重庆三峡水利电力（集团）股份有限公司 内部控制审计报告 大华内字[2024]0011000025 号 大 华 会 计 师 事 务 所 (特 殊 普 通 合 伙 ) Da Hua Certified Public Accountants（Special General Partnership） 重庆三峡水利电力（集团）股份有限公司 内部控制审计报告 （截止 2023 年 12 月 31 日） 目 录 页 次 一、 内部控制审计报告 1-2 大华会计师事务所（特殊普通合伙） 北京市海淀区西四环中路 16 号院 7 号楼 12 层 [100039] 电话：86 (10) 5835 0011 传真：86 (10) 5835 0006 www.dahua-cpa.com 内 部 控 制 审 计 报 告 大华内字[2024]0011000025 号 重庆三峡水利电力（集团）股份有限公司全体股东： 按照《企业内部控制审计指引》及中国注册会计师执业准则的相 关要求，我们审计了重庆三峡水利电力（集团）股份有限公司（以下 简称三峡水利公司）2023 年 12 月 31 日的财务报告内部控制的有效 性。 一、企业对内部控制的责任 ...

重庆三峡水利电力（集团）股份有限公司 2023 年度会计师事务所履职情况评估报告 大华会计师事务所（特殊普通合伙）（以下简称 "大华"）为重庆三峡水 利电力(集团) 股份有限公司(以下简称"公司") 聘请的 2023 年度财务审计 机构和内部控制审计机构。根据《国有企业、上市公司选聘会计师事务所管理办 法》的相关规定,公司对大华从事公司 2023 年度财务及内部控制审计过程中的 履职情况进行了评估。公司认为大华在 2023年度审计工作中,遵行独立、客观、 公正的执业准则,顺利地完成年度各项审计任务。具体情况如下: 事务所名称:大华会计师事务所(特殊普通合伙) 成立日期:2012年2月9日成立(由大华会计师事务所有限公司转制为特 殊普通合伙) 注册地址:北京市海淀区西四环中路 16 号院 7 号楼 1101 执业资质:大华会计师事务所于 1992年首批获得财政部、中国证券监督管 理委员会核发的《会计师事务所证券、期货相关业务许可证》,2006年经 PCAOB 认可获得美国上市公司审计业务执业资格,2010年首批获得 H 股上市公司审计 业务资质,2012年获得《军工涉密业务咨询服务安全保密条件备案证书》至今。 ...

报告人：赵风云 各位股东、各位代表： 2023年，本人作为重庆三峡水利电力（集团）股份有限公司（以下简称"公 司"）第十届董事会的独立董事，严格按照《公司法》《证券法》《上市公司治理 准则》等法律法规，以及《公司章程》《公司独立董事工作制度》《公司独立董事 年报工作制度》等规定，充分发挥专业优势，保持独立性，勤勉尽责、审慎履职， 忠实履行了独立董事各项义务，切实维护了公司及公司全体股东，特别是中小股 东的合法权益。现将2023年度主要工作情况向各位股东报告如下，请予审议： 重庆三峡水利电力（集团）股份有限公司 独立董事 2023 年度述职报告 一、基本情况 本人赵风云，女，硕士学历，教授级高级工程师，国务院特殊贡献专家。现 任公司独立董事，中国电力技术市场协会综合智慧能源专委会会长，中关村智慧 能源产业联盟副理事长，长电技科越智慧能源科技（海南）有限责任公司董事长。 曾任国家电力投资集团公司火电与售电部副主任，国家电力投资集团公司发展部 电力市场总监，中国电力企业联合会评价咨询院副院长，中国电力技术市场协会 副会长。 本人没有在本公司担任除独立董事以外的其他任何职务，没有从本公司及其 主要股东或有利害关系的机 ...

股票代码：600116 股票简称：三峡水利 编号：临 2024-022 号 重庆三峡水利电力（集团）股份有限公司 第十届监事会第十七次会议决议公告 根据相关会计制度的要求，会议同意公司 2023 年计提各项减值准备 8,196 万元，转回各项减值准备 8,487 万元,转销各项减值准备 181 万元。本期计提和 转回坏账准备合计影响公司 2023 年归属于上市公司股东的净利润 1,518 万元。 本公司监事会及全体监事保证本公告内容不存在任何虚假记载、误导性陈 述或者重大遗漏，并对其内容的真实性、准确性和完整性承担法律责任。 一、监事会会议召开情况 重庆三峡水利电力（集团）股份有限公司第十届监事会第十七次会议通知及 会议材料以网络传输的方式于 2024 年 4 月 12 日发出。2024 年 4 月 23 日，会议 在重庆市渝北区金开大道 99 号升伟晶石公元 11 栋 4 楼会议室以现场结合通讯方 式召开，应到监事 5 人，亲自出席会议监事 5 人。会议的召开符合《公司法》和 《公司章程》等有关规定，会议由监事会主席张娜主持。 二、监事会会议审议情况 会议审议通过了以下事项： 1.《公司监事会 2023 年 ...

公司内部控制的目标是合理保证经营管理合法合规、资产安全、财务报告及相关信息真实完整，提 高经营效率和效果，促进实现发展战略。由于内部控制存在的固有局限性，故仅能为实现上述目标提供 合理保证。此外，由于情况的变化可能导致内部控制变得不恰当，或对控制政策和程序遵循的程度降低， 根据内部控制评价结果推测未来内部控制的有效性具有一定的风险。 二. 内部控制评价结论 1. 公司于内部控制评价报告基准日，是否存在财务报告内部控制重大缺陷 公司代码：600116 公司简称：三峡水利 重庆三峡水利电力（集团）股份有限公司 2023 年度内部控制评价报告 重庆三峡水利电力（集团）股份有限公司全体股东： 根据《企业内部控制基本规范》及其配套指引的规定和其他内部控制监管要求（以下简称企业内部 控制规范体系），结合本公司（以下简称公司）内部控制制度和评价办法，在内部控制日常监督和专项 监督的基础上，我们对公司2023年12月31日（内部控制评价报告基准日）的内部控制有效性进行了评价。 一. 重要声明 按照企业内部控制规范体系的规定，建立健全和有效实施内部控制，评价其有效性，并如实披露内 部控制评价报告是公司董事会的责任。监事会对董事 ...

股票代码：600116 股票简称：三峡水利 编号：临 2024-021 号 重庆三峡水利电力（集团）股份有限公司 第十届董事会第二十二次会议决议公告 本公司董事会及全体董事保证本公告内容不存在任何虚假记载、误导性陈 述或者重大遗漏，并对其内容的真实性、准确性和完整性承担法律责任。 一、董事会会议召开情况 重庆三峡水利电力（集团）股份有限公司第十届董事会第二十二次会议通知 及会议材料以网络传输的方式于 2024 年 4 月 12 日发出。2024 年 4 月 23 日，会 议在重庆市渝北区金开大道 99 号升伟晶石公元 11 栋 4 楼会议室以现场结合通讯 方式召开，应到董事 13 人，亲自出席会议董事 13 人，公司全体监事和高级管理 人员列席了会议。会议的召开符合《公司法》和《公司章程》等有关规定，会议 由董事长谢俊主持。 二、董事会会议审议情况 会议审议通过了以下事项： 表决结果：同意 13 票，回避 0 票，反对 0 票，弃权 0 票。 3.《2023 年度会计师事务所履职情况评估报告》（详见 2024 年 4 月 25 日 上海证券交易所网站）； 表决结果：同意 13 票，回避 0 票，反对 0 票， ...

Financial Performance - The net profit attributable to shareholders of the listed company for the first quarter was approximately ¥11.88 million, with a year-on-year decrease of 16.21% in operating revenue[14] - Total operating revenue for the first quarter of 2024 was CNY 2,466,787,694.72, a decrease of 16.2% compared to CNY 2,943,993,623.55 in the same period of 2023[28] - The net profit for the first quarter of 2024 was a loss of CNY 278,676.84, compared to a loss of CNY 49,668,013.88 in the first quarter of 2023, indicating an improvement[28] - The company recorded a total profit of CNY 20,222,443.39 for the first quarter, contrasting with a total loss of CNY 38,350,322.05 in the previous year[28] - The company’s tax expenses for the first quarter were CNY 20,501,120.23, significantly higher than CNY 11,317,691.83 in the previous year[28] - The company reported a decrease in sales revenue from services, totaling CNY 1,762,724,646.01, down from CNY 2,138,013,666.15 in the first quarter of 2023[29] - The company reported a basic earnings per share of ¥0.01 for the first quarter[14] - Basic earnings per share for the first quarter were CNY 0.01, while diluted earnings per share were also CNY 0.01, compared to a loss of CNY 0.02 in the same period last year[29] Assets and Liabilities - The company's total assets at the end of the reporting period were approximately ¥23.99 billion, an increase of 1.93% compared to the previous year[5] - The total assets of the company reached RMB 23,990,299,425.47 as of March 31, 2024, compared to RMB 23,537,179,468.07 at the end of 2023, indicating a growth of about 1.93%[24] - The company's non-current assets totaled RMB 18,919,228,427.02, slightly up from RMB 18,852,953,013.55, showing a marginal increase of approximately 0.35%[24] - Total current assets decreased to ¥3,904,241,567.52 in Q1 2024 from ¥4,161,769,547.75 in Q4 2023, a decline of 6.2%[60] - Total liabilities increased to ¥12,570,767,384.87 in Q1 2024 from ¥12,114,415,272.53 in Q4 2023, an increase of 3.8%[60] - The total liabilities of the company decreased to CNY 5,139,269,059.89 from CNY 5,349,529,583.39, showing improved financial stability[35] Cash Flow - The net cash flow from operating activities was negative at approximately -¥321.11 million, indicating a decrease in cash inflow from operations[14] - The cash flow from operating activities showed a net outflow of CNY 321,105,380.59, an improvement from a net outflow of CNY 464,064,864.24 in the previous year[31] - The company's cash and cash equivalents decreased to RMB 1,645,988,613.55 from RMB 1,883,440,846.46, reflecting a decline of about 12.59%[22] - The company's cash and cash equivalents at the end of the period amounted to CNY 1,452,756,464.87, a decrease from CNY 1,414,369,641.33 in the previous period[32] - The ending balance of cash and cash equivalents decreased to ¥385,875,977.86 from ¥605,367,832.04 in Q1 2023, reflecting a decline of 36.2%[69] - The net cash flow from financing activities was CNY 663,753,213.55, down from CNY 726,924,033.04 in the previous period[32] Shareholder Information - The number of ordinary shareholders at the end of the reporting period was 53,863[19] - The top shareholder, China Yangtze Power Co., Ltd., held 14.31% of the shares, totaling approximately 273.67 million shares[19] - The company plans to repurchase shares with a total amount not less than RMB 100 million and not exceeding RMB 200 million, with a maximum repurchase price of RMB 10.00 per share[21] - As of March 31, 2024, the company has repurchased a total of 17,947,391 shares, accounting for 0.94% of the total share capital, with a total payment of RMB 138,971,037.43[21] Operational Insights - The company experienced a decrease in the price and production of electrolytic manganese, impacting profitability negatively[8] - The company plans to enhance its energy business and reduce operational capital occupation in trade to improve cash flow[8] - Investment activities resulted in a net cash outflow of CNY 534,616,868.75, compared to a net outflow of CNY 187,096,574.21 in the same period last year[31] - The company received government subsidies amounting to CNY 13,377,103.16, which were included in regular operating income, indicating ongoing support from governmental policies[41]

Dividend Distribution - The company plans to distribute a cash dividend of 1.5 RMB per 10 shares, totaling approximately 284,079,751.95 RMB, which represents 55.09% of the net profit attributable to shareholders in the consolidated financial statements [10]. - The company reported a total cash dividend of 286,821,435.60 RMB for the 2022 fiscal year, with no stock dividends or capital reserve transfers [10]. - The company’s profit distribution policy ensures a minimum cash dividend ratio of 10% of the distributable profits for the year [10]. - The company’s 2023 annual profit distribution plan is subject to approval at the annual general meeting [10]. - The company has not made any adjustments to its cash dividend policy during the reporting period [10]. - The company’s total cash dividend for 2023 is based on the total share capital after deducting shares held in the repurchase account [10]. - The company’s total cash dividend amount for 2023 is 28,408,000 RMB, which is included in the overall profit distribution plan [11]. Employee and Management Structure - The total number of employees is 3,486, with 1,763 in production, 243 in sales, 328 in technology, 117 in finance, and 1,035 in management [9]. - The total compensation for senior management in 2023 amounted to 930.52 million RMB, which includes base salary, performance salary, and profit-sharing from previous years [34]. - The management team includes experienced professionals with backgrounds in finance and energy sectors, enhancing the company's strategic direction [35]. - The company has a strong governance structure with independent directors and a supervisory board to ensure compliance and oversight [35]. Audit and Compliance - The company held 8 meetings of the Audit Committee during the reporting period, discussing various financial and operational matters [5]. - The Audit Committee reviewed the preliminary audit opinions for the 2022 financial statements, confirming compliance with legal and regulatory requirements [5]. - The internal control system has been continuously optimized, with no significant deficiencies found in financial reporting controls [75]. - The company has established a comprehensive risk management and compliance system, improving governance and operational efficiency [140]. - The company is committed to maintaining compliance with legal and regulatory requirements to ensure effective governance and operational independence [76]. Environmental Responsibility and Social Initiatives - The company has invested a total of 240,000 RMB in public welfare projects, benefiting 15,200 individuals through various donations [25]. - The company has established emergency response plans for environmental incidents, with specific plans filed with local environmental authorities [21]. - The company is actively working on poverty alleviation and rural revitalization, focusing on maintaining the "no large-scale return to poverty" baseline [26]. - The company has implemented measures to reduce carbon emissions, although specific details on the effectiveness of these measures were not provided [40]. - The company is actively involved in various environmental initiatives, as indicated by the mention of emergency response plans for environmental incidents [36]. - The company has emphasized the importance of leadership in consolidating poverty alleviation efforts and ensuring effective implementation of support policies [26]. - The company has initiated agricultural development projects to enhance local economic growth and support community livelihoods [26]. - The company has established a dedicated team for on-the-ground support in rural areas to ensure effective execution of poverty alleviation strategies [26]. Financial Performance - The company’s net assets stand at 688.65 million yuan, with total assets of 1,466.63 million yuan [62]. - The company’s operating revenue reached 919.38 million yuan, with an operating profit of 53.23 million yuan [62]. - The company achieved a total electricity generation of 2.519 billion kWh, an increase of 24.10% year-on-year [94]. - The total electricity sales reached 13.975 billion kWh, marking a 2.97% year-on-year growth, setting a new historical high [94]. - The net profit attributable to shareholders of the listed company was 516 million yuan, an increase of 8.28% compared to 476 million yuan in the previous year [94]. - The company’s operating revenue for 2023 was CNY 11,176,830,262.42, representing a year-on-year increase of 0.76% compared to CNY 11,093,013,982.74 in 2022 [1]. - The net profit attributable to shareholders of the listed company reached CNY 515,664,261.87, an increase of 8.28% from CNY 476,220,000.09 in the previous year [1]. - The net cash flow from operating activities increased by 48.20% to CNY 1,266,552,378.98, compared to CNY 854,598,769.83 in 2022 [1]. Strategic Development and Future Plans - Future growth strategies may include market expansion and potential mergers or acquisitions, although specific plans were not detailed in the report [33]. - The company aims to exceed 100 billion kWh in sales volume by 2025, with market-oriented sales accounting for 80 billion kWh and revenue exceeding 15 billion CNY [1]. - The company plans to enhance its internal management integration and cultural cohesion to address challenges from expanding operations [71]. - The company aims to improve its information disclosure quality and investor communication to foster a harmonious relationship with investors [1]. - The company is actively expanding its strategic partnerships with large enterprises to enhance its comprehensive energy business [143]. - The company aims to develop a second growth curve through innovation and new business models, adapting to changing market conditions [142]. Energy Sector Developments - In 2023, non-fossil energy generation capacity surpassed thermal power for the first time, accounting for over 50% of total installed capacity, while coal power capacity dropped below 40% [46]. - Investment in non-fossil energy generation reached 90% of total power source investment, indicating a strong trend towards green and low-carbon transformation in the power industry [46]. - The comprehensive energy service market is projected to grow significantly due to the ongoing "dual carbon" goals and market reforms, leading to increased competition from both traditional and new energy companies [47]. - The company is focusing on gas power projects to enhance its self-generation capacity, which will reduce reliance on purchased electricity and lower overall procurement costs [46]. - The company is committed to contributing to the national goals of carbon peak and carbon neutrality through its energy solutions [198].

重庆三峡水利电力（集团）股份有限公司 独立董事 2023 年度述职报告 报告人：王本哲 各位股东、各位代表： 2023年，本人作为重庆三峡水利电力（集团）股份有限公司（以下简称"公 司"）第十届董事会的独立董事，严格按照《公司法》《证券法》《上市公司治理 准则》等法律法规，以及《公司章程》《公司独立董事工作制度》《公司独立董事 年报工作制度》等规定，充分发挥专业优势，保持独立性，勤勉尽责、审慎履职， 忠实履行了独立董事各项义务，切实维护了公司及公司全体股东，特别是中小股 东的合法权益。现将2023年度主要工作情况向各位股东报告如下，请予审议： 一、基本情况 本人王本哲，男，公共管理硕士，会计学副教授。现任本公司独立董事，兼 任黑牡丹（集团）股份有限公司、北京航天长峰股份有限公司、北京康斯特仪表 科技股份有限公司独立董事。曾任中央财经大学北京学院副教授、硕士生导师， 中央财经大学后勤集团总经理、副教授、硕士生导师。 本人没有在本公司担任除独立董事以外的其他任何职务，没有从本公司及其 主要股东或有利害关系的机构和人员处取得额外的未予披露的其他利益，符合 《上市公司独立董事管理办法》《上海证券交易所上市公司自律监管 ...

非经营性资金占用及其他关联资金往来情况 关于重庆三峡水利电力（集团）股份有限公司 目录 1、 专项审计报告 2、 附表 汇总表的专项审计报告 委托单位：重庆三峡水利电力（集团）股份有限公司 审计单位：大华会计师事务所（特殊普通合伙） 联系电话：010-58350535 重庆三峡水利电力(集团)股份有限公司 控股股东及其他关联方资金占用情况的专项说明 (截止 2023 年 12 月 31 日) 目 录 页 次 控股股东及其他关联方资金占用情况的专项 í 1-2 说明 i í 重庆三峡水利电力(集团)股份有限公司 2023 1-2 年度非经营性资金占用及其他关联资金往来 情况汇总表 是会计師员法所 根据中国证券监督管理委员会发布的《上市公司监管指引第 8 号 -- 上市公司资金往来、对外担保的监管要求》(证监会公告[2022]26 号)和上海证券交易所发布的《上海证券交易所上市公司自律监管指 南第2号 -- 业务办理》(2023年2月修订)的规定,就三峡水利公 司编制的 2023 年度非经营性资金占用及其他关联资金往来情况汇总 表(以下简称"汇总表")出具专项说明。 如实编制和对外披露该汇总表,并确保其真实性、合 ...