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About

Risk
Risk Management
Management

UNCTAD 2000

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What
What is
is Risk
Risk Management?
Management?
Who
Who uses
uses Risk
Risk Management?
Management?
How
How is
is Risk
Risk Management
Management used?
used?
Risk
Risk Management
Management in
in Customs
Customs
How
How do
do you
you use
use it
it in
in Customs?
Customs?
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What
What is
is Risk
Risk 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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What
What is
is Risk
Risk 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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What
What is
is Risk
Risk Management?
Management?

Risk Management is a
methodology that helps managers
make best use of their available
resources

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Who
Who uses
uses Risk
Risk Management?
Management?
Risk Management
practices are widely used
in public and the private
sectors, covering a wide
range of activities or
operations.
These include:

Finance
Finance and
and
Investment
Investment
Insurance
Insurance
Health
Health Care
Care
Public
Public
Institutions
Institutions
Governments
Governments
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Who
Who uses
uses Risk
Risk Management?
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.)
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Who
Who uses
uses Risk
Risk Management?
Management?

Risk Management is
now an integral part of business
planning.

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How
How is
is Risk
Risk Management
Management used?
used?
The Risk Management
process steps are a
generic guide for
any organisation,
regardless of the
type of business,
activity or function.

There are

7 steps

in the RM
process

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The basic process steps are:


Establish
Establish the
the context
context
Identify
Identify the
the risks
risks
Analyse
Analyse the
the risks
risks
Evaluate
Evaluate the
the risks
risks
Treat
Treat the
the risks
risks
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Risk is dynamic and subject to constant


change, so the process includes
continuing:

Monitoring
Monitoring and
and review
review
and

Communication
Communication && consultation
consultation
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The Risk Management process:


Establish
Establish the
the context
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
Communicate && consult
consult
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The Risk Management process:


Identify
Identify the
the risks
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
Monitor and
and review
review
Communicate
Communicate && consult
consult
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The Risk Management process:


Analyse
Analyse the
the risks
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
Monitor and
and review
review
Communicate
Communicate && consult
consult
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The Risk Management process:


Evaluate
Evaluate the
the risks
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
Monitor and
and review
review
Communicate
Communicate && consult
consult
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The Risk Management process:


Treat
Treat the
the risks
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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The Risk Management process:


Treat
Treat the
the risks
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
Monitor and
and review
review
Communicate
Communicate && consult
consult
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The Risk Management process:


Monitor
Monitor and
and review
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
Risk Management
Management policies
policies and
and decisions
decisions
must
must be
be regularly
regularly reviewed.
reviewed.

Communicate
Communicate && consult
consult
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The Risk Management process:


Monitor
Monitor and
and review
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
Communicate && consult
consult
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CCoom
mm
muunnic
icaattiioon
n && ccon
onssuullttat
atiioonn

Moonniittoorring a
M
ing anndd rreevviieew
w

The Risk Management process:


Establish
Establish the
the context
context
Identify
Identify the
the risks
risks

Analyse
Analyse the
the risks
risks
Evaluate
Evaluate the
the risks
risks
Treat
Treat the
the risks
risks

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Risk
Risk Management
Management in
in 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 management helps in matching Customs
priorities to resources.

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Risk
Risk Management
Management in
in Customs
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.
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Risk
Risk Management
Management in
in Customs
Customs
Risk management within Customs can be
strategic, operational or tactical.

Strategic:
Strategic: Risks
Risks to
to

Customs
Customs goals
goals and
and objectives,
objectives,
ss
e
i
e
g
e.g.,prohibitions
and
i
eeand
g
e.g.,prohibitions
t
a
t
rra
t(social
s
t
restrictions,
or
s
m
restrictions,
(social
or
r
m
e
r
t
e
rr t
e
economic),
health,
g
e
economic),
health,
n
g
o
n
l
lo
y
l
l
y
revenue,
environment.
l
a
l
revenue,
environment.
u
a
s
u
u
s
-- u
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Risk
Risk Management
Management in
in Customs
Customs
Risk management within Customs can be
strategic, operational or tactical.

Operational:
Operational: Decisions
Decisions

and
and action
action plans
plans
on
to
sdeal
e
on measures
measures taken
taken
to
i
sdeal
g
e
i
e
g
t
e
a
rrat risks.
t
s
with
assessed
t
s
with the
the
assessed
risks.
m
r
m
e
r
t
e of resources;
t
m
u
Deployment
i
m
ddiu
Deployment
of resources;
e
m
e
-- m monitoring and review.
monitoring and review.

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Risk
Risk Management
Management in
in Customs
Customs
Risk management within Customs can be
strategic, operational or tactical.

Tactical:
Tactical: Used
Used by
by

officers
officers at
at their
their workplace,
workplace,
to
ss
e
i
to deal
deal with
withaimmediate
immediate
g
e
i
e
tteg
r
t
a
s
r
situations,
working
within
st
m
situations,
working
within
r
m
e
r
t
e
t
t
r
-- sshhoortset
set parameters
parameters and
and
to
to approved
approved procedures.
procedures.

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Risk
Risk Management
Management in
in Customs
Customs
Why
Why you
you should
should use
use Risk
Risk Management:
Management:
Economic benefits, by facilitating the

movement of goods,
people when rated

ships, aircraft and


low risk.

Makes more effective use of existing skills


and experience giving better results.
Improves the quality of Customs controls
information and accountability.
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Risk
Risk Management
Management in
in Customs
Customs
Why
Why you
you should
should use
use Risk
Risk Management:
Management:
The process helps Administrations
focus on priorities and in decisions on
deploying limited resources to deal with
the highest risks.

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How
How do
do you
you use
use it
it in
in Customs?
Customs?
Where
Where do
do you
you start?
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?
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How
How do
do you
you use
use it
it in
in Customs?
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
Who does
does this?
this?

Where
Where does
does the
the information
information come
come from?
from?
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Who
Who does
does the
the Risk
Risk Assessment?
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.
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Sources
Sources of
of information
information for
for Risk
Risk Assessments
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.
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Evaluate
Evaluate the
the risks
risks
After identifying and analysing
the risks, you can evaluate.
What is the likelihood of the risk
event occurring?
Extreme
Extreme
Almost
Very
Almost certain
certain
Very high
high
Likely
Moderate
Likely
What
Moderate
What is
is the
the
Moderate
consequence
Low
Moderate
consequence
Low
Unlikely
if
Negligible?
Unlikely
if the
the risk
risk
Negligible?
event
Rare?
event
Rare?
occurs?
occurs?
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Evaluate
Evaluate the
the risks
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.
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Evaluate
Evaluate the
the risks
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
certain

Severe

Severe

High

Major

Moderate

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
these risk
risk levels
levels mean
mean to
to
you.
you.
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Treating
Treating the
the risks
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).
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Treating
Treating the
the risks
risks
Development
Development of
of
Risk
Risk Profiles
Profiles

Targeted
Targeted
selections
selections

Industry
Industry audits
audits

Physical
Physical
examination
examination

Random
Random
examinations
examinations

Compliance
Compliance
improvement
improvement
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Treating
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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Treating
Treating the
the risks
risks
Risk Profiles are developed as a means of
putting risk management into practice at
the Operational level.
AA Risk
Risk Profile
Profile is
is normally
normally specific
specific to
to aa
Customs
Customs office.
office. It
It describes:
describes:
The
The risk
risk areas
areas

UNCTAD 2000

Assessment
Assessment of
of the
the level
level of
of risk
risk
The
The countermeasures
countermeasures adopted
adopted

Activation
Activation date
date and
and review
review dates
dates
Means
Means of
of measuring
measuring effectiveness.
effectiveness.

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Treating
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
Documents received
received and
and processed
processed
by
by Customs,
Customs, i.e.,
i.e., cargo
cargo and
and
Selection
Selection passenger
passenger manifests,
manifests, goods
goods
Criteria
Criteria declarations,
declarations, are
are compared
compared
against
against the
the Selection
Selection Criteria
Criteria
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Treating
Treating the
the risks
risks
Selection
Selection
Criteria
Criteria

Documents
Documents
and
and Data
Data

Selected
Selected
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.
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Monitor
Monitor && 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 of
of examination
examination results
results
Compliance
Compliance measurement
measurement activities
activities
Feedback
Feedback from
from the
the business
business community
community
Results
Results analysis
analysis and
and data
data comparisons
comparisons

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Using
Using Risk
Risk Management
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.
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Using
Using Risk
Risk Management
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.
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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
Control AND
AND Facilitation
Facilitation
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By..
By.. Risk
Risk Management
Management
UNCTAD 2000

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