风险管理讲座中文译.ppt

1 Risk Management Program 风险管理计划 Contents 目录 Our Environment and the problems 我们的周围环境.和存在的问题 Our Enterprise Risk Management Framework 公司风险管理框架 Risk Management Model 风险管理模型 Risk Register 风险记录 Risk Matrix 风险矩阵图 Risk Reporting 风险报告 Benefits and Limitations 好处和局限性 Our Environment 环境 Moving from advanced exploration to construction and then to production 从详勘到建设期然后到生产期 No large scale mines in Ecuador Just artesenal miners who have damaged the environment 在厄瓜多尔没有大型矿山只有对环境造成 破坏的小矿工 Un-informed public 缺乏教育和知识的公众 Political instability 政治上的不稳定性 Legal instability 法律上的不稳定性 Activists, funded from outside of Ecuador, trying to foster anti-mining sentiment in the local communities 激进分子，受到来自厄瓜多尔以外地区的资 助，企图在当地社区培养反矿情绪 The Reality of Risk 风险的现实性 Everyone faces risk every day 每个人都会面对风险在每一天 We need to find risk before it finds us 我们需要在风险找到我们之前发现风险 There is an acceptable level of risk - “risk appetite” 可接受的风险水平“风险可接受度 ” Pure risk aversion will lead to extinction 完全排斥风险将导致消亡 Uncertainty presents both risk and opportunity. 不确定性既给我们带来风险也给我们带来机 遇 Events under our direct control 我们能直接控制的情况 Events that we cannot control 我们无法控制的情况 The Problem 存在的问题 2006 Suspension of activities 2006年与采矿相关的活动被中止 Surviving - “Every day of life was a victory” 幸存“生命中的每一天都是胜利” Budgets changed multiple times in the year to reflect changing environment 预算一年里更改多次以反映环境的改变 Human Resources Downsizing frozen wages and motivation plummeting. 人力资源裁员冻结工资，工作激励垂 直下降 The only constant was, and is, change 唯一不变的过去是、现在也是改变 Too many risks ! 太多风险！ Solution Manage them 解决方案管理风险 11 Enterprise Risk Management Program 公司风险管理计划 EcuaCorriente SA Enterprise Risk Management 公司风险管理 Based on the COSO Integrated ERM Framework 建立在 COSO公司风险管理综合框架基础之 上 Is a process that affects people both positively and negatively; to change behavior. 风险管理是一个过程，对人们产生积极的或 消级的影响；改变人们的行为 Key Concepts 主要概念 “Inherent” or “raw” risk 固有的风险 Mitigating actions / controls 降低风险的行为/控制风险 Preventative 预防性的 Corrective 纠正性的 “Residual” risk “剩余”风险 14 Risk Management Model 风险管理模型 EcuaCorriente SA Elements 原理 Identify the risks 确定风险 Evaluate the risk 风险评估 Decision “to act or not” 决定“采取行动或者不采取行动” Mitigate the risk 降低风险 Evaluate the residual risk 评估剩余风险 Monitor and re-evaluate the risk 监控和再次风险评估 Risk Register “The Worksheet” 风险记录 “工作表” EcuaCorriente SA Risk Register 风险记录 As a result of the revised methodology, we have developed a risk register to maintained by the management of EcuaCorriente S.A. Example #1 Example #1 Example #1 Example #2 Example #2 Example #2 Risk Matrix 风险矩阵图 Evaluating the risk 风险评估 EcuaCorriente SA Risk Assessment - Impact Risk Assessment - Probability How to determine risk level Risk Reporting 风险报告 The Results 结果 EcuaCorriente SA 30 Inherent Risk Global Residual Risk Level 31 Inherent Risk Level 32 Residual Risk Level 33 Benefits 好处 Solve risk before it becomes a problem 在风险成为问题之前解决它 Defines / clarifys the corporate “risk appetite” 定义/阐明公司的“风险可接受度 ” Develops a “risk mentality” 形成“风险意识” Improves transparency and management oversight 提高管理透明度，改进管理疏忽 Fosters the achievement of corporate objectives 促进公司目标的实现 The risk of inaction = lose the opportunity 不采取行动的风险失去机会 Residual risk means that there is still risk. 剩余风险意味着仍然有风险 Provides reasonable assurance not a guarantee. 提供合理的担保但不是保证 Limitations 局限性 Making false assumptions / using unverified sources of information 作出错误的假设/使用未经证实的信息 Not exercising vigilance / lack of operational discipline 无警惕性/缺乏操作纪律 Ignoring velocity and momentum 忽略速度和推动力 Failure to manage complexity / failure to make the connections 不能控制复杂情况/不能建立联系 Not maintaining adequate margins of safety 不能保持适当的安全系数 Focusing exclusively on the short term 专用于短期风险管理 A Successful Program 一个成功的计划 Management support at all levels 各级别管理人员的支持 Confirm your assumptions and sources 确定你的假设和信息来源 Maintain constant vigilance = discipline 保持持久的警惕性纪律 Factor in velocity and momentum 在速度和动力方面的因素 Manage the connections = complexity 管理联系复杂情况 Anticipate causes of failure 预见失败的原因 Maintain a margin of safety 保持安全系数 Define the timelines 确定时间表 Take enough of the right risks 承担足够的适当风险 Looking Forward 展望 Items under our control 在我们控制之中的事项 Change to Construction and Production 进入建设期和生产期 Implement a specific ERM program for each phase 每个阶段实施一个特定的公司风险管理计划 Items out of our control 在我们控制之外的事项 Be cons