Common methods of risk identification - World Credit Organization

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1.7 Risk identification

1.7.1 Common methods for risk identification

1. Risk identification table

Shanxi ** Real Estate Group Co., Ltd. risk identification and control measures suggestion form

Record Number: Retention Period:

Staff:

Position

Department:

Time to fill in

Risk

As a manager or ordinary employee of Shanxi **Property Group Co., Ltd., what problems do you worry about in your unit? What do you fear every day?

Recommended Control Measures

Recommended or desired control

Instructions for filling out the form

Second, Discussion

The seminars held by the unit on various levels of risk identification, in order to achieve the purpose of comprehensive and in-depth identification of risks.

3. Interview

The highest level of the organization invites relevant personnel (eg, those who have insight in the identification form) to conduct interviews to fully obtain relevant suggestions.

1.7.2 Examples of recognition results

1. Example of the general risk identification results of the unit (referring to the risks generally faced by the unit)

2. Through the complaint, suggestion and praise information communication system, timely handle customer complaints, suggestions and praise, which improves customer loyalty and minimizes suffering.

Count

Source

Risk Statement

Responsible department

Countermeasures

1

Internal Risk

Risk of lack of or poor corporate governance structure

Explanation: Lack of or poor corporate governance structure results in the inconsistency of interests between large and small shareholders, between shareholders and managers, and between managers, which can easily lead to civil strife and major management mistakes.

Board of Directors, General Manager

Establish and continuously improve the corporate governance structure and related systems.

2

Internal Risk

The risk of too slow unit development

Explanation: Fast and slow are relative. If the development speed of a unit is too lower than its original optimal speed, there is a risk of slow development.

Board of Directors, General Manager

1. Establish a culture of integrity, accumulate talents, and bring more resources and production factors from talents;

2. Establish a complaint, suggestion and praise information communication system to fully discover market opportunities;

3. Establish a clear commitment system to fully tap the potential of existing resources.

3

Internal Risk

The risk of the unit developing too fast

Explanation: Fast and slow are relative. If a unit's development speed is higher than the maximum speed that its resources can bear, there is a risk of developing too fast.

Board of Directors, General Manager

1. Establish a culture of honesty and overcome the impatience or exaggeration that may appear in the unit.

2. Establish a risk identification and prevention system to discover and control various risks in a timely manner.

3. Establish a complaint, suggestion and praise information communication system to detect crises in time.

4. Establish a clear commitment system and a conscience oath system to prevent the moral hazard of the promiser to the greatest extent.

4

Internal Risk

Risk of unit disorientation

Explanation: In the process of development, the unit will face various temptations. If the unit does not have a clear mission, it is like a person without ambition and easily lost.

Board of Directors, General Manager

Build a culture of integrity, determine the mission and core values of the unit with high moral standards, and a clear vision

5

Internal Risk

Risk of lack of unit cohesion

Explanation: If the unit lacks cohesion, it will cause internal disunity.

Board of Directors, General Manager

1. Carry out the construction of integrity culture, and continuously internalize the mission and core values of the unit as the thinking mode and action guide of the unit leaders and employees;

3. Establish a system of clear rewards and punishments. At the same time, establish credit files for employees or require them to become members of the World Credit Organization [WCO], reward outstanding employees with credit, and punish dishonest employees with credit.

6

Internal Risk

The risk of poor information communication in the unit

Explanation: The larger the unit, the greater the risk of miscommunication. All levels of the unit have the possibility of misinterpreting and intercepting the flow of information, resulting in the distortion of the information "downloaded from the top" and "downloaded from the bottom", and the top leader of the unit cannot effectively control the unit.

Board of Directors, General Manager

Establish a complaint, suggestion and praise information communication system, and add an information communication channel, so that customers and grassroots employees can transmit complaints, suggestions, and praise information to the highest level of the unit in a timely and complete manner. Make the highest level of the unit keep abreast of the information and effectively control the unit.

7

Internal Risk

Inefficient risk of overstaffing

Explanation: When the unit is overstaffed, it will be very united and harmonious on the surface, but in fact, unspoken rules prevail, talents are excluded, and the work efficiency of the unit drops.

Board of Directors, General Manager

1. Establish a scientific system of department responsibilities and job responsibilities, scientifically divide and clarify the responsibilities of departments and employees;

2. Establish a clear commitment system, transform employee responsibilities into specific commitments, and be directly supervised by customers;

3. Establish a communication system for complaints, suggestions, and praises. The top management can timely and comprehensively know the complaints, suggestions, and praises from customers to employees, and reward and punish them in a timely manner.

8

Internal Risk

Risk of a major crisis in the unit

Explanation: A small defect in the production process may cause a major safety accident and plunge the unit into a major crisis. But according to Hayne's law: Every major crisis has its omens, and timely identification and discovery of omens is the key to preventing major crises.

Board of Directors, General Manager

1. Establish a risk identification system, regularly identify risks, and eliminate the possibility of major crises in advance;

2. Establish a communication system for complaints, praises and suggestions. Through complaints and suggestions from customers and employees, timely discover the signs of crisis in the unit, and eliminate major crises in the bud.

9

Internal Risk

Risk of employee dishonesty

Description: Employees sell business secrets; employees violate the prohibition obligations of the same industry; employees ask customers for bribes or kickbacks; employees embezzle public funds; These actions are all acts of dishonesty, but it is difficult to pursue their legal responsibilities.

Board of Directors, General Manager

1. Establish credit files for employees or require them to become members of the World Credit Organization [WCO], and punish employees for their dishonesty;

2. When establishing various systems, pay attention to preventing moral hazards;

3. Establish a record management system to prevent dishonest employees from covering up their dishonest behavior.

10

Internal Risk

Insufficient, excessive and inappropriate risks

Explanation: The lack, excess and inappropriateness of the system will affect the development of the unit

Board of Directors, General Manager

1. Regularly review the systemTo evaluate, update and improve;

2. Evaluate, update and improve the system according to the complaints, suggestions and praises of customers and employees.

11

External risks

Customer dishonesty risk

Explanation: The quality of the materials provided by the supplier does not meet the agreement; the customer defaults or maliciously defaults on the payment; the customer uses the contract defect or creates a contract dispute to extort the payment.

Credit Management Department and related departments

1. Establish a contract review system to ensure that the contract terms are perfect and flawless;

2. Agree on CS terms or require customers to become members of the World Credit Organization [WCO], make timely complaints, suggestions and praises to customers, and prevent and reduce customers' motives for subjective dishonesty and breach of contract.

12

External risks

The risk of the industry crisis

Explanation: A major dishonesty event occurred in the same industry unit, causing a crisis of social trust in the entire industry. For example, in 2005, after the untrustworthy behavior of a factory in Chongqing using industrial wax as a hot pot base was exposed, the sales of hot pot bases across the country dropped extremely for a while.

Board of Directors, General Manager

13

External risks

Legal risk

Explanation: Legal risk is the most difficult external risk to control for the unit.

Board of directors and all executives

1. Keep abreast of current laws and state legislation;

2. Actively advocate integrity and actively participate in industry self-discipline in the same industry;

3. Enhance your influence on legislation through your good social image.

II. Examples of unit-specific risk identification results (different units face different special risks)

The following is the risk identification table of Taiyuan Binbin Brand Clothing Plaza Co., Ltd.

Serial number

Content

Responsible department

Controls

1

Improper use or loss of seals and certificates

Service Hall

"Seal and Certificate Management System"

2

Risks of non-communication and misuse of documents

Service Hall

"Document Management System"

3

Vehicle violations and accident risks

Service Hall

"Vehicle Management System"

4

Risk of customers losing items

Service Hall

"Explicit Reminder System"

5

Risks of Improper Handling of Customer Complaints

Service Hall, Credit Management Department

"Crisis Management and Active Remedial System"

6

The risk of merchants leaving the shopping guide

Service Hall

Business Code

7

The risk of inappropriate employment

Service Hall

"Personnel Management System"

"Personal Credit Management System"

8

Risk of incoordination between departments

Service Hall

All management systems

9

The risk of not serious about the maintenance and repair of vehicles, computers and other office facilities

Service Hall

"Equipment Maintenance Management System"

10

The risk of untimely communication and coordination with government functional departments such as industry and commerce, taxation, price, quality inspection, etc.

Service Hall

"Information Rapid Feedback System", "Crisis Management and Active Remedial System"

11

Risk of missing tax stamps

Cash Department

"Cashier Department Management System"

12

The cashier is empty, the cashier counter is not prepared enough, and the risk of not issuing a ticket after swiping the card at the cashier

Cash Department

"Cashier Department Management System"

13

Risk of receivables not being settled on time

Cashier Department, Credit Management Department

"Cashier Management System", "Accounts Receivable Management System"

14

The risk of merchants collecting cash privately

Cashier Department, Credit Management Department

"Regulations on the Management of Unified Cashier Settlement in Shopping Malls", "External Credit Supervision System", "Inspection and Supervision System"

15

Risks of unclear responsibilities, unscientific systems, and imperfections

Credit Management Department

Regular or irregular evaluation, improvement and feedback of the system

16

The risk of poor upload and download

Credit Management Department

"Information Rapid Feedback System", "Crisis Management and Active Remedial System"

17

Risks of public security personnel being vacant, off duty, and not fulfilling their duties

Administrative Office

"Regulations on Fire Safety in Shopping Malls"

18

Illegal use of open fire, illegal use of electricity, and illegal operation risks

Administrative Office

"Shopping Mall Fire Safety Regulations", "Shopping Mall Electricity Management Regulations"

19

Risks of insufficient inspection and untimely maintenance of elevators, fire protection, plumbing pipes, circuits, air conditioners, boiler facilities, etc.

Administrative Office

"Equipment Maintenance Management System"

20

The risk of the Baojie team not cleaning up in time

Administrative Office

"Shopping Mall Sanitation Management System"

21

The risk of untimely inspection and maintenance of buildings

Administrative Office

"Building Facilities Maintenance Management System"

22

The risk of poor communication and coordination with relevant departments such as public security fire protection, traffic police, water supply, power supply, and environmental protection

Administrative Office

"Information Rapid Feedback System", "Crisis Management and Active Remedial System"

23

Risk of emergencies

Departments

"Crisis Management and Active Remedial System"

24

Other unknown risks

All employees and merchants

Regularly or irregularly identify risks according to the "Risk Identification and Control System".

3. Examples of social group risk identification results

Count

Source

Risk Statement

Responsible departments

Countermeasures

1

Internal Risk

The risk of invalid use of social donations

Council, Secretary

1. Establish a financial disclosure system and accept social supervision.

2. Establish personal credit files for full-time employees or require them to become members of the World Credit Organization [WCO].

2

Internal Risk

Risks of corruption in senior officials of social groups

Council, Secretary

1. Establish an election system and regularly elect high-level personnel.

2. Establish an information disclosure system, disclose relevant information, and accept social supervision.

3. Carry out the construction of integrity culture, and continuously internalize the mission and core values of the unit as the thinking mode and action guide for the leaders and employees of the unit;

4. Practically implement and continuously publicize the unit's mission and core values, and attract outstanding talents who agree with the unit's mission and core values to come to the unit;

5. Establish a system of clear rewards and punishments, and at the same time establish credit files for employees or require them to become members of the World Credit Organization [WCO], reward outstanding employees with credit; punish dishonest employees with credit.

6. Establish a governance system that separates the three powers of decision-making, execution, and supervision.

4. Examples of risk identification results of state agencies

Count

Source

Risk Statement

Responsible departments

Countermeasures

1

Internal Risk

The risk of corruption

The highest decision-making level

1. Establish a government affairs disclosure system and accept social supervision.

2. Establish credit files for public officials or require them to become members of the World Credit Organization [WCO];

3. Other human universal systems.

2

Internal Risk

Risk of major liability accident

The highest decision-making level

1. Establish a risk identification and control system;

2. Establish a complaint, suggestion and praise information transmission system;

3. Other human universal systems.

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)