Changshu Guorui Technology Co.Ltd(300600)
Internal control evaluation report in 2021
Changshu Guorui Technology Co.Ltd(300600) all shareholders:
In accordance with the provisions and requirements of the basic norms of enterprise internal control and its supporting guidelines, 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 conducted self-evaluation on the effectiveness of the company's internal control.
1、 Board statement
The board of directors and all directors 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 liabilities for the authenticity, accuracy and completeness of the contents of the report.
It is the responsibility of the board of directors to establish, improve and effectively implement internal control; 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 company's internal control.
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.
2、 Overall situation of internal control evaluation
The audit committee under the board of directors of the company authorizes the Audit Department of the company to be responsible for the specific organization and implementation of the internal control evaluation, evaluate the high-risk fields and units included in the evaluation scope, take the lead in formulating the internal control evaluation plan and evaluation work plan, organizing and convening the internal control kick-off meeting, establishing the internal control evaluation team, and the internal control related persons of each unit to carry out self-evaluation, and the human resources department summarizes the evaluation results, The audit department comprehensively reviewed and identified the control defects, held a summary meeting, prepared the internal evaluation report and submitted it to the Audit Committee for consideration. 3、 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. Main units included in the scope of evaluation
The scope of evaluation covers the main businesses and matters of the parent company of the listed company itself and its subordinate branches and subsidiaries. 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, and the total operating revenue accounts for 100% of the total operating revenue in the company's consolidated financial statements.
2. Main operations and matters included in the scope of evaluation
Including: organizational structure, development strategy, human resources, corporate culture, social responsibility, procurement business, comprehensive budget, capital activities, sales business, asset management, research and development, guarantee business, engineering project, financial report, internal information transmission, information system, internal supervision and other businesses.
(1) Organizational structure
In accordance with relevant national laws and regulations and in combination with the company's own equity relationship and equity structure, the company defines the responsibilities and authorities, working conditions, rules of procedure and working procedures of the board of directors, the board of supervisors and the management, so as to ensure the separation and organic coordination of decision-making, implementation and supervision. Ensure that the board of directors, the board of supervisors and the management can exercise their functions and powers in accordance with laws, regulations and the articles of association. It is clear that the general meeting of shareholders is the authority of the company. The board of directors is the decision-making body of the company and is responsible for the establishment, improvement, effective implementation, inspection and supervision of the company's internal control system; Regularly conduct comprehensive inspection and effect evaluation on the company's internal control, and fulfill the obligation of announcement. The audit committee reviews the company's internal control system and its implementation.
According to business and management needs, the company reasonably sets up internal institutions, scientifically divides responsibilities and authorities, and forms a mutual check and balance mechanism.
(II) development strategy
Under the guidance of the strategy committee of the board of directors of the company, according to the requirements of the management specification for the formulation of strategic planning, the management specification for the formulation of annual business plan and other systems, the company has defined the strategic management process and main risk points, and formulated the strategic plan in strict accordance with the requirements of strategic analysis, formulation, implementation, monitoring and adjustment. The strategic plan points out the development direction and implementation path of the company and depicts the future vision of the company.
(III) human resources
In strict accordance with the requirements of the enterprise internal control standard system, the company establishes human resources development objectives, formulates the overall human resources planning and capacity framework system, optimizes the overall layout of human resources, realizes the rational allocation of human resources and comprehensively improves the core competitiveness of the enterprise.
In the introduction and development of human resources, explore various talent channels and introduce professionals in this field; Use a group of young cadres to train and train talents by means of burden; Pay attention to the recruitment and training of high-quality fresh graduates to inject new blood into the company.
In terms of the use of human resources, we have established a career development path for employees, formed a rapid growth channel for excellent talents, focused on recruiting a number of excellent graduates, enriched the production line, and built a professional management talent team with good quality and strong ability. Form an employment mechanism of "cadres can be promoted and demoted, employees can enter and leave, and income can be high and low".
In terms of training, in 2021, the company's human resources department formulated corresponding training plans for employees at different levels and stages, and completed more than 100 training times throughout the year, including professional or general skills, fire safety, new employee induction and other types of training. Initially establish the incentive system for training lecturers, explore and train internal lecturers and expand the training force.
(IV) social responsibility
The company performs its due responsibilities and obligations in terms of safety production, product quality, environmental protection and resource conservation in strict accordance with the requirements of the enterprise's internal control standard system. In 2021, the completion rate of the company's safety education and training plan, hidden danger investigation rate and rectification completion rate will reach 100% respectively. By establishing a strict safety production management system, operation specifications and emergency plans, strengthen the accountability system for safety production, and effectively achieve safety production. In 2021, the company will earnestly implement the responsibility of energy conservation and emission reduction, actively develop and use energy-saving products, develop circular economy, reduce pollutant emissions and improve the comprehensive utilization rate of resources
(V) corporate culture
The company attaches great importance to the cultivation of corporate culture. Guided by the business philosophy of "independent innovation and honest management", the company has established the company mission of "creating opportunities for employees, creating value for customers, creating returns for shareholders and creating wealth for the society" and the vision of "creating the most competitive professional supplier of ship and offshore engineering electrical, automation systems and related technical services in China, which is respected by the society, proud of employees", It has formed a unique enterprise core value of "market orientation, agility and efficiency, continuous innovation, pursuit of excellence and teamwork". Based on the development principle of "sound and rapid development, coordinated development of speed, efficiency, quality and scale, intensive development, innovative development and harmonious development", the company implements the management policy of "internal management, external market, agile management and efficient operation", implements the benefit concept of "harmonious unity of economic benefits, social benefits and ecological benefits", and gradually forms a corporate culture with national and Swiss characteristics.
In 2021, the company promoted the construction of corporate culture, paid attention to humanistic care, optimized and improved the corporate culture with team construction, and organized and carried out more than 20 colorful corporate culture construction activities throughout the year.
So as to enable the enterprise employees to form a common value goal and improve the cooperation level and cohesion of the team.
(VI) financial activities
In terms of financing, the company clarified the approval authority of financing matters and strengthened the implementation and risk management of financing business in accordance with the financing and external guarantee system. At the beginning of 2021, the company made a financing plan for the whole year in combination with the annual budget and annual capital plan, strictly controlled sales collection and purchase payment in the middle of the year, actively expanded financing channels to meet the company's capital needs, and obtained a large amount of credit from the bank throughout the year to provide long-term capital guarantee for operation. In terms of working capital, in 2021, the company coordinated fund management, improved risk control measures for inventory and accounts receivable, strictly implemented customer credit rating, strengthened the settlement of overdue loans, and linked the implementation of pressure drop indicators with the performance evaluation of relevant departments.
(VII) procurement business
The company reasonably selects the procurement method according to the market situation and procurement plan. General material procurement adopts inquiry or directional procurement, and contracts and agreements are signed; If the bidding conditions are met, the bidding method shall be adopted, and the scope, standards, implementation procedures and bid evaluation rules of bidding and tendering shall be reasonably determined. In 2021, on the basis of standardizing the requirements of purchase requisition, approval and purchase, the company strengthened the management and supervision of material purchase acceptance by carrying out internal control test, so as to ensure that the internal control measures of material purchase acceptance can meet the production and operation needs of the enterprise. (VIII) asset management
In 2021, with the help of information management, the company improved the accuracy of accounting and achieved the separation, restriction and supervision of incompatible posts. The company continues to strengthen the management of raw materials, revolving materials, semi-finished products and other materials on the production site, and controls the circulation of inventory in the production link through on-site inventory record management, warehouse inventory data management and other methods, combined with daily inventory and monthly inventory, so as to improve the inventory turnover rate. At the same time, the company strengthens the management of fixed assets, regularly counts and strengthens equipment maintenance to ensure that the equipment is in good condition and actively improve the utilization rate.
(IX) sales business
In 2021, the company strengthened sales business management, comprehensively sorted out the existing business processes, updated the marketing management system, defined risk-oriented and cost-effective sales control measures, and realized the connection between sales and production, assets, funds and other management. In 2021, the company will formulate the annual sales plan according to the development strategy and annual production and operation plan. On this basis, combined with the customer's orders, the company will formulate the monthly sales plan, which will be issued and implemented after approval according to the specified authority and procedures, so as to realize the virtuous cycle of the company's production and operation through target management and plan management.
(x) research and development
The research and development plan of the company in 2021 is closely combined with the development strategy, market and technical status, and the experimental stage is carried out in strict accordance with the product design process control procedure. Strengthen project management and ensure that the test scheme has review, minutes and tracking. The company's research and development investment is mainly in two aspects: one is technology research and development, that is, the transformation of the existing production process; Second, product research and development, that is, the invention or improvement of product performance and appearance. In 2019, the R & D expenditure was 24.27 million yuan, accounting for 5.11% of the operating revenue. In 2020, the R & D expenditure was 164126 million yuan, accounting for 4.27% of the operating revenue. The R & D expenditure was RMB 1.4981 million, accounting for 1.2021% of the operating income. Research and development focus on cost control and efficiency improvement, and constantly promote technological progress and process innovation. In 2021, the company added 3 invention patents, 6 utility model patents and 1 software copyright, all of which were originally obtained. By the end of the 21st century, the company had 53 software copyrights; 57 patents, including 28 invention patents (including national defense), 25 utility model patents and 4 design patents. Another 18 patent applications are under review.
（11） Project
In 2021, the company strengthened the control of engineering construction by strengthening the inspection of engineering materials, strictly implementing the equipment procurement process, strengthening the professional division of labor within the project team, and strengthening the internal audit and inspection, so as to ensure the quality of engineering projects and control the cost of projects. In 2021, the company cooperated with the cost consulting unit to carry out the whole process cost control of the project. The project cost management is not limited to the preparation and review of budget and settlement, involving the whole process of the project and various elements related to the project construction, so as to control the project cost to the greatest extent and strive to achieve the ideal investment benefit.
（12） Financial Report
The company's accounting and financial report preparation are in strict accordance with the requirements of the enterprise's internal control standard system, and the accounting process is true, accurate and effective; The financial report truly and fairly reflects the company's financial position, operating results and cash flow. In 2021, the company conducted industry benchmarking research and whole process cost analysis, and comprehensively and timely fed back the overall operation of the company to the management and governance.
（13） Comprehensive budget
The company establishes the management idea of "total amount control and structure optimization" according to the budget management system and the measures for cost control and assessment management, and strives to improve the gold content of sales revenue and net profit and enhance the hematopoietic function of sustainable profit growth of the company. In 2021, the company will calculate the income and cost by product and product number, and the expense will be analyzed by change. The rolling budget shall be implemented every month, and the budget implementation shall be fed back and assessed regularly to ensure the realization of the annual budget objectives.
（14） Internal information transmission
The company has established a complete information communication system to clarify the collection, processing and transmission procedures of information related to internal control, so as to ensure timely and effective communication of information. The management of the company adheres to the working day morning meeting system, communicates and informs the recent key work, arranges and arranges the recent work, and jointly learns the management concept; Hold monthly business summary and planning regular meetings every month to analyze the production and operation status and results of last month and the company's main plan objectives of next month, so as to strengthen prediction, analysis and summary; Hold regular marketing meetings from time to time every month to timely reflect market trends and coordinate and solve problems existing in marketing work. All relevant functional departments regularly hold special meetings on marketing, development, procurement, production and engineering, collect information according to their own functions, regularly report to the competent leaders, and provide comprehensive statistical data and analysis reports, so that the management of the company can understand the production and operation status of the company in time. The company makes full use of the fast communication characteristics of wechat platform to establish various professional groups, speed up information communication and improve work efficiency; Set up the company's wechat official account, update and release the company's news information, and become an effective tool for the company's external publicity and internal information transmission and communication. The timeliness and effectiveness of the company's internal communication has realized the sharing of the company's internal information resources, and achieved the purpose of improving efficiency and reducing management costs.
（15） Information system
Under the guidance of the strategic objectives of informatization development, the company further optimizes the process based on the business development needs and the needs of informatization, and according to the enterprise strategic objectives and external environment. With the introduction of Siemens Teamcenter system, the construction of digital management platform has been steadily promoted through the implementation of phase I and phase II projects. The platform has covered project management, product design, and realized the functions of product document management, process management, BOM and component management, authority management, coding management, NX and AutoCAD design software integration, EPLAN and ad electrical and electronic software integration, ERP integration, digital technology, digital manufacturing and so on.
The construction of digital management platform carries out unified process management of design in the way of common project management, and ensures the coordination of design from the mechanism. Through this platform, the integrated technical problems are solved. Subsequently, the platform realizes the sharing management of design data and process by adding process data management
