总则
General Provisions
为规范中国神华能源股份有限公司（以下简称“公司”）安保服务管理，维护公司资产与人员安全，保障生产经营稳定运行，切实保护员工、社区及其他相关方合法权益，公司制定本制度。
This Code is formulated to regulate the management of security services at China Shenhua Energy Company Limited (hereinafter referred to as the “Company”), safeguard the Company’s assets and personnel safety, ensure the stable operation of its production and business activities, and effectively protect the lawful rights and interests of employees, local communities and other relevant stakeholders.
本制度适用于为公司提供安保服务的所有外部安保服务提供商及其安保人员。
This Code applies to all external security service providers and their security personnel provide security services for the Company.
公司要求安保服务提供商及安保人员严格遵守所在国家（地区）法律法规、行业规范及国际通行准则，包括但不限于中国《企业事业单位内部治安保卫条例》、ISO 31000《风险管理指南》及《安全与人权自愿原则》（VPSHR）等国内外标准和通行准则开展安保管理与服务。安保工作应遵循“合法规范、预防为主、监督有效、持续改进”的原则，坚持依法履职、诚信经营、廉洁自律，切实维护员工、社区居民及其他利益相关方的合法权益。
The Company requires all contract security providers and security personnel to strictly comply with applicable laws and regulations, industry norms and internationally recognized principles of the countries or regions where they operate when conducting security management and services. These include, but are not limited to, China’s Regulation on Internal Security of Enterprises and Public Institutions, ISO 31000 Risk Management—Guidelines, and the Voluntary Principles on Security and Human Rights (VPSHR). Security services shall be guided by the principles of lawfulness and standardization, prevention priority, effective supervision and continuous improvement. All security service providers and personnel shall perform their duties in accordance with law, conduct business with integrity, uphold high standards of ethical conduct, and effectively protect the lawful rights and interests of employees, community residents and other stakeholders.
行为规范 Standards of Conduct
公司安保活动以保护人员生命安全、公司财产、生产经营场所及正常运营秩序为目的，原则上采取预防、警戒和防护性措施。安保服务提供商及安保人员应当严格按照合同约定和授权范围履行职责。在履行公司安保服务职责过程中，不得开展超出合同约定及授权范围的其他安保活动，不得将公司提供的设施、设备、数据及其他资源用于与安保服务无关的事项。
The Company's security activities are intended to protect the safety and lives of personnel, Company property, production and business premises, and the normal order of operations. In principle, security activities shall primarily involve preventive, alert and protective measures. Security service providers and their personnel shall perform their duties strictly in accordance with contractual obligations and the scope of their authorization. In performing security services for the Company, they shall not carry out any security activities beyond the scope stipulated in contracts and their authorization, or use any facilities, equipment, data or other resources provided by the Company for purposes unrelated to the security services.
安保服务提供商应当建立覆盖人员选聘、背景审查、岗前培训、在岗考核和违规退出的管理机制，明确安保人员岗位职责、履职权限和行为要求。安保人员上岗前应当接受法律法规、安保技能、合法权益保护、文明执勤、冲突预防与降级、应急救援等培训，并定期参加复训和考核。公司及所属单位可以自行或者委托第三方，对安保服务提供商的人员管理和履职情况开展检查评估。
All security service providers shall establish a management mechanism covering personnel selection, background screening, pre-assignment training, on-the-job assessment and the removal of personnel for misconduct, and shall clearly define the duties, authority and conduct requirements applicable to security personnel. Before taking up their posts, security personnel shall receive training on applicable laws and regulations, security skills, protection of lawful rights and interests, courteous performance of duties, conflict prevention and de-escalation, and emergency response. They shall also participate in regular refresher training and assessments. The Company may conduct, either directly or through an appointed third party, inspections and assessments of the personnel management and performance of security service providers.
安保人员应当尊重他人人格尊严和合法权益，不得实施侮辱、殴打、歧视、骚扰等行为，不得非法限制他人人身自由、搜查他人身体或者扣押、没收他人证件和财物，不得采用暴力或者以暴力相威胁的手段处置纠纷。安保服务提供商及安保人员不得实施商业贿赂，不得利用安保职务之便索取、收受不当利益或者谋取其他不正当利益。
Security personnel shall respect the dignity and lawful rights and interests of others. They shall not engage in insults, physical assault, discrimination or harassment; unlawfully restrict any person’s freedom, conduct body searches, or seize or confiscate any person’s identification documents or property; use violence or threats of violence to resolve disputes; or obstruct the lawful performance of official duties. Security service providers and security personnel shall not engage in commercial bribery or use their security-related positions to solicit or accept improper benefits or obtain any other improper advantage.
公司应当根据办公场所、生产经营区域、重点部位和重大风险点的实际需要，合理配置巡逻防控力量以及门禁、防护、报警、视频监控等安防设施。安保服务提供商应当规范使用相关设施和技术设备，确保其仅用于人员、财产和场所安全保护。安保数据的收集、调取、使用和保存应当符合适用法律法规及公司管理要求，不得利用安保设施非法监控他人、泄露个人信息或者侵犯员工及其他相关方的隐私权益。
The Company shall, based on the actual needs of office premises, production and business areas, key locations and major risk points, reasonably deploy patrol and security personnel and install access control, physical protection, alarm, video surveillance and other security facilities. Security service providers shall use relevant facilities and technical equipment in a standardized manner and ensure that they are used solely to protect personnel, property and premises. The collection, retrieval, use and retention of security-related data shall comply with applicable laws and regulations and the Company’s management requirements. Security facilities shall not be used to unlawfully monitor individuals, disclose personal information or infringe upon the privacy rights and interests of employees or other relevant parties.
公司应当根据实际需要，依法加强与属地公安机关及其他有关部门的沟通协作，配合建立治安防范、信息沟通和应急联动机制，并依法接受有关政府部门或者执法机构对安保工作的指导和监督，共同维护公司生产经营场所的安全与秩序。
The Company shall, as necessary, strengthen communication and cooperation with local public security authorities and other relevant departments in accordance with law, and assist in establishing mechanisms for public security prevention, information exchange and coordinated emergency response. The Company shall also accept, in accordance with law, the guidance and supervision of relevant government authorities or law enforcement agencies over security activities, so as to jointly maintain the safety and order of the Company’s production and business premises.
监督审查 Supervision and Review
公司应当建立安保服务提供商准入管理机制。在签订安保服务合同前，公司应当对安保服务提供商开展背景调查和合规评估，并根据业务特点和风险程度确定调查及评估的范围和深度，重点核查其经营资质、行业信誉、合规记录，以及是否存在不当使用强制措施、商业贿赂或者其他重大违法违规情形。公司应当将合法权益保护、商业道德、职业操守和合规履职等要求纳入供应商管理及合同条款。安保服务提供商应当承诺遵守本制度及公司相关管理要求。
The Company shall establish a qualification and approval process for security service providers. Before entering into a security service contract, the Company shall conduct background checks and compliance assessments of the provider, with the scope and depth determined by the nature of the relevant business and the level of risk. Such checks and assessments shall focus on the provider’s operating qualifications, industry reputation, compliance record, and any history of improper use of coercive measures, commercial bribery or other material violations of laws or regulations. The Company shall incorporate requirements concerning the protection of lawful rights and interests, business ethics, professional conduct and compliant performance of duties into supplier management and contractual provisions. Security service providers shall undertake to comply with this Code and the Company’s relevant management requirements.
安保服务提供商应当根据岗位职责和实际风险，定期组织安保人员开展法律法规、文明履职、冲突预防与缓和、应急处置、职业道德和岗位技能等培训，并妥善保存培训计划、签到记录和考核结果。公司可以根据管理需要查阅相关培训资料，督促安保人员了解并遵守本制度有关要求。
All security service providers shall, based on job responsibilities and actual risks, regularly organize training for security personnel on applicable laws and regulations, courteous performance of duties, conflict prevention and de-escalation, emergency response, professional ethics and job-related skills. Training plans, attendance records and assessment results shall be properly retained. The Company may review relevant training materials as necessary for management purposes and urge security personnel to understand and comply with the requirements of this Code.
公司相关部门按照职责分工开展安保服务日常监督，可以通过现场巡查、随机抽查、工作记录核查等方式，对安保服务质量、人员履职行为和制度执行情况进行检查。对检查中发现的问题，公司应当及时向安保服务提供商提出整改要求，并根据实际情况跟踪整改落实情况。
The relevant departments of the Company shall conduct day-to-day supervision of security services in accordance with their respective responsibilities. Inspections may be carried out through on-site patrols, random checks, reviews of work records and other appropriate means, covering service quality, the conduct of security personnel and the implementation of this Code. Where any issue is identified, the Company shall promptly require the security service provider to take corrective action and, as appropriate, follow up on the implementation of such action.
公司结合业务特点、所在地风险状况和安保服务实际，定期对安保服务提供商开展履约和合规评估，并在具备条件的情况下开展现场检查。评估内容主要包括：
Taking into account its business characteristics, local risk conditions and the actual provision of security services, the Company shall regularly assess the contractual performance and compliance of security service providers and, where conditions permit, conduct on-site inspections. Such assessments shall primarily cover:
（一）安保人员行为规范执行情况；
(i) Compliance by security personnel with applicable standards of conduct;
（二）人员资质、教育培训和考核情况；
(ii) Personnel qualifications, education, training and assessment;
（三）安保事件处置、报告和记录情况；
(iii) The handling, reporting and recording of security incidents; and
（四）本制度及合同约定执行情况。
(iv) Compliance with this Code and the relevant contractual provisions.
评估结果将作为安保服务合同续签、调整、暂停或者终止的参考依据。
The assessment results shall serve as a reference for the renewal, adjustment, suspension or termination of security service contracts.
公司建立与安保活动相关的投诉和申诉渠道。员工、社区居民及其他相关方可以通过公司公开的举报电话、举报邮箱、官方网站或者其他联系方式反映有关情况。公司应当按照有关规定对收到的投诉和举报进行登记、核查和处理，并依法保护举报人及相关人员的合法权益。任何单位和个人不得对举报人、投诉人或者配合核查人员实施打击报复。
The Company shall establish channels for complaints and grievances relating to security activities. Employees, community residents and other relevant parties may raise concerns through the Company’s publicly available reporting hotline, reporting email address, official website or other contact channels. The Company shall register, verify and address complaints and reports received in accordance with applicable requirements and shall protect the lawful rights and interests of complainants, whistleblowers and other relevant persons in accordance with law. No entity or individual shall retaliate against any whistleblowers, complainants or persons cooperating with an investigations.
安保服务提供商违反本制度、合同约定或者其他管理要求的，公司可以根据问题性质、情节和影响，采取以下措施：
Where a security service provider violates this Code, contractual provisions or other management requirements, the Company may, depending on the nature, severity and impact of the violation, take the following measures:
（一）要求限期整改，并跟踪整改落实情况；
(i) Require corrective action within a specified period and follow up on its implementation;
（二）要求调整或者更换相关安保人员；
(ii) Require the reassignment or replacement of the relevant security personnel;
（三）暂停或者调整部分安保服务；
(iii) Suspend or adjust part of the security services;
（四）按照合同约定解除安保服务合同或者取消供应商资格；
(iv) Terminate the security service contract or disqualify the provider as a supplier in accordance with the contractual provisions; or
（五）涉嫌违法的，依法移交有关机关处理。
(v)Where a suspected illegal act is involved, the matter shall be referred to relevant authorities in accordance with law.
附则
Supplementary Provisions
本制度自发布之日起施行。如本制度与国家法律法规、监管规定或其他强制性要求存在不一致的，以国家法律法规、监管规定及强制性要求为准。
This Code shall come into effect on the date of issuance. In the event of any inconsistency between this Policy and applicable national laws, regulations, regulatory requirements, or other mandatory provisions, such national laws, regulations, regulatory requirements and mandatory provisions shall prevail.
