Annual Report 2019

舜宇光學科技（集團）有限公司 • 2019 年報 77 Corporate Governance Report 企業管治報告 The following key processes are adopted under the Group’s ERM framework. Phase 1 Establish Risk Context The Board establishes common risk assessment criteria and sets up risk reference tables for the Group. Meanwhile, Risk Management Group of the Group and risk management group of each business segment discuss and formulate overall risk management objectives, management requirements and organization methods. Phase 2 Risk Identification Each business segment and department collects risk information related to the Group and identifies the risks that potentially impact the key processes of the operations. The Group also identifies opportunities for improvement. Phase 3 Risk Assessment Each business segment and department uses uniform and quantitative criteria to assess the identified risks along with their impacts on the business and the possibility of their occurrence to determine the risk level. Phase 4 Risk Treatment Each business segment and department determines the overall response strategy and corresponding response plan for the assessed risks as well as the implementation measures such as risk taking, risk aversion, risk transfer and risk reduction to deal with the risks. Phase 5 Risk Monitoring & Reporting Each business segment and department continues to follow up the operation situation of KRI, implementation and effectiveness of the risk response plan, makes timely risk pre-warning, adjusts response plan and reports risks regularly to the appropriate management levels within the Group. With this practical and effective framework, risk management has been integrated into each functional department. 本集團企業風險管理框架的主要流程如下所 示。 第一階段 設定風險背景 董事會為本集團設定通用的風險評估準則及制 定風險參照列表。同時，本集團風險管理工作 小組和各事業分部風險管理工作小組討論並確 定風險管理總體目標、管控要求與組織方式。 第二階段 風險識別 各事業分部和部門收集與本集團相關的風險信 息，並識別對其營運重要程序具有潛在影響的 風險。本集團亦識別改進機會。 第三階段 風險評估 各事業分部和部門運用統一及量化的標準，就 已識別的風險及其對業務的影響，以及其發生 的可能性作出評估，確定風險等級。 第四階段 風險應對 各事業分部和部門對評估出的風險確定總體應 對策略及相應應對計劃，實施風險承擔、風險 規避、風險轉移及風險降低等措施以處理風 險。 第五階段 風險監察及匯報 各事業分部和部門持續跟進 KRI 運行情況和風 險應對計劃的實施情況及有效性，及時作出風 險預警，調整應對計劃，並定期向本集團內相 關管理層級別匯報風險。 實施該實用及有效框架後，風險管理已滲入每 一個職能部門。