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Risk Management Lessons

from Outside the United States

Session 6 Slide Deck

Session 6 Slide 6-1

Session Objectives
6.1 Consider how a National Risk Management
Standard Led to an International Standard

6.2 Discuss the ADPC Community-Based Risk

Reduction Process

6.3 Discuss Various Risk Assessment

Techniques Utilized by UN-HABITAT

Session 6 Slide 6-2

Australia and New Zealand
• Similar in terms of:
– Geography
– Social makeup
– Political frameworks
– Agendas (public, policy)
• Collaborate on risk management efforts

Session 6 Slide 6-3

Risk Management: Australia

A systematic process that produces a

range of measures that contribute to the
well-being of communities and the

Session 6 Slide 6-4

Risk Management: New Zealand
The process of considering the social,
economic and political factors involved in risk
analysis; determining the acceptability of
damage and/or disruption that could result
from an event; and then deciding what actions
should be taken to minimize likely damage or

Session 6 Slide 6-5

AS/NZS 4360
• 1993: New South Wales Government Risk
Management Guidelines
• Joint Standards Australia and Standards
New Zealand Technical Committee
– AS/NZS 4360:1995
– AS/NZS 4360:2004
• Communication
• Review/Improve
Session 6 Slide 6-6
AS/NZS RM Methodology
• Risk management:
– “a process that identifies the level of tolerance a
group has for a specific risk”
– used to decide “what to do where risk has been
determined to exist”
• At the center is Communication
– A ‘two-way process”

Session 6 Slide 6-7

AS/NZS Risk Communication
• Acknowledge presence of multiple potential stakeholders
• Identify key stakeholders
• Identify the issues and commence consultation process
• Begin stakeholder analysis and refine through dialogue
• Establish representation group of technical and stakeholder
• Assess stakeholder acceptance of risk including
implications of treating or not treating risk/s
• Establish stakeholder acceptability criteria
• Develop risk communication strategy

Session 6 Slide 6-8

AS/NZS RM Process
• Establish the Context
• Identify Risks
• Analyze Risks
• Assess and Prioritize Risks
• Treat Risks
• Risk Acceptance

Session 6 Slide 6-9

Establish the Context
• Establishes the strategic, organizational and risk
management contexts in which the process will take
• Criteria against which risk measured are established
• Structure of analysis defined
• Involves the following steps:
– Define the problem
– Identify stakeholders
– Developing risk evaluation criteria
– Defining key elements

Session 6 Slide 6-10

Identify Risks
• Identify what, why and how things can arise
as the basis of further analysis
• Characteristics and interaction of the
hazards, the community, and the
environment that form the basis of the
problem to be solved
• Hazard analysis
• Vulnerability analysis
Session 6 Slide 6-11
Analyze Risks
• How likely is the event to happen and what
are the potential consequences and their
– Determine risk controls
– Analyze likelihood
– Analyze consequence

Session 6 Slide 6-12

Assess and Prioritize Risk
• Risk assessment = “the method used to
define the likelihood of harm (probability x
consequence) coming to an individual,
group, or community or the occurrence of
an event as a result of exposure to a
sustenance or a situation.”
• Risks ranked to identify management
Session 6 Slide 6-13
Treat Risks
• Accept and monitor low-priority risks
• For other risks develop and implement a
specific management plan that includes
consideration of funding
• In emergency management, this is typically
referred to as mitigation

Session 6 Slide 6-14

Risk Acceptance
• Develop public awareness programs
• Evaluate implementation process

Session 6 Slide 6-15

ISO 31000:2009
• International Organisation for
• Supported by Australia and New Zealand
• First international risk management
• Similar to AS/NZS 4360:2004

Session 6 Slide 6-16

ISO 31000:2009 Diagram

Session 6 Slide 6-17

AS/NZS / ISO Differences
• Principles of Risk Management
– Risk management creates and protects value
– Risk management is an integral part of all organizational processes
– Risk management is part of decision making
– Risk management explicitly addresses uncertainty
– Risk management is systematic, structured, and timely
– Risk management is based on the best available information
– Risk management is tailored
– Others
• Defines risk to be “the effect of uncertainty on objectives”
• Provides guidance on how RM might exist within the
organization or agency performing it
Session 6 Slide 6-18
• Asian Disaster Preparedness Center
• Regional emergency management technical
assistance and training resource center
• Created in response to an expressed need to
assist countries in the region with
formulating policies and developing
capabilities in all aspects of disaster
Session 6 Slide 6-19
Community-Based DM
• Top-down RM resulted in ‘poorer outcomes’
• Vulnerable communities most negatively
• Must involve vulnerable people themselves
• Communities feel they are the best judges of
their own vulnerability
• Aim: reduce vulnerabilities and strengthen
people’s capacity to cope with hazards
Session 6 Slide 6-20
Participatory Approach
• Local participatory method works well
because the community members are not
only the primary drivers in the process, but
also the beneficiaries
• Community participation vs. community

Session 6 Slide 6-21

Essential Features
• The community has a central role in long term and short
term disaster management
• Disaster risk or vulnerability reduction is the foundation of
• Risk management is linked to the development process
• Community as a key resource in disaster risk reduction
• Application of multi-sectoral and multi-disciplinary
• CBDM as an involving and dynamic framework

Session 6 Slide 6-22

Tools and Methods

Session 6 Slide 6-23

• Self insurance
• Conducting seasonally based action
• Encouraging long-term investments
• Strengthening social and organizational
support structures
• Making health and sanitation services
available at the community level
• Conducting advocacy and campaigns
Session 6 Slide 6-24
The ADPC Process
• Foundation is Disaster Risk Reduction
• Six sequential stages
– Initiating the disaster risk reduction process
– Community Profiling
– Risk Assessment
– Formulation of Disaster Risk Reduction Plan
– Implementation and Monitoring
– Evaluation and Feedback
Session 6 Slide 6-25
• Mandated by the UN General Assembly to promote
socially and environmentally sustainable towns and cities
with the goal of providing adequate shelter for all
• To help policy-makers and local communities get to grips
with the human settlements and urban issues and find
workable, lasting solutions
• Assessing the Risk of habitats and settlements is central to
the UN-HABITAT Disaster and Risk Management

Session 6 Slide 6-26

UN-HABITAT Techniques
• Access Model
• Computer Assisted Techniques
• Disaster Risk Indexing
• Event Tree Analysis
• Failure Modes and Effects Analysis
• Fault Tree Analysis
• Historical Analysis
• Impact Analysis
• Participatory Analysis
• Pressure and Release Model
• Remote Sensing
• Social Survey
Session 6 Slide 6-27