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福田汽车集团合规准则管理办法

  

北汽福田汽车股份有限公司(以下简称“公司”)是一家跨地区、跨行业、跨所有制的国有控股上市公司,公司的愿景是成为科技与品质领先的世界级汽车领导企业,目前已经建立了以发展为主线、以组织目标为基础、在法律和制度框架内的以人为本的企业文化,而诚信合规的商业行为是我们实现愿景和践行企业文化不可或缺的重要保障。

Preamble

Beiqi Foton Motor Co. (hereinafter referred as “the Company”) is a cross-regional, cross-trade and cross-ownership state-holding listed company. The Company has the vision to become a world-class leader equipped with leading technology and leading quality in the vehicle industry. The Company has cultivated a people-oriented enterprise culture upon the basement of organizational objectives and in line with laws and institutions. Honest commercial activities of compliance are the indispensable guarantee to implement the vision of the Company and to practice pursuant to our enterprise culture.   

 
一、基本的合规要求

公司及所有员工均应遵守法律法规、监管规定和公司的管理制度,同时员工还应遵守职业道德。

I. Basic compliance requirements

The Company and all its employees shall comply with laws and regulations, regulatory rules and Company’s management system. The employee shall at the same time comply with the professional ethics.

1、对管理人员的合规要求

公司的管理人员应当以身作则,充分履行其监督和管理职能,对其自身和下属的行为负责。


1. Compliance requirements for the managerial personnel


The managerial personnel should take the lead and set the example by adequately performing their supervisory and managerial duties, and be responsible for acts of their own and of their subordinates.


2、对员工的合规要求

每一位员工的行为举止对外都可能影响到公司的声誉,对内则影响公司的内部管理及文化建设。因此,公司的每一位员工都应当注重自己的言行,为公司建立良好的企业声誉。


公司所有员工都应当诚信待人、诚信做事,尊重他人的尊严、隐私和权利。团队的力量是公司取得长久成功的基础,所有员工都应当重视团队合作,通过团队合作学习他人的优点,提升自己的能力,勤勉完成岗位职责。


2. Compliance requirements for employees

The act and behavior of every employee would externally influence the reputation of the Company, and internally influence the corporate management and the cultivation of our enterprise culture. Every employee, therefore, shall behave himself or herself for the establishment of an excellent reputation of the Company.


All the employee shall treat people and act his or her part in good faith, and respect others and their rights and privacy. As teamwork is the foundation for the Company to achieve its success in a long run, all the employee shall attach great importance to teamwork. Through participation in teamwork, all the employee shall learn the virtues of others, enhance their own capacities, and diligently fulfill their duties.


3、对商业伙伴的合规要求

公司的商业伙伴(包括但不限于供应商、经销商等)应认同公司的合规文化、遵守相关法律法规、严禁腐败、对其员工的健康与安全负责、保障产品及服务的质量、遵守与环保有关的法定标准。


3. Compliance requirements for business partners


Business partners of the Company (including but not limited to suppliers and distributors) shall identify with the compliance culture of the Company, comply with relevant laws and regulations, strictly prohibit corruption, be responsible for the health and safety of their own employees, guarantee the quality of their products and service, and observe the relevant environmental mandatory standards. 



二、适用范围

本合规准则适用于公司及分公司(事业部)、全资子公司的所有员工及派出人员。此外,派出人员还应遵守被派入单位的合规管理规定。其他参控股公司及其所有员工参照适用。


II. Applicable Scope

These compliance guidelines apply to all the employee and expatriates of the Company, its branches (business divisions), and its wholly-owned subsidiaries. Expatriates shall additionally comply with compliance regulations of the host companies.


三、与商业伙伴和第三方的行为规范
III. Guidelines for dealing with business partners and third parities
1、反腐败

公司禁止员工的任何行贿、受贿或其他贪腐行为,任何员工不得以任何形式直接或间接向任何商业伙伴、第三方输送或从商业伙伴、第三方处获得不当利益(包括但不限于金钱或其他任何有价物品或服务等)。


1. Anti-corruption


The Company prohibits the employee from offering or accepting bribes or other acts of corruption. Every employee shall neither directly or indirectly offer any business partner or third party inappropriate interests (including but not limited to money or any goods or services of value) in any form, nor directly or indirectly accept inappropriate interests (including but not limited to money or any goods or services of value) in any form offered by any business partner or third party.


2、公平竞争与反垄断

公平竞争有助于培养良好的市场环境,实现更高的社会效益。公司经营活动应遵守公平竞争原则,遵守关于反不正当竞争、反垄断的相关规定。


2. Fair competition and Antitrust

Fair competition would contribute to fostering good market circumstances, and furthermore creates greater social benefits. The commercial activity of the Company shall comply with the principle of fair competition and relevant Anti-unfair competition and Anti-trust regulations.


3、反洗钱

公司不为任何洗钱活动提供便利。所有员工都必须遵守关于现金与付款等法律和财务的相关规定。


3. Anti-money laundering


The Company do not provide convenience for any act of money-laundering. All the employee must comply with relevant legal and financial regulations related to cash and payments.


4、出口管制

公司应当遵守联合国及相关国家的出口管制、贸易管制和有关货物禁运的规定,确保产品进出口符合出口管制、贸易管制和货物禁运的规定。


4. Export control


The Company shall comply with export control, trade control and goods embargo regulations of United Nation and relevant countries, and guarantee that its import and export of products are in compliance with export control, trade control and goods embargo regulations.

5、捐赠

公司所进行的捐赠均应合法合规,并符合公司的目标与原则。公司将积极为社会做出应有的贡献,承担相应的社会责任。


5. Donation

All the donation made by the Company shall comply with laws and regulations, and conform to objectives and principles of the Company. The Company shall positively and duly contribute to society, and shoulder its corresponding social responsibilities. 


6、避免利益冲突

在做出各类商业决定时,所有员工均应首要考虑公司利益,避免利益冲突,禁止员工以牺牲公司利益为代价获取个人利益。利益冲突的形式包括员工未经公司允许直接或间接与公司进行交易,或从事妨碍其履行岗位职责的兼职工作,经营与公司相竞争的业务等。


公司员工及其近亲属未经批准不得直接或间接地与公司客户、供应商或潜在客户和供应商有借、贷、投资及金融上的往来,但个人投资上述单位二级市场流通股票的行为除外,且该等股票投资行为需遵守国家相关法律规定。

6. Avoidance of conflict of interests


When making all kinds of business decisions, all the employee shall place the interest of the Company in the first place, avoiding conflicting with the interest of the Company. All the employees are prohibited from obtaining personal interests at the expense of the Company’s. Conflicts of interests could be including e.g. employees directly or indirectly doing businesses with the Company without its prior approval,  engaging in part-time jobs interfering with the fulfillment of their job responsibilities within the Company, doing businesses in competition with those of the Company, and etc.


Without approval, employees and their close relatives may not directly or indirectly develop loan, investment and other financial relationship with the Company’s customers and suppliers or its potential customers and suppliers. However, the personal investment of purchasing liquid stocks of the aforementioned customers or suppliers at the secondary market is exceptionally allowed, and such stock investments shall comply with relevant laws and regulations.



四、保护公司资产

员工应当保护公司资产,包括但不限于声誉、知识产权、信息、产品、房产和其他各类资产,使公司的资产免受损失及滥用。员工只能以完成其工作、开展公司业务为目的使用公司资产,未经授权任何人不得随意使用和处置公司的任何资产。


IV. Protection of corporate assets

The employee shall protect assets of the Company, including but not limited to its reputation, intellectual properties, data, products, real estates, and other forms of assets, from losses and abuse. Employees may utilize assets of the Company with the sole purpose of fulfilling their work tasks, and conducting businesses of the Company; without approval employees may never randomly utilize or dispose of any asset of the Company.

 
五、保守公司秘密

员工应严格保守在工作过程中所知悉的公司保密信息以及公司负有保密义务的保密信息,包括但不限于公司的产品设计及运营数据等,员工只能依据其岗位职责使用该等保密信息且应遵循法律法规及公司的使用要求。


V. Confidentiality
Employees shall keep the confidential information of the Company and that the Company is obliged to keep in confidentiality (including but not limited to the product design and operational data of the Company, and etc.) they learn during their work. Employees may only utilize such confidential information pursuant to their responsibilities and comply with laws, regulations and relevant requirements of the Company.

六、数据和网络安全
员工必须遵守数据及网络安全的相关法律法规,遵守关于信息系统、软件、信息技术设备、电子邮件、互联网、企业内部网络等的使用、存取和安全性的相关规定,并遵守公司内部数据保护的相关规定。
VI. Data and Internet security
Employees must comply with relevant laws and regulation ruling data and Internet security, relevant regulations related to the utilizing, storage and safety of information system, software, information technology equipment, E-mail, Internet, corporate internal network, and etc., and comply with internal regulations of the Company connected to data protection.

七、记录和报告

公司必须维持有效的流程和控制措施,以确保公司业务开展合法合规。公司所有员工必须确保其执行业务所涉及的文档记录完整、准确及真实。


公司财务人员应确保帐薄、凭证和报表合理、准确且详细地反映公司资产交易和处置情况,并按照适用的企业会计准则记录公司的交易。公司应按照相关的商业和法律要求对外报告。


VII. Records and reports

The Company must maintain efficient measures of processes and controls, in order to keep the corporate business in compliance with laws and regulations. All the employee in the Company must guarantee that the document records involved in their work are complete, accurate and authentic.


The financial personnel shall guarantee that the account book, certificate and statement reasonably and accurately reflect transactions and disposition of the corporate assets in details, and record transactions of the Company pursuant to applicable Accounting Standard for Business Enterprises (ASBE). The Company shall issue public report according to relevant commercial and legal requirements.



八、质量

公司将秉持为客户提供最优质的产品和服务的理念,以满足并超越客户需求为目的,持续提升产品和服务的品质。


VIII. Quality

The Company shall continue improving the quality of its products and services, with the ideal of providing customers the best products and services and the purpose of meeting and surpassing the needs of customers.



九、环境、安全和员工权益

公司高度重视环境保护、自然资源节约,职业健康安全体系的建立与健全。公司严格遵守环境、安全和职业健康相关的法律法规,保护员工合法权益,实现环保、安全和健康的经营发展道路。


IX. Environment, safety and employee’s rights and benefits


The Company highly value environmental protection, conservation of natural resources, and the establishment and perfection of a professional health and safety mechanism. The Company strictly complies with laws and regulations related to environment, safety and professional health, protects the legal rights and benefits of the employee, for the development of an environmental, safe and healthy business.



十、合规咨询与举报
X. Compliance consultation and report
1、合规咨询
1. Compliance consultation

合规管理部为全体员工提供合规咨询服务:


合规管理部咨询电话:86-10-80710462


咨询邮箱:

fthgzx@foton.com.cn

Compliance Management Division provide compliance counselling services open to all the employee:


Phone number for consultation: 86-10-80710462


E-mail for consultation: fthgzx@foton.com.cn


2、合规举报
2. Report

公司设置举报电话、信箱接收违反公司合规准则的举报。公司对所收到的举报严格保密,并保护举报人免受报复,对于追回公司损失的,可给予举报人适当奖励。举报方式如下:


举报电话:86-10-80708855


举报邮箱:fthgjb@foton.com.cn


邮寄地址:北京市昌平区沙河沙阳路 


邮编:102206


收件人:北汽福田汽车股份有限公司法律与知识产权部合规管理部


The Company has phone and e-mail to receive reports of acts violating these Compliance Guidelines of the Company. The Company shall keep the reports in strict confidentiality and protect the reporter or informer from retaliation, and award the reporter or informer appropriate incentives in the event of losses being recovered. Please report or inform via the following methods:


Phone number for report:86-10-80708855


E-mail for report: fthgjb@foton.com.cn


Address: Shayang Road, Shahe County, Changping District, Beijing, 102206

Attn: Compliance Management Division, Legal and Intellectual Property Department, Beiqi Foton Motor Co.,Ltd


3、处罚

任何违反合规准则的行为都应受到相应的惩戒,直至解除劳动合同或诉诸法律。


3. Punishment/Penalty


Any violation of these Compliance Guidelines shall be correspondingly punished to the extent of termination of labor contracts or litigations.



十一、其他
XI. Miscellaneous

1、本合规准则经职工代表大会审议通过,自下发之日起正式生效。


2、本合规准则是公司具有最高效力的规范性文件,任何有悖于其部分或全部内容/与其部分或全部内容相冲突的制度、政策规定等均属无效。


3、 关于本合规准则的具体实施细则、操作指南、或行为指引等由公司授权法律与知识产权部合规管理部起草、修订并下发。

1. These Compliance Guidelines are approved by the Employee Representatives Congress and come into force on the date of issuance.


2. These Compliance Guidelines are the normative document of the supreme effect within the Company. Any mechanism, policy or rule in their parts and/or in their whole contrary to these Compliance Guidelines in their parts and/or in their whole is void.


3. The Company has authorized the Compliance Management Division of the Legal and Intellectual Property Department to compile, amend, and issue detailed rules for enforcement, instructions, or guidelines of these Compliance Guidelines.