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End                                        End                      Risk Management                      Risk ManagementBy...
End                                            End       What is Risk & Risk Management?       What is Risk & Risk Managem...
End                                            End                 What is Risk ?                 What is Risk ?     Defin...
End                                                 End  • Peter Drucker:       untuk mengambil resiko yang tepat ada 3   ...
End                                          End                        RESIKO                        PROYE               ...
End                                                 End        – Resiko yg sudah diketahui        diketahui dr evaluasi s...
End                                                 End      “Bila Anda tidak aktif menyerang Resiko,         maka mereka ...
End                                                            End               IDENTIFIKASI RESIKO  • Merupakan usaha SI...
End                                            End        CHECKLIST ITEM RISIKO          FOKUS IDENTIFIKASI RISIKO:      ...
End                                                     End               What is Risk Management?               What is R...
End                                                        End                What is Risk Management?                What...
End                                                     End               Who uses Risk Management?               Who uses...
End                                                         End               Who uses Risk Management?               Who ...
End                                                    End               Who uses Risk Management?               Who uses ...
End                                                End          How is Risk Management used?          How is Risk Manageme...
End                                            End        The basic process steps are:                 1. Establish the co...
End                                                    End        ‘Risk’ is dynamic and subject to constant         change...
End                                                         End        The Risk Management process:                   1. E...
End                                                           End        The Risk Management process:                     ...
End                                                     End        The Risk Management process:                     3. Ana...
End                                                        End        The Risk Management process:                     4. ...
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End                                                         End        The Risk Management process:                   5. T...
End                                                        End        The Risk Management process:                  6. Mon...
End                                                      End        The Risk Management process:                6. Monitor...
End                                                                                                End        The Risk Man...
End                                                       End               Risk Management in Customs               Risk ...
End                                                     End               Risk Management in Customs               Risk Ma...
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End                                                      End               Risk Management in Customs               Risk M...
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End                                                     End               Risk Management in Customs               Risk Ma...
End                                                     End           How do you use it in Customs?           How do you u...
End                                                       End           How do you use it in Customs?           How do you...
End                                                     End    Who does the Risk Assessment?    Who does the Risk Assessme...
End                                                           End   Sources of information for Risk Assessments   Sources ...
End                                                              End     Evaluate the risks     Evaluate the risks        ...
End                                                     End     Evaluate the risks     Evaluate the risks           You ne...
End                                                                                         End     Evaluate the risks    ...
End                                                         End     Treating the risks     Treating the risks           Lo...
End                                                 End     Treating the risks     Treating the risks               Develo...
End                                                        End     Treating the risks     Treating the risks        A comm...
End                                                           End     Treating the risks     Treating the risks        Ris...
End                                                         End     Treating the risks     Treating the risks        Using...
End                                                          End     Treating the risks     Treating the risks            ...
End                                                        End      Monitor & Review      Monitor & Review        The init...
End                                                             End               Using Risk Management               Usin...
End                                                               End               Using Risk Management               Us...
End                                                          End                This presentation endeavors to cover      ...
End                                                                                  End      Contact Us :       Ω Mapping...
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Risk Management_TRAINING

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Kanaidi, SE., M.Si (Penulis “Buku PERIKLANAN”, Service Quality and Motivation Trainer, Dosen Marketing Management, Praktisi Bisnis)
e-mail :kana_ati@yahoo.com atau kanaidi@yahoo.com atau kanaidi@poltekpos.ac.id
HP. 08122353284

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    Kanaidi, SE., M.Si (Penulis Buku, Service Quality and Motivation Trainer, Dosen Marketing Management, Praktisi Bisnis)
    e-mail :kana_ati@yahoo.com atau kanaidi@poltekpos.ac.id
    HP. 08122353284
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  • Transcript of "Risk Management_TRAINING"

    1. 1. End End Risk Management Risk ManagementBy : Kanaidi, SE., M.Si kanaidi@yahoo.com ©UNCTAD 2000 1
    2. 2. End End What is Risk & Risk Management? What is Risk & Risk Management? Who uses Risk Management? Who uses Risk Management? How is Risk Management used? How is Risk Management used? Risk Management in Customs Risk Management in Customs How do you use it in Customs? How do you use it in Customs? Next Next©UNCTAD 2000 2
    3. 3. End End What is Risk ? What is Risk ? Definisi Konseptual RESIKO Kejadian masa yg akan datang Melibatkan perubahan Melibatkan pilihan & ketidakpastian©UNCTAD 2000 3
    4. 4. End End • Peter Drucker: untuk mengambil resiko yang tepat ada 3 hal yang harus dilakukan : identifikasi semua resiko yg ada eliminasi resiko yg tidak berpotensi minimalkan segala resiko yg ada©UNCTAD 2000 4
    5. 5. End End RESIKO PROYE K RESIKO RESIKO BISNIS TEKNIS©UNCTAD 2000 5
    6. 6. End End – Resiko yg sudah diketahui diketahui dr evaluasi selama pengerjaan proyek – Resiko yg dapat diramalkan diketahui dr pengalaman project sebelumnya – Resiko yg tidak diharapkan  belum terjadi krn mungkin sebelumnya sgt sulit diidentifikasi.©UNCTAD 2000 6
    7. 7. End End “Bila Anda tidak aktif menyerang Resiko, maka mereka Resiko yang akan aktif menyerang Anda” “Tom Gilb”©UNCTAD 2000 7
    8. 8. End End IDENTIFIKASI RESIKO • Merupakan usaha SISTEMATIS untuk menentukan ancaman thdp rencana proyek. • 2 JENIS Resiko : 1. Resiko GENERIK ancaman potensial dr setiap proyek PL 2. Resiko PRODUK SPESIFIK ciri khusus apa dr proyek/produk ini yg mengancam rencana proyek kita? Metode identifikasi Resiko  CHECKLIST ITEM RESIKO©UNCTAD 2000 8
    9. 9. End End CHECKLIST ITEM RISIKO  FOKUS IDENTIFIKASI RISIKO: 1. Ukuran Produk 2. Pengaruh Bisnis 3. Karakteristik Pelanggan 4. Definisi Proses 5. Lingkungan Pengembangan 6. Teknologi yang dibangun 7. Ukuran dan Pengalaman Staff©UNCTAD 2000 9
    10. 10. End End What is Risk Management? What is Risk Management? • Good management practice • Process steps that enable improvement in decision making • A logical and systematic approach • Identifying opportunities • Avoiding or minimising losses Next Next©UNCTAD 2000 10
    11. 11. End End What is Risk Management? What is Risk Management? • Risk Management is the name given to a logical and systematic method of identifying, analysing, treating and monitoring the risks involved in any activity or process. • Risk Management is a methodology that helps managers make best use of their available resources Next Next©UNCTAD 2000 11
    12. 12. End End Who uses Risk Management? Who uses Risk Management? Risk Management • Finance and • Finance and practices are widely used Investment Investment in public and the private • Insurance • Insurance sectors, covering a wide range of activities or • Health Care • Health Care operations. • Public • Public These include: Institutions Institutions • Governments • Governments Next Next©UNCTAD 2000 12
    13. 13. End End Who uses Risk Management? Who uses Risk Management? • Effective Risk Management is a recognised and valued skill. • Educational institutions have formal study courses and award degrees in Risk Management. • The Risk Management process is well established. (International RM process standards.) Next Next©UNCTAD 2000 13
    14. 14. End End Who uses Risk Management? Who uses Risk Management? Risk Management is now an integral part of business planning. Next Next©UNCTAD 2000 14
    15. 15. End End How is Risk Management used? How is Risk Management used? The Risk Management process steps are a There are generic guide for any organisation, 7 steps regardless of the in the RM process type of business, activity or function. Next Next©UNCTAD 2000 15
    16. 16. End End The basic process steps are: 1. Establish the context 1. Establish the context 2. Identify the risks 2. Identify the risks 3. Analyse the risks 3. Analyse the risks 4. Evaluate the risks 4. Evaluate the risks 5. Treat the risks 5. Treat the risks Next Next©UNCTAD 2000 16
    17. 17. End End ‘Risk’ is dynamic and subject to constant change, so the process includes continuing: 6. Monitoring and review 6. Monitoring and review and 7. Communication & consultation 7. Communication & consultation Next Next©UNCTAD 2000 17
    18. 18. End End The Risk Management process: 1. Establish the context 1. Establish the context The strategic and organisational context in which risk management will take place. For example, the nature of your business, the risks inherent in your business and your priorities. Communicate & consult Communicate & consult Next Next©UNCTAD 2000 18
    19. 19. End End The Risk Management process: 2. Identify the risks 2. Identify the risks Defining types of risk, for instance, ‘Strategic’ risks to the goals and objectives of the organisation. • Identifying the stakeholders, (i.e.,who is involved or affected). • Past events, future developments. Monitor and review Monitor and review Communicate & consult Communicate & consult Next Next©UNCTAD 2000 19
    20. 20. End End The Risk Management process: 3. Analyse the risks 3. Analyse the risks How likely is the risk event to happen? (Probability and frequency?) What would be the impact, cost or consequences of that event occurring? (Economic, political, social?) Monitor and review Monitor and review Communicate & consult Communicate & consult Next Next©UNCTAD 2000 20
    21. 21. End End The Risk Management process: 4. Evaluate the risks 4. Evaluate the risks Rank the risks according to management priorities, by risk category and rated by likelihood and possible cost or consequence. Determine inherent levels of risk. Monitor and review Monitor and review Communicate & consult Communicate & consult Next Next©UNCTAD 2000 21
    22. 22. End End The Risk Management process: 5. Treat the risks 5. Treat the risks Develop and implement a plan with specific counter-measures to address the identified risks. Consider: • Priorities (Strategic and operational) • Resources (human, financial and technical) • Risk acceptance, (i.e., low risks) Next Next©UNCTAD 2000 22
    23. 23. End End The Risk Management process: 5. Treat the risks ... 5. Treat the risks ... Document your risk management plan and describe the reasons behind selecting the risk and for the treatment chosen. Record allocated responsibilities, monitoring or evaluation processes, and assumptions on residual risk. Monitor and review Monitor and review Communicate & consult Communicate & consult Next Next©UNCTAD 2000 23
    24. 24. End End The Risk Management process: 6. Monitor and review 6. Monitor and review In identifying, prioritising and treating risks, organisations make assumptions and decisions based on situations that are subject to change, (e.g., the business environment, trading patterns, or government policies). Risk Management policies and decisions Risk Management policies and decisions must be regularly reviewed. must be regularly reviewed. Communicate & consult Communicate & consult Next Next©UNCTAD 2000 24
    25. 25. End End The Risk Management process: 6. Monitor and review ... 6. Monitor and review ... Risk Managers must monitor activities and processes to determine the accuracy of planning assumptions and the effectiveness of the measures taken to treat the risk. Methods can include data evaluation, audit, compliance measurement. 7. Communicate & consult 7. Communicate & consult Next Next©UNCTAD 2000 25
    26. 26. End End The Risk Management process: ltatiion t on consu lta Establish the context Establish the context eviiew onsu ew nd rrev Identify the risks Identify the risks n& c cation & a d ing a n Analyse the risks Analyse the risks uniicatio torring Evaluate the risks Evaluate the risks Moniito Comm un Mon Comm Treat the risks Treat the risks Next Next©UNCTAD 2000 26
    27. 27. End End Risk Management in Customs Risk Management in Customs Customs administrations have turned increasingly to Risk Management as an effective means of meeting national objectives. Administrations provide facilitation while maintaining control over the international movement of goods and persons. Risk management helps in matching Customs priorities to resources. Next Next©UNCTAD 2000 27
    28. 28. End End Risk Management in Customs Risk Management in Customs International Organisations encourage and support the adoption of modern Customs control techniques, using Risk Management principles., e.g., •WTO/Kyoto Convention. •APEC Sub-Committee on Customs Procedures. •Transport Industry representative bodies. Next Next©UNCTAD 2000 28
    29. 29. End End Risk Management in Customs Risk Management in Customs Risk management within Customs can be strategic, operational or tactical. Strategic: Risks to Strategic: Risks to Customs goals and objectives, Customs goals and objectives, e.g.,prohibitions and e.g.,prohibitions and restrictions, (social or restrictions, (social or economic), health, economic), health, revenue, environment. revenue, environment. -- usually longer term strategies usually longer term strategies Next Next©UNCTAD 2000 29
    30. 30. End End Risk Management in Customs Risk Management in Customs Risk management within Customs can be strategic, operational or tactical. Operational: Decisions Operational: Decisions and action plans and action plans on measures taken to deal on measures taken to deal with the assessed risks. with the assessed risks. Deployment of resources; Deployment of resources; monitoring and review. monitoring and review. -- medium term strategies medium term strategies Next Next©UNCTAD 2000 30
    31. 31. End End Risk Management in Customs Risk Management in Customs Risk management within Customs can be strategic, operational or tactical. Tactical: Used by Tactical: Used by officers at their workplace, officers at their workplace, to deal with immediate to deal with immediate situations, working within situations, working within set parameters and set parameters and to approved procedures. to approved procedures. -- short term strategies short term strategies Next Next©UNCTAD 2000 31
    32. 32. End End Risk Management in Customs Risk Management in Customs Why you should use Risk Management: Why you should use Risk Management: • Economic benefits, by facilitating the movement of goods, ships, aircraft and people – when rated low risk. • Makes more effective use of existing skills and experience – giving better results. • Improves the quality of Customs controls – information and accountability. Next Next©UNCTAD 2000 32
    33. 33. End End Risk Management in Customs Risk Management in Customs Why you should use Risk Management: Why you should use Risk Management: The process helps Administrations focus on priorities and in decisions on deploying limited resources to deal with the highest risks. Next Next©UNCTAD 2000 33
    34. 34. End End How do you use it in Customs? How do you use it in Customs? Where do you start? Where do you start? The first step is to look at your Customs context. • What is the role of Customs? • What are your national priorities and the expectations of the government and the public? • What is the nature of your operational environment? Next Next©UNCTAD 2000 34
    35. 35. End End How do you use it in Customs? How do you use it in Customs? The next steps in the Risk Management process are to:- • Identify the risks • Analyse the risks; and • Evaluate the risks, … but, if you are just starting on Risk Management planning: Who does this? Who does this?Where does the information come from?Where does the information come from? Next Next©UNCTAD 2000 35
    36. 36. End End Who does the Risk Assessment? Who does the Risk Assessment? Responsibilities must be allocated: •Appoint a Risk Management champion with appropriate qualifications, including experience and analytical skills. •Form a Risk Management Committee, representative of operational areas. •Conduct Risk Management Workshops. •Determine operating procedures. Next Next©UNCTAD 2000 36
    37. 37. End End Sources of information for Risk Assessments Sources of information for Risk Assessments 1. Identify commodity or control risks; e.g., high duty rates or quantity controls, the demand for prohibited goods, such as drugs, pornography, traffic in CITES wildlife. 2. Research existing databases and records on commodity and trader histories. 3. Evaluate current procedures to identify potential control weaknesses. Next Next©UNCTAD 2000 37
    38. 38. End End Evaluate the risks Evaluate the risks After identifying and analysing the risks, you can evaluate. • What is the likelihood of the risk event occurring? ••Extreme Extreme ••Almost certain Almost certain ••Very high Very high ••Likely Likely What is the ••Moderate Moderate What is the ••Moderate Moderate consequence ••Low consequence Low ••Unlikely Unlikely if the risk if the risk ••Negligible? Negligible? ••Rare? Rare? event event occurs? occurs? Next Next©UNCTAD 2000 38
    39. 39. End End Evaluate the risks Evaluate the risks You need to describe or to quantify exactly what the ‘Likelihood’ and ‘Consequence’ terms means to you. This helps in ensuring a consistent approach in future risk assessment and review and monitoring. It promotes a common understanding within the Administration. Next Next©UNCTAD 2000 39
    40. 40. End End Evaluate the risks Evaluate the risks After establishing ‘Likelihood’ and ‘Consequence’ you can use a table like this to set a level of risk. Extreme Very high Moderate Low Negligible Almost Severe Severe High Major Moderate certain Likely Severe High Major Significant Moderate Moderate High Major Significant Moderate Low Unlikely Major Significant Moderate Low Very low Rare Significant Moderate Low Very low Very Low You must define what these risk levels mean to you. You must define what these risk levels mean to you. Next Next©UNCTAD 2000 40
    41. 41. End End Treating the risks Treating the risks Low and very low level risks can normally be accepted, subject to on-going monitoring. All other risks are included in the management plan. The plan catalogues the risks, the level of risk, and describes a treatment. The treatment is the action proposed, (and perhaps the resources allocated). Next Next©UNCTAD 2000 41
    42. 42. End End Treating the risks Treating the risks Development of Development of Targeted Targeted Risk Profiles Risk Profiles selections selections Physical Physical Industry audits Industry audits examination examination Random Random Compliance Compliance examinations examinations improvement improvement Next Next©UNCTAD 2000 42
    43. 43. End End Treating the risks Treating the risks A common method of treating risks is to develop risk profiling and targeting systems. This means – in the case of goods – selecting transactions for specific checks, according to trader, agent, origin of goods, commodity code, duty rate, routing, value, etc. Next Next©UNCTAD 2000 43
    44. 44. End End Treating the risks Treating the risks Risk Profiles are developed as a means of putting risk management into practice at the Operational level. A Risk Profile is normally specific to a A Risk Profile is normally specific to a Customs office. It describes: Customs office. It describes: •• The risk areas The risk areas •• Assessment of the level of risk Assessment of the level of risk •• The countermeasures adopted The countermeasures adopted •• Activation date and review dates Activation date and review dates •• Means of measuring effectiveness. Means of measuring effectiveness. Next Next©UNCTAD 2000 44
    45. 45. End End Treating the risks Treating the risks Using the profile information, consignments of goods, means of transport and people are targeted. The profile information is used as the basis for Selection Criteria. Documents received and Documents received and processed by Customs, i.e., cargo processed by Customs, i.e., cargo Selection Selection and passenger manifests, goods and passenger manifests, goods Criteria Criteria declarations, are compared against declarations, are compared against the Selection Criteria the Selection Criteria Next Next©UNCTAD 2000 45
    46. 46. End End Treating the risks Treating the risks Selection Selection Documents Documents Selected Selected Criteria Criteria and Data and Data movements movements Selections are made by manual checks of documents, or by using automated systems. Selected transactions or movements are subject to the actions detailed in the profile or plan, e.g., physical examination, audit, etc. Next Next©UNCTAD 2000 46
    47. 47. End End Monitor & Review Monitor & Review The initial assessment made of the existence and level of risks must be evaluated on a regular basis. You need to measure the effectiveness of risk profiles and update as necessary. •• Reliable reporting of examination results Reliable reporting of examination results •• Compliance measurement activities Compliance measurement activities •• Feedback from the business community Feedback from the business community •• Results analysis and data comparisons Results analysis and data comparisons Next Next©UNCTAD 2000 47
    48. 48. End End Using Risk Management Using Risk Management The starting point is the Action Plan: 1. Allocate responsibilities, e.g., a Risk Management Champion and a working party. 2. Evaluate how Risk Management processes can be best applied in your national environment. 3. Survey existing skills and do a training needs assessment. 4. Catalogue existing sources of data or information that can help in identifying risks. Next Next©UNCTAD 2000 48
    49. 49. End End Using Risk Management Using Risk Management 5. Flow chart existing processes. 6. Communicate and consult – within Customs, with other Agencies, the trading community and transport industry. 7. Obtain IT tools or set up processes for effectively operating a selectivity system. 8. Provide training in profiling/selectivity skills. 9. Test and gain confidence in the Risk Management process. Next Next©UNCTAD 2000 49
    50. 50. End End This presentation endeavors to cover briefly the concepts and the benefits of using Risk Management practices, particularly within Customs Administrations. The processes and the many control options deserve further study, and many other sources of information on this topic are available. Control AND Facilitation Control AND Facilitation By.. Risk Management End By.. Risk ManagementEnd©UNCTAD 2000 50
    51. 51. End End Contact Us : Ω Mapping Ω Problem Statement Ω Strategic Direction ►►► Conclusion Kanaidi, SE., M.Si (Trainer & Dosen, Penulis Peneliti, dan PeBisnis) e-mail : kana_ati@yahoo.com atau kanaidi@poltekpos.ac.id Telp : 022-2009570 ext.125 Fax : 022-2009568 HP. 0812 2353 284 www.verysuccess.blogspot.com www.ken-kanaidi.blogspot.com www.pemimpin.unggul.com www.google.com “sukses kanaidi” www.formulabisnis.com/?id=ken_kanaidi 51©UNCTAD 2000 51

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