Securities code: Chengdu Xiling Power Science & Technology Incorporated Company(300733) securities abbreviation: Chengdu Xiling Power Science & Technology Incorporated Company(300733) Announcement No.: 2022011
Chengdu Xiling Power Science & Technology Incorporated Company(300733)
Self evaluation report on internal control in 2021
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
After verification, the company's understanding of some terms of the lease contract and the new lease standards is biased, resulting in errors in the accounting treatment related to leasing in the company's financial statements in the first quarter of 2021, the half year of 2021 and the third quarter of 2021. The above matters have not had a significant impact on the company, nor do they constitute a major defect in the internal control of financial reporting.
In addition to the above matters, as of the benchmark date of the internal control evaluation report, the company has no other circumstances affecting the recognition of internal control. Therefore, 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、 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. Inclusion evaluation
Serial number name shareholding ratio
1 Chengdu Chengdu Xiling Power Science & Technology Incorporated Company(300733) Parts Co., Ltd. 100%
2 Chengdu Xiling Aviation Technology Co., Ltd. 70%
3 Sichuan jiayijia Technology Co., Ltd. 60%
4 Chengdu Xiling new kinetic energy technology Co., Ltd. 70% (indirect holding)
5 Chengdu Xiling Hongyuan mechanical equipment manufacturing Co., Ltd. 70% (indirect holding)
The company holds 74.50% of the equity of Chengdu xinsanhe electromechanical New Technology Development Co., Ltd. (hereinafter referred to as "xinsanhe"), which was obtained by the company through M & A and included in the scope of merger on April 30, 2021. According to the relevant M & a transaction exemption evaluation regulations of China Securities Regulatory Commission, the scope of internal control evaluation does not include xinsanhe. 4、 Establishment and implementation of internal control
1. Organizational structure
The company has established an operating system with the general meeting of shareholders as the authority, the board of directors as the decision-making body, the management as the executive body and the board of supervisors as the supervisory body, The rules of procedure of the board of directors, the working system of independent directors, the working system of the Secretary of the board of directors, the detailed rules for the implementation of the nomination committee of the board of directors, the detailed rules for the implementation of the audit committee of the board of directors, the detailed rules for the implementation of the remuneration and assessment committee of the board of directors, the detailed rules for the implementation of the strategic committee of the board of directors and other rules and regulations have been formulated according to law, clarifying the responsibilities and authorities in decision-making, implementation and supervision, A scientific and effective division of responsibilities and check and balance mechanism have been formed.
2. Internal audit
The board of directors of the company has an audit committee, which is responsible for reviewing the enterprise's internal control, supervising the effective implementation of internal control self-evaluation report control and internal control self-evaluation, guiding and coordinating internal audit and other related matters.
The Audit Department of the company reports directly to the audit committee of the board of directors, and its head is appointed by the board of directors, which ensures the institutional setting, staffing and work independence of the audit department. The audit department formulates the annual audit plan and working procedures at the beginning of the year, and supervises and checks the effectiveness of the company's internal control design and operation through the implementation of comprehensive audit and special audit business. Timely report the internal control defects and problems found in the audit process to the audit committee, and continuously track the rectification. During the reporting period, the Audit Department of the company earnestly performed its audit and supervision responsibilities, and supervised and inspected the soundness, rationality and effectiveness of the company's internal control system through the combination of continuous supervision and inspection and special supervision and inspection, so as to effectively prevent business risks and financial risks.
3. Social responsibility
The company attaches great importance to safety production, establishes a safety production management team, and sets up safety officers in each production unit to be responsible for daily safety affairs. At the same time, it has established a comprehensive enterprise safety production supervision, inspection and rectification mechanism and risk early warning mechanism, and formulated the regulations on handling violations of workshop safety production, labor and process discipline.
4. Corporate culture
Chengdu Xiling Power Science & Technology Incorporated Company(300733) is a high-tech private enterprise specializing in the production of key auto engine parts, military products and aviation parts. The company attaches great importance to cultural construction and has carried out a series of sports meetings, employee festivals and annual commendation conferences to cultivate employees' positive values and sense of social responsibility, advocate honesty and trustworthiness, love and dedication, pioneering and innovative spirit and teamwork spirit, enhance employees' cohesion and identity with the company and promote the sustainable development of the company. Directors, supervisors, managers and other senior managers play a leading role in the construction of corporate culture.
5. Capital operation and management
The company has formulated the internal control evaluation system, monetary fund management system, raised fund management system and investment and financing management system, standardized the division of responsibilities, authorization and approval regulations, fund plan management, cash management, bank management, supervision and inspection and other links in fund management, strengthened the centralized management of fund activities, and defined fund-raising, investment Implement the responsibility investigation system to ensure the safe and effective operation of funds.
6. Asset operation and management
The company has formulated the "fixed assets management system" to standardize all links such as asset acceptance and warehousing, warehousing, receiving and issuing, inventory and disposal, supervision and inspection. Among them, the fixed assets management system stipulates that the custody of fixed assets is based on the principle of "who uses who keeps", and the user department or user is the first custodian and daily maintainer; When the user department or user changes, the fixed assets transfer procedures shall be handled in time; The financial department shall take the lead in the inventory of fixed assets, and the physical management department of fixed assets and the user departments of fixed assets shall participate in the implementation. A comprehensive inventory shall be conducted at the end of each year, and the inventory results shall form a written report. The company has formulated a relatively perfect control system for asset operation and management, and the corresponding control system has been effectively implemented, playing a better management and control role in all links of asset operation and management.
7. Procurement business management
The company has formulated contract management measures, procurement and payment management system, supplier selection, evaluation and management control procedure and other systems to standardize various links in the procurement process, such as procurement plan and application, procurement implementation, procurement acceptance, payment approval and implementation, supervision and testing. At the same time, the company has made special provisions on the separation of incompatible positions in procurement and payment business, including requisition and approval, procurement and payment, conclusion and approval of procurement contract, procurement, acceptance and relevant accounting records, application, approval and execution of payment, etc; The company also filed all records in the process of supplier selection, price comparison and price adjustment in writing for future reference and subsequent supervision and inspection, and clearly defined the approval authority of procurement and payment under different amounts; In addition, in order to ensure the accuracy of accounts payable records, the purchase department and the finance department check the balance of accounts payable at the end of each month, form a mutual supervision mechanism, and regularly reconcile with suppliers in the form of previous confirmation letters. The audit department regularly reviews the amount of purchase on credit and the amount of financial bookkeeping; Irregularly check the purchase contract quantity with the warehousing list, and strictly monitor the compliance of the purchase settlement process.
The company has formulated a relatively perfect control system for procurement and payment management, and the corresponding control system has been effectively implemented, playing a better management and control role in all links of procurement and payment management.
8. Sales business management
The company has formulated the credit management process, sales order management, sales return management and other aspects related to the company. Among them, sales authorization approval stipulates that sales business activities need to be carried out in strict accordance with the business approval Provisions in this system, and no one shall carry out sales business-related activities without appropriate approval or beyond the approval authority; The sales plan management stipulates that the sales center shall prepare the annual sales plan reviewed by the management before the end of December of the current year according to the company's annual business plan approved by the general manager; The sales center shall prepare the reviewed monthly sales plan according to the annual sales plan, quarterly / monthly sales contract (order), customer demand forecast (customer potential expectation) and the implementation of the sales plan of the previous month, which shall be reviewed by the sales director and the deputy general manager of sales; The delivery management stipulates the specific operation processes of filling in the delivery notice, stock out and goods shipment. Collection management stipulates that the settlement method shall be clearly specified in the sales contract when the contract is signed, and the salesperson shall timely remind the customer of payment according to the contract terms. The monthly sales office shall timely notify the corresponding salesperson of the payment collection details.
The company has formulated a relatively perfect control system for the sales management link, and the corresponding control system has been effectively implemented, which has played a better management and control role in all links of sales and collection management.
9. Production process and cost control
(1) Production and quality management
The company adopts iatf169492016 quality management system for production and quality management, and has formulated business plan control procedures, management review control procedures, production approval control procedures, product monitoring and measuring equipment control procedures, equipment management control procedures, tooling management control procedures, on-site management control procedures, process audit control procedures, rapid response control procedures A series of relatively perfect management processes and management systems, such as nonconforming product control procedures, have effectively standardized all links in the production process, including the formulation and implementation of production plans, the operation and storage of production equipment, the supervision and control of the production process, the emergency treatment of accidental events and the inspection and treatment of nonconforming products, and clearly defined and divided the responsibilities and obligations of each department, The company achieves the purpose of improving production efficiency, ensuring product quality and minimizing inventory through scientific and balanced production plan management. The company has formulated a relatively perfect control system for production and quality management, and the corresponding control system is effectively implemented, which has played a better management and control role in all links of production and quality management.
(2) Cost management
The company has formulated the cost and expense management system and budget management system, which standardize the division of responsibilities, budget and control, accounting principles and methods in cost and expense management, and stipulates that the company adopts the variety method as the cost and expense calculation method, and apportions the cost and expense between different products according to the fixed working hours of products; At the same time, it also makes specific provisions on the accounting scope and content, accounting procedures and specific accounting methods, including production costs, manufacturing expenses, R & D expenses and period expenses.
The company has formulated a relatively perfect control system for the cost management link, and the corresponding control system is effectively implemented, which has played a better management and control role in all links of cost management.
(3) Inventory and warehouse management
The company has formulated the inventory management system, standardized the relevant processes in inventory management, such as acceptance and warehousing, warehousing, receiving and sending, inventory and disposal, and carried out the corresponding division of responsibilities. The post setting conforms to the principle that incompatible posts must be separated. According to the regulations, the inventory must be managed and stored according to its nature and purpose, and a special person shall be designated to receive the valuable and key managed materials; For the returned products that have been sold, the warehouse shall handle the warehousing procedures according to the sales return notice issued by the sales department. The returned products can be warehoused only after being confirmed by the production workshop and inspected by the quality inspection personnel; In addition, the company needs to organize the monthly inventory sampling and the year-end inventory counting (full inventory) to completely stop the inventory movement, and clarify the preparation and review of the inventory counting plan, the control of the inventory counting process, and the summary and processing of the inventory counting results. The company has formulated a relatively perfect control system for the links of inventory and warehousing management (the company has regularly conducted special training on risk awareness and risk prevention for asset managers), and the corresponding control system has been effectively implemented, which has played a better management and control role in all links of inventory and warehousing management.
10. Related party transaction management
In accordance with the provisions of the company law of the people's Republic of China, the securities law of the people's Republic of China, the governance standards for listed companies, the Listing Rules of GEM stocks of Shenzhen Stock Exchange and the Chengdu Xiling Power Science & Technology Incorporated Company(300733) articles of association, the company has formulated the measures for the Administration of related party transactions and the management system for preventing the occupation of funds by controlling shareholders and other related parties, and standardized the identification of related party relationships and related party transactions, the transaction principles of related party transactions Authorization and approval authority of related party transactions, avoidance measures of related party transactions, information disclosure of related party transactions, determination and management of related party transaction prices, etc; For the occupation of funds by controlling shareholders and other related parties, the company has formulated corresponding preventive measures and treatment measures
