Internal Control Work Plan Part 1
1. Guiding Ideology
In accordance with reform and innovation, both punishment and prevention, overall planning and advancement, and emphasis on In line with the requirements of construction, by clearing powers, optimizing processes, and preventing risks, we strive to form a school power operation mechanism that ensures institutional power, scientific decentralization, open power, and real-time monitoring. In order to deeply implement the strategy of scientific research and education, we vigorously promote research-based teaching. , to promote the scientific development, harmonious development and sustainable development of the school and provide a strong political guarantee.
2. Work Objectives
1. Overall Objectives
Enhance risk prevention awareness and establish an endogenous mechanism for self-examination, proactive prevention and control, and continuous improvement of clean government construction , and ultimately achieve the purpose of preventing corruption from the source.
2. Specific goals
(1) Achieve six goals: clearing up administrative powers; identifying risk sources (points); formulating preventive measures; implementing preventive responsibilities; and internal control Long-term mechanisms have been established and administrative efficiency has been improved.
(2) Form six internal control mechanisms: target control (no accidents to the cadre team, zero violations of disciplines and laws); horizontal control (form a job responsibility system with clear responsibilities, scientific management, and strong constraints, and focus on hot topics) Appropriate decomposition and checks and balances of positions and important powers); vertical control (forming an internal vertical monitoring system); process control (forming a restrictive relationship between power operation links, real-time monitoring of high-risk links in power operation, and forming a monitoring system system); early warning control (regularly conduct warning education and provide advance warning of administrative risks); audit control (regularly conduct internal audits).
3. Work content and implementation steps
(1) Establish an internal control organization and conduct in-depth publicity and mobilization.
1. Establish an internal control mechanism. Provide organizational guarantee for the construction of internal control mechanism.
2. Carry out in-depth publicity and mobilization. With the goal that every party member and cadre understands, is familiar with, and participates in internal control, we carry out in-depth publicity and education activities on the construction of the internal control mechanism and vigorously publicize the importance of the construction of the internal control mechanism.
3. Formulate an implementation plan for the construction of internal control mechanism. When formulating the plan, we must carefully absorb valuable opinions and suggestions from the suggestions and advice activities; after the plan is formulated, we must extensively solicit opinions from the masses and continuously improve the plan.
(2) Clean up administrative powers and optimize the power operation process.
1. Clean up administrative powers and prepare a list of powers.
According to the actual situation of the school, the scope of administrative power clearing includes: (1) Various internal management rights, including organizational personnel management (cadre selection, recruitment of new teachers, teacher transfer, professional title evaluation, merit evaluation, etc. ), financial management (official reception, fund use, project construction, etc.), asset management (item procurement, daily office supplies management, fixed asset management, etc.), important decision-making (policy formulation, project establishment, asset disposal, evaluation and confirmation, administrative rewards and punishments) etc.); (2) Other administrative law enforcement rights and internal affairs management rights implemented in accordance with the law.
2. Optimize the power operation process and improve organizational rules and procedures. It is necessary to optimize the path of power operation and improve the efficiency of internal control based on the basic principles of compliance with the law, simplicity and clarity, convenience for the masses, and ease of supervision. Ensure checks and balances between links and personnel, and put decision-making, law enforcement and management rights under strict internal control and monitoring.
(3) Adhere to the linkage between top and bottom to investigate administrative risks
Risk refers to the possibility of corruption among party members and cadres in exercising power, performing official duties or in daily life. Specific requirements for investigation:
1. Investigation by position and link. It is necessary to implement the risk investigation work into each specific position, every power of the position, and every link of the operation of power, expand the breadth and depth of the investigation, consider the hidden dangers and problems as serious as possible, and strive to comprehensively find the risk sources (points) , be more detailed and accurate. On the basis of universal investigation, it is necessary to highlight the risk investigation of key positions, important power items, and key links in the operation of power.
2. Clarify the search method. Combining self-finding, mass help, leadership points and democratic evaluation methods, organize all party members, cadres and faculty to participate in finding risks, everyone will identify risks, and everyone will formulate preventive measures.
Specifically, we mainly start from three aspects: first, identify links where violations of laws and disciplines have occurred as risk points; second, identify areas where no cases have occurred, but where there are significant risks and hidden dangers. The third step is to find out the links that have the risk of crime and for which other regions and other units have taken preventive measures as risk points.
3. Standardize the search steps. The investigation of risk points should be carried out in accordance with the six steps of self-examination by each cadre and faculty member. The head of the school's department leads all personnel to focus on the discussion. The department head's initial review, the unit's internal control committee, the second review, listen to the opinions of the democratic management committee, and the unit's leadership group's collective final review and confirmation. To complete the steps and check every level to ensure quality.
4. Highlight the key points to search for. Focus on investigating five types of risks: ideological and moral risks, system and mechanism risks, job responsibility risks, business operation risks and interpersonal risks.
(1) Ideological and moral risks.
Find out whether you ignore the provisions of the disciplinary system, constantly make small mistakes, abuse your discretion, and often make decisions that are contrary to common sense; whether you fail to report in accordance with the regulations or deliberately conceal important official duties and business that you are responsible for and handle; whether you often make mistakes that do not belong to you. exert influence on the work within the jurisdiction; whether they tolerate disciplinary and illegal behaviors in a silent manner, or do not respond appropriately to suspicious phenomena; whether they often go to high-end entertainment consumption or unhealthy activity venues, have disorderly living behaviors, and the masses or family members have Reflect etc.
(2) Institutional mechanism risks. Combined with the management authority, find out whether the internal control system of the undergraduate department is specific and effective, and whether it covers the entire process of various official or business activities and power operations. In particular, it is necessary to investigate those risk sources (points) that are not paid attention to and have no institutional constraints, and ensure that key nodes involving powers and interests are effectively regulated and constrained by the system.
(3) Job responsibility risks. In combination with job responsibilities, we will focus on investigating possible risks in collective decision-making behavior and implementation of rules of procedure.
(4) Business operation risk. Combined with the characteristics of business work, look for disciplinary and illegal behaviors that are prone to occur during the operation of various business processes.
(5) Interpersonal risk. Combined with their own authority, check whether they have close contact with the service recipients and often eat and drink together; whether they accept banquets, entertainment and other consumption risk sources that may affect the fair execution of official duties.
5. Establish an information database of sources (points) of integrity risks. The various risk points identified must be carefully analyzed and evaluated, and the risks should be ranked according to the probability of risk occurrence and the degree of harm and loss, and divided into three levels: high, medium and low. In accordance with the requirements of comprehensive content, clear description, and concise language, use charts to register risk points one by one, classify and summarize them, and list the types of problems, manifestations, causes, risk levels, and involved positions and personnel one by one, and establish The risk ledger forms the risk information database of the unit.
(4) Formulate preventive measures and clean up and integrate the system.
1. Develop risk prevention measures. For each risk source (point) found, conduct an in-depth analysis of the causes of the risk, and formulate specific and effective preventive measures one by one in accordance with the requirement that risk points must have preventive measures.
2. Improve rules and regulations. Clean up and integrate the original systems, and creatively revise and supplement them according to the new situation and new requirements, reconstruct the various rules and regulations for the internal control of unit power, and compile the internal control systems into a book to form an institutional system.
Focus on strengthening the restriction and supervision of power in major decision-making, appointment and removal of cadres, personnel deployment, use of funds and management of goods, and use a complete internal control system to manage people, affairs, money and materials.
3. Continuously update the internal control mechanism.
(5) Carry out inspection and evaluation to ensure the effectiveness of internal control
1. Carry out self-examination and self-correction normally. If problems are discovered, violations of disciplines and violations must be promptly held accountable and the inspected objects must be urged to make corrections.
2. Receive special evaluations regularly.
3. Earnestly implement the accountability system.
4. Work Requirements
1. Strengthen leadership and implement responsibilities. Promoting the construction of internal control mechanisms is an important task in building an anti-corruption and clean system. Work responsibilities must be implemented at all levels in accordance with the requirements of the responsibility system for party style and clean government construction.
2. Highlight key points and make overall arrangements. In accordance with the requirements of the County Bureau's "Implementation Plan", work at each stage must be carefully arranged, step by step, and steadily advanced to ensure that all work measures are implemented in place.
3. Learn from, explore and innovate. Continuously enrich the content and form of the internal control mechanism construction work, continuously accumulate typical experience in the construction of departmental internal control mechanisms, and form the characteristics of the school's internal control mechanism.
Internal Control Work Plan Part 2
In accordance with the requirements of the "Basic Standards for Enterprise Internal Control" and supporting guidelines, and the enterprise's internal control work plan. In 20xx, the focus of internal control work will be the basic management of the internal control system.
(1) Actively publicize and implement the "Internal Control Manual (20xx Edition Construction and Furnace Building Volume)"
Based on the publicity and implementation of the new manual, relevant part-time internal control positions in each unit are required to do Carry out business process sorting work, comprehensively sort out applicable processes, important risks and key control points, and effectively achieve centralized management of business positions.
(2) Strengthen basic internal control management and optimize business processes
The idea for internal control management in 20xx is to continue to deepen system construction, promote job standardization, consolidate basic management, and continuously strengthen internal Control and legal risk prevention and control, improve management and control capabilities, continue to strictly manage bidding, contracts and market, standardize market transaction behavior, and continue to achieve refinement of management and new progress in management by strengthening various basic management tasks.
(3) Focus on improving execution and risk management, continue to optimize business processes, highlight major and important risk control and daily supervision work, and improve project (including but not limited to) budget costs and settlement efficiency levels , effectively improve business management and control capabilities.
Each department and production unit must take management responsibilities and basic business as the starting point, comprehensively sort out the applicable processes, important risks and key control points, implement the applicable processes and risk control and assign them to professional departments and business positions, strengthen Professional departments and business positions have centralized management responsibilities; use process management and performance indicator assessment as means to improve assessment management methods. Establish a "simple, efficient and standardized" process management mechanism, strengthen the management of basic internal control work, and further promote the improvement of project budget management and project settlement execution capabilities.
Internal Control Work Plan Part 3
In order to further standardize social insurance handling and management work, ensure the safe operation of social insurance business handling, strictly control handling risks, and ensure fund security and data Safety. According to the relevant provisions of the "Social Insurance Law" and "Social Insurance Audit Measures", combined with the actual situation of our county bureau, the following work arrangements are made for the social insurance audit work in XX. Please follow them carefully.
1. Daily internal audit
(1) Audit content
Enterprise employee basic pension insurance, basic medical insurance, work-related injury insurance, maternity insurance, unemployment insurance fund The status of various business operations such as receipts, expenditures, and management, as well as the management and operation of computer hardware and software.
(2) Audit focus
In accordance with the requirements of the "Internal Control System", the focus is on:
1. Basic pension insurance, basic medical insurance, work-related injury insurance, maternity insurance Insurance and unemployment insurance registration and payment base declaration, basic pension insurance, work-related injury insurance, medical insurance, maternity insurance, unemployment insurance base determination and collection ratio, pension insurance on-the-job refund and death refund, pension insurance relationship transfer, insurance participation Whether the business procedures for changes in important personnel information, calculation of retirement benefits, socialized payment of retirement benefits, return of unsuccessful funds to payment accounts and replacement of retirement benefits, payment of work-related injury and maternity insurance benefits, financial fund management, etc. are complete and Comply with the approval procedures at all levels, check whether there are manual processing, cash payment, etc.
2. Whether all businesses are handled in accordance with operating procedures and business processes, and whether the internal control system is implemented in place.
3. Whether computer hardware and software management are in place and whether information is safe.
(3) Audit methods and objectives
Combining daily audits with regular spot checks, and in accordance with the requirements of the internal control system, we will do a good job in internal audit work, and at the end of each month, we will review the results of the previous month. Random inspections will be carried out on the handling of key businesses, and the spot inspection area shall not be less than 20% of the business volume handled. Through daily audits, we promote the institutionalization and standardization of business operations, and ensure that all business operations are conducted in compliance with laws and regulations.
2. On-site audit
(1) Audit time and content
From August to October 2019, the insured company personnel in our county were Conduct on-site audits on the status and payment base declaration status and social insurance premium payment status. The contents of the on-site audit are:
1. Employees’ insurance participation status, check whether there is under-reporting or under-reporting of the number of insured persons.
2. Declare the payment base and check whether there is any under-reporting or omission of the salary base.
3. Check the payment status of social insurance premiums and check whether there is any underpayment or underpayment of social insurance premiums.
4. Check the payment status of social security benefits and check whether you are enjoying various social benefits in accordance with regulations.
(2) Audit methods
Establish a bureau on-site audit working group. The working group is led by the director of the in-charge unit and consists of relevant staff from the audit unit, coordination unit, and finance unit. The team is specifically responsible for the on-site audit work of insured companies in the county. The on-site audit companies are Anhan Group and its affiliated companies, Jiutian Vacuum, Telecom, etc. The on-site audit area strives to reach more than 25%.
Internal Control Work Plan Part 4
20xx is a critical year for our group’s listing promotion work. In accordance with the requirements of the "Basic Standards for Enterprise Internal Control" and supporting guidelines jointly promulgated by the Ministry of Finance, the China Securities Regulatory Commission, the National Audit Office, the China Banking Regulatory Commission, and the China Insurance Regulatory Commission, and based on the company's current actual situation, the company's internal control system should be gradually established and improved to standardize the company's internal control behavior. , to prevent enterprise risks.
1. The goals of internal control:
The first is legal compliance, and the second is improving efficiency.
1. Legal compliance: National legal requirements, whether in writing or in substance, all applicable laws and regulations should be complied with.
2. Improve efficiency. Business departments spend a lot of time and energy implementing internal controls in the hope of improving efficiency. "Simplify complex problems, streamline simple problems, and systemize process problems" is a principle that is always adhered to when doing process control.
2. Implementation of internal control work
1. Establish a healthy internal control cultural environment
(1) By establishing a "simple and reliable" It is the core value of the company,
(2) Maintain a simple company culture and a flat organizational structure, without red tape, and adopt a result-oriented and efficient decision-making method.
(3) Each business department is interdependent and supports each other.
2. Gradually establish and improve the risk assessment and control mechanism
The risk assessment process in internal control must identify the external risks and internal risks that exist for the company to complete the established goals, and analyze various risks type and extent. Control measures generally include: separation of incompatible duties control, authorization and approval control, accounting system control, property protection control, budget control, operational analysis control and performance evaluation control, etc.
3. Establish an information and communication system
By establishing an information and communication system, clarify the collection, processing and transmission procedures of internal control-related information, ensure timely communication of information, and promote internal control Run effectively.
4. Gradually establish the management method of internal control of the enterprise
Department leaders are the first person responsible for the internal control of their departments. They should adopt the "head of state accountability system" for the internal control of department risks. ". The internal leaders of each department conduct internal supervision and control over the work of employees in the department, and employees implement job-based internal supervision based on processes. The company's supervision department reports, evaluates, supervises and manages business units. The Group Executive Committee has the rights and responsibilities to supervise, evaluate, and supervise the work of various regions and departments of the Group. The group board of directors has the rights and responsibilities to supervise, evaluate and supervise the work of the executive committee.
By establishing a "management by objectives" assessment system, we establish the responsibilities and work goals of each employee in the company and ensure the consistency between the company's goals and employees' work goals.
3. Scope of internal control work
Internal control work will involve all management levels of the group, covering business areas such as group company sales, after-sales service, and product extension. Can include: corporate governance structure, organizational structure construction, 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, etc.
IV. Development and organization of internal control work
1. The initial development of internal control work is set to take two years to establish the basic work of internal control and three years to implement the internal control system.
2. Internal control work is implemented at the two organizational levels of the board of directors and management
(1) The board of directors provides governance, guidance and supervision in internal control. It is an important element of internal control.
(2) Quality and conduct of the management
The management is responsible to the board of directors. The quality and conduct of management directly affects corporate goals and the way they are achieved. It also affects the quality, conduct and code of conduct of employees. It directly reflects the orientation of corporate culture. Top management's attitude and concern for effective internal controls must be embedded in the business.
(3) The Group’s Internal Control Department is a functional organization that implements internal control.
Internal Control Work Plan Part 5
As the China Securities Regulatory Commission attaches great importance to the internal control audit of listed companies, the company's internal control management work has gradually developed from the preliminary stage to systematic and standardized development. In order to To effectively carry out the internal control management work in XX, this plan is specially formulated according to the requirements of the company's audit committee.
The internal control management team in xx mainly focused on improving the internal control management processes and systems and strengthening the execution of the internal control processes. Through the deficiencies discovered in internal control audits in recent years, while formulating rectification measures, the process and execution capabilities have been improved, so that internal control management has entered a stage of self-examination, self-improvement, and continuous improvement. Based on the above main ideas, the main work plan for xx is as follows:
1. Strengthen the training of internal control knowledge. In XX, we organized and participated in a training course on external internal control knowledge to learn and introduce advanced internal control management knowledge from other companies to ensure that the company's internal control management work keeps up with the requirements of regulatory agencies such as the China Securities Regulatory Commission.
2. Complete self-internal control audit work on time. Conduct self-internal control audits on time in accordance with the requirements of the China Securities Regulatory Commission and external accounting firms, regularly complete quarterly and annual internal control audit drafts and reports, and submit internal control audit reports and internal audit work reports to the Audit Committee on time.
3. Further standardize internal control audit sample records. According to the requirements of the China Securities Regulatory Commission, establish appropriate methods for the selection and preservation of the format and records of internal control samples to ensure the verifiability and traceability of internal control audit reports.
4. Update the corporate 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 was organized to supplement and improve the relevant systems, and the relevant processes were added to the "Enterprise Internal Control Manual". For systems that have not been published
Supervise relevant departments in a timely manner Revised and published.
5. Strengthen the review of financial reports. In order to improve the credibility and accuracy of the company's financial reports, we will strengthen the review of financial reports in XX, prepare internal review templates for financial reports, improve the content of internal review of financial reports, retain review drafts in a timely manner and submit internal reviews to the audit committee on time Report.
Internal Control Work Plan Part 6
1. Overall work goal:
As the China Securities Regulatory Commission attaches great importance to the internal control audit of listed companies, the company’s internal control management The work has gradually developed from the preliminary stage to systematic and standardized development. In order to effectively carry out the internal control management work in 201x, this plan is specially formulated in accordance with the requirements of the company's audit committee.
In 201x, the internal control management team will focus on improving internal control management processes and systems and strengthening the execution of internal control processes. Through the deficiencies discovered in internal control audits in recent years, while formulating rectification measures, the process and execution capabilities have been improved, so that internal control management has entered a stage of self-examination, self-improvement, and continuous improvement. Based on the above main ideas, the main work plan for 201x is as follows:
1. Strengthen the training of internal control knowledge. In 201x, we organized and participated in an external internal control knowledge training course to learn and introduce advanced internal control management knowledge from other companies to ensure that the company's internal control management work keeps up with the requirements of regulatory agencies such as the China Securities Regulatory Commission.
2. Complete self-internal control audit work on time. Conduct self-internal control audits on time in accordance with the requirements of the China Securities Regulatory Commission and external accounting firms, regularly complete quarterly and annual internal control audit drafts and reports, and submit internal control audit reports and internal audit work reports to the Audit Committee on time.
3. Further standardize internal control audit sample records. According to the requirements of the China Securities Regulatory Commission, establish appropriate methods for the selection and preservation of the format and records of internal control samples to ensure the verifiability and traceability of internal control audit reports.
4. Update the corporate internal control manual and improve the missing processes and systems. In response to the missing systems and processes found in 201x, the management team was organized to supplement and improve the relevant systems, and added the relevant processes to the "Enterprise Internal Control Manual", and urged relevant departments to revise and release unreleased systems in a timely manner.
5. Strengthen the review of financial reports. In order to improve the credibility and accuracy of the company's financial reports, we will strengthen the review of financial reports in 201x, prepare internal review templates for financial reports, improve the content of internal review of financial reports, retain review drafts in a timely manner and submit internal reviews to the audit committee on time Report.
Internal Control Work Plan Part 7
I have been working in a bank for many years and have served hundreds of customers. During my work, I constantly remind myself to work seriously and have a humble attitude. Customers are God's principles. Therefore, my work has achieved remarkable results and has been recognized and supported by my customers. According to the actual situation of our bank's accounting and settlement work in 2008, the work for this year mainly focuses on three aspects: service, quality, and quality. Now we will formulate a personal work plan for the bank based on these three aspects:
1. The focus of the 20xx work plan is still to focus on customers and provide settlement services. Customers are the source of our survival. As the sales department is also the window to the outside world, the quality of service directly affects the credibility of our bank
1. Our bank has always advocated the "first inquiry responsibility system" and " We will continue to implement "full-time service", "standing service" and "three-ring service", and ensure that every employee can treat every customer patiently and satisfy customers.
2. As competition in the financial industry intensifies, customers have higher and higher requirements for bank services, not only in counter services but also in our bank’s service varieties. In addition to continuing to provide In addition to doing a good job in agency settlement of utility bills, taxes, fiscal charges, traffic fines and confiscations, and BSP aviation agency, we must also do a good job in various service types such as highway network tolling business, open-end fund acquisition business, and securities business that will be launched next year. , improve the competitiveness of our bank.
3. Actively strengthen contact with personal business, participate in personal business, and become familiar with personal business to better serve customers. Although the integrated business system has been installed, it has not been able to achieve true integration due to various reasons, which is a shortcoming in the work of my sales department.
4. With the bank as the classroom, next year we will hold more lectures on bank settlement methods to increase people's financial knowledge, let customers know more about the bank, get closer to the bank and integrate into our bank's business.
5. Continue to do a good job in telephone banking, self-service banking and online banking, and promote the use of online banking services to high-quality customers.
2. Strengthen internal control system management to prevent risks and ensure work quality. With the increase in financial crime cases in recent years, we have higher requirements for operational standards and system implementation
1. Supervise the science and technology department to replace the computer interface of my business department as soon as possible, and then strictly In accordance with the requirements of the comprehensive business system, we implement the division of power, with one post and one card, and one person and one card, to strengthen the rigidity of system execution and improve the binding force.
2. Further strengthen the internal control and external defense of important links and important positions, focusing on strengthening account management (to ensure the quality of our bank's account opening units) and door-to-door services.
3. Formulate a work plan for financial personnel, further strengthen the accounting and cashier system, strictly implement and inspect the accounting and cashier system, and standardize the use and custody of accounting seals and blank important vouchers.
4. Focus on promoting the sale of payment ciphers to ensure the security of bank-enterprise settlement funds and further improve our bank's means of preventing external settlement risks.
5. Standardize business operation procedures, strengthen the general accounting daily inspection system to discover hidden dangers in a timely manner, reduce errors and eliminate settlement accidents.
6. Effectively implement the business guidance and inspection of branch offices.
7. Carry out regular assessment of accounting quality.
3. Put people first to improve the overall quality of employees. The quality of employees is fundamental to the development of a bank. Under the current frequent turnover of personnel, our business department urgently needs a high-quality team
1. Check the recruitment and employment of employees. The banking industry sounds beautiful, but it is actually full of competition and risks, so you need to have certain psychological quality and cultural accomplishment to work in our sales department. In terms of employment, suitable positions should be determined based on the employee's ability and the ability to maximize the employee's potential, thereby improving employee enthusiasm.
2. Strengthen business training, which is also the most urgent next year. The training plan has been submitted to the personnel department to prepare basic knowledge on the cashier system, payment and settlement methods, comprehensive business system accounting system, new accounting subjects, etc. and training on various emerging businesses.
3. In the case of tight personnel, it is still necessary to strengthen on-the-job training. In addition to participating in next year's technical competition, it is also necessary to improve the professional level of employees.
4. Do diligent ideological work of employees, care and encourage employees, and strengthen employees’ psychological quality.
5. Carry out job rotation in a planned and purposeful manner to train each employee to transform from a single operation to a mixed multi-functionality.