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《高级经理人商业行为规范》

中国五矿力推《高级经理人商业行为规范》
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2016-02-16
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近日,中国五矿集团公司发布《高级经理人商业行为规范》(下称《商业行为规范》),成为首批规范高级经理人商业行为和展示良好公众形象的中央企业。

中国五矿董事长何文波指出,《商业行为规范》是国际化企业集团必备的基本制度之一。中国五矿要实现成为世界一流的金属矿产企业集团的战略愿景,就应该打造一支全球化的 传承五矿价值愿景的、忠诚担当的、勤勉敬业的、务实高效的、开拓进取的经理人队伍。五矿的优势在人,五矿的问题在人,五矿的希望也在人。我们有了一群满怀理想的、心无旁骛的、执着追求的、有激情有干劲的人,才会有世界一流、受人尊重的伟大公司,才能完成中国金属矿产领域资源安全的保障者、产业升级的创新者、流通转型的驱动者的光荣使命。

中国五矿《商业行为规范》适用于各层级的承担经营管理责任的人员,包括外籍高级经理人,而不仅仅是集团公司的党员领导干部,《商业行为规范》参照国际典范,从职业操守、从业道德、工作准则、信息披露、利益规避等方面对高级经理人的商业行为进行了较为系统的规定,今后将在中国五矿官方网站上公开发布,接受外部公众的广泛监督,对外传递中国五矿阳光合规的企业经营理念;而《商业行为承诺书》进一步对高级经理人提出了持续学习、知识共享、创新进取、群策群力、协作共赢等方面的更高要求,将在高级经理人任职、外派时,与其聘用合同、劳动合同、派遣协议一并签署。二者有机结合,内外统一,易于执行。

《商业行为规范》的发布会当日,中国五矿有228位高级经理人现场签署了《商业行为承诺书》。中国五矿希望《商业行为规范》在塑造优秀的五矿经理人,塑造优秀的五矿人方面发挥积极的作用,能够引领推动高级经理人通晓国际商业伦理,重塑核心价值观,勤勉尽责,展现良好职业风范。

 

 

 

                               

 

 

中国五矿集团公司

高级经理人商业行为规范

 

China Minmetals Corporation

Code of Business Conduct for Senior Managers

 

  

 

人力资源部

二〇一六年一月

 

Human Resources Department

January 2016


董事长寄语

《高级经理人商业行为规范》是国际化企业集团必备的基本制度之一。集团公司要实现成为世界一流的金属矿产企业集团的战略愿景,就应该打造一支全球化的、跨国籍身份的、“传承五矿价值愿景的、忠诚担当的、勤勉敬业的、务实高效的、开拓进取的”经理人队伍,既要求中共党员经理人、国企领导人在严格贯彻执行《中国共产党廉洁自律准则》、国有企业领导人员廉洁从业若干规定》等制度条例的基础上实现“个人干净”,更要求所有经理人在履行我们的商业行为规范的基础上展现主人翁意识和企业家精神,确保公司经营处于自觉可控、有序运营、持续发展的状态之中,为股东、客户、员工、社区创造更大的价值。可以说,制定《高级经理人商业行为规范》有利于全球化商业运营环境下集团公司高级经理人的履职行为的有章可循、统一规范,有利于展示集团公司的良好公众形象和接受公众监督,有利于实现“大五矿、大人才”的人才素质提升战略。

希望中国五矿的每一位高级经理人,无论你在地球的哪一端,无论你拥有哪一种肤色,无论你在哪一层级的经理人岗位,请铭记本规范的要求和你的承诺,请展现你忠于职守、勤勉尽责的职业风范。

            

 中国五矿集团公司党组书记、董事长


 

中国五矿集团公司高级经理人

商业行为规范(试行稿)

 

中国五矿集团公司(以下简称“集团公司”)为规范公司高级经理人的商业行为与道德操守,维护公司利益,根据中国法律、公司上市地监管要求和公司章程,制定本规范。

一、本规范所称的高级经理人是指在集团公司及直属单位(含集团公司各职能部门,各业务中心、直管单位,以下简称“公司”)任职的承担经营管理责任的人员及所属企业相关负责人。集团公司各业务中心和直管单位所属各级企业的高级经营管理人员由本单位按照分级管理原则界定并参照本规范组织执行。

二、高级经理人必须遵守的商业行为与道德操守

(一)对公司履行诚信与勤勉义务。高级经理人应遵循集团公司的经营管理理念,忠于职守,认真履行职责,尽其最大能力保护公司合法利益,努力提高管理水平和公司业绩。

(二)禁止参与可能导致与公司有利益冲突的活动,包括:

1.个人投资。高级经理人不得在与公司有业务往来或者有竞争的经济实体中投资(经集团公司批准的或所在地法律法规允许的除外);高级经理人的父母、配偶、子女、亲属,不得违反有关规定在高级经理人管辖的区域或业务范围内从事可能影响其正常履职和侵害公司利益的生产经营活动。

2.商业机会。高级经理人应坚持公司利益高于部门利益和个人利益,不得以下损公肥私的行为:(1) 私自占有应当属于公司经营活动范围内的机会;(2) 利用公司财产、信息或地位谋取个人利益;(3)从事与公司有竞争的活动。

3.业务联系。高级经理人不得在除公司批准的任何其他公司担任董事、高级经理人、顾问,或以其他任何身份任职。

4.商务馈赠。高级经理人不得接受可能影响商业决策或有损独立判断的有价馈赠,也不得允许或指定其父母、配偶、子女、亲属,或第三人接受馈赠。高级经理人可以在商务活动中交换有限的非现金礼节性馈赠,收受后一个月内按照制度登记上交,且不得由此影响其对业务伙伴的决策。

5.保密信息。高级经理人必须遵守公司关于商业秘密保护的有关规定,除履行职责所需外,不得泄露或擅自使用任何与公司相关的保密信息。

6.收购公司资产、接受公司贷款。高级经理人及其父母、配偶、子女、亲属,不得违反公司章程规定收购公司资产、接受公司所提供的贷款或贷款担保。

(三)遵守公司信息披露控制和披露程序的原则。直接或间接参与公司信息披露过程的高级经理人,应当遵守公司关于信息披露控制和披露程序的原则以及公司内部控制的各项制度,在公司向境内外监管机构进行文件报备、以及在进行与新闻发布相关的信息搜集、交流与分析过程中,保证公司完整、真实、及时地披露信息。

(四)遵守法律、法规和规则。高级经理人应当遵守公司经营业务所在地区的所有法律、法规和有关监管规则的要求。

(五)公平对待和廉洁自律。高级经理人应当公平对待公司的员工和客户。不得通过操纵、隐瞒、滥用专用信息或对重大事实进行不实陈述等做法,不公平地对待员工和客户。高级经理人履行职责和对外交往,不得有损于公司公平廉洁的声誉。

(六)会计控制。高级经理人应当恰当地批准和执行公司的正当交易,并在公司账簿和记录中准确反映,严格禁止舞弊、弄虚作假或有其他不良行为。

(七)公司资产的保护和有效使用。高级经理人应当保证公司资产用于合法的业务目的,依法保护公司资产,并确保其有效使用。

(八)报告违反本规范的行为。高级经理人对其行为是否符合本规范不确定时,应向公司监察部门或公司规定的其他受理部门咨询。高级经理人应当向公司监察部门或公司规定的其他受理部门告本人和他人违反中国法律、上市地监管规则、公司内部规定和本规范的行为。公司应对报告人予以保密并保证其不受打击报复。

三、高级经理人应当恪守本规范要求的基本原则。违反本规范的任何行为,除依照中国法律、上市地监管规则进行处理外,公司可以根据公司章程和有关规定对其进行处理,直至解除聘任职务或劳动关系。

四、如上市地监管规则及公司章程规定对高级经理人遵守本规范的部分内容作出豁免的,应就此豁免向集团公司作出报告。

五、集团公司授权集团公司所属的人力资源管理部门和监察部门负责实施本规范和监察遵守本规范的情况。

六、本规范由集团公司人力资源部负责解释,自集团公司发布之日起施行。

 


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.

 

 


 

中国五矿集团公司高级经理人

商业行为承诺书

作为集团公司高级经理人,我深知自己在公司治理中发挥着至关重要的作用。我特此声明,我将坚持和倡导以下原则来规范自己的商业行为和道德操守,承诺自己严格遵守《中国五矿集团公司高级经理人商业行为规范》和《中国五矿集团公司高级经理人商业行为承诺书》的相关要求,并愿意承担因不遵守这些原则和责任可能导致的纪律处分和其他处罚。

我将恪守以下十项原则:

1.我保证自己的行为诚实正直,承诺履职行为勤勉尽责、公正廉洁、决策民主,不歪曲事实。

2.我保证自己不会利用职务之便进行贪污、受贿、行贿等形式的利益输送,避免与公司产生实际或明显的利益冲突;当发生潜在冲突时,我会提前向公司监察部门或公司规定的其他受理部门报告。

3.我保证遵守相关法律、法规、会计准则和行为准则。

4.若有违反有关法律或《商业行为规范》时,我将立即报告公司监察部门或公司规定的其他受理部门

5.我保证自己向公司董事会、高管、员工和股东提供的信息准确、完整、客观、相关、及时,并易于理解。

6.当向公司上级主管部门、监管机构、媒体等外部机构公开或披露报告时,我将确保提供的报告全面、公正、准确、及时,易于理解。

7.我承诺对我的工作中获得的信息进行保密,并不会滥用这些信息来谋取私利。

8.对公司委托我的所有资产和资源,我将妥善保管和使用。

9.我将保持创新进取、开放包容的持续学习心态,并乐于把自己获取的知识、经验和技能分享给公司和相关同事,为公司的知识管理体系贡献才智。

10.在与同事、业务伙伴工作过程中,我将始终树立群策群力、协作共赢的理念,并愿意积极推行和宣传公司的商业行为规范。

我已确知并履行以上承诺。

 

 

签署人:___________________

(请规范正楷书写)

 

 

签署日期:_________________

 

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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