Enterprise internal control self-inspection report

3 sample reports on internal control of enterprises in 2020.

Time flies and hard work has come to an end. Looking back on the achievements and problems during this period, it is time to take the time to write a self-inspection report. But do you know how to write it? The following is a sample of the internal control self-inspection report I collected, which is for reference only and I hope it will help you.

Demonstration Report on Self-inspection of Enterprise Internal Control in 2020 1 According to the spirit of document No.20x78 issued by SAFA, combined with the company's own characteristics, and compared with the internal control management manual, the self-inspection situation is now reported as follows:

First, set up a leading group for internal control self-evaluation.

Team leader: (Chairman)

(General Manager)

Deputy Head: (Deputy General Manager)

(Chief Financial Officer)

Members:

Second, introspection time

20xx65438+February 25th.

Third, the basic situation of self-examination

Our company attaches great importance to the internal control work, organizes the internal control working group to carry out self-inspection, issues the notice of internal control self-inspection, and conducts key self-inspection by interviewing internal control related posts and reporting internal control self-inspection materials.

* * * Three related systems and processes were revised, including: Safety Production Management System of Huocheng Keli Coal Logistics and Distribution Co., Ltd., Emergency Plan for Safety Production and Fire Safety of Huocheng Keli Coal Logistics and Distribution Co., Ltd. and Company Fund Approval Process. Two processes have been added, including: the management process of vehicle use and maintenance in the company; Internal acceptance process of the company's projects.

Fourth, the content of self-examination.

1. fund activity business: according to the working papers of internal control evaluation, seven contents were checked one by one, namely, fund budget and approval, fund receipt and payment, bank account and seal management, cash on hand management, bill management, expense management and fund-raising management.

The self-inspection score of capital activity business is 96.

2. Asset management-current asset management: As the company is under construction, there are no raw materials and finished products, so this item has not been checked.

Asset management-self-inspection score of current asset management 100.

3. Asset Management-Fixed Assets Management: Seven items including fixed assets purchase plan, fixed assets purchase and entry, daily management of fixed assets, fixed assets depreciation, inventory, impairment reserve, and scrap cleaning were inspected one by one.

Asset Management-Fixed Assets Management Self-inspection Score: 97.

4. Financial report: check the financial institutions and personnel one by one, the preparation scheme of financial statements, the accounting method of major events, the preparation and audit of individual financial statements, financial analysis, financial work assessment, financial file management, etc. Consolidated statement preparation, periodic announcement, temporary announcement and related transactions are only available in the headquarters, so they are not filled in.

The self-examination score of financial report is 97.

5. Comprehensive budget: check the budget organization, budget target preparation, budget adjustment, budget execution monitoring, budget variance analysis and processing, and budget assessment item by item.

Comprehensive budget self-examination score 95 points.

6. Guarantee business: the company has no guarantee business.

Self-inspection score of guarantee business 100.

7. Project: As the project of the company's special railway line has not been fully accepted, it cannot be scored as a whole.

8. Contract management: the contract is signed and filed by the company legal person or authorized client, and a contract file management system is established.

9. Purchasing business: the company is the project agent, and the company does not purchase materials separately.

10. Sales business: the company does not operate.

1 1. Outsourcing: No outsourcing.

12, R&D: Not at present.

13, internal information transmission and information system control: able to send and receive all kinds of documents of the head office in time and use the information system as required.

14. human resources: during the preparation period, we will strive to improve various systems and complete the recruitment work in strict accordance with the requirements of the human resources department of the headquarters.

Five, self-examination found problems and causes analysis

financial management

1, the project cost accounting management has the problem that the project schedule has not been confirmed in time.

2. Invoice management of related projects was not saved as required.

human resource management

1. In the distribution of powers and responsibilities, some departments have unclear responsibilities and overlap with each other. This situation is caused by personnel changes, division of labor and other reasons.

2. In the aspect of performance appraisal, the appraisal is just a form, which does not go deep into the actual work and does not play an encouraging role.

Rectification measures of intransitive verbs

financial management

1. Require the engineering management department of the company to confirm the project progress with Party A in time and activate the enterprise funds in time.

2. Better management of important invoices by special personnel.

human resource management

1. For departments with unclear responsibilities, modify the job description to make the responsibilities clear.

2. In terms of performance appraisal, let the leaders in charge deeply understand the role and significance of performance appraisal, and let performance appraisal become a tool to motivate employees, so as to better manage daily work.

2020 Enterprise Internal Control Self-inspection Report Fan Wen 2 Hengtai Cai Chang Securities Co., Ltd. (hereinafter referred to as "Hengtai Cai Chang") is the sponsor institution for the continuous supervision of Guangdong Lean Metal Co., Ltd. (hereinafter referred to as "Lean Shares" or "Company"). According to relevant laws and regulations such as Administrative Measures for Sponsorship of Securities Issuance and Listing, Basic Standards for Internal Control of Enterprises, Listing Rules of Shenzhen Stock Exchange (revised in 20xx), Guidelines for Sponsorship of Listed Companies of Shenzhen Stock Exchange (revised in 20xx), Guidelines for Standardized Operation of Small and Medium-sized Listed Companies of Shenzhen Stock Exchange, Annual Internal Control Evaluation Report of 20xx and Guidelines for Standardized Operation of Listed Companies on Growth Enterprise Market of Shenzhen Stock Exchange.

I. Verification by the sponsor institution

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 departments of Lean Shares on the establishment and operation of the internal control system of Lean Shares. I have consulted 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 meetings, the investor management system, the information disclosure system and other relevant internal control systems and business management rules, and checked the integrity, rationality and effectiveness of the company's internal control system from the aspects of the company's internal control environment, internal control system construction and internal control implementation, and made an evaluation report on the internal control 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

(A) the scope of internal control evaluation

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% 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 an innovative and diversified industrial group with sustainable development" as its corporate wish, adheres to the core values of "respecting knowledge, identifying values, distinguishing responsibilities and enjoying benefits", adheres to people-oriented and scientific development, and realizes the company's sustained, stable and harmonious development.

(3) Human resources

The company has established and implemented scientific personnel management systems such as personnel selection, training, education, assessment, rewards and punishments, promotion and elimination, standardized personnel introduction, labor contract conclusion, attendance management, salary structure, performance rewards and punishments, and formed an effective incentive mechanism.

(4) System construction

In order to strengthen and standardize enterprise internal control, improve enterprise management level and risk prevention ability, combined with the company's actual situation and needs, in 20xx, the company formulated the Risk Investment Management System, the Detailed Rules for the Implementation of Online Voting at Shareholders' Meeting, and the Measures for the Implementation of Restricted Stock Incentive Plan, and further revised the Articles of Association, the Rules of Procedure for Shareholders' Meeting and other internal control management systems.

(5) Capital activities

In terms of fund management, the company and its important business subsidiaries have established a sound management system, including fund use approval, foreign investment and monetary fund management. The company manages funds in strict accordance with the relevant management system, ensuring that the company's use of funds conforms to the principles of rationality, efficiency and safety, and ensuring that the company's development receives sufficient financial support.

(6) Asset management

The company has formulated a relatively complete fixed assets management system, which clearly stipulates the purchase, registration, management, disposal and related financial accounting of the company's fixed assets. The company strictly registers, manages and records the fixed assets, strictly controls the daily management and maintenance of the fixed assets, and protects the safety of the fixed assets.

(7) Sales business

Under the guidance of management, all sales organizations conduct in-depth research and forecast on the industry and market. On this basis, according to the company's project development strategy and overall business objectives, formulate and adjust sales plans and sales strategies to ensure the smooth progress of sales business.

(8) Financial report

The financial department of the company is the person directly responsible for the preparation of the company's financial report, and completes the work in strict accordance with the national accounting policies and other laws and regulations and the relevant internal control system of the company to ensure the truthfulness, accuracy and completeness of the company's financial report.

In view of the company's annual financial report, the company hired an accounting firm to audit according to the regulations, and on the basis of the audit, the accounting firm issued an audit report to ensure that there were no major errors in the company's financial report. At the same time, the information disclosure of financial reports is implemented in accordance with the company's information disclosure management system, and relevant insiders are registered and supervised in time during this process to ensure that the company's financial information will not be leaked in advance.

(9) Information disclosure

According to the Measures for the Administration of Information Disclosure of Listed Companies and the Guidelines for the Standardized Operation of Listed Companies on the SME Board of Shenzhen Stock Exchange, the Company has formulated the Measures for the Administration of Information Disclosure in combination with its own actual situation.

The Measures for the Administration of Investor Relations, the Management System for Insider Information, the Management System for External Information Users, the Internal Reporting System for Major Information, the Accountability System for Major Errors in Information Disclosure in Annual Reports and the Working System for Annual Reports of Independent Directors stipulate the procedures and scope for the collection, processing and transmission of information related to internal control, and do a good job in reasonable screening, checking, analysis and integration of information. Modern information platforms, such as EAS, ERP system, internal LAN, etc. , which is used to make information transmission between management, departments, business units, employees and management more rapid and smooth, and communication more convenient and effective.

(10) subsidiary management

In order to strengthen the management of subsidiaries, ensure the standardized, efficient and orderly operation of subsidiaries, promote the healthy development of subsidiaries, improve the overall asset operation quality of the company, and safeguard the legitimate rights and interests of the company and investors, these Measures are formulated in accordance with China's Company Law, Securities Law, Shenzhen Stock Exchange Listing Rules and other laws, administrative regulations, departmental rules, normative documents and the Articles of Association, combined with the actual situation of the company. As of 20xx65438+February 3 1 day, the company * * * has four wholly-owned subsidiaries. According to the requirements of the system, the company mainly monitors the holding subsidiaries and shareholding companies by appointing directors, supervisors and senior managers to each holding subsidiary and shareholding company, strengthening financial supervision, major information communication and daily work supervision. The above-mentioned holding subsidiaries do not violate laws and regulations.

Self-inspection Report on Enterprise Internal Control in 2020: Fan Wen 3 Since the company went public, the board of directors has been focusing on improving and perfecting 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; Self-examination was carried out in view of the current situation of corporate governance, and the self-examination report and rectification plan of the company's "special activities to strengthen corporate governance of listed companies" were formed, which were reviewed and approved at the 13th meeting of the third board of directors of the company and published on Juchao Information Online on June 16, 20xx. 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. A few days ago, 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 daily related party transactions of the company shall be announced in strict accordance with the Measures for the Administration of Related Party Transactions of the Company, 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 Appraisal Scheme for Annual Salary of Company Executives (Revised in 20xx), which was reviewed and adopted by the second board of directors of the fourth session of the Company, revised the specific appraisal indicators in the scheme, and further clarified the binding mechanism between the responsibilities, rights and remuneration of company executives.

7. At the second meeting of the fourth Board of Directors, the proposal of "Perfecting the Internal Audit Institution" put forward by the Audit Committee of the Board of Directors was voted. 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. There shall be no less than 3 staff members of the internal audit institution, who shall be basically in place before the end of 20xx;

(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.

On September 14, 8.20xx, relevant leaders from 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 [20xx]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 20xx, an internal audit institution under the leadership of the board of directors was established according to relevant regulations, equipped with full-time staff, and basically possessed the functions of carrying out relatively independent internal audit work and implementing internal control and supervision 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.

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