In order to further understand and master the development status of enterprises, strengthen enterprise risk management, find out the weak links in enterprise operation management, and improve the risk control level of the company, the Office of the Board of Directors and the Legal Department * * * jointly set up an enterprise risk assessment team to evaluate various risks faced by enterprises in 22, and formulate corresponding risk response strategies to achieve effective risk control. I. basic information of the enterprise
1. company name: XXXX
2. company address: XXXX
3. business scope: XXXX.
4. Ownership structure of the company:
5. Organizational structure of risk management:
The company is composed of the heads of all departments * * *, and the office of the board of directors and the audit department * * * are responsible for the daily work, with team leader XXX and deputy team leader XXX working under the leadership of the audit committee, specifically responsible for identifying, analyzing and formulating countermeasures for the internal and external risks of the group company, and constantly promoting the risk management of the company. The organizational structure of risk management is as follows: II. Risk assessment of enterprises
1. Organizational structure < P > The company has established the corporate governance structure and organizational structure, and defined the organization settings of the board of directors, the board of supervisors, the managers and all levels within the enterprise. The human resources department has clearly defined the staffing, responsibilities and authority of each organization, and standardized the working procedures and related requirements through business processes and rules and regulations.
the company's decision-making process runs well, and the organizational structure and functions are clearly defined. Major issues, major decisions and important personnel appointments and dismissals are collectively decided by the shareholders' meeting and the manager's office meeting, especially the development planning and personnel appointments and dismissals of subsidiaries are all discussed and decided by the manager's office meeting, and there is no major risk in the organizational structure.
2. Development Strategy
After the resolution of the 21st meeting of the 3rd Board of Directors, the company set up a strategy committee through voting, and reviewed the working rules of the combat readiness committee, which is mainly responsible for studying the company's long-term development strategy and major investment decisions.
3. Human resources
The company has formulated detailed human resources management processes and internal control systems, and established detailed internal control processes and systems in terms of talent recruitment, employee training, employee turnover, salary and assessment, labor insurance, etc., and signed business confidentiality agreements with key post personnel and key post personnel in time.
with the change of domestic human resources market and the influence of external environmental factors, enterprises also have the risk of insufficient human resources. Through campus recruitment, talent market, internal staff promotion and joint venture between schools and enterprises, the company has continuously expanded its human resources introduction strategy to ensure the company's human resources demand in time.
4. Social Responsibility
Through the quality, environment and safety management system, the company has continuously improved the management level of product quality, safety production and environmental protection. While formulating detailed quality management system and safety production management system, the company has deepened environmental protection and energy conservation and consumption reduction into the enterprise management concept.
the company regularly organizes workers' congresses, and establishes a management system of mutual aid funds for workers' difficulties, so as to protect workers' labor rights and interests and make all employees feel the warmth of the enterprise family.
risks in product quality and safety production are inevitable, but the enterprise has successfully passed the quality certification of product quality, employee health and safety and environmental management system of classification society, and further standardized the management system. There are no major customer quality claims in enterprise quality management, no major safety production accidents and environmental pollution accidents in production environment, which effectively reduces the risks in quality, environment and safety production.
5. Corporate culture
Over the years, the company has always attached importance to the construction of corporate culture, has a unique corporate culture and established a? Drum group ambition, cluster wisdom, gather people's morality, and create a variety of industries? Corporate purpose. The evaluation method of corporate culture is compiled to evaluate the achievements and shortcomings in corporate culture construction, accelerate the construction of corporate culture, give play to the important role of corporate culture in enterprise development, and effectively avoid corporate culture risks.
6. fund activities
the company strictly controls the fund management through an effective financial management system, and strengthens the inspection while standardizing the approval process and payment control, thus ensuring the safety of funds and improving the efficiency of funds. The company has formulated a standardized decision-making system for financing and investment, and unified control over the capital activities of subsidiaries.
the company has strictly controlled the ways and means of raising funds, made a step-by-step decision-making system according to the amount of funds raised, tightened the decision-making authority of the manager's office meeting, the board of directors and the shareholders' meeting, and standardized the collection and payment processes of funds such as borrowing and servicing.
through collective decision-making, the company scientifically determines the investment projects, establishes and improves the investment management ledger, always pays attention to the operation of the investee, and regularly evaluates the investment.
the company regularly formulates the capital operation plan, standardizes the management of capital revenue and expenditure, and strictly controls the examination and approval of the payment authority of operating funds, thus ensuring the safety and efficiency of operating funds.
after inspection and evaluation, the enterprise has not found any major risks in capital activities.
7. Procurement business
The company has standardized the company's procurement and payment management through systems such as Material Procurement Management System, Fixed Assets Management System, Bidding Management System and Payment Methods and Procedures Management Measures. Through the approval process of material purchase plan, purchase price, purchase settlement and payment, the procurement business has been effectively controlled, avoiding the risks in procurement plan, supplier selection and purchase acceptance, and no major procurement business risks have been found.
8. Asset management
In terms of asset management, the company has continuously strengthened its asset management level through various management systems such as Inventory Management System, Fixed Assets Management System, Low-value Consumables Management System and Goods Release Management System, and effectively controlled various asset management risks.
in terms of inventory management, the company makes full use of ERP enterprise resource management system, standardizes warehousing procedures and inventory inspection process control, and the wealth management department regularly checks and counts the group company's inventory, and conducts a comprehensive inventory at the end of each year. There is no great risk of loss, shortage and damage in inventory.
in the management of fixed assets, the business processes such as purchase, purchase, acceptance, allocation, repair and scrapping are standardized by the system, and assets are regularly checked and counted, which effectively avoids the management risks of fixed assets and realizes the management objectives of maintaining and increasing the value of fixed assets of the group company.
the company defines the items whose unit price is below RMB and above 3 yuan, and which are not the main production equipment and can keep the original physical form for a long time as low-value consumables for management, thus effectively improving the asset utilization rate. After strengthening the management control of goods release, the company's property safety was ensured and the risk of asset loss was effectively avoided.
the company applied for patents on scientific and technological achievements in time, and regularly registered trademarks and brands and extended their service life, which improved the effective utilization of intangible assets of enterprises. Enterprises attach importance to and strengthen brand building, and corporate brands have been recognized by domestic and foreign customers and achieved good social benefits.
9. Sales business
Through the Measures for the Management of Sales Contract Production Organization and the Management System of Customer Credit, the Group Company strengthened the management of the production process of sales orders, ensured the timely delivery of sales contracts, and improved the production management level. At the same time, it evaluated the credit of each customer, and further adopted different sales strategies according to the evaluation results to ensure the recovery rate of enterprise accounts receivable. After strengthening the management of issued goods and accounts receivable, the Finance Department promptly issued a reminder to urge the settlement or collection of goods or accounts receivable that reached the early warning period to avoid the occurrence of bad debts.
through the collective audit of sales price, the rationality of sales price is ensured, various risks in sales and collection are avoided, and the smooth and effective implementation of the company's domestic and international sales business is ensured. Through the way of making orders, the risk of overstocked goods in enterprises is effectively reduced.
1. research and development
the group company controls the scientific research projects after project approval, and brings them into the work plan and assessment system of the technology center, and strictly controls the research and development funds according to the approval. The scientific research achievements are evaluated in time and applied for patents, which ensures the efficiency of the scientific and technological achievements of enterprises and safeguards the interests of enterprises.
11. Engineering Projects
The company has formulated the Regulations on the Management of Engineering Projects, which regulates all aspects of the budget, project initiation, bidding, construction and acceptance of all engineering projects within the scope of the group company. Major engineering projects of the company have project initiation reports, bidding records of infrastructure projects and equipment, construction records and acceptance reports.
after internal control inspection, it is found that due to the lack of professional budget staff in system implementation, the major infrastructure projects of the group company only have rough budget reports, lacking detailed budget and audit records. The company took timely control measures in the process of bidding and pricing of engineering projects, and adopted effective bidding and negotiation strategies after consulting the budget reports submitted by various contractors, which reasonably prevented the risk of not detailed budget of engineering projects.
with the development of the company, the company will be equipped with professional budgeters in time, carry out the budget and audit process in time according to the system requirements, and avoid the risks of the project in time.
12. Guarantee business
After the resolution of the shareholders' meeting, the company has no guarantee business and no risks in the guarantee business except for a certain amount of capital guarantee for its holding subsidiaries Shouguang Baolong Petroleum Equipment Co., Ltd. and Weihai Baolong Petroleum Specialty Co., Ltd.
13. Outsourcing
The logistics center of the company has set up an outsourcing department to be responsible for the management of outsourcing. For large-scale outsourcing, the contractor has been selected through bidding, and the quality of outsourcing has been strictly controlled through the Regulations on Quality Control of Outsourcing and Outsourcing Products and the Company's Product Process Inspection and Supervision Management System. The outsourced products have set up separate material and product ledgers for special management, and the product quality and product quality have appeared.
14. Financial report
The enterprise has formulated a unified accounting system for the group company within the requirements of the Accounting Standards for Business Enterprises and the Application Guide of the Accounting Standards for Business Enterprises of the Ministry of Finance, strictly followed the preparation and review process of accounting statements, and regularly issued accounting statements and financial analysis reports, which were submitted to the board of directors and managers to provide reference for later business decisions. The quarterly financial report is submitted to the board of directors after being audited by the company's audit department. The annual financial report is submitted to the board of directors together with the audit report issued by the certified public accountant of the external accounting firm for the investors' information.
after inspection, there is no violation of accounting laws and regulations and the unified national accounting standards system, and the financial reports provided to the outside world are carefully reviewed and audited, and there is no risk of false reports and major omissions.
15. Comprehensive Budget
The Finance Department is fully responsible for the preparation and analysis of the comprehensive budget of the group company. According to the development strategy and annual production and operation plan of the group company and the standard requirements of the Comprehensive Budget Management System, the annual comprehensive budget is prepared regularly, and the implementation of the annual budget is comprehensively analyzed at the end of the year, and submitted to the board of directors and management for comments on time. The Human Resources Department timely assesses the managers of all departments according to the budget implementation, and fully implements the budget assessment.
The annual budget analysis report of the enterprise is not submitted on time. It is suggested that the general manager's office should constantly strengthen the organization and leadership of the comprehensive budget work, strengthen the implementation and assessment of budget management, and further standardize the annual comprehensive budget management of the enterprise and give full play to the management role of the comprehensive budget.
16. Contract management
After formulating the Contract Management System, with the help of the internal auxiliary management system, the group company standardized the process of contract conclusion and performance, contract changes and disputes, and the legal affairs department was responsible for contract management, formulated the main types of contract templates, conducted a detailed review of contracts that could not be signed with the company contract template, and registered the performance of contracts in detail.
the audit department regularly evaluates the contract performance of the group company, and promptly investigates the responsibility for the problems found in the audit that the contract is not signed on time and the contract performance, thus effectively avoiding the contract management risk.
17. Internal information transmission
The company has formulated the Management System for Receiving and Sending Documents, the Internal Reporting System for Important Information, the Registration and Reporting System for Insider Information and the Memorandum Management System. With the help of the company's internal office network system, the internal information is well transmitted according to the system requirements and the confidentiality of information, ensuring the smooth and timely transmission of internal information and the confidentiality of commercial information.
18. Information system
According to the overall planning of information system construction, the Group Company made a plan to develop enterprise information system. Through the Computer Management Regulations, Computer Room Management System and Network Management System, the management of information system operation and maintenance was continuously strengthened. After user application and authority approval control, information backup and authority check were carried out regularly, and software update and virus prevention were carried out regularly. No internal management control risks were found in the information system of the Group Company.
19. Internal supervision
Under the leadership of the audit committee of the group company, the Internal Audit System is strictly implemented. According to the audit work plan, the audit department completes the internal control audit on a regular basis and the management resignation audit on time. In view of the problems and loopholes found in the audit process, timely put forward rectification opinions and supervise the rectification, and timely investigate the major responsibility problems found in the audit.
regarding the anti-fraud mechanism, the company has formulated the anti-fraud management regulations, calling on employees to participate in supervision, and conducting special audits in time when problems are found. At the same time, the audit department participates in the bidding work of the group company's projects on time, supervises the bidding process, and orders suppliers to sign the Commitment of No Bribery to prevent business risks. Iii. risk assessment opinions
The enterprise has established a scientific and complete risk management and internal control system. Although the enterprise has certain management risks in the budget of the project, the company has taken effective preventive measures against the risks in time and well controlled the management risks. According to the assessment, there is no significant business risk and management risk in the enterprise.
due to the limitation of enterprise risk assessment, it is impossible to identify and analyze all risks caused by uncertain factors such as changes in national policies, changes in international and domestic markets, and natural disasters. This evaluation opinion is limited to the group company.