Sichuan Tianwei Electronic Co.Ltd(688511)
Internal control evaluation report in 2021
Sichuan Tianwei Electronic Co.Ltd(688511) all shareholders:
In accordance with the provisions of the basic norms of enterprise internal control and its supporting guidelines and other internal control regulatory requirements (hereinafter referred to as the enterprise internal control normative system), combined with the company's (hereinafter referred to as the company's) internal control system and evaluation methods, and 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 internal control evaluation report). I 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. II Internal control evaluation conclusion 1 On the benchmark date of the internal control evaluation report, does the company have any major defects in the internal control of financial reporting
□ yes √ no
2. Evaluation conclusion of internal control over financial reporting
√ valid □ invalid
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. 3. Whether major defects in internal control over non-financial reporting are found
□ yes √ no
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. 4. Factors affecting the evaluation conclusion of internal control effectiveness from the benchmark date of internal control evaluation report to the date of issuance of internal control evaluation report □ applicable √ not applicable
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.
5. Whether the internal control audit opinion is consistent with the company's evaluation conclusion on the effectiveness of internal control over financial reporting
√ yes □ No 6 Whether the disclosure of major defects in internal control of non-financial reports in the internal control audit report is consistent with the disclosure of the company's internal control evaluation report √ yes □ no III 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 evaluation scope include Sichuan Tianwei Electronic Co.Ltd(688511) and the holding companies within the scope of consolidated statements, specifically including the headquarters of the company, Chengdu Golden Tianwei Information Technology Co., Ltd. and Chengdu Sichuan Tianwei Electronic Co.Ltd(688511) Co., Ltd. 2. Proportion of units included in the scope of evaluation:
Proportion of indicators (%)
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
The total operating income of the units included in the evaluation scope accounts for 100% of the total operating income in the company's consolidated financial statements
3. The main operations and matters included in the scope of evaluation include:
Corporate governance and organizational structure, establishment and improvement of internal control system, human resource management, corporate culture, sales and collection, procurement and payment, inventory management, fund management, financial report, R & D and development, construction in progress, asset management, monetary funds, related party transactions, external guarantee, use of raised funds, information disclosure, etc. 4. High risk areas of focus mainly include:
Use of raised funds, procurement and payment management, sales and collection management, cost management, asset management, scientific research project management, production management, quality management, etc. 5. The above units, businesses and matters included in the evaluation scope and high-risk areas cover the main aspects of the company's operation and management. Is there any major omission
□ yes √ no
6. Is there a statutory exemption
□ yes √ No 7 Other explanatory matters
No other explanation. （2） Basis of internal control evaluation and identification standard of internal control defects
The company organizes the internal control evaluation according to the enterprise internal control standard system and Sichuan Tianwei Electronic Co.Ltd(688511) internal control manual.
1. Whether the specific identification standard of internal control defects is adjusted with that of previous years
□ yes √ no
The board of directors of the company distinguished the internal control of financial report from the internal control of non-financial report according to the identification requirements for major defects, important defects and general defects of the enterprise internal control standard system, combined with the factors such as the company's size, industry characteristics, risk preference and risk tolerance, and studied and determined the specific identification standards of internal control defects applicable to the company, which are consistent with the previous years. 2. Identification standard of internal control defects in financial reporting
The quantitative criteria for the evaluation of internal control defects in financial reporting determined by the company are as follows:
Index name major defect quantitative standard important defect quantitative standard general defect quantitative standard
Total profit x ＞ 5% 3% ≤ x ≤ 5% X ＜ 3%
Total assets x ＞ 1% 0.5% ≤ x ≤ 1% X ＜ 0.5%
Description: None
The qualitative criteria for the evaluation of internal control defects in financial reporting determined by the company are as follows:
Qualitative standard of defect nature
Major defects ① ineffective control environment;
② Fraud by directors, supervisors and senior managers of the company;
③ The external audit found that there were significant misstatements in the current financial report, and the company failed to find such misstatements in the process of operation; ④ Major defects that have been found and reported to the management have not been corrected within a reasonable time;
⑤ The supervision of the company's board of directors and internal audit institutions on internal control is invalid;
⑥ Other major defects that may affect the correct judgment of report users.
Significant defects ① failure to select and apply accounting policies in accordance with generally accepted accounting standards;
② Failure to establish anti fraud procedures and control measures;
③ For the accounting treatment of unconventional or special transactions, there is no corresponding control mechanism established or implemented and there is no corresponding compensatory control, and the management and governance are above the internal control;
④ Punishment or serious negative impact on the company's image due to policy deviation, accounting error, etc;
⑤ There are one or more defects in the control of the financial reporting process at the end of the period, and it can not reasonably ensure that the prepared financial statements achieve the objectives of authenticity, accuracy and completeness.
General defects are other control defects except the above major and important defects.
Note: none 3 Identification standard of internal control defects in non-financial reporting
The quantitative criteria for the evaluation of internal control defects in non-financial reporting determined by the company are as follows:
Index name major defect quantitative standard important defect quantitative standard general defect quantitative standard
Major property loss x ＞ 3 million yuan, 1 million yuan ≤ x ≤ 3 million yuan x ＜ 1 million yuan
Significant negative impact has a great negative impact on the company. It is punished by the national government department, but it is below the provincial level (including the provincial level) and causes significant losses. It has not caused significant negative impact on the company, but it has not had a negative impact on the company
Description: None
The qualitative criteria for the evaluation of internal control defects in non-financial reporting determined by the company are as follows:
Qualitative standard of defect nature
Major defects ① serious violation of national laws and regulations;
② Lack of democratic decision-making procedures and unscientific decision-making procedures lead to major mistakes;
③ Serious loss of management personnel or key technical personnel;
④ The company has been severely punished by the CSRC or warned by the stock exchange;
⑤ Serious quality, environment and occupational health and safety incidents occur in the company;
⑥ Lack of institutional control or systematic failure of important business.
Important defects ① the company has important property losses according to the above quantitative standards due to management errors, and the internal control fails to prevent such errors;
② Although it does not reach the importance level, from the nature, the property loss that should be paid attention to by the board of directors and management;
③ The company's management has important ultra vires.
General defects are other control defects except the above major and important defects.
Note: none (III) Identification and rectification of internal control defects 1 Identification and rectification of internal control defects in financial reporting 1.1 Major defects
Whether the company has major defects in internal control over financial reporting during the reporting period □ yes √ no 1.2 Important defects
Whether the company has significant defects in internal control over financial reporting during the reporting period □ yes √ no 1.3 General defect
None 1.4 After the above rectification, on the benchmark date of the internal control evaluation report, does the company have any major defects in the internal control of financial reporting that have not been rectified □ yes √ no 1.5 After the above rectification, on the benchmark date of the internal control evaluation report, whether the company has any important defects in the internal control of financial reporting that have not been rectified □ yes √ No 2 Identification and rectification of internal control defects in non-financial reporting 2.1 Major defects
Whether the company found any major defects in internal control over non-financial reporting during the reporting period □ yes √ no 2.2 Important defects
Whether the company found any significant defects in internal control over non-financial reporting during the reporting period
2.3. General defect
None 2.4 After the above rectification, on the benchmark date of the internal control evaluation report, does the company find any major defects in the non-financial reporting internal control that have not been rectified □ yes √ no 2.5 After the above rectification, on the benchmark date of the internal control evaluation report, whether the company finds any important defects in non-financial reporting internal control that have not been rectified □ yes √ no IV Description of other major matters related to internal control 1 Rectification of internal control defects in the previous year □ applicable √ not applicable 2 Operation of internal control in this year and improvement direction in the next year
√ applicable □ not applicable
During the reporting period, the company organized and carried out internal control evaluation according to the enterprise's internal control standard system and other internal control supervision requirements, combined with the company's relevant internal control management system. The existing internal control system of the company can basically meet the management requirements of the company. Systematic internal control and necessary internal supervision mechanism have been established from the company level to all business levels, which can provide reasonable guarantee for the legality and compliance of the company's operation and management, asset safety, the authenticity and fairness of financial reports and relevant information.
Next year, the company will continue to revise and improve its internal control system and strengthen its internal control management in terms of system construction on the basis of continuing to implement the existing internal control systems. The company will also further strengthen the supervision and inspection of the implementation of the internal control system. From the perspective of operation and management, the company will carry out audit work based on internal control audit, with operation and management as the core and problem-oriented, and focus on the supervision and inspection of key business areas. By strengthening the audit inspection and the implementation of audit opinions, continuously improve the level of the company's internal control, make the construction and management of internal control enter a continuous and normalized management state, and promote the sustainable development of the company. 3. Description of other major events
□ applicable √ not applicable
Chairman (authorized by the board of directors): juwanli Sichuan Tianwei Electronic Co.Ltd(688511)
