Company code: Guizhou Transportation Planning Survey&Design Academe Co.Ltd(603458) company abbreviation: Guizhou Transportation Planning Survey&Design Academe Co.Ltd(603458)
Guizhou Transportation Planning Survey&Design Academe Co.Ltd(603458)
Internal control evaluation report in 2021
All shareholders:
In accordance with the provisions of the basic norms of enterprise internal control and its supporting guidelines and other internal control regulatory requirements (hereinafter referred to as the enterprise internal control normative system), combined with the company's (hereinafter referred to as the company's) internal control system and evaluation methods, and 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 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 base date of internal control evaluation report to the date of issuance of internal control evaluation report
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 evaluation on the effectiveness of the company's internal control report is consistent with the audit conclusion
√ 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 Guizhou Transportation Planning Survey&Design Academe Co.Ltd(603458) , Guizhou Hufeng Transportation Construction Engineering Co., Ltd., Guizhou Lutong Engineering Management Consulting Co., Ltd., Guizhou Hongxin Chuangda engineering testing Consulting Co., Ltd. and Guizhou hongxinda High Tech Co., Ltd 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 is 92.22
The total operating income of the units included in the evaluation scope accounted for 92.01% 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:
Organizational structure and corporate culture, development strategy management, human resource management, contract and legal affairs management, budget management, procurement and expenditure management, revenue, cost and expense management, investment and financing management, market and qualification management, inventory management, fund management, fixed assets and intangible assets management, financial report and information disclosure management, office management, internal audit management, project management and information system management. 4. Key areas of focus include:
5. Revenue, cost and expense management, fund management, project management, procurement and expenditure management, information system management 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
None (II) Basis of internal control evaluation and identification standard of internal control defects
The company organizes and carries out internal control evaluation according to the enterprise internal control standard system, internal control manual and various internal control systems of the company. 1. Whether the specific identification standard of internal control defects is adjusted with that of previous years
□ yes √ no
The board of directors of the company distinguished the internal control of financial report from the internal control of non-financial report according to the identification requirements for major defects, important defects and general defects of the enterprise internal control standard system, combined with the factors such as the company's size, industry characteristics, risk preference and risk tolerance, and studied and determined the specific identification standards of internal control defects applicable to the company, which are consistent with the 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 amount of profit ≥ 5% of the total profit of the consolidated statement ≤ misstatement amount ＜ 10% of the total profit of the Consolidated Statement 10% of the total profit of the consolidated statement 5%
The amount of misstatement of business income ≥ 2% of the business income in the consolidated statement ≤ the amount of misstatement the amount of misstatement in the consolidated statement 4% of the business income in the consolidated statement 4% of the business income in the consolidated statement 2%
Total amount of consolidated statement of net assets ＜ 2% total amount of consolidated statement of net assets ＜ 4% total amount of consolidated statement of net assets
Total misstatement amount of assets ≥ 1% of total assets in consolidated statements ≤ misstatement amount total assets in consolidated statements 3% of total assets in consolidated statements 3% of total assets in consolidated statements 1%
Description: None
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 defects ① lack of system control or systematic failure of important businesses, resulting in major economic losses ② abuse of power by directors, supervisors and senior managers, corruption, bribery, misappropriation of public funds and other fraud events ③ correction of published financial reports, Resulting in punishment by external regulators ④ ineffective supervision of internal control by internal audit institutions ⑤ major defects that have been disclosed have not been corrected during the rectification period
Important defects ① the control and implementation of accounting standard selection and accounting policy application are not in place, resulting in large economic losses; ② corrupt matters such as corruption, bribery and misappropriation of public funds occur among personnel in key positions; ③ the control and implementation of unconventional transactions are not in place, resulting in large economic losses; ④ the disclosed important defects have not been corrected during the rectification period
General defects description of internal control defects in financial reporting other than the above major defects and important defects: none 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 major defect quantitative standard important defect quantitative standard general defect quantitative standard
name
During the direct evaluation period, due to the establishment of the latest audited consolidated statement of net assets due to internal control, during the evaluation period, due to the imperfect design of internal control, imperfect property calculation or non-standard operation, the total amount is 0.5% ≤ the total amount of direct property net loss caused by the imperfect net calculation or non-standard operation of direct property due to the imperfect design or non-standard operation of internal control and other factors during the evaluation period, resulting in the total amount of direct property net loss the total loss of the most serious total loss ≥ the most serious total loss Total direct property net loss in the latest audit net loss in the latest audited consolidated statement
Total net assets in the consolidated statements 1% of the total net assets in the audited consolidated statements 0.5% of the total assets
Amount 1%
Description: None
The qualitative criteria for the evaluation of internal control defects in non-financial reporting determined by the company are as follows:
Qualitative criteria for defects
Major lack of quality ① lack of internal control, resulting in serious violation of the prohibitive provisions of national laws and regulations, major cases of loss and disclosure, major economic penalties or major property losses ② lack of development strategy, or the implementation of the strategy is not in place, resulting in serious deviation from the development strategy ③ lack of human resources system guarantee, Leading to a large loss of senior managers or core technical talents ④ improper performance of social responsibilities, resulting in negative events and continued to attract the attention of international and national mainstream media
Important deficiencies ① lack of internal control, resulting in business behavior violating the prohibitive provisions of local laws and regulations, major cases of loss of confidentiality, major economic penalties or major property losses ② development strategy is not adjusted in time, or the implementation of strategy is not in place, resulting in great deviation between development direction and development strategy ③ insufficient guarantee of human resources system, Leading to the loss of some key technical talents ④ improper performance of social responsibility, resulting in negative events and continued to attract the attention of local mainstream media
Generally, there is no description of other internal control defects in non-financial reporting except the above major defects and important defects: 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
During the reporting period, the company had no general defects in internal control over financial reporting.
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, does the company have 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
During the reporting period, the company found that there were sporadic general defects in the internal control of non-financial reports in the daily operation and management through the internal control evaluation test, which have been rectified in time. This defect has no material impact on the authenticity and accuracy of the company's financial reports. 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
Through the effectiveness test of the company's internal control operation in 2021, the company's internal control design and implementation are effective and the overall operation is good. Next year, the company will continue to focus on major business matters, high-risk areas and key business processes, continue to strengthen the implementation and supervision of internal control, improve the management level of internal control, improve the operation efficiency and effect of the company, and promote the sustainable and steady development of the company. The board of directors of the company will timely adjust the internal control system and measures according to the regulatory requirements, changes in the external environment, the implementation of new policies and the needs of business development, so as to adapt the internal control of the company to the business scale, business development and market competition. 3. Description of other major events
□ applicable √ not applicable
Chairman (authorized by the board of directors): Zhang Lin Guizhou transportation planning, survey, design and Research Institute Co., Ltd
