总则 General Provisions
为进一步规范中国神华能源股份有限公司（以下简称“公司”）及所属单位经营行为，防范贿赂、腐败、利益输送等合规风险，维护公平、公正、廉洁的商业环境，保障公司依法合规、诚信稳健运营，结合公司实际，制定本制度。
To further regulate the business conduct of China Shenhua Energy Company Limited (hereinafter referred to as the “Company”) and its subsidiaries and affiliated entities, prevent compliance risks such as bribery, corruption, and improper transfers of benefits, maintain a fair, just, and ethical business environment, and ensure the Company’s lawful, compliant, honest, and prudent operations, this Policy is formulated based on the Company’s actual circumstances.
本制度依据《中华人民共和国反不正当竞争法》《中华人民共和国民法典》《中华人民共和国刑法》《中华人民共和国监察法》《中华人民共和国公司法》《国有企业领导人员廉洁从业规定》《中央企业合规管理办法》等法律法规，并参考联合国可持续发展目标、联合国全球契约组织十项原则、《联合国反腐败公约》《联合国商业与人权指导原则》（UNGPs）及经济合作与发展组织（OECD）《跨国公司行为准则》等国际准则制定。
This Policy is formulated pursuant to the Anti-Unfair Competition Law of the People’s Republic of China, the Civil Code of the People’s Republic of China, the Criminal Law of the People’s Republic of China, the Supervision Law of the People’s Republic of China, the Company Law of the People’s Republic of China, the Provisions on Integrity Performance for Leading Personnel of State-Owned Enterprises, the Measures for the Compliance Management of Central Enterprises, and other applicable laws and regulations, with reference to international standards and frameworks, including the United Nations Sustainable Development Goals, the Ten Principles of the United Nations Global Compact, the United Nations Convention against Corruption, the United Nations Guiding Principles on Business and Human Rights (UNGPs), and the Organisation for Economic Co-operation and Development (OECD) Guidelines for Multinational Enterprises.
本制度适用于公司本部及所属分公司、全资子公司、控股子公司（以下统称“各单位”）及其所有员工，以及代表公司开展业务的代理商、顾问、供应商、承包商和其他业务伙伴。
This Policy shall apply to the Company’s headquarters and its branches, wholly-owned subsidiaries, and controlled subsidiaries (collectively referred to as the “Units”), as well as all employees thereof. It shall also apply to agents, consultants, suppliers, contractors, and other business partners who conduct business on behalf of the Company.
公司坚持诚信、透明、公平、审慎的商业原则，严格遵守适用法律法规及商业道德规范，对任何形式的贿赂、腐败、勒索、欺诈、舞弊、利益输送及其他不正当商业行为采取零容忍态度，致力于构建廉洁合规、公平竞争、诚信共赢的商业环境。
The Company adheres to the business principles of integrity, transparency, fairness, and prudence, and strictly complies with applicable laws, regulations, and business ethics standards. The Company adopts a zero-tolerance approach toward any form of bribery, corruption, extortion, fraud, misconduct, improper transfers of benefits, or other unethical business practices, and is committed to fostering an ethical, compliant, fair, and mutually beneficial business environment.
禁止行为 Prohibited Conduct
公司禁止任何形式的贿赂、腐败及不正当利益输送行为。员工及代表公司开展业务活动的第三方不得直接或间接向政府机构、监管机构、客户、供应商、承包商、合作伙伴及其他利益相关方提供、承诺、给予、索取或收受任何不正当利益，包括但不限于现金、礼品、招待、回扣、赞助、捐赠、就业机会、商业机会或其他具有经济价值的利益，以影响商业判断、获取不当竞争优势或谋取其他不正当利益。
The Company prohibits bribery, corruption, and improper transfers of benefits in any form. All employees of the Company and third parties acting on behalf of the Company shall not, directly or indirectly, offer, promise, or give any improper benefits to, or solicit, or accept any improper benefits from, government authorities, regulatory bodies, customers, suppliers, contractors, business partners, or other stakeholders, including but not limited to cash, gifts, hospitality, kickbacks, sponsorships, donations, employment opportunities, business opportunities, or other benefits of economic value, for the purpose of influencing business judgment, obtaining improper competitive advantages, or securing any other improper benefits.
公司禁止通过虚假合同、虚假交易、虚开发票、异常费用安排、无实质服务的中介活动、隐瞒实际受益人、账外资金或其他不透明方式实施、掩盖或规避贿赂、腐败及利益输送行为。所有业务活动及财务记录应真实、准确、完整，并符合公司管理制度及适用法律法规要求。
The Company prohibits the use of false contracts, fictitious transactions, fraudulent invoices, unusual expense arrangements, intermediary activities without substantive services, concealment of beneficial ownership, off-book funds, or other opaque arrangements to commit, conceal, or circumvent bribery, corruption, or improper transfers of benefits. All business activities and financial records shall be maintained in a truthful, accurate, and complete manner and shall comply with the Company’s management policies, applicable laws, and regulatory requirements.
公司禁止任何形式的利益冲突及利用职务便利谋取个人或关联方利益的行为。员工不得利用职务、岗位影响力或公司资源为本人、亲属、朋友、关联方或其他特定关系人谋取不当利益。涉及关联交易、个人投资、外部兼职、亲属关系或其他可能影响独立判断的情形，员工应主动申报并按照公司要求采取回避、审批或其他风险管控措施。
The Company prohibits conflicts of interest in any form and any conduct involving the use of one’s position or authority to obtain personal or related-party benefits. Employees shall not use their positions, influence, or Company resources to obtain improper benefits for themselves, their relatives, friends, affiliated parties, or other specific related persons. Employees shall proactively disclose any circumstances involving related-party transactions, personal investments, external employment, family relationships, or other situations that may affect independent judgment, and shall take recusal measures, approval, or other risk mitigation measures in accordance with the Company’s requirements.
公司禁止利用礼品、招待、差旅、培训、会议、公益捐赠、商业赞助及市场活动等形式实施或变相实施利益输送。相关活动应具有真实、合理、合法的商业或公益目的，并符合公司制度要求，不得用于影响采购交易、项目审批、合同签署、供应商评价、监管决策或获取其他不当利益。
The Company prohibits the use of gifts, hospitality, travel, training, conferences, charitable donations, commercial sponsorships, marketing activities, or other similar arrangements to conduct or disguise improper transfers of benefits. Such activities shall have genuine, reasonable, and legitimate business or charitable purposes and shall comply with the Company’s policies and applicable laws and regulations. They shall not be used to influence procurement transactions, project approvals, contract execution, supplier evaluations, regulatory decisions, or to obtain any other improper benefits.
公司禁止在采购、招投标、工程建设、销售、物流运输、资产处置及其他经营活动中实施腐败或破坏公平竞争的行为，包括但不限于操纵招投标、围标串标、泄露商业信息、违规指定供应商或合作伙伴、接受回扣或其他不当利益，利用职务便利干预业务决策或经营流程。
The Company prohibits any form of corruption or conduct that undermines fair competition in procurement, tendering and bidding, engineering construction, sales, logistics and transportation, asset disposal, and other business activities, including but not limited to manipulating tendering and bidding processes, engaging in bid rigging or collusive bidding, disclosing confidential business information, improperly designating suppliers or business partners, accepting kickbacks or other improper benefits, and using one’s position or authority to interfere with business decisions or operational processes.
公司禁止以捐赠、赞助、公益支持、合作研究、培训交流等名义实施贿赂或利益输送。公司及各单位开展捐赠、赞助等活动，应当符合公司制度规定，履行审批程序，确保用途真实、金额合理、对象合规、记录完整。不得将捐赠、赞助等作为获取商业机会、影响审批结果、规避监管要求或向特定人员输送利益的手段。
The Company prohibits the use of donations, sponsorship, charitable support, collaborative research, training exchanges, or similar activities as a means to conduct bribery or improper transfers of benefits. Donations, sponsorship, and related activities conducted by the Company and its affiliated entities shall comply with the Company’s policies and procedures, undergo the required approval processes, and ensure that the purpose is genuine, the amount is reasonable, the recipients are appropriate, and relevant records are complete. Donations, sponsorship, and similar activities shall not be used to obtain business opportunities, influence approval outcomes, circumvent regulatory requirements, or transfer benefits to specific individuals.
公司禁止任何形式的妨碍调查、隐瞒证据、串供及打击报复行为。任何单位和个人不得干扰、阻碍公司开展的合规调查，不得因举报、投诉、配合调查或拒绝参与腐败行为而对相关人员采取任何形式的不利措施。
The Company prohibits any form of obstruction of investigations, concealment of evidence, collusion in providing false or coordinated statements, or retaliation. No entity or individual shall interfere with or obstruct compliance investigations conducted by the Company, or take any form of adverse action against any person for reporting concerns, filing complaints, cooperating with investigations, or refusing to participate in corrupt practices.
腐败风险防控 Corruption Risk Prevention and Control
公司建立健全腐败风险防控机制，定期开展反腐败风险识别、评估和管理工作，重点关注采购招标、工程建设、项目投资、市场营销、销售交易、对外合作、政府关系及其他高风险业务领域。公司根据风险评估结果制定针对性的防控措施，并持续完善相关管理机制。
The Company shall establish and continuously improve its corruption risk prevention and control mechanisms and conduct regular identification, assessment and treatment of corruption risks. The Company shall pay particular attention to high-risk areas, including procurement and tendering, engineering construction, project investment, marketing, sales transactions, external cooperation, government relations, and other business activities. Based on risk assessment results, the Company shall implement targeted risk mitigation measures and continuously improve relevant management mechanisms.
公司应加强第三方腐败风险管理。在与供应商、承包商、代理商、顾问、中介机构、合作伙伴及其他业务相关方建立或维持业务关系前，公司应根据风险情况开展必要的反腐败尽职调查，了解第三方的背景信息、资质情况、商业信誉、合规记录及反腐败管理措施。
The Company shall strengthen corruption risk management of third parties. Prior to establishing or maintaining business relationships with suppliers, contractors, agents, consultants, intermediaries, business partners, or other relevant parties, the Company shall conduct necessary anti-corruption due diligence based on the level of risk, including reviewing the third-parties’ background, qualifications, business reputation, compliance history, and anti-corruption management practices.
公司应根据第三方风险评估结果采取相应管理措施。对于高风险第三方，公司可采取增强尽职调查、持续监督、专项审查等措施，并在相关合同中纳入反腐败、利益冲突、信息披露、审计配合及违约责任等合规条款，明确双方廉洁合规责任。
The Company shall implement appropriate management measures based on third-party risk assessment results. For high-risk third parties, the Company may adopt enhanced due diligence, ongoing monitoring, and special reviews. Relevant contracts shall include compliance provisions concerning anti-corruption, conflicts of interest, information disclosure, audit cooperation, breach of contract, and other applicable requirements, clearly defining the integrity and compliance responsibilities of both parties.
公司应持续加强采购、招投标、合同管理及重大经营活动中的腐败风险防控，确保相关业务流程公开、透明、公平。公司应建立供应商准入、评价和管理机制，规范采购决策、合同签署、项目验收、结算付款等关键环节，防范商业贿赂、利益输送及其他不正当行为。
The Company shall continuously strengthen corruption risk prevention and control in procurement, tendering and bidding, contract management, and other major business activities to ensure that relevant processes are open, transparent, and fair. The Company shall establish supplier admission, evaluation, and management mechanisms, and standardize key processes including procurement decisions, contract execution, project acceptance, settlement, and payment to prevent commercial bribery, improper transfers of benefits, and other unethical practices.
公司应持续开展反腐败监督、检查和改进工作，对发现的腐败风险、违规行为或管理缺陷及时采取整改措施。公司鼓励员工及相关方通过合规渠道举报涉嫌腐败、贿赂或其他不当行为，并依法保护举报人及相关人员的合法权益。
The Company shall continuously conduct anti-corruption supervision, reviews, and improvement activities, and take timely corrective actions in response to identified corruption risks, violations, or management deficiencies. The Company encourages employees and relevant parties to report suspected bribery, corruption, or other misconduct through appropriate channels and protects the legitimate rights and interests of whistleblowers and related individuals in accordance with applicable laws.
廉洁教育与文化 Integrity Education and Culture
公司持续推进廉洁文化建设，将诚信、廉洁、合规理念融入企业文化体系和日常经营管理活动，通过制度宣贯、宣传教育、案例警示、文化活动等多种方式，提升员工廉洁意识，营造诚信守法、廉洁从业的企业文化氛围。
The Company continuously promotes the development of an integrity culture by integrating the values of integrity, honesty, and compliance into its corporate culture and daily business operations. Through policy communication, awareness campaigns, case-based education, and other cultural initiatives, the Company enhances employees’ integrity awareness and fosters a corporate culture of ethical conduct, compliance, and responsible business practices.
公司建立健全反腐败培训机制，根据员工岗位职责、业务特点及风险水平开展有针对性的廉洁教育和反腐败培训，重点覆盖管理人员、关键岗位人员以及涉及采购、财务、工程建设、市场营销、供应商管理等高风险业务领域的员工。公司定期开展相关法律法规、制度要求及典型案例培训，并通过培训记录、效果评估等方式持续提升培训质量和覆盖范围。
The Company shall establish and improve its anti-corruption training mechanism and provide targeted integrity education and anti-corruption training based on employees’ responsibilities, business characteristics, and risk exposure. Such training shall focus on management personnel, employees in key positions, and those involved in high-risk business areas, including procurement, finance, engineering construction, marketing, and supplier management. The Company shall regularly provide training on relevant laws and regulations, internal policies, and case studies, and continuously enhance training quality and coverage through training records and effectiveness evaluations.
监督检查与问责 Supervision, Inspection and Accountability
公司建立健全反腐败监督检查机制，持续监督和评估反腐败制度执行情况。公司通过内部审计、合规检查、专项监督、风险排查等方式，加强对重点领域、关键岗位及高风险业务环节的监督管理，及时发现并整改廉洁风险和合规问题。
The Company shall establish and improve its anti-corruption supervision and inspection mechanisms and continuously monitor and evaluate the implementation of anti-corruption policies. Through internal audits, compliance reviews, special inspections, and risk assessments, the Company shall strengthen oversight of key areas, critical positions, and high-risk business activities, and promptly identify and rectify corruption risks and compliance issues.
公司建立举报受理和调查处理机制，鼓励员工、供应商、客户、合作伙伴及其他利益相关方通过适当渠道举报涉嫌贿赂、腐败、舞弊、利益冲突及其他违规行为。公司应按照相关程序开展线索登记、评估、调查、处理和整改跟踪工作，并依法依规保护举报人及相关人员的合法权益。
The Company shall establish mechanisms for receiving and investigating reports and encourage employees, suppliers, customers, business partners, and other stakeholders to report suspected bribery, corruption, fraud, conflicts of interest, or other misconduct through appropriate channels. The Company shall manage reported concerns through procedures including registration, assessment, investigation, resolution, and remediation follow-up, and protect the legitimate rights and interests of whistleblowers and related individuals in accordance with applicable laws and regulations.
公司禁止任何形式的打击报复行为。任何单位和个人不得因相关人员举报、投诉、协助调查、提出合规疑问或拒绝参与违规行为，而对其采取威胁、骚扰、降职、降薪、解除劳动关系、终止合作或其他不利措施。
The Company prohibits retaliation in any form. No entity or individual shall take adverse actions, including threats, harassment, demotion, reduction in remuneration, termination of employment, termination of cooperation, or other unfavorable measures against any person for reporting concerns, filing complaints, assisting investigations, raising compliance questions, or refusing to participate in misconduct.
公司建立反腐败整改和问责机制。对于违反公司反腐败及廉洁管理要求的行为，公司将根据违规性质、情节严重程度、影响范围及造成损失等因素，采取相应处理措施，包括教育提醒、批评纠正、纪律处分、解除劳动关系、追究经济责任或移交有关机关处理等。
The Company shall establish mechanisms for anti-corruption remediation and accountability. For violations of the Company’s anti-corruption and integrity requirements, the Company shall take appropriate actions based on factors including the nature and severity of the violation, scope of impact, and resulting losses. Such actions may include education and guidance, corrective measures, disciplinary actions, termination of employment, recovery of losses, or referral to competent authorities where required.
公司对涉及业务伙伴的腐败违规行为实施相应管理措施。对于违反反腐败要求的供应商、承包商、代理商、顾问及其他合作伙伴，公司可根据情节采取限期整改、暂停合作、解除合同、追究违约责任、限制合作资格或采取其他必要措施。
The Company shall take appropriate measures against corruption-related misconduct involving business partners. For suppliers, contractors, agents, consultants, or other business partners that violate anti-corruption requirements, the Company may take actions including requiring corrective actions within a specified period, suspending cooperation, terminating contracts, pursuing contractual liabilities, restricting future cooperation, or implementing other necessary measures.
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 Policy 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 laws, regulations, regulatory requirements, or mandatory provisions shall prevail.
