Beijing Unistrong Science & Technology Co.Ltd(002383)
Self evaluation report on internal control in 2021
Beijing Unistrong Science & Technology Co.Ltd(002383) all shareholders: in accordance with 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 internal control system and evaluation methods of the company (hereinafter referred to as the "company"), 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 internal control of the company's financial report, there are no major defects in the internal control of financial report on the benchmark date of the internal control evaluation report. The board of Directors believes that the company has maintained effective internal control of financial report 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 work 1. Internal control evaluation scope the company determines the units, businesses and matters included in the evaluation scope and high-risk areas according to the risk-oriented principle. The units included in the evaluation scope include the headquarters of the company and its holding subsidiaries.
The main businesses and matters included in the self-evaluation report of internal control in 2021 include: organizational structure, development strategy, human resources, social responsibility, corporate culture, capital activities, procurement and production activities, asset management, sales business, research and development, engineering projects, guarantee business, business outsourcing, financial report, comprehensive budget, contract management, internal information transmission, information system, etc. It focused on high-risk areas such as capital activities, subsidiary management, related party transactions and external guarantees. 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, and there are no major omissions. The overall construction and operation of the company's internal control are as follows: (1) internal environment ① corporate governance structure the company has established a standardized corporate governance structure and established the general meeting of shareholders, the board of directors and the board of supervisors in accordance with the requirements of the company law, the securities law, relevant laws and regulations of the CSRC and the articles of association. The general meeting of shareholders enjoys the legal rights stipulated in laws and regulations and the articles of association, and exercises the power to decide the company's business policies, major fund-raising, investment, profit distribution and other major matters according to law. The board of directors is responsible to the general meeting of shareholders and exercises the company's business decision-making power according to law. The board of Directors consists of four special committees: Strategy Committee, audit committee, nomination committee and salary and assessment committee. The board of supervisors shall be responsible to the general meeting of shareholders and supervise the actions of the board of directors and the management, the legality and compliance of the performance of duties and the financial situation of the company. The company has formulated a series of rules and regulations such as the rules of procedure of the general meeting of shareholders, the rules of procedure of the board of directors and the rules of procedure of the board of supervisors to ensure the standardized and effective operation of the general meeting of shareholders, the board of directors and the board of supervisors, and safeguard the interests of investors and the company. The company hired the management to carry out the daily operation and management of the company under the leadership of the board of directors. During the reporting period, the company held "three meetings" on schedule in accordance with relevant laws and regulations and the articles of association, and the "three meetings" documents were complete and archived. Major investment, financing and other decision-making matters have fulfilled the procedures of the articles of association and relevant rules of procedure. All directors can attend the meeting with a diligent and correct attitude and earnestly perform their obligations. The board of supervisors can play a normal role and have certain means of supervision. The general manager shall regularly organize and convene the general manager's office meeting, be responsible for the implementation of production and operation business, command, coordinate, manage and supervise all functional departments, and ensure the normal operation of the company. ② The company's organizational structure the company has set up functional departments such as enterprise management department, finance department, investment management department and human resources department in combination with the actual situation. Each functional department has a clear division of labor, takes its own responsibilities, cooperates and restricts each other, so as to ensure the healthy and orderly operation of the company's production and operation activities. During the reporting period, the company continued to improve the management responsibilities of each department, fully discussed and improved the core and key tasks of each functional department, improved organizational efficiency and improved management and control mechanism. ③ Human resources policy the company has formulated a number of personnel management systems such as employment, appointment, attendance, salary, reward and punishment, promotion and training, continuously improved the rank system, evaluation system, assessment system, salary incentive system and training system, and gradually established a fair and fair personnel selection and employment mechanism and a talent development mechanism and system for making the best use of talents in the self-evaluation report of internal control in 2021. During the reporting period, the company continued to improve and optimize human resources work processes and norms. (2) The risk assessment company continuously improves the risk management system, comprehensively and continuously collects relevant information, carries out risk assessment regularly in combination with the actual situation, adopts the combination of qualitative and quantitative methods, analyzes and sorts the identified risks according to the possibility of risk occurrence and its impact degree, and determines the key points of attention and priority risks to be controlled. According to the results of risk analysis, combined with risk tolerance, weigh risks and benefits, determine risk response strategies, and comprehensively use risk avoidance, risk reduction, risk sharing and risk tolerance to achieve effective risk control. During the reporting period, the company continued to collect information related to risk changes, identify and analyze risks, timely adjust risk response strategies and continuously improve its ability to create value for shareholders in combination with market conditions and business development. (3) Control activities ① separation of incompatible positions control the company comprehensively and systematically analyzes and combs the incompatible positions involved in the business process, implements corresponding separation measures, and forms a working mechanism of performing their respective duties, assuming their respective responsibilities and restricting each other. Each economic business must be handled by two or more departments or personnel, so that the approval, execution and recording functions of each business are separated. ② Authorization approval control authorization management is not only an important means for the company to strengthen internal control, but also an important way to resolve risk responsibility.
In order to clarify the power and responsibility interface of the company's organizations at all levels and establish a scientific, reasonable and efficient management system, the company has formulated an authorization manual in accordance with the articles of association, organizational structure and various management systems to ensure that all functional departments and subsidiaries of the company make decisions and operate within the scope of authorization. According to the different nature of business and the size of transaction amount, the company has formulated the authorization authority at all levels, stipulated the scope of responsibilities and business processing authority of managers at all levels, and clarified the responsibilities of managers at all levels to make them responsible for their own business processing behavior. During the reporting period, the management at all levels exercised their functions and powers within the scope of authorization, and the handling personnel also handled economic business within the scope of authorization. ③ Accounting system control accounting system control has an important and direct impact on the realization of the company's financial management objectives and the protection of the company's property safety. The company has set up an independent and complete accounting organization, allocated accounting practitioners in accordance with relevant national requirements, set reasonable posts and responsibilities, implemented the post responsibility system, strictly implemented China's unified accounting standards system, and clarified the processing procedures of accounting vouchers, accounting books and financial accounting reports. The company has established a scientific, rigorous and efficient accounting system control system based on the accounting law, the company law, the code for basic accounting work and other laws and regulations, combined with the specific situation of the company, the industry environment and its own business characteristics. ④ Property protection control
In the 2021 internal control self-evaluation report, the company established a daily property management system and a regular inventory system, and took measures such as property records, physical storage, regular inventory and account verification to ensure property safety. For example, check cash, inventory and fixed assets regularly, hire security guards and use closed-circuit television cameras to ensure property safety. In addition, the company strictly restricts unauthorized personnel from contacting and disposing of property. During the reporting period, the internal control design of the company's property was sound, reasonable and effective. ⑤ The budget control company has established a comprehensive budget management system to clarify the budget process, content, organization and the responsibilities and authorities of each responsible unit in budget management, standardize the procedures of budget preparation, approval, release, implementation, adjustment, evaluation and assessment, and strengthen budget constraints. For the fund payment and expense reimbursement exceeding the budget, it is required to strictly perform the application and approval procedures. During the reporting period, the company's comprehensive budget system covers the operating budget and financial budget. The budget implementation results are linked to the performance of each responsible unit, which has played a positive role in financial control for the company's management to achieve the enterprise's strategic objectives. ⑥ The operation analysis and control company has formulated the management measures for annual business plan. The annual business plan of the company is managed according to the principle of "overall management, combination from top to bottom and decomposition at all levels", so as to ensure that the annual business plan management has comprehensive content, clear objectives, orderly development and proper supervision. During the reporting period, each business unit made a quarterly analysis of the implementation of the business plan and issued a business analysis report as required. The company regularly held quarterly business analysis meetings to summarize and analyze the company's business status and the development of key work, and timely adjust and improve problems found. In order to ensure the realization of the company's business objectives, the company also organizes an annual assessment of the implementation of the business plan. ⑦ The performance evaluation control company has formulated a series of rules and regulations such as personnel salary management system and performance management system of all departments, established a performance evaluation system and set up an evaluation index system to conduct regular and objective evaluation on the performance of managers at all levels and all employees, so as to link salary with performance, and take the evaluation results as the basis for determining employee salary, job promotion, evaluation, demotion, job transfer Basis for dismissal, etc. During the reporting period, the company conducted employee appraisal in strict accordance with the relevant performance appraisal system. (4) Focus on the internal control in high-risk areas ① fund activities the company scientifically determines the investment and financing objectives and plans according to the development strategy, improves the strict fund authorization, approval, verification and other relevant management systems, strengthens the centralized management of fund activities, defines the responsibilities, authorities and post separation requirements of financing, investment, operation and other links, and regularly or irregularly checks and evaluates the fund activities, Implement the accountability system to ensure the safe and effective operation of funds. The fund management of the company implements the principle of plan and approval, formulates the fund use plan and stipulates the payment approval procedure, so as to make full use of the fund and improve the fund use efficiency. The company has formulated the special management system for raised funds, and then continuously improved and strengthened the management of raised funds through multiple amendments. The 2021 internal control self-evaluation report has strict management regulations on the storage, use and approval procedures of the special account for raised funds, purpose adjustment and change, management supervision and accountability. The company has formulated the investment management system, which stipulates that the general meeting of shareholders and the board of directors are the decision-making bodies of the company's foreign investment, and each makes decisions on the company's foreign investment within its authority. The general manager of the company, as the main person in charge of the implementation of foreign investment, is responsible for planning, organizing and monitoring the implementation of new projects, and shall timely report the investment progress to the board of directors and put forward adjustment suggestions, so as to facilitate the board of directors and the general meeting of shareholders to revise the investment in a timely manner. The system defines the approval procedures of the company's foreign investment, standardizes the investment behavior of the company and its subsidiaries, and makes the company's investment management follow the principles of legality, prudence, safety and effectiveness. Once the foreign investment project is established, the company carries out the whole process management and monitoring of the project implementation process, pays attention to controlling the investment risk and maximizing the investment income. At the same time, the company strengthens the management of financing business and makes overall and reasonable arrangements for necessary external financing according to the actual needs of the company. ② In order to strengthen the management of subsidiaries, standardize the internal operation of the company and safeguard the interests of the company and investors, in accordance with the company law, the stock listing rules of Shenzhen Stock Exchange, the guidelines for the standardized operation of companies listed on the SME Board of Shenzhen Stock Exchange and other laws and regulations, normative documents and the relevant provisions of the articles of association, and in combination with the situation of the company, The subsidiary management system and other relevant systems have been formulated to strengthen the management of subsidiaries, establish an effective control mechanism and improve the overall operation efficiency and anti risk ability of the company. The company strictly manages the holding subsidiaries, helps and urges the holding subsidiaries to improve various management systems, requires the implementation of unified accounting systems and policies, and guides their major events, financial management and information management. The company regularly or irregularly inspects and supervises its subsidiaries through internal audit. ③ Related party transactions the control of related party transactions shall follow the principles of honesty and credit, equality, voluntariness, fairness, openness and fairness to ensure that related party transactions do not harm the interests of the company and other shareholders. According to the relevant provisions of the Listing Rules of Shenzhen Stock Exchange and the articles of association, the company clearly divides the approval authority of the general meeting of shareholders and the board of directors for related party transactions. The company has formulated the related party transaction system, which makes detailed provisions on related party transactions and their prices, decision-making authority and decision-making procedures of related party transactions, disclosure of related party transactions, etc. ④ External guarantee in order to strengthen the management of the company's guarantee business and prevent the risk of guarantee business, the company has formulated the external guarantee system. The general meeting of shareholders and the board of directors of the company are the decision-making bodies of external guarantee. All external guarantee acts of the company must be approved by the general meeting of shareholders or the board of directors of the company according to the procedures. The system stipulates the procedures for the application, acceptance and approval of external guarantee business. Without the approval of the general meeting of shareholders (or the board of directors), the company shall not provide external guarantee. The control of external guarantee shall follow the principles of legality, prudence, mutual benefit and safety, and strictly control the guarantee risk. During the reporting period, the company did not commit any illegal guarantee. (5) Information and communication
2021 annual internal control self-evaluation report ① internal information transmission company passed the information disclosure management measures, management regulations on the submission and use of external information, internal reporting system of major information, annual report working system, accountability system for major errors in annual report information disclosure and insider registration and filing system
