Company code: Guanghui Logistics Co.Ltd(600603) company abbreviation: Guanghui Logistics Co.Ltd(600603)
Guanghui Logistics Co.Ltd(600603)
Internal control evaluation report in 2021
Guanghui Logistics Co.Ltd(600603) all directors:
According to 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 company's (hereinafter referred to as the company's) internal control system and evaluation methods, 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). I 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. II Internal control evaluation conclusion 1 On the benchmark date of the internal control evaluation report, does the company have any major defects in the internal control of financial reporting
□ yes √ no
2. Evaluation conclusion of internal control over financial reporting
√ valid □ invalid
According to the identification of major defects in the company's internal control over financial reporting, there are no major defects in the internal control over financial reporting on the benchmark 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's internal control standard system and relevant regulations. 3. Whether major defects in internal control over non-financial reporting are found
□ yes √ no
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. 4. Factors affecting the evaluation conclusion of internal control effectiveness from the benchmark date of internal control evaluation report to the date of issuance of internal control evaluation report □ applicable √ not applicable
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. 5. Whether the internal control audit opinion is consistent with the company's evaluation conclusion on the effectiveness of internal control over financial reporting
√ yes □ No 6 Whether the disclosure of major defects in internal control of non-financial reports in the internal control audit report is consistent with the disclosure of the company's internal control evaluation report √ yes □ no III Internal control evaluation (I) Scope of internal control evaluation
According to the risk oriented principle, the company determines the main units, businesses and matters included in the evaluation scope and high-risk areas. 1. The main units included in the evaluation scope include Guanghui Logistics Co.Ltd(600603) , Xinjiang Yazhong logistics business network Co., Ltd., Guanghui Meiju logistics park of Xinjiang Yazhong logistics business network Co., Ltd., Sichuan Guanghui Shuxin Industrial Co., Ltd., Shenzhen huiyingxin commercial factoring Co., Ltd., Urumqi Economic and Technological Development Zone huiyingxin commercial factoring Co., Ltd Horgos huiyingxin commercial factoring Co., Ltd., huirongtong (Chengdu) Supply Chain Management Co., Ltd., Xinjiang Yilong Gelin Real Estate Development Co., Ltd., Xinjiang Yujing Zhongtian Real Estate Development Co., Ltd., Xinjiang Electromechanical Equipment Co., Ltd., Urumqi huilingxian branch of Xinjiang Electromechanical Equipment Co., Ltd Chengdu Huichuang Decoration Engineering Co., Ltd., Xinjiang Yazhong Economic Consulting Service Co., Ltd., Xinjiang Yazhong Property Management Service Co., Ltd., Xinjiang huilingxian Internet of things Co., Ltd., Chengdu Huiyi Real Estate Co., Ltd., Meishan Guanghui Shengfeng Real Estate Co., Ltd., Guanghui commercial operation management Co., Ltd Guanghui commercial operation management (Urumqi) Co., Ltd., Xinjiang Huiming Wanxing Real Estate Development Co., Ltd., Guilin Lingui Jinjian Real Estate Development Co., Ltd., Xinjiang huirun Xingjiang Real Estate Development Co., Ltd., Xinjiang Gexin Investment Co., Ltd. and Xinjiang huigexuan Real Estate Development Co., Ltd. 2. Proportion of units included in the scope of evaluation:
Proportion of indicators (%)
The ratio of the total assets of the units included in the evaluation scope to the total assets of the company's consolidated financial statements 100
The total operating income of the units included in the evaluation scope accounts for 100% of the total operating income in the company's consolidated financial statements
3. The main operations and matters included in the scope of evaluation include:
Corporate governance, organizational structure, human resources, fund management, bidding and procurement business, asset management, sales business, commercial factoring, engineering projects, supply chain business, financial reporting, comprehensive budget and contract management. 4. High risk areas of focus mainly include:
Fund management, commercial factoring, engineering projects, sales business and financial reports. 5. 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. Is there any major omission □ yes √ No 6 Is there a statutory exemption
□ yes √ No 7 Other explanatory matters
nothing
（2） Basis of internal control evaluation and identification standard of internal control defects
The company organizes and carries out internal control evaluation in accordance with the enterprise internal control standard system, the basic norms of enterprise internal control and its supporting guidelines jointly issued by five ministries and commissions including the Ministry of finance of the people's Republic of China, and the rules for the preparation and reporting of information disclosure of companies offering securities to the public No. 21 - General Provisions on annual internal control evaluation report of Shanghai Stock Exchange, Organize and carry out internal control evaluation. 1. Whether the specific identification standard of internal control defects is adjusted with that of previous years
□ yes √ no
According to the identification requirements of the enterprise internal control standard system for major defects, important defects and general defects, and in combination with the company's scale, industry characteristics, risk preference, risk tolerance and other factors, the board of directors of the company distinguished internal control over financial reports from internal control over non-financial reports, and studied and determined the specific identification standards of internal control defects applicable to the company, And consistent with previous years.
2. Identification standard of internal control defects in financial reporting
The quantitative criteria for the evaluation of internal control defects in financial reporting determined by the company are as follows:
Index name major defect quantitative standard important defect quantitative standard general defect quantitative standard
Total misstatement of total assets ≥ 1%, 0.5% ≤ total misstatement 1%, total misstatement 0.5%
Total misstatement of net assets ≥ 1%, 0.5% ≤ total misstatement 1%, total misstatement 0.5%
Total business income ≥ 1.5% misstated
Total profit misstatement ≥ 5% 3% ≤ total misstatement 5% total misstatement 3%
Note: the classification and identification of various defects can be classified into relevant types only if one of the above conditions is met, and strict standards shall be followed.
The qualitative criteria for the evaluation of internal control defects in financial reporting determined by the company are as follows:
Qualitative standard of defect nature
Major deficiencies A. identify any degree of fraud in senior management;
b. Correct the audited and confirmed financial report;
c. The certified public accountant finds that there is a material misstatement in the current financial report, but the internal control fails to find the misstatement in the operation process; d. Major internal control deficiencies that have been found and reported to management have not been corrected after a reasonable time.
Important defects A. important defects after communication are not corrected within a reasonable period.
b. Invalid control environment.
c. The control over whether accounting policies are selected and applied in accordance with generally accepted accounting principles is ineffective.
d. The control over the period end financial reporting process is ineffective.
General defects: defects other than major defects and important defects are recognized as general defects. explain:
When the content of internal control defects does not directly or indirectly affect the financial statements, and the amount is difficult to determine, the defects can be identified by analyzing the severity of the business nature, the nature of direct or potential negative impact, the scope of impact and other factors involved in the control defects. 3. Identification standard of internal control defects in non-financial reporting
The quantitative criteria for the evaluation of internal control defects in non-financial reporting determined by the company are as follows:
Index name major defect quantitative standard important defect quantitative standard general defect quantitative standard
Direct property loss amount ≥ 0.1% of total assets ≤ loss amount loss amount 0.1% of total assets
Amount 0.3% 0.3%
Description: None
The qualitative criteria for the evaluation of internal control defects in non-financial reporting determined by the company are as follows:
Qualitative standard of defect nature
Major defects A. unscientific decision-making procedures of the company, resulting in the failure of the enterprise to achieve the expected objectives and large deviation;
b. Violating national laws and regulations and being punished by national government departments, which has a negative impact on the company;
c. Loss of management personnel or key technical personnel;
d. The results of internal control evaluation, especially major or important defects, have not been rectified;
e. Lack of institutional control or systematic failure of important business.
Other cases of important defects are determined as important defects according to the degree of influence, and other cases of general defects are determined as general defects according to the degree of influence. Description: none (III) Identification and rectification of internal control defects 1 Identification and rectification of internal control defects in financial reporting 1.1 Major defects
Whether the company has major defects in internal control over financial reporting during the reporting period □ yes √ no 1.2 Important defects
Whether the company has significant defects in internal control over financial reporting during the reporting period □ yes √ no 1.3 General defect
None 1.4 After the above rectification, on the benchmark date of the internal control evaluation report, does the company have any major defects in the internal control of financial reporting that have not been rectified □ yes √ no 1.5 After the above rectification, on the benchmark date of the internal control evaluation report, whether the company has any important defects in the internal control of financial reporting that have not been rectified □ yes √ No 2 Identification and rectification of internal control defects in non-financial reporting 2.1 Major defects
Whether the company found any major defects in internal control over non-financial reporting during the reporting period □ yes √ no 2.2 Important defects
Whether the company found any significant defects in internal control over non-financial reporting during the reporting period □ yes √ no
2.3. General defect
None 2.4 After the above rectification, on the benchmark date of the internal control evaluation report, does the company find any major defects in the non-financial reporting internal control that have not been rectified □ yes √ no 2.5 After the above rectification, on the benchmark date of the internal control evaluation report, whether the company finds any important defects in non-financial reporting internal control that have not been rectified □ yes √ no IV Description of other major matters related to internal control 1 Rectification of internal control defects in the previous year □ applicable √ not applicable 2 Operation of internal control in this year and improvement direction in the next year
√ applicable □ not applicable
The company's internal control was in good operation in 2021. The company actively cultivated and created a good corporate culture, created a good internal control environment, further promoted the implementation of the internal control system, issued the Guanghui Logistics Co.Ltd(600603) system compilation, strengthened the monitoring of new businesses and daily processes, and improved the efficiency and effect of internal control activities. In 2022, the company will continue to optimize the company's system, business process, authorization manual and internal control manual, promote the information construction of system and business process, strengthen the construction of internal control system of each business, formulate internal control policy traction mechanism, continue to carry out internal audit supervision, and further optimize the construction of the company's internal control system. 3. Description of other major events
□ applicable √ not applicable
Chairman (authorized by the board of directors): Yang Tiejun Guanghui Logistics Co.Ltd(600603) March 9, 2022
