 for staff
• EHS managers can’t be every place at the same time -
• Provides tools to ensure health & safety is everyone's responsibility
• Integrate health and safety into all aspects of your business
• Improved performance through policies and procedures
• Reducing work-related accidents and ill-health and the costs associated with them
• Improving performance through heightened employee morale and adherence to policies and procedures
• Reinforcing a responsible and well-managed reputation with customers, stakeholders, and communities
• OHSAS 18001 provides a structure to incorporate health and safety into the business
• Includes health and safety impacts as part of the business process and planning activities and achieving the goal of an accident-free workplace
• Reduce workplace injuries; accidents and illness
• Decrease loss of work hours; and
key areas are addressed by OHSAS 18001
Planning for hazard identification, risk assessment and risk control
OHSAS management program
Structure and responsibility
Training, awareness and competence
Consultation and communication
Operational control
Emergency preparedness and response
Performance measuring, monitoring and improvement
Mar 18, 2010
What can you expect in return for your investment in an ISO 9001 Quality Management System (QMS)?
ISO is not a legislating or enforcement industry. ISO does not legislate or enforce regulations. It is formed of technical committees of experts from industry, science, governmental and private organizations who work together to develop international standards. Any ISO certification merely ensures that a management system includes all the requirements in processes and information organization. Feedback from ISO 9001 Registered companies shows what you can expect as the payoff from all of your hard work.
The aim of ISO is to prepare recognized ISO management standards which can be followed internationally and help to remove these obstacles in front of trade, climate and safety. The International Organization for Standardization, is a network of institutions, that seek to establish standards for quality and requirements of materials, products, processes, the organization of information and management systems, with the idea that any organization can conduct business with any other, in a global market
Because of the responsibilities called out in the ISO 9001 Standard, organizations often see an increased involvement of top management with regards to the Quality Management System.
• Planning : Top management role start with the setting of the Quality Policy and Quality Goals and Objectives.
• Implementation: with providing required resources for the implementation stage
• Monitoring : with Management Review looking at data from the QMS, and taking actions to make sure that Quality Goals are met
• Continually : New Goals are set, and continual improvement is achieved.
With the QMS in place and working for you, the organization is focused towards the Quality Goals.
• Compliance with all regulations and rules related.
• Increasing of operation image in market (prestige), can act as a differentiating factor if your competitor is not ISO compliant.
• Certification benefit will help your business to compete and market your products globally, increase in customer satisfaction, reduction in wastages and reprocessing
• Reducing operational times, determining the process owners and thereby specifying their responsibilities, supplier selection and evaluation, etc.
• Management is provided with data on a continual basis and able to see progress or lack of progress towards goals and take appropriate action.
• The organized, scheduled process of conducting Management Review ensures that this evaluation takes place.
• It provides the mechanism of reviewing goals and performance against goals on a scheduled basis, and for taking action based on the evaluation.
• It standardizes the way the businesses are run. Processes will be written, documents will be organized and the basic functions will be streamlined.
• Increased productivity results from the initial evaluation and improvement of processes that occurs during the implementation process and from improved training and qualification of employees.
• Better documentation or control of processes leads to consistency in performance, and less scrap and rework.
• Managers experience fewer late night troubleshooting calls; employees have more information for troubleshooting problems on their own.
Also with the QMS in place and working for you, Customer satisfaction increases are seen as Goals and Objectives take the customer needs into account.
• Customer needs are better understood as customer feedback is sought, received and analyzed.
• Goals and objectives are adjusted based on the information and the organization becomes more customer driven.
• Standardization for customer service and the way customer requirements are met
• As goals focus on the customer, the organization spends less time focusing on individual goals of departments and more time working together to meet customer needs.
• Regular internal audits can also reduce disruptions from outside customer audits which may become costly problems
The aim of ISO is to prepare recognized ISO management standards which can be followed internationally and help to remove these obstacles in front of trade, climate and safety. The International Organization for Standardization, is a network of institutions, that seek to establish standards for quality and requirements of materials, products, processes, the organization of information and management systems, with the idea that any organization can conduct business with any other, in a global market
Because of the responsibilities called out in the ISO 9001 Standard, organizations often see an increased involvement of top management with regards to the Quality Management System.
• Planning : Top management role start with the setting of the Quality Policy and Quality Goals and Objectives.
• Implementation: with providing required resources for the implementation stage
• Monitoring : with Management Review looking at data from the QMS, and taking actions to make sure that Quality Goals are met
• Continually : New Goals are set, and continual improvement is achieved.
With the QMS in place and working for you, the organization is focused towards the Quality Goals.
• Compliance with all regulations and rules related.
• Increasing of operation image in market (prestige), can act as a differentiating factor if your competitor is not ISO compliant.
• Certification benefit will help your business to compete and market your products globally, increase in customer satisfaction, reduction in wastages and reprocessing
• Reducing operational times, determining the process owners and thereby specifying their responsibilities, supplier selection and evaluation, etc.
• Management is provided with data on a continual basis and able to see progress or lack of progress towards goals and take appropriate action.
• The organized, scheduled process of conducting Management Review ensures that this evaluation takes place.
• It provides the mechanism of reviewing goals and performance against goals on a scheduled basis, and for taking action based on the evaluation.
• It standardizes the way the businesses are run. Processes will be written, documents will be organized and the basic functions will be streamlined.
• Increased productivity results from the initial evaluation and improvement of processes that occurs during the implementation process and from improved training and qualification of employees.
• Better documentation or control of processes leads to consistency in performance, and less scrap and rework.
• Managers experience fewer late night troubleshooting calls; employees have more information for troubleshooting problems on their own.
Also with the QMS in place and working for you, Customer satisfaction increases are seen as Goals and Objectives take the customer needs into account.
• Customer needs are better understood as customer feedback is sought, received and analyzed.
• Goals and objectives are adjusted based on the information and the organization becomes more customer driven.
• Standardization for customer service and the way customer requirements are met
• As goals focus on the customer, the organization spends less time focusing on individual goals of departments and more time working together to meet customer needs.
• Regular internal audits can also reduce disruptions from outside customer audits which may become costly problems
Mar 14, 2010
Developing an effective policies and procedures manual.
A well-written, comprehensive policy and procedure manual is the most effective management tool--and the most neglected one.
There are plenty of good excuses to avoid producing a comprehensive manual: too little time and too much work; uncertainty about the manual's contents or the difference between policy and procedure; unfamiliarity with the how-to of preparing the manual; or an unwillingness to put too much in writing. Underlying all these reasons is the failure to recognize just how vital such a document really is.
This article will explain each step in preparing an effective manual. But first let's examine why your business urgently needs one. Done the right way, written policies and procedures:
promote teamwork and improve human relations.
promote clarity, consistency, and continuity of performance and management decisions.
establish approved, measurable standards of performance for competent practice.
provide a tool for orientation and training of new employees and supervisors.
help managers handle problems faster and with greater freedom by defining the parameters of their responsibility.
promote proper delegation and define limits of authority and levels of responsibility.
save supervisors time in answering questions and making decisions, and free them for planning and development.
promote better employee understanding and retention.
serve as a source document for inspection by regulatory and accrediting agencies.
furnish a basis for orderly change, through additions, changes, or deletions.
To sum up, a good policy and procedure program clarifies management directives, reduces uncertainties, and saves time and energy. With these advantages in mind, we will define some key terms. The manual has five components: objectives (or purpose), policies, procedures, methods, and rules.
An objective is a broad purpose or aim. Objectives form the basis from which all policies are derived.
A policy shows how the organization will achieve its objectives. It is a guide to thinking and action, not a descriptive statement or a list of tasks. Policies are general statements covering all areas of the institution, although certain ones have a greater impact for some departments than others.
A procedure describes what is to be done--a detailed sequence of activities showing how a policy applies to a particular situation.
A method breaks down the procedure and tells how to accomplish it, one task at a time.
Rules establish procedures to govern or limit the activities outlined in the method. They also control conduct and indicate consequences if policies are not followed.
It's easy to understand these definitions when you translate them from theory into actual practice.
Preparing a manual may seem overwhelming, especially if you're starting from scratch. A logical plan makes it much simpler. The following nine-step sequence is a basic outline of the process.
1. List topics for which the business needs policies. What kinds of policies must you consider?
There are originated policies, which come from top management as part of the institution's operational goals. Standard or routine policies reflect actual practices or systems established by precedent. Imposed policies, such as government regulations or legal requirements, originate outside the institution. Appealed policies arise from the department's need to cope with exceptional problems on a case-by-case basis.
2. Develop a table of contents to establish your topic areas.
These topics fall into three broad classifications: management, operational policies, and personnel policies.
3. Now draft the policies. This is the most tedious part of the job.
Each institution has its own policy-writing format, Solicit input from department supervisors on their sections' concerns.
Remember policies are general statements intended to channel employee decision making. They must be clear, comprehensive, flexible, and subject to revision; they must be fully understood by those who will apply them; and they should be written in simple, concise language. They cannot be changed by word of mouth. They should begin with the phrase, "It is the policy of Anywhere to . . . ." And they should reflect your institution's overall goals and objectives.
4. Review the draft to insure compliance with institutional philosophy, regulatory requirements, and compatibility with other department policies.
5. Circulate the draft policies to supervisors for review and feedback.
6. Draft appropriate procedures, methods, and rules for the policies, again with the participation of supervisors. When writing procedures, keep these points in mind:
Procedures tell what must be done to carry out policy, not how it must be done. The question of how is answered by the methods.
Procedures are more specific than policies. They are written as a series of steps. (A method describes how to accomplish just one step.) Each step usually begins with an active verb in the present tense. Avoid negative statements.
7. Circulate drafts to supervisors for final comment.
8. Finalize policies and have them approved by appropriate administrative personnel.
9. Compile policies in a loose-leaf notebook to allow for revisions and additions.
Introduce the manual to all staff in a series of meetings that explain its implications and use. Make it clear that all employees will be held accountable for reading the manual and complying with its contents.
Now that your policy manual is complete, don't think the job is over. The manual is a constantly evolving document that must reflect the changing reality of the institution. As new problems arise, precedents may be set or new policies may be identified. It's your responsibility to make prompt and accurate amendments.
Review all policies annually and update them as necessary. When a new policy is announced by memo or other directive, post the notice on the bulletin board and introduce it at a meeting. When changes are finalized, post them and insert them in the manual.
Getting started is the hardest part of developing a policy manual. Once you are past the hurdle of developing a table of contents and writing the first policy, it becomes far less formidable. And the work pays off, because the policy manual is the hub of all operations. It influences costs, productivity, efficiency, employee performance and morale, interdepartmental relations, and service delivery.
In other words, a solidly designed and well-written set of policies and procedures does more than make you look like an effective manager. It helps you become one.
There are plenty of good excuses to avoid producing a comprehensive manual: too little time and too much work; uncertainty about the manual's contents or the difference between policy and procedure; unfamiliarity with the how-to of preparing the manual; or an unwillingness to put too much in writing. Underlying all these reasons is the failure to recognize just how vital such a document really is.
This article will explain each step in preparing an effective manual. But first let's examine why your business urgently needs one. Done the right way, written policies and procedures:
promote teamwork and improve human relations.
promote clarity, consistency, and continuity of performance and management decisions.
establish approved, measurable standards of performance for competent practice.
provide a tool for orientation and training of new employees and supervisors.
help managers handle problems faster and with greater freedom by defining the parameters of their responsibility.
promote proper delegation and define limits of authority and levels of responsibility.
save supervisors time in answering questions and making decisions, and free them for planning and development.
promote better employee understanding and retention.
serve as a source document for inspection by regulatory and accrediting agencies.
furnish a basis for orderly change, through additions, changes, or deletions.
To sum up, a good policy and procedure program clarifies management directives, reduces uncertainties, and saves time and energy. With these advantages in mind, we will define some key terms. The manual has five components: objectives (or purpose), policies, procedures, methods, and rules.
An objective is a broad purpose or aim. Objectives form the basis from which all policies are derived.
A policy shows how the organization will achieve its objectives. It is a guide to thinking and action, not a descriptive statement or a list of tasks. Policies are general statements covering all areas of the institution, although certain ones have a greater impact for some departments than others.
A procedure describes what is to be done--a detailed sequence of activities showing how a policy applies to a particular situation.
A method breaks down the procedure and tells how to accomplish it, one task at a time.
Rules establish procedures to govern or limit the activities outlined in the method. They also control conduct and indicate consequences if policies are not followed.
It's easy to understand these definitions when you translate them from theory into actual practice.
Preparing a manual may seem overwhelming, especially if you're starting from scratch. A logical plan makes it much simpler. The following nine-step sequence is a basic outline of the process.
1. List topics for which the business needs policies. What kinds of policies must you consider?
There are originated policies, which come from top management as part of the institution's operational goals. Standard or routine policies reflect actual practices or systems established by precedent. Imposed policies, such as government regulations or legal requirements, originate outside the institution. Appealed policies arise from the department's need to cope with exceptional problems on a case-by-case basis.
2. Develop a table of contents to establish your topic areas.
These topics fall into three broad classifications: management, operational policies, and personnel policies.
3. Now draft the policies. This is the most tedious part of the job.
Each institution has its own policy-writing format, Solicit input from department supervisors on their sections' concerns.
Remember policies are general statements intended to channel employee decision making. They must be clear, comprehensive, flexible, and subject to revision; they must be fully understood by those who will apply them; and they should be written in simple, concise language. They cannot be changed by word of mouth. They should begin with the phrase, "It is the policy of Anywhere to . . . ." And they should reflect your institution's overall goals and objectives.
4. Review the draft to insure compliance with institutional philosophy, regulatory requirements, and compatibility with other department policies.
5. Circulate the draft policies to supervisors for review and feedback.
6. Draft appropriate procedures, methods, and rules for the policies, again with the participation of supervisors. When writing procedures, keep these points in mind:
Procedures tell what must be done to carry out policy, not how it must be done. The question of how is answered by the methods.
Procedures are more specific than policies. They are written as a series of steps. (A method describes how to accomplish just one step.) Each step usually begins with an active verb in the present tense. Avoid negative statements.
7. Circulate drafts to supervisors for final comment.
8. Finalize policies and have them approved by appropriate administrative personnel.
9. Compile policies in a loose-leaf notebook to allow for revisions and additions.
Introduce the manual to all staff in a series of meetings that explain its implications and use. Make it clear that all employees will be held accountable for reading the manual and complying with its contents.
Now that your policy manual is complete, don't think the job is over. The manual is a constantly evolving document that must reflect the changing reality of the institution. As new problems arise, precedents may be set or new policies may be identified. It's your responsibility to make prompt and accurate amendments.
Review all policies annually and update them as necessary. When a new policy is announced by memo or other directive, post the notice on the bulletin board and introduce it at a meeting. When changes are finalized, post them and insert them in the manual.
Getting started is the hardest part of developing a policy manual. Once you are past the hurdle of developing a table of contents and writing the first policy, it becomes far less formidable. And the work pays off, because the policy manual is the hub of all operations. It influences costs, productivity, efficiency, employee performance and morale, interdepartmental relations, and service delivery.
In other words, a solidly designed and well-written set of policies and procedures does more than make you look like an effective manager. It helps you become one.
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