Internal control work plan 1

I. Guiding ideology

In accordance with the requirements of reform and innovation, simultaneous punishment and prevention, overall consideration and key construction, we will strive to form a school power operation mechanism with system confirmation, scientific decentralization of power, public display of power and real-time monitoring, so as to provide a strong political guarantee for in-depth implementation of the strategy of promoting education through scientific research, vigorously promoting research-based teaching and promoting the harmonious and sustainable development of school science.

Second, the work objectives

1. Overall goal

Strengthen the awareness of risk prevention, establish an endogenous mechanism of self-inspection, active prevention and control, and continuous improvement, and finally achieve the goal of preventing corruption from the source.

2. Specific objectives

(1) arrived at six locations: administrative authority was cleared; Find the location of risk source (point); Preventive measures are in place; Responsibility for prevention is put in place; Long-term internal control mechanism is in place; Administrative efficiency has been improved in place.

(2) Forming six internal control mechanisms: target control (no accidents or cases of violation of discipline and law by cadres); Horizontal control (forming a post responsibility system with clear responsibilities, scientific management and strong constraints, and appropriately decomposing and balancing hot posts and important powers); Vertical control (forming an internal vertical monitoring system); Process control (forming a restrictive relationship between power operation links, monitoring the high-risk links of power operation in real time, and forming a monitoring system); Early warning control (regular warning education, administrative risk early warning); Audit control (regular internal audit).

Three. Work content and implementation steps

(a) the establishment of internal control institutions, in-depth publicity and launch.

1. Establish internal control mechanism. Provide organizational guarantee for the construction of internal control mechanism.

2. Carry out in-depth publicity and delivery. With the goal that all cadres in party member know, are familiar with and participate in internal control, we will carry out in-depth publicity and education activities on the construction of internal control mechanism and vigorously publicize the significance of the construction of internal control mechanism.

3. Formulate the implementation plan for the construction of internal control mechanism. When formulating the plan, carefully absorb the valuable opinions and suggestions in the suggestions and suggestions activities; After the plan is formulated, it is necessary to solicit opinions from the masses and constantly improve the plan.

(2) Clean up the administrative authority and optimize the power operation process.

1. Clean up the administrative power and prepare the power list.

According to the actual situation of the school, the scope of administrative authority clearance includes: (1) various internal management rights, including organization and personnel management (cadre selection, new teacher recruitment, teacher transfer, professional title evaluation, etc.). ), financial management (official reception, use of funds, project construction, etc. ), asset management (commodity procurement, daily office supplies management, fixed assets management, etc. ), and important decisions (. (two) other administrative law enforcement rights and internal affairs management rights implemented according to law.

2. Optimize the power operation process and improve the organizational rules and procedures. Based on the basic principles of legality, simplicity, convenience for the masses and supervision, we should optimize the path of power operation and improve the efficiency of internal control. Ensure the checks and balances between links and personnel, so that the decision-making power, law enforcement power and management power are under strict internal control and monitoring.

(three) adhere to the linkage, investigation of administrative risks.

Risk refers to the possibility of corruption in the exercise of power, performance of official duties or daily life of cadres in party member. Specific requirements of the investigation:

1. Check by post and by link. It is necessary to implement the risk investigation work in every specific post, every power of the post and every link of the power operation, expand the breadth and depth of the investigation, think about hidden dangers and problems as seriously as possible, and strive to find the risk sources (points) comprehensively, meticulously and accurately. On the basis of general investigation, it is necessary to highlight the risk investigation of key posts, important power projects and key links of power operation.

2. Clear the search method. Combine self-seeking, mass help, leadership and democratic evaluation, and organize all party member cadres and teaching staff to participate in finding risks, so that everyone can find risks and formulate preventive measures.

Specifically, it mainly starts from three aspects: first, find out the links that have violated the law and discipline as risk points; Second, although there are no cases at present, there are links with great potential risks to be found as risk points; The third is to find out the links with case risks and the risk points that other regions and other units have taken preventive measures.

3. Standardize the search steps. The investigation of risk points should be carried out according to six steps: every cadre and teaching staff should check the department heads of the school, lead all the staff to focus on the preliminary examination of the department heads, the second examination of the internal control Committee, listen to the opinions of the democratic management Committee, and the collective final confirmation of the unit leadership, so as to complete the steps and ensure the quality.

4. Highlight the key points. Focus on five types of risks: ideological and moral risk, system risk, post responsibility risk, business operation risk and interpersonal relationship risk.

(1) Moral hazard. Find out whether to ignore the provisions of the disciplinary system, whether to constantly make small mistakes and abuse the space of discretion, and often make irrational decisions; Whether to report or deliberately conceal the important official duties and business handled by individuals as required; Whether it often exerts influence on work that does not fall within its jurisdiction; Whether to tolerate violations of discipline and law in a silent way, or not to respond appropriately to suspicious phenomena; Whether frequenting high-end entertainment and consumption places or unhealthy activity places, people or their families have reflected their disorderly life behavior.

(2) Institutional risk. Combined with management authority, understand whether the internal control system of undergraduate course room is specific and effective, and whether it covers the whole process of official or business activities and power operation. In particular, it is necessary to investigate those risk sources (points) that are not concerned and have no institutional constraints, and ensure that key nodes involving authority and interests can be effectively regulated and constrained by the system.

(3) Post responsibility risk. Combined with job responsibilities, focus on collective decision-making behavior and possible risks in the implementation of rules of procedure.

(4) operational risks. Combined with the characteristics of business work, find out the problems that are easy to occur in the operation of various business processes.

(5) the risk of interpersonal communication. Combined with their own authority, find out whether they have too close contact with clients and often eat and drink together; Whether to accept consumption risks such as banquets and entertainment that may affect the fair execution of official duties.

5. Establish a clean government risk source (point) information base. All kinds of risk points identified should be carefully analyzed and evaluated, and the risks should be sorted according to the probability of risk occurrence and the degree of harm and loss, and divided into three levels: high, medium and low. According to the requirements of comprehensive content, clear description and concise language, the risk points are registered and classified one by one, and the problem types, manifestations, reasons, risk levels and the positions and personnel involved are listed one by one, and a risk ledger is established to form the risk information database of the unit.

(four) to develop preventive measures to clean up the integrated system.

1. Develop risk prevention measures. For each risk source (point) found, the causes of risk are deeply analyzed, and specific and effective preventive measures are formulated one by one according to the requirements of preventive measures for risk points.

2. Improve the rules and regulations. Clean up and integrate the original system, creatively modify and supplement it according to the new situation and new requirements, reconstruct various rules and regulations of internal control of unit power, compile the internal control system into a book, and form an institutional system.

Focus on strengthening the restriction and supervision of major decisions, the appointment and removal of cadres and personnel deployment, the use of funds and the management of goods, and manage people, affairs, money and goods with a complete internal control system.

3. Continuously update the internal control mechanism.

(V) Do a good job of inspection and evaluation to ensure the effectiveness of internal control.

1. Conduct self-examination and self-correction normally. When problems are found, it is necessary to promptly hold accountability for violations of discipline and discipline, and urge the inspected objects to rectify.

2. Accept special assessment regularly.

3. Seriously implement the accountability system.

Fourth, the job requirements

1. Strengthen leadership and implement responsibilities. Promoting the construction of internal control mechanism is an important task in the construction of anti-corruption system, and it is necessary to implement work responsibilities at all levels in accordance with the requirements of the responsibility system for building a clean and honest party style.

2. Highlight key points and make overall arrangements. According to the requirements of the "Implementation Plan" of the County Bureau, we should carefully arrange the work in each stage and make steady progress step by step to ensure that all work measures are put in place.

3. Learn from and explore innovation. Constantly enrich the content and form of internal control mechanism construction, and constantly accumulate the typical experience of internal control mechanism construction in departments to form the characteristics of internal control mechanism in schools.

Internal control work plan 2

In accordance with the requirements of Basic Standards for Enterprise Internal Control and supporting guidelines, as well as the work plan for enterprise internal control. The focus of internal control work in 20xx years is the basic management of internal control system.

(1) Actively publicize the internal control manual (20xx version for furnace construction).

On the basis of the promulgation of the new manual, all units are required to do a good job in sorting out business processes, comprehensively sort out applicable processes, important risks and key control points, and effectively manage business posts centrally.

(2) Strengthen the basic management of internal control and optimize business processes.

The thinking of internal control management in 20xx year is: deepening system construction, promoting post standardization, consolidating basic management, strengthening internal control and legal risk prevention and control, improving management control ability, continuing strict bidding, contract and market management, standardizing market trading behavior, and constantly realizing management refinement and new progress by strengthening various basic management work.

(3) Focus on improving execution and risk management, continuously optimize business processes, highlight major and important risk control and daily supervision, improve project budget cost and settlement efficiency, and effectively improve business management and control capabilities.

All departments and production units should take management responsibilities and basic business as the breakthrough point, comprehensively sort out the applicable processes, important risks and key control points, implement the applicable processes and risk control to professional departments and business posts, and strengthen the centralized management responsibility of professional departments and business posts; Improve the assessment management method through process management and performance index assessment. Establish a "simple, efficient and standardized" process management mechanism, strengthen the management of basic internal control work, and further promote the implementation of project budget and project settlement.

Internal control work plan 3

In order to further standardize social insurance management, ensure the safe operation of social insurance business, strictly control handling risks and ensure the safety of funds and data. According to the relevant provisions of "Social Insurance Law" and "Measures for Social Insurance Audit", combined with the actual situation of our county bureau, the following arrangements are made for social insurance audit in xx years, please implement them carefully.

I. Internal Daily Audit

(1) Audit contents

Collection, support and management of basic old-age insurance, basic medical insurance, industrial injury insurance, maternity insurance and unemployment insurance funds, and management and operation of computer hardware and software.

(II) Key points of audit

According to the requirements of the internal control system, focus on:

1, basic old-age insurance, basic medical insurance, work-related injury insurance, maternity insurance, unemployment insurance registration and payment base declaration, basic old-age insurance, work-related injury insurance, medical insurance, maternity insurance, determination and collection ratio of unemployment insurance base, on-the-job and death surrender of old-age insurance, transfer of old-age insurance relationship, change of important information and data of insured persons, calculation and payment of retirement benefits, socialized payment of retirement benefits and return of unsuccessful funds to paying households and replacement of retirement benefits.

2, whether the business is carried out in accordance with the operating procedures and business processes, whether the internal control system is in place.

3, computer software and hardware management is in place, the information is safe.

(3) audit methods and objectives

Combine daily audit with regular spot checks, do a good job in internal audit according to the requirements of internal control system, and conduct spot checks on the handling of key business last month at the end of each month, with the spot check ratio not less than 20% of the business handled. Through daily audits, we will promote the institutionalization and standardization of business handling, and effectively ensure that all businesses are handled in accordance with the law.

Second, the field audit

(a) the audit time and content

From August 20 19 to August 0/0/0, the field audit was conducted on the employees of the insured enterprises, the declaration of payment base and the payment of social insurance premiums in our county. The contents of on-site audit include:

1, employee participation, check whether there is underreporting or underreporting the number of participants.

2, declare the payment base, check whether there is underreporting, omission of wage base.

3, social security payment, check whether there is arrears, underpayment of social security fees.

4, the payment of social security benefits, check whether to enjoy social welfare in accordance with the provisions.

(2) Audit methods

A field audit working group was set up, headed by the director in charge of the unit and composed of relevant staff of the audit unit, the master plan unit and the finance unit. The working group is specifically responsible for the on-site audit of the insured enterprises in the county. The field audit enterprises are Han An Group and its affiliated companies, Jiutian Vacuum, Telecom, etc. , the field audit area to reach more than 25%.

Internal control work plan 4

20xx is a crucial year for our group to promote listing. In accordance with the Basic Standards for Internal Control of Enterprises 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 in combination with the company's actual situation, the company will gradually establish and improve its internal control system, standardize its internal control behavior, and guard against enterprise risks.

First, the target positioning of internal control:

One is legal compliance, and the other is to improve efficiency.

1. Legality and compliance: National laws require that all applicable laws and regulations should be observed in writing or in substance.

2. Improve efficiency. Business departments spend a lot of time and energy to implement internal control, hoping to improve efficiency. "Simplify complex problems, simplify simple problems and systematize process problems" is the principle we have always adhered to when doing process control.

Second, the internal control work

1. Establish a healthy internal control cultural environment.

(1) By establishing "simplicity and reliability" as the core values of the company,

(2) Maintain a simple corporate culture and a flat organizational structure, and adopt a result-oriented and efficient decision-making method without red tape.

(3) Business departments depend on each other and support each other.

2, gradually establish and improve the risk assessment and control mechanism.

In the process of internal control risk assessment, it is necessary to identify the external risks and internal risks existing in the process of completing the established objectives, and analyze the types and degrees of various risks. Control measures generally include: incompatible job separation control, authorization approval control, accounting system control, property protection control, budget control, business analysis control and performance evaluation control.

3. Establish an information and exchange system.

By establishing an information and communication system, the procedures for collecting, processing and transmitting information related to internal control are defined, so as to ensure the timely communication of information and promote the effective operation of internal control.

4. Gradually establish the management mode of enterprise internal monitoring.

The head of the department is the first person responsible for the internal control of the department, and the internal control of departmental risks should adopt the "head of state accountability system". Internal leaders of all departments conduct internal supervision and control over the work of employees in their own departments, and employees conduct post-based internal supervision due to processes. The company supervision department reports, evaluates, supervises and manages all business units. The Executive Committee of the Group has the right and responsibility to supervise, evaluate and manage the work of all regions and departments of the Group. The board of directors of the Group has the right and responsibility to supervise, evaluate and supervise the work of the Executive Committee.

Through the establishment of "management by objectives" assessment system, the responsibilities and work objectives of each employee in the company are established to ensure the consistency between the company's objectives and the employees' work objectives.

Three. Scope of internal control work

Internal control will involve all the management of the Group, including sales, after-sales service, product promotion and other business areas of the Group. It can include: corporate governance structure, organizational construction, investment and financing management, asset management, accounting control, financial management, sales and maintenance service management, extended product management, administrative management, human resources policy, computer information system, contract guarantee, subsidiary management, and important business matters control.

Four. Development and organization of internal control work

1. The internal control work is initially defined as two years for the establishment of the basic internal control work and three years for the implementation of the internal control system.

2. Internal control is implemented in the board of directors and management.

(1) The board of directors provides governance, guidance and supervision in internal control. It is an important factor of internal control.

(2) the quality and behavior of management.

The management is accountable to the board of directors. The quality and behavior of management directly affect the enterprise goals and the way to achieve them, but also affect the quality and behavior of employees and the code of conduct. He directly embodies the orientation of corporate culture. The attitude and concern of the top management for effective internal control must be integrated into the enterprise.

(3) The internal control department of the Group is the functional organization for implementing internal control.

Internal control work plan 5

With the attention of the CSRC to the internal control audit of listed companies, the internal control management of companies has gradually developed from the initial stage to systematization and standardization. In order to do a good job of internal control management in xx years, this plan is specially formulated according to the requirements of the company's audit committee.

The focus of the internal control management team in xx years is mainly to improve the internal control management processes and systems and strengthen the implementation of internal control processes. Through the defects found in internal control audit in recent years, while making rectification measures, the process and execution are improved, so that internal control management enters the stage of self-examination, self-improvement and continuous improvement. According to the above main ideas, the main work plan for xx year is as follows:

1, strengthen internal control knowledge training. Organize a training course on external internal control knowledge in xx years, learn and introduce advanced internal control management knowledge from other enterprises, and ensure that the internal control management of enterprises keeps up with the requirements of the CSRC and other regulatory agencies.

2. Complete the internal control audit on time. According to the requirements of the CSRC and external accounting firms, self-internal control audits are carried out on time, quarterly and annual internal control audit papers and reports are completed regularly, and internal control audit reports and internal audit work reports are submitted to the audit committee on time.

3. Further standardize the internal control audit sample records. According to the requirements of China Securities Regulatory Commission, establish appropriate internal control sample format, record selection and preservation methods to ensure the verifiability and traceability of internal control audit reports.

4. Update the internal control manual and improve the deficiencies of processes and systems. In view of the missing systems and processes found in 20 14, the management team was organized to supplement and improve the relevant systems and add the relevant processes to the enterprise internal control manual. For unpublished systems,

Urge the relevant departments to revise and publish in time.

5. Strengthen the audit of financial reports. In order to improve the credibility and accuracy of the company's financial report, we will strengthen the audit of xx financial report, prepare the internal audit template of financial report, improve the content of internal audit of financial report, save the audit papers in time and submit the internal audit report to the audit committee on time.

Internal control work plan 6

1, overall work objective:

With the attention of the CSRC to the internal control audit of listed companies, the internal control management of companies has gradually developed from the initial stage to systematization and standardization. In order to do a good job of internal control management in 20 1x years, this plan is formulated according to the requirements of the company's audit Committee.

In 20 1x, the focus of the internal control management team is mainly to improve the internal control management processes and systems and strengthen the implementation of internal control processes. Through the defects found in internal control audit in recent years, while making rectification measures, the process and execution are improved, so that internal control management enters the stage of self-examination, self-improvement and continuous improvement. Based on the above main ideas, the main work plan of 20 1x is as follows:

1, strengthen internal control knowledge training. 20 1x organizes training courses on external internal control knowledge, learns and introduces advanced internal control management knowledge from other enterprises, and ensures that the internal control management of enterprises keeps up with the requirements of the CSRC and other regulatory agencies.

2. Complete the internal control audit on time. According to the requirements of the CSRC and external accounting firms, self-internal control audits are carried out on time, quarterly and annual internal control audit papers and reports are completed regularly, and internal control audit reports and internal audit work reports are submitted to the audit committee on time.

3. Further standardize the internal control audit sample records. According to the requirements of China Securities Regulatory Commission, establish appropriate internal control sample format, record selection and preservation methods to ensure the verifiability and traceability of internal control audit reports.

4. Update the internal control manual and improve the deficiencies of processes and systems. In view of the missing systems and processes found in 20 1x, organize the management team to supplement and improve the relevant systems, and supplement the relevant processes into the internal control manual of the enterprise, and urge the relevant departments to revise and publish the systems that have not been published in time.

5. Strengthen the audit of financial reports. In order to improve the credibility and accuracy of the company's financial report, on 20 1x, we will strengthen the audit of financial report, prepare the internal audit template of financial report, improve the internal audit content of financial report, save the audit papers in time and submit the internal audit report to the audit Committee on time.

Internal control work plan 7

I have worked in a bank for many years and served hundreds of clients. I constantly remind myself to be serious and modest, and the customer is God's principle. Therefore, my work performance is remarkable, and I have been recognized and supported by customers. According to the actual situation of our bank's accounting settlement work in 2008, the work in 2008 mainly started from three aspects: paying attention to service, quality and quality. Now we have made a personal work plan for the bank according to these three aspects:

First, the focus of the 20xx work plan is still to take customers as the center and do a good job in settlement services. Customers are the source of our existence. As the sales department and external window, the quality of service directly affects the credibility of our bank.

1. We will continue to implement the "first inquiry responsibility system", "full-time service", "standing service" and "three-tone service" that our bank has always advocated, so as to ensure that every employee can treat every customer patiently and satisfy customers.

2. With the intensification of competition in the financial industry, customers' requirements for banking services are getting higher and higher, which is not only reflected in counter services, but also in our service varieties. In addition to continuing to do a good job in the agency settlement of public utility fees, taxes and fees, financial charges, traffic fines, bsp aviation agency and other businesses, we should also do a good job in the expressway network charging business, open-end fund acquisition business, securities business and other businesses that will be opened next year to improve our competitiveness.

3. Actively strengthen contact with personal business, participate in personal business, be familiar with personal business, and better serve customers. Although I have been working on the integrated business system, I have not been able to achieve real integration for various reasons, which is the lack of work in my sales department.

4. Taking banks as the classroom, we will hold more lectures on bank settlement methods next year to increase people's financial knowledge, and let customers know more about banks and get close to them, so as to integrate into our business.

5. Continue to do a good job in telephone banking, self-service banking and online banking, and promote the use of online banking to quality customers.

Two, strengthen the management of internal control system, prevent risks and ensure the quality of work. With the increase of financial crimes in recent years, we have higher requirements for operational norms and system implementation.

1, urge the science and technology department to replace the computer interface of our business department as soon as possible, and then implement the division of powers in strict accordance with the requirements of the integrated business system, with one post and one card, so as to enhance the rigidity of system implementation and improve the binding force.

2. Further strengthen the internal control and external defense of important links and positions, focusing on account management (ensuring the quality of the account opening unit of the Bank) and on-site service.

3. Formulate the work plan for financial personnel, further strengthen the accounting cashier system, strictly implement and check the accounting cashier system, and standardize the use and custody of accounting seals and blank important vouchers.

4. Focus on payment cipher sales, ensure the security of bank-enterprise settlement funds, and further improve the means for banks to prevent external settlement risks.

5. Standardize the business operation process, strengthen the daily inspection system of the chief accountant, find hidden dangers in time, reduce errors and put an end to settlement accidents.

6. Seriously perform the business guidance and inspection of the branch.

7, do a good job of regular assessment of accounting quality.

Third, people-oriented, improve the overall quality of employees. Staff quality is the foundation of bank development. Under the current situation of frequent personnel turnover, our business department urgently needs a high-quality team.

1, be a good citizen. Banking sounds beautiful, but it is full of competition and risks, so you need to have certain psychological quality and cultural accomplishment when you come to our sales department. In employing people, we should use employees' ability and their greatest potential to determine suitable positions, so as to improve employees' enthusiasm.

2. Strengthen business training, which is also the most urgent next year. Now the training plan has been submitted to the personnel department, and it is ready to train the basic knowledge such as cashier system, payment and settlement methods, integrated business system accounting system, new accounting subjects and various emerging businesses.

3. In the case of personnel shortage, it is still necessary to strengthen on-the-job training, not only to participate in next year's technical competition, but also to improve the professional level of employees.

4. Be diligent in the ideological work of employees, care for and encourage employees, and enhance their psychological quality.

5. Carry out job rotation in a planned and purposeful way, and train every employee to change from single operation to mixed multi-function.