General Principles of Effective Supervision Policy

General Principles of Effective Supervision Policy

The General Principles of Effective Supervision Policy sets forth general principles and select specific standards for the appropriate supervision of Company employees and Business Areas, which is based on the overall Internal Control System (“ICS”) of the Company.

This policy applies to employees of all branches and subsidiaries of the Company who are Supervisors and applies with equal force to those who are responsible for the supervision of production functions, as well as to those Supervisors in Support and Control functions (collectively referred to as “Business Areas” in this policy).

CONTENT

1. OVERVIEW
1.1 PROCEDURE OWNER
1.2 CLASSIFICATION
1.3 APPLICABLE REGULATIONS
1.4 RELATED [COMPANY] NORMS AND PROCEDURES
1.5 OBJECTIVES
1.6 AUDIENCE AND SCOPE
1.7 DOCUMENT SUPPORT
2. DEFINITIONS & ABBREVIATIONS
3. SUPERVISION IS ESSENTIAL TO MANAGING RISK EFFECTIVELY
3.1 SETTING THE RIGHT TONE AND ESTABLISHING A CONTROL CULTURE
3.2 KNOW YOUR ORGANIZATION AND YOUR REPORTS
3.3 KNOW YOUR BUSINESS AND PRODUCTS
3.4 ESTABLISH EFFECTIVE PROTOCOLS AND SYSTEMS
3.5 RED FLAGS, ESCALATION AND REMEDIATION
4. EXCEPTIONS
5. FINAL CONSIDERATIONS
5.1 DISCIPLINARY ACTIONS AGAINST PROCEDURE VIOLATION
5.2 DOCUMENT REVISION

Pages: 12

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