1. Internal control construction self-inspection report
According to the Work Plan of Henan Social Endowment Insurance Administration on Printing and Distributing the Special Supervision on the Management of Personal Rights and Interests Records of Social Insurance in Henan Province: In accordance with the requirements of the Notice, our district has made a serious self-examination on the management of personal rights and interests records of basic endowment insurance for employees of urban enterprises, and now the self-examination situation is reported as follows: 1.
By the end of August of 20 years, there were 75 employees participating in the basic old-age insurance for urban enterprise employees in our district, including 568 paid employees1person and 3 retired employees141person. Endowment insurance is paid in full and on time, and a lifelong personal account is established for each insured person. Since March 20th, the unified social insurance information system software of the Golden Insurance Project has been adopted for management.
Two. Self-inspection of inspection contents
(a) improve the working mechanism to ensure the integrity and accuracy of the rights and interests records;
1, collecting personal rights and interests records
(1) Strictly implement the social security issued by the Ministry (LB 10 1-2000) and collect personal rights and interests information.
(2) accurately record the registration, payment, special care and personal rights of the insured and their employers.
(3) The personal rights record data is consistent with the original data of business handling.
(4) Collect the basic information of the insured units and individuals on the spot, record the personal accounts of the basic old-age insurance for employees of urban enterprises in place according to the policies, and separately account for the individual insurance contributions and the units included.
(5) At present, our district has not collected personal rights and interests information of social insurance through the Internet to handle social insurance business.
(6) Data collection of all handling businesses shall be conducted through the foreground client of the information system.
(7) generate treatment plan data in strict accordance with the operating rules of social insurance information system.
2. Operation authority management:
(1) According to the policies and operating procedures, each post has set corresponding personal permission record management permissions.
(2) The positions in the information system are set with management authority.
3. At present, due to various reasons, the data check with the departments of industry and commerce, civil affairs, public security and institutional establishment is not thorough enough, and only the insured units or individuals are checked.
4, enterprise private network connection and use:
(1) The enterprise pension insurance private network is connected to the municipal social security institution.
(2) Social security agencies manage and maintain personal rights and interests data on a daily basis through the business private network.
(3) The monitoring of networking indicators is organically combined with the quality of personal rights records.
5. Custody and maintenance of personal rights and interests records:
(1) personal rights data backup storage, remote backup storage is managed by the municipal bureau.
(2) When handling the transfer of social security relationship, you should check the personal rights and interests data before handling it and keep relevant information for future reference.
(3) The approval process of personal data maintenance and modification was established and implemented, and the data modification was maintained in strict accordance with the process.
(4) Maintenance time, content, reasons, treatment methods and automatic registration records of the front desk client of the responsible person information system.
6. Filing: The collection, preservation and maintenance of personal rights and interests information related to written materials shall be filed centrally by the bureau archives.
(B) strengthen service awareness, do a good job in the inquiry and transmission of rights and interests records:
1. Insurance information can be found in the registered stock window. When inquiring, you need to bring the inquirer's ID card or the payment invoice of endowment insurance, and there is no handling fee for the inquiry service.
2. At present, the records of personal rights and interests are sent by the higher authorities by post, and the transfer in different places is sent by our bureau by post.
(3) Safety management of equity records:
1. There is no case of directly entering data through the background, providing false personal rights records or tampering with personal rights records.
2. The data management responsibility shall be carried out in each post, and the personal permission records shall not be entrusted to a third party for separate management and maintenance.
3. The user management authority control of the personal authority database has been realized, and there is no phenomenon that the system administrator and the data administrator concurrently serve as business handling users or information inquiry users.
4. Inquiries about personal rights and interests records shall be made in strict accordance with the requirements of the OrderNo. 14. I will provide my ID card, and the handling personnel will provide the information within the inquiry scope. There is no database exchange or information beyond the specified query scope.
5. There is no act of using the insurance personal rights record for purposes other than those agreed with the social security agency, or causing the disclosure of social insurance personal rights information.
6. There is no act of providing, copying, publishing, selling or trading personal rights record information without authorization.
7. Security of personal rights data: ① At present, personal rights information is only collected through the private network; (2) In strict accordance with the system and regulations, change and maintenance of personal authority data, authority control, security audit and storage; (3) The information system emergency plan has been established, and the personal permission data is backed up by the Municipal Bureau in different places.
(four) the development of legal education:
Regularly carry out legal education, anti-corruption education, regularly study relevant materials, establish a long-term mechanism to make up for loopholes, further innovate legal and honest education means, enrich the form and content of education, use holiday celebrations to carry out insurance law publicity, and ask questions and answers on honesty and self-discipline, so that employees can be educated in entertainment, and the effect is very obvious.
(5) Organization:
1. A leading group for the management of personal rights and interests records of social insurance was established, with the director as the team leader, the leaders in charge as the deputy team leader, and the heads of each stock room as members, to ensure that the leaders are in charge of the work and the staff are responsible for the implementation, and to effectively safeguard the rights and interests of the insured.
2. The personal record post is set in strict accordance with the requirements of the internal control system of social insurance, and the post responsibilities are clear. Registration, collection, audit, payment and financial positions are strictly separated, and the funds are regularly or irregularly supervised to form a mutual supervision and restriction mechanism. My bureau will bring personal rights management services into the annual business assessment of employees as the main basis for the annual assessment of employees.
3. At present, due to various reasons, relevant information has not been exchanged with industry and commerce, civil affairs and public security.
We fully cooperated with mobile banking and signed relevant agreements. All the insurance contributions of our bureau are paid to the income account by the insured enterprises and individuals, which ensures the safety of the fund.
2. Internal control construction self-inspection report
I. Verification of Sponsors Hengtai Cai Chang appointed the sponsor representative as the continuous supervisor of Lean Shares to communicate with the directors, supervisors, senior managers and internal audit department of Lean Shares on the formulation and operation of the internal control system and other related matters. Consult the relevant materials of the shareholders' meeting, the board of directors, the board of supervisors and the meetings of the special committees of the board of directors, the articles of association, the rules of procedure of the three sessions, the investor management system, the information disclosure system and other relevant internal control systems and business management systems. The integrity, rationality and effectiveness of the company's internal control system are verified from the aspects of the company's internal control environment, the construction and implementation of the internal control system, and the internal control evaluation report of Lean Shares.
Second, the company's internal control evaluation conclusion
According to the identification of major internal control defects in the company's financial report, there are no major internal control defects in the financial report on the base 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 internal control standard system and relevant regulations.
According to the identification of major internal control defects in the company's non-financial reports, the company found no major internal control defects in the non-financial reports on the base date of the internal control evaluation report.
From the base date of internal control evaluation report to the date of issuance of internal control evaluation report, there are no factors that affect the conclusion of internal control effectiveness evaluation.
Three. Evaluation of internal control of the company
According to the risk-oriented principle, the company determines the main units, businesses and matters as well as high-risk areas included in the evaluation scope.
1. The main units included in the assessment are: Guangdong Jingyi Metal Co., Ltd., Foshan Shunde Jingyi Wanxi Copper Co., Ltd., Guangdong Jingyi Sales Co., Ltd., Wuhu Jingyi Copper Co., Ltd. and Hong Fei International Development Co., Ltd. The total assets of the units included in the assessment account for 100% of the total assets of the company's consolidated financial statements, and the total operating income accounts for 99.55438+of the total operating income of the company's consolidated financial statements.
2. The main businesses and matters included in the evaluation scope include: organizational structure, corporate culture, human resources, system construction, capital activities, asset management, sales management, financial reporting, information disclosure management, subsidiary management, related party transactions, external guarantees, futures hedging, venture capital and other businesses.
(1) organizational structure
The company has established a corporate governance structure with shareholders' meeting, board of directors, board of supervisors and management as the main body, and its operation is standardized. According to the company's strategic planning, the organization functions and secondary industrial management mode suitable for the company's production, operation and scale are set up, the corresponding authorization, inspection and step-by-step responsibility system are established, the principle of incompatible job separation is implemented, and a balance mechanism is formed to ensure the implementation of the instructions of the board of directors and management and the standardized and orderly operation of the company's operation.
(2) Corporate culture
With the change of business form, the company takes "providing employees with a diversified and inclusive environment suitable for cultivating their talents, creating and transmitting innovative knowledge, and establishing a sustainable and innovative diversified industrial group" as its corporate wish, adheres to the core values of "respecting knowledge, identifying values, distinguishing responsibilities and sharing benefits", adheres to people-oriented and scientific development, and realizes the company's sustained, stable and harmonious development.
3. Internal control construction self-inspection report
Since the company went public, the board of directors has been working hard to improve and perfect the corporate governance structure in strict accordance with the relevant regulations of China Securities Regulatory Commission and Shenzhen Stock Exchange. Take the lead in introducing four independent directors who meet the relevant conditions and have strong professional ability within the jurisdiction of Zhejiang Supervision Bureau; The number of people accounts for more than one-third of the total number of directors of the company; And set up four professional committees of the board of directors earlier, which can carry out activities normally in accordance with relevant regulations every year; Provide a mechanism and working platform for actively playing the role of independent directors. During the reporting period, in order to strengthen and improve the corporate governance structure and establish and improve the internal control system, the company mainly did the following work:
1. Established a leading group for corporate governance special activities with Chairman Nie Zhonghai as the leader. By carefully studying the spirit of relevant documents; Formulate detailed implementation plans for special work; According to the current situation of corporate governance, the self-inspection report and rectification plan of the company's "special activities to strengthen the governance of listed companies" were formed, which were reviewed and approved by the thirteenth meeting of the board of directors of xx Company and published on Juchao Information Online on June 16, 2000. At the same time, a special telephone, fax and network platform was set up and published to listen to the opinions and suggestions of investors and the public.
2. According to the self-examination items in the Guidelines for Internal Control of Listed Companies of Shenzhen Stock Exchange, the Notice of China Securities Regulatory Commission on Strengthening the Special Activities of Listed Companies, the Basic Norms of Corporate Internal Control System, the Management System of Company Information Disclosure, the Management Measures for Expatriated Directors and Supervisors, the Management Measures for Holding (Share-holding) Companies and the Basic Norms of Internal Control System, the Management System of Company Raised Funds was revised and formulated. Internal Audit System of the Company, Detailed Rules for the Implementation of Internal Audit System of the Company, Detailed Rules for the Implementation of Cumulative Voting of the Company and Detailed Rules for the Implementation of Online Voting of the Shareholders' General Meeting of the Company.
3. At the same time, in the Self-inspection Report and Rectification Plan on Strengthening the Governance of Listed Companies, the company has defined the responsible person headed by the director for each item that needs rectification. Recently, the internal control systems that have been formulated or are being formulated include: the working rules of the Audit Committee of the Board of Directors, the annual report system of independent directors, the general manager's working system, the company's financial budget management, the responsibility authorization system, the crisis management and risk prevention system. The formulation of these systems will provide a good foundation for establishing and perfecting internal audit and internal control systems and ensuring normal operation.
The company has always followed the principles of fairness, openness and justice. The Company's Administrative Measures for Related Party Transactions has made detailed provisions on the principles of related party transactions, related parties and related relationships, decision-making procedures for related party transactions, and information disclosure of related party transactions. The company's daily related party transactions shall be announced in strict accordance with the Company's Measures for the Administration of Related Party Transactions, and shall be implemented after being reviewed and approved by the company's annual general meeting of shareholders.
5. The Articles of Association also clearly stipulates the basic principles, submission and review procedures, announcement and disclosure of external guarantees. During the reporting period, except for the holding subsidiaries, the company has no external guarantee. The company strictly abides by and fulfills the corresponding approval and authorization procedures for the guarantee of its subsidiaries. According to the relevant provisions of the Internal Control Guidelines of Shenzhen Stock Exchange, the company strictly controls and reviews external guarantees, and there has never been any violation of the Internal Control Guidelines. The company's financial treatment follows the principle of prudence. Zhejiang Dongfang Certified Public Accountants and Shanghai PricewaterhouseCoopers, which are responsible for auditing the company's financial and accounting reports, have issued unqualified audit reports for many years.
6. Based on the Annual Remuneration Assessment Plan for Company's Senior Executives, the company has established an assessment, incentive and restraint mechanism for senior executives with the company's operational responsibility as the main content. The relevant reward system was established from the beginning of listing, and has been continuously revised and improved according to the actual situation, and has been implemented to this day. During the reporting period, the Second Board of Directors of the xx session of the Company reviewed and approved the Annual Remuneration Assessment Plan for Company Executives (revised in 20 years), revised the specific assessment indicators, and further clarified the binding mechanism between the responsibilities, rights and remuneration of company executives.
7. The second board of directors of 7.xx session voted to pass the proposal of "improving and perfecting internal audit institutions" put forward by the audit committee of the board of directors. The main contents are as follows: (1) The internal audit institution of the company is directly responsible to the board of directors and reports its work to the board of directors; (2) Under the guidance of the Audit Committee of the Board of Directors, the company's internal audit institutions carry out specific work within the scope authorized by the Board of Directors; (3) The company's internal audit institution is subordinate to the department, temporarily suspended in the office of the board of directors, and will be established as an independent department when the basic conditions are ripe; (4) The company's internal audit institution is equipped with a person in charge, and the rank is recommended as company level. The staff of the internal audit institution shall be no less than three, and shall be basically in place before the end of 20 years; (5) The Board of Supervisors of the Company shall effectively supervise the institutional setup and staffing of the company's internal audit function as well as the implementation of the company's internal audit system and detailed rules for the implementation of the company's internal audit.
8. On September 14, 2000, the relevant leaders of the Supervision Department of Zhejiang Securities Regulatory Bureau visited the company to inspect the "Corporate Governance Special Activity" and put forward opinions and requirements for the company to further deepen corporate governance. Zhejiang Securities Regulatory Listing Zi [20]No. 172 Notice on Comprehensive Evaluation and Rectification Suggestions of Hangzhou Turbine Company fully affirmed the corporate governance structure, tripartite decision-making system, internal control system, accounting and information disclosure of our company since its listing, but at the same time pointed out that the company should further improve the personnel composition and functions of the internal audit department and give full play to its role.
At present, the senior management of the company has basically implemented the rectification according to the opinions and requirements of "improving and perfecting the internal audit institution" put forward by the regulatory authorities and the audit committee of the board of directors. At the end of the first quarter of the 20th century, an internal audit institution under the leadership of the board of directors was established according to relevant regulations, and it was equipped with full-time staff, which basically had the functions of carrying out relatively independent internal audit work and supervising the internal control of the company.
Self-evaluation of company internal control;
1. The company has basically established a corporate governance structure and internal organizational structure that meet the requirements of modern management, and the formed decision-making mechanism, execution mechanism and supervision mechanism can basically ensure the realization of the company's management objectives, the truthfulness, accuracy, completeness and fairness of the company's information disclosure, and the implementation of relevant national laws and regulations and the company's internal control system.
2. The risk control system established by the company is basically sound and effective, which can basically ensure the healthy operation of various business activities of the company.
3. The company's internal control system (including internal audit system) can basically achieve the purpose of plugging loopholes, eliminating hidden dangers, preventing and timely discovering and correcting various errors, and protecting the safety and integrity of the company's property.
According to the relevant provisions of the Guidelines for Internal Control of Shenzhen Stock Exchange, the internal control of the company basically meets the relevant requirements of China Securities Regulatory Commission and Shenzhen Stock Exchange.
4. Internal control construction self-inspection report
According to the requirements of the Notice on Carrying out the Great Inspection on the Authenticity of Operating Results and the Construction and Implementation of Internal Control System (No.88 [20]), the business department of the Association organized relevant personnel to study the spirit of the document seriously on July 4, 20, and established Xing XX as the team leader, XX as the deputy team leader, XX, Chen X, Zhang X and Wang XX as members, Xing XX as the general team leader, and Bian XX, Zhang X and Wang XX as directors.
At the end of June, the balance of various deposits in the business department was 57.37 million yuan, an increase of 7.86 million yuan over the end of the previous year. The loans amounted to 9,865,438+800,000 yuan, a net investment of 28.45 million yuan over the previous year. Among them, the balance of overdue loans was 30,000 yuan, a decrease of 20,000 yuan from the end of last year, the balance of sluggish loans was 85 1 10,000 yuan, a decrease of 2.23 million yuan from the previous year, and non-performing loans accounted for 9%. In terms of loan-to-deposit ratio, the discounted balance was RMB 6,543,800+0.55 million, an increase of RMB 6,543,800+0.27 million over the end of last year, and the balance of equity was RMB 6.55. The total income was 8.98 million yuan, the total expenditure was 8.36 million yuan and the profit was 620,000 yuan.
Second, the existing problems
1. Credit management: In the first half of the year, 274 new loans were granted, all of which insisted on collective approval, strictly implemented the "loan before loan" system, and established new loan accounts. However, there are the following problems: (1) whether there is a phenomenon of paying interest on a monthly basis for loans of more than 50,000 yuan; (2) The loan is beyond the limitation of action.
2. In terms of activating funds, by the end of June, the balance of non-performing loans was 8.54 million yuan, down 2.25 million yuan from the end of last year. Upon verification, the loan of RMB 6,543,800+0.29 million should be transferred to the non-performing loan account. However, it was transferred to the non-performing loan account on July 3.
3. Capital stock: By the end of June, the balance of capital stock was 6,543,805,590 yuan, a net increase of 6,543,806,543,809 yuan over the end of last year. There is a phenomenon of early withdrawal of shares.
4. Profit and loss: By the end of June, the total income was 8.98 million yuan, the total expenditure was 8.36 million yuan, and the surplus was 620,000 yuan. All expenses are reasonable and compliant, and there is no phenomenon of raising expenses standards without authorization, not setting up expense accounts, and spending beyond authority. All expenses are subject to financial disclosure. The existing problems are as follows: ① the business entertainment expenses exceed the proportion of 49,472.47 yuan; ② The provision for bad debts increased by 566,6.32 yuan; (3) Interest receivable has not been accrued according to regulations, which is 65,438+084,768.35 yuan less. It was verified that the loan reminder fees and discount fees accrued in May and June were separately accrued, which evaded the examination and approval of the municipal office.
5. Important blank vouchers are verified to be consistent with the accounts. However, the invalid important blank vouchers were not cut and pasted as required.
6. Computer business operation. Failure recovery operation is not registered in time, account offset business is not registered, and print data lacks household balance table and subsidiary ledger.
7. The contents of the registry are incomplete.
Third, the reasons for the formation
The reasons why the loan table is untrue are: ① the credit accounting implementation system is weak and the loan table is not adjusted in time according to the regulations; ② In order to accomplish the task in the first half of the year, the internal leaders subjectively condoned the illegal operation of ordering credit. The reasons for early withdrawal of shares are as follows: ① the dividends paid to shareholders in the early stage are inconsistent with the actual situation, which leads to the early withdrawal of shares by individual shareholders; (2) Individual shareholders don't understand the stock holding policy in place and abuse the past stock buying and selling habits. The reason why business entertainment expenses exceed the proportion is because the entertainment expenses of the trade union are charged in the sales department. The reason why the provision for bad debts is 5666.32 yuan is withdrawn is because the total base of bad debt provision is wrong. There is no need to print less household balance sheets and household details.
Fourth, the inspection conclusion
After self-examination, the loan slip at the end of June should be adjusted to 6.5438 yuan +0.29 million yuan. Provision for bad debts is 5666.32 yuan, interest receivable 184768.35 yuan, discount fee 1630.23 yuan, and entertainment expenses are 49472.47 yuan. At the end of June, there should be a surplus of 1432.438+07 yuan, which is less than the book value. 46636.68666686666
The above is a self-examination of the authenticity of operating results and the implementation of internal control system in the first half of 20 years. The problems found have been rectified in time. In the future business work, our department will operate in strict accordance with the rules and regulations, strictly manage and successfully complete the tasks assigned by the Associated Press.
5. Internal control construction self-inspection report
Over the past 20 years, Yulin Branch of Agricultural Bank of China has attached great importance to internal control and compliance work, vigorously publicized the concept of compliance, and gradually realized that a good compliance culture is the foundation and fundamental guarantee for the long-term stability and sustainable development of Agricultural Bank of China. The whole bank has gradually formed a good working atmosphere of "grasping compliance, strengthening foundation, controlling risks and promoting development", and has been rated as a first-class internal control bank for four consecutive years, accounting for 89% of branches within its jurisdiction. First, the compliance culture has developed in depth. Formulate a plan for the construction of compliance culture, further promote the construction of a "six-in-one" long-term mechanism for compliance culture, clarify the objectives and tasks, and decompose them into branches, departments and posts. Implement the "four musts" of compliance education, compliance manual and other measures to enhance the pertinence, effectiveness and operability of compliance culture construction. Give play to the platform role of compliance culture construction, run compliance culture through the whole process of operation and management, and gradually enhance the compliance awareness of all employees.
Two, solidly promote the basic management promotion year activities. We have formulated a refined management plan from five aspects: credit, operation, accounting, information technology and personnel management, further clarified the work tasks, improved management methods, refined measures, strengthened implementation, and constantly promoted the standardization, standardization and process construction of basic management, effectively enhancing the effectiveness of refined management.
The third is to continue to carry out case risk investigation. The Bank always regards case risk investigation as an important means of case prevention and control and an important starting point for internal control and compliance management. In strict accordance with the implementation plan, four cases of risk investigation have been organized, and the high-pressure situation of case prevention has always been maintained, and good prevention and control and warning effects have been received.
Fourth, improve the supervision and inspection measures. The Bank incorporated the due diligence of all departments into the internal control evaluation system, integrated the inspection and supervision requirements of all departments, organically combined special inspection with routine inspection, on-site inspection with off-site inspection, business inspection with behavior investigation, formulated the annual inspection plan, coordinated the supervision and inspection resources, established a normalized and rolling compliance inspection mechanism, formed a joint force of supervision and inspection, and improved the efficiency of supervision and inspection.
Fifth, do a good job in rectifying various problems. Through the internal control and compliance management information system (ICCS system), the Bank paid close attention to the rectification of various problems, and realized appropriate behavior correction, risk control and accountability for various problems found by internal and external inspections and audits. At the same time, the rectification work will be included in the internal control evaluation and comprehensive performance evaluation. The rectification rate of various inspection problems reached 99.8% in the whole year.
VI. Strengthening anti-money laundering work. Further clarify the anti-money laundering responsibilities, improve the anti-money laundering system, strengthen the continuous monitoring of high-risk customers, actively promote the implementation of customer risk classification system, effectively promote comprehensive compliance risk management, and significantly improve the anti-money laundering ability, which has been affirmed by the regulatory authorities.
Seven, continuously enhance the ability of case prevention and control. Conscientiously implement the responsibility system for case prevention, sign the responsibility book for case prevention step by step, and decompose the responsibility for case prevention to leading cadres and employees at all levels, ensuring the implementation of all measures for case prevention in the whole bank. In-depth investigation and prevention and control of cases will be carried out, and leaders at the bank level will personally grasp the prevention and control of cases, continue to carry out special case management activities and inspections of key banks, and strengthen warning education. The prevention and control of cases under jurisdiction has been continuously strengthened.
Eight, effectively improve the level of legal protection. Seriously carry out the study and training of laws and regulations, strengthen the construction of legal team, standardize the management of litigation cases and contracts, and strengthen legal review, which provides a strong guarantee for compliance with laws and effectively preventing risks.