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Summary of Auditing Audit Work of City Rural Credit Cooperatives in 2019

First, scientifically formulate the audit work ideas for the actual situation, study and formulate the overall work of "one two three four five", that is: put forward the "innovation method, strengthen the intensity, expand the scope, ensure the effect" audit work concept; adhere to supervision and service Implement three strict accountability for auditing direct targets, business management departments, and auditors; construct a four-level responsibility control network of “Supervisory Board → Audit Audit Department → Audit Brigade → Auditors”; establish self-monitoring and branch directors of front-line employees The real-time supervision, the direct supervision of the director of the credit agency, the functional supervision of the business department, and the five-level supervision and prevention system of the auditing department.
Second, improve the audit work system has successively formulated and issued the "Quality Management Measures for Audit Projects", "Measures for On-site Inspection of Auditors", "Code of Ethics for Auditors", "Measures for Follow-up Education of Auditors", "Internal Audit Charter", "Audit More than 10 normative systems, such as the “Awareness Assessment Method for the Staff”, the “Management Model for the Auditors’ Steering Society”, the “Inspection System for Staff Behavior Misconduct”, the “Talking System for the Honest and Clean Government of the Cadres” and the “Measures for the Targets of the XX Auditors” The archives have effectively promoted the institutionalization of audit work and the process of audit operation.
Third, the innovative audit means First, the audit commitment system was established. Every time the audit work is carried out, the audited unit must make a written commitment to the audit matter, clarify the responsibilities of both parties, and maintain the seriousness of the audit. Received a written letter of commitment throughout the year
378 copies. The second is to establish auditing and rectification and replication. It is necessary to investigate and rectify and rectify the problem. It is required to submit the rectification report within 10 working days for the problems found in the audit inspection, effectively controlling the violation of the problem, “before and after the clearing”, and repeatedly checking the phenomenon of repeated violations. 96 audit and rectification reports were received throughout the year. The third is to establish a management proposal transfer system. For the major problems discovered by the audit, 24 management proposals were transmitted to the functional departments in the name of the Board of Supervisors, and risk warnings were issued to improve the pertinence and management effectiveness of the management. The fourth is to establish a regular meeting system for audit work. The first week of each month will be designated as the audit work meeting day. As a platform, we will regularly listen to the work report of the auditors, summarize the experience, analyze the problems, and make recommendations. At the monthly director's work meeting, the auditor's unreformed matters were reported and the director was asked to make an oral statement on the spot. The audit meeting was held 12 times throughout the year. The fourth is to standardize the audit penalty procedure. In order to enable the auditors to fully perform their duties of investigation and investigation, comprehensively reflect the exposure problems, submit the problems discovered by the auditors to the working regular meeting for research, adopt a unified punishment scale, and report the results to the entire jurisdiction in the form of “inspection notification”. In the whole year, a total of 12 issues of the "Inspection Circular" was issued to regulate the audit carrier. In order to improve the efficiency of auditors, each auditor is equipped with computer notebooks, and unified production and use of standardized audit work papers, evidence collection records, data access lists, audit penalty notices, discovery problem transfer books, audit rectification notices, etc. The formatting, standardization and standardization of the audit work text have been achieved. Sixth is the establishment of the "Xinhe Inspector Briefing". The briefing was issued 12 times throughout the year, and set up auditing work dynamics, audit work exploration, audit work special report, business coaching, audit risk warning and other columns, and analyzed, standardized, guided and prompted the business risk points, enriching the staff. Business knowledge effectively regulates operational behavior. He also published 9 financial information and 3 financial research articles in official documents, which were adopted by many media.
IV. Designing the business operation supervision process In order to minimize the risk of business operation, in March, the book “Regulation Process for the Standardization Operation of Rural Credit Cooperatives” was compiled and printed to each employee. After the book was printed, it was highly appraised and affirmed by the Sichuan Provincial Association. On the basis of the book, the book “Handbook of Business Process Compliance for Sichuan Rural Credit Cooperatives”, which has been adapted and improved by the Provincial Association, has been officially published. The promotion and implementation of the rural credit cooperatives in the province has become a model for guiding the standardized operation of the rural credit cooperatives in the province.
Fifth, strengthen the core work, increase the intensity of auditing, first, comprehensive coverage, and do a good job of auditing. In the whole year, 342 social audits were conducted on a regular basis, and 40 business outlets were audited until the end of December, and the audit face was 100%. The second is to focus on the special audit. A total of 6 special audits were carried out throughout the year, with a total of 191 audits for audits; the third is to focus on rectification and implementation, and to conduct follow-up audits. A total of 191 social audits were carried out in subsequent audits, and 58 follow-up audit reports were formed. The fourth is to ensure practical results and earnestly carry out re-audit work. He has audited 9 business outlets in Baisha, Guandu and Dazhu successively, and seriously dealt with the existing problems.

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