Dynagreen Environmental Protection Group Co.Ltd(601330)
Internal control evaluation report in 2021
Dynagreen Environmental Protection Group Co.Ltd(601330) 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 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 that have been included in the assessment include: 601 Dynagreen Environmental Protection Group Co.Ltd(601330) of the sort of qingdao Dynagreen Environmental Protection Group Co.Ltd(601330) renewable energy Co., Ltd At the top of the mountain is the '601 Dynagreen Environmental Protection Group Co.Ltd(601330) investmentholding Co., Ltd. (merger) Pingyang Lvdong environmental protection energy Co., Ltd., Tianjin Lvdong environmental protection energy Co., Ltd., Beijing Dynagreen Environmental Protection Group Co.Ltd(601330) environmental protection Co., Ltd., Hong'an Dynagreen Environmental Protection Group Co.Ltd(601330) renewable energy Co., Ltd., longhui Dynagreen Environmental Protection Group Co.Ltd(601330) renewable energy Co., Ltd., Shantou Dynagreen Environmental Protection Group Co.Ltd(601330) renewable energy Co., Ltd., Bobai green power renewable energy Co., Ltd., Bengbu Dynagreen Environmental Protection Group Co.Ltd(601330) renewable energy Co., Ltd Wenzhou Lvdong environmental protection energy Co., Ltd., Dengfeng Dynagreen Environmental Protection Group Co.Ltd(601330) renewable energy Co., Ltd., Lvyi (Huludao) Environmental Service Co., Ltd., Haining Lvdong Haiyun environmental protection energy Co., Ltd., Huizhou Dynagreen Environmental Protection Group Co.Ltd(601330) renewable energy Co., Ltd., Shishou Dynagreen Environmental Protection Group Co.Ltd(601330) renewable energy Co., Ltd., Guangdong Bohai Xinneng environmental protection Co., Ltd. (merger), Guizhou Jinsha Green Energy Co., Ltd., Baise Lvdong environmental protection Co., Ltd Enshi Dynagreen Environmental Protection Group Co.Ltd(601330) renewable energy Co., Ltd., Huludao Lvdong environmental protection Co., Ltd., Shuozhou Lvdong Nanshan Environmental Energy Co., Ltd., Shantou Dynagreen Environmental Protection Group Co.Ltd(601330) Environmental Service Co., Ltd., Huizhou Dynagreen Environmental Protection Group Co.Ltd(601330) Environmental Service Co., Ltd., Guangyuan Boneng renewable energy Co., Ltd., Zhaoqing Boneng renewable Resources Power Generation Co., Ltd. and Shenzhen Jingxiu Environmental Engineering Technology 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 The main operations and matters included in the scope of evaluation include:
The main aspects include: corporate finance and management, financial management, investment and management, financial management, financial management, financial management, financial management, financial management, financial management, financial management, financial management, financial management, financial management, financial management, internal and external related party affairs.
4. High risk areas of focus mainly include:
Fund management, procurement management, engineering management, safety and environmental protection, etc.
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
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 and internal control system. 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 assets asset misstatement ≥ 2% 0.5% ≤ asset misstatement 2% asset misstatement 0.5%
Total profit misstatement ≥ 10% 5% ≤ profit misstatement 10% profit misstatement 5%
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
One internal control defect or a combination of multiple internal control defects that exist in the internal control of major defects and have a reasonable possibility to prevent or detect and correct the major misstatement of the financial report in time.
An internal control defect or a combination of multiple internal control defects that exist in the internal control of important defects and are reasonably likely to lead to the failure to prevent, discover and correct the financial report in a timely manner, which is less serious than the major defects, but still enough to attract the attention of the board of directors and the management.
Defects other than general defects, major defects and important defects.
No: description
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
Property loss amount ≥ 5 million yuan, 2.5 million yuan ≤ loss amount 500, loss amount 2.5 million yuan
Ten thousand yuan
No: description
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 defect business objectives: the implementation of important business objectives or key performance indicators is unreasonable, seriously deviates from the objectives and has directional errors, which has a serious negative impact on the company's operation. Laws and regulations: serious illegal operation, investigation by government agencies, business restrictions by regulators, or major litigation and huge fines. Safety and environment: there is major catastrophic environmental damage, and the health problems of employees or residents are prominent, resulting in the death of many employees or residents.
Important defective business objectives: the implementation of important business objectives or key performance indicators is unreasonable, seriously deviates from the objectives, and has an obvious negative effect on the operation of the company. Laws and regulations: illegal operation, investigation by government agencies, punishment or fine by laws and regulations. Safety and environment: environmental damage is serious, affecting the health of many employees or residents.
General defective business objectives: the implementation of important business objectives or key performance indicators is unreasonable in a small range, the objectives deviate, and the impact on operation and management is slight. Laws and regulations: certain violations have little impact. Safety and environment: it has a certain impact on the environment or residents' health.
Note: 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
The general defects of internal control found in the internal control evaluation of the company have been rectified within the reporting period, and the defects will not affect the realization of the company's internal control objectives. 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
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
The general defects of internal control found in the internal control evaluation of the company have been rectified within the reporting period, and the defects will not affect the realization of the company's internal control objectives. 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
The company did not find any major and important defects in the financial report and non-financial report in the previous year; For the existing general defects of internal control, relevant units have been instructed to implement rectification measures. Through tracking, supervision and inspection, all units have completed all rectification on time. 2. Operation of internal control in this year and improvement direction in the next year
√ applicable □ not applicable
In 2021, the company's internal control system operated well. Through regular internal control tests, the defects in internal control were identified in time and rectified, and the optimization of internal control system was continuously promoted, so as to reasonably ensure the legal compliance of the company's operation and management, asset safety, authenticity and integrity of financial reports and relevant information, improve operation efficiency and effect, and promote the realization of the enterprise's development strategy. During the reporting period, no major or important control defects were found in the company's internal control system, and the company maintained effective internal control in all major aspects in accordance with the requirements of the enterprise's internal control standard system and relevant regulations.
In 2022, the company will continue to deepen the construction of internal control system, optimize internal control environment and improve internal control
