Zhongxin Finance, March 22. Recently, the State-owned Assets Supervision and Administration Commission issued the "Notice on Doing a Good Job in the Investigation of the Responsibility of the Central Enterprises for Illegal Operation and Investment in 2022", instructing the central enterprises to do a solid job in the investigation of the responsibility of the illegal operation and investment in 2022, and comprehensively improve the work. To operate in compliance with laws and regulations, and to promote the sustainable and healthy development of the enterprise, the key tasks are as follows:

　　(1) Carry out the preliminary verification of clues of violations.

All central enterprises should deepen the sharing and coordination of internal supervision information, make good use of the accountability work system, and carry out the preliminary verification of clues to violations, so as to ensure that all the necessary verifications are verified, the projects should be established, and the responsibilities should be investigated. responsibility.

In accepting the supervision of investors, disciplinary inspections, inspections, audits, etc., as well as conducting internal supervision, enterprises should comprehensively analyze the clues of violations found in research and judgment, and further carry out preliminary verification of the risk of asset loss or other serious adverse consequences. Provisions are made to propose classified disposal proposals and verification and accountability plans.

Within 20 working days after each central enterprise receives the relevant special supervision and inspection such as the audit of financial final accounts of the State-owned Assets Supervision and Administration Commission, the random inspection and evaluation of the effectiveness of the internal control system, and the rectification notice or audit report of the National Audit Office's economic responsibility audit and financial revenue and expenditure audit, it shall report to the State-owned Assets Supervision and Administration Commission. The commission submits a special work report on preliminary verification of clues related to violations, reflects the progress of preliminary verification work, and proposes in-depth verification projects and follow-up accountability work plans.

　　(2) Seriously investigate and deal with clues about major violations.

All central enterprises should focus on handling the clues of violations that the Party Central Committee and the State Council are concerned about and handed over by the State-owned Assets Supervision and Administration Commission. Resolutely prevent the "broken window effect".

Central enterprise group companies should adopt methods such as direct inspection, joint inspection, and listing supervision to strengthen the supervision and guidance of their subsidiaries' accountability for violations of regulations, and focus on investigating and punishing clues to typical problems such as knowingly committing crimes, repeating repeated crimes, and long-term violations.

Each central enterprise group company selects typical cases from the clues of direct inspection or joint inspection of violations and submits it to the SASAC every year.

　　(3) Deepening the promotion and application of management improvement proposals.

All central enterprises should integrate the investigation and handling of violations, improve internal control, and strengthen standardized management. On the basis of previous years' exploration experience, they should continue to deepen the promotion of management improvement proposals, and better play the role of "preventing diseases" in accountability work.

The management improvement proposal should focus on reflecting the outstanding violations of the enterprise, dig deep into the system deficiencies and management loopholes behind the violations, and put forward suggestions for strengthening management and system construction (see the attachment for the reference format).

In 2022, all central enterprises will form management improvement proposals for more than half of the verification projects completed in the year.

　　(4) Improve and perfect the working mechanism of accountability.

All central SOEs should meet the requirements of "stable, accurate and fast" verification and accountability work, comprehensively summarize practical experience, and improve the relevant work mechanism for accountability.

It is necessary to innovate the way of checking the clues of violations, clarify the situation of the group company's promotion to investigate the clues of the violations of its subsidiaries at the third level and below, and refine the applicable conditions for joint verification with its subsidiaries, so as to effectively exert the supervision authority of "checking from above".

It is necessary to study and establish a simple procedure for accountability, and to identify clues to problems such as single violations, clear facts of violations, and additional violations of those responsible for violations. On the premise of ensuring the quality of accountability, optimize the procedures for verification and accountability, and improve work efficiency.

Carry out special research on the accountability of resigned retirees for violations of regulations, the standardization of loss identification and responsibility identification, and the accountability of overseas, shareholding, and financial subsidiaries, and prepare relevant systems and mechanisms.

　　(5) Effectively apply the supervision and accountability information system.

All central enterprises should continue to strengthen the construction of the supervision and accountability information system. In accordance with the goal of improving the digitalization and intelligence of state-owned assets supervision, the supervision and accountability information system should be fully completed by the end of June, and the connection with the SASAC system will be completed.

It is necessary to promote the organic integration of informatization and supervision and accountability business, continuously extend penetration, enrich and improve the breadth and depth of data collection and statistical analysis, and strive to achieve full coverage of informatization supervision of supervision and accountability business.

It is necessary to further promote the interactive sharing of business data between group companies and affiliated enterprises, realize real-time online collection and regular summary analysis of business data, continuously strengthen business data integration, and gradually improve the digital level of supervision and accountability.

　　(6) Strengthen the reporting work on accountability for violations.

The periodic reports on accountability for illegal operations and investments are an important carrier to comprehensively reflect the progress and results of accountability work. All central enterprises must submit periodic reports with high quality in accordance with the time limit.

In order to further improve the timeliness of reporting work, the SASAC will explore the real-time collection of the responsibility investigation work of central enterprises based on the supervision and accountability information system, understand the dynamic progress of the acceptance, project establishment, and verification of clues related to corporate responsibility investigation, and accurately supervise and guide enterprises in a targeted manner. Accountability work.

All central enterprises shall, according to the follow-up work requirements, organize and do a good job in the reporting of their own enterprises' responsibility investigation, and timely and accurately reflect the situation of the enterprise's responsibility investigation for violations of regulations.

　　(7) Continue to strengthen the construction of the accountability team.

All central SOEs should take effective measures, adopt various methods, and equip themselves with the responsibility investigation work force commensurate with the size of the enterprise, the characteristics of the industry in which it operates, the needs of group management and control, and the frequency of occurrence of problems.

Group companies and important subsidiaries should clarify the responsibility investigation work institutions and special positions, allocate and strengthen full-time staff, and continue to increase training efforts.

It is necessary to study the establishment of a professional talent pool for corporate accountability work that can be deployed by the group company, and select professionals in finance, investment, finance, internal control, law, and compliance to enter the library and participate in the verification of violations, as an effective supplement to the accountability team.

It is necessary to ensure the necessary capital investment, employ qualified intermediary agencies to participate in the verification work, and enrich the verification force.

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