MANUAL OF EVALUATION PROCESSES

CONTROL, EVALUATION AND IMPROVEMENT OF THE MANAGEMENT SYSTEM

RISK MATRIX
RISK IDENTIFICATION
TYPE OF (2) PROCESS (3) OBJECTIVE (4) (5) ACTIVIDADES (6) FACTOR OF (7) CAUSE RISK
PROCESS PROCEDURE RISK
1. RECEIPT OF GOODS AND Operational Lack of review and knowledge of the acquired elements do not correspond
ELEMENTS characteristics of the elements with the technical specifications
established in the contracts.
2. STORAGE AND Operational Physical space limitations. Difficulty with storage of
G
PRESERVATION OF GOODS AND Incomplete information of the elements. Deterioration and loss of the
E ELEMENTS. elements. elements
S
T Operacional Technical faults of the programs Outdated information
I support
O 3. DELIVERY OF GOODS AND (PCT).
N Guarantee the ELEMENTS. The application formats of
A supply of goods Receive, consumed elements not addressed
physicals for the store correctly.
P A operational activities and deliver e Operational There are no appropriate controls. Outdated Inventories
O D administrative with inventory the Unexpected events
M criteria of goods and
Y I opportunity, quality, and elements Legal
4. MOVEMENT OF GOODS AND Non-compliance with the procedure and legal time sanctions
cantdad. ELEMENTS. the rules
O N
I Financial Missing elements
S Corruption Patrimonial detriment
T
R Lack of coordination in the Outdated Inventory
A Operational transfer of elements between
T employees.
I 5. INVENTORY OF GOODS AND Lack of control over assets Loss of Inventories.
V ELEMENTS from the Use of goods from the
A Corruption COMPANY. company for private activities.
obsolete inventories
Lack of updates in the system The information is not reflected.
Technological
6. REGISTRATION IN THE SYSTEM accounting. Accounting Information
outdated
RATING AND VALUATION ANALYSIS RISK MANAGEMENT
(9) (10) 11 (12) ZONE OF ACTIONS OF (15) EVIDENCE OF CONTROL (16) (17) (18) RIESGO (19)
FRECUE IMPACT REACH RATING RISK CONTROL RESPONSIBLE PERSONS EVALUATION Vs. VALUATION
NCIA O CE N (9+10+11) OF CONTROL CONTROL OF THE RISK
Thorough review of Communication to suppliers. Warehouse Advisor.
specifications - sporadic inventories. Support staff and
2 2 2 2 LOW Realization of Reports from the accountants. Control Auditor 1 2 ACCEPTABLE
inventories Internal Control Audits. Interior.
sporadic
Streamlining of Minutes of the Dismissal Committee. Warehouse Advisor.
delivery processes Exit voucher of Support staff and
of elements to the elements - Inventory of Control Auditor
2 3 2 2.5 HIGH applicants. elements in deposit. Interior. 2 5 MODERATE
Advance processes of
baja - Implementation of
inventories
sporadic
Streamline processes of Entry and exit receipt Warehouse Advisor.
registration of the of consumer elements and Support staff and
information devolutive. Control Auditor
3 2 2 2.2 MEDIUM taking advantage Filled formats Internal. Systems. 2 4.4 MODERATE
availability of the
system.
Filling out of
formats.
Compliance Annual Programming of Warehouse Advisor.
annual programming Inventories. Inventory records Support staff and
2 2 2 2 LOW of inventories. signed .- Element plates Control Auditor 1 2 Acceptable
Implementation of Internal.
inventories
sporadic
Verify Consolidated accounting record Warehouse Consultant.
monthly the Support staff and
2 2 2 2 LOW compliance and Control Auditor 1 2 ACCEPTABLE
inform and execute Internal.
adjustments to it
Check the situation. Signed inventory records. Warehouse Advisor.
Inform about Communication . - Processes Support staff and
2 2 2 2 LOW storytellers and disciplinary Control Auditor 1 2 ACCEPTABLE
speed up the procedures Internal.
corresponding
Implementation of Format for the transfer of elements Warehouse Consultant.
inventories Support staff and
2 2 2 2 LOW sporadic Control Auditor 1 2 ACCEPTABLE
Interior.

Compliance Annual Programming of Warehouse Advisor.

programación anual Inventories. Inventory records Support staff and
2 2 2 2 LOW of inventories. signed .- Element plates Control Auditor 1 2
Realization of Internal. ACCEPTABLE
inventories
sporadic

Coordination of Written communication with Warehouse Advisor.

activities with Accounting Support staff and
MEDIUM Accounting Records in the System Control Auditor MODERATE
1 3 2 2.3 Interior. 2 4.6
 RISK IDENTIFICATION
TYPE (2) PROCESO (3) OBJETIVO (4) (5) ACTIVITIES FACTOR OF (7) CAUSE RISK
DE PROCEDURE RISK
PROCESS
SELECTION AND Operational The non-objective selection of personnel. Low productivity in the processes of
GENERAL REQUIREMENTS
G LINKING OF the
E PERSONAL. Corporation.
SELECTION
S LINKAGE,
INDUCTION AND Legal Non-compliance with the regulation Legal actions against the company.
T REINDUCTION AND
INDUCTION
CARRY OUT THE ASSESSMENT OF Operational Unawareness of the process activities. Failure to meet goals.
I PERSONAL. REINDUCTION.
PROCESSES
O
OF ENTRY, EVALUATION Y Operational Limited parameters for evaluation. Subjective evaluations.
A N STAY AND
FOLLOW-UP OF
PERSONAL.

P WITHDRAWAL OF THE Legal Non-compliance with the standard Legal actions against the company.
OFFICIALS
A
O FROM THE COMPANY TRAINING
IDENTIFICATION AND
EVALUATION OF
Financial Financial limitations.
D PROVIDING SOCIAL WELFARE AND NEEDS, Partial compliance with the activities and
Y M CONDITIONS
HEALTH
OCCUPATIONAL
PREPARATION
EXECUTION AND
planes.
Operational Low sense of belonging for the activities that are Partial fulfillment of the activities and
O I FOR DEVELOPMENT FOLLOW-UP OF THE
PLANES They develop. Breach of the suppliers. planes.
N OF COMPETENCIES,
RECEPTION OF Legal Failure to comply with due process. Legal actions against the company.
I SKILLS AND WITHDRAWAL REQUEST

S ABILITIES AND Preparation of Act

DISAFFILIATION OF ADMINISTRATIVE
IMPROVEMENT PERSONAL DISASSOCIATION OF Operational No compliance of activities within the No compliance with the development of
T
ON QUALITY OF LIFE OFFICIAL. procedures procedure
R DEL RECEPTION OF Operacional Untimely sending of news by the 1. Untimely delivery of the payroll and
A PERSONAL, NEWS,
responsible. its support for the financial area.
ELABORATION AND
T ENSURING THE LIQUIDATION OF THE 2. Inadequate functioning of the software. 2. Loss of payroll information
SETTLEMENT AND PAYROLL, VALIDATION OF
I QUALITY IN THE PAYROLL PAYMENT SOI, DELIVERY OF
Legal Non-compliance with the regulation Legal actions against the company.
V PROVISION RECEIPTS OF
PAY.
A OF THE SERVICES AND THE
PERFORMANCE OF THE RECEPTION OF Operational Untimely delivery of information Outdated resumes for collection
ENTITY. DOCUMENTS
of decisions.
OPENING OF
FILES OF
WORK STORIES,
ADMINISTRATION OF FILLING OUT OF
STORIES CONTROL SHEET
WORKING CONTROL AND
FOLLOW-UP ON THE Legal Non-compliance with the standard Legal actions against the company.
WORK STORIES,
EXPEDITION OF
CERTIFICATIONS

ANALYSIS OF RATING AND VALUATION RISK MANAGEMENT

(9) (10) (11) 12 (13) ZONE (14) ACTIONS OF EVIDENCE (16) RESPONSIBLE VALUATION RISK (19)
FREQUENCY IMPACT RISK RATING ACHIEVEMENT CONTROL OF CONTROL OF CONTROL Vs. VALUATION
A O E CONTROL OF RISK
Follow-up by 1. Registration of
part of the office of Audits
internal control carried out by
2. Verification of internal control. Secretary General
LOW requirements and profiles Minutes of Human Talent (Advisor) 2 3.6
1 2 2 1.8 for the position. tracking and Auditor OCI MODERATE
OCI assessment.
2. Work history,
Resolution and Minutes
of
Possession.
1. Follow-up for 1. Registration of
part of the office of Audits
internal control carried out by Legal Office (Chief) Secretary
1 2 2 1.8 2. Update internal control. General 1 1.8
LOW permanently the Minutes of Human Talent (Advisor) ACCEPTABLE
Norma grama. monitoring and OCI Auditor
OCI evaluation.
2. Resolution and
Possession Act.
Follow-up for 1. Registration of
part of the office of Audits
internal control carried out by
1 2 2 1.8 2. Records of the internal control.
UNDER activity carried out. Minutes of 1 1.8
follow-up and Human Talent (Advisor) ACCEPTABLE
OCI evaluation.
2. Listing of
attendance, List of
checks
diligenced.
1. Evaluation of 1. Format of 2 4.6
personal according to the Evaluation
procedure completed. Deputy Directors and Office Heads,
2 2 3 2.3 MID established. 2. Registration of Human Talent Advisor, Auditor MODERATE
2. Follow-up by Audits OCI
part of the office of carried out by
internal control. internal control.
1. Evaluation of 1. Format of
staff according to the Evaluation Deputy Directors and Heads of Office,
procedure filled out. Human Talent Advisor, Auditor 1 1.5
2 1 2 1.5 LOW established. 2. Registration of OCI ACCEPTABLE
2. Follow-up by Audits
part of the office of performed by
internal control. internal control.
1. Identification of 1. Format of
needs. identification of
2. Follow-up by needs Secretary General
2 2 3 2.3 MEDIUM part of the office of completed. Human Talent (Advisor, 2 4.6 MODERATE
internal control. 2. Registration of Contractors) Auditor OCI
Audits
carried out by
internal control.
1. Identification of 1. Format of
needs. identification of
MEDIUM 2. Follow-up on needs Human Talent (Advisor, 2 4.4 MODERATE
3 2 2 2.2 part of the office of completed.
internal control. 2. Registration of
Audits
carried out by
internal control.
1. Normativity Act
applicable administrative.
UNDER (Norm grammar) 2. Registration of Legal Office (Chief) Secretary 1 1.6 Acceptable
1 1 3 1.6 2. Follow-up by Audits General
part of the office of carried out by Human Talent (Advisor,
internal control. internal control. Contractors) Auditor OCI
1. Preparation and Act
review of acts administrative.
LOW administrative. 2. Registration of
1 2 1 1.5 2. Follow-up by Audits 1.5 ACCEPTABLE
part of the office of carried out by Human Talent (Advisor) 1
internal control. internal control.
Minutes of
tracking and
OCI evaluation.
1. Pre-payroll. 1. Receipt of
2. Copies of payment.
security area of Copies of
1 2 2 1.8 LOW systems and support Security 1.8
Logical 3. Registry of Human Talent. OCI Auditor, 1 ACCEPTABLE
3. Follow-up by Audits Systems, Logical Support
part of the office carried out by
of internal control. internal control.
Minutes of
tracking and
OCI evaluation.
1. Regulation 1. Payroll
applicable 2. Registration of
(Norm grammar) Audits Human Talent
1 2 3 2.1 MEDIUM 2. Follow-up by carried out by 1 2.1 ACCEPTABLE
part of the office of internal control.
internal control. Minutes of
tracking and
OCI assessment.
Verification 1. List of
resumes. documents in
2. Follow-up on file. MODERATE
2 3 3 2.8 HIGH part of the office of 2. Registration of Human Talent (Advisor and 2 5,6
internal control. Audits Support Staff) OCI Auditor
carried out by
internal control.
Custody Stories Stories
labor laboral
2. Follow-up by 2. Registration of
1 2 3 2.1 MEAN part of the office of Audits Human Talent (Advisor and 2.1
internal control. made by Support Staff) Auditor OCI 1 ACCEPTABLE
internal control.
Minutes of
tracking and
OCI evaluation.