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End End End End About … Risk Risk Management Risk Risk Management Management Management
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End
End
End
About …
Risk
Risk Management
Risk
Risk Management
Management
Management

©UNCTAD 2000

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End End End End What What isis Risk What What isis Risk Risk Management? Risk Management?
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What
What isis Risk
What
What isis Risk
Risk Management?
Risk Management?
Management?
Management?
Who
Who uses
Who
Who uses
uses Risk
Risk Management?
uses Risk
Risk Management?
Management?
Management?
How
How isis Risk
How
How isis Risk
Risk Management
Risk Management
Management used?
Management used?
used?
used?
Risk
Risk Management
Risk
Risk Management
Management inin Customs
Management inin Customs
Customs
Customs
How
How dodo you
How
How dodo you
you use
use itit inin Customs?
you use
use itit inin Customs?
Customs?
Customs?
Next
Next
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Next
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©UNCTAD 2000
End End End End What What isis Risk What What isis Risk Risk Management? Risk Management?
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End
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What
What isis Risk
What
What isis Risk
Risk Management?
Risk Management?
Management?
Management?
• Good management practice
• Process steps that enable improvement
in decision making
• A logical and systematic approach
• Identifying opportunities
• Avoiding or minimising losses
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©UNCTAD 2000
End End End End What What isis Risk What What isis Risk Risk Management? Risk Management?
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What
What isis Risk
What
What isis Risk
Risk Management?
Risk Management?
Management?
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.
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©UNCTAD 2000
End End End End What What isis Risk What What isis Risk Risk Management? Risk Management?
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What
What isis Risk
What
What isis Risk
Risk Management?
Risk Management?
Management?
Management?
Risk Management is a
methodology that helps managers
make best use of their available
resources
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©UNCTAD 2000
End End End End Who Who uses Who Who uses uses Risk Risk Management? uses Risk
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End
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Who
Who uses
Who
Who uses
uses Risk
Risk Management?
uses Risk
Risk Management?
Management?
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
Projects
Projects
Governments
Governments
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©UNCTAD 2000
End End End End Who Who uses Who Who uses uses Risk Risk Management? uses Risk
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End
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End
Who
Who uses
Who
Who uses
uses Risk
Risk Management?
uses Risk
Risk Management?
Management?
Management?
• Effective
Effective Risk
Risk Management
Management
is a recognised and valued skill.
• The Risk Management process is well
established. (International RM process
standards.)
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©UNCTAD 2000
End End End End Who Who uses Who Who uses uses Risk Risk Management? uses Risk
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End
End
End
Who
Who uses
Who
Who uses
uses Risk
Risk Management?
uses Risk
Risk Management?
Management?
Management?
Risk Management is
now an integral part of business
planning and project managemet
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End End End End How How isis Risk How How isis Risk Risk Management Risk Management
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End
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How
How isis Risk
How
How isis Risk
Risk Management
Risk Management
Management used?
Management used?
used?
used?
The Risk Management
process steps are a
There are
generic guide for
any organisation,
regardless of the
77 steps
in the RM
process
type of business,
activity or function.
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End End End End The basic process steps are: Establish the context Establish the context Identify
End
End
End
End
The basic process steps are:
Establish the context
Establish the context
Identify the risks
Identify the risks
Analyse the risks
Analyse the risks
Evaluate the risks
Evaluate the risks
Treat the risks
Treat the risks
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©UNCTAD 2000
End End End End ‘Risk’ is dynamic and subject to constant change, so the process includes
End
End
End
End
‘Risk’ is dynamic and subject to constant
change, so the process includes
continuing:
Monitoring and review
Monitoring and review
and
Communication & consultation
Communication & consultation
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©UNCTAD 2000
End End End End The Risk Management process: Establish the context Establish the context The strategic
End
End
End
End
The Risk Management process:
Establish the context
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
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©UNCTAD 2000
End End End End The Risk Management process: Identify the risks Identify the risks Defining types
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End
End
End
The Risk Management process:
Identify the risks
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
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End End End End The Risk Management process: Analyse the risks Analyse the risks How likely
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End
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The Risk Management process:
Analyse the risks
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
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©UNCTAD 2000
End End End End The Risk Management process: Evaluate the risks Evaluate the risks Rank the
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The Risk Management process:
Evaluate the risks
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
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End End End End The Risk Management process: Treat the risks Treat the risks Develop and
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The Risk Management process:
Treat the risks
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)
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©UNCTAD 2000
End End End End The Risk Management process: Treat the risks Treat the risks Document your
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End
End
End
The Risk Management process:
Treat the risks
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
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©UNCTAD 2000
End End End End The Risk Management process: Monitor and review Monitor and review In identifying,
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End
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The Risk Management process:
Monitor and review
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
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©UNCTAD 2000
End End End End The Risk Management process: Monitor and review Monitor and review Risk Managers
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End
End
End
The Risk Management process:
Monitor and review
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.
Communicate & consult
Communicate & consult
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©UNCTAD 2000
End End End End The Risk Management process: Establish the context Establish the context Identify the
End
End
End
End
The Risk Management process:
Establish the context
Establish the context
Identify the risks
Identify the risks
Analyse the risks
Analyse the risks
Evaluate the risks
Evaluate the risks
Treat the risks
Treat the risks
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©UNCTAD 2000
Monitoring and
and review
review
Monitoring
Communication & & consultation
consultation
Communication
End End End End Risk Risk Management Risk Risk Management Management inin Customs Management inin Customs
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End
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End
Risk
Risk Management
Risk
Risk Management
Management inin Customs
Management inin Customs
Customs
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
Risk management
management helps
helps inin matching
matching Customs
Customs
priorities
priorities toto resources.
resources.
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©UNCTAD 2000
End End End End Risk Risk Management Risk Risk Management Management inin Customs Management inin Customs
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End
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Risk
Risk Management
Risk
Risk Management
Management inin Customs
Management inin Customs
Customs
Customs
International
International Organisations
Organisations encourage
encourage and
and
support
support the
the adoption
adoption ofof modern
modern Customs
Customs
control
control techniques,
techniques, using
using Risk
Risk Management
Management
principles.,
principles., e.g.,
e.g.,
•WTO/Kyoto
WTO/Kyoto Convention.
Convention.
•APEC
APEC Sub-Committee
Sub-Committee onon Customs
Customs
Procedures.
Procedures.
•Transport
Transport Industry
Industry representative
representative bodies.
bodies.
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©UNCTAD 2000
End End End End Risk Risk Management Risk Risk Management Management inin Customs Management inin Customs
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End
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Risk
Risk Management
Risk
Risk Management
Management inin Customs
Management inin Customs
Customs
Customs
Risk
Risk management
management within
within Customs
Customs can
can bebe
strategic,
strategic, operational
operational oror tactical.
tactical.
Strategic:
Strategic:
Strategic:
Strategic:
Risks to
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
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©UNCTAD 2000
End End End End Risk Risk Management Risk Risk Management Management inin Customs Management inin Customs
End
End
End
End
Risk
Risk Management
Risk
Risk Management
Management inin Customs
Management inin Customs
Customs
Customs
Risk
Risk management
management within
within Customs
Customs can
can bebe
strategic,
strategic, operational
operational oror tactical.
tactical.
Operational:
Operational:
Operational:
Operational:
Decisions
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
term strategies
- - medium
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©UNCTAD 2000
End End End End Risk Risk Management Risk Risk Management Management inin Customs Management inin Customs
End
End
End
End
Risk
Risk Management
Risk
Risk Management
Management inin Customs
Management inin Customs
Customs
Customs
Risk
Risk management
management within
within Customs
Customs can
can bebe
strategic,
strategic, operational
operational oror tactical.
tactical.
Tactical:
Tactical:
Tactical:
Tactical:
Used by
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.
term strategies
- short
term strategies
- short
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©UNCTAD 2000
End End End End Risk Risk Management Risk Risk Management Management inin Customs Management inin Customs
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End
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Risk
Risk Management
Risk
Risk Management
Management inin Customs
Management inin Customs
Customs
Customs
Why you should use Risk Management:
Why you should use Risk Management:
• Economic
Economic benefits,
benefits, byby facilitating
facilitating the
the
movement
movement ofof goods,
goods, ships,
ships, aircraft
aircraft and
and
people
people –– when
when rated
rated lowlow risk.
risk.
• Makes
Makes more
more effective
effective use
use ofof existing
existing skills
skills
and
and experience
experience –– giving
giving better
better results.
results.
• Improves
Improves the
the quality
quality ofof Customs
Customs controls
controls ––
information
information and
and accountability.
accountability.
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©UNCTAD 2000
End End End End Risk Risk Management Risk Risk Management Management inin Customs Management inin Customs
End
End
End
End
Risk
Risk Management
Risk
Risk Management
Management inin Customs
Management inin Customs
Customs
Customs
Why you should use Risk Management:
Why you should use Risk Management:
The
The process
process helps
helps Administrations
Administrations
focus
focus onon priorities
priorities and
and inin decisions
decisions onon
deploying
deploying limited
limited resources
resources toto deal
deal with
with
the
the highest
highest risks.
risks.
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©UNCTAD 2000
End End End End How How dodo you How How dodo you you use use itit
End
End
End
End
How
How dodo you
How
How dodo you
you use
use itit inin Customs?
you use
use itit inin Customs?
Customs?
Customs?
Where
Where dodo you
you start?
Where
Where dodo you
you start?
start?
start?
The
The first
first step
step isis toto look
look atat your
your Customs
Customs
context.
context.
• What
What isis the
the role
role ofof Customs?
Customs?
• What
What are
are your
your national
national priorities
priorities and
and the
the
expectations
expectations ofof the
the government
government and
and the
the
public?
public?
• What
What isis the
the nature
nature ofof your
your operational
operational
environment? environment?
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©UNCTAD 2000
End End End End How How dodo you How How dodo you you use use itit
End
End
End
End
How
How dodo you
How
How dodo you
you use
use itit inin Customs?
you use
use itit inin Customs?
Customs?
Customs?
The
The next
next steps
steps inin the
the Risk
Risk Management
Management
process
process are
are to:-
to:-
• Identify
Identify the
the risks
risks
• Analyse
Analyse the
the risks;
risks; and
and
• Evaluate
Evaluate the
the risks,
risks,
…… but,
but, ifif you
you are
are just
just starting
starting onon Risk
Risk
Management
Management planning:
planning:
Who does this?
Who does this?
Where
Where does
does the
the information
come from?
Where
Where does
does the
the information
information come
information come
come from?
from?
from?
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©UNCTAD 2000
End End End End Who Who does the Risk Risk Assessment? Who Who does does the
End
End
End
End
Who
Who does
the Risk
Risk Assessment?
Who
Who does
does the
Assessment?
does the
the Risk
Risk Assessment?
Assessment?
Responsibilities
Responsibilities must
must bebe allocated:
allocated:
•Appoint
Appoint aa Risk
Risk Management
Management champion
champion with
with
appropriate
appropriate qualifications,
qualifications, including
including
experience
experience and
and analytical
analytical skills.
skills.
•Form
Form aa Risk
Risk Management
Management Committee,
Committee,
representative
representative ofof operational
operational areas.
areas.
•Conduct
Conduct Risk
Risk Management
Management Workshops.
Workshops.
•Determine
Determine operating
operating procedures.
procedures.
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©UNCTAD 2000
End End End End Sources Sources ofof information information for for Risk Risk Assessments Sources Sources
End
End
End
End
Sources
Sources ofof information
information for
for Risk
Risk Assessments
Sources
Sources ofof information
for Risk
Risk Assessments
Assessments
information for
Assessments
1.1. Identify
Identify commodity
commodity oror control
control risks;
risks;
e.g.,
e.g., high
high duty
duty rates
rates oror quantity
quantity
controls,
controls, the
the demand
demand for
for prohibited
prohibited
goods,
goods, such
such asas drugs,
drugs, pornography,
pornography,
traffic
traffic inin CITES
CITES wildlife.
wildlife.
2.2. Research
Research existing
existing databases
databases and
and
records
records onon commodity
commodity and
and trader
trader
histories.
histories.
3.3. Evaluate
Evaluate current
current procedures
procedures toto identify
identify
potential
potential control
control weaknesses.
weaknesses.
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©UNCTAD 2000

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End End End End Evaluate Evaluate the the risks Evaluate Evaluate the the risks risks risks
End
End
End
End
Evaluate
Evaluate the
the risks
Evaluate
Evaluate the
the risks
risks
risks
After
After identifying
identifying and
and analysing
analysing
the
the risks,
risks, you
you can
can evaluate.
evaluate.
• What
What isis the
the likelihood
likelihood ofof the
the risk
risk
event
event occurring?
occurring?
•Extreme
•Extreme
Extreme
Extreme
•Almost
Almost certain
•Almost
Almost certain
certain
certain
•Very
•Very
Very high
high
Very high
high
•Likely
•Likely
Likely
Likely
What
What isis the
the
•Moderate
Moderate
What
What isis the
the
•Moderate
Moderate
•Moderate
•Moderate
Moderate
Moderate
consequence
consequence
•Low
consequence
Low
consequence
•Low
Low
•Unlikely
•Unlikely
Unlikely
ifif the
the risk
Unlikely
ifif the
the risk
risk
risk
•Negligible?
•Negligible?
Negligible?
Negligible?
•Rare?
event
event
•Rare?
Rare?
Rare?
event
event
occurs?
occurs?
occurs?
occurs?
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©UNCTAD 2000
End End End End Evaluate Evaluate the the risks Evaluate risks Evaluate the the risks risks
End
End
End
End
Evaluate
Evaluate the
the risks
Evaluate
risks
Evaluate the
the risks
risks
You
You need
need toto describe
describe oror toto quantify
quantify
exactly
exactly what
what the
the ‘Likelihood’
‘Likelihood’ and
and
‘Consequence’
‘Consequence’ terms
terms means
means toto you.
you.
This
This helps
helps inin ensuring
ensuring aa consistent
consistent
approach
approach inin future
future risk
risk assessment
assessment and
and
review
review and
and monitoring.
monitoring.
ItIt promotes
promotes aa common
common understanding
understanding
within
within the
the Administration.
Administration.
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©UNCTAD 2000
End End End End Evaluate Evaluate the the risks Evaluate risks Evaluate the the risks risks
End
End
End
End
Evaluate
Evaluate the
the risks
Evaluate
risks
Evaluate the
the risks
risks
After
After establishing
establishing ‘‘Likelihood
Likelihood’’ and
and
‘‘Consequence
Consequence’’ you
you can
can use
use aa table
table like
like
this
this toto set
set aa level
level ofof risk.
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
You must
must define
define what
what these
risk levels
You
You must
must define
what these
these risk
risk levels
levels mean
mean toto
define what
these risk
levels mean
mean toto
you.
you.
you.
you.
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©UNCTAD 2000

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End End End End Treating Treating the the risks Treating Treating the the risks risks risks
End
End
End
End
Treating
Treating the
the risks
Treating
Treating the
the risks
risks
risks
Low
Low and
and very
very lowlow level
level risks
risks can
can normally
normally
bebe accepted,
accepted, subject
subject toto on-going
on-going
monitoring.
monitoring.
All
All other
other risks
risks are
are included
included inin the
the
management
management plan.
plan.
The
The plan
plan catalogues
catalogues the
the risks,
risks, the
the level
level ofof
risk,
risk, and
and describes
describes aa treatment.
treatment.
The
The treatment
treatment isis the
the action
action proposed,
proposed,
(and
(and perhaps
perhaps the
the resources
resources allocated).
allocated).
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©UNCTAD 2000
End End End End Treating Treating the the risks Treating Treating the the risks risks risks
End
End
End
End
Treating
Treating the
the risks
Treating
Treating the
the risks
risks
risks
Development
Development ofof
Targeted
Development
Development ofof
Targeted
Risk Profiles
selections
Risk Profiles
selections
Physical
Physical
Physical
Physical
Industry audits
Industry audits
examination
examination
examination
examination
Random
Random
Compliance
Random
Random
Compliance
examinations
examinations
improvement
examinations
examinations
improvement
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©UNCTAD 2000
End End End End Treating Treating the the risks Treating risks Treating the the risks risks
End
End
End
End
Treating
Treating the
the risks
Treating
risks
Treating the
the risks
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.
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©UNCTAD 2000
End End End End Treating Treating the the risks Treating the risks risks Treating the risks
End
End
End
End
Treating
Treating the
the risks
Treating
the risks
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.
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©UNCTAD 2000
End End End End Treating Treating the the risks Treating risks Treating the the risks risks
End
End
End
End
Treating
Treating the
the risks
Treating
risks
Treating the
the risks
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 processed
Documents received and processed
by Customs, i.e., cargo and
by Customs, i.e., cargo and
Selection
Selection
passenger manifests, goods
passenger manifests, goods
Criteria
Criteria
declarations, are compared
declarations, are compared
against the Selection Criteria
against the Selection Criteria
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©UNCTAD 2000
End End End End Treating Treating the the risks Treating risks Treating the the risks risks
End
End
End
End
Treating
Treating the
the risks
Treating
risks
Treating the
the risks
risks
Selection
Documents
Selected
Selection
Documents
Selected
Criteria
and Data
movements
Criteria
and Data
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.
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Next
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©UNCTAD 2000
End End End End Monitor Monitor && Review Monitor Monitor && Review Review Review The initial
End
End
End
End
Monitor
Monitor && Review
Monitor
Monitor && Review
Review
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
Reliable reporting
reporting ofof examination
Reliable
Reliable reporting
reporting ofof examination
examination results
results
examination results
results
Compliance
Compliance measurement
Compliance
Compliance measurement
measurement activities
activities
measurement activities
activities
Feedback
Feedback from
Feedback
from the
the business
business community
Feedback from
from the
the business
business community
community
community
Results
Results analysis
data comparisons
Results
Results analysis
analysis and
and data
analysis and
and data
data comparisons
comparisons
comparisons
Next
Next
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©UNCTAD 2000
End End End End Using Using Risk Using Risk Management Using Risk Risk Management Management Management
End
End
End
End
Using
Using Risk
Using
Risk Management
Using Risk
Risk Management
Management
Management
The
The starting
starting point
point isis the
the Action
Action Plan
Plan::
1.1.
Allocate
Allocate responsibilities,
responsibilities, e.g.,
e.g., aa Risk
Risk
Management
Management Champion
Champion and
and aa working
working party.
party.
2.2.
Evaluate
Evaluate how
how Risk
Risk Management
Management processes
processes can
can
bebe best
best applied
applied inin your
your national
national environment.
environment.
3.3. Survey
Survey
existing
existing skills
skills and
and dodo aa training
training needs
needs
assessment.
assessment.
4.4. Catalogue
Catalogue existing
existing
sources
sources ofof data
data oror
information
information that
that can
can help
help inin identifying
identifying risks.
risks.
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Next
Next
Next
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©UNCTAD 2000
End End End End Using Using Risk Using Risk Management Using Risk Risk Management Management Management
End
End
End
End
Using
Using Risk
Using
Risk Management
Using Risk
Risk Management
Management
Management
5.5.
Flow
Flow chart
chart existing
existing processes.
processes.
6.6.
Communicate
Communicate and
and consult
consult –– within
within Customs,
Customs,
with
with other
other Agencies,
Agencies, the
the trading
trading community
community
and
and transport
transport industry.
industry.
7.7.
Obtain
Obtain ITIT tools
tools oror set
set upup processes
processes for
for
effectively
effectively operating
operating aa selectivity
selectivity system.
system.
8.8.
Provide
Provide training
training inin profiling/selectivity
profiling/selectivity skills.
skills.
9.9.
Test
Test and
and gain
gain confidence
confidence inin the
the Risk
Risk
Management
Management process.
process.
Next
Next
Next
Next
43
©UNCTAD 2000
End End End End This This presentation presentation endeavors endeavors toto cover cover briefly briefly the
End
End
End
End
This
This presentation
presentation endeavors
endeavors toto cover
cover
briefly
briefly the
the concepts
concepts and
and the
the benefits
benefits
ofof using
using Risk
Risk Management
Management practices,
practices,
particularly
particularly within
within Customs
Customs
Administrations.
Administrations.
The
The processes
processes and
and the
the many
many control
control
options
options deserve
deserve further
further study,
study, and
and
many
many other
other sources
sources ofof information
information onon
this
this topic
topic are
are available.
available.
Control
Control AND
Control
AND Facilitation
Control AND
AND Facilitation
Facilitation
Facilitation
By
By
By
..
..
..
Risk
Risk Management
By
..
Risk
Risk Management
Management End End End
Management
End
44
©UNCTAD 2000