风险管理流程ppt课件.ppt
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1、1,The Risk Management Process,Prepared By: Rusul M. KanonaSupervised By: Dr. Loa i A.TawalbehArab Academy for Banking & Financial Sciences (AABFS)Fall 2007,2,What is the Risk Management process?,The Risk Management Process consists of a series of steps that, when undertaken in sequence, enable conti
2、nual improvement in decision-making.,3,Steps of the Risk Management Process? Step 1. Communicate and consult.Step 2. Establish the context.Step 3. Identify the risks.Step 4. Analyze the risks.Step 5. Evaluate the risks.Step 6. Treat the risks.Step 7. Monitor and review.,4,5,Step 1.Communicate and co
3、nsult,-Communication and consultation aims to identify who should be involved in assessment of risk (including identification,analysis and evaluation) and it should engage those who will be involved in the treatment, monitoring and review of risk.,6,-As such, communication and consultation will be r
4、eflected in each step of the process described here.-As an initial step, there are two main aspects that should be identified in order to establish the requirements for the remainder of the process. -These are communication and consultation aimed at:A- Eliciting risk informationB-Managing stakeholde
5、r perceptions for management of risk.,7,A- Eliciting risk information-Communication and consultation may occur within the organization or between the organization and its stakeholders.-It is very rare that only one person will hold all the information needed to identify the risks to a business or ev
6、en to an activity or project. -It therefore important to identify the range of stakeholders who will assist in making this information complete.,8,B-Managing stakeholder perceptions for management of risk,9,Tips for effective communication and consultation, Determine at the outset whether a communic
7、ation strategy and/or plan is required Determine the best method or media for communication and consultation The significance or complexity of the issue or activity in question can be used as a guide as to how much communication and consultation is required: the more complex and significant to the o
8、rganization, the more detailed and comprehensive the requirement.,10,Step 2. Establish the context,provides a five-step process to assist with establishing the context within which risk will be identified. 1-Establish the internal context 2-Establish the external context 3-Establish the risk managem
9、ent context 4- Develop risk criteria 5- Define the structure for risk analysis,11,1- Establish the internal context-As previously discussed, risk is the chance of something happening that will impact on objectives. As such, the objectives and goals of a business, project or activity must first be id
10、entified to ensure that all significant risks are understood. This ensures that risk decisions always support the broader goals and objectives of the business. This approach encourages long-term and strategic thinking.,12,In establishing the internal context, the business owner may also ask themselv
11、es the following questions:- Is there an internal culture that needs to be considered? For example, are staff Resistant to change? Is there a professional culture that might create unnecessary risks for the business?- What staff groups are present?- What capabilities does the business have in terms
12、of people, systems, processes, equipment and other resources?,13,2. Establish the external context,This step defines the overall environment in which a business operates and includes an understanding of the clients or customers perceptions of the business. An analysis of these factors will identify
13、the strengths, weaknesses, opportunities and threats to the business in the external environment.,14,A business owner may ask the following questions when determining the external context: What regulations and legislation must the business comply with? Are there any other requirements the business n
14、eeds to comply with? What is the market within which the business operates? Who are the competitors? Are there any social, cultural or political issues that need to be considered?,15,Tips for establishing internal and external contexts -Determine the significance of the activity in achieving the org
15、anizations goals and objectives- Define the operating environment- Identify internal and external stakeholders and determine their involvement in the risk management process.,16,3- Establish the risk management context,- Before beginning a risk identification exercise, it is important to define the
16、limits, objectives and scope of the activity or issue under examination. - For example, in conducting a risk analysis for a new project, such as the introduction of a new piece of equipment or a new product line, it is important to clearly identify the parameters for this activity to ensure that all
17、 significant risks are identified.,17,Tips for establishing the risk management context Define the objectives of the activity, task or function Identify any legislation, regulations, policies, standards and operating procedures that need to be complied with Decide on the depth of analysis required a
18、nd allocate resources accordingly Decide what the output of the process will be, e.g. a risk assessment, job safety analysis or a board presentation. The output will determine the most appropriate structure and type of documentation.,18,4. Develop risk criteria Risk criteria allow a business to clea
19、rly define unacceptable levels of risk. Conversely, risk criteria may include the acceptable level of risk for a specific activity or event. In this step the risk criteria may be broadly defined and then further refined later in the risk management process.,19,Tips for developing risk criteria Decid
20、e or define the acceptable level of risk for each activity Determine what is unacceptable Clearly identify who is responsible for accepting risk and at what level.,20,5. Define the structure for risk analysis,Isolate the categories of risk that you want to manage. This will provide greater depth and
21、 accuracy in identifying significant risks.The chosen structure for risk analysis will depend upon the type of activity or issue, its complexity and the context of the risks.,21,Step 3. Identify the risks,Risk cannot be managed unless it is first identified. Once the context of the business has been
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