hubungi : 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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Risk Management
Risk Management
By : Kanaidi, SE., M.Si
kanaidi@yahoo.com
©UNCTAD 2000 1

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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
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What is Risk ?
What is Risk ?
Definisi Konseptual RESIKO
Kejadian masa yg akan datang
Melibatkan perubahan
Melibatkan pilihan & ketidakpastian
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• 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
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RESIKO
PROYE
K
RESIKO RESIKO
BISNIS TEKNIS
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– 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.
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“Bila Anda tidak aktif menyerang Resiko,
maka mereka Resiko yang akan aktif
menyerang Anda”
“Tom Gilb”
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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
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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
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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
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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
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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
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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
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Who uses Risk Management?
Who uses Risk Management?
Risk Management is
now an integral part of business
planning.
Next
Next
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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
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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
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‘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
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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
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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
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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
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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
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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
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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
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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
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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
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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

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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
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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
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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
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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
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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
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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
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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
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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
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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
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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
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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
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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
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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
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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
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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
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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
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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
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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
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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
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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
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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
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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
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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
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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

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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
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