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[]
[null,"RJC Risk Assessment Toolkit"]
[null,"Code of Practice Risk Assessment Toolkit (T010_2013) Revision 0"]
[]
[null,"Main Menu"]
[]
[null,"Background Information","Preface"]
[null,null,"Toolkit Features and Macros"]
[null,null,"Risk Assessments and Toolkit Instructions"]
[]
[null,"Risk Assessment","Step 1: Define the Risk Context"]
[null,null,"Step 2: Conduct the Risk Assessment"]
[null,null,"Step 3: Risk Reduction Action Plan"]
[]
[null,"Supporting Information","Risk Ratings"]
[null,null,"Risk Identification Tips"]
[null,null,"Risk Reduction Action Message"]
[]
[null,"Related RJC Documents","RJC Code of Practices Standard (S001_2013)"]
[null,null,"RJC Code of Practices Standard Guidance (S001_2013)"]
[null,null,"RJC Assessment Manual (T001_2013)"]
[null,null,"RJC Assessment Workbook (T006_2013)"]
[null,null,"RJC Human Rights Toolkit (T011_2013)"]

{"sheet":"Preface","index":2,"n_rows":19,"n_cols":2,"rows_kept":19,"cut":false,"hidden":false,"merged":[[13,1,14,1],[15,1,16,1]]}
[null,"Preface - about the Toolkit"]
[null,"RJC Code of Practices (2013) "]
[null,"RJC Risk Assessment Toolkit [Document reference - T010_2013]"]
[null,"A. Background"]
[null,"The Responsible Jewellery Council (RJC) is a not-for-profit standards setting and certification organisation founded in 2005."]
[null,"Our vision is a responsible world-wide supply chain that promotes trust in the global fine jewellery and watch industry."]
[null,"All Commercial Members of the RJC are required to be audited by accredited, third party auditors to verify their conformance with the Code of Practices, and thus achieve RJC Member Certification within two years of joining.  For more information, please visit:"]
[null,"www.responsiblejewellery.com "]
[null,"B. About this Toolkit"]
[null,"The RJC Risk Assessment Toolkit (the Toolkit) provides a mechanism for Members to conduct risk assessments and facilitate the implementation of the RJC Code of Practices."]
[null,"This is a ‘living document’ and the RJC reserves the right to revise this Toolkit based on implementation experience and emerging good practice.  The version posted on the RJC website supersedes all other versions.  To verify this document is current, please visit:"]
[null,"www.responsiblejewellery.com "]
[null,"C. Disclaimer"]
[null,"No guarantee, warranty or representation is made as to the accuracy or completeness of the Toolkit  and other documents or information sources referenced in the Toolkit  Use of the Toolkit is not intended to and does not replace, contravene or otherwise alter the requirements of any applicable national, state or local governmental statutes, laws, regulations, ordinances, or other requirements regarding the matters included herein.  "]
[]
[null,"Use of the Toolkit by non-members is entirely voluntary and is neither intended nor does it create, establish, or recognise any legally enforceable obligations or rights against the RJC and/or its Members or signatories. The Toolkit does not create, establish, or recognise any legally enforceable obligations of the RJC and/or its member or signatories to non-members.   Non-members shall have no legal cause of action against the RJC and/or its members or signatories for failure to comply with the Toolkit."]
[]
[null,"D. Status and Effective Date"]
[null,"This is Revision 0 of the RJC Risk Assessment Toolkit."]

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[null,"Toolkit Features and Macros"]
[null,"This worksheet contains information about the toolkit and its features  The following topics are covered (navigate by clicking the topic headings):"]
[null,"Features and Layout"]
[null,"Enabling Macros"]
[]
[]
[null,"Features and Layout"]
[]
[null,"The Toolkit uses in built drop menus, checkboxes, macro enabled buttons, formulas and hyperlinks to assist with the conduct of a Risk Assessment.  Fields are also colour coded to assist the user.  Main features used in the Toolkit are described below:"]
[]
[null,"White fields are used to enter free text. An example is show in this example screenshot:"]
[null,"All shaded cells are locked cells that contain instructions pertaining to the Risk Assessment or helpful instructions to assist the user."]
[null,"Pale blue fields contain a drop down menu with options that you must use to select a valid entry.  Hovering over these cells with your mouse pointer displays information about the drop down menu and the options contained therein.  This is illustrated in the example screen shot below:"]
[]
[null,"A hyperlink is usually in blue or white type font that is underlined.  A hyperlink is a link that part of the toolkit that opens another part or another document when you click it. The destination can also be another web page. Hyperlink used in this tool include links to other RJC documents as well as the RJC web page.  For example, clicking on the RJC Logo, located on the top right have corner of every worksheet on the toolkit will navigate you to the RJC web site (of course you must have internet connectivity."]
[]
[null,"Buttons are featured  in the Toolkit to assist the user.  For instance, in \"B. Conduct the Risk Assessment\", there are buttons to add new risk entries as well as to sort the risk register from highest rated risk to the lowest rated risk. Buttons are also used in much the same way as hyperlinks to navigate to different parts of the toolkit. Examples of buttons are shown below:"]
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[null,"Navigation icons are also used to jump to other parts of the workbook. The following navigation buttons are used to return to the Main Menu and to the top of the Worksheet you are currently working in:"]
[null,"Return to Main Menu:","Top of Current Page:"]
[]
[null,"Conditional Formatting has been used to  highlight risks based on the information provided by the user.  Specifically, the following convention has been used to format the way risks are highlighted based on the selection for Risk Rating and Risk Acceptability:"]
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[null,"Enabling Macros"]
[null,"Macros are used in this Toolkit and have been designed to assist the Risk Assessment. You may need to enable macros on your computer.  Help about how to do this can be obtained by using the Help feature in your version of Microsoft Excel.  Below is a extract from the Microsoft online help which explains how to enable macros in Microsoft Excel 2010."]

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[null,"Risk and Toolkit Instructions"]
[null,"This worksheet contains guidance on conducting Risk Assessments with the tookit. The following topics are covered (navigate by clicking the topic headings):"]
[null,"Content"]
[null,"Introduction to Risk Assessments"]
[null,"How to Assess Risks in your Business"]
[null,"Step 1: Define the Risk Context"]
[null,"Step 2: Conduct the Risk Assessment"]
[null,"2.1: Risk identification and Description"]
[null,"2.2: Risk Controls"]
[null,"2.3: Risk Rating"]
[null,"2.4: Communication and Review"]
[null,"Step 3: Risk Reduction Action Plan"]
[]
[null,"Introduction to Risk Assessment"]
[null,"What is risk?"]
[null,"The international standard ISO 31000:2009 Risk Management – Principles and Guidelines, defines Risk  as ‘the effect of uncertainty on objectives”.  The effect can be adverse or beneficial but it is measured in terms of the deviation from what is expected. The objectives may relate to different aspects of the business such as achieving certain financial, health and safety, environmental, stakeholder or legislative requirements.  Therefore Risk can be thought of in terms of the chance that something other than what is expected occurs and that the impact or effect will depend on the consequences of what does or can happen."]
[]
[null,"So in simple terms, risk has two dimensions:  the likelihood of potential adverse impacts on the business, stakeholders or environments from something happening and the consequences if this were to happen.  (Source:  RJC Code of Practices, Glossary).\n\nFrom a company perspective, risk arises when your own behaviour or that of others in your operating environment creates vulnerabilities.  Managing these risks, including those relating to social, environmental and ethical issues, is increasingly a competitive necessity.\n\nThe RJC Code of Practices identifies a number of issues relevant to the jewellery supply chain where risks should be identified and managed.  Carrying out a risk assessment is a valuable approach for businesses of all sizes in order to understand their vulnerabilities and work out how they can improve their business practices.  "]
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[]
[null,"What is a risk assessment?"]
[null,"A risk assessment is simply a careful examination of key issues that could impact on the operation of your business.  Risk assessments can be carried out for any business issue – financial, security, labour, social, health, safety or environment.  They are a recommended useful management approach for many of the RJC standards.\n\nA risk assessment helps you to focus on those things that have the greatest potential to have a negative impact on your business or externally.  In many cases, straightforward measures can help to address or reduce risks.  On some issues, a risk assessment can be an important step in complying with the law.\n\nThere are many ways to carry out risk assessments, and some work well for complex issues and circumstances.  The next section provides a simple method suitable for most organisations, particularly those small to medium sized.  The suggested approach is not mandatory and is offered to Members as a guide which can be modified to suit their own purposes. \n"]
[]
[]
[]
[null,"How to assess risks in your business"]
[null,"This Toolkit provides a general risk assessment process and risk register template that can be used to risk assess activities, operations and products associated with your business. There are three key steps to a successful risk assessment:"]
[null,"•Step 1: Define the Context (See worksheet “1. Define the Risk Context”)\n•Step 2: Conduct the Risk Assessment (See worksheet “2. Conduct the Risk Assessment”)\n•Step 2: Establish a Risk Reduction Action Plan (See worksheet “3. Action Plan”)\n\n"]
[null,"Step 1: Define the Risk Context:"]
[null,"By using the template offered in the worksheet called “1. Define the Risk Context”, it is important to establish the objective and scope of the risk assessment. Examples of risk assessment objectives may be to:"]
[null,"• To identify and assess occupational hazards in the work place\n• To assess the risks associated with expanding the business operations into a conflict affected area\n• To assess the risks of human rights impacts when sourcing from a new business partner."]
[null,"The Scope of the risk assessment refers to what part of the business is being assessed and could also refer to the focus of the risk assessment.  For instance, the scope may be:"]
[null,"• Manufacturing operations in a particular region\n• Environmental risks for all mining operations\n• Recently acquired retail stores from a business that did not hold RJC Certification.\n"]
[null,"Clear definition of the objective and scope of the risk assessment will help you focus the assessment on what really matters, and what needs to be managed."]
[null,"Equally important as the objective and the scope is to identify any limitations or assumptions made during the risk assessment.  For instance, the risk assessment may be:"]
[null,"• Limited by documented information and no site visits\n• Exclude certain operations especially those outside of the Member Certification Scope\n• Assume that a defined level of performance or business maturity is currently in place.\n"]
[null,"The worksheet should also list the people involved in the assessment and where practicable, the role each played during the assessment.  For a Risk Assessment to be effective, it should be conducted by a team of two or more to ensure an objective outcome is achieved. Ideally a team should consist of appropriate operational, technical, management and support personnel. Where relevant, external parties could also be involved in the process. "]
[null,"Step 2: Conduct the Risk Assessment:"]
[null,"By using the template offered in the worksheet called “2. Conducting the Risk Assessment”, risks for the objective(s) and scope defined in Part A can be identified and assessed."]
[null,"The risk assessment consists of the following processes:\n   2.1 Risk Identification and Description\n   2.2 Risk Control and Effectiveness\n   2.3 Risk Rating\n   2.4 Communication and Review\n"]
[null,"Each of these processes is described below and refers directly to the fields in the worksheet “2. Conducting the Risk Assessment”."]
[null,"2.1: Risk Identification and Description"]
[null,"Use the button “Add New Risk” to add rows to the risk register.\n"]
[null,"2.1(a) Select the Risk Type from the options in the drop menu.  The options include:\n       - Legal and General Business Practices\n       - Supply Chain \n       - Human Rights \n       - Labour Rights\n       - Business Products\n       - Health and Safety\n       - Environment\n       - Community and Reputation\n"]
[null,"Using free text, you can enter multiple or related risk types.  "]
[null,"These categories can be used to group risk entries by type and related risks with common controls.  The Risk Toolkit has been designed with guidance information and risk ratings to describe severity levels for each of these risk types.  "]
[null,"The supporting guidance information to help the user identify risks in each of these risk types grouping is provided in the worksheet called “Risk Identification Tips”."]
[null,"Go to the Risk Identification Tips."]
[null,"The risk severity ratings are offered in the worksheet called “Risk Ratings”.  The descriptors are provided to assist with the designation of the most reasonable worst case scenario."]
[null,"Go to the Risk Ratings"]
[null,"2.1(b) Assign a unique identification (“ID”) to each risk entry.  Although this is not necessary, it can help relating the risk to controls as part of the development of your systems and processed implemented to meet the requirements of the Code of Practice.\n"]
[null,"2.1(c) Include the date when the risk was entered into the risk register.\n"]
[null,"2.1(d) List the location, specifically that part of your business (egg location, area, facility, country, etc) is being risk assessed.\n"]
[null,"2.1(e) List subject, specifically what activity, process, equipment, material, product, business relationship, service) is being risk assessed."]
[null,"2.1(f) Describe the risk event.  This is a brief and concise description of the risk to your business.  In defining the risk event, it may be useful the complete the following phrase: \n      \"There is a chance of ...\""]
[null,"    Examples of risk events include:\n       (i) Loss of reputation\n       (ii) Failure to manage KP Certificates\n       (iii) Inappropriate waste disposal"]
[null,"2.1(g) Describe the actual and/or potential cause(s) of the risk event by completing the following phrase as an adjunct to the Risk Event phrase:\n       \" ... caused by  ..\""]
[null,"Causes include the relevant contributing factors which led to or may result in the realisation of the risk event.  For example, the risk of loss of reputation was caused by:\n       (i) inappropriate due diligence when selecting business partners\n       (ii) use of personnel not properly trained about the KP Certification Scheme\n       (iii) out of date waste manifest\n"]
[null,"2.1(h) List the resulting impacts from the risk event and their causes by completing the following phrase which is an adjunct to the Risk Event and Risk Cause phrases:\n       \" ... which results or can result in  ...\""]
[null,"The impacts should list how the business is affected as a result of the risk event. For example, the loss of reputation event caused by inappropriate due diligence when selecting business partners resulted in:\n       (i) financial impact\n       (ii) adverse community and media attention; disruption to business\n       (iii) penalty or fine from the environment protection authority.\n"]
[null,"2.2: Risk Control"]
[null,"2.2(a) List the existing controls in place to manage the risk event, prevent the causes and mitigate the impacts.  Controls may be engineering or physical controls (e.g. Guards on a machine) procedures (e.g. Work instructions, manuals) and/or use of competent personnel. "]
[null,"2.2(b) Select the term from the drop menu which best describes the effectiveness of these controls:\n       - Reliable\n       - Intermittent       \n       - Unreliable or No Control"]
[null,"Controls that are well designed, implemented and maintained are likely to be more effective than new procedures poorly implemented or those that heavily rely on human involvement.  People are more likely to make mistake and so these controls tend to be less reliable.  "]
[null,"2.3: Risk Rating"]
[null,"2.3(a) Use the Risk Rating worksheet to determine if the most reasonable worst case risk is Low, Moderate, High or Extreme."]
[null,"Go to the Risk Ratings"]
[null,"2.3(b) By taking into account, the Risk Rating and the effectiveness of any controls, you need to establish whether the Risk is Acceptable or not by answering (Yes or No)."]
[null,"Based on the risk level and risk reduction action plans, the organisation needs to decide if the risk is acceptable.  This needs to be recorded with any decisions and outcomes from the risk assessment communicated to affected personnel."]
[null,"2.3(c) A message regarding the recommended action for the ongoing management of the risk will be generated based on the responses entered for:"]
[null,"- Risk Control Effectiveness (Reliable, Intermittent, Unreliable or No Control)"]
[null,"- Risk Rating (Low, Moderate, High or Extreme)"]
[null,"- Risk Acceptability (Yes or No)"]
[null,"Go to the Risk Reduction Action Message"]
[null,"2.4: Communication and Review"]
[null,"2.4(a) List the stakeholders (internal and external) that need to be communicated or informed about the risk and/or any controls to manage it."]
[null,"2.4(b) Nominate a risk review date."]
[null,"Risks should be reviewed on a regular basis.  A review process may be triggered whenever new information or new activities are identified including:\n\n"]
[null,"• project design or operational scope resulting in:\n       - new products, raw materials or new waste products;\n       - modifications to process or equipment\n• accidents, incidents or hazard detection\n• changes in engineering knowledge & standards\n• changes to legislation/regulations\n• complaints and concerns\n• inspections / audits\n• organisational change\n• new contracted services\n• results of management reviews.\n"]
[null,"2.4(c) Use this field to enter any additional comments or notes regarding the action."]
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[null,"Step 3: Risk Reduction Action Plan"]
[null,"3.1 Where recommended, develop a set of actions for new or additional controls that need to be implemented to minimise the seriousness of the risk. "]
[null,"Remember to prioritise the actions by dealing with issues that have high risk (high consequence and high likelihood of occurring) with the greatest adverse impact to the business.  Wherever possible, try to reduce risk level to one that ensures it is no longer significant to the organisation. "]
[null,"Risk reduction actions should be tested against the following hierarchy of risk control and wherever practicable, the most cost effective control should be used:\n       - Eliminate: - Elimination of the hazard or the risk is the most effective way to control a risk\n       - Substitution: - Replace the activity, process or material with one that has a lower inherent risk\n       - Engineering/Mitigation:  – Develop options or actions that aim redesign or provide an engineered solution to isolate the risk and reduce exposure to the risk\n       - Administrative/Management: – Provide controls such as documented procedures or training designed to manage the risk."]
[null,"Other risk reduction controls may include sharing the risk with another party or parties by mutual consent.  Mechanisms include the use of contracts, insurance arrangements and organisational structures such as partnerships and joint ventures to spread responsibility and liability.  Generally there is some financial cost or benefit associated with sharing part of the risk with another organisation, such as the premium paid for insurance.  In the context of health and safety risks, risk sharing is only pertinent to the control of workers’ compensation insurance.\n"]
[null,"The Action Plan will automatically transfer those risks where the selected Response recommended the development of an Action Plan.  This can be achieved by hitting the button \"Prepare Action Plan\""]
[null,"Note: Using this button (Prepare Action Plan) will erase any existing information on this sheet.  You wll be asked to confirm the action if it is pressed inadvertantly.   It is recommended that you save the existing Action Plan and  its contents into a separate file before commencing a new Action Plan."]
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[null,"3.2 Assign responsibility for the action(s). "]
[null,"3.3 Assign due dates for the action(s). "]
[null,"3.4 Use the action to track status and progress on the action completion."]
[null,"3.5 Enter date for when the action(s) was last reviewed. "]
[null,"3.6 Name of person signing off that the action has been completed, effective, and the risk reduced to an acceptable level. The decision to sign off should be related back to the scope and objectives of the risk assessment, and any residual exposure.  Final sign off should be carried out by a senior manager with the adequate level of authority to implement decisions and outcomes."]
[null,"3.7 Title of person signing off. "]
[null,"3.8 Use this field to enter any additional comments or notes regarding the action."]

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[null,null,"Step 1: Define the Risk Context"]
[null,null,"Provide the background context including the objectives, area, assumptions and limitations associated with the risk assessment."]
[null,null,"Company name:"]
[null,null,"Date of assessment:"]
[null,null,"Objective:  Why is the risk assessment being conducted (e.g. to support the RJC Self Assessment, annual review, changing laws, new business partner, or newly acquired business)."]
[null,null,"Scope - Location/Practice: \nWhat area / location / jurisdiction/practice does the risk assessment cover?"]
[null,null,"Assumptions and Limitations:  List any assumptions and/or limitations that apply to this risk assessment."]
[null,null,"People involved: List all people involved in the risk assessment including internal and external resources."]

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["x",null,"Step 2: Conduct the Risk Assessment",null,null,null,null,null,"Press to add a new Risk row"]
["x",null,{"$f":"IF('1 Define the Risk Context'!D4=\"\",\"\",'1 Define the Risk Context'!D4)","v":""},null,null,null,null,null,"Specify Row to delete (Note: Row 10 or higher)"]
["x",null,{"$f":"IF('1 Define the Risk Context'!D6=\"\",\"\",'1 Define the Risk Context'!D6)","v":""},null,null,null,null,null,"Sort Risks By Ratings"]
["x"]
["x"]
["x",null,"2.1 Risk Identification and Description",null,null,null,"(Link to Risk Identification Tips and Guidance worksheet)",null,null,null,"2.2 Risk Controls",null,"2.3 Risk Rating",null,"(Link to Risk Rating worksheet)","2.4 Communication & Review",null,null,"x",null,null,null,null,null,null,null,"x"]
["x",null,"Risk Type ","Risk ID","Date","Location","Activity / Subject","Risk Event","Risk Causes (actual or potential)","Rick Impact(s)","Existing Controls","Effectiveness of Controls","Risk Rating","Acceptability?","Reccommended Next Steps","Stakeholders","Next Review","Comments / Notes"]
["Instructions","ê","Select the Risk Type from  the drop Menu or manually enter the risk type(s).\n","Assign a unique ID no.","Include the date when the risk was entered ","List what part of your business (e.g. location, area, facility, country, etc) is being risk assessed.","List what activity, process, equipment, material, product, business relationship, service is being risk assessed.","Describe the event that presents the risk to your business by completing the following phrase:\n\nThere is a chance of ...","Describe the actual and/or potential cause(s) of the risk event by completing the following phrase:\n\n… caused by ...","List the resulting impacts from the risk event and their causes by completing the following phrase:\n\n… which results or can result in ...","List the existing controls to prevent the causes of the risk event or controls to mitigate the impacts if the risk did occur.","Select the term which best describes the effectiveness or reliability of the controls.","Use the Risk Rating worksheet to determine the reasonable worst case scenario.","Given the Risk Rating and the effectiveness of the controls, is the Risk Acceptable (Yes or No)?","An automatically generated message will recommend the need for a risk reduction plan based on the control effectiveness, risk rating and risk acceptance.","List the stakeholders that need to be know about the risk assessment outcomes.","Nominate the next review date.  Remember to also review risks whenever there is a major change to the business.","Comments or notes about the risk.","x",null,null,null,null,null,null,null,"x"]
["x",null,null,null,null,null,null,null,null,null,null,null,null,null,{"$f":"IF(N10=\"\",\"\",IF(N10=\"Yes\",IF(ISERROR(INDEX(Reference!$E$16:$G$19,(VLOOKUP(M10,Reference!$F$26:$G$29,2,0)),(VLOOKUP(L10,Reference!$D$26:$E$28,2,0)))),\"\",INDEX(Reference!$E$16:$G$19,(VLOOKUP(M10,Reference!$F$26:$G$29,2,0)),(VLOOKUP(L10,Reference!$D$26:$E$28,2,0)))),IF(N10=\"No\", IF(ISERROR(INDEX(Reference!$E$20:$G$23,(VLOOKUP(M10,Reference!$F$26:$G$29,2,0)),(VLOOKUP(L10,Reference!$D$26:$E$28,2,0)))),\"\",INDEX(Reference!$E$20:$G$23,(VLOOKUP(M10,Reference!$F$26:$G$29,2,0)),(VLOOKUP(L10,Reference!$D$26:$E$28,2,0)))))))","v":""},null,null,null,{"$f":"T10+(IF(OR(L10=\"\",M10=\"\"),0,IF(L10=Reference!$D$5, VLOOKUP(M10,Reference!$F$26:$G$29,2,0),IF(L10=Reference!$D$6,(VLOOKUP(M10,Reference!$F$26:$G$29,2,0)+0.1),IF(L10=Reference!$D$7,(VLOOKUP(M10,Reference!$F$26:$G$29,2,0)+0.2), 0)))))","v":0},{"$f":"IF(N10=\"No\",0.1,0)","v":0},null,null,null,null,null,null,{"$f":"IF(U10=\"\",0,IF(V10=\"No\", (VLOOKUP(U10,Reference!$F$26:$G$29,2,0))+0.1,VLOOKUP(U10,Reference!$F$26:$G$29,2,0)))","v":0}]
["x",null,null,null,null,null,null,null,null,null,null,null,null,null,{"$f":"IF(N11=\"\",\"\",IF(N11=\"Yes\",IF(ISERROR(INDEX(Reference!$E$16:$G$19,(VLOOKUP(M11,Reference!$F$26:$G$29,2,0)),(VLOOKUP(L11,Reference!$D$26:$E$28,2,0)))),\"\",INDEX(Reference!$E$16:$G$19,(VLOOKUP(M11,Reference!$F$26:$G$29,2,0)),(VLOOKUP(L11,Reference!$D$26:$E$28,2,0)))),IF(N11=\"No\", IF(ISERROR(INDEX(Reference!$E$20:$G$23,(VLOOKUP(M11,Reference!$F$26:$G$29,2,0)),(VLOOKUP(L11,Reference!$D$26:$E$28,2,0)))),\"\",INDEX(Reference!$E$20:$G$23,(VLOOKUP(M11,Reference!$F$26:$G$29,2,0)),(VLOOKUP(L11,Reference!$D$26:$E$28,2,0)))))))","v":""},null,null,null,{"$f":"T11+(IF(OR(L11=\"\",M11=\"\"),0,IF(L11=Reference!$D$5, VLOOKUP(M11,Reference!$F$26:$G$29,2,0),IF(L11=Reference!$D$6,(VLOOKUP(M11,Reference!$F$26:$G$29,2,0)+0.1),IF(L11=Reference!$D$7,(VLOOKUP(M11,Reference!$F$26:$G$29,2,0)+0.2), 0)))))","v":0},0]
["x",null,null,null,null,null,null,null,null,null,null,null,null,null,{"$f":"IF(N12=\"\",\"\",IF(N12=\"Yes\",IF(ISERROR(INDEX(Reference!$E$16:$G$19,(VLOOKUP(M12,Reference!$F$26:$G$29,2,0)),(VLOOKUP(L12,Reference!$D$26:$E$28,2,0)))),\"\",INDEX(Reference!$E$16:$G$19,(VLOOKUP(M12,Reference!$F$26:$G$29,2,0)),(VLOOKUP(L12,Reference!$D$26:$E$28,2,0)))),IF(N12=\"No\", IF(ISERROR(INDEX(Reference!$E$20:$G$23,(VLOOKUP(M12,Reference!$F$26:$G$29,2,0)),(VLOOKUP(L12,Reference!$D$26:$E$28,2,0)))),\"\",INDEX(Reference!$E$20:$G$23,(VLOOKUP(M12,Reference!$F$26:$G$29,2,0)),(VLOOKUP(L12,Reference!$D$26:$E$28,2,0)))))))","v":""},null,null,null,{"$f":"T12+(IF(OR(L12=\"\",M12=\"\"),0,IF(L12=Reference!$D$5, VLOOKUP(M12,Reference!$F$26:$G$29,2,0),IF(L12=Reference!$D$6,(VLOOKUP(M12,Reference!$F$26:$G$29,2,0)+0.1),IF(L12=Reference!$D$7,(VLOOKUP(M12,Reference!$F$26:$G$29,2,0)+0.2), 0)))))","v":0},{"$f":"IF(N12=\"No\",0.1,0)","v":0}]
["x",null,null,null,null,null,null,null,null,null,null,null,null,null,{"$f":"IF(N13=\"\",\"\",IF(N13=\"Yes\",IF(ISERROR(INDEX(Reference!$E$16:$G$19,(VLOOKUP(M13,Reference!$F$26:$G$29,2,0)),(VLOOKUP(L13,Reference!$D$26:$E$28,2,0)))),\"\",INDEX(Reference!$E$16:$G$19,(VLOOKUP(M13,Reference!$F$26:$G$29,2,0)),(VLOOKUP(L13,Reference!$D$26:$E$28,2,0)))),IF(N13=\"No\", IF(ISERROR(INDEX(Reference!$E$20:$G$23,(VLOOKUP(M13,Reference!$F$26:$G$29,2,0)),(VLOOKUP(L13,Reference!$D$26:$E$28,2,0)))),\"\",INDEX(Reference!$E$20:$G$23,(VLOOKUP(M13,Reference!$F$26:$G$29,2,0)),(VLOOKUP(L13,Reference!$D$26:$E$28,2,0)))))))","v":""},null,null,null,{"$f":"T13+(IF(OR(L13=\"\",M13=\"\"),0,IF(L13=Reference!$D$5, VLOOKUP(M13,Reference!$F$26:$G$29,2,0),IF(L13=Reference!$D$6,(VLOOKUP(M13,Reference!$F$26:$G$29,2,0)+0.1),IF(L13=Reference!$D$7,(VLOOKUP(M13,Reference!$F$26:$G$29,2,0)+0.2), 0)))))","v":0},{"$f":"IF(N13=\"No\",0.1,0)","v":0}]

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["x"]
["x",null,"Step 3: Risk Reduction Action Plan",null,null,null,null,"Prepare Action Plan (based on Recommended Next Steps)"]
["x",null,{"$f":"IF('1 Define the Risk Context'!D3=\"\",\"\",'1 Define the Risk Context'!D3)","v":""},null,null,null,null,"Specify Row to delete (Note: Row 10 or higher)"]
["x",null,{"$f":"IF('1 Define the Risk Context'!D6=\"\",\"\",'1 Define the Risk Context'!D6)","v":""}]
["x"]
["x"]
["x",null,"2.1 Risk Identification and Description",null,null,null,null,"3. Risk Reduction Action Plan"]
["x",null,"Risk Type","Risk ID","Location","Activity/ Subject","Risk Event","Risk Reduction Action (What)","Responsibility (Who)","Due Date (When)","Status","Date Reviewed","Completion Sign off (Name)","Comments"]
["Instructions\nê",null,"Free text or cells copied from Risk Register worksheet when \"Prepare Action Plan\" button is pressed.",null,null,null,null,"Document the actions that need to be taken to reduce the risk.","Nominate who is responsible for the action.","Establish a target completion date.","Is the action progressing or completed?","Date actions last reviewed.","Person acknowledging that the action was completed, effective, and the risk reduced to an acceptable level.","3(h)\nComment or log about the actions."]
["x"]
["x"]
["x"]
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[null,"Risk Ratings - Reference Table"]
[null,"The table below provides a description for each of the Risk Levels: Low, Moderate, High and Extreme.  Descriptions are offered for 'General' risks, as well as for specific \nRisk Types (e.g. Business Products,  Community and Reputation, Environment, Health & Safety, etc.). They can be used as a reference to help you determine the \n'reasonable worst case scenario' in column M of the '2. Conduct the Risk Assessment' worksheet."]
[]
[null,"Risk Type","Risk Level Descriptions"]
[null,null,"Low Risk","Moderate Risk","High Risk","Extreme Risk"]
[null,"General","Systems,  processes and controls developed and implemented, and these are regularly checked for effectiveness.","Systems, processes and controls developed and implemented, but these are new or have not been subject to a review to assure their effectiveness.","The development of systems, processes and controls is underway but not yet complete.","Lack or an absence of effective systems, processes or controls."]
[null,"Business Products","Systems have been developed and implemented to ensure accurate disclosure of product information.\n\nEffective controls in place for product grading and appraisal services.\n\nSystems which are independently verified as being effective, have been developed and implemented to comply with KPCS and WDC System of Warranties.\n\n","Not all employees are aware of accurate product information. \n\nGrading and appraisal controls although in place, are new and untested.\n\nSystems to comply with the KPCS and WDC SoW are in place but these have not been independently verified as being effective.  All shipments of rough diamonds are accompanying by a KP Certificate, however, evidence that some invoices have been received or issued without the WDC System of Warranties Statement.","Limited or ineffective control of product information and/or personnel have not received appropriate training about the products.\n\nLimited controls in place for product grading and appraisal services.\n\nLimited documented systems to comply with the KPCS and WDC SoW. Not all KP Certificates are obtained for shipments of rough diamonds and not all invoices have been received or issued without the WDC System of Warranties Statement.","Evidence if incorrect product information (in printed or verbal media).\n\nPoor or no controls in place for product grading and appraisal services.\n \nPoor or no systems in place to comply with the KPCS and WDC SoW. Personnel are not fully unaware of requirements under KPCS or WDC SoW.  Majority of required KP Certificates and/or invoices with the WDC SoW Statement are absent or not available."]
[null,"Community and Reputation","Minimal adverse feedback or concerns from community and neighbouring stakeholders regarding project or operational activities.  \n\nNo adverse media or NGO coverage. \n\nLow level but repairable damage to common place structures.\n","Isolated local complaints about project or operational activities.\n\nSome adverse coverage in the local media.\n\nSome criticism from local NGO’s.\n\nMinor medium term social impact on local amenity and population but repairable.\n","Repeated complaints about the Member, its projects or operational activities.\n\nAdverse coverage in the national media and localised community protests.\n\nAdverse attention from NGO’s.\n\nMajor long term damage to items of cultural significant.\n","Widespread complaints about the Member, its projects or operational activities.\n\nAdverse coverage in the international media and widespread community outrage.\n\nWidespread adverse attention from multiple NGO’s.\n\nPermanent damage to items of cultural significance.\n"]
[null,"Environment","Minor on-site effects that are rectified within 24 hours.  \n\nMeasureable but short term local impact to environment.\n\nOn-site uncontrolled release immediately contained.\n\nNo long term unknown environmental impacts.\n","Measureable impact on isolated non threatened fauna, flora or their habitat but no negative effects on ecosystem.\n\nUncontrolled release that has been contained and prevented from becoming a High risk level.\n\nImpacts require short term management with moderate change to the environment and an impact duration of <1 year\n","Significant long term local environmental impact or impact of threatened/protected species or their habitat, or regional significance on ecosystem / species.  \n\nRectification to restore environment is unlikely to be effective in the short term.\n\nUncontrolled release not contained requiring management with substantial resources causing environmental harm with impact duration of <10 years.\n","Irreversible ecological impact that threatens widespread viability of ecosystem / species.  \n\nDestruction of highly sensitive environmental features.\n\nUncontrolled release not contained requiring management with substantial external assistance and resources causing severe damage to the environment and an impact duration of >10 years.\n"]
[null,"Health and Safety","An injury or illness could occur that does not require medical treatment beyond immediate first aid or medical treatment with return to normal duties.  \n\nExposure is unlikely to cause harm to people (i.e. not life threatening nor likely to lead to irreversible health effects).\n","Injury or illness that requires some medical treatment resulting in restricted work, alternative duties or loss time.\n\nAcute illness with measureable adverse health effects but that are not permanent and do not significantly affect quality of life or longevity.\n","Permanent disabling injury or single fatality.\n\nAdverse health effects or chronic health ailment that that may be limiting or disabling and although these do not affect longevity, they may lead to lead changes in to occupational and lifestyle.\n","Multiple fatalities or cases of permanent disabilities.\n\nAdverse health effects that are generally permanent and could lead to significant reduction in quality of life or longevity.\n"]
[null,"Human Rights","A Human Rights due diligence process has been carried out and there is no  evidence of significant adverse Human Rights impacts Significant adverse Human Rights impacts.\n\nPositive affirmation that there is no Forced Labour used by the Member or its Business Partners.\n\nNo use of armed security personnel. \n\nSee also descriptions for Supply Chain and Labour Rights.\n","A Human Rights due diligence process has been carried out and there is no  evidence of Significant adverse Human Rights impacts, including Forced Labour or from the use of Security personnel.\n\nMember using a security firm that is not a signatory to the International Code of Conduct For Private Security Service Providers, although there is no known incidents of harm to employees, contractors, visitors or other affected parties from the use of this security firm.\n\nSee also descriptions for Supply Chain and Labour Rights.","Evidence of Human Rights breaches and failure of some system to manage human rights issues but the organisation but the Member is working with stakeholders and regulators to rectify these breaches.\n\nMember using a security firm that is known to have been involved in incidents which resulted in the inappropriate harm to employees, contractors, visitors or other parties.\n\nSee also descriptions for Supply Chain and Labour Rights.\n","Evidence of significant adverse Human Rights impacts and there are no plans to rectify the breach.\n\nMember using a security firm that is known to have been involved in incidents which resulted in the inappropriate, serious and/or fatal harm to employees, contractors, visitors or other parties.\n\nSee also descriptions for Supply Chain and Labour Rights."]
[null,"Labour Rights","Positive affirmation that there is no Forced Labour or Child Labour used by the Member or its Business Partners.\n\nWorking conditions comply with Applicable Laws and workers are free to join associations and bargain collectively.\n\nSee also descriptions for Health and Safety.","Although located in a jurisdiction where Forced Labour, Human Trafficking and Child Labour is prohibited, the Member does not have controls to prevent the accidental hire of Forced Labour or Child Labour.\n\nSome minor breaches of Applicable Law regarding working conditions although these do not result in any harm to workers.  Workers are free to join associations and bargain collectively.\n\nSee also descriptions for Health and Safety.","Although there is no evidence that the Member is using Forced Labour or Child Labour, the Member is using a recruitment agency known by the industry to have promoted Forced Labour or been involved in Human Trafficking.\n\nEvidence of breaches of Applicable Law regarding working conditions which put workers at risk of harm.  Workers are free to join associations and but discouraged from bargain collectively.\n\nSee also descriptions for Health and Safety.","There is evidence that Forced Labour or Child Labour has been used by the Member.\n\nEvidence of breaches of Applicable Law regarding working conditions which put workers at imminent risk of harm.  Workers are not free to join associations or bargain collectively.\n\nSee also descriptions for Health and Safety."]
[null,"Legal and General Business","Substantial compliance with legal requirements and other industry best practice.\n\nSystems have been developed and implemented to conform with RJC Code of Practice even if they have not been fully tested.\n\nReports required by Applicable Laws are submitted on time.\n\nFinancial accounts are independently prepared in accordance with Applicable Law and/or applicable accountings standards.  The financial accounts are reviewed/audited at least annually.","Some isolated areas of non-compliance with Applicable Law and there is adequate attempt to rectify the non-complying condition and the non-compliance does not result in any fines or penalties. \n\nNot all systems have been developed and implemented to fully conform with RJC Code of Practice, and preliminary reviews suggest some potential for non-conformances.\n\nReports required by Applicable Laws are submitted on time but not fully compliant with Applicable Law\n\nFinancial accounts are prepared in accordance with Applicable Law and/or applicable accountings standards but reviewed/audited less than once a year.","Serious breach of Applicable Law with fine or penalty notice issued\n\nSome cost to correct non-compliance\n\nMay require an investigation with a formal notification or report to relevant authority required.\n\nLimited or ineffective systems developed and implemented to conform with RJC Code of Practice.\n\nNot all reports required by Applicable Laws are submitted.\n \nOnly some Financial accounts are independently prepared in accordance with Applicable Law and/or applicable accountings standards.  The financial accounts are rarely independently reviewed/audited.","Material breach of Applicable Law with significant fines, litigation and class action.\n\nSignificant resources required to rectify compliance status.\n\nMay result in inability to obtain or a suspension or loss of licence to operate.\n\nReports required by Applicable Laws are not prepared or submitted.\n\nAdhoc financial accounts are maintained by in-house personnel with little or no conformance with  Applicable Law and/or applicable accountings standards.  The financial accounts are not independently reviewed/audited."]
[null,"Supply Chain","No known risk of Bribery, Money Laundering or Finance or Terrorism.  Facilitation Payments are controlled or there are steps underway for these to be eliminated.\n\nThe Business Partner (which may be an ASM):\n- is in compliance with Applicable Law, the adoption of prevailing industry standards and control of Human Rights.\n- has no known risks to the supply chain or Human Rights violations.\n- has mature and effective management systems or processes.\n- has an established and good relationship exists with the Member which has a proven track record and is not located in a conflict affected area.\n\nSee also descriptions for Human Rights.\n","Operating in regions where the risk of Bribery, Money Laundering or Finance or Terrorism has been known to occur but the Member has controls to prevent them.  Not all Facilitation Payments have been identified but most are under control. \n\nThe Business Partner (which may be an ASM and/or located in a conflict affected area):\n- is in compliance with Applicable Law, but has not adopted prevailing industry standards\n- has not identified Human Rights risks especially where there is some potential for minor Human Rights violations although none are known to have occurred.  \n- has implemented management systems and processes but these are not regularly tested for effectiveness.\n- is new to the Member but has been recommended by a trusted partner or associate.\n\nSee also descriptions for Human Rights.","Operating in regions where the risk of Bribery, Money Laundering or Finance or Terrorism is high and the Member does not have controls to prevent them.  Facilitation Payments have not been identified nor controlled. \n\nThe Business Partner (which may be an ASM and/or located in a conflict affected area):\n- is known to have breached Applicable Law and prevailing industry standards\n- is known to have had instances of Human Rights violations, has weak controls to prevent future Human Rights breaches, but is working with stakeholders and regulators to rectify these breaches. \n- has only just commenced developing management systems and/or control processes.\n- although known to the Member, has been known to be unreliable and problematic with respect to responsible business practices but is used because the alternatives are either not available or present a higher risk to the Member.\n\nSee also descriptions for Human Rights.","Known occurrences of Bribery, Money Laundering and/or Finance or Terrorism by the Organisation or its supply chain Business Partners. Illegal Facilitation Payments have occurred.\n\nThe Business Partner (which may be an ASM and/or located in a conflict affected area):\n- is known to have significantly breached Applicable Law and/or prevailing industry standards and/or Human Rights, with little or no plans to rectify these breaches.\n- is known to have had significant Human Rights violations with little or no plans to rectify these breaches\n- is known to the Member to have breached ethical requirements covered by the RJC Code of Practices.\n\nSee also descriptions for Human Rights."]

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[null,"Risk Identification Tips and Guidance"]
[null,"For a Risk Assessment to be effective, it should be conducted by a team of two or more to ensure an objective outcome is achieved. Ideally a team should consist of appropriate operational, technical, management and support personnel. Wherever relevant, external interested parties may be involved in the process. "]
[null,"The table below provides additional prompts and questions to help identify risk scenarios.  These are categorised by Risk Type.  The table also highlights which COP Provisions require a risk assessment as part of their implementation.  Other COP Provisions where their implementation may benefit from a risk assessment are also shown. "]
[null,"Risk Type","RJC Code of Practice Reference",null,"Risk Identification Guidance Checklist (tips for guidance purposes only)"]
[null,null,"Provisions with Mandatory Risk Assessment","Other Provisions were an Risk Assessment may be conducted"]
[null,"General",null,null,"Comprehensive planning and preparation will also greatly benefit the outcomes of the risk assessment.  For instance, the following activities should be carried out and information gathered prior to commencing the formal risk assessment:\n• Identify potential issues and hazards by:\n   o Walking around the workplace\n   o Asking employees what they think\n   o Checking with suppliers and contractors\n• Review the major activities, and processes that are carried out.\n• Review impacts from plant and equipment, materials and products\n• Consider various operating modes including:\n   o normal business as usual activities\n   o new or changed activities\n   o maintenance activities\n   o abnormal events such as one off projects or infrequent dealings / transactions\n   o an emergency event.\n• Review historical performance\n• Review previous related incidents (internal or external) and the lessons learned from these."]
[null,"Business Products",null,"26. Product Disclosure\n27. KPCS and WDC System of Warranties\n28. Grading and Appraisal","• Effectiveness of controls to manage:\n   o Product Health & Safety Information \n   o Provenance Claims\n   o Product Disclosure\n   o Compliance with Kimberley Product Certification Scheme  \n   o Compliance with World Diamond Council System of Warranties"]
[null,"Community and Reputation","30. Community Engagement\n32. Impact Assessment ","8. Community Development\n30. Community Engagement \n31. Indigenous Peoples and FPIC\n32. Impact Assessment\n33. ASM \n34. Resettlement \n35. Emergency Response\n40. Mine Rehabilitation and Closure ","• Are there nearby communities that may be affected by the operations or proposed developments?\n• What processes are in place to:\n   o identify stakeholder needs\n   o respond to complaints & grievances?\n• Consider risk of:\n   o Poor media coverage\n   o reputation damage due to association with less business partners with unethical business practices\n• What controls are in place to manage social and community-related impacts?\n• Risks and controls for:\n   o resettlement and relocation (Mining sector only)\n   o Indigenous Peoples and Free Prior Informed Consent (Mining sector only)\n   o Artisanal and Small-scale Mining (Mining sector only)"]
[null,"Environment","22. Environmental Management\n23. Hazardous Substances\n32. Impact Assessment\n37. Tailings and Waste Rock","22. Environmental Management\n23. Hazardous Substances\n24. Wastes and Emissions\n25. Use of Natural Resources\n32. Impact Assessment\n35. Emergency Response \n36. Biodiversity \n37. Tailings and Waste Rock\n38. Cyanide\n39. Mercury\n40. Mine Rehabilitation and Closure","• Identify sensitive and surrounding environmental receptors such as natural waterways, vegetation, fauna and fauna habitat?\n• Are there nearby communities that may be affected by the operations (noise, dust, pollution, local contamination, etc.)?\n• What controls are in place to manage environmental impacts including:\n   o Air emissions\n   o Discharge of Hazardous and general waste\n   o Management of Tailings and waste rock (Mining sector only)\n   o Noise emissions\n   o Odour emissions\n   o Stormwater discharges\n   o Soil and groundwater contamination (existing and historical)\n   o Wastewater discharges\n• What are the local laws regarding environmental protection?\n• Do the business activities including project related activities have any impact on local biodiversity (Mining sector only)?\n• Risks and controls for mine rehabilitation and closure (Mining sector only)"]
[null,"Health and Safety","21. Health & Safety\n23. Hazardous Substances\n","21. Health & Safety\n23. Hazardous Substances\n35. Emergency Response \n38. Cyanide\n39. Mercury","• Identify health & safety hazards that may harm employees, contractors and visitors on site.  This includes exposure to:\n   o Moving and mobile equipment (risk of entanglement, crushing, cutting or puncturing)\n   o Electrical equipment and infrastructure including un-isolated cables and switchboards\n   o Explosive and corrosive substances\n   o Gases and liquids under high pressure\n   o Poor housekeeping or poorly laid out work places (risk of slips, trips and falls)\n   o Poor manual handling and ergonomics\n   o Toxic fumes or atmospheres that may lead to suffocation\n   o Chemicals and hazardous wastes\n   o Other hazardous substances such as asbestos\n   o Gases, vapours, fumes or dusts\n   o Noise and vibration\n   o Radiation\n   o Work related illnesses including stress\n   o Use and management of cyanide (Mining sector only)\n   o Use and management of mercury (Mining sector only)\n• How experienced are employees and personnel about proper use of plant and equipment?\n• Are there adequate first aid, and emergency response resources?  Is PPE available and properly used?\n• What are the local health and safety laws regarding workplace environments?"]
[null,"Human Rights","6. Human Rights\n7. Sourcing from ASM\n11. Security\n18. Forced Labour","5. Business Partners\n16. Discipline and Grievance Procedures\n17. Child Labour\n19. Freedom of Association and Collective Bargaining\n20. Non-Discrimination","• Identify risks associated with responsible human rights including:\n   o Humanitarian law\n   o Degrading treatment including harassment and bullying (physical, emotional and mental)\n   o Non-discrimination and diversity\n   o Hiring Child Labour\n   o Exploitation of children or reinforcing prejudices and stigmatising people or groups in your advertisements \n   o Special processes to manage the rights and wellbeing of employees under 18 years of age\n   o Hiring Forced Labour (such as bonded, indentured or prison labour)\n   o Collective bargaining\n   o Freedom of association and right of peaceful assembly\n   o Complaints and Grievance mechanisms\n   o Risks to personnel from security scenarios and security personnel\n• Review Human Rights performance of Business Partners"]
[null,"Labour Rights","18. Forced Labour","13. General Employment Terms\n14. Working Hours\n15. Remuneration\n16. Discipline and Grievance Procedures\n17. Child Labour\n19. Freedom of Association and Collective Bargaining\n20. Non-Discrimination","• Identify risks associated with labour rights and working conditions including:\n   o Non-discrimination and diversity\n   o Hiring Child Labour\n   o Exploitation of children or reinforcing prejudices and stigmatising people or groups in your advertisements \n   o Hiring Forced Labour (such as bonded, indentured or prison labour)\n   o Degrading treatment including harassment and bullying (physical, emotional and mental)\n   o Collective bargaining\n   o Freedom of association and right of peaceful assembly\n   o Fair remuneration and deductions\n   o Leave entitlements and rest breaks\n   o Privacy and  confidentiality of employee information and records\n   o General Employment Terms and conditions\n   o Encouraging work life balance\n   o Advertising that promotes sexualisation of children and sexist depiction of women\n   o Complaints and Grievance mechanisms\n   o Employee stress at work\n   o Employee Assistance Programs including access to medical and well-being services or information\n   o Risks to personnel from security scenarios and security personnel\n• Are there any special processes to manage the rights and wellbeing of:\n   o employees under 18 years of age\n   o expectant mothers\n   o workers with disabilities\n\n"]
[null,"Legal and General Business",null,"1. Legal Compliance\n2. Policy and Implementation\n3. Reporting\n4. Financial Accounts\n29. Extractive Industries Transparency Initiative","• What are the legal obligations necessary to maintain licence to operate?\n• Are there any new or pending changes to legal requirements that may affect the business?\n• Look at compliance factors including:\n   o Access to information and advice\n   o Resources for compliance\n   o Cost of compliance\n• Review business management systems and their ability to ensure conformance with the RJC Code of Practices.\n• Are the systems:\n   o Effective and reliable   \n   o New and untested\n   o Communicated to and understood by employees and contractors\n• Do these systems include processes for accurate and timely reporting, including:\n   o Reporting to RJC   \n   o Reporting to other stakeholders including regulatory bodies   \n   o EITI reporting (Mining sector only)   \n• Are business financial accounts and records properly maintained and regularly reviewed?"]
[null,"Supply Chain","7. Sourcing from ASM\n9. Bribery and Facilitation Payments\n10. Money Laundering and Finance of Terrorism\n","5. Business Partners\n12. Provenance Claims","• Identify risks associated with responsible supply chains:\n   o sourcing Diamonds, Gold or Platinum Group Metals from an ASM\n   o sourcing Diamonds, Gold or Platinum Group Metals from a supplier in a conflict affected area\n   o Bribery and facilitation payments\n   o Cash and cash like transaction\n   o Finance of Terrorism\n   o Risks to of supply or product theft, damage or substitution\n • Review business processes and performance relevant to the nature of the relationship between the Member and the Business Partner, taking into account:\n   o The volume and/or profile of the business between the two companies;\n   o The complexity of the services to be conducted;\n   o The need to handle or generate hazardous materials and waste;\n   o Previous performance;\n   o Potential impact on the Members’ own practices (including its reputation).\n"]

{"sheet":"Risk Reduction Action Message","index":10,"n_rows":16,"n_cols":7,"rows_kept":16,"cut":false,"hidden":true,"merged":[[6,4,6,6],[8,2,11,2],[12,2,15,2]]}
["",null,"Recommended Message for Risk Reduction Action Plan"]
[null,null,"The following table outlines the message generated in the Risk Assessment worksheet based on responses provided for:"]
[null,null,"- Risk Control Effectiveness (Reliable, Intermittent, Unreliable or No Control)"]
[null,null,"- Risk Rating (Low, Moderate, High or Extreme)"]
[null,null,"- Risk Acceptability (Yes or No)"]
[]
[null,null,"Action Plan Message",null,"Control Effectiveness"]
[null,null,"Acceptability","Risk Rating","Reliable","Intermittent","Unreliable or No Control"]
[null,null,"Yes","Low","No further action is required unless a change to the business or to the control effectiveness escalates the risk rating.","No further action is required unless a change to the business or to the control effectiveness escalates the risk rating.","No further action is required unless a change to the business or to the control effectiveness escalates the risk rating."]
[null,null,null,"Moderate","No further action is required unless a change to the business or to the control effectiveness escalates the risk rating. ","No further action is required unless a change to the business or to the control effectiveness escalates the risk rating. However, the development of more reliable controls could be considered.","No further action is required unless a change to the business or to the control effectiveness escalates the risk rating. However, the development of more reliable controls could be considered."]
[null,null,null,"High","An action plan should be developed to reduce the risk rating.  Ensure existing controls are maintained, personnel are competent and that the risk remains acceptable.","An action plan should be developed to reduce the risk rating.  Ensure existing controls are maintained, personnel are competent and that the risk remains acceptable.","Develop an action plan to implement more effective and reliable controls to reduce the risk rating.  Ensure personnel are competent and periodically check and review  risks to confirm that the risk remains acceptable."]
[null,null,null,"Extreme","Consideration should be given to stopping the activity until effective and reliable controls have been developed and the risk rating is reduced. ","Extreme risks with intermittent controls should not be acceptable to the business and the activity should stop until effective and reliable controls have been developed and the risk rating is reduced.","Extreme risks with unreliable or no controls should not be acceptable to the business and the activity should immediately stop until effective and reliable controls have been developed and the risk rating is reduced."]
[null,null,"No","Low","An action plan should be developed to ensure the risk becomes acceptable. Ensure existing controls are maintained, personnel are competent and that the risk rating remains Low.","An action plan should be developed to ensure the risk becomes acceptable. Ensure existing controls are maintained, personnel are competent and that the risk rating remains Low.","An action plan should be developed to ensure the risk becomes acceptable. Ensure existing controls are maintained, personnel are competent and that the risk rating remains Low."]
[null,null,null,"Moderate","Develop an action plan to implement more effective and reliable controls to reduce the risk rating and to ensure the risk becomes acceptable. Ensure existing controls are maintained, personnel are competent and that the risk rating does not escalate.","Develop an action plan to implement more effective and reliable controls to reduce the risk rating and to ensure the risk becomes acceptable. Ensure existing controls are maintained, personnel are competent and that the risk rating does not escalate.","Develop an action plan to implement more effective and reliable controls to reduce the risk rating and to ensure the risk becomes acceptable. Ensure existing controls are maintained, personnel are competent and that the risk rating does not escalate."]
[null,null,null,"High","Consideration should be given to stopping this activity until the risk is acceptable.  Develop an action plan to implement more effective and reliable controls to reduce the risk rating and to ensure the risk becomes acceptable.","Consideration should be given to stopping this activity until the risk is acceptable.  Develop an action plan to implement more effective and reliable controls to reduce the risk rating and to ensure the risk becomes acceptable.","Consideration should be given to stopping this activity until the risk is acceptable.  Develop an action plan to implement more effective and reliable controls to reduce the risk rating and to ensure the risk becomes acceptable."]
[null,null,null,"Extreme","Immediately stop the activity until additional controls are implemented, the risk rating is reduced and the risk is accepted.","Immediately stop the activity until additional controls are implemented, the risk rating is reduced and the risk is accepted.","Immediately stop the activity until additional controls are implemented, the risk rating is reduced and the risk is accepted."]

{"sheet":"Revision Status","index":11,"n_rows":11,"n_cols":3,"rows_kept":11,"cut":false,"hidden":true,"merged":[]}
[]
[]
["Revision Status Sheet"]
[]
[]
["Risk Assessment Toolkit (T008_2013)"]
["Revision Status"]
[]
[]
["Date","Revision","Comment/Change Summary"]
["2013-11-18",0,"First issue."]

{"sheet":"Reference","index":12,"n_rows":40,"n_cols":7,"rows_kept":40,"cut":false,"hidden":true,"merged":[[15,2,18,2],[13,4,13,6],[19,2,22,2],[30,4,30,6]]}
["",null,"Reference Sheet"]
[null,null,"Do Not Delete"]
[null,null,"Only change white cells"]
[null,null,"Type","Control","Risk Rating","Acceptability"]
[null,null,"Business Products","Reliable","Low","Yes"]
[null,null,"Community and Reputation","Intermittent","Moderate","No"]
[null,null,"Environment","Unreliable or No Control","High"]
[null,null,"Health and Safety",null,"Extreme"]
[null,null,"Human Rights"]
[null,null,"Labour Rights"]
[null,null,"Legal and General Business"]
[null,null,"Supply Chain"]
[]
[null,null,"Action Plan Message",null,"Control Effectiveness"]
[null,null,"Acceptability","Risk Rating","Reliable","Intermittent","Unreliable or No Control"]
[null,null,"Yes","Low","No further action is required unless a change to the business or to the control effectiveness escalates the risk rating.","No further action is required unless a change to the business or to the control effectiveness escalates the risk rating.","No further action is required unless a change to the business or to the control effectiveness escalates the risk rating."]
[null,null,null,"Moderate","No further action is required unless a change to the business or to the control effectiveness escalates the risk rating. ","No further action is required unless a change to the business or to the control effectiveness escalates the risk rating. However, the development of more reliable controls could be considered.","No further action is required unless a change to the business or to the control effectiveness escalates the risk rating. However, the development of more reliable controls could be considered."]
[null,null,null,"High","An action plan should be developed to reduce the risk rating.  Ensure existing controls are maintained, personnel are competent and that the risk remains acceptable.","An action plan should be developed to reduce the risk rating.  Ensure existing controls are maintained, personnel are competent and that the risk remains acceptable.","Develop an action plan to implement more effective and reliable controls to reduce the risk rating.  Ensure personnel are competent and periodically check and review  risks to confirm that the risk remains acceptable."]
[null,null,null,"Extreme","Consideration should be given to stopping the activity until effective and reliable controls have been developed and the risk rating is reduced. ","Extreme risks with intermittent controls should not be acceptable to the business and the activity should stop until effective and reliable controls have been developed and the risk rating is reduced.","Extreme risks with unreliable or no controls should not be acceptable to the business and the activity should immediately stop until effective and reliable controls have been developed and the risk rating is reduced."]
[null,null,"No","Low","An action plan should be developed to ensure the risk becomes acceptable. Ensure existing controls are maintained, personnel are competent and that the risk rating remains Low.","An action plan should be developed to ensure the risk becomes acceptable. Ensure existing controls are maintained, personnel are competent and that the risk rating remains Low.","An action plan should be developed to ensure the risk becomes acceptable. Ensure existing controls are maintained, personnel are competent and that the risk rating remains Low."]
[null,null,null,"Moderate","Develop an action plan to implement more effective and reliable controls to reduce the risk rating and to ensure the risk becomes acceptable. Ensure existing controls are maintained, personnel are competent and that the risk rating does not escalate.","Develop an action plan to implement more effective and reliable controls to reduce the risk rating and to ensure the risk becomes acceptable. Ensure existing controls are maintained, personnel are competent and that the risk rating does not escalate.","Develop an action plan to implement more effective and reliable controls to reduce the risk rating and to ensure the risk becomes acceptable. Ensure existing controls are maintained, personnel are competent and that the risk rating does not escalate."]
[null,null,null,"High","Consideration should be given to stopping this activity until the risk is acceptable.  Develop an action plan to implement more effective and reliable controls to reduce the risk rating and to ensure the risk becomes acceptable.","Consideration should be given to stopping this activity until the risk is acceptable.  Develop an action plan to implement more effective and reliable controls to reduce the risk rating and to ensure the risk becomes acceptable.","Consideration should be given to stopping this activity until the risk is acceptable.  Develop an action plan to implement more effective and reliable controls to reduce the risk rating and to ensure the risk becomes acceptable."]
[null,null,null,"Extreme","Immediately stop the activity until additional controls are implemented, the risk rating is reduced and the risk is accepted.","Immediately stop the activity until additional controls are implemented, the risk rating is reduced and the risk is accepted.","Immediately stop the activity until additional controls are implemented, the risk rating is reduced and the risk is accepted."]
[]
[null,null,"Look-Up Refence","Control Effectiveness","Array","Risk Rating","Array"]
[null,null,null,"Reliable",1,"Low",1]
[null,null,null,"Intermittent",2,"Moderate",2]
[null,null,null,"Unreliable or No Control",3,"High",3]
[null,null,null,null,null,"Extreme",4]
[]
[null,null,"Action Plan Criteria",null,"Control Effectiveness"]
[null,null,"Acceptability","Risk Rating","Reliable","Intermittent","Unreliable or No Control"]
[null,null,"Yes","Low","Do Not Transfer","Do Not Transfer","Do Not Transfer"]
[null,null,"Yes","Moderate","Do Not Transfer","Do Not Transfer","Do Not Transfer"]
[null,null,"Yes","High","Transfer","Transfer","Transfer"]
[null,null,"Yes","Extreme","Transfer","Transfer","Transfer"]
[null,null,"No","Low","Transfer","Transfer","Transfer"]
[null,null,"No","Moderate","Transfer","Transfer","Transfer"]
[null,null,"No","High","Transfer","Transfer","Transfer"]
[null,null,"No","Extreme","Transfer","Transfer","Transfer"]