Shenzhen Airport Co.Ltd(000089) 2021 annual internal control evaluation report
catalogue
1、 Important statement 1 II. Internal control evaluation conclusion 2 III. evaluation of internal control three
(I) scope of internal control evaluation three
(II) internal control evaluation basis and evaluation procedure nine
(III) identification standard of internal control defects ten
(IV) internal control defects and rectification 11 IV. description of other major matters related to internal control thirteen
Shenzhen Airport Co.Ltd(000089)
Internal control evaluation report in 2021
Shenzhen Airport Co.Ltd(000089) 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).
1、 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, there is the possibility that misstatement can not be prevented and found, so 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.
2、 Internal control evaluation conclusion
1. Does the company have any major defects in internal control over financial reporting on the benchmark date of internal control evaluation report
□ yes √ no
2. Whether the evaluation conclusion of internal control over financial reporting is effective
√ yes □ no
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. Whether there are any 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
□ yes √ no
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
3、 Internal control evaluation
(I) evaluation scope of internal control
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 scope of evaluation include:
The headquarters of the company and all branches and subsidiaries.
2. Proportion of units included in the scope of evaluation:
Proportion of indicators (%)
The total assets of the units included in the evaluation scope account for 100% of the total assets in the company’s consolidated financial statements
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. Operations and matters included in the scope of evaluation include:
Evaluation conclusion of internal control system construction
Whether 257 internal control systems are relatively perfect yes □ no \uf0a3
10 new items, 25 revised items and 39 abolished items
Whether 138 items of internal control processes cover important business and management activities yes □ no \uf0a3
Five new, seven revised and ten abolished
The company formulated and issued the “14th five year plan” for Shenzhen Airport Co.Ltd(000089) system construction system. During 20212025, it plans to abolish 57 systems, revise 116 systems and build 13 systems, which will effectively control the system construction and implementation results.
Changes in important systems in 2021: 1 In terms of Party discipline, work groups, revised five systems such as the incentive measures for spiritual civilization construction, and added three systems such as the first topic system of the Committee; The safety management committee shall revise the safety management system; 3. In terms of service management, three systems including service brand management system are added; 4. In terms of emergency management, revise the emergency rescue manual; 5. In terms of marketing, the comprehensive rating management system for main aviation customers was added; 6. In terms of improving innovation, the management measures for service innovation products are added; 7. In terms of financial management, revise two systems such as financial product management system; 8. In terms of asset management, five systems, including the land management system, were revised; 9. In terms of project management, revise the detailed rules for the implementation of project change management; 10. In terms of securities affairs, the management system of equity investment fund is added; 11. In terms of internal audit, revise two systems, including the internal audit management system; 12. In terms of risk control and internal control, two systems including internal control system management system were revised and risk database management measures were added.
1、 Internal environment
Evaluation conclusion of element core index
Whether corporate governance with clear levels, reasonable structure, coordinated operation and effective checks and balances is formed yes □ no \uf0a3
mechanism
Whether the responsibilities, authorities and terms of office of the board of directors, the board of supervisors and the management are improved in accordance with the law yes □ no \uf0a3
Documents, rules of procedure and working procedures
Responsibilities and authorities of the board of directors, the board of supervisors and the management, terms of office, rules of procedure and work yes □ no \uf0a3
Whether the procedure is strictly implemented
Whether the formation procedures of the board of directors, the board of supervisors and the management are legal and compliant yes □ no \uf0a3
Whether the organizational structure is continuously optimized yes □ no \uf0a3
Form a corporate governance mechanism with clear levels, reasonable structure, coordinated operation and effective checks and balances:
1. Complete the general election of the eighth board of directors / board of supervisors of the company, complete the change and by election of employee directors and supervisors, and ensure the timely improvement and standardized operation of the company’s corporate governance structure.
2. According to the requirements of normalized epidemic prevention and control, study and establish epidemic prevention and control entities to strengthen epidemic prevention and control management. Optimize and adjust the setting of the Office (Office) of the board of directors. Optimize and adjust the responsibility interface of the market development department.
3. According to the latest requirements of CAAC, complete the optimization of the organizational structure of relevant security inspection units. Optimize and adjust the organization setting of the locomotive engineering section of the local service company, and set up a new operation control center (COC) in the Chinese cargo terminal.
4. Prepare Shenzhen Airport Co.Ltd(000089) typical cases of corporate governance and select them into the “power of governance” published by China Financial Publishing House to positively publicize and display the image of corporate governance.
5. Formulate and implement three supporting systems, including the measures for supervision and management of bidding procurement, the procedures for handling letters and visits, and the cadre integrity archives work system, so as to further improve the supervision system.
Whether to formulate and publish the company’s development strategy yes □ no \uf0a3
Development strategy whether the development strategy is effectively implemented yes □ no \uf0a3
Formulate and implement long-term development goals and strategic plans:
1. Prepare and print the action plan for the improvement of benchmarking first-class management.
2. Prepare the “14th five year plan” development strategic plan of the joint stock company, and form three strategies: benchmarking operation, strengthening main and auxiliary development and excellent management.
Whether the human resource structure meets the needs of the company’s strategic development yes □ no \uf0a3
Whether the introduction and development, use and exit mechanism of human resources meet the needs of the company’s strategic development yes □ no \uf0a3
Be and reasonable
\uf0a3 whether to optimize the incentive mechanism of human resources \uf0a3 yes \uf0a3
Whether human resources are optimized human resources quality yes □ no \uf0a3
Continuously strengthen the construction of human resources and give full play to the important role of human resources in realizing the enterprise development strategy:
1. Revise and print the measures for the selection and appointment of Shenzhen Airport Co.Ltd(000089) managers to further improve the management system of cadre selection and appointment.
2. The 2021st “guanpeisheng project” broke through the professional restrictions, newly established the training direction of operation command and electromechanical equipment management, added the general training and business learning stage, and extended the rotation training cycle, so that guanpeisheng can fully understand and be familiar with the airport business, cultivate systematic thinking and grow more comprehensively. Launch the eighth phase of “two-way temporary job training project” and the second phase of “special temporary job training project for operation and guidance talents”.
3. Optimize the formulation of the relevant implementation plan for the independent distribution of salary packages by grass-roots units to improve the grass-roots management level.
Whether the responsibility of environmental protection and resource conservation is earnestly fulfilled yes □ no \uf0a3
Whether to promote employment and protect employees’ rights and interests yes □ no \uf0a3
Whether to actively fulfill corporate social responsibility yes □ no \uf0a3
Effectively promote employment and protect employees’ rights and interests, actively fulfill corporate social responsibilities, protect the environment, reduce costs and increase efficiency:
1. According to the requirements of the notice of the Organization Department of the CPC Shenzhen Municipal Committee on selecting counterpart cadres to help Shantou, Heyuan and Shanwei cities (szsrt [2021] No. 27), the company selected two employees to be stationed in Jiantou Town, Dongyuan County, Heyuan City to carry out the special work of Rural Revitalization. 2. Give priority to purchasing consumption poverty alleviation Shenzhen Agricultural Products Group Co.Ltd(000061) .
3. Fully mobilize employees to participate in enterprise governance. When planning the company’s strategy and formulating important systems, widely solicit the opinions of employees and earnestly implement the system of employee congress of the company.
4. Establish a daily letter and visit mechanism for employees and vigorously safeguard the legitimate rights and interests of employees.
5. Combine voluntary service with youth practice and organize mobile classroom activities of “civil aviation knowledge into campus”.
6. Carry out more than 20 public welfare activities such as “aviation delay knowledge publicity”, “airport cleaning action” and “healthy airport public welfare line”.
7. Carry out the activity of “rhythmic airport music corner” in the terminal, and invite piano volunteers and social art groups to perform in the terminal to create a comfortable travel environment.
8. Organize volunteers from the party and League members to support the epidemic prevention volunteer service of u station of the airport, and insist on providing inquiry guidance for passengers during the epidemic. 9. The electronic screen, LED screen and TV of the terminal shall be used for rolling broadcasting
