Document Management System-World Credit Organization

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3.7 Document management system

1. The purpose and significance of establishing a document management system

1. In order to clarify the release procedure of the file, ensure that the file is approved before release;

2. In order to ensure that the effective version of the document is distributed to the post that uses the document;

3. To ensure that obsolete documents are not misused;

4. General requirements for submitting documents.

2. Hierarchical classification of files

In the document management system, the hierarchical classification of documents should be determined. The hierarchical classification of files is also the binding and sorting hierarchy of manuals.

The first layer, integrity culture handbook.

The Integrity Culture Manual defines the mission of the unit, which needs to be practiced by the unit from top to bottom, so it is placed at the highest level. The more serious the procedures for issuing and updating the integrity culture manual, the more in-depth the cultural construction, the more cultural accumulation, and the more stable the established integrity culture. The Integrity Culture Manual is part of the basic management system and should be reviewed and approved by the organization specified in the unit's charter.

The second layer, Commitment Form, Risk Control Form.

Commitment form and risk control form can link the basic system with collaborative documents or work instructions. Commitment form and risk control form have a guiding role, and they are the extraction of relevant system content. The draft commitment form and risk control form are generally compiled by the credit management department and approved by the top management. The director of the credit management department shall be responsible for the scientificity and correctness of the draft commitment form and risk control form.

The third layer, basic management system documents.

In the ICE8000 system, the systems that ICE8000 integrity units must establish are all basic management system documents. The systems introduced in this chapter are all basic management systems. These systems mainly include: scientific department responsibilities and job responsibilities system, clear commitment system, risk identification and control system, external credit supervision system, complaints, suggestions and praise information rapid feedback system, crisis management System, document management system, records and archives management system, employee credit management system, active remedial system, establishment of an active cooperation with the World Credit Organization [WCO] investigation system, establishment of an active cooperation with the World Credit Organization [WCO] trial and arbitration system, information disclosure system , Obtain laws, regulations and ICE8000 standard systems, reward and punishment systems, establish corporate governance systems, etc. These systems should be reviewed and approved by the organization stipulated in the unit charter.

The fourth layer, collaborative documents.

Collaboration documents are cross-departmental operational documents formulated for the implementation of basic management system documents, which stipulate the collaboration process and interaction between departments. Collaboration documents can generally be approved by the Director of the Credit Management Department.

The fifth layer, homework instructions.

Operation instructions refer to the operating documents within a department, specifying the operation methods of specific processes. The work instructions can be approved by the department leaders and submitted to the credit management department for record.

The sixth layer, raw material.

For example, in the process of cultural identification or risk identification, identification forms, meeting records and other materials are generated. These original materials are collected for the establishment and renewal of the system, and these materials are generally not institutional documents.

3. Requirements and precautions for establishing a document management system

1. In this book, systems belong to documents, and requirements for documents are also requirements for systems.

2. The general requirements of the ICE8000 system for the system should be reflected in the document management system, namely: the system should be able to ensure that the management system becomes an effective document; ensure that the document can be queried and audited; ensure that the document is approved before execution; ensure that Obsolete documents will not be misused; ensure that documents are evaluated and improved on a regular or irregular basis; ensure that documents are as concise as possible, scientific and practical, and avoid moral hazards.

Fourth, general template

According to the requirements of the document management system, we have designed a general document template for the ICE8000 Integrity Management System for people to refer to when drafting documents.

Coding according to Chinese chapter terms

*** system

Chapter 1 General

(Stipulate the purpose, purpose and principles of system formulation in the general rules, clarify responsible units, explain terms, etc.)

Article 1:

Article 2

Second or more chapters (main body)

Here make specific requirements and procedures for documentation, etc.

Chapter Three System Evaluation, Improvement and Feedback (Optional)

Clarify the cycle of regular system evaluation and the format and channel of irregular evaluation, and the problems of improvement and feedback.

Chapter Four Reward and Punishment Measures (Optional)

Clarify the reward and punishment measures of the system.

Chapter 5 Records (optional)

Clarify the records, record list, record format, record retention time and other related issues related to this system.

Chapter Six Supplementary Provisions

Clarify the implementation date, explain the department, whether it is retrospective and other issues.

Coding by English numbers

*** system

1 General

(Stipulate the purpose, purpose and principles of system formulation in the general rules, clarify responsible units, explain terms, etc.)

1.1,

1.2

2 or more chapters (main body)

Here make specific requirements and procedures for documentation, etc.

3 System evaluation, improvement and feedback (optional)

Clarify the cycle of regular system evaluation and the format and channel of irregular evaluation, and the problems of improvement and feedback.

4 reward and punishment measures (optional)

Clarify the reward and punishment measures of the system.

5 records (optional)

Clarify the records, record list, record format, record retention time and other related issues related to this system.

6 Bylaws

Clarify the implementation date, explain the department, whether it is retrospective and other issues.

V. Reference style of document management system

*** Co., Ltd.

Document management system

Chapter 1 General

Article 1 In order to standardize file management, this system is specially formulated.

Article 2 Documents should be as scientific and practical as possible, and moral hazard should be avoided as much as possible. If necessary, the responsibility for violations and reward and punishment measures can be listed separately, and the evaluation and update time can also be listed separately.

Article 3 In order to facilitate reading, learning and execution, the number of documents should be reduced as much as possible. Problems that can be solved with one document should not be formulated with two documents; problems that can be solved without the need to formulate documents cannot be formulated.

Chapter 2 File Hierarchy

Article 4 The company documents are classified by level as follows:

The first layer is the integrity culture handbook.

The second layer, commitment table, risk control table.

The third layer is the basic management system documents.

The basic management system is approved by the board of directors. The basic management system documents include: scientific department responsibilities and post responsibilities system, clear commitment system, risk identification and control system, external credit supervision system, complaints, suggestions and praise information rapid feedback system, crisis management system, document management system, record and file management System, employee credit management system, active remedial system, establishment of an active cooperation with the World Credit Organization [WCO] investigation system, establishment of an active cooperation with the World Credit Organization [WCO] trial and arbitration system, information disclosure system, access to laws, regulations and ICE8000 standard system , reward and punishment system, establishment of legal person governance system, etc.

The fourth layer, collaborative documents.

Collaboration documents are cross-departmental operational documents formulated for the implementation of basic management system documents, which stipulate the collaboration process and interaction between departments.

The fifth floor, homework instructions.

Operation instructions refer to the operating documents within a department, specifying the operation methods of specific processes.

The sixth layer, original data.

For example, in the process of cultural identification or risk identification, identification forms, meeting records and other materials are generated.

As shown below:

Level 1

Integrity Culture Manual

Second layer

Commitment form, risk control form

Third layer

Basic management system

Fourth layer

Collaboration documents

Fifth floor

Work Instructions

Sixth floor

Original material

Chapter Three Drafting, Approval and Distribution of Documents

Article 4 The documents for the first, second and third levels are drafted by the credit management department and approved by the board of directors.

Collaboration documents are drawn up by relevant departments and approved by the general manager.

The work instructions are formulated by the relevant departments and approved by the person in charge of the formulation department.

Original materials are reviewed and approved according to the relevant regulations of their generation and source.

Article 5 The office shall issue the approval documents in a timely manner, and the work instructions shall be submitted to the credit management department for record after approval.

When issuing documents, the Credit Management Department should fill in the "Issuance Booklet" to ensure that the department using the documents has the current valid version of the documents, and the document recipient needs to sign to confirm receipt of the documents.

When the document becomes invalid or the recipient is transferred from the job post, the document should be returned to the Credit Management Department and canceled in the "Issue Book".

Documents issued to the department should be stored in a place where users can easily find them, and some documents can be posted on the wall.

In addition to issuing paper documents, electronic documents can be used to issue documents, but the documents need to be encrypted to prevent invalid changes.

Chapter Four Obsolete Document Management

Article 6 Invalid documents should be stamped with a "voided" stamp, and the credit management department will promptly and completely recover them.

Chapter Five Document Evaluation, Improvement and Feedback

Article 7 Regular evaluation.

Regularly evaluate the document every 12 months, unless otherwise stipulated in the document.

Article 8 Irregular evaluation.

Every employee and every department in the company has the right to put forward a suggestion to improve any document. The suggestion should specify the reasons, necessity and possibility of improvement. The suggestion is generally in written form or oral form. Orally, the Credit Management Department shall make a written proposal based on the oral content. After the credit management department formulates a revision proposal, it will immediately report to the higher-level department.

Article 9 If the documents need to be improved, they shall be approved and issued according to the provisions of Chapter III.

Article 10 on evaluation and improvement The situation should be well recorded, and the "Document Evaluation, Improvement and Feedback Report" should be written regularly (before the annual review) or irregularly, and fed back to the World Credit Organization [WCO].

Chapter VII Responsibilities for Violations and Rewards and Punishments

Article 11 Staff who violate the provisions of Article * of this 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 make public complaints or public exposure .

Article 12 Staff who violate the provisions of Article * of this system will be given administrative sanctions of downgrading. If the nature and circumstances are serious, they will be recorded in the personal credit file of the violator, or they will make public complaints or public exposure.

Chapter Eight Records

Article 13 The records of this system mainly include: "Issuance Booklet", "System Evaluation, Improvement and Feedback Form", "Document Evaluation, Improvement and Feedback Report", the format is shown in the attachment.

Chapter IX Supplementary Provisions

Article 14 This system will come into effect on the date of promulgation.

Article 15 This system is interpreted by the credit management department of the company.

Attachment 1 Summary of the post

Appendix 2 System Evaluation, Improvement and Feedback Form

Record Number: Retention Period: Permanent

File name

Evaluation time:

Reason for evaluation

regularly irregular

Function and significance

Problems and deficiencies

Perfect measures

Feedback to the World Credit Organization [WCO]

Appendix 3

Document Evaluation, Improvement and Feedback Report

Reporting unit:

Document evaluation status:

The completeness of the document:

Comments and Suggestions:

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)