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1、Risk Management 风险管理,Risk Management Whats that all about ? 风险管理这意味着什么？,Workshop Key Deliverables 研讨会目的,To share and understand the requirements of an effective Risk Management Process 分享、理解有效的风险管理流程 2.To discuss the Risk Identification & Assessment Process 讨论风险识别及评估流程 3.To understand what is a full
2、y managed risk 理解什么是充分被管理的风险,What is a risk? 什么是风险？,Oxford Dictionary牛津字典Risk风险1) a situation involving exposure to danger. 暴露在危险之下的状态 2) the possibility that something unpleasant will happen. 令人感到不快的事情可能发生 3) a person or thing causing a risk or regarded in relation to risk: 人和什么事情导致的风险或跟危险相关，如火灾,Wh
3、at is a significant risk? 什么是重大风险,Significant Risk重大风险 one that presents a material, financial, operational, reputational or legal risk to GSK as a whole or the GSK company or unit involved. 对GSK全部、或个别个体可能带来材料、财务、运行、名声或法律影响的风险,Risk & Risk Management 风险及风险管理,Now现在,Future将来,Same Performance,Different差
4、异,Better Performance更好的绩效 New regulation新法规 Higher market Share更高的市场份额 Lower Cost 更低的成本 New technology新技术 Different Site 不同工厂,Todays Performance,Controls (Known Risk)?,New Risks 新风险,Risk Management GQMP - Process Map 风险管理,2.2,Collate sources of,risk,2.3,Describe the,nature and scope,of each risk,2.4
5、,Review risks at a,review forum,Step 2,Identify the risks 识别风险,2.5,Record risks in,Risk Register,Step 3 Assess and Prioritise Risk 评估风险,3.1,Collect relevant,data,3.2,Assess potential,consequences,and probability of,occurrence,3.3,Complete relevant,entries of Risk,Register,3.4,Evaluate the,significan
6、ce of the,risk and prioritise,Step 4,Prepare risk mitigation,Plans 准备风险降低计划,4.1,Assign an owner,Step 5,Implement the plan 实施计划,5.3,Monitor and,review progress,versus plan,5.4,Review by Risk,Team,Step 6,Review effectiveness in,managing ongoing risks 回顾风险管理的有效性,6.1,Identify post-,implementation,data r
7、equired,6.2,Plan and collect,post-,implementation,data,6.3,Conduct post-,implementation,review,6.4,Communicate,output of post-,implementation,review,6.5,Review overall,Risk Management,Process,4.3,Obtain approval to,implement or,escalate the risk,mitigation plan,4.2,Generate risk,mitigation plan,2.6,
8、Check against,other Risk,Registers,2.1,Establish the,context,1.2,Deliver,communication,and education,1.1,Collate,communication,and education,materials,Step 1,Understand obligations,for risk management 理解风险管理的职责,4.4,Update Risk,Register,5.1,Finalise risk,mitigation plan,5.2 Incorporate,agreed plans i
9、nto,project,management,system,Step 6.1 could start as early as Step 4.,Step 6.2 may happen concurrently with Step 5.,This is defined in GSK POL 500 Which you should all be familiar with,This workshop will focus on steps 2 and 3,Risk Management风险管理,Risk风险 - The possibility of meeting danger or suffer
10、ing harm or loss. 碰到危险及承受伤害或损失的可能性 Risk Management 风险管理The identification, analysis and mitigation of risks that could impact the achievement of objectives 识别、分析、降低风险的过程，该风险可能影响目标达成,Danger , harm or loss to :- can cause,Failure to achieve Objectives 不能达成目标,Customer Safety, Satisfaction 客户安全及满意度,Oper
11、ation运行,Finances财务,Reputation名声,Knowledge/ IP 知识产权,Compliance 合规性,Trigger Significant change e.g., new markets, volumes, external environment, new technology, regulatory重大变化如新市场、产量、外部环境、新技术、新法规,Expectations-Risk Management is an integral part of the annual Business Plan cycle 风险管理是年度商业计划的一部分,Budget,
12、Business Plan,Q2,Q3,Q4,Q1,Site Strategy Review 工厂战略回顾,Assess Department Risks评估部门风险 Bottom up,Assess Site Risks评估工厂风险 Top Down,Update Plans Budget更新计划及预算,Test BCP 测试BCP,BCP,Site engineering master plan,Prioritised Risk Log,STP significant risk,Risk Logs 风险清单,Site strategy,SWOT,Risk Checklists 风险检查单,
13、InputsProcessOutputs,Audits,Audits审计,Request Trigger by Significant change,Ongoing Risk Management Process风险管理流程,Departmental risk Assessment 部门风险评估,Agenda日程 Review and prioritise escalated risks (STP) 评估风险 Review progress on mitigation plans 回顾降低风险计划的进展 Sign off new risk rating 批准新风险的风险值Trigger dep
14、t assessments 启动部门评估 Review new issues/ audit reports 回顾新问题/审计报告 Assess future changes 评估未来变化Share learnings from other areas 分享心得,Projects,Project update,Post Implementation Review,Approved STP,Proposed STP,RMCB Board Monthly 每月管理会,RMCB Board,Risk Register,Escalated or catastrophic Risks / updates问
15、题发生,STP,Risk Register,GSK Risk Management and Legal Compliance Policy GSK风险管理及法规符合政策(POL-GSK-xxx),POL-GSK-500,Management is responsible for maintaining a strong system of internal control管理者负责维持强大的内控系统 Management at every level must管理者必须 identify their most significant risks识别大部分重大风险 assign individu
16、al responsibility for managing each risk分配个人的管理风险的职责 ensure that robust processes are in place and operating effectively to mitigate significant risks确保有效的流程来降低风险 actively monitor the processes with appropriate feedback and upward reporting 积极监控流程 The process is continuous 流程是持续的 Auditors provide an independent assessment of this governance process 审计会对此流程提供独立的评估,
