Experience, practices and achievements in internal control of the unit

About the unit’s internal control work experience, practices and results

Whether you are engaged in professional work or administrative affairs, you must learn to convey government orders and policies and handle official affairs through official documents to ensure that Coordinate various relationships and decide matters so that work can be carried out correctly and efficiently. The following is the content I have compiled for you about the company’s internal control work experience, practices and results. It is for reference only. I hope it can help you! Unit Internal Control Work Experience, Practices and Achievements Chapter 1

In order to further improve the internal management level, standardize internal control, and strengthen the construction of an honest risk prevention and control mechanism, the Xiangtan Audit Bureau regulates economic and business activities in an orderly manner With operation as the main line, guided by the quantitative evaluation of internal control, and with standardizing the operating procedures and restrictive measures of economic and business activities in key positions as the key, we have solidly carried out internal control construction work, further established and improved internal control-related systems, and built a relatively complete internal control system.

1. The party group attaches great importance to the organization and leadership, and the organization and leadership are strong

In order to effectively strengthen the organizational leadership of internal control construction and fully promote the internal control construction, the bureau established an internal control construction leadership The group is headed by the Secretary of the Party Leadership Group and the Director, the deputy secretary of the Party Leadership Group, the Deputy Director and the bureau leader in charge of financial work are the deputy leaders, and other members of the leadership team are members and are responsible for the organizational leadership of internal control construction work; the leading group has an office , the financial person in charge also serves as the director of the office, and its members include the heads of the legal review department and the supervision office, accountants, and cashiers, who are responsible for the specific matters of internal control construction. Insist on incorporating internal control construction work into the agenda of the director's office meeting, and focus on studying and solving difficulties and problems existing in the implementation process. The main person in charge of the bureau has hosted several working meetings, studied and formulated work plans, and arranged and deployed relevant work. It has effectively formed a work pattern in which the "top leader" takes overall responsibility, leaders in charge are responsible for specific tasks, team members assist, and take the lead in departments to undertake specific tasks. Effectively promoted the smooth development of work.

2. Sufficient preparation and solid preliminary work

In order to ensure the effectiveness of internal control construction, the bureau insisted on taking multiple measures, actively prepared for various preliminary work, and made relatively solid progress. Prepare. The first is to formulate a work plan. In combination with the requirements of relevant provincial and municipal documents and the actual audit work, the bureau researched and formulated the "Xiangtan Audit Bureau Internal Control Construction Work Plan", which clarified the guiding ideology, overall goals, organizational structure, implementation steps and work requirements, and set out the work tasks It is detailed down to the person and included in the year-end assessment of departments and individuals. For departments and individuals who fail to complete the work within the scope of responsibility as required and as scheduled, their qualifications for first-rate evaluation will be cancelled. The second is to carry out extensive publicity. Through the director's office meeting, bureau affairs meeting, bureau cadres and staff meetings and other meetings, and making full use of the bureau's electronic display screen, OA system, printing and distribution of promotional materials, etc., the implementation background, significance, implementation principles, and implementation of the "Internal Control Standards" are widely publicized. requirements, etc., creating a good atmosphere for the implementation of the "Internal Control Standards" in the overall situation. The third is to carry out learning and exchanges. Organize members of the leading group office to conduct study tours at sister city and state audit bureaus, fully learn from their advanced experience and good practices in internal control construction, and provide reference for carrying out internal control construction work. The fourth is to organize training seminars. The organization bureau’s internal control construction work leading group, its office members, and heads of various departments (offices, centers) conducted special training and study on the "Compilation of Internal Control Construction Work Data of Xiangtan Administrative Institutions" and related systems and documents to promote familiarity and Master the relevant regulations; organize cadres above the section chief level to conduct special seminars on internal control construction work, carefully listen to their opinions and suggestions on internal control construction work, and lay the foundation for carrying out internal control construction work.

3. Step-by-step implementation, fruitful work results

The bureau divides the internal control construction work into four parts: sorting out work processes, improving internal control systems, establishing internal control manuals and conducting internal control self-evaluations. stage, the work tasks at each stage were clarified and promoted step by step. Finally, the "Xiangtan Audit Bureau Internal Control Work Manual" was compiled and achieved relatively fruitful work results. First, the management structure of major economic activities has been established. The bureau has effectively designed the management structure of the main economic activities, stipulated the functional departments, job settings, incompatible positions, executive personnel and supervisory departments for each business activity, and compiled the "Management of the Main Economic Activities of the Xiangtan Audit Bureau" Structure", making the powers and responsibilities of relevant departments and personnel clearer. The second is to standardize the work process of power operation and main economic business control. The bureau clarified the implementation procedures for the 16 administrative powers involved and drew 16 project flow charts. Based on the actual situation of each major economic business, the control work process was refined, 12 work flow charts were drawn, ***48 possible risk points in each major economic business activity were found, and corresponding main prevention and control measures were formulated. There are 152 measures in total, and the responsible entities for key links in each process have been clarified. The third is to establish and improve various internal control systems of the bureau. In accordance with the requirements of the "Internal Control Standards", the bureau conducted a comprehensive review of the existing work systems at the unit level and business level. Based on the actual and practical needs of audit work, the bureau collected and sorted out the "three determinations" plan, power list, administrative power implementation procedures and There are 15 systems and methods in operation processes, discussion and decision-making, audit business management, financial management (including major economic business management), etc., of which 1 has been modified and 4 have been supplemented, forming an internal division of labor, collaboration, mutual supervision and restraint institutional mechanism and establish a relatively complete internal control system. Unit Internal Control Work Experience, Practices and Achievements Chapter 2

Since XXXX, combined with the characteristics of personal financial business, our department has focused on the business process integration of related business types, related system construction, business and policy learning, etc. The local government strengthened management and held director's office meetings and department plenary meetings to make arrangements for relevant internal control work. The recent internal control work report of our department is now as follows:

1) XXX business. Our department conducted an inspection on the credit card business, and the customer files, password envelopes, inventory XXX and finished product XXX were consistent.

2) Strengthened internal control and compliance. The internal control and compliance officers were adjusted and implemented. Based on the actual situation of the Personal Finance Department, it was stipulated that ==, the deputy director, and several other comrades should be the internal control and compliance officers of the Personal Finance Department. It also plans to hold a case situation analysis meeting within the department every quarter to strengthen the understanding of risks across the jurisdiction and its own risks. In addition, compliance officers are required to put forward constructive suggestions at quarterly case situation analysis meetings and evaluate them at the meetings.

3) Emphasize the importance of business learning and learning of rules and regulations. Deploy at least 2 days per month for all department employees to focus on learning business knowledge, policies, regulations and rules and regulations to create a good learning atmosphere. Strengthen the ideological education of employees and cultivate their correct outlook on life, values ??and ethics.

4) Carry out a comprehensive cleanup of tellers in the peripheral system. Due to recent changes in business personnel across the country, in order to strengthen internal control, our department has promptly cleaned up and updated the operations and management tellers of the credit card system and retail credit system under the jurisdiction, and has registered and filed the cleanup and updates. Recently, ICBC Linyi Branch further improved the bank's internal control management level and maintained the healthy and sustainable development of various businesses. It took three measures to strengthen the bank's internal control management work.

1. Strengthen refined and standardized management of internal control. After carefully summarizing experience and identifying work deficiencies and loopholes in internal control management, the Internal Control and Compliance Department took the lead in formulating the "Implementation Plan for Linyi Branch to Strengthen Fine and Standardized Management of Internal Control" and implemented it throughout the bank.

The plan requires that the internal control management work of the whole bank must start from the basic work, and strictly follow the internal control management and operational standards of the superior bank, refine the control and management links, standardize the supervision and inspection procedures, and improve the rectification and punishment measures for problems found in the internal control management. Strive to do a good job in every aspect of internal control management and achieve scientific management goals. According to this plan, each professional department has also formulated a work plan for fine and standardized management of internal control based on its own actual conditions.

2. Strengthen the linkage to the internal control management assessment of municipal departments. In order to strengthen the implementation of internal control management responsibilities by municipal offices and departments, starting from this year, problems and rectifications discovered in various inspections by superior banks and external regulatory authorities will be included in the operating performance evaluation scores of each department and office in the form of deducted points. During the assessment, the problems will be divided into four levels: general problems, more serious problems, serious problems, and major violations according to the nature and severity of the problems found. The rectification rate of the problems found during the inspection will be evaluated. Each project will be counted separately and points will be deducted cumulatively.

3. Increase the inspection of key businesses such as credit business, bank card business, and electronic banking, further standardize operating procedures, especially strive for a new breakthrough in credit business management, and comprehensively reverse management Extensive passive situation, improve risk prevention and control capabilities, and achieve the overall goal of no cases and no accidents throughout the year, ensuring comprehensive, healthy, stable and sustainable development of credit business and other businesses. Unit Internal Control Work Experience, Practices and Achievements Chapter 3

County and city finance bureaus, municipal administrative institutions:

In order to implement the "Ministry of Finance's Notice on Comprehensively Promoting Administrative "Guiding Opinions on the Construction of Internal Control in Public Institutions" (Financial Accounting [2015] No. 24, hereinafter referred to as the "Guiding Opinions") requires that all units complete the establishment and implementation of internal controls as scheduled. The Ministry of Finance issued the "Notice on Carrying out Basic Evaluation Work on Internal Control of Administrative Institutions" (Financial Accounting [2016] No. 11, hereinafter referred to as the "Work Notice"), the document is hereby forwarded to you, and the relevant matters are notified as follows:

1. Work Requirements

The financial departments of all counties and cities must follow the requirements of the "Work Notice" and quickly deploy local districts to carry out basic evaluation work on internal control of administrative institutions. Attention should be paid to strengthening the overall planning, supervision and guidance of the basic evaluation work of internal control in the region. All competent departments and units must, under the direct leadership of the main person in charge of the unit, conscientiously carry out basic internal control evaluation work in September. After the evaluation is completed, a written risk assessment report must be submitted to the unit leadership team.

2. Time limit requirements

All counties, cities, and departments (units) must follow the specific requirements in the "Work Notice" and urge all departments (units) in the region to complete various tasks as scheduled. This work task is to promote each unit to complete the establishment and implementation of internal control before the end of 2016 through the method of "promoting construction through evaluation".

3. Select points for implementation and comprehensively promote

Based on the current situation of the management of administrative institutions in our city, after research and determination, Xianyang Municipal Transportation Bureau, Xianyang Urban Construction Management Bureau, Xianyang Housing The Urban and Rural Construction Planning Bureau, Xianyang Municipal Environmental Protection Bureau, and Xianyang Municipal Education Bureau are the follow-up units for the same period in 2016.

In the process of comprehensively implementing the "Work Notice", all counties, cities and departments should focus on selecting some units for follow-up guidance at the same time (each county, district, and district should follow up at least 5 units at the same time, Each department shall follow up with no less than one subordinate unit) and promptly coordinate and solve problems and difficulties encountered during the basic evaluation work.

4. Summarize experience

All county and city finance bureaus should submit to the Municipal Accounting Management Office a summary of the basic evaluation work of internal control of units in their region before November 15, 2016. Report. The report is divided into two parts.

The first is the experience and practices of local departments (units) in carrying out basic internal control evaluation work, the results achieved, existing problems, work suggestions and typical cases that can be replicated and promoted. wait.

The second is to simultaneously promote the unit's "Guidance Rating Form for Basic Evaluation of Internal Control of Administrative Institutions" and "Basic Evaluation Report of Internal Control of Administrative Institutions".

All competent departments and units must form the basis of the unit’s internal control in accordance with the "Basic Evaluation Indicators and Rating Form for Internal Control of Administrative Institutions" and its instructions for filling out the form (see Attachments 1 and 2). Evaluation report. On the basis of the basic evaluation work of internal control at the same level and affiliated units, each competent department shall conduct a comprehensive evaluation of the basic internal control situation of the department and form a basic internal control evaluation report of the department (see Appendix 3 for the reference format). The evaluation report should include the internal control evaluation report of each subordinate unit (the evaluation report of each subordinate unit shall be submitted by the competent department). The evaluation reports of other units shall be submitted to the Accounting Management Office of the Municipal Finance Bureau before the end of October. Unit Internal Control Work Experience, Practices and Achievements Chapter 4

In order to further solidly carry out the "Three Stricts and Three Realities" special education, prevent integrity risks and ensure the safety of financial funds, under the guidance of the Ministry of Finance, in accordance with the According to the relevant requirements of the Hebei Provincial Party Committee and the Provincial Government, the Hebei Provincial Department of Finance carefully sorted out and evaluated financial business and managed various risks based on the actual financial work of Hebei Province, formulated and introduced the "1 10" internal control system, and carried out in-depth internal risk prevention in financial work. Control construction work.

The "1 10" internal control system is a basic system plus legal risk control, policy formulation risk control, budget preparation risk control, budget execution risk control, public relations risk control, and agency risk control. There are 10 special risk prevention and control management measures including operational risk control, information system management risk control, position conflict of interest risk control, agency financial risk control and accounting management risk control.

The "1 10" internal control system comprehensively uses prevention and control methods such as separation control of incompatible positions (responsibilities), authorization control, centralized management, process control, information system management control, and agency work performance management control. , integrate internal control throughout the entire process of decision-making, execution, and supervision, so that any decision-making or business work can be documented, preventing various risks that may occur, and preventing abuse of power.

At the same time, we have also established an internal risk prevention and control mechanism for prior prevention, in-process control, post-processing and correction of various risks, realizing the identification, assessment, classification and response of various risks. , monitoring and reporting of the entire process management. In order to ensure practicability and operability, each special risk prevention and control management method summarizes the main control links for each business process, sort out the existing major and general risks, list the risk matters, clarify the responsible entities, and propose practical Feasible prevention and control measures and set up a flow chart.

"Without rules, there is no circle. The financial department has the power to directly manage money and projects, and there are many risk points. A slight carelessness in the exercise of power will cause heavy losses to the country. Therefore, In particular, we must prevent mistakes in decision-making and prevent power from getting out of control.” Gao Zhili, director of the Provincial Department of Finance, said that the “1 10” internal control system is a top-level design and further standardization of internal risk prevention and control under the new situation. The functions will be reorganized and scientifically divided to make various financial business activities more legal and compliant, which will effectively prevent fraud and corruption, improve the safety, standardization and effectiveness of the use of financial funds, and further promote the strict use of power by financial cadres. , Act according to the rules.