Summary of internal control work

Summary of internal control work (general 5 articles)

Time always slips away inadvertently, and our work has come to an end. Looking back on this period, our work ability and experience have all grown, and it is time to do a good job summary. So, have you ever understood the job summary? The following is a summary of internal control work I collected for you (5 articles in general), and you are welcome to share it.

summary of internal control work 1

1. Ethics and values

Integrity and moral values are important components of the control environment, which affect the design and operation of important business processes. The effectiveness of internal control directly depends on the integrity and moral values of the personnel responsible for creating, managing and monitoring internal control. Whether there is a code of moral behavior in the unit and how these codes are communicated and implemented within the unit determines whether there can be honest and moral behavior

(1) The ethics and values of leaders have leverage < P > The principle and moral values of honesty mainly depend on the person in charge of the unit. Strictly and consistently maintain honest behavior and moral standards, and no one shall be above the internal control system. The person in charge should set an example and convey it to all employees.

(2) Formulating codes of conduct and other principles

Defining acceptable business behaviors, ways to deal with conflicts of interest, and ethical standards for employee behaviors and ensuring the effective implementation of these codes and principles. To stipulate the staff's spiritual norms, gfd, work discipline, treating people, environmental sanitation, organization and management, and handling methods for violating the code.

slogans, brochures, training and other means can be used to promote internal employees' understanding and acceptance of the company's philosophy, so that employees can understand and grasp the company's culture and management philosophy.

(3) Punishment regulations.

remedies can be taken for behaviors that deviate from the policies and procedures of the unit and violate the code of conduct. Ensure that these measures are known to the employees of the unit.

(4) Managers' attitude towards interfering with normal procedures or overriding institutional behaviors should always attach importance to managers' attitude towards interfering with normal procedures or ultra vires behaviors.

(5) Faced with the pressure of unrealistic goals

When making key performance indicators, management should consider appropriate, too high unrealistic goals will lead to employees losing enthusiasm and fraud.

2. Management philosophy and management style

The concept, style and style of the unit managers usually greatly affect the control environment from three aspects:

First, the managers' attitude towards risks and the methods to control risks;

second, the importance attached to internal control in order to achieve the budget and other financial and operational objectives;

thirdly, the attitude and actions taken by managers towards accounting statements.

(1) the leading role of the management

the management is responsible for the operation of the unit's management service activities and the formulation, implementation and supervision of management strategies and procedures. Every aspect of the control environment is greatly influenced by the measures and decisions taken by the management. When the management is dominated by one or a few people, the management's philosophy and business style have a particularly prominent impact on internal control.

(2) Management concept

The management concept includes the management concept of internal control, that is, the management attaches importance to internal control and the specific control implementation environment. The management's attention to internal control will contribute to the effective implementation of control. If the person in charge of this unit does not attach importance to internal control, or even opposes it, then the internal control system of this unit is an empty talk. An important criterion to measure the management's attention to internal control is whether the management responds appropriately when receiving reports on internal control weaknesses and violations. The timely issuance of corrective measures by the management shows that they attach importance to internal control, which is also conducive to strengthening the awareness of internal control in the unit.

(3) management style

management style refers to the nature of business risks that management can accept.

management philosophy and management style usually have a general and in-depth impact on enterprises. These influences are intangible, but some positive and negative signs can be found.

3. Cultural construction

Cultural construction is the soul of administrative institutions and an inexhaustible motive force to promote their development. It contains very rich contents, and its core is the spirit and values of administrative institutions. The values here do not refer to all kinds of cultural phenomena in the management of administrative institutions, but the values held by employees in administrative institutions in their work and management.

administrative institutions should attach importance to the indispensable role of cultural construction in realizing the development strategy, increase investment, improve the guarantee mechanism, and prevent and avoid formalism. Units shall, according to their development strategies and their own characteristics, sum up fine traditions, tap cultural heritage, refine core values, and determine the objectives and contents of cultural construction. The main person in charge of the unit should play a leading role in cultural construction, influence the whole team with his excellent character and down-to-earth work style, and create a positive cultural environment. Employees of administrative institutions shall abide by the code of conduct for employees, be loyal to their duties and be diligent and conscientious.

administrative institutions should establish a cultural evaluation system, analyze and summarize the positive role of culture in the development of the unit, study and find cultural factors that are not conducive to the development of the unit, and take timely measures to improve it. The evaluation of unit culture should focus on the employee's identity with the core value of the unit, the social recognition of the brand, participation in the integration of various cultures, and employees' confidence in the future development of the unit.

(II) Risk assessment

Risk assessment refers to the timely identification and systematic analysis of risks related to the realization of internal control objectives in management service activities by administrative institutions, and the reasonable determination of risk coping strategies. Risk factors, risk events and risk results are the basic elements of risk, and risk factors are the necessary conditions for risk formation and the premise for risk generation and existence.

the risk assessment procedures of administrative institutions should consider the signs of relevant risks, external and internal factors that may affect the realization of the unit's objectives, and these procedures should analyze risks and provide a basis for risk management.

Risk management from risk awareness mainly includes three parts: risk analysis, risk evaluation and risk control.

Risk is uncertain and is determined by the probability of various events. Therefore, it is difficult to predict and prevent. Pursuing the balanced optimization of risk and return.

1. Risk control objectives

Internal control is to achieve organizational objectives, so risk control serves to achieve organizational objectives. According to the management and service objectives, administrative institutions should assess the related risks affecting the realization of the objectives and analyze the reasons.

in order to effectively implement risk control, our bureau organizes relevant personnel to organize and implement risk assessment and response according to certain procedures. The implementation process of risk control organization is as follows:

① making a risk management plan;

② risk identification;

③ risk assessment;

④ risk management strategy scheme selection;

⑤ implementation of risk management strategy;

⑥ risk management strategy implementation evaluation.

2. Risk tolerance

When conducting risk assessment, administrative institutions should accurately identify internal risks and external risks related to achieving control objectives and determine the corresponding risk tolerance. Risk tolerance is the risk limit that administrative institutions can bear, including the overall risk tolerance and the acceptable risk level at the business level.

it is impossible to completely avoid all kinds of risks, which is not in line with dialectical thinking. Therefore, administrative institutions should evaluate the risk tolerance of their units to determine which risks can be tolerated and which risks must be avoided and prevented when external or internal factors change.

risk tolerance is related to the nature, social impact, rights and responsibilities, economic consequences and customer evaluation of administrative service activities. Units with special work nature, great social impact and serious economic consequences have less risk tolerance, on the contrary, the risk tolerance may be greater.

administrative institutions with relatively large unit scale, strong resource strength and small punishment by laws and regulations have greater risk tolerance. On the contrary, the risk tolerance may be smaller.

the evaluation of risk tolerance depends on whether the possible losses caused by risks are related to the expenses or costs incurred in avoiding risks, including economic costs, social costs and political costs.

3. Risk identification

Risk identification is a procedure for discovering risks and evaluating the size of risks. The risk identification and evaluation procedures of administrative institutions should consider the signs of related risks, including management level and service activity level. Risk identification and assessment procedures should consider the external and internal factors that may affect the realization of the target, and should analyze the internal control of risks. Since 2

xx years ago, combined with the characteristics of personal financial business, our department has strengthened management in business process integration of related business varieties, related system construction, business and policy learning, and held the director's office meeting and departmental plenary meeting to make arrangements for related internal control work. The recent internal control report of our department is as follows:

1) Business.

our department has carried out an inspection on the credit card business, and the accounts of customer files, password envelopes, inventory and finished products are consistent.

ii) internal control and compliance were strengthened.

The internal control compliance officers were adjusted and implemented. According to the actual situation of the personal finance department, the deputy director was appointed as the lead, and several comrades such as xx were appointed as the internal control compliance officers of the personal finance department. It is also planned to hold a case situation analysis meeting every quarter in the department to strengthen the understanding of the risks under the jurisdiction and their own risks. In addition, compliance officers are required to put forward constructive opinions at the quarterly case situation analysis meeting and evaluate them at the meeting.

3) emphasize the importance of business learning and rules and regulations learning.

deploy at least 2 days every month to carry out centralized learning of business knowledge, policies, regulations and rules by all employees of the department, and create a good learning atmosphere. Strengthen the ideological education of employees and cultivate their correct outlook on life, values and morality.

iv) comprehensively clean up the tellers in the peripheral system.

in order to strengthen internal control, our department promptly cleaned up and updated the operating and management tellers of the credit card system and retail credit system in the whole jurisdiction due to the great changes of business personnel in the whole jurisdiction recently, and registered and filed the cleaning and updating. Recently, in order to further improve the internal control management level of the whole bank and maintain the healthy and sustainable development of various businesses, Linyi Branch of Industrial and Commercial Bank of China has taken three measures to strengthen the internal control management of the whole bank.

1. Strengthen the fine and standardized management of internal control.

on the basis of earnestly summing up experience and finding out deficiencies and loopholes in internal control management, the Internal Control Compliance Department took the lead in formulating the Implementation Plan for Strengthening Fine and Standardized Management of Internal Control in Linyi Branch, which was implemented throughout the Bank. The plan requires that the internal control management of the whole bank must start from the basic work, and strictly follow the internal control management and operation standards of the superior bank, refine the control management links, standardize the supervision and inspection procedures, improve the rectification and punishment measures for problems found in internal control management, and strive to do every work of internal control management and achieve scientific management objectives. According to this plan, all professional departments and offices have also formulated the work plan of fine and standardized management of internal control in combination with their own reality.

2. Strengthen the assessment of indoor control management in the municipal department.

in order to strengthen the implementation of internal control management responsibilities of municipal departments and offices, from this year, the problems and rectification found by various inspections of higher-level banks and external supervision departments will be included in the performance evaluation scores of each department and office by deducting points. During the assessment, according to the nature and severity of the problems found, the problems are divided into four levels: general problems, serious problems, serious problems and major violations, and the rectification rate of the problems found during the inspection is assessed. Statistics are made separately according to the projects, and accumulated points are deducted.

3. Intensify the inspection of key businesses such as credit business, bank card business and electronic banking.

further standardize the operating procedures, especially strive for a new breakthrough in the management of credit business, comprehensively reverse the passive situation of extensive management, improve the risk prevention and control ability, and achieve the overall goal of no cases and accidents throughout the year to ensure the comprehensive, healthy, stable and sustainable development of credit business and other businesses. Summary of internal control work 3

1. Promote safety standardization, implement whole-process risk management and improve the company's safety management system

Since xx, our office has taken the lead in promoting the company's safety standardization. On the basis of the original occupational health and safety management system, our office formulated the implementation plan of safety standardization, cleaned up the safety management processes at all levels in all links of the company, improved the rules and regulations, job safety management and organized on-site safety rectification. After two years of hard work, the company passed the standard acceptance organized by the Chemical Registration Office of the Municipal Administration of Work Safety on November 27th, xx, and reached the requirements of the second-class enterprise of national safety standardization.

the core of safety standardization is to implement whole-process risk management, establish pdca management mode and continuously improve safety performance. According to this requirement, our office organizes all units to conduct a comprehensive safety risk identification and risk control effect evaluation every year; For unconventional activities such as maintenance, technical transformation and change, it is insisted that risk assessment be carried out before implementation, risk control measures be formulated and implemented, inspection and confirmation be carried out during implementation, and verification and effect evaluation be carried out after implementation; Especially for major hazard sources and major risks, it is required to formulate pre-plans and special control plans. Through these means, the safety risks in the company's production and operation are always under control.

2. Establish and improve the company's rules and regulations, and standardize the safety management of all links

In order to standardize the safety management of all levels and all links of the company, I organized relevant functional departments to comprehensively sort out and supplement the enterprise safety management system in xx, and after eight months of hard work, I formed the Compilation of Safety Management System. This system compilation includes 43 systems in five categories: comprehensive management, organizational measures, dangerous operations, technical specifications and occupational health. With the change of the situation, our office organized the review and revision of the assembly in time, and in the first half of this year, the company completed the comprehensive revision of the original assembly and issued the Company's Safety Management System, which improved the company's safety management system from the original 43 systems in 5 categories to 62 systems in 1 categories. Make the safety management at the company level and in all links continuously meet the national laws, regulations, standards and other requirements from the system level.

3. Standardize the account of operation tickets, strictly examine and approve dangerous operations, and ensure the safety of production process

In recent years, our office has continuously improved and perfected various safety management accounts and operation tickets of the company. Up to now, 24 safety management accounts and 1 dangerous operation tickets have been established, and all units have been instructed to correctly standardize their use. The production site is the focus of our safety management work, and two people are arranged to be responsible for the approval of hazardous operations and site safety management, so as to ensure that the whole process of hazardous operations is under effective monitoring.

Fourth, carry out safety inspection, investigate all kinds of hidden dangers and problems, and urge the implementation of safety systems and regulations < p