Summary report on the review of credit court case governance
According to the spirit of the instructions of the provincial and municipal banking supervision departments, the county associations organized a special case-based work to strengthen the special governance of the county affiliates, establish a long-term mechanism for case prevention, and maintain the continuity of the case-specific governance. And effectiveness, implement various work measures for special governance of cases, carry out in-depth work on compliance construction, promote the construction of compliance culture of rural credit cooperatives, further create a good atmosphere for compliance culture construction, and ensure the special governance and compliance construction of cases. Smooth development, the current work report is as follows:
First, the organization of the implementation of the establishment of a leading group, meticulous organization and implementation.
In order to ensure the smooth implementation of the special treatment of the case, the county association has set up a leading group, with the head of the association XX×, the two deputy directors of XX and XX, and the heads of the departments as members. The leading group has an office set up in the Audit and Supervision Department, which is responsible for the organization and implementation of the special treatment of the case. The credit cooperatives have also set up a leading group to ensure the smooth implementation of the special treatment of the case.
Formulate an implementation plan and draw up the work content.
The special treatment of the county affiliates in our county is guided by "two improvements," "two enhancements," "two declines," "two increases," "two establishments," and "five strictness," and "five strengthening." The “Implementation Plan for Special Treatment of Rural Credit Cooperative Cases” was formulated, and the special treatment of cases was carried out in five stages. The work contents of each stage were drawn up, and the special treatment of cases was included in the annual management objectives of each credit cooperative. The higher level requires the special treatment of the case or the organization of the credit union that is slow to progress due to the ineffective implementation of the work. The annual assessment will be a one-vote veto system, directly canceling the qualifications of the unit and its principals in the current year, and depending on the circumstances. The responsible person shall be punished by economic punishment, political discipline or party discipline, and regularly hold case analysis meetings to summarize and analyze the special treatment of the case, to ensure that the special case management work is not in the form, and strive to achieve "a year of success, three years. The milestone of achieving great results.
Develop a supervision plan and conduct supervision and inspection.
In order to further strengthen the special governance of rural credit cooperatives in our county, improve the internal control management system, achieve a new level of management, timely implement the spirit of special governance instructions for higher-level cases, and strengthen supervision and guidance on the special governance of various credit cooperative cases. The county association of the county has formulated the "Special Governance and Supervision Work Plan for Rural Credit Cooperative Cases", supervising and inspecting the special governance work of various credit cooperative cases, supervising and guiding all credit cooperatives to carry out the special treatment of cases in a solid manner to ensure the special treatment of cases. The work effect achieves the expected work goal. In the XX year, 14 inspections were conducted on the governance supervision of each credit union case.
Second, organize the implementation of the situation to clear the rules and regulations, and carry out internal control evaluation.
In order to strengthen the internal control management of credit, accounting, cashier, savings and other positions, to understand and evaluate the establishment and implementation of the internal control system of rural credit cooperatives in our county, the rural credit cooperatives of our county have formulated the “*** Rural Credit Cooperatives to carry out internal control inspections and Evaluate the Work Plan, study and solve the countermeasures existing in the problem, explore the revision opinions or suggestions of the existing rules and regulations, and according to the evaluation and inspection situation, 8 new internal control management system items have been newly formulated, 6 related management systems have been supplemented, and relevant business operations have been clarified. Procedures, further improve the internal control management mechanism, increase the intensity of accountability, and accountability to the principle of “vertical and vertical, horizontal to the side, two levels of up-and-hold, accountability in place”, for all directly responsible persons, relevant responsible persons and responsible persons Comprehensive accountability, no gaps, and gradually make all employees in the process of work and performance of their duties, always tighten the string of legal compliance, be fully responsible for their actions, and always realize that they are acting against their superiors and employees. , the impact on the family, the unit, and the society, and the consequences of the violation of the law Dare not "to" do not want to "change.
Carry out the "review" inspection work of special case management.
Strengthen the rectification work on existing problems, carry out the "review" of the problems found in the special inspections since XX, the implementation of the rules and regulations of the CBRC and the responsibility system of the case, and convene a "symposium on rectification of existing problems". The person in charge of the problem rectification proposed rectification measures, established a problematic rectification account, and adopted the method of accounting for the existence of problems to ensure the implementation of rectification measures and the implementation of the system.
Check the hidden dangers of the weak links, key departments and key positions of the vulnerable cases.
1. Develop inspection plans and organize inspections. According to the spirit of the special management work instructions of the higher-level management departments, the county association has formulated the “Special Governance Inspection Plan for Rural Credit Cooperative Cases”, focusing on the examination of authorization cards, seals, blank certificates, vaults, and inquiry pairs. Accounts, rotation leave, security, as well as video inspection, gun and ammunition management and other key areas and links, according to the inspection program, the relevant project content will be set up an inspection worksheet, and each credit cooperative will be arranged to carry out self-examination according to the contents of the worksheet. The staff of each functional department of the society form two inspection teams, and the organization conducts targeted business operation risk inspections. In June, according to the arrangement of the provincial associations, the supplementary inspection plan for the last uninspected projects is formulated according to the inspection plan of the provincial association. Reorganized and carried out inspections. In this year, a total of 28 internal control risk issues were examined, and problems were rectified, and the responsible persons and responsible persons of relevant rectification were implemented to further explore the potential internal business risks of the rural credit cooperatives in our county to prevent the occurrence of cases.
2. Implement mandatory vacations and carry out investigations. In order to implement the mandatory vacation system, impose on the audit work of important post personnel, carry out special treatment of rural credit cooperative cases in our county, and effectively prevent internal business risks. In September, the county’s credit cooperatives were forced to take two batches in two batches. In conjunction with the mandatory vacation work, the company will carry out audit work for the accounting and credit accounting positions of the credit cooperatives, formulate the “Implementation Plan for the Audit of Important Persons in Rural Credit Cooperatives”, timely discover the problems of illegal operation, propose rectification plans, and eliminate potential risks. Promote the county's rural credit cooperatives to operate in compliance with laws and regulations, and achieve the purpose of standardization of accounting management supervision. At the same time, the home visit activities were carried out for the employees of each position. The heads of the associations conducted home visits to the department heads of the sub-management departments. The department heads conducted home visits to the employees of the department, and the director of the credit agency conducted home visits to the employees of the company. Through the layer of home visits, we can further understand the dynamics of employees' thinking and family status. At the same time, for more than three years, the post rotation of personnel in the same position was carried out. In this year, the number of deputy directors of the credit union was rotated by 3, the number of credit positions was rotated by 18, the number of outlets was 4, and the accounting and cashier rotation was 25.
In the future, in the future, the county joint association will continue to strengthen the political and ideological education of employees, carry out in-depth special case management activities, and include the special treatment of cases in the daily work agenda, and carry out the special case management work for a long time. Greatly punish the responsible persons for violations, seriously investigate and punish those who violate the rules, create a clean, honest, civilized and healthy study and living environment, and further prevent the financial risks of credit unions.
Continue to carry out in-depth special case management, so that the majority of cadres and employees can more clearly define the objectives, specific content and requirements of the special governance of the case, regularly organize the staff to study in each position, ensure that all members participate in the special treatment of the case, and implement the special treatment of the case to the people and implement it. , to implement the actual situation, effectively prevent the internal operational risks of the rural credit cooperatives in our county.
Seriously sum up the implementation of the special governance work of the case and the implementation of the progress, the main problems found, the investigation and rectification, the solid management of the case, and effectively prevent the internal operational risks of the rural credit cooperatives in our county.
Continue to deepen the organization of front-line employees to discuss the theme of operational risk prevention and control, and express their opinions on operational risk prevention and control issues, and further improve employee risk prevention awareness and prevention capabilities through discussion.
First, the organization of the implementation of the establishment of a leading group, meticulous organization and implementation.
In order to ensure the smooth implementation of the special treatment of the case, the county association has set up a leading group, with the head of the association XX×, the two deputy directors of XX and XX, and the heads of the departments as members. The leading group has an office set up in the Audit and Supervision Department, which is responsible for the organization and implementation of the special treatment of the case. The credit cooperatives have also set up a leading group to ensure the smooth implementation of the special treatment of the case.
Formulate an implementation plan and draw up the work content.
The special treatment of the county affiliates in our county is guided by "two improvements," "two enhancements," "two declines," "two increases," "two establishments," and "five strictness," and "five strengthening." The “Implementation Plan for Special Treatment of Rural Credit Cooperative Cases” was formulated, and the special treatment of cases was carried out in five stages. The work contents of each stage were drawn up, and the special treatment of cases was included in the annual management objectives of each credit cooperative. The higher level requires the special treatment of the case or the organization of the credit union that is slow to progress due to the ineffective implementation of the work. The annual assessment will be a one-vote veto system, directly canceling the qualifications of the unit and its principals in the current year, and depending on the circumstances. The responsible person shall be punished by economic punishment, political discipline or party discipline, and regularly hold case analysis meetings to summarize and analyze the special treatment of the case, to ensure that the special case management work is not in the form, and strive to achieve "a year of success, three years. The milestone of achieving great results.
Develop a supervision plan and conduct supervision and inspection.
In order to further strengthen the special governance of rural credit cooperatives in our county, improve the internal control management system, achieve a new level of management, timely implement the spirit of special governance instructions for higher-level cases, and strengthen supervision and guidance on the special governance of various credit cooperative cases. The county association of the county has formulated the "Special Governance and Supervision Work Plan for Rural Credit Cooperative Cases", supervising and inspecting the special governance work of various credit cooperative cases, supervising and guiding all credit cooperatives to carry out the special treatment of cases in a solid manner to ensure the special treatment of cases. The work effect achieves the expected work goal. In the XX year, 14 inspections were conducted on the governance supervision of each credit union case.
Second, organize the implementation of the situation to clear the rules and regulations, and carry out internal control evaluation.
In order to strengthen the internal control management of credit, accounting, cashier, savings and other positions, to understand and evaluate the establishment and implementation of the internal control system of rural credit cooperatives in our county, the rural credit cooperatives of our county have formulated the “*** Rural Credit Cooperatives to carry out internal control inspections and Evaluate the Work Plan, study and solve the countermeasures existing in the problem, explore the revision opinions or suggestions of the existing rules and regulations, and according to the evaluation and inspection situation, 8 new internal control management system items have been newly formulated, 6 related management systems have been supplemented, and relevant business operations have been clarified. Procedures, further improve the internal control management mechanism, increase the intensity of accountability, and accountability to the principle of “vertical and vertical, horizontal to the side, two levels of up-and-hold, accountability in place”, for all directly responsible persons, relevant responsible persons and responsible persons Comprehensive accountability, no gaps, and gradually make all employees in the process of work and performance of their duties, always tighten the string of legal compliance, be fully responsible for their actions, and always realize that they are acting against their superiors and employees. , the impact on the family, the unit, and the society, and the consequences of the violation of the law Dare not "to" do not want to "change.
Carry out the "review" inspection work of special case management.
Strengthen the rectification work on existing problems, carry out the "review" of the problems found in the special inspections since XX, the implementation of the rules and regulations of the CBRC and the responsibility system of the case, and convene a "symposium on rectification of existing problems". The person in charge of the problem rectification proposed rectification measures, established a problematic rectification account, and adopted the method of accounting for the existence of problems to ensure the implementation of rectification measures and the implementation of the system.
Check the hidden dangers of the weak links, key departments and key positions of the vulnerable cases.
1. Develop inspection plans and organize inspections. According to the spirit of the special management work instructions of the higher-level management departments, the county association has formulated the “Special Governance Inspection Plan for Rural Credit Cooperative Cases”, focusing on the examination of authorization cards, seals, blank certificates, vaults, and inquiry pairs. Accounts, rotation leave, security, as well as video inspection, gun and ammunition management and other key areas and links, according to the inspection program, the relevant project content will be set up an inspection worksheet, and each credit cooperative will be arranged to carry out self-examination according to the contents of the worksheet. The staff of each functional department of the society form two inspection teams, and the organization conducts targeted business operation risk inspections. In June, according to the arrangement of the provincial associations, the supplementary inspection plan for the last uninspected projects is formulated according to the inspection plan of the provincial association. Reorganized and carried out inspections. In this year, a total of 28 internal control risk issues were examined, and problems were rectified, and the responsible persons and responsible persons of relevant rectification were implemented to further explore the potential internal business risks of the rural credit cooperatives in our county to prevent the occurrence of cases.
2. Implement mandatory vacations and carry out investigations. In order to implement the mandatory vacation system, impose on the audit work of important post personnel, carry out special treatment of rural credit cooperative cases in our county, and effectively prevent internal business risks. In September, the county’s credit cooperatives were forced to take two batches in two batches. In conjunction with the mandatory vacation work, the company will carry out audit work for the accounting and credit accounting positions of the credit cooperatives, formulate the “Implementation Plan for the Audit of Important Persons in Rural Credit Cooperatives”, timely discover the problems of illegal operation, propose rectification plans, and eliminate potential risks. Promote the county's rural credit cooperatives to operate in compliance with laws and regulations, and achieve the purpose of standardization of accounting management supervision. At the same time, the home visit activities were carried out for the employees of each position. The heads of the associations conducted home visits to the department heads of the sub-management departments. The department heads conducted home visits to the employees of the department, and the director of the credit agency conducted home visits to the employees of the company. Through the layer of home visits, we can further understand the dynamics of employees' thinking and family status. At the same time, for more than three years, the post rotation of personnel in the same position was carried out. In this year, the number of deputy directors of the credit union was rotated by 3, the number of credit positions was rotated by 18, the number of outlets was 4, and the accounting and cashier rotation was 25.
In the future, in the future, the county joint association will continue to strengthen the political and ideological education of employees, carry out in-depth special case management activities, and include the special treatment of cases in the daily work agenda, and carry out the special case management work for a long time. Greatly punish the responsible persons for violations, seriously investigate and punish those who violate the rules, create a clean, honest, civilized and healthy study and living environment, and further prevent the financial risks of credit unions.
Continue to carry out in-depth special case management, so that the majority of cadres and employees can more clearly define the objectives, specific content and requirements of the special governance of the case, regularly organize the staff to study in each position, ensure that all members participate in the special treatment of the case, and implement the special treatment of the case to the people and implement it. , to implement the actual situation, effectively prevent the internal operational risks of the rural credit cooperatives in our county.
Seriously sum up the implementation of the special governance work of the case and the implementation of the progress, the main problems found, the investigation and rectification, the solid management of the case, and effectively prevent the internal operational risks of the rural credit cooperatives in our county.
Continue to deepen the organization of front-line employees to discuss the theme of operational risk prevention and control, and express their opinions on operational risk prevention and control issues, and further improve employee risk prevention awareness and prevention capabilities through discussion.
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