Risk Identification and Control System - World Credit Organization

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  • 1. "Introduction to ICE8000 Credit Knowledge"
  • 2. "Building an Integrity Unit——ICE8000 Integrity Management"
  • 3. "ICE8000 Credit Investigation, Analysis, Rating"

    • 3.4 Risk identification and control system

    1. The purpose and significance of establishing a risk identification and control system

    1. Discover risks in time;

    2. Control the risk.

    II. Requirements and precautions for establishing a risk identification and control system

    1. All staff should participate. Risk identification and control is an overall task that requires the participation of all staff.

    2. Pay attention to daily identification and increase the meaning of risk identification for all employees. That is: all employees pay attention to identifying various risks in their daily work.

    3. It is necessary to dig deep and truly identify the various risks of the unit. There should be no luck or formalism.

    4. For the identified risks, there must be corresponding control measures. If necessary, these control measures should formulate corresponding collaborative documents or work instructions.

    5. The risk identification and control system is one of the central links in the unit's implementation of integrity management.

    3. Reference sample of risk identification and control system

    **** Co., Ltd. risk identification and control system

    Chapter 1 General

    Article 1 This system is specially formulated in order to identify and control various risks from inside and outside the unit.

    Article 2 All staff members of the company should participate in risk identification and control.

    Article 3 If necessary, the company should prepare relevant system documents or work instructions for risk control.

    Chapter Two Risk Identification, Reporting and Control

    Article 4 Risk identification and control of departments, shifts and groups.

    The staff of each section, class, and group fill in the "Risk Identification and Control Measures Form" according to their job responsibilities, and then submit it to the section chief, squad leader, and director. The section chief, squad leader, and director should hold a meeting to study and discuss "Risk Identification and Control Measures Form" for each employee, try to find unidentified risks, and review the scientificity of the control measures. Those who believe that the "Risk Identification and Control Measures Table" needs to be corrected shall order relevant personnel to make corrections. After passing the review, the section chief, squad leader, and director should prepare the "Risk Identification and Control Measures Table" for the section, squad, and group. According to the situation of the control measures, it is necessary to formulate collaborative documents or work instructions. Draft collaborative documents and work instructions, and then submit them to the department manager together with the "Risk Identification and Control Measures Form" of each staff member. (Note: Sections, shifts, and groups belong to the same administrative level in this company. They are called sections in the administrative department, shifts in the production department, and groups in the transportation department.)

    Article 6 Identification and control of departmental risks.

    After the department manager receives the "Risk Identification and Control Measures Form" from each subordinate department, class or group, he should hold a departmental meeting to study and discuss the "Risk Identification and Control Measures Form" and The scientificity, necessity and rationality of collaborative documents or work instructions. If it is believed that the "Risk Identification and Control Measures Form" and the collaborative documents or work instructions need to be corrected, order relevant personnel and departments to make corrections. The department manager writes the "Risk Identification and Control Measures Form" and collaboration documents or work instructions of the department according to the department's responsibilities and meeting discussions, together with the "Risk Identification and Control Measures Form" of the department, class and group and the staff "Risk Identification and Control Measures Form". Identification and Control Measures Form" and handed over to the deputy general manager in charge.

    Article 7 Risk identification and control of the deputy general manager.

    After receiving the "Risk Identification and Control Measures Form" and the cooperation documents or operation instructions from the departments under his jurisdiction, the deputy general manager should hold a meeting of the departments under his jurisdiction to study and discuss the "Risk Identification and Control Measures Form" of each department under his jurisdiction " and the scientificity, necessity and rationality of collaborative documents or work instructions to reduce unnecessary work links and internal consumption. If it is considered that the "Risk Identification and Control Form" or cooperation documents or work instructions need to be corrected, order relevant personnel and departments to make corrections. According to the responsibilities of the department and the discussion in the meeting, the deputy general manager writes the "Risk Identification and Control Form" and the cooperation document or work instruction for his work, and submits it to the Integrity Management Committee together with other "Risk Identification and Control Measures Form".

    Article 8 After the Integrity Management Committee receives the "Risk Identification and Control Measures Form", it will review the legality of the "Risk Identification and Control Measures Form" and the cooperation documents or work instructions, and then write out the review opinions, and Classify and summarize all the "Risk Identification and Control Measures Form" and cooperation documents or work instructions, and finally hand over the "Risk Identification and Control Measures Form" and cooperation documents or work instructions to the general manager.

    Article 9 After the general manager receives the "Risk Identification and Control Measures Form", he shall hold a special office meeting for the general manager. Table" and the scientific nature, necessity, rationality and legality of the collaborative documents or work instructions. Those who believe that the "Risk Identification and Control Measures Table" needs to be corrected shall order relevant personnel and departments to make corrections.

    After passing the audit, it will be issued according to the integrity management document system. If it involves the company's basic management system, it will be issued after deliberation by the board of directors.

    Chapter Three Re-identification of risks and update of control measures

    Article 10 Periodically identified and updated. The risk identification and control work is carried out regularly around January 10 every year, and the procedures are implemented in accordance with the provisions of Chapter II of this system.

    Article 11 Identifies and updates from time to time.

    Employees should pay attention to identifying risks and reporting them to their superiors in their daily work. Risks of possible casualties or major property losses should be reported to the highest level of the company in accordance with the "Complaints, Suggestions, and Praise Information Rapid Feedback System".

    Article 12 After re-risk identification and control measures are updated, the "Risk or Control Measure Form" should be updated.

    Chapter Accountability and Incentives and Punishments

    Article 13 Staff members who violate Article * of the system will be given warnings, notices of criticism and administrative sanctions. If the nature and circumstances are serious, they will be recorded in the personal credit file of the violator, or they will be publicly complained or publicly exposed.

    Article 14 Staff who violate Article * of the system will be given administrative sanctions of demotion. If the nature and circumstances are serious, they will be recorded in the personal credit file of the violator, or they will be publicly complained or publicly exposed.

    Chapter Seven Records

    Article 15 The records used in this system include: "Risk Identification and Control Measures Form".

    Chapter Eight Supplementary Provisions

    Article 16 This system shall come into effect on the date of promulgation.

    Article 17 This system is interpreted by the Credit Management Department.

    Appendix 1 "Dishonest Risk Identification and Control Measures Table" omitted

    The above content is excerpted from "Building an Integrity Unit - ICE8000 Integrity Management" (written by Fang Bangjian, free to use, but please indicate the source)