1. employee internal control compliance self-inspection report
According to the arrangement and requirements of the superior bank for comprehensive evaluation of internal control of grass-roots banks in 20xx, ICBC Hu Ming Branch objectively, fairly and truly evaluated the internal control management of the branch, further promoted the improvement of the internal control system and the improvement of the internal control management level, and adopted three effective measures to ensure the efficient and high-quality internal control evaluation. First, strengthen organizational leadership and strengthen the implementation of responsibilities.
In order to put all the work of 20xx annual internal control evaluation in place, a leading group for internal control evaluation of the whole bank was quickly established, and an office was set up under the Risk Department. While strengthening organizational leadership, the Bank has also strengthened the responsibilities of all departments, offices and outlets: the leading group for internal control evaluation is specifically responsible for, organizing and coordinating matters and work related to internal control evaluation of sub-branches; The Risk Department, as the lead department, is responsible for the requirements and communication between the sub-branch and the internal control management department of the superior bank, unifying the understanding, standards and progress, making overall arrangements and dispatching the internal control evaluation of all departments and offices and outlets to ensure the smooth progress of internal control evaluation and self-evaluation.
Two, strengthen the study and training of internal evaluation documents, correctly understand and master the evaluation standards, evaluation points, evaluation basis and evaluation methods of various evaluation indicators.
The heads of organizational departments and business outlets of the leading group for internal control evaluation of the Bank and relevant personnel have carefully studied the Detailed Rules for the Implementation of Internal Control Evaluation of Grassroots Banks (20xx Edition) and the Operating Manual for Internal Control Evaluation of Grassroots Banks (20xx Edition) of the Head Office, thoroughly understood the spirit, mastered the evaluation methods and improved the quality of self-evaluation.
Third, strengthen the quantitative decomposition of process evaluation indicators to ensure the integrity and operability of the Bank's internal control self-assessment.
The internal control evaluation of grass-roots banks is mainly process evaluation. Combined with the actual situation of the Bank's operation and management, according to the requirements of the evaluation operation manual, the evaluation contents, standards, key points, bases and methods of process evaluation indicators are quantified and decomposed, and the departments, offices and outlets to be evaluated, as well as the specific items and operation methods of evaluation are determined.
Fourth, strengthen and improve the basic management of internal control evaluation and self-evaluation, and realize the institutionalization of daily management behavior of internal control evaluation.
The purpose of internal control evaluation is not only to improve the internal control management system and measures, but more importantly, to institutionalize the internal control management behavior formed and improved in the process of internal control evaluation and truly and consciously implement it in the daily management of all levels and departments. In view of the internal control defects or problems found in the evaluation process, on the basis of fully making up for the improvement and rectification, the Bank revised and supplemented the relevant daily operating procedures and detailed rules for the implementation of management evaluation, and combined with the construction of execution, made efforts to institutionalize the daily management behavior of internal control evaluation.
Five, strengthen the information exchange and communication of evaluation work, and give full play to the role of functional departments.
Due to the different operation and management conditions among grass-roots banks, departments and outlets, the contents and methods of internal control evaluation are also different. In order to ensure the quality and progress of sub-branches' self-evaluation, the Risk Department, as the lead department of sub-branches, gives full play to the positive role of functional departments, absorbs and draws lessons from the advanced experience of other branches on the basis of earnestly studying, understanding and mastering the spirit and requirements of higher-level branches, strengthens the information exchange and communication of evaluation work between sub-branches and outlets, and ensures that all self-evaluation work is completed on time and with high quality.
Through 20xx annual internal control evaluation and self-evaluation, employees fully realize the importance of strengthening internal control management, and are constantly improving the construction of internal control system, strengthening the implementation of internal control management, improving management level and promoting the steady operation of various businesses.
2. Employee internal control compliance self-inspection report
In order to further promote the implementation of internal control systems such as rotation of important posts, household reform management and compulsory leave, the bank received the Notice of Self-inspection on the Implementation of Internal Control Systems such as rotation of important posts, household reform management and compulsory leave from the Party Committee Office of the bank (document 20xx 13), which was highly valued by county leaders. First, hold a special meeting, carefully study the relevant documents, and clarify the person in charge of this work. After the meeting, we conducted a self-examination on the internal control system of the bank, such as job rotation, family change management and compulsory leave. The self-inspection report is as follows: 1. Strengthen organizational leadership to ensure the smooth development of self-inspection.
After the bank received the notice, the county party branch immediately held an executive meeting to study the document requirements in all directions. The president personally went into battle and set up a leading group for self-inspection of internal control systems such as rotation of important posts, household reform management and compulsory leave. The president personally served as the team leader, two vice presidents served as deputy heads, and the director of the second department and one room served as members. It has laid a good start for the smooth implementation of internal control system self-inspection such as rotation of important posts, household reform management and compulsory vacation. In order to do a good job of self-inspection, the county bank has carried out a more detailed and in-depth self-inspection work in conjunction with the ongoing "Year of Implementation of Banking Internal Control and Case Prevention System", and implemented a "two-pronged" work policy to find out the causes of problems and ensure that the self-inspection work of internal control systems such as job rotation, household reform management and compulsory vacation is implemented.
Second, the self-examination situation.
(1) Rotation and compulsory leave for important posts and sensitive links. The bank has always adhered to the post rotation system for important posts and sensitive links, which is conducted once every three years, providing a guarantee for effectively promoting the development of various businesses and comprehensively improving the safety of important posts and sensitive links. With regard to compulsory leave, according to the documents of the superior bank, the bank requires that the leave time of the vacationer must reach 5- 10 working days, and managers are arranged to replace the vacationer during the leave period, thus ensuring normal work. Since the beginning of this year, two people in our bank have taken vacations.
(two) members of the county leadership. According to the spirit of "Interim Provisions on the Exchange of Cadres in China Agricultural Development Bank", the vice president of the bank works in different places, and the president of the county bank has worked in the bank for less than three years and is under 50 years old. The two vice presidents of the county bank are all under 45 years old, and the president of our bank has been in the local office for less than five years.
(3) Household reform management and customer management. In the management of loan customers, the Bank adheres to the working system of more than two account managers and implements the management of changing accounts for two years. Since the beginning of this year, the account manager of our bank has to be replaced by three account managers. It ensures the effective development of family change management and lays a solid foundation for improving service quality and work efficiency.
Fengqiu county Sub-branch of Agricultural Development Bank is strict and earnest in the self-inspection work of "the implementation of internal control systems such as post rotation, household reform management and compulsory leave", and insists on combining the actual work, urging the implementation of "the internal control systems such as post rotation, household reform management and compulsory leave", and insisting on the combination of highlighting key points and comprehensive self-inspection. While inspecting key business areas such as credit, finance and accounting, we fully understood the implementation progress of internal control systems such as rotation of important posts, family change management and compulsory leave. After self-examination, there are no problems in the implementation of internal control systems such as rotation of important posts, household reform management and compulsory leave.
3. Employee internal control compliance self-inspection report
Since the company went public, the board of directors has been working hard to improve and perfect the corporate governance structure in strict accordance with the relevant regulations of China Securities Regulatory Commission and Shenzhen Stock Exchange. Take the lead in introducing four independent directors who meet the relevant conditions and have strong professional ability within the jurisdiction of Zhejiang Supervision Bureau; The number of people accounts for more than one-third of the total number of directors of the company; And set up four professional committees of the board of directors earlier, which can carry out activities normally in accordance with relevant regulations every year; Provide a mechanism and working platform for actively playing the role of independent directors. During the reporting period, in order to strengthen and improve the corporate governance structure and establish and improve the internal control system, the company mainly did the following work:
1. Established a leading group for corporate governance special activities with Chairman Nie Zhonghai as the leader. By carefully studying the spirit of relevant documents; Formulate detailed implementation plans for special work; According to the current situation of corporate governance, the self-inspection report and rectification plan of the company's "special activities to strengthen the governance of listed companies" were formed, which were reviewed and approved by the thirteenth meeting of the board of directors of xx Company and published on Juchao Information Online on June 16, 2007. At the same time, a special telephone, fax and network platform was set up and published to listen to the opinions and suggestions of investors and the public.
2. According to the self-examination items in the Guidelines for Internal Control of Listed Companies of Shenzhen Stock Exchange, the Notice of China Securities Regulatory Commission on Strengthening the Special Activities of Listed Companies, the Basic Norms of Corporate Internal Control System, the Management System of Company Information Disclosure, the Management Measures for Expatriated Directors and Supervisors, the Management Measures for Holding (Share-holding) Companies and the Basic Norms of Internal Control System, the Management System of Company Raised Funds was revised and formulated. Internal Audit System of the Company, Detailed Rules for the Implementation of Internal Audit System of the Company, Detailed Rules for the Implementation of Cumulative Voting of the Company and Detailed Rules for the Implementation of Online Voting of the Shareholders' General Meeting of the Company.
3. At the same time, in the Self-inspection Report and Rectification Plan on Strengthening the Governance of Listed Companies, the company has defined the responsible person headed by the director for each item that needs rectification. A few days ago, the internal control systems that have been formulated or are being formulated include: the working rules of the Audit Committee of the Board of Directors, the annual report system of independent directors, the general manager's working system, the company's financial budget management, the responsibility authorization system, the crisis management and risk prevention system. The formulation of these systems will provide a good foundation for establishing and perfecting internal audit and internal control systems and ensuring normal operation.
The company has always followed the principles of fairness, openness and justice. The Company's Administrative Measures for Related Party Transactions has made detailed provisions on the principles of related party transactions, related parties and related relationships, decision-making procedures for related party transactions, and information disclosure of related party transactions. The daily related party transactions of the company shall be announced in strict accordance with the Measures for the Administration of Related Party Transactions of the Company, and shall be implemented after being reviewed and approved by the company's annual general meeting of shareholders.
5. The Articles of Association also clearly stipulates the basic principles, submission and review procedures, announcement and disclosure of external guarantees. During the reporting period, except for the holding subsidiaries, the company has no external guarantee. The company strictly abides by and fulfills the corresponding approval and authorization procedures for the guarantee of its subsidiaries. According to the relevant provisions of the Internal Control Guidelines of Shenzhen Stock Exchange, the company strictly controls and reviews external guarantees, and there has never been any violation of the Internal Control Guidelines. The company's financial treatment follows the principle of prudence. Zhejiang Dongfang Certified Public Accountants and Shanghai PricewaterhouseCoopers, which are responsible for auditing the company's financial and accounting reports, have issued unqualified audit reports for many years.
6. The company has established an assessment, incentive and restraint mechanism for senior executives, which is based on the annual salary assessment plan of senior executives and centered on the company's business responsibility objectives. The relevant reward system was established from the beginning of listing, and has been continuously revised and improved according to the actual situation, and has been implemented to this day. During the reporting period, the Second Board of Directors of the xx session of the Company reviewed and approved the Annual Salary Appraisal Scheme for Company Executives (revised in 2007), revised the specific appraisal indicators, and further clarified the binding mechanism between the responsibilities, rights and remuneration of company executives.
7. The second board of directors of 7.xx session voted to pass the proposal of "improving and perfecting internal audit institutions" put forward by the audit committee of the board of directors. The main contents are as follows: (1) The internal audit institution of the company is directly responsible to the board of directors and reports its work to the board of directors; (2) Under the guidance of the Audit Committee of the Board of Directors, the company's internal audit institutions carry out specific work within the scope authorized by the Board of Directors; (3) The company's internal audit institution is subordinate to the department, temporarily suspended in the office of the board of directors, and will be established as an independent department when the basic conditions are ripe; (4) The company's internal audit institution is equipped with a person in charge, and the rank is recommended as company level. The staff of the internal audit institution shall be no less than three, and shall be basically in place before the end of 2007; (5) The Board of Supervisors of the Company shall effectively supervise the institutional setup and staffing of the company's internal audit function as well as the implementation of the company's internal audit system and detailed rules for the implementation of the company's internal audit.
8. On September 14, 2007, the relevant leaders of the Supervision Department of Zhejiang Securities Regulatory Bureau came to the company to pay a return visit to the "Corporate Governance Special Activities" and put forward opinions and requirements for the company to further deepen corporate governance. Zhejiang Securities Regulatory Listing Zi [2007] 172 Notice on Comprehensive Evaluation and Rectification Suggestions of Hangzhou Turbine Company fully affirmed the corporate governance structure, tripartite decision-making system, internal control system, accounting and information disclosure of our company since its listing, but at the same time pointed out that the company should further improve the personnel composition and functions of the internal audit department and give full play to its role.
At present, the senior management of the company has basically implemented the rectification according to the opinions and requirements of "improving and perfecting the internal audit institution" put forward by the regulatory authorities and the audit committee of the board of directors. At the end of the first quarter of 2008, an internal audit institution under the leadership of the board of directors was established in accordance with relevant regulations, equipped with full-time staff, and basically possessed the functions of carrying out relatively independent internal audit work and implementing internal control and supervision of the company.
Self-evaluation of company internal control;
1. The company has basically established a corporate governance structure and internal organizational structure that meet the requirements of modern management, and the formed decision-making mechanism, execution mechanism and supervision mechanism can basically ensure the realization of the company's management objectives, the truthfulness, accuracy, completeness and fairness of the company's information disclosure, and the implementation of relevant national laws and regulations and the company's internal control system.
2. The risk control system established by the company is basically sound and effective, which can basically ensure the healthy operation of various business activities of the company.
3. The company's internal control system (including internal audit system) can basically achieve the purpose of plugging loopholes, eliminating hidden dangers, preventing and timely discovering and correcting various errors, and protecting the safety and integrity of the company's property.
4. Employee internal control compliance self-inspection report
According to the relevant provisions of the Guidelines for Internal Control of Shenzhen Stock Exchange, the internal control of the company basically meets the relevant requirements of China Securities Regulatory Commission and Shenzhen Stock Exchange. The Code of Conduct for Employees, Regulations on Prohibiting Employees' Behavior and Regulations on Handling Employees' Violations promulgated by the head office of the Industrial and Commercial Office have established a complete set of code of conduct for employees. As a front-line employee, I made a profound self-analysis and self-examination, including professional ethics, professional accomplishment, professional discipline and occupational safety.
I keep in mind the seven requirements put forward in the Outline of Staff Code of Conduct and Professional Ethics: "Be loyal to ICBC; Perform duties and repay the society; Take care of the overall situation; Be loyal to one's duties and do one's duty; Good conduct, honesty and trustworthiness; Service first, customer first; Steady compliance and risk prevention. "
Second, professional quality.
As a front-line employee, I have defined the basic service standards, behavior etiquette standards, business operation standards and customer service standards, touched customers with "three tones" service and "smile" service, and faced customers with my fullest enthusiasm, so that they could feel our sincerity. Show customers sincere and sincere service style, provide customers with all-round intimate service and express our pure and sincere smile. The first sentence I say to my customers with a smile every day: "Hello! What business do you want to handle? " Start with "thank you, I'm sorry" and some seemingly casual things. Good service, details determine success or failure. Because we represent not only ourselves, but the whole ICBC.
Third, professional discipline.
I am not often late, absent from work, leave early, etc. Failure to observe labor discipline, low mood and negative work. There is no behavior of often not participating in collective activities such as political study and business study without reason; Take advantage of the convenience of work to accept customers' red envelopes, gifts and handling fees, ask for property or borrow communication equipment and means of transportation, reimburse various expenses and seek personal gain. Shall not organize or participate in illegal activities such as pornography, gambling and drugs; Credit card malicious overdraft, behavior, etc. , strictly follow the code of conduct.
Four. occupational safety
I realize that following occupational safety is not only for protecting myself, but also for caring for others. I should improve my vigilance and safety awareness at work, master basic safety skills, handle business in accordance with rules and regulations and business processes at ordinary times, and actively participate in various forms of emergency drills to avoid unnecessary risk accidents.
Through the study and self-examination of employee code of conduct manual and operational risk prevention manual, I have deepened the construction of employee code of conduct and risk prevention awareness, and strengthened my determination to implement the code of conduct.
5. Employee internal control compliance self-inspection report
According to the spirit of the relevant documents of the Banking Supervision Office, our agency has seriously organized all employees to investigate employee loans, participation in private financing and business operations. As a credit union employee, I have carefully studied the spirit of the "three items" survey and carried out this self-inspection work. Now I will report my specific investigation contents as follows: 1, internal employee loan.
I am an employee of a credit cooperative, and the loan balance of financial institutions such as xx County Rural Credit Cooperative Union in my jurisdiction is 10000 yuan.
2. Participate in private financing.
After self-examination, I don't have the following six illegal financing phenomena: first, there is no phenomenon of "borrowing money from banks, relatives, enterprises and natural persons for investment and lending" for the purpose of obtaining high profits; Second, there is no phenomenon of "organizing in the name of rural credit cooperatives, or helping others with high-interest financing in the form of introduction and appointment"; Third, there is no phenomenon of "bridging funds for others with customers or their own accounts"; Fourth, there is no phenomenon that "others provide office space or carry out publicity activities with high interest financing"; Fifth, there is no phenomenon of "participating in unconventional fund-raising in various forms"; Sixth, there is no phenomenon of "starting or participating in the operation of pawn shops, small loan companies, providing companies and other institutions".
3. Internal employees run enterprises through business.
After strict self-examination, I didn't participate in business-run enterprises, didn't take shares in industrial and commercial enterprises, worked part-time in enterprises, and directly started a company to participate in business activities.
The above three aspects are my introspection in the "three" investigations. In line with the corporate culture requirements of "diligence, loyalty, preciseness and pioneering", I earnestly practice the behavior of a qualified employee, guard against and resolve various potential risks, and do my job well.