Annual Report 2020

舜宇光學科技（集團）有限公司 • 2020 年報 75 Corporate Governance Report 企業管治報告 3. Risk management implementation monitoring – to review the inspection report on implementation of risk management and follow up with the response situation monthly; 4. Build the library of key risk indicators – to recognise existing risk monitoring indicators, monitor the running conditions of the indicators and timely make risk warning; 5. Improve the risk checklist – to identify and build a risk checklist which is suitable to the actual situation of the Company; 6. Risk management is included in the performance evaluation of the Company; and 7. Risk management digitalization construction – timely present risk management dashboard of the Company. Summary of Work in 2020 During the year, the Risk Management Group of the Group reported to the Audit Committee on the annual risk assessment and internal control reviews. Its work in 2020 included: Optimized the risk management system framework • Optimized the Group’s risk management objectives, principles and the forms of organization; • Formulated the three-year plan of risk management and the risk management work plan for the coming year; • Improved the Group’s risk management policy, issued policies including the risk management procedures and risk management performance appraisal; • Established three lines of defense of risk management, and improved the function of each line of defense of ERM; • Formulated the procedures of identifying and regulating key risk indicators (“ KRI ”); and • Optimized the basic procedures of ERM and formed the six-steps method in risk management. 3. 風險管理落實情況監督－審議風險管理落 實情況檢查報告且每月跟進應對情況； 4. 建立關鍵風險指標庫－識別現有風險監控 指標，監控指標的運行情況，並及時進行 風險預警； 5. 完善風險清單庫－識別並建立符合本公司 實際情況的風險清單庫； 6. 風險管理納入本公司績效考核；及 7. 風險管理數字化建設，適時展示本公司風 險管理儀表盤。 二零二零年工作概要 於年內，本集團風險管理工作小組就年度風險 評估及內部監控檢討向審核委員會進行了報 告。二零二零年其工作包括： 優化風險管理體系框架 ‧ 優化本集團風險管理目標、原則及組織方 式； ‧ 制定風險管理三年規劃及下一年度風險管 理工作計劃； ‧ 完善本集團風險管理政策，發佈風險管理 程序及風險管理績效考核等政策； ‧ 建立風險管理三道防線，並完善企業風險 管理各道防線職能； ‧ 制定關鍵風險指標（「 KRI 」）識別及監管流 程；及 ‧ 優化企業風險管理基本流程，形成風險管 理六步法。