We guarantee that the content of this questionnaire is not known to others. The respondents are requested to fill in the questionnaire carefully and send it directly to the auditors.
I. Control environment
(I) Construction and communication of ethical values of integrity
1. Do you understand the meaning of all the provisions of the Corporate Employee Code
□Yes □No □I am not sure
If you do not understand it, the reason for this is (Multiple choice possible)
□ The company does not issue the Corporate Employee Code □ The company The company does not explain the Code of Corporate Employees
□ The company does not study it itself □
2. Do you think the company encourages and rewards employees who are dedicated to their work and are honest and trustworthy
□Yes □No □I'm not sure
3. Are you aware of the company's disciplinary actions against employees who violate the Code of Corporate Employees and the related management system
□Yes □No □I'm not sure
3. >Yes □ No □ Not clear
4、Does the company regularly ask you to make a commitment to comply with the "Corporate Employee Code"
□Yes □ No □ Not clear
5、Do you participate in the training or lectures on legal knowledge organized by the company
□Yes □No
6、Do you think that the management and the senior management play an exemplary role in the implementation of the "Corporate Employee Code"? Do you think the management and senior management play an exemplary role in the implementation of the Corporate Employee Code of Conduct
□Yes □No
7. Does the company have a person to answer questions about the Code of Conduct and to revise and update it regularly
□Yes □No □No
(2) Emphasis on Competence
1. Is there a formal written description of the job content that you are performing
□Yes □No □No
□Yes □No □No
1. No □ Not clear
2. Whether the company arranges your present work according to the knowledge and skills you possess
□ Yes □ No □ Not clear
3. Whether the authority you possess is capable of accomplishing the work you undertake
□ Yes □ No □ Not clear
4. Whether the company arranges for you to have or requires you to have business training on a regular basis
□Yes □No □Unclear
(3) Degree of Participation of the Governance Level
1. Do you understand the composition, rules of procedure and scope of duties of the Company's Board of Directors, Senior Management, Supervisory Committee and Audit Committee
□Yes □No □Unclear
If you do not understand them, what are the matters (Multiple choice available)
□ Composition of the Board of Directors □ Rules of Procedures □ Scope of Duties Scope of responsibilities
2. Are you aware of the major decisions made by the Board of Directors, Senior Management, Supervisory Committee and Audit Committee of the Company
□Yes □No □I'm not sure
If you are not aware of the decisions, what are the reasons (Multiple choices are allowed)
□The Company has not announced them □The Company doesn't care about them □It has nothing to do with this department □
3. Do you think that all major decisions made by the top management of the Company have fulfilled the necessary procedures, procedures, and procedures? Do you think the major decisions made by the top management of the company have fulfilled the necessary procedures and complied with the system regulations
□Yes □No □I am not sure
4. Do you think that the board of directors, senior management, supervisory board, and audit committee of the company have formed a mechanism for checking and balancing of powers
□Yes □No □I am not sure
If they have not formed a mechanism for checking and balancing of powers, what are the reasons for this? The Board of Directors is laissez-faire □ Senior management is arbitrary
□ Senior management lacks autonomy □ Supervisory Board is unsupported □ Supervisory Board lacks independence
5. Are you aware of the work of the Supervisory Board or have you been in contact with the work of the Supervisory Board
□Yes □No □It is unclear
6. Are you aware of the work of the Audit Committee or have you been in contact with the work of the Audit Committee? The work of the Audit Committee
□Yes □No □Unknown
7. Do you think that the Supervisory Committee and the Audit Committee have played a supervisory role
□Yes □No □Unknown
If they haven't played a role, what do you think are the reasons (Multiple choices are allowed)
□ The Supervisory Committee's personnel are incompetent □ The Supervisory Committee hasn't fulfilled its responsibilities □ The Supervisory Committee isn't given much attention
□ Lack of supervision by the Supervisory Committee □ Lack of support from the Board of Directors and senior management □
8. How do you evaluate whether the Board of Directors, the Supervisory Committee, and the Audit Committee of the Company have effectively fulfilled their duties
Board of Directors □ Poor □ Poor □ General □ Good □ Good
Senior management □ Poor □ Poor □ General □ Good
Supervisory Committee □ Poor □ General □ Good
Supervisory Committee □ Poor □ General □ Good
Supervisory Committee □ Poor □ Poor □ General □ Better □ Better □ Better Poor □ General □ Better □ Good
Audit Committee □ Poor □ Poor □ General □ Better □ Good
(4) Concepts and management styles of the management
1. Do you think that the management styles of the Company's senior management are
□ Authoritarian □ Democratic □ Laissez-faire □ Unknown
2. Do you think that the top management of the Company has a very high level of Do you think the top management of the company has a very high prestige
□Yes □No □I am not sure
If no, what do you think is the reason (Multiple choices allowed)
□Experience □Ability □Conduct and morality □Accomplishments □Fairness and honesty
3. Do you trust your superiors
□Yes □No □I am not sure
If yes, why(Multiple choices allowed)
□High character and morality □Improved quality of life □High quality of life □High quality of life □High quality of life □High quality of life □Improved quality of life p>□High moral character □Strong working ability □Strong sense of enterprise □Care for subordinates □Excellent work performance
(5) Organizational structure
1. Do you often have to work overtime on your own initiative or be asked to work overtime in order to complete the work in which you are employed
□Yes □No
(6) Distribution of powers and responsibilities
1. Do you understand the department you are working in,
□Yes □No □Unclear
If not, what are the reasons (multiple choice)
□No clear responsibilities □No rewards or punishments □Lack of supervision □
2. Are you aware of the internal control regulations of your department or position
□Yes □No □Unclear
If not, what are the reasons (multiple choice)
□No internal control regulation in place
□Yes □No □Unclear
If not, why (multiple choice)
□No internal control regulations in place
□No internal control regulation in place
□No relevant regulations have been formulated □Leaders do not pay attention to it □It has nothing to do with you and you do not care about it □It is not implemented in place □
3. Does the company have a written description of the duties and control contents of the work you perform
□Yes □No □It is unclear
4. Does the company provide support and help in terms of information support, training, funding, budget, personnel, etc., to you in the execution of the duties and work of the company
5. Support and assistance in information support, training, funding, budget, personnel, etc.
□Yes □No □Unknown
(7) Human Resource Policies and Practices
1. Do you think the company is fair and impartial in personnel selection and promotion
□Yes □No □Unknown
If not, what do you think is the reason (multiple choices are allowed)
□Nepotism □Rationality □Ranking □Leaders subjective evaluation □Personnel evaluation □Personal and personal evaluation □ Leader's subjective evaluation □ Individual decision-making
2. Do you think the company's salary system is reasonable
□Yes □No □I'm not sure
If not, do you think the company's salary system is mainly based on
□Seniority □Position □Personal relationship □Performance □Leader's subjective evaluation
3. Are you aware of the company's appraisal and evaluation methods
□Yes □No □If not, what do you think is the main reason (multiple choice)? p>□Yes □No □Unknown
If you don't know, what are the reasons (multiple choice)
□Not clearly announced □Not concerned about the situation outside the department □Incentive is not strong □Rewards and punishments have not been honored
4. Do you think that the company's appraisal truly reflects your work
□Yes □No □Unknown
5. Do you think that the company's appraisal Do you think the company's assessment standards are consistent for different departments and personnel
□Yes □No □Unclear
7. Do you think the company's assessment methods are reasonable and effective
□Yes □No □Unclear
If not, what do you think are the deficiencies in the area (Multiple choices are allowed)
□Irrational system □Weak incentives □Inequitable execution □Which are not fulfilled
8. Do you think the company's incentive mechanism has a significant impact on you
□Yes □No □I'm not sure
If not, what are the reasons (multiple choices)
□Single content □Harsh conditions □Insufficient strength □Difficult to fulfill □
9. Do you think the company's incentive mechanism is effective
□Yes □No □I'm not sure
□Yes □No □It is not clear
If not, what are the reasons? Clear
10, do you think the company creates a good working environment for employees
□Yes □No □Unclear
11, do you think the company provides employees with good training and further education opportunities
□Yes □No □Unclear
12, do you think that there is a further development for you in the company
□Yes □No □Unclear
12, do you think that you have further development in the company
□Yes □No Unclear
II. Risk Assessment Process
1. Are you aware of the company's overall business objectives and the time-critical work objectives related to your department and duties that must be correctly implemented or accomplished
□Yes □No □Unclear
2. Have you been involved in the formulation of the business objectives related to your department
□Yes □No □Unclear
3. /p>
□Yes □No □Unknown
3. Do you know the feedback channel when problems arise in the process of accomplishing your goals
□Yes □No □Unknown
4. Do you participate in the analysis of business risk factors
□Yes □No □Unknown
Third, the company's control information system and communication
1. p>
1. Do you think that the information transfer within the company is smooth
□Yes □No □Unclear
2. Do you think that the company has provided you with a channel to transfer information to your superiors
□Yes □No □Unclear
3. Do you think that the communication within the company is timely and effective
□Yes □No □Unclear
If not, what do you think is the reason
? If not, what do you think is the reason (multiple choice)
□Ignorance of information □Lack of communication channels □Ignorance of each other □Lack of coordination at the senior level
4、Do you think it is your responsibility to reflect problems, opinions and suggestions to your superiors
□Yes □No □No
I'm not sure
5、Have you ever reflected problems, opinions and suggestions to the senior management
□Yes □No □No
□Yes □No □I am not sure
If no, what are the reasons (multiple choice)
□No consideration □No problem found □Fear of unfair treatment □No recognition and support
D. Supervision of Controls
1. Does the Internal Audit Department check the implementation of the control system of the position you are in on a regular or irregular basis
□Yes, No, □If no, □No, □No, □No, □No, □No, □No. /p>
□Yes □No □Unclear
2. Whether the results of your work can be checked with the finance, statistics or other departments, and whether the differences can be found in a timely manner
□Yes □No □Unclear
3. Whether the company will enrich or optimize the operation procedures in time when there is a deviation of the results of the work in accordance with the operation specifications
□Yes □No □Unclear
□Yes □No □Unclear Clearly
4. Do you think the personnel involved in inspection and evaluation have the appropriate knowledge
□Yes □No □Unclear
5. Do you think the personnel involved in inspection and evaluation have sufficient understanding of the business control process that you have implemented
□Yes □No □Unclear
V. Questionnaire on the Control Environment of Fraud Part
1. p>1、Do you feel that the management attaches importance to integrity and industry ethics
□Yes □No □I am not sure
If not, what is the matter (Multiple choices are allowed)
□Insufficient publicity in the meeting □Publicity in the meeting □Actuality of no behavior in actuality □No cultural atmosphere in this regard
2、Do you feel the education of integrity and ethics in different meetings and workplaces frequently?
□Yes □No
3, you know the company has established some of the relevant systems on the safety management of physical assets
□Yes □No □I am not sure
4, you are aware of the existence of misappropriation of assets or embezzlement of illegal and unlawful behaviors of the employees around you, your behavior
□ denunciation or reporting □ explicitly prevented □ indifferent
If it is indifferent
To the contrary, you are aware of the existence of illegal and unlawful behaviors of the employees around you, your behavior is not sufficient.
If you are indifferent, what is the reason (multiple choice)
□Just behavior will be hit or unfair treatment □Company's interests have nothing to do with their own □The system itself is a problem that it makes no sense to stop
5, if there is a misappropriation of assets or embezzlement of the company, the attitude of the main management to deal with it
□Serious treatment and depending on the circumstances, whether or not to refer to the judiciary
□ Internal criticism and treatment of family scandal
□Management to cover up the expansion of the incident not to deal with and the main management to deal with
□Serious analysis of the causes and improve the relevant systems to prevent similar matters from recurring
□Serious analysis of the causes and education of the general staff to form a deterrent to the morality of thought
□Internal solution not to do an expansion of the treatment
6, whether there is Independent supervisory bodies, such as audit committee or internal audit organization to monitor financial reporting
□Yes □ No □ Not clear
7, if you feel that the company's systems and regulations to avoid misappropriation of assets or embezzlement, such as illegal and unlawful behavior there are channels for suggestions (such as the company to set up a suggestion box, platform for exchange of information, the leadership of the reception of the phone and other means)
□Yes □ No □ Not clear Clearly
If not, what is the matter (Multiple choice)
□Insufficient publicity, don't know if there is □There is a suggestion channel but the suggestion is useless □There is no cultural atmosphere in this regard
=========================================================== =================
VI. Respondent Information
1. Respondent's Organization:
□Board of Directors □Senior Management □Supervisory Board □Group Company □Subsidiary Company
2. Respondent's Department:
□Administration □Production □Operation □Finance
□Investment Department
□Investment Department
□Administrative □Production □Operation □Finance
1. p>
□Investment department □Audit department □Department
3, the job level of the respondent:
□High-level position □Middle-level position □General position
4, the respondent's working experience in the company
□1 year or less □ 1-2 years □ 3-5 years □ 5 years or more
4, the respondent's work in the company
□1 year or less □1-2 years □ 3-5 years □5 years or more
5 years or more < /p>