In order to implement the basic strategy of governing the country according to law, strengthen internal power constraints, and effectively prevent and control the risks of clean government, according to the relevant requirements of the financial work conference at a higher level, and to further strengthen the construction of the internal control system of our bureau, the following work plan is formulated.
I. General requirements
According to "the Central Committee of the Communist Party of China's Decision on Several Major Issues of Comprehensively Advancing the Rule of Law" adopted by the Fourth Plenary Session of the 18th CPC Central Committee, "strengthening the restriction on the internal power of the government is the key point to strengthen the restriction on the administrative power. For departments and posts with centralized power, such as allocation and use of financial funds, supervision of state-owned assets, government investment, government procurement, transfer of public resources, and public project construction, it is required to exercise power separately, establish power at different levels, authorize at different levels, rotate posts regularly, strengthen internal process control, prevent abuse of power, and arrange the work of provincial and municipal financial departments, accelerate the financial internal control work, and establish and improve an efficient and orderly internal control operation system.
Second, the work objectives
By discovering, sorting out and evaluating all kinds of risks in financial business and management, a series of systems, processes, procedures and methods are formulated, perfected and effectively implemented, so as to prevent, control, post supervision and correct risks in financial work in advance, improve internal management level and achieve the following objectives:
(a) strict administrative discipline, improve the quality and efficiency of work, effectively perform financial functions, and implement the decision-making arrangements of the CPC Central Committee, the State Council, the superior financial department and the district party committee and government.
(2) All policies, rules and regulations comply with the provisions of national laws and regulations and are effectively implemented, and all financial business activities are legal and compliant.
(three) strictly abide by the provisions of clean politics, prevent fraud and corruption, and improve the safety, standardization and effectiveness of financial funds.
(four) the budget and final accounts report and related statements, work records and other management information is true and complete.
Third, the work content
Each stock room (center) shall solidly promote the construction of internal control system in accordance with the following contents.
(1) Steadily promote the construction of internal control system. The first is to formulate the basic system to guide each unit room (center) to establish and implement internal control. Second, according to the basic system and scope of responsibilities, combined with the bureau's anti-corruption risk prevention and control system, internal control measures are formulated for risks such as laws and regulations, policy risks, budget preparation and implementation risks, and agency management risks (including public relations, information management, and post interest conflicts). Third, according to the basic system and risk internal control measures, each stock room (center) formulates internal control operation procedures, improves the work flow, and clarifies the responsibilities of each link and post on the basis of discovering and grading the risks of its own unit. The fourth is to formulate special inspection methods and evaluation index system for internal control, promote the improvement of internal control systems such as personnel management, asset financial management and internal audit, and further improve the financial internal control system.
(2) Effectively promote the effective implementation of the internal control system. First, combined with the construction of financial management integrated information system and office automation system, the internal control concept, control activities, control measures and corresponding measures put forward by the basic system are solidified in relevant information systems, and business risks are prevented through authorization control and process control, so as to realize the proceduralization and normalization of internal control. Second, organize personnel to participate in special training on internal control organized by provinces and cities, improve the quality of internal control system builders and effectively promote the implementation of internal control mechanism in the financial system. The third is to organize each stock room (center) to carry out daily internal control inspection and summarize and analyze the new internal control situation of each stock room (center). The fourth is to organize special inspection and evaluation of the effectiveness of internal control, and urge all stock rooms (centers) to effectively implement the internal control system.
(three) to guide and promote the construction of the internal control system of the financial system in the whole region. While improving the internal control system of our bureau, we will guide and promote the internal control system construction of the financial system in the whole region.
Fourth, the work steps
(1) Mobilization and deployment stage (201April 61-April 30)
Strengthen organizational leadership and establish a sound working mechanism. Do a good job in publicity, launching training and organizing deployment.
(2) System construction stage (May1-August 3 1, 2065438)
In accordance with the requirements of the right to use tasks, the right to set posts, the authorization at different levels, the strengthening of process control, and the operation in compliance with the law, combined with the actual financial work, the internal control system is formulated, and it is promulgated and implemented after organizing demonstration and review.
(III) Implementation stage (September 1 day to1October 3 1 day, 2006)
Solidification of internal control concepts, control activities and control measures in relevant information systems; Organize daily inspection of internal control and effectively promote the implementation of internal control mechanism.
(4) Perfect summary stage (20110/0/0/0/2/3 1)
Guide and promote the construction of the internal control system of the financial system in the whole region, summarize and improve the experience and achievements of the construction of the internal control system in our region, further improve the internal control system on the basis of effective implementation, and promote the concept of financial internal control and specific institutional measures in the financial system in the whole region.
Verb (abbreviation for verb) organizes leadership.
The Internal Control Committee of our Bureau (hereinafter referred to as the Internal Control Committee) is established to be responsible for formulating internal control policies of our Bureau, approving major risks and important business process management systems, deploying major internal control issues and management measures, and guiding and urging all towns (streets) and stock rooms (centers) of our Bureau to establish and improve internal control systems, processes and management measures. The director of the Internal Control Committee is the director, the deputy director is the leader of the relevant bureau, and the members are the office, supervision office, supervision and inspection unit (accounting unit), budget unit, national treasury unit, comprehensive unit, administration, politics and law unit, science, education, culture and health unit, social security unit, agriculture unit (comprehensive reform unit), enterprise unit (state-owned unit and foreign economic unit), economic construction unit, agricultural comprehensive office and government procurement department (procurement). The Internal Control Committee holds regular or irregular meetings to study internal control, consider suggestions on risk event classification and accountability, and propose measures for strengthening and improving.
The Internal Control Committee has an office to undertake the daily work of the Internal Control Committee. The internal control office is located in the supervision and inspection unit, and is composed of relevant personnel in the member unit room (center) of the internal control committee. The director is also the bureau leader in charge of the supervision and inspection unit, and the members of the internal control department are appointed by special personnel from each unit room (center). The Internal Control Office is responsible for taking the lead in formulating the basic internal control system, reviewing the internal control measures for related risks, reviewing the internal control operating procedures of each stock room (center), inspecting, assessing and evaluating the effectiveness of the internal control system and reporting to the Internal Control Committee, investigating risk events and putting forward handling opinions, studying the problems existing in internal control and formulating solutions.
Each township (street) should be synchronized with reference. According to the requirements and time nodes, combined with the actual work plan, set up a leading body, strengthen the work deployment and implementation, clarify the division of responsibilities, and effectively promote the construction of the internal control system of the financial system.
Division of responsibilities of intransitive verbs
The formulation and implementation of basic system and risk internal control measures are led by relevant units (centers) respectively. The supervision and inspection unit of the Bureau leads the work of the internal control office and is responsible for formulating the basic system of internal control; Budget units and treasury units take the lead in formulating internal control measures for budget preparation and budget execution risks, among which budget units take the lead in formulating the risk part of budget preparation, and budget units and treasury units take the lead in formulating the risk part of budget execution according to the division of responsibilities; Take the lead in formulating internal control measures for legal and policy risks, internal control measures for agency management risks and internal control accountability system. When formulating and organizing the implementation of special risk management measures, effective communication and coordination mechanisms should be established between the lead units.
Each unit room (center) is responsible for the internal control management within its scope of responsibility. First, according to the basic system and related risk internal control measures, formulate the internal control operation procedures of the unit room (center) and do a good job in internal control; Second, the principal responsible persons of each stock room (center) take overall responsibility for the internal control management within the responsibilities of the stock room (center) and organize the internal control system and business process construction within the responsibilities of the stock room (center). Third, each stock room (center) designates a special person to be responsible for liaison with the Internal Control Office and cooperate with the relevant work arrangements of the Internal Control Office.
Seven. job requirement
(1) Strengthen organizational leadership. The person in charge of each stock room (center) is the first responsible person for the internal control of the stock room (center). The establishment and implementation of internal control should be taken as an important task at present and in the future, and careful planning and arrangement should be made to ensure the orderly, powerful and effective promotion of internal control.
(2) Seriously implement it. Each stock room (center) should carefully find out the risks of the stock room (center) and evaluate and grade them. By clarifying the job responsibilities of each link, improve the workflow, formulate a complete internal control operation process and seriously implement it.
(3) strengthen responsibility. To adhere to the principle of "double responsibility for one post" and "double investigation of one case", the person in charge of the stock room (center) should firmly establish the concept of internal control, actively guide cadres and workers to implement the awareness of internal control in their daily work, change "I want to manage" into "I want to manage", and create a good internal control atmosphere in the stock room (center).
(4) Strengthen inspection. The internal control office shall organize regular and irregular inspections of the internal control work of each unit room (center) to find out the weak links of internal control, find out the reasons and plug the loopholes in time. Regular inspection is conducted once a year, and the main contents of inspection include the construction and implementation of internal control system in each unit room (center), as well as the response and handling of risk events. The contents of irregular inspection shall be determined by the internal control office according to the needs of internal control management. Report the inspection to the Internal Control Committee.
(5) Improve the accountability mechanism. Apply the results of internal control to the selection, appointment, rewards and punishments of cadres, as well as the annual assessment and evaluation of units and individuals. Responsible units and cadres and workers who violate the internal control system and have risk accidents should be strictly disciplined and held accountable.