煙草企業法律風險防控體系建設路徑淺析
- 分類(lei)：知識共享
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- 發布(bu)時間：2016-02-12 14:47
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【概要描(miao)述】企(qi)(qi)(qi)業(ye)(ye)(ye)(ye)(ye)法(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)律(lv)(lv)(lv)(lv)(lv)(lv)(lv)(lv)(lv)風(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)險(xian)(xian)(xian)(xian)(xian)(xian)(xian)(xian)，是(shi)(shi)指基(ji)于法(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)律(lv)(lv)(lv)(lv)(lv)(lv)(lv)(lv)(lv)規(gui)定(ding)(ding)、監管(guan)要(yao)(yao)(yao)(yao)(yao)求(qiu)或(huo)(huo)合(he)(he)(he)同約定(ding)(ding)，由于企(qi)(qi)(qi)業(ye)(ye)(ye)(ye)(ye)外部(bu)環(huan)境(jing)及(ji)其變化(hua)(hua)(hua)或(huo)(huo)企(qi)(qi)(qi)業(ye)(ye)(ye)(ye)(ye)及(ji)利(li)(li)益相(xiang)關(guan)者(zhe)(zhe)的(de)(de)(de)(de)(de)(de)(de)(de)(de)作(zuo)(zuo)(zuo)(zuo)(zuo)(zuo)為(wei)(wei)或(huo)(huo)不作(zuo)(zuo)(zuo)(zuo)(zuo)(zuo)為(wei)(wei)，對(dui)(dui)(dui)企(qi)(qi)(qi)業(ye)(ye)(ye)(ye)(ye)目標產(chan)生(sheng)(sheng)的(de)(de)(de)(de)(de)(de)(de)(de)(de)影響。從企(qi)(qi)(qi)業(ye)(ye)(ye)(ye)(ye)角(jiao)度(du)來(lai)(lai)說，這類(lei)風(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)險(xian)(xian)(xian)(xian)(xian)(xian)(xian)(xian)主(zhu)(zhu)要(yao)(yao)(yao)(yao)(yao)是(shi)(shi)指經濟(ji)利(li)(li)益損失、企(qi)(qi)(qi)業(ye)(ye)(ye)(ye)(ye)信(xin)(xin)譽下(xia)降甚至企(qi)(qi)(qi)業(ye)(ye)(ye)(ye)(ye)自(zi)身破產(chan)倒閉(bi)等。企(qi)(qi)(qi)業(ye)(ye)(ye)(ye)(ye)缺乏防(fang)(fang)(fang)范(fan)意(yi)識(shi)(shi)或(huo)(huo)者(zhe)(zhe)行(xing)(xing)(xing)為(wei)(wei)不符合(he)(he)(he)法(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)律(lv)(lv)(lv)(lv)(lv)(lv)(lv)(lv)(lv)規(gui)范(fan)，都會產(chan)生(sheng)(sheng)法(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)律(lv)(lv)(lv)(lv)(lv)(lv)(lv)(lv)(lv)風(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)險(xian)(xian)(xian)(xian)(xian)(xian)(xian)(xian)。 法(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)律(lv)(lv)(lv)(lv)(lv)(lv)(lv)(lv)(lv)風(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)險(xian)(xian)(xian)(xian)(xian)(xian)(xian)(xian)防(fang)(fang)(fang)控(kong)(kong)(kong)(kong)是(shi)(shi)指在(zai)對(dui)(dui)(dui)法(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)律(lv)(lv)(lv)(lv)(lv)(lv)(lv)(lv)(lv)風(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)險(xian)(xian)(xian)(xian)(xian)(xian)(xian)(xian)主(zhu)(zhu)體(ti)(ti)(ti)(ti)的(de)(de)(de)(de)(de)(de)(de)(de)(de)自(zi)身目標、狀況及(ji)其所處環(huan)境(jing)進行(xing)(xing)(xing)充分了解的(de)(de)(de)(de)(de)(de)(de)(de)(de)基(ji)礎上，利(li)(li)用法(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)律(lv)(lv)(lv)(lv)(lv)(lv)(lv)(lv)(lv)所賦予的(de)(de)(de)(de)(de)(de)(de)(de)(de)權(quan)利(li)(li)，以(yi)(yi)(yi)(yi)事(shi)前控(kong)(kong)(kong)(kong)制(zhi)為(wei)(wei)主(zhu)(zhu)、以(yi)(yi)(yi)(yi)事(shi)后(hou)(hou)救濟(ji)為(wei)(wei)輔，采取綜合(he)(he)(he)的(de)(de)(de)(de)(de)(de)(de)(de)(de)、系(xi)(xi)(xi)(xi)(xi)統的(de)(de)(de)(de)(de)(de)(de)(de)(de)手(shou)(shou)段避免或(huo)(huo)降低企(qi)(qi)(qi)業(ye)(ye)(ye)(ye)(ye)法(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)律(lv)(lv)(lv)(lv)(lv)(lv)(lv)(lv)(lv)風(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)險(xian)(xian)(xian)(xian)(xian)(xian)(xian)(xian)帶(dai)來(lai)(lai)的(de)(de)(de)(de)(de)(de)(de)(de)(de)不利(li)(li)后(hou)(hou)果。 對(dui)(dui)(dui)于煙草(cao)(cao)企(qi)(qi)(qi)業(ye)(ye)(ye)(ye)(ye)來(lai)(lai)說，建(jian)(jian)立(li)(li)法(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)律(lv)(lv)(lv)(lv)(lv)(lv)(lv)(lv)(lv)風(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)險(xian)(xian)(xian)(xian)(xian)(xian)(xian)(xian)防(fang)(fang)(fang)控(kong)(kong)(kong)(kong)體(ti)(ti)(ti)(ti)系(xi)(xi)(xi)(xi)(xi)是(shi)(shi)全(quan)面(mian)(mian)建(jian)(jian)設(she)法(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)治煙草(cao)(cao)、適應經濟(ji)發(fa)(fa)(fa)(fa)(fa)展(zhan)新常態(tai)、優化(hua)(hua)(hua)企(qi)(qi)(qi)業(ye)(ye)(ye)(ye)(ye)發(fa)(fa)(fa)(fa)(fa)展(zhan)環(huan)境(jing)的(de)(de)(de)(de)(de)(de)(de)(de)(de)重(zhong)(zhong)(zhong)(zhong)要(yao)(yao)(yao)(yao)(yao)內容。結(jie)合(he)(he)(he)近年(nian)來(lai)(lai)煙草(cao)(cao)企(qi)(qi)(qi)業(ye)(ye)(ye)(ye)(ye)狠抓法(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)治建(jian)(jian)設(she)的(de)(de)(de)(de)(de)(de)(de)(de)(de)經驗，在(zai)認真分析(xi)(xi)當(dang)前法(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)治煙草(cao)(cao)建(jian)(jian)設(she)面(mian)(mian)臨問題的(de)(de)(de)(de)(de)(de)(de)(de)(de)基(ji)礎上，筆(bi)者(zhe)(zhe)認為(wei)(wei)，建(jian)(jian)立(li)(li)完(wan)(wan)善(shan)(shan)煙草(cao)(cao)企(qi)(qi)(qi)業(ye)(ye)(ye)(ye)(ye)法(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)律(lv)(lv)(lv)(lv)(lv)(lv)(lv)(lv)(lv)風(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)險(xian)(xian)(xian)(xian)(xian)(xian)(xian)(xian)防(fang)(fang)(fang)控(kong)(kong)(kong)(kong)體(ti)(ti)(ti)(ti)系(xi)(xi)(xi)(xi)(xi)應從以(yi)(yi)(yi)(yi)下(xia)五(wu)個(ge)方(fang)面(mian)(mian)入(ru)手(shou)(shou)： 樹(shu)立(li)(li)法(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)律(lv)(lv)(lv)(lv)(lv)(lv)(lv)(lv)(lv)風(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)險(xian)(xian)(xian)(xian)(xian)(xian)(xian)(xian)意(yi)識(shi)(shi)。法(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)律(lv)(lv)(lv)(lv)(lv)(lv)(lv)(lv)(lv)風(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)險(xian)(xian)(xian)(xian)(xian)(xian)(xian)(xian)防(fang)(fang)(fang)控(kong)(kong)(kong)(kong)體(ti)(ti)(ti)(ti)系(xi)(xi)(xi)(xi)(xi)建(jian)(jian)設(she)是(shi)(shi)一(yi)項系(xi)(xi)(xi)(xi)(xi)統的(de)(de)(de)(de)(de)(de)(de)(de)(de)、全(quan)面(mian)(mian)性(xing)的(de)(de)(de)(de)(de)(de)(de)(de)(de)工(gong)(gong)(gong)作(zuo)(zuo)(zuo)(zuo)(zuo)(zuo)，煙草(cao)(cao)企(qi)(qi)(qi)業(ye)(ye)(ye)(ye)(ye)必須強(qiang)(qiang)化(hua)(hua)(hua)風(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)險(xian)(xian)(xian)(xian)(xian)(xian)(xian)(xian)意(yi)識(shi)(shi)，樹(shu)立(li)(li)長期持久的(de)(de)(de)(de)(de)(de)(de)(de)(de)防(fang)(fang)(fang)控(kong)(kong)(kong)(kong)理(li)(li)(li)念，堅決(jue)克(ke)服“找風(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)險(xian)(xian)(xian)(xian)(xian)(xian)(xian)(xian)就是(shi)(shi)查(cha)問題”、“法(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)律(lv)(lv)(lv)(lv)(lv)(lv)(lv)(lv)(lv)風(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)險(xian)(xian)(xian)(xian)(xian)(xian)(xian)(xian)防(fang)(fang)(fang)控(kong)(kong)(kong)(kong)是(shi)(shi)個(ge)別(bie)專(zhuan)(zhuan)業(ye)(ye)(ye)(ye)(ye)部(bu)門的(de)(de)(de)(de)(de)(de)(de)(de)(de)工(gong)(gong)(gong)作(zuo)(zuo)(zuo)(zuo)(zuo)(zuo)”等錯(cuo)誤傾向，解決(jue)好(hao)思想認識(shi)(shi)問題，克(ke)服阻(zu)力、清(qing)除障礙，把(ba)防(fang)(fang)(fang)控(kong)(kong)(kong)(kong)法(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)律(lv)(lv)(lv)(lv)(lv)(lv)(lv)(lv)(lv)風(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)險(xian)(xian)(xian)(xian)(xian)(xian)(xian)(xian)的(de)(de)(de)(de)(de)(de)(de)(de)(de)責(ze)任落實(shi)(shi)(shi)(shi)到(dao)崗(gang)位和(he)個(ge)人。 全(quan)面(mian)(mian)識(shi)(shi)別(bie)法(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)律(lv)(lv)(lv)(lv)(lv)(lv)(lv)(lv)(lv)風(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)險(xian)(xian)(xian)(xian)(xian)(xian)(xian)(xian)。法(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)律(lv)(lv)(lv)(lv)(lv)(lv)(lv)(lv)(lv)風(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)險(xian)(xian)(xian)(xian)(xian)(xian)(xian)(xian)防(fang)(fang)(fang)控(kong)(kong)(kong)(kong)的(de)(de)(de)(de)(de)(de)(de)(de)(de)基(ji)礎工(gong)(gong)(gong)作(zuo)(zuo)(zuo)(zuo)(zuo)(zuo)是(shi)(shi)識(shi)(shi)別(bie)法(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)律(lv)(lv)(lv)(lv)(lv)(lv)(lv)(lv)(lv)風(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)險(xian)(xian)(xian)(xian)(xian)(xian)(xian)(xian)。要(yao)(yao)(yao)(yao)(yao)通過(guo)全(quan)員(yuan)(yuan)(yuan)查(cha)找、問卷調查(cha)、座談等方(fang)式，梳理(li)(li)(li)匯總風(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)險(xian)(xian)(xian)(xian)(xian)(xian)(xian)(xian)點，形成法(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)律(lv)(lv)(lv)(lv)(lv)(lv)(lv)(lv)(lv)風(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)險(xian)(xian)(xian)(xian)(xian)(xian)(xian)(xian)清(qing)單(dan)。法(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)律(lv)(lv)(lv)(lv)(lv)(lv)(lv)(lv)(lv)風(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)險(xian)(xian)(xian)(xian)(xian)(xian)(xian)(xian)識(shi)(shi)別(bie)工(gong)(gong)(gong)作(zuo)(zuo)(zuo)(zuo)(zuo)(zuo)的(de)(de)(de)(de)(de)(de)(de)(de)(de)成效(xiao)(xiao)直(zhi)接(jie)影響法(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)律(lv)(lv)(lv)(lv)(lv)(lv)(lv)(lv)(lv)風(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)險(xian)(xian)(xian)(xian)(xian)(xian)(xian)(xian)防(fang)(fang)(fang)控(kong)(kong)(kong)(kong)體(ti)(ti)(ti)(ti)系(xi)(xi)(xi)(xi)(xi)的(de)(de)(de)(de)(de)(de)(de)(de)(de)建(jian)(jian)設(she)和(he)運(yun)(yun)行(xing)(xing)(xing)成效(xiao)(xiao)，因此，要(yao)(yao)(yao)(yao)(yao)把(ba)握好(hao)以(yi)(yi)(yi)(yi)下(xia)三(san)(san)個(ge)重(zhong)(zhong)(zhong)(zhong)點：一(yi)是(shi)(shi)真實(shi)(shi)(shi)(shi)客觀(guan)。以(yi)(yi)(yi)(yi)求(qiu)真務(wu)實(shi)(shi)(shi)(shi)的(de)(de)(de)(de)(de)(de)(de)(de)(de)態(tai)度(du)開展(zhan)工(gong)(gong)(gong)作(zuo)(zuo)(zuo)(zuo)(zuo)(zuo)，深入(ru)分析(xi)(xi)與(yu)(yu)崗(gang)位職責(ze)相(xiang)對(dui)(dui)(dui)應的(de)(de)(de)(de)(de)(de)(de)(de)(de)風(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)險(xian)(xian)(xian)(xian)(xian)(xian)(xian)(xian)點，做到(dao)客觀(guan)、真實(shi)(shi)(shi)(shi)。二是(shi)(shi)全(quan)員(yuan)(yuan)(yuan)參與(yu)(yu)。發(fa)(fa)(fa)(fa)(fa)動全(quan)體(ti)(ti)(ti)(ti)員(yuan)(yuan)(yuan)工(gong)(gong)(gong)參與(yu)(yu)，層層分析(xi)(xi)，不能(neng)遺漏(lou)一(yi)個(ge)崗(gang)位，并(bing)引(yin)導員(yuan)(yuan)(yuan)工(gong)(gong)(gong)結(jie)合(he)(he)(he)崗(gang)位職責(ze)和(he)質量(liang)(liang)管(guan)理(li)(li)(li)體(ti)(ti)(ti)(ti)系(xi)(xi)(xi)(xi)(xi)文件，獨立(li)(li)梳理(li)(li)(li)崗(gang)位法(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)律(lv)(lv)(lv)(lv)(lv)(lv)(lv)(lv)(lv)風(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)險(xian)(xian)(xian)(xian)(xian)(xian)(xian)(xian)。有些(xie)單(dan)位引(yin)入(ru)專(zhuan)(zhuan)業(ye)(ye)(ye)(ye)(ye)公(gong)司或(huo)(huo)由專(zhuan)(zhuan)業(ye)(ye)(ye)(ye)(ye)人員(yuan)(yuan)(yuan)完(wan)(wan)成，雖然(ran)識(shi)(shi)別(bie)工(gong)(gong)(gong)作(zuo)(zuo)(zuo)(zuo)(zuo)(zuo)完(wan)(wan)成得十分高效(xiao)(xiao)，但(dan)在(zai)實(shi)(shi)(shi)(shi)踐中容易(yi)產(chan)生(sheng)(sheng)“兩(liang)張(zhang)皮(pi)”的(de)(de)(de)(de)(de)(de)(de)(de)(de)現象，難以(yi)(yi)(yi)(yi)取得實(shi)(shi)(shi)(shi)效(xiao)(xiao)。三(san)(san)是(shi)(shi)立(li)(li)足崗(gang)位。按照“全(quan)員(yuan)(yuan)(yuan)、全(quan)面(mian)(mian)、全(quan)程”梳理(li)(li)(li)的(de)(de)(de)(de)(de)(de)(de)(de)(de)原則，以(yi)(yi)(yi)(yi)崗(gang)位為(wei)(wei)原點，全(quan)面(mian)(mian)厘清(qing)法(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)律(lv)(lv)(lv)(lv)(lv)(lv)(lv)(lv)(lv)風(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)險(xian)(xian)(xian)(xian)(xian)(xian)(xian)(xian)的(de)(de)(de)(de)(de)(de)(de)(de)(de)關(guan)鍵環(huan)節(jie)和(he)重(zhong)(zhong)(zhong)(zhong)點部(bu)位，查(cha)找履(lv)行(xing)(xing)(xing)崗(gang)位職責(ze)應當(dang)遵守(shou)的(de)(de)(de)(de)(de)(de)(de)(de)(de)法(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)律(lv)(lv)(lv)(lv)(lv)(lv)(lv)(lv)(lv)法(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)規(gui)，對(dui)(dui)(dui)照這些(xie)法(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)律(lv)(lv)(lv)(lv)(lv)(lv)(lv)(lv)(lv)法(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)規(gui)，識(shi)(shi)別(bie)崗(gang)位履(lv)責(ze)的(de)(de)(de)(de)(de)(de)(de)(de)(de)法(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)律(lv)(lv)(lv)(lv)(lv)(lv)(lv)(lv)(lv)風(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)險(xian)(xian)(xian)(xian)(xian)(xian)(xian)(xian)點，列明具(ju)體(ti)(ti)(ti)(ti)風(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)險(xian)(xian)(xian)(xian)(xian)(xian)(xian)(xian)可(ke)能(neng)引(yin)發(fa)(fa)(fa)(fa)(fa)的(de)(de)(de)(de)(de)(de)(de)(de)(de)法(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)律(lv)(lv)(lv)(lv)(lv)(lv)(lv)(lv)(lv)后(hou)(hou)果，為(wei)(wei)健全(quan)完(wan)(wan)善(shan)(shan)法(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)律(lv)(lv)(lv)(lv)(lv)(lv)(lv)(lv)(lv)風(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)險(xian)(xian)(xian)(xian)(xian)(xian)(xian)(xian)防(fang)(fang)(fang)控(kong)(kong)(kong)(kong)體(ti)(ti)(ti)(ti)系(xi)(xi)(xi)(xi)(xi)打牢根基(ji)。 綜合(he)(he)(he)評(ping)估(gu)(gu)法(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)律(lv)(lv)(lv)(lv)(lv)(lv)(lv)(lv)(lv)風(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)險(xian)(xian)(xian)(xian)(xian)(xian)(xian)(xian)。采取定(ding)(ding)性(xing)分析(xi)(xi)與(yu)(yu)定(ding)(ding)量(liang)(liang)分析(xi)(xi)相(xiang)結(jie)合(he)(he)(he)的(de)(de)(de)(de)(de)(de)(de)(de)(de)辦(ban)法(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)，對(dui)(dui)(dui)可(ke)能(neng)性(xing)、損失度(du)兩(liang)個(ge)主(zhu)(zhu)要(yao)(yao)(yao)(yao)(yao)參數(shu)進行(xing)(xing)(xing)測評(ping)，分層確(que)立(li)(li)重(zhong)(zhong)(zhong)(zhong)大(da)(da)法(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)律(lv)(lv)(lv)(lv)(lv)(lv)(lv)(lv)(lv)風(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)險(xian)(xian)(xian)(xian)(xian)(xian)(xian)(xian)、主(zhu)(zhu)要(yao)(yao)(yao)(yao)(yao)法(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)律(lv)(lv)(lv)(lv)(lv)(lv)(lv)(lv)(lv)風(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)險(xian)(xian)(xian)(xian)(xian)(xian)(xian)(xian)和(he)一(yi)般法(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)律(lv)(lv)(lv)(lv)(lv)(lv)(lv)(lv)(lv)風(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)險(xian)(xian)(xian)(xian)(xian)(xian)(xian)(xian)。通過(guo)問卷調查(cha)、訪談調研和(he)集中座談等形式，對(dui)(dui)(dui)法(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)律(lv)(lv)(lv)(lv)(lv)(lv)(lv)(lv)(lv)風(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)險(xian)(xian)(xian)(xian)(xian)(xian)(xian)(xian)點所處環(huan)節(jie)、發(fa)(fa)(fa)(fa)(fa)生(sheng)(sheng)概率(lv)、涉及(ji)群(qun)體(ti)(ti)(ti)(ti)大(da)(da)小、影響程度(du)等進行(xing)(xing)(xing)評(ping)價(jia)，綜合(he)(he)(he)評(ping)估(gu)(gu)法(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)律(lv)(lv)(lv)(lv)(lv)(lv)(lv)(lv)(lv)風(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)險(xian)(xian)(xian)(xian)(xian)(xian)(xian)(xian)等級，并(bing)從管(guan)理(li)(li)(li)上分清(qing)輕重(zhong)(zhong)(zhong)(zhong)緩急，將重(zhong)(zhong)(zhong)(zhong)大(da)(da)法(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)律(lv)(lv)(lv)(lv)(lv)(lv)(lv)(lv)(lv)風(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)險(xian)(xian)(xian)(xian)(xian)(xian)(xian)(xian)作(zuo)(zuo)(zuo)(zuo)(zuo)(zuo)為(wei)(wei)企(qi)(qi)(qi)業(ye)(ye)(ye)(ye)(ye)法(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)律(lv)(lv)(lv)(lv)(lv)(lv)(lv)(lv)(lv)風(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)險(xian)(xian)(xian)(xian)(xian)(xian)(xian)(xian)防(fang)(fang)(fang)控(kong)(kong)(kong)(kong)的(de)(de)(de)(de)(de)(de)(de)(de)(de)主(zhu)(zhu)要(yao)(yao)(yao)(yao)(yao)對(dui)(dui)(dui)象。 全(quan)面(mian)(mian)融(rong)入(ru)業(ye)(ye)(ye)(ye)(ye)務(wu)流(liu)(liu)程。根據法(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)律(lv)(lv)(lv)(lv)(lv)(lv)(lv)(lv)(lv)風(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)險(xian)(xian)(xian)(xian)(xian)(xian)(xian)(xian)的(de)(de)(de)(de)(de)(de)(de)(de)(de)識(shi)(shi)別(bie)、評(ping)估(gu)(gu)結(jie)果，將法(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)律(lv)(lv)(lv)(lv)(lv)(lv)(lv)(lv)(lv)風(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)險(xian)(xian)(xian)(xian)(xian)(xian)(xian)(xian)防(fang)(fang)(fang)控(kong)(kong)(kong)(kong)的(de)(de)(de)(de)(de)(de)(de)(de)(de)職責(ze)融(rong)入(ru)崗(gang)位職責(ze)和(he)重(zhong)(zhong)(zhong)(zhong)要(yao)(yao)(yao)(yao)(yao)流(liu)(liu)程，改進業(ye)(ye)(ye)(ye)(ye)務(wu)流(liu)(liu)程，建(jian)(jian)立(li)(li)防(fang)(fang)(fang)控(kong)(kong)(kong)(kong)機(ji)制(zhi)，著(zhu)重(zhong)(zhong)(zhong)(zhong)加強(qiang)(qiang)對(dui)(dui)(dui)重(zhong)(zhong)(zhong)(zhong)大(da)(da)決(jue)策(ce)、管(guan)理(li)(li)(li)規(gui)范(fan)、專(zhuan)(zhuan)賣執法(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)、合(he)(he)(he)同管(guan)理(li)(li)(li)、知識(shi)(shi)產(chan)權(quan)、采購管(guan)理(li)(li)(li)、煙草(cao)(cao)控(kong)(kong)(kong)(kong)制(zhi)等重(zhong)(zhong)(zhong)(zhong)點領(ling)域的(de)(de)(de)(de)(de)(de)(de)(de)(de)法(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)律(lv)(lv)(lv)(lv)(lv)(lv)(lv)(lv)(lv)風(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)險(xian)(xian)(xian)(xian)(xian)(xian)(xian)(xian)防(fang)(fang)(fang)控(kong)(kong)(kong)(kong)，逐步完(wan)(wan)善(shan)(shan)法(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)律(lv)(lv)(lv)(lv)(lv)(lv)(lv)(lv)(lv)風(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)險(xian)(xian)(xian)(xian)(xian)(xian)(xian)(xian)提示、宣傳(chuan)教育、督查(cha)跟(gen)蹤等長效(xiao)(xiao)機(ji)制(zhi)。加強(qiang)(qiang)風(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)險(xian)(xian)(xian)(xian)(xian)(xian)(xian)(xian)管(guan)理(li)(li)(li)，監測風(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)險(xian)(xian)(xian)(xian)(xian)(xian)(xian)(xian)信(xin)(xin)息，發(fa)(fa)(fa)(fa)(fa)生(sheng)(sheng)風(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)險(xian)(xian)(xian)(xian)(xian)(xian)(xian)(xian)事(shi)項后(hou)(hou)及(ji)時(shi)按管(guan)理(li)(li)(li)權(quan)限(xian)上報(bao)，使法(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)律(lv)(lv)(lv)(lv)(lv)(lv)(lv)(lv)(lv)風(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)險(xian)(xian)(xian)(xian)(xian)(xian)(xian)(xian)管(guan)理(li)(li)(li)真正由事(shi)后(hou)(hou)處理(li)(li)(li)轉化(hua)(hua)(hua)為(wei)(wei)事(shi)前防(fang)(fang)(fang)范(fan)和(he)事(shi)中控(kong)(kong)(kong)(kong)制(zhi)。 持續(xu)完(wan)(wan)善(shan)(shan)防(fang)(fang)(fang)控(kong)(kong)(kong)(kong)體(ti)(ti)(ti)(ti)系(xi)(xi)(xi)(xi)(xi)。法(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)律(lv)(lv)(lv)(lv)(lv)(lv)(lv)(lv)(lv)風(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)險(xian)(xian)(xian)(xian)(xian)(xian)(xian)(xian)防(fang)(fang)(fang)控(kong)(kong)(kong)(kong)體(ti)(ti)(ti)(ti)系(xi)(xi)(xi)(xi)(xi)建(jian)(jian)立(li)(li)運(yun)(yun)行(xing)(xing)(xing)后(hou)(hou)，要(yao)(yao)(yao)(yao)(yao)收(shou)集整(zheng)理(li)(li)(li)關(guan)于體(ti)(ti)(ti)(ti)系(xi)(xi)(xi)(xi)(xi)運(yun)(yun)行(xing)(xing)(xing)的(de)(de)(de)(de)(de)(de)(de)(de)(de)意(yi)見(jian)和(he)建(jian)(jian)議，不斷修正體(ti)(ti)(ti)(ti)系(xi)(xi)(xi)(xi)(xi)運(yun)(yun)行(xing)(xing)(xing)中的(de)(de)(de)(de)(de)(de)(de)(de)(de)缺陷(xian)，形成構架較為(wei)(wei)科學、功能(neng)較為(wei)(wei)完(wan)(wan)備(bei)、作(zuo)(zuo)(zuo)(zuo)(zuo)(zuo)用較為(wei)(wei)明顯的(de)(de)(de)(de)(de)(de)(de)(de)(de)防(fang)(fang)(fang)控(kong)(kong)(kong)(kong)機(ji)制(zhi)。此外，要(yao)(yao)(yao)(yao)(yao)把(ba)法(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)律(lv)(lv)(lv)(lv)(lv)(lv)(lv)(lv)(lv)風(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)險(xian)(xian)(xian)(xian)(xian)(xian)(xian)(xian)防(fang)(fang)(fang)控(kong)(kong)(kong)(kong)體(ti)(ti)(ti)(ti)系(xi)(xi)(xi)(xi)(xi)建(jian)(jian)設(she)作(zuo)(zuo)(zuo)(zuo)(zuo)(zuo)為(wei)(wei)一(yi)項常規(gui)性(xing)工(gong)(gong)(gong)作(zuo)(zuo)(zuo)(zuo)(zuo)(zuo)，根據內外部(bu)法(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)律(lv)(lv)(lv)(lv)(lv)(lv)(lv)(lv)(lv)環(huan)境(jing)和(he)企(qi)(qi)(qi)業(ye)(ye)(ye)(ye)(ye)具(ju)體(ti)(ti)(ti)(ti)業(ye)(ye)(ye)(ye)(ye)務(wu)流(liu)(liu)程的(de)(de)(de)(de)(de)(de)(de)(de)(de)變化(hua)(hua)(hua)，不斷完(wan)(wan)善(shan)(shan)體(ti)(ti)(ti)(ti)系(xi)(xi)(xi)(xi)(xi)，實(shi)(shi)(shi)(shi)現具(ju)體(ti)(ti)(ti)(ti)化(hua)(hua)(hua)操作(zuo)(zuo)(zuo)(zuo)(zuo)(zuo)、細致化(hua)(hua)(hua)管(guan)理(li)(li)(li)、持續(xu)化(hua)(hua)(hua)改進。同時(shi)，運(yun)(yun)用信(xin)(xin)息化(hua)(hua)(hua)手(shou)(shou)段對(dui)(dui)(dui)法(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)律(lv)(lv)(lv)(lv)(lv)(lv)(lv)(lv)(lv)風(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)險(xian)(xian)(xian)(xian)(xian)(xian)(xian)(xian)識(shi)(shi)別(bie)框(kuang)架、識(shi)(shi)別(bie)清(qing)單(dan)、評(ping)估(gu)(gu)方(fang)法(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)等流(liu)(liu)程進行(xing)(xing)(xing)固(gu)化(hua)(hua)(hua)，通過(guo)搭建(jian)(jian)和(he)使用信(xin)(xin)息系(xi)(xi)(xi)(xi)(xi)統，把(ba)法(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)律(lv)(lv)(lv)(lv)(lv)(lv)(lv)(lv)(lv)風(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)險(xian)(xian)(xian)(xian)(xian)(xian)(xian)(xian)防(fang)(fang)(fang)控(kong)(kong)(kong)(kong)體(ti)(ti)(ti)(ti)系(xi)(xi)(xi)(xi)(xi)與(yu)(yu)已有的(de)(de)(de)(de)(de)(de)(de)(de)(de)質量(liang)(liang)管(guan)理(li)(li)(li)系(xi)(xi)(xi)(xi)(xi)統、辦(ban)公(gong)系(xi)(xi)(xi)(xi)(xi)統相(xiang)結(jie)合(he)(he)(he)，切實(shi)(shi)(shi)(shi)提升(sheng)法(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)律(lv)(lv)(lv)(lv)(lv)(lv)(lv)(lv)(lv)風(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)險(xian)(xian)(xian)(xian)(xian)(xian)(xian)(xian)識(shi)(shi)別(bie)的(de)(de)(de)(de)(de)(de)(de)(de)(de)效(xiao)(xiao)率(lv)和(he)質量(liang)(liang)，提高法(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)律(lv)(lv)(lv)(lv)(lv)(lv)(lv)(lv)(lv)風(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)險(xian)(xian)(xian)(xian)(xian)(xian)(xian)(xian)評(ping)估(gu)(gu)的(de)(de)(de)(de)(de)(de)(de)(de)(de)準確(que)度(du)，真正發(fa)(fa)(fa)(fa)(fa)揮(hui)法(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)(fa)律(lv)(lv)(lv)(lv)(lv)(lv)(lv)(lv)(lv)風(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)(feng)險(xian)(xian)(xian)(xian)(xian)(xian)(xian)(xian)防(fang)(fang)(fang)控(kong)(kong)(kong)(kong)體(ti)(ti)(ti)(ti)系(xi)(xi)(xi)(xi)(xi)的(de)(de)(de)(de)(de)(de)(de)(de)(de)作(zuo)(zuo)(zuo)(zuo)(zuo)(zuo)用。
煙草企業法律風險防控體系建設路徑淺析
【概要(yao)描(miao)述(shu)】企業法律風險，是指基于法律規定、監管要求或合同約定，由于企業外部環境及其變化或企業及利益相關者的作為或不作為，對企業目標產生的影響。從企業角度來說，這類風險主要是指經濟利益損失、企業信譽下降甚至企業自身破產倒閉等。企業缺乏防范意識或者行為不符合法律規范，都會產生法律風險。
法律風險防控是指在對法律風險主體的自身目標、狀況及其所處環境進行充分了解的基礎上，利用法律所賦予的權利，以事前控制為主、以事后救濟為輔，采取綜合的、系統的手段避免或降低企業法律風險帶來的不利后果。
對于煙草企業來說，建立法律風險防控體系是全面建設法治煙草、適應經濟發展新常態、優化企業發展環境的重要內容。結合近年來煙草企業狠抓法治建設的經驗，在認真分析當前法治煙草建設面臨問題的基礎上，筆者認為，建立完善煙草企業法律風險防控體系應從以下五個方面入手：
樹立法律風險意識。法律風險防控體系建設是一項系統的、全面性的工作，煙草企業必須強化風險意識，樹立長期持久的防控理念，堅決克服“找風險就是查問題”、“法律風險防控是個別專業部門的工作”等錯誤傾向，解決好思想認識問題，克服阻力、清除障礙，把防控法律風險的責任落實到崗位和個人。
全面識別法律風險。法律風險防控的基礎工作是識別法律風險。要通過全員查找、問卷調查、座談等方式，梳理匯總風險點，形成法律風險清單。法律風險識別工作的成效直接影響法律風險防控體系的建設和運行成效，因此，要把握好以下三個重點：一是真實客觀。以求真務實的態度開展工作，深入分析與崗位職責相對應的風險點，做到客觀、真實。二是全員參與。發動全體員工參與，層層分析，不能遺漏一個崗位，并引導員工結合崗位職責和質量管理體系文件，獨立梳理崗位法律風險。有些單位引入專業公司或由專業人員完成，雖然識別工作完成得十分高效，但在實踐中容易產生“兩張皮”的現象，難以取得實效。三是立足崗位。按照“全員、全面、全程”梳理的原則，以崗位為原點，全面厘清法律風險的關鍵環節和重點部位，查找履行崗位職責應當遵守的法律法規，對照這些法律法規，識別崗位履責的法律風險點，列明具體風險可能引發的法律后果，為健全完善法律風險防控體系打牢根基。
綜合評估法律風險。采取定性分析與定量分析相結合的辦法，對可能性、損失度兩個主要參數進行測評，分層確立重大法律風險、主要法律風險和一般法律風險。通過問卷調查、訪談調研和集中座談等形式，對法律風險點所處環節、發生概率、涉及群體大小、影響程度等進行評價，綜合評估法律風險等級，并從管理上分清輕重緩急，將重大法律風險作為企業法律風險防控的主要對象。
全面融入業務流程。根據法律風險的識別、評估結果，將法律風險防控的職責融入崗位職責和重要流程，改進業務流程，建立防控機制，著重加強對重大決策、管理規范、專賣執法、合同管理、知識產權、采購管理、煙草控制等重點領域的法律風險防控，逐步完善法律風險提示、宣傳教育、督查跟蹤等長效機制。加強風險管理，監測風險信息，發生風險事項后及時按管理權限上報，使法律風險管理真正由事后處理轉化為事前防范和事中控制。
持續完善防控體系。法律風險防控體系建立運行后，要收集整理關于體系運行的意見和建議，不斷修正體系運行中的缺陷，形成構架較為科學、功能較為完備、作用較為明顯的防控機制。此外，要把法律風險防控體系建設作為一項常規性工作，根據內外部法律環境和企業具體業務流程的變化，不斷完善體系，實現具體化操作、細致化管理、持續化改進。同時，運用信息化手段對法律風險識別框架、識別清單、評估方法等流程進行固化，通過搭建和使用信息系統，把法律風險防控體系與已有的質量管理系統、辦公系統相結合，切實提升法律風險識別的效率和質量，提高法律風險評估的準確度，真正發揮法律風險防控體系的作用。
- 分類：知識共享
- 作者：
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- 發布時間：2016-02-12 14:47
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企(qi)業(ye)法(fa)(fa)律風險(xian)，是指基(ji)于法(fa)(fa)律規(gui)定、監管要(yao)求或(huo)合同約定，由于企(qi)業(ye)外(wai)部(bu)環境及(ji)其變化或(huo)企(qi)業(ye)及(ji)利益(yi)(yi)相關者(zhe)的作為(wei)(wei)或(huo)不(bu)作為(wei)(wei)，對企(qi)業(ye)目標產(chan)(chan)生的影響(xiang)。從企(qi)業(ye)角度(du)來說(shuo)，這類(lei)風險(xian)主要(yao)是指經濟利益(yi)(yi)損失(shi)、企(qi)業(ye)信譽下降甚(shen)至企(qi)業(ye)自身破產(chan)(chan)倒閉(bi)等。企(qi)業(ye)缺乏(fa)防(fang)范(fan)意識(shi)或(huo)者(zhe)行為(wei)(wei)不(bu)符(fu)合法(fa)(fa)律規(gui)范(fan)，都會產(chan)(chan)生法(fa)(fa)律風險(xian)。
法(fa)律風險防(fang)控是(shi)指在(zai)對(dui)法(fa)律風險主體的(de)自身(shen)目標、狀(zhuang)況(kuang)及其所處環境進行充分(fen)了(le)解的(de)基礎上，利用法(fa)律所賦(fu)予的(de)權利，以事前控制為主、以事后救濟為輔，采(cai)取綜合的(de)、系統的(de)手段(duan)避免或(huo)降低企(qi)業法(fa)律風險帶來的(de)不(bu)利后果。
對于煙(yan)草(cao)企業來(lai)(lai)說(shuo)，建(jian)立法律(lv)風險防控(kong)體(ti)系是全面(mian)建(jian)設法治(zhi)煙(yan)草(cao)、適應(ying)經濟發展新常態、優化企業發展環境(jing)的重(zhong)要內容(rong)。結(jie)合近年來(lai)(lai)煙(yan)草(cao)企業狠抓法治(zhi)建(jian)設的經驗，在(zai)認真分析當前法治(zhi)煙(yan)草(cao)建(jian)設面(mian)臨問題的基礎(chu)上，筆者認為，建(jian)立完善(shan)煙(yan)草(cao)企業法律(lv)風險防控(kong)體(ti)系應(ying)從以下五個方面(mian)入手：
樹立(li)(li)法(fa)律風(feng)(feng)險(xian)意識(shi)。法(fa)律風(feng)(feng)險(xian)防(fang)(fang)控體系(xi)建(jian)設(she)是一項系(xi)統的(de)(de)、全面(mian)性的(de)(de)工作(zuo)，煙草企業必須強化(hua)風(feng)(feng)險(xian)意識(shi)，樹立(li)(li)長(chang)期持久的(de)(de)防(fang)(fang)控理念，堅決(jue)克(ke)服“找風(feng)(feng)險(xian)就是查(cha)問題”、“法(fa)律風(feng)(feng)險(xian)防(fang)(fang)控是個(ge)別專(zhuan)業部門(men)的(de)(de)工作(zuo)”等錯誤傾(qing)向，解決(jue)好(hao)思想認識(shi)問題，克(ke)服阻(zu)力、清除障礙，把防(fang)(fang)控法(fa)律風(feng)(feng)險(xian)的(de)(de)責(ze)任(ren)落實到崗位和個(ge)人。
全(quan)(quan)(quan)面(mian)識(shi)別(bie)(bie)法律(lv)(lv)風(feng)(feng)險(xian)(xian)(xian)(xian)(xian)。法律(lv)(lv)風(feng)(feng)險(xian)(xian)(xian)(xian)(xian)防(fang)控(kong)(kong)的基礎工(gong)作(zuo)是識(shi)別(bie)(bie)法律(lv)(lv)風(feng)(feng)險(xian)(xian)(xian)(xian)(xian)。要通過全(quan)(quan)(quan)員(yuan)(yuan)查找(zhao)、問(wen)卷調查、座(zuo)談等(deng)方式，梳(shu)理(li)匯總風(feng)(feng)險(xian)(xian)(xian)(xian)(xian)點(dian)(dian)，形成(cheng)(cheng)(cheng)法律(lv)(lv)風(feng)(feng)險(xian)(xian)(xian)(xian)(xian)清(qing)單。法律(lv)(lv)風(feng)(feng)險(xian)(xian)(xian)(xian)(xian)識(shi)別(bie)(bie)工(gong)作(zuo)的成(cheng)(cheng)(cheng)效直接影響法律(lv)(lv)風(feng)(feng)險(xian)(xian)(xian)(xian)(xian)防(fang)控(kong)(kong)體(ti)系的建(jian)設(she)和運行(xing)成(cheng)(cheng)(cheng)效，因此，要把握(wo)好(hao)以(yi)(yi)下(xia)三個(ge)重點(dian)(dian)：一(yi)是真實(shi)(shi)(shi)(shi)客觀(guan)。以(yi)(yi)求真務實(shi)(shi)(shi)(shi)的態度開展工(gong)作(zuo)，深入分析與崗(gang)位(wei)(wei)(wei)職責相(xiang)對(dui)應的風(feng)(feng)險(xian)(xian)(xian)(xian)(xian)點(dian)(dian)，做到客觀(guan)、真實(shi)(shi)(shi)(shi)。二(er)是全(quan)(quan)(quan)員(yuan)(yuan)參(can)與。發(fa)(fa)動全(quan)(quan)(quan)體(ti)員(yuan)(yuan)工(gong)參(can)與，層層分析，不能遺(yi)漏(lou)一(yi)個(ge)崗(gang)位(wei)(wei)(wei)，并引導員(yuan)(yuan)工(gong)結合(he)崗(gang)位(wei)(wei)(wei)職責和質量管理(li)體(ti)系文(wen)件，獨立(li)梳(shu)理(li)崗(gang)位(wei)(wei)(wei)法律(lv)(lv)風(feng)(feng)險(xian)(xian)(xian)(xian)(xian)。有些單位(wei)(wei)(wei)引入專業公司或由專業人員(yuan)(yuan)完(wan)(wan)成(cheng)(cheng)(cheng)，雖然識(shi)別(bie)(bie)工(gong)作(zuo)完(wan)(wan)成(cheng)(cheng)(cheng)得(de)十分高(gao)效，但在實(shi)(shi)(shi)(shi)踐中容易產生“兩張(zhang)皮(pi)”的現象，難以(yi)(yi)取(qu)得(de)實(shi)(shi)(shi)(shi)效。三是立(li)足崗(gang)位(wei)(wei)(wei)。按照“全(quan)(quan)(quan)員(yuan)(yuan)、全(quan)(quan)(quan)面(mian)、全(quan)(quan)(quan)程(cheng)”梳(shu)理(li)的原則，以(yi)(yi)崗(gang)位(wei)(wei)(wei)為(wei)原點(dian)(dian)，全(quan)(quan)(quan)面(mian)厘清(qing)法律(lv)(lv)風(feng)(feng)險(xian)(xian)(xian)(xian)(xian)的關鍵環(huan)節和重點(dian)(dian)部位(wei)(wei)(wei)，查找(zhao)履(lv)行(xing)崗(gang)位(wei)(wei)(wei)職責應當(dang)遵守的法律(lv)(lv)法規，對(dui)照這些法律(lv)(lv)法規，識(shi)別(bie)(bie)崗(gang)位(wei)(wei)(wei)履(lv)責的法律(lv)(lv)風(feng)(feng)險(xian)(xian)(xian)(xian)(xian)點(dian)(dian)，列明(ming)具體(ti)風(feng)(feng)險(xian)(xian)(xian)(xian)(xian)可能引發(fa)(fa)的法律(lv)(lv)后果，為(wei)健全(quan)(quan)(quan)完(wan)(wan)善(shan)法律(lv)(lv)風(feng)(feng)險(xian)(xian)(xian)(xian)(xian)防(fang)控(kong)(kong)體(ti)系打牢根基。
綜(zong)合評估法(fa)律(lv)(lv)風(feng)(feng)險(xian)。采取定性(xing)分析與定量分析相結(jie)合的(de)辦(ban)法(fa)，對(dui)可能性(xing)、損失度兩個主(zhu)要(yao)參數進行(xing)(xing)測評，分層確(que)立(li)重(zhong)大法(fa)律(lv)(lv)風(feng)(feng)險(xian)、主(zhu)要(yao)法(fa)律(lv)(lv)風(feng)(feng)險(xian)和一般法(fa)律(lv)(lv)風(feng)(feng)險(xian)。通過(guo)問卷調查(cha)、訪談(tan)調研和集中座(zuo)談(tan)等形式，對(dui)法(fa)律(lv)(lv)風(feng)(feng)險(xian)點(dian)所處環節(jie)、發生概率、涉及群體(ti)大小、影(ying)響程度等進行(xing)(xing)評價(jia)，綜(zong)合評估法(fa)律(lv)(lv)風(feng)(feng)險(xian)等級，并從(cong)管理上(shang)分清輕重(zhong)緩急(ji)，將重(zhong)大法(fa)律(lv)(lv)風(feng)(feng)險(xian)作(zuo)為企業法(fa)律(lv)(lv)風(feng)(feng)險(xian)防控的(de)主(zhu)要(yao)對(dui)象。
全面融入(ru)業務流程(cheng)。根據法律(lv)風(feng)(feng)(feng)(feng)險(xian)(xian)的(de)識別、評估結果，將法律(lv)風(feng)(feng)(feng)(feng)險(xian)(xian)防控(kong)的(de)職責融入(ru)崗位(wei)職責和重要(yao)流程(cheng)，改進業務流程(cheng)，建(jian)立防控(kong)機制(zhi)(zhi)，著重加(jia)強(qiang)對(dui)重大決策、管理(li)(li)規范、專(zhuan)賣執法、合同管理(li)(li)、知識產權、采購管理(li)(li)、煙草(cao)控(kong)制(zhi)(zhi)等重點領域的(de)法律(lv)風(feng)(feng)(feng)(feng)險(xian)(xian)防控(kong)，逐步完善法律(lv)風(feng)(feng)(feng)(feng)險(xian)(xian)提示、宣傳教育(yu)、督查(cha)跟蹤(zong)等長(chang)效機制(zhi)(zhi)。加(jia)強(qiang)風(feng)(feng)(feng)(feng)險(xian)(xian)管理(li)(li)，監測風(feng)(feng)(feng)(feng)險(xian)(xian)信息，發生風(feng)(feng)(feng)(feng)險(xian)(xian)事項后(hou)及時(shi)按管理(li)(li)權限上報(bao)，使(shi)法律(lv)風(feng)(feng)(feng)(feng)險(xian)(xian)管理(li)(li)真(zhen)正由事后(hou)處理(li)(li)轉化(hua)為(wei)事前防范和事中(zhong)控(kong)制(zhi)(zhi)。
持(chi)(chi)續完(wan)善防(fang)控(kong)(kong)體(ti)(ti)(ti)系(xi)。法(fa)(fa)律(lv)(lv)(lv)風(feng)險(xian)(xian)(xian)防(fang)控(kong)(kong)體(ti)(ti)(ti)系(xi)建立運(yun)(yun)行(xing)后，要收集整理(li)關于(yu)體(ti)(ti)(ti)系(xi)運(yun)(yun)行(xing)的(de)(de)意見和(he)建議，不(bu)斷修(xiu)正(zheng)(zheng)體(ti)(ti)(ti)系(xi)運(yun)(yun)行(xing)中(zhong)的(de)(de)缺陷(xian)，形成(cheng)構(gou)架較為科學、功(gong)能較為完(wan)備、作(zuo)用(yong)較為明顯(xian)的(de)(de)防(fang)控(kong)(kong)機制(zhi)。此外，要把法(fa)(fa)律(lv)(lv)(lv)風(feng)險(xian)(xian)(xian)防(fang)控(kong)(kong)體(ti)(ti)(ti)系(xi)建設作(zuo)為一(yi)項常(chang)規(gui)性工作(zuo)，根據內外部法(fa)(fa)律(lv)(lv)(lv)環境和(he)企(qi)業(ye)具體(ti)(ti)(ti)業(ye)務流(liu)程的(de)(de)變化(hua)(hua)，不(bu)斷完(wan)善體(ti)(ti)(ti)系(xi)，實(shi)現具體(ti)(ti)(ti)化(hua)(hua)操作(zuo)、細致化(hua)(hua)管理(li)、持(chi)(chi)續化(hua)(hua)改進。同時，運(yun)(yun)用(yong)信息化(hua)(hua)手段(duan)對法(fa)(fa)律(lv)(lv)(lv)風(feng)險(xian)(xian)(xian)識別框架、識別清(qing)單、評估方(fang)法(fa)(fa)等流(liu)程進行(xing)固化(hua)(hua)，通過(guo)搭建和(he)使(shi)用(yong)信息系(xi)統(tong)(tong)，把法(fa)(fa)律(lv)(lv)(lv)風(feng)險(xian)(xian)(xian)防(fang)控(kong)(kong)體(ti)(ti)(ti)系(xi)與已有的(de)(de)質量(liang)管理(li)系(xi)統(tong)(tong)、辦公系(xi)統(tong)(tong)相結合，切實(shi)提升法(fa)(fa)律(lv)(lv)(lv)風(feng)險(xian)(xian)(xian)識別的(de)(de)效率和(he)質量(liang)，提高法(fa)(fa)律(lv)(lv)(lv)風(feng)險(xian)(xian)(xian)評估的(de)(de)準確度(du)，真正(zheng)(zheng)發揮法(fa)(fa)律(lv)(lv)(lv)風(feng)險(xian)(xian)(xian)防(fang)控(kong)(kong)體(ti)(ti)(ti)系(xi)的(de)(de)作(zuo)用(yong)。
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