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《高級經理人商業行為規範》

中國五礦力推《高級經理人商業行為規範》
文章來源:
2016-02-16
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近日,中國五礦集團公司發佈《高級經理人商業行為規範》(下稱《商業行為規範》),成為首批規範高級經理人商業行為和展示良好公眾形象的中央企業。

中國五礦董事長何文波指出,《商業行為規範》是國際化企業集團必備的基本制度之一。中國五礦要實現成為世界一流的金屬礦產企業集團的戰略願景,就應該打造一支全球化的 傳承五礦價值願景的、忠誠擔當的、勤勉敬業的、務實高效的、開拓進取的經理人隊伍。五礦的優勢在人,五礦的問題在人,五礦的希望也在人。我們有了一群滿懷理想的、心無旁騖的、執著追求的、有激情有干勁的人,才會有世界一流、受人尊重的偉大公司,才能完成中國金屬礦產領域資源安全的保障者、產業陞級的創新者、流通轉型的驅動者的光榮使命。

中國五礦《商業行為規範》適用於各層級的承擔經營管理責任的人員,包括外籍高級經理人,而不僅僅是集團公司的黨員領導幹部,《商業行為規範》參照國際典範,從職業操守、從業道德、工作準則、資訊披露、利益規避等方面對高級經理人的商業行為進行了較為系統的規定,今後將在中國五礦官方網站上公開發佈,接受外部公眾的廣泛監督,對外傳遞中國五礦陽光合規的企業經營理念;而《商業行為承諾書》進一步對高級經理人提出了持續學習、知識共享、創新進取、群策群力、協作共贏等方面的更高要求,將在高級經理人任職、外派時,與其聘用合同、勞動合同、派遣協議一並簽署。二者有機結合,內外統一,易於執行。

《商業行為規範》的發佈會當日,中國五礦有228位高級經理人現場簽署了《商業行為承諾書》。中國五礦希望《商業行為規範》在塑造優秀的五礦經理人,塑造優秀的五礦人方面發揮積極的作用,能夠引領推動高級經理人通曉國際商業倫理,重塑核心價值觀,勤勉盡責,展現良好職業風範。

 

 

 

                               

 

 

中國五礦集團公司

高級經理人商業行為規範

 

China Minmetals Corporation

Code of Business Conduct for Senior Managers

 

  

 

人力資源部

二〇一六年一月

 

Human Resources Department

January 2016


董事長寄語

《高級經理人商業行為規範》是國際化企業集團必備的基本制度之一。集團公司要實現成為世界一流的金屬礦產企業集團的戰略願景,就應該打造一支全球化的、跨國籍身份的、“傳承五礦價值願景的、忠誠擔當的、勤勉敬業的、務實高效的、開拓進取的”經理人隊伍,既要求中共黨員經理人、國企領導人在嚴格貫徹執行《中國共產黨廉潔自律準則》、國有企業領導人員廉潔從業若干規定》等制度條例的基礎上實現“個人乾淨”,更要求所有經理人在履行我們的商業行為規範的基礎上展現主人翁意識和企業家精神,確保公司經營處於自覺可控、有序運營、持續發展的狀態之中,為股東、用戶、員工、社區創造更大的價值。可以說,制定《高級經理人商業行為規範》有利於全球化商業運營環境下集團公司高級經理人的履職行為的有章可循、統一規範,有利於展示集團公司的良好公眾形象和接受公眾監督,有利於實現“大五礦、大人才”的人才質素提升戰略。

希望中國五礦的每一位高級經理人,無論你在地球的哪一端,無論你擁有哪一種膚色,無論你在哪一層級的經理人崗位,請銘記本規範的要求和你的承諾,請展現你忠於職守、勤勉盡責的職業風範。

            

 中國五礦集團公司黨組書記、董事長


 

中國五礦集團公司高級經理人

商業行為規範(試行稿)

 

中國五礦集團公司(以下簡稱“集團公司”)為規範公司高級經理人的商業行為與道德操守,維護公司利益,根據中國法律、公司上市地監管要求和公司章程,制定本規範。

一、本規範所稱的高級經理人是指在集團公司及直屬單位(含集團公司各職能部門,各業務中心、直管單位,以下簡稱“公司”)任職的承擔經營管理責任的人員及所屬企業相關負責人。集團公司各業務中心和直管單位所屬各級企業的高級經營管理人員由本單位按照分級管理原則界定並參照本規範組織執行。

二、高級經理人必須遵守的商業行為與道德操守

(一)對公司履行誠信與勤勉義務。高級經理人應遵循集團公司的經營管理理念,忠於職守,認真履行職責,盡其最大能力保護公司合法利益,努力提高管理水平和公司業績。

(二)禁止參與可能導致與公司有利益衝突的活動,包括:

1.個人投資。高級經理人不得在與公司有業務往來或者有競爭的經濟實體中投資(經集團公司批准的或所在地法律法規允許的除外);高級經理人的父母、配偶、子女、親屬,不得違反有關規定在高級經理人管轄的區域或業務範圍內從事可能影響其正常履職和侵害公司利益的生產經營活動。

2.商業機會。高級經理人應堅持公司利益高於部門利益和個人利益,不得以下損公肥私的行為:(1) 私自佔有應當屬於公司經營活動範圍內的機會;(2) 利用公司財產、資訊或地位謀取個人利益;(3)從事與公司有競爭的活動。

3.業務聯繫。高級經理人不得在除公司批准的任何其他公司擔任董事、高級經理人、顧問,或以其他任何身份任職。

4.商務饋贈。高級經理人不得接受可能影響商業決策或有損獨立判斷的有價饋贈,也不得允許或指定其父母、配偶、子女、親屬,或第三人接受饋贈。高級經理人可以在商務活動中交換有限的非現金禮節性饋贈,收受後一個月內按照制度登記上交,且不得由此影響其對業務伙伴的決策。

5.保密資訊。高級經理人必須遵守公司關於商業秘密保護的有關規定,除履行職責所需外,不得洩露或擅自使用任何與公司相關的保密資訊。

6.收購公司資產、接受公司貸款。高級經理人及其父母、配偶、子女、親屬,不得違反公司章程規定收購公司資產、接受公司所提供的貸款或貸款擔保。

(三)遵守公司資訊披露控制和披露程式的原則。直接或間接參與公司資訊披露過程的高級經理人,應當遵守公司關於資訊披露控制和披露程式的原則以及公司內部控制的各項制度,在公司向境內外監管機構進行文件報備、以及在進行與新聞發佈相關的資訊蒐集、交流與分析過程中,保證公司完整、真實、及時地披露資訊。

(四)遵守法律、法規和規則。高級經理人應當遵守公司經營業務所在地區的所有法律、法規和有關監管規則的要求。

(五)公平對待和廉潔自律。高級經理人應當公平對待公司的員工和用戶。不得透過操縱、隱瞞、濫用專用資訊或對重大事實進行不實陳述等做法,不公平地對待員工和用戶。高級經理人履行職責和對外交往,不得有損於公司公平廉潔的聲譽。

(六)會計控制。高級經理人應當恰當地批准和執行公司的正當交易,並在公司賬簿和記錄中準確反映,嚴格禁止舞弊、弄虛作假或有其他不良行為。

(七)公司資產的保護和有效使用。高級經理人應當保證公司資產用於合法的業務目的,依法保護公司資產,並確保其有效使用。

(八)報告違反本規範的行為。高級經理人對其行為是否符合本規範不確定時,應向公司監察部門或公司規定的其他受理部門咨詢。高級經理人應當向公司監察部門或公司規定的其他受理部門告本人和他人違反中國法律、上市地監管規則、公司內部規定和本規範的行為。公司應對報告人予以保密並保證其不受打擊報復。

三、高級經理人應當恪守本規範要求的基本原則。違反本規範的任何行為,除依照中國法律、上市地監管規則進行處理外,公司可以根據公司章程和有關規定對其進行處理,直至解除聘任職務或勞動關係。

四、如上市地監管規則及公司章程規定對高級經理人遵守本規範的部分內容作出豁免的,應就此豁免向集團公司作出報告。

五、集團公司授權集團公司所屬的人力資源管理部門和監察部門負責實施本規範和監察遵守本規範的情況。

六、本規範由集團公司人力資源部負責解釋,自集團公司發佈之日起施行。

 


China Minmetals Corporation

Code of Business Conduct for Senior Managers

(Trial Version)

Pursuant to Chinese laws, regulatory requirements of the listing places, and the Articles of Association of China Minmetals Corporation (hereinafter referred to as “Minmetals”), Minmetals has adopted the following code of business conduct and ethics for purposes of regulating the business conduct and ethics of the company’s senior managers and protecting the company's interests.

I. In this Code, senior managers refer to relevant senior business managers of subsidiaries directly under Minmetals (including Minmetals’ functional departments, business centers and units directly under its control, hereinafter collectively referred to as “the Company”) and relevant personnel in charge of affiliates. Business centers and enterprises directly under the control of Minmetals shall use this Code as a reference in regulating the business conduct of their senior managers according to hierarchical management authority.  

II. Code of Conduct and Ethics Required for Senior Managers

(I) Senior managers shall act honestly and diligently in the performance of their duties for the Company. Senior managers shall follow the business management philosophy of Minmetals, be loyal to and conscientiously perform their duties, use their best endeavors to safeguard the legitimate interests of the Company, and make every effort to improve the management and performance of the Company.

(II) Senior managers may not be engaged in any activity that may cause any conflict of interest with the Company, including:

1. Personal investment. Senior managers shall not invest in any economic entity with business transactions or in competition with the Company, unless otherwise approved by Minmetals or permitted by local laws and regulations; no senior manager’s family members or relatives may engage in productive or operational activities within the territory or business scope managed by him/her as may affect his/her fair and due performance of duties or infringe the interests of the Company in violation of relevant regulations.

2. Business opportunities. Senior managers shall put the Company's interests above the departmental or personal interests, and may not seek the following gains at the expense of the Company: (1) unauthorized possession of opportunities that are properly within the scope of the Company's activities; (2) seeking for personal interests by utilizing the Company’s property, information or position; and (3) engaging in any activity in competition with the Company.

3. Concurrent employment. It is prohibited for any senior manager to serve as a director, senior manager, consultant or in any other identity in any enterprise, unless approved by the Company.

4. Business gifts. Senior managers may not accept, or permit or ask their family members or relatives or third parties to accept any gifts of value that may tend to influence business decisions or compromise independent judgment. The exchange of limited non-cash business courtesies by senior managers in business activities may be acceptable, provided, however, the gift shall be submitted to the Company according to relevant regulations within a month and such exchange shall not improperly influence the decisions about the business partner of the Company.

5. Confidential information. Senior managers shall comply with relevant rules of the Company relating to the protection of commercial secrets, and shall not disclose or use any confidential information with respect to the Company without authorization, except as required in the performance of their duties.

6. Acquisition of the Company’s assets and acceptance of the Company’s loans. Senior managers or their family members and relatives shall not acquire any assets of the Company or receive loans or guarantees for loans from the Company in breach of the Company’s Articles of Association.

(III) Compliance with the Company's policy on disclosure controls and procedures. Senior managers participating directly or indirectly in the Company's disclosure process shall comply with the Company's policy on disclosure controls and procedures and internal control rules to promote full, accurate, and timely disclosure in the collection, communication and analysis of information relating to the filing with Chinese and foreign regulatory bodies and press releases.

(IV) Compliance with laws, regulations and rules. Senior managers shall comply with all laws, regulations and regulatory requirements in each jurisdiction in which the Company conducts business.

(V) Fair treatment and integrity. Senior managers shall provide equal treatment to all the employees and customers of the Company. Senior managers may not take unfair advantage of employees or customers through manipulation, concealment or abuse of privileged information, or misrepresentation of material facts. No actions shall be taken by senior managers that could undermine the Company's reputation of fair dealing and integrity in the course of their performance of duties or in external communication.

(VI) Accounting control. Senior managers shall properly approve and implement all transactions of the Company, and accurately disclose such transactions in the accounting books and records of the Company. Falsification, malpractice or other misconduct is strictly prohibited.

(VII) Protection and efficient use of the Company's assets. Senior managers shall ensure that all of the Company's assets shall be used for legitimate business purposes, and shall protect the Company's assets and ensure their efficient use.

(VIII) Reporting of any behavior in breach of this Code. Senior managers shall consult the supervision organizations at any time if they have doubt regarding compliance with the Code. Senior managers shall report to the supervision organizations on any violations of Chinese laws, regulatory rules of the listing places, internal rules of the Company and this Code caused by their own or others' conduct. The Company shall keep the information confidential and protect the person of such reports from any form of retaliation.

III. Senior managers shall comply with the basic principle as required in this Code. Any violation of this Code will lead to disciplinary action, up to and including termination of employment pursuant to the Articles of Association and the relevant regulations, in addition to the punishment under Chinese laws and regulatory rules of the listing places.

IV. A waiver of this Code by senior managers can be granted and must be disclosed to Minmetals if and to the extent that the regulatory rules of the listing places and the Articles of Association of the Company require such waiver.

V. Minmetals authorizes its Human Resources Department and supervision organizations to implement this Code and to supervise the compliance thereof.

VI. Minmetals’ Human Resources Department shall be responsible for the interpretation of this Code. This Code shall come into force as of the date of its promulgation.

 

 


 

中國五礦集團公司高級經理人

商業行為承諾書

作為集團公司高級經理人,我深知自己在公司治理中發揮著至關重要的作用。我特此聲明,我將堅持和倡導以下原則來規範自己的商業行為和道德操守,承諾自己嚴格遵守《中國五礦集團公司高級經理人商業行為規範》和《中國五礦集團公司高級經理人商業行為承諾書》的相關要求,並願意承擔因不遵守這些原則和責任可能導致的紀律處分和其他處罰。

我將恪守以下十項原則:

1.我保證自己的行為誠實正直,承諾履職行為勤勉盡責、公正廉潔、決策民主,不歪曲事實。

2.我保證自己不會利用職務之便進行貪污、受賄、行賄等形式的利益輸送,避免與公司產生實際或明顯的利益衝突;當發生潛在衝突時,我會提前向公司監察部門或公司規定的其他受理部門報告。

3.我保證遵守相關法律、法規、會計準則和行為準則。

4.若有違反有關法律或《商業行為規範》時,我將立即報告公司監察部門或公司規定的其他受理部門

5.我保證自己向公司董事會、高管、員工和股東提供的資訊準確、完整、客觀、相關、及時,並易於理解。

6.當向公司上級主管部門、監管機構、媒體等外部機構公開或披露報告時,我將確保提供的報告全面、公正、準確、及時,易於理解。

7.我承諾對我的工作中獲得的資訊進行保密,並不會濫用這些資訊來謀取私利。

8.對公司委託我的所有資產和資源,我將妥善保管和使用。

9.我將保持創新進取、開放包容的持續學習心態,並樂於把自己獲取的知識、經驗和技能分享給公司和相關同事,為公司的知識管理體系貢獻才智。

10.在與同事、業務伙伴工作過程中,我將始終樹立群策群力、協作共贏的理念,並願意積極推行和宣傳公司的商業行為規範。

我已確知並履行以上承諾。

 

 

簽署人:___________________

(請規範正楷書寫)

 

 

簽署日期:_________________

 

China Minmetals Corporation

Letter of Commitment Regarding Business Conduct of Senior Managers

(Trial Version)

As a senior manager of China Minmetals Corporation, I am deeply aware of the vital role I am playing in corporate governance. I hereby declare that I will uphold and promote the following principles to regulate my business conduct and ethics. In addition, I undertake to strictly comply with the relevant requirements of the Code of Business Conduct for Senior Managers and Letter of Commitment Regarding Business Conduct for Senior Managers of, and I am subject to any disciplinary action and other penalties for non-compliance with these principles.

I will uphold the following ten principles:

1. I guarantee that I will act with honesty and integrity, perform my duties in a diligent, fair and honest manner, and make decisions in a democratic fashion without distorting the facts.

2. I guarantee that I won’t take advantage of my position to facilitate any corruption, bribery or other forms of transfer of benefits. I will avoid any actual or apparent conflicts of interest with the Company. In case of any potential conflicts of interest, I will report to supervision organizations of the Company in advance.

3. I undertake to abide by the relevant laws, regulations, accounting standards and codes of conduct.

4. In case of any breach of any law or the Code of Business Conduct, I will promptly report to supervision organizations of the Company.

5. I guarantee that the information provided by me to the board of directors, senior executives, employees and shareholders of the Company is accurate, complete, objective, relevant, timely, and easy to understand.

6. I guarantee that when I make public or disclose any report to higher authorities, regulators, the media and other external agencies, the report provided by me will be complete, objective, accurate, timely, and easy to understand.

7. I undertake to keep the information obtained in my work confidential, and will not misuse such information for any personal gain.

8. I will properly keep and use all the assets and resources entrusted by the Company to me.

9. I will keep innovative, enterprising, open-minded and inclusive, share my knowledge, experience and skills with relevant colleagues, and contribute my wisdom to the knowledge management system of the Company.

10. When working with my colleagues and business partners, I will always promote the concept of team work and mutually beneficial cooperation, and I am willing to actively publicize and promote the code of business conduct of the Company.

I acknowledge having reviewed and agreed to the above commitments.

 

Signatory (Name in Block Letters): ___________________

   

Signed on:            ______MM/DD/YY___________

 

This Letter of Commitment is signed in two copies, with one held by the signatory and the other held by Minmetals (Human Resources Department).


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