Internal Control Work Plan Part 1
First, the guiding ideology
In accordance with the requirements of reform and innovation, punishment and prevention, integrated promotion, emphasis on construction, through the cleanup of authority, optimization of processes, risk prevention, and strive to form a system to determine the right to scientific power, power sharing, openness, real-time monitoring mechanism for the in-depth implementation of the strategy of scientific research and teaching, vigorously promote research-based teaching, promote the scientific development, harmonious development, continuous development of strong and powerful school power operation mechanism.
Second, the work of the goal
1. Overall goal
Enhance the awareness of risk prevention, the establishment of self-examination, active prevention and control, and continuous improvement of the endogenous mechanism of the construction of honesty, and ultimately to achieve the purpose of preventing corruption from the source.
2. Specific objectives
(1) to achieve six in place: administrative powers and responsibilities in place; risk sources (points) to find in place; preventive measures in place; preventive measures in place; preventive responsibility in place; long-term internal control mechanism in place; administrative efficiency in place.
(2) the formation of six internal control mechanisms: goal control (cadres do not have problems, zero occurrence of disciplinary cases); horizontal control (the formation of a clear responsibility, management science, strong constraints on the job responsibility system, the hot spot positions and important power to carry out the appropriate decomposition and checks and balances); vertical control (the formation of the internal vertical monitoring system); process control (the formation of constraints between the links of the power to run, the high risk links of the power to run, the power to run, the power to run, the power to run, the power to run and the power to run. The high risk of power operation of the real-time monitoring, the formation of a monitoring system); early warning control (regular warning education, the administrative risk of prior warning); audit control (regular internal audit).
Three, work content and implementation steps
(a) the establishment of internal control institutions, in-depth publicity and mobilization.
1. Establishment of internal control institutions. Provide organizational safeguards for the construction of internal control mechanisms.
2. In-depth publicity and mobilization. Each party member and cadres to understand the internal control, familiar with the internal control, participate in the internal control as the goal, in-depth publicity and education activities for the construction of the internal control mechanism, vigorously publicize the significance of the construction of the internal control mechanism.
3. Develop an implementation program for the construction of internal control mechanisms. The program is formulated to seriously absorb the valuable opinions and suggestions in the activities of the advice and suggestions; after the program is formulated, the public should be widely consulted, and constantly improve the program.
(2) clean up administrative powers, optimize the power operation process.
1. Clean up administrative powers and prepare a list of powers.
According to the actual school, the scope of the administrative powers and responsibilities include: (1) the internal management of the right, including the organization and personnel management (cadres, recruitment of new teachers, teacher mobility, title evaluation, evaluation of excellence, etc.), financial management (official hospitality, the use of funds, engineering and construction, etc.), asset management (procurement of goods, daily management of office supplies, management of fixed assets, etc.), the importance of the decision-making (policy development, project development, asset management, etc.), and the management of the right of the right of the right of the right of the right of the right of the right of the right to choose. Policy development, project development, asset disposal, assessment and confirmation, administrative rewards and punishments, etc.); (2) other administrative law enforcement and internal affairs management powers implemented in accordance with the law.
2. Optimize the power operation process, improve the organizational rules and procedural system. To the law, simple and clear, convenient to the public, easy to supervise as the basic principle, optimize the power operation path, enhance the efficiency of internal control. Ensure that the links between the personnel between each other checks and balances, so that the decision-making power, law enforcement power and management power in the meticulous internal constraints and monitoring.
(C) adhere to the up and down linkage, the identification of administrative risks
Risk refers to the possibility of party members and cadres in the exercise of power, the implementation of official duties or daily life of the occurrence of corrupt behavior. The specific requirements of the investigation:
1. Post by post and link by link investigation. Risk investigation should be carried out to each specific post, each power of the post, each link of power operation, expand the breadth and depth of the investigation, as far as possible to think of the hidden dangers and problems more serious, and strive to risk sources (points) to find a comprehensive, detailed and accurate some. On the basis of the general investigation, to highlight the key positions, important power projects, power operation of the key aspects of the risk investigation.
2. Clearly find ways. The combination of their own find, the masses to help, the leadership point and democratic assessment, the organization of all party members and cadres and staff to participate in the search for risk, everyone to find out the risk, everyone to develop preventive measures.
Specifically, the main three aspects of the start: First, the current has occurred in cases of violations of law and discipline as a risk point to find out; Second, although the current case did not occur, but there is a greater risk of hidden links as a risk point to find out; Third, there is a risk of the occurrence of the current other areas, other units have taken measures to prevent the link as a risk point to find out.
3. Standardize the steps to find. Risk point identification, in accordance with each cadre and faculty self-examination of the school's section head to lead all staff to focus on the discussion of the section head of the first review unit of internal control committee to listen to the views of the Democratic Management Committee unit of the leadership group collective final review to confirm the six steps, so that the steps are complete, layer by layer, to ensure quality.
4. Highlight the focus of the search. The first step in the process is to find a way to make sure that you have a good understanding of what you are doing and how you are doing it.
(1) ideological and moral risks. Find out whether to ignore the provisions of the disciplinary system, constantly occurring small faults whether the abuse of discretionary space, often make decisions that are contrary to common sense; whether not in accordance with the provisions of the report or intentionally concealing personal management, handling of important official business and operations; whether often to influence the work does not belong to their own jurisdiction; whether to tolerate violations of the law in a silent way, or on the phenomenon of suspicious without due response; whether often In and out of high-grade entertainment and consumption or unhealthy activities, life misbehavior, the masses or family members have reflected.
(2) system mechanism risk. The first thing you need to do is to find out whether the internal control system is specific and useful, whether it covers all official or business activities and the whole process of power operation. In particular, it is important to identify those who are not concerned about the risk sources (points) without institutional constraints, to ensure that the key nodes involved in the powers and interests can be effectively regulated and constrained by the system.
(3) Job responsibility risk. Combined with the requirements of the job duties, focusing on the investigation of collective decision-making behavior and the implementation of rules of procedure and other aspects of the possible risks.
(4) Business operation risk. Combined with the characteristics of the business work, to find all kinds of business processes in the operation of the process is prone to violations of the law.
(5) interpersonal risk. Combined with their own powers, to find out whether there is too close interaction with the service object, often eat and drink together; acceptance may affect the impartiality of the performance of official duties of the feast, entertainment and other consumer risk sources.
5. Establishment of integrity risk sources (points) information base. The various types of risk points identified should be carefully analyzed, assessed, according to the risk of occurrence of high and low chances and the degree of harm and loss of the size of the risk ranking, divided into high, medium and low three levels. In accordance with the requirements of comprehensive content, clear description, concise language, take the chart, the risk of point-by-point registration, categorization and summary, one by one, listing the types of problems, manifestations, causes, risk level, and involved in the post and personnel, the establishment of risk accounts, the formation of risk information base of the unit.
(D) Develop preventive measures to clean up and integrate the system.
1. Develop risk prevention measures. For each risk source found (point), in-depth analysis of the causes of risk, in accordance with the requirements of the risk point must have preventive measures, one by one to develop specific and effective preventive measures.
2. Improve the rules and regulations. The original system of cleaning, integration, and according to the new situation, new requirements for creative revision and supplementation, reconstruction of the unit power internal control of the rules and regulations, and internal control system compiled into a book, the formation of the system.
Focus on strengthening the constraints and supervision of power in major decision-making, appointment and dismissal of cadres and personnel deployment, use of funds and goods management, with a complete internal control system to manage people, things, money and things.
3. Continuous updating of internal control mechanisms.
(E) grasp the inspection and evaluation, and strive for the effectiveness of internal control
1. Normal self-examination and self-correction. If problems are found, they should be accountable for disciplinary violations in a timely manner and urge the inspected object to rectify the situation.
2. Regularly accept the special evaluation.
3. Seriously implement the accountability system.
Fourth, the work requirements
1. Strengthen the leadership, the implementation of responsibility. Promote the construction of internal control mechanisms is to build anti-corruption and integrity system is an important task, in accordance with the requirements of the responsibility system for the construction of the party's wind and honesty, the implementation of the work of the responsibility at all levels.
2. Highlight the key points and make comprehensive arrangements. In accordance with the requirements of the county bureau "implementation program", the work of each stage of the careful arrangement, step by step, steady progress, to ensure that the implementation of all work measures in place.
3. Learning, exploration and innovation. Continuously enrich the content and form of the work of building internal control mechanisms, and constantly accumulate departmental internal control mechanism construction of the typical experience, the formation of the characteristics of the school's internal control mechanism.
Internal Control Work Plan Part 2
In accordance with the requirements of the "Basic Standard for Enterprise Internal Control" and the supporting guidelines, and the enterprise internal control work planning. 20xx internal control work focus on the internal control system of basic management work.
(a) actively promote the "internal control manual (20xx version of the building, furnace construction sub-book)"
On the basis of the promotion of the new manual, the relevant part-time internal control positions are required to do a good job combing the business process, a comprehensive combing of the applicable processes, important risks and key control points, and to achieve the effective management of the business positions under one roof.
(B) Strengthen the internal control of basic management, optimize business processes
20xx internal control management work ideas are: continue to deepen the construction of the system, promote the standardization of positions, consolidate the basic management, and continue to strengthen internal control and legal risk prevention and control, improve management control ability, continue to strict bidding, contract and market management, standardize market transactions, by strengthening the basic management of the various, and continue to achieve management refinement, and to strengthen the management of the management, and to improve the quality of the work. By strengthening the management work, we will continue to realize the refinement of management and new progress in management.
(3) To enhance execution and risk management as the center, continue to optimize business processes, highlighting the major and important risk control and daily supervision work, to enhance the level of budget cost and settlement efficiency of the project (including but not limited to), and to effectively improve the ability of business management and control.
All departments and production units should take the management responsibilities and basic business as the entry point, comprehensively sort out the applicable processes, important risks and key control points, implement the applicable processes and risk control assigned to the professional departments and business positions, and strengthen the management responsibilities of the professional departments and business positions under the responsibility of the management; take the process management and the assessment of the performance indicators as a means to improve the assessment and management methods. To establish a "simple, efficient, standardized" process management mechanism, strengthen the internal control of the management of basic work, in-depth promotion to enhance the project budget cross Benjamin and engineering settlement of the executive work.
Internal control work work plan Part 3
To further standardize the management of social insurance handling, to ensure the safe operation of social insurance business handling, strict control of handling risks, to protect the fund security, data security. According to the "Social Insurance Law", "Social Insurance Audit Methods" relevant provisions, combined with the actual county bureau, is now on the xx social insurance audit work to make the following work arrangements, please seriously according to the implementation.
First, the internal daily audit
(a) Audit content
The basic pension insurance for employees, basic medical insurance, industrial injury insurance, maternity insurance, unemployment insurance fund collection, expenditure, management and other business operations and computer hardware, software management operation.
(B) Audit focus
In accordance with the requirements of the Internal Control System, the focus of the audit is on:
1, basic pension insurance, basic medical insurance, industrial injury insurance, maternity insurance, unemployment insurance registration and declaration of the base amount of contributions, basic pension insurance, industrial injury insurance, medical insurance, maternity insurance, unemployment insurance base determination and levy ratio, pension insurance in-service and death refund, transfer of pension insurance relations. The basic pension insurance, industrial injury insurance, medical insurance, maternity insurance, unemployment insurance, the determination of the base and the levy ratio, the refund of pension insurance in-service and the refund of death, the transfer of pension insurance relationship, the change of important information data of the insured, the calculation of the retirement benefits, the socialized distribution of the retirement benefits and the unsuccessful distribution of the fund to return to the expenditure account and the retroactive distribution of the retirement benefits, the payment of the benefits of industrial injury and maternity insurance, and the management of the financial fund, and so on.
2. Whether the business is conducted in accordance with the operating procedures and business processes, and whether the internal control system is in place.
3, computer hardware, software management in place, information security.
(C) Audit methods and objectives
Combining daily audits and regular spot checks, in accordance with the requirements of the internal control system, the internal audit work, and at the end of each month on the previous month's key business operations to carry out spot checks, the spot check surface is not less than 20% of the volume of business operations. Through the daily audit, to promote business operations to achieve institutionalization, standardization, and effectively achieve the business operations in accordance with the law.
Second, field audit
(a) audit time and content
In August to October 2019, the county insured enterprise personnel participation and contribution base declaration situation and social insurance premium payment field audit. The contents of the field audit are:
1. Employee participation, check whether there is underreporting and omission of the number of participants.
2, the declaration of the contribution base, check whether there is underreporting, omission of the wage base.
3, social security contributions to pay the situation, check whether there is a lack of payment, underpayment of social security contributions.
4, social security treatment payment, check whether in accordance with the provisions of the enjoyment of social treatment.
(B) audit mode
The establishment of the Bureau of field audit working group, the working group led by the director of the unit in charge, members of the audit unit, co-ordination unit, financial unit of the relevant staff, the working group is specifically responsible for the county to participate in the field audit of the work of the enterprise field auditing field audit of the enterprises for the Anhan Group and its affiliated companies, the JiuTian Vacuum, Telecom, etc., the field audit surface to strive to reach more than 25%.
The field audit team is specifically responsible for the field audit of enterprises in the county.
Internal control work plan chapter 4
20xx year is a key year for my group to promote the work of listing. In accordance with the Ministry of Finance, the Securities and Futures Commission, the Audit Commission, the Banking Regulatory Commission, the Insurance Regulatory Commission jointly promulgated the "Basic Standard for Enterprise Internal Control" and supporting guidelines, combined with the company's existing actual situation, should be gradually established, improve the company's internal control system, standardize the behavior of enterprise internal control, to prevent business risks.
First, the target positioning of internal control:
First, legal compliance, the second is to enhance efficiency.
1, legal compliance: state law requires that all applicable laws and regulations be complied with, both in writing and in substance.
2. Enhance efficiency. The business unit spends a lot of time and effort to implement internal control, the purpose is to hope to improve efficiency. "Complex issues simplified, simple issues process, process issues systematization" is to do process control always adhere to the principle.
Second, the work of internal control
1, the establishment of a healthy internal control culture environment
(1) through the establishment of "simple, can be relied upon" is the company's core values,
(2) to maintain a simple company culture and flat organization. (2) Maintaining a simple company culture and flat organizational structure, free of red tape and conventions, and adopting a result-oriented and efficient decision-making approach.
(3) Business units are interdependent and supportive of each other.
2, the gradual establishment and improvement of risk assessment and control mechanisms
The risk assessment process of internal control must identify the external and internal risks of the enterprise to achieve the established goals, and analyze the types and extent of various risks. Control measures generally include: incompatible job separation control, authorization and approval control, accounting system control, property protection control, budget control, operation analysis control and performance appraisal control.
3, the establishment of information and communication system
Through the establishment of information and communication system, the collection, processing and transmission procedures of internal control-related information are clearly defined to ensure timely communication of information and promote the effective operation of internal control.
4, the gradual establishment of internal control of the management of the enterprise
Departmental leadership is the first person responsible for the internal control of the department, should be the departmental risk of internal control work using the "head of the accountability system". The internal leadership of each department of the internal control of the work of the staff of the department of internal control, the staff of the process of implementation of the internal control of the duties of the staff. The supervisory department of the company carries out reports, evaluations and supervision and management of the operating units. The Group's Executive Committee has the right and responsibility to supervise, evaluate and oversee the work of the Group's regions and departments. The Board of Directors of the Group has the right and responsibility to monitor, evaluate and supervise the work of the Executive Committee.
Through the establishment of a "target management" assessment system, each employee's responsibilities and work objectives are established to ensure the consistency of the company's objectives and the work objectives of the employees.
Third, the scope of internal control work
The internal control work will involve all management levels of the Group, covering the Group's sales, after-sales service, product extension and expansion of business areas. May include: corporate governance structure, organizational structure, investment and financing management, various asset management, accounting control, financial management, sales and maintenance service management, extended product management, administrative management, human resources policy, computer information system, contract guarantee, management of subsidiaries, control of important business matters.
Fourth, the development of internal control work and organization
1, the development of internal control work initially set for the establishment of two years of internal control work to establish the basis for three years of implementation of the internal control system.
2, internal control work in the board of directors and management of two organizational levels to implement
(1) the board of directors in the internal control to provide governance, guidance and supervision. It is an important element of internal control.
(2) Quality and integrity of management
Management is accountable to the board of directors. The quality and conduct of management directly affects the corporate goals and the way they are achieved, and it also affects the quality and conduct of employees and the code of conduct. It directly reflects the orientation of the corporate culture. Top management's attitude and concern for effective internal control must be embedded in the organization.
(3) The Group Internal Control Department is the functional organization for the implementation of internal control.
Internal Control Work Plan Part 5
With the SEC's emphasis on internal control audits of listed companies, the company's internal control management work from the initial stage of the gradual systematization and standardization of the development of the company in order to effectively do a good job of internal control management work in the year of xx, in accordance with the requirements of the company's Audit Committee, the formulation of this plan.
xx annual internal control management team focus on improving the internal control management process and system, strengthen the implementation of internal control processes. Through the defects found in the internal control audit in recent years, in the development of corrective measures at the same time, improve the process and implementation, so that the internal control management work into the self-checking, self-improvement, and constantly improve the stage. On the basis of the above main ideas, the main work plan for the year xx is as follows:
1, to strengthen the training of internal control knowledge. xx year organization to participate in an external training course on internal control knowledge, learning and the introduction of other enterprises advanced knowledge of internal control management, to ensure that the enterprise's internal control management work to keep up with the requirements of the Securities and Futures Commission and other regulatory bodies.
2, on time to complete the self internal control audit. According to the requirements of the Securities and Exchange Commission and external accounting firms to carry out self internal control audits on time, regularly complete quarterly and annual internal control audit drafts and reports, and submit internal control audit reports and internal audit reports to the Audit Committee on time.
3. Further standardize the internal control audit sample records. In accordance with the requirements of the SEC, the format of internal control samples and the selection and preservation of records to establish appropriate methods to ensure the verifiability and traceability of internal control audit reports.
4. Update the internal control manual and improve the missing processes and systems. In response to the lack of systems and processes found in 2014, the management team of the organization to supplement and improve the relevant systems and processes to the "Enterprise Internal Control Manual", for the system not released
Supervise the relevant departments to revise and release in a timely manner.
5. Strengthen the audit of financial reports. In order to improve the credibility and accuracy of the company's financial reports, we will strengthen the audit of financial reports in xx, prepare the template for the internal audit of financial reports, improve the content of the internal audit of financial reports, and keep the audit drafts in time and submit the internal audit report to the audit committee on time.
Internal Control Work Plan Part 6
1, the work of the overall goal:
With the SEC's attention to the audit of the internal control of listed companies, the company's internal control management work from the initial stage gradually to the systematic, standardized development, in order to effectively do a good job of internal control management in 201x, according to the requirements of the company audit committee. Company Audit Committee requirements, this plan is hereby formulated.
201x annual internal control management team work focus on improving internal control management processes and systems, strengthen the implementation of internal control processes. Through the defects found in the internal control audit in recent years, while formulating corrective measures, improve the process and execution, so that the internal control management work into the self-checking, self-improvement, and constantly improve the stage. On the basis of the above main ideas, the main work plan for the year 201x is as follows:
1, to strengthen the training of internal control knowledge. 201x organization to participate in an external training course on internal control knowledge, learning and the introduction of other enterprises advanced knowledge of internal control management, to ensure that the internal control management work of the enterprise to keep up with the requirements of the Securities and Futures Commission and other regulatory bodies.
2, on time to complete the self internal control audit. According to the requirements of the Securities and Exchange Commission and external accounting firms to carry out self internal control audits on time, regularly complete quarterly and annual internal control audit drafts and reports, and submit internal control audit reports and internal audit reports to the Audit Committee on time.
3. Further standardize the internal control audit sample records. In accordance with the requirements of the SEC, the format of internal control samples and the selection and preservation of records to establish appropriate methods to ensure the verifiability and traceability of internal control audit reports.
4. Update the internal control manual and improve the missing processes and systems. In response to the lack of systems and processes found in 201x, the organization's management team supplemented and improved the relevant systems and processes to the "Enterprise Internal Control Manual", and urged the relevant departments to revise and publish the system in a timely manner for the system that has not been published.
5, strengthen the audit of financial reports. In order to improve the credibility and accuracy of the company's financial reports, in 201x will strengthen the audit of the financial report, the preparation of financial report internal audit templates, improve the content of the internal audit of the financial report, and keep the audit drafts in a timely manner and on time to the Audit Committee to submit the internal audit report.
Internal Control Work Work Plan Part 7
I have been engaged in banking for many years, served hundreds of customers, and constantly reminded myself to work seriously, with a humble attitude, and the principle that the customer is God. As a result, my work results are remarkable, recognized and embraced by customers. According to the actual situation of my bank in 2008 a year of accounting and settlement work, the work of the year mainly from three aspects: grasp the service, grasp the quality, grasp the quality, now for these three aspects of the bank's personal work plan:
a. 20xx year work plan is still focusing on the customer as the center of the settlement service work. Customers are the source of our survival, as the business department is a window to the outside world, the good or bad service directly affects the credibility of the bank
1, the bank has been advocating the "first responsibility system", "full-time point of service, "Standing service", "three voices service" we will continue to implement, and to do every employee can be patient with each customer, so that customer satisfaction.
2, with the intensification of competition between the financial industry, customers of the bank's service requirements are increasingly high, not only in the counter service is reflected in the bank's service varieties, in addition to continue to do a good job in the utility bills, taxes, financial charges, traffic confiscation, bsp aviation agent agent settlement, but also to do a good job of next year's opening of the highway network charging business, the opening of open-end fund acquisition business, The company's business is to improve the competitiveness of the bank by providing a variety of services such as securities business.
3, take the initiative to strengthen the contact with the individual business, participate in the individual business, familiar with the individual business in order to better serve customers,. Although it has been on the integrated business system, but because of a variety of reasons have not been able to do a truly integrated, is a lack of work in my business department.
4, to the bank as a classroom, next year we will organize more lectures on bank settlement methods, to increase people's financial knowledge, so that customers understand more about the bank, close to the bank so as to integrate into the business of our bank.
5, continue to do a good job of telephone banking, self-service banking and Internet banking, and to high-quality customers to promote the use of Internet banking.
Second, the strong internal control system management, risk prevention, to ensure the quality of work. With the increase of financial crime cases in recent years, prompting us to operate the standardization, the implementation of the system has higher requirements
1, urge the science and technology department of my business department of the computer interface as soon as possible to replace, and then strictly in accordance with the requirements of the integrated business system to implement the division of authority, a post, a card, a person, a card, to enhance the implementation of the system to enhance the steel of the binding nature of the implementation of the system.
2, to further strengthen the important links and important posts of internal control and external defense, focusing on strengthening account management (to ensure the quality of my bank account units) and door-to-door service.
3, the development of a financial staff work plan to further strengthen the accounting cashier system, strict implementation and inspection of the accounting cashier system, standardize the accounting seal and blank important vouchers use and custody.
4, focusing on the implementation of the sale of payment cryptographs, to ensure the security of the settlement funds of the bank and enterprises, and further improve the bank's means of preventing foreign settlement risks.
5, standardize the business operation process, strengthen the daily checking system of the general accountant in order to timely detection of hidden dangers, to reduce errors and eliminate settlement accidents.
6, effectively fulfill the business guidance and inspection of branch offices.
7, do a good job of regular assessment of the quality of accounting.
Third, people-oriented to improve the overall quality of staff. How the quality of the staff is the bank can develop the fundamental, in the current situation of frequent turnover of staff in my business department is in urgent need of a high-quality team
1, put the good into the people employing people off. The banking industry sounds very beautiful, in fact, full of competition and risk, so to my business department need to have a certain psychological quality and cultural cultivation. In the employment of staff to the ability and to play the staff to determine the maximum potential to determine the appropriate position, so as to improve the enthusiasm of the staff.
2, to strengthen business training, which is the most urgent next year, the training program has been reported to the personnel department, ready to cashier system, payment and settlement methods, integrated business system accounting system, the new accounting entries, such as basic knowledge and a variety of emerging business training.
3, in the case of personnel tensions still need to strengthen the job training, in addition to participate in next year's technical competition more to improve the business level of employees.
4, diligently do the ideological work of the staff, care to encourage employees to strengthen the psychological quality of the staff.
5, planned, purposeful job rotation, training each employee from a single operation to a mixed multi-capacity transformation.