Sichuan Jiuyuan Yinhai Software Co.Ltd(002777)
Self evaluation report on internal control in 2021
Sichuan Jiuyuan Yinhai Software Co.Ltd(002777) all shareholders:
According to the provisions of the basic norms of enterprise internal control and its supporting guidelines and other internal control supervision requirements (hereinafter referred to as the enterprise internal control standard system), combined with the company's (hereinafter referred to as the company's) internal control system and evaluation methods, on the basis of daily and special supervision of internal control, We evaluated the effectiveness of the company's internal control on December 31, 2021 (the benchmark date of the internal control evaluation report). 1、 Important statement
It is the responsibility of the board of directors of the company to establish, improve and effectively implement internal control, evaluate its effectiveness and truthfully disclose the internal control evaluation report in accordance with the provisions of the enterprise's internal control standard system. The board of supervisors shall supervise the establishment and implementation of internal control by the board of directors. The management is responsible for organizing and leading the daily operation of the enterprise's internal control. The board of directors, the board of supervisors and the directors, supervisors and senior managers of the company guarantee that there are no false records, misleading statements or major omissions in the contents of this report, and bear individual and joint legal liabilities for the authenticity, accuracy and completeness of the contents of the report.
The objective of the company's internal control is to reasonably ensure the legal compliance of operation and management, asset safety, authenticity and integrity of financial reports and relevant information, improve operation efficiency and effect, and promote the realization of development strategy. Due to the inherent limitations of internal control, it can only provide reasonable assurance for the realization of the above objectives. In addition, as changes in circumstances may lead to inappropriate internal control or reduced compliance with control policies and procedures, there is a certain risk to speculate the effectiveness of internal control in the future according to the internal control evaluation results. 2、 Internal control evaluation conclusion
According to the identification of major defects in the company's internal control over financial reporting, there are no major defects in the internal control over financial reporting on the benchmark date of the internal control evaluation report. The board of Directors believes that the company has maintained effective internal control over financial reporting in all major aspects in accordance with the requirements of the enterprise's internal control standard system and relevant regulations.
According to the identification of major defects in the company's internal control over non-financial reports, the company found no major defects in the company's internal control over non-financial reports on the benchmark date of the internal control evaluation report.
There are no factors affecting the evaluation conclusion of the effectiveness of internal control from the base date of the internal control evaluation report to the date of issuance of the internal control evaluation report.
3、 Internal control evaluation (I) scope of internal control evaluation
According to the risk oriented principle, the company determines the main units, businesses and matters included in the evaluation scope and high-risk areas. 1. The main units included in the scope of evaluation include:
Sichuan Jiuyuan Yinhai Software Co.Ltd(002777) , Sichuan Yinhai Software Co., Ltd., Tianjin Yinhai Global Information Technology Co., Ltd., Tianjin Jiuyuan Health Technology Co., Ltd., Chongqing Sichuan Jiuyuan Yinhai Software Co.Ltd(002777) Software Co., Ltd., Sichuan Xingzheng Information Technology Co., Ltd., Chengdu Xinglian Huizhi Technology Co., Ltd., Shanxi Jiuyuan aispu Software Co., Ltd., Xinjiang Yinhai Dingfeng software Co., Ltd Sichuan Sichuan Jiuyuan Yinhai Software Co.Ltd(002777) Changhui Software Co., Ltd., Sichuan Jiuyuan Guoji Technology Co., Ltd., Sichuan health Jiuyuan Technology Co., Ltd., Beijing Yinhai Zheqi Technology Co., Ltd., Hangzhou massive information technology Co., Ltd., Chongqing Jiuyuan Kangcheng Technology Co., Ltd. and Kunyun (Beijing) Technology Co., Ltd. 2. The total assets of the units included in the evaluation scope account for 100% of the total assets in the company's consolidated financial statements, and the total operating revenue accounts for 100% of the total operating revenue in the company's consolidated financial statements. 3. The main businesses and matters included in the scope of evaluation include: (1) governance structure
The company has established the general meeting of shareholders, the board of directors, the board of supervisors and the management under the leadership of the board of directors in accordance with the company law of the people's Republic of China and the relevant provisions of the China Securities Regulatory Commission, In accordance with the guiding opinions on the establishment of independent director system in listed companies (zjf [2001] No. 102) issued by the China Securities Regulatory Commission on August 16, 2001, the independent director system has been established, the basic framework of corporate governance has been formed, and the general meeting of shareholders, the board of directors and directors, the board of supervisors and supervisors Responsibilities of managers and senior managers in internal control. The company has formulated the Sichuan Jiuyuan Yinhai Software Co.Ltd(002777) articles of Association (hereinafter referred to as the articles of association), rules of procedure of the general meeting of shareholders, rules of procedure of the board of directors, rules of procedure of the board of supervisors, working rules of the Secretary of the board of directors, etc., defined the terms of reference, rules of procedure and decision-making mechanism of the general meeting of shareholders, the board of directors, the board of supervisors and the management, and ensured the authority, decision-making organization The executive and supervisory bodies have clear powers and responsibilities, standardized operation and effective checks and balances. (2) Organizational structure
In accordance with the requirements of modern enterprise management, the company has established the general meeting of shareholders, the board of directors, the board of supervisors and other organizations, clarified their respective responsibilities, rights, obligations and working procedures, standardized operation, and continuously improved and optimized corporate governance. According to the needs of business operation, the company has set up ten functional departments, professional committees (including strategy committee, salary and assessment committee, audit committee and Nomination Committee) and 15 holding subsidiaries, defined the responsibilities and authorities of each department (company), and achieved positive results in optimizing business processes and improving management efficiency.
The controlling shareholders of the company legally exercise the rights and obligations of shareholders in accordance with the provisions of Sichuan Jiuyuan Yinhai Software Co.Ltd(002777) articles of association, and there is no direct intervention beyond the general meeting of shareholders in the decision-making and operation of the company. The company and its controlling shareholders have achieved "five independence" in terms of personnel, assets, finance, institutions and business, and there is no horizontal competition. The board of directors, board of supervisors and internal institutions of the company operate independently. (3) Human resources
The company has established a series of human resource management policies and process guidelines on personnel administration, which clearly stipulates the links of employee recruitment and employment, training, resignation, salary and assessment; Formulate and implement targeted training plans to ensure that the management and all employees can effectively perform their duties; The company's existing human resources policies can basically ensure the stability of human resources and the demand for human resources of all departments of the company. (4) Monetary Fund
The fund and Finance Department of the company is dedicated to managing monetary funds. As of December 31, 2021, the relevant norms and systems have been formulated, including financial management system, fund management measures, budget management measures, expense reimbursement system, seal management measures, etc. the main relevant control procedures are as follows:
In the process of implementing cash revenue and expenditure business, the company defines the responsibilities and authorities of relevant departments and posts in the links of monetary fund revenue and expenditure management and expense reimbursement, so as to ensure the separation of incompatible responsibilities.
The company has formulated fund management measures, which have made clear provisions on the scope of cash revenue and expenditure, cash inventory, supervision and custody, bank account management and online bank deposit management, so as to standardize the company's monetary fund management and ensure the accurate receipt and payment and legal use of monetary funds. (5) Sales and collection
The company has set up an operation management center to be fully engaged in product sales business management. As of December 31, 2021, relevant specifications and systems have been formulated, including market and sales management measures, Interim Measures for contract management, asset management system, etc. the main relevant control procedures are as follows:
The company has established a post responsibility system for relevant posts engaged in sales business, and signed after customer credit investigation and evaluation and sales contract approval; Approval, signing and delivery of sales contracts; Confirmation and recovery of sales payment and relevant accounting records; Disposal and related accounting records; The sales business operator and invoice issuing, management and other links have defined their respective rights and responsibilities and mutual restriction requirements and measures.
The business department, operation management center and Market Committee of the company are responsible for collecting market and competition information. The market committee can also entrust professional consulting institutions, experts and other reliable channels to collect market and competition information. At the beginning of each year, the market committee makes further comparative analysis on the collected information, data and historical data of the company, establishes the main fields or industries of market and sales, calculates the market target, and decomposes the calculated target value into the regional market according to the calculation of the basic market target and the divided regional market; At the same time, according to the national investment orientation and existing marketing resources, put forward suggestions on new regional market development objectives. Put forward suggestions on market segmentation objectives according to national investment orientation, competitors and existing marketing resources; The results of market objectives and market segments include various proposals, relevant meeting minutes and various resolutions and measures issued by the market committee. Clarify the sales performance objectives, responsible personnel and assessment requirements.
After accepting the project initiation application, the operation management center of the company will approve according to the approval process according to different project categories and approval authority. The operation management center shall approve the formal signing of the contract according to the contract review opinions and issue production instructions to the production management department.
The project implementation department and the operation management center are responsible for forming the equipment supply acceptance report for the hardware project and the Software commissioning report for the software project after the installation of hardware and software. The operation management center shall submit the completed project list to the capital finance department with the acceptance report confirmed by the customer. The sales accounting personnel of the capital finance department shall review the basis of the completed project list provided by the operation management center, form a project revenue recognition table according to the total contract amount after confirmation, and recognize the sales revenue, accounts receivable or contract assets accordingly. The operation management center shall organize all business departments of the company to submit the collection plan of the current month at the beginning of each month and implement it to the specific sales personnel. After receiving the receivables, the company's capital finance department will enter them into the financial system one by one according to the bank receipt, receipt and other documents. At the end of the month, the financial system will automatically generate the customer collection table and debt table, and the capital finance department will check with the book receivables accordingly. (6) Procurement and payment
1. Material procurement
The company has set up a procurement department to engage in the procurement management business of materials and materials. As of December 31, 2021, the company has formulated management systems including channel and procurement management measures, inventory management measures, procurement control specifications, non-standard procurement control specifications, etc. the main relevant control procedures are as follows:
The relevant posts of the company engaged in procurement business have clarified the post responsibility system, and have clarified their respective rights and responsibilities and mutual restriction requirements and measures in the links of purchase requisition and approval, inquiry and determination of suppliers, negotiation and approval of procurement contract, procurement, acceptance and relevant accounting records, payment application, approval and implementation.
The ordering department of the company submits the procurement application to the procurement department according to the contract handover list and the project implementation plan. The purchaser reviews whether the order meets the requirements of the sales contract according to the sales contract, formulates the procurement plan, and approves it level by level according to the procurement quota. The purchaser collects the supplier information and prepares the supplier conformity assessment report, which is confirmed as a qualified supplier after being reviewed by the vice president in charge. The purchaser shall select more than 3 suppliers in the classified list of qualified suppliers for inquiry, determine the reasonable price according to the inquiry results, and submit it to the procurement supervisor for approval. The purchaser shall negotiate with the supplier after inquiry on price, payment method, supply cycle, quality and after-sales. The manager of the purchasing department selects the final supplier according to the negotiation results of the purchaser. The contract review team shall organize the review of the contract, submit the review report of the procurement contract, and approve it according to the authorization system of the company. The approved contract shall be formally signed by the procurement department and purchased.
The purchaser shall propose the purchase settlement plan of the current month to the purchase manager at the beginning of each month. After confirmed by the procurement manager, it shall be submitted to the president and the vice president in charge of Finance for approval. The purchaser shall prepare the payment notice and attach the contract, invoice, warehousing order, acceptance form, statement, etc. The purchasing department and the capital and finance department check accounts with suppliers regularly. The fund and finance department shall review the payment application form, which shall be signed by the director of the procurement department, reviewed by the financial director, approved by the president, and finally paid by the cashier.
2. Purchase of fixed assets
The fixed assets of the company are managed by the operation management center. As of December 31, 2021, relevant specifications have been formulated: budget management measures, procurement control specifications, fixed assets management measures, operation management authorization system, etc. the main relevant control procedures are as follows:
All departments of the company shall apply for corresponding fixed assets resources according to the actual needs of the company's production and operation: if the company has available idle assets, fill in the application form for collection (delivery) of fixed assets and submit it to the fixed assets management department of the company. If it is necessary to purchase new fixed assets, fill in the approval form of application for purchase of fixed assets, submit it to the company's fixed assets management department after being approved by the Department, and the company's fixed assets administrator will initiate the purchase approval process.
The new purchase of fixed assets requires the approval of the purchase department, the review of the company's fixed assets management department and relevant functional departments, and the approval of the company's authorized leaders. After the application for new purchase of fixed assets is approved, the procurement department of the company shall perform the procurement task according to the procurement management measures of the company. In case of special circumstances such as purchasing in the place where the purchase application department is located, the purchase application department shall assist the purchase department to complete the procurement task.
After the arrival of fixed assets, the procurement department shall notify the fixed assets management department of the company, and the fixed assets administrator of the company shall organize the personnel of the procurement department, purchase application department and relevant professional departments to inspect the goods. If the fixed assets can be used normally after installation and commissioning, the goods shall be inspected after installation and commissioning; Fill in the application form for inspection (warehousing) of fixed assets and sign by the relevant person in charge of inspection. If it resources are involved, the information department shall assist in the inspection, and if office environment resources are involved, the administrative department shall assist in the inspection.
After the newly purchased fixed assets pass the inspection, the company's fixed assets administrator shall organize the goods to be warehoused and go through the warehousing procedures. At the same time, the equipment warranty card, instructions and other relevant materials shall be properly kept. Assign fixed asset number, establish fixed asset warehousing management account, and hand over relevant materials to the financial department for financial accounting treatment after warehousing registration of fixed assets.
If employees transfer across departments, assets across departments or transfer assets to other employees according to work needs, they must go through the fixed assets transfer procedures at the fixed assets administrator of the Department, fill in the application form for transfer (return) of fixed assets, and submit it to the fixed assets management department of the company for approval after being reviewed by the fixed assets manager of the Department and approved by the department leader, Transfer procedures can be handled only after approval. At the same time, the company's fixed assets administrator needs to remake the company's fixed assets label and paste it to the original label of the fixed assets (the fixed assets administrator of the Department is responsible for pasting it in other places).
For the scrapping of fixed assets that cannot be used and repaired or are not worth repairing due to technical / performance / efficiency and other reasons, it shall be reported to the president, board of directors or general meeting of shareholders of the company for approval according to the authorization system of the company, and the application and approval form for scrapping of fixed assets shall be filled in. The fixed assets management department shall implement the authorized disposal scheme, and the disposal income shall be uniformly calculated by the financial and accounting department. (7) Production and inventory
1. The company has formulated budget management measures, project management measures, inventory management measures, production management (assessment) indicators and business management objectives and responsibilities of the division
