奖惩制度更新稿.doc

奖惩制度修订的背景Backgroundof Revision to Reward and Penalty System1.现行的奖励程序对员工职责范围内的行为不进行奖励。但经过1年多的实践，有67.5%的奖励申请针对员工职责范围内的表现，如发现事故隐患，为公司避免严重损失或者在工作中取得了突出的成绩。虽然这些是员工职责之内的工作，但是反映了责任和持续改进的企业文化，值得表彰并向其他员工宣传。经过绩效管理工作小组的讨论，建议修订奖励程序，对员工在职责范围以内取得突出的业绩表现，也进行相应的奖励。According to the existing reward and penalty procedure,employees do not receive rewards for their goodbehaviors inthe scope of their job responsibility. However, in the practice of over one year,67.5% reward application was for employees performance in their job responsibilities, such as findinghazards, preventing severe loss from being caused to the Company or making excellent performance in their work. Although such deeds are parts of the employees responsibilities, it reflects sense of responsibility and the companys culture of continuous improvement, deservingrecognitionand publicity to other employees. After discussionby performance management work team, it is suggested that theexisting reward and penaltyprocedure should be revised, in such that employees can be rewarded accordingly fortheir outstanding performance in the scope of their responsibilities.2.目前部门主任的奖金批准额度为500元/人，这个批准权限较小，本次修订建议扩大部门主任的批准额度至2000元/人，2000元以上的奖励申请由总经理和副总经理批准。At present, the authority level ofdepartment director forbonus approval is 500 RMB/person, this authority level is too low, after revised this time, the authority level ofdepartment directorwill be increased to 2000 RMB/person,reward application for above 2000RMB will be approved byGM and DGM.3.现行的奖惩制度于2003年制定，4年来公司的组织结构发生了较大变化，本次对此也作了相应的修改。The existing reward and penalty system was established in 2003, since then great changes have happenedover the past 4 years, revision about this aspect is also made this time奖惩制度（更新稿）Rewards & Disciplinary Actions Policy (Revision)目的 Objective提高员工的积极性和创造性，发挥员工的潜力，形成良好的工作规范，有效地激励员工，凝聚全体员工共同建立世界级的业绩标准。To enhance staffs initiative and creativity, exert their potential, form good conduct code, motivate them effectively and exhibit cohesion within the staff, so as to establish the world class performance standard together.适用范围 Scope of Application公司所有员工，包括雇员、股东方派遣人员及借用人员和其他临时人员等。All Staff include employees, secondees from shareholders and borrowed personnelother temporary staff.职责 ROLES & RESPONSIBILITY1. 各部门 Functional Departmenta) 视需要对构成奖励或惩处的行为进行调查和证据收集Conduct investigation and evidence collection for the behaviors which lead to rewards or disciplinary actions.b) 员工个人或主管可提出奖励申请，由直接主管填写申请表并提请批准Employee or the line manager can raise the request of rewards, and the line manager shall complete the application form and submit for approval. c) 经部门主任批准后可实施一般奖励Shall carry out the General Reward after getting approval from the department director.d) 对违纪员工实施正式口头警告或正式书面警告的处罚并做好相关记录Shall carry out the Formal Oral Warning and Formal Written Warning to the relevant staff and make the relevant recordse) 辅导违纪员工并帮助他们制订行动计划以改正不当行为Shall provide coaching to the relevant staff and help him/her to make action plan to correct improper behavior f) 对奖励或处罚的结果进行存档Shall keep the file of reward or discipline as record.2. 人力资源部 HR Departmenta) 根据公司的财务状况制定每年的奖励预算并报管理层批准Shall budget annual rewards fund and submit to the management for approval.b) 对部门提交的奖励申请进行初步评估并提出建议Shall make a preliminary evaluate for the depts application and raise advice.c) 组织召开绩效管理委员会以及工作小组会议Organize the Performance Committee and Working Party meeting.d) 对批准的奖励方案的执行进行跟踪和监督Shall follow up and supervise the final implementation of the approved reward plan.e) 接受调解？员工提出的由奖惩引发的各类申诉和争议Shall receive appeals and disputes which are led by rewards or discipline actions.f) 对奖励或处罚的结果进行存档Shall keep the file of reward or discipline actions in the staffs personal file.3. 公司绩效管理委员会及工作小组 The company performance management committee and its working partya) 公司成立绩效管理委员会：由总经理、副总经理及各部门主任组成，绩效管理委员会下设工作小组，小组成员将由各个部门推荐的三层以上经理人员组成固定小组还是临时性组成的小组。小组组长将由人力资源部主任担任。工作小组负责制定相关的工作章程和细则。The company sets up PM Committee which comprises GM, DGM and the Department Directors; the working party is working under the PM Committee with the members should be level 3 and above managers nominated by each department. The team leader will be assumed by HR Director. The working parties shall constitute the principles and detailed work regulations.b) 公司绩效管理委员会每年根据得到管理层批准的奖励预算制定奖励资金分配方案资金分配方案未在本制度中进行说明The company performance management committee shall annually define the allocation scheme for the rewards bounds which approved by the management.c) 公司绩效管理委员会将涉及奖惩的重大事项审定，其他事件将授权绩效管理工作小组处理The crucial affairs related reward/disciple will be reviewed and approved by the company performance management committee while the others will go to the working party. d) 绩效管理工作小组将根据情况不定期地举行会议对提出的申请进行评估、审核并决定相应的奖惩方案 The working party shall organize the team meeting aperiodically as required to evaluate, review for the application and make decision for reward/discipline plan.e) 绩效管理工作小组将视需要协助部门进行调查取证工作The working party shall assist the department in the investigation and evidence collection as required. 资金列支渠道 Financing Source涉及对公司直接雇员给予奖励的资金将在公司的工资总额中列支The fund related the rewards to the companys direct-hired employees shall be listed in the company total salary amount.涉及对其它员工给予奖励的资金将参照相关的合同/协议确定渠道及支付方式The fund related the rewards to the other staff shall consult related contract /agreement for the source and payment.一 奖励 Rewards1. 奖励等级及标准 Rewards Level and Standard公司对员工实施奖励,首先应注重对员工的精神鼓励和认可，公司将对值得总结和提倡的好的行为进行内部宣传和通报表扬，并对员工在本职工作中取得重大成就和对公司生产运营做出突出贡献，以及超过本职工作范围的贡献进行如下的奖励：The awards to employees shall give priority to its spiritual encouragement and recognition. Our company will internally propagandize and recognize those good practices worth of learning and advocating through notifications and will give the following awards for the significant achievements in his own work and prominent contributions to companys production and operation as well as those contributions beyond his scope. 1) 一般奖励General Reward对于响应公司号召，积极参加公司组织的活动，表现突出的员工，可申报一般奖励，给予200-2,000元一次性奖励。包括但不限于下列事件： For the staff that are in response to companys call to take an active part in the activities organized by company and demonstrate the outstanding performance could be declared to General Rewards and bestowed an one-off reward of 200-2,000Rmb, these events are included but not limited:a 在公司组织的主题活动中表现突出的Demonstrate the outstanding performance in the theme activity organized by company.b 积极提交HSSE潜在事故报告，取得良好效果Submit HSSE near miss report actively and get good effect.c 向公司提出合理化建议，取得良好效果Submit the helpful, practical and rational suggestion to company and get good effect.d 为公司创造了较大的可衡量经济效益我认为还是保留以前的标准比较好或挽回相应的直接经济损失Make a big measurable profit or avoid direct economic loses of 10k - 100kRmb beyond the staffs own duty for company. 2) 通报奖励Commendation Notice对于遵守员工守则，维护企业利益，维护企业荣誉或完成企业专项目标（任务）做出突出贡献者，可申报通报奖励，并给予一次性奖励2,000-10,000元，包括但不限于下列事件：For the staff that comply with “Staff Handbook”, defend enterprises interest and honor, achieve enterprise special goal (task) and make outstanding contribution could be declared to Commendation Notice; Confer Commendation Notice honorary certificate and bestowed an one-off reward of 2,000-10,000Rmb and below, these events are included but not limited: a 发现重大事故隐患，并迅速采取相应行动Discover serious accident potential and take corresponding action rapidly.b 为维护公司荣誉和利益而做出突出贡献Make outstanding contribution in companys honor and benefit. c 在完成公司专项目标（任务）中做出突出贡献Make outstanding contribution in achieving companys special goal (task).d 为公司创造了重大的可衡量经济效益或挽回相应的直接经济损失10 -100万元eMake a significantmeasurable profit or avoid direct economic loses of 100k -1MRmb beyond the staffs own duty for company. 3) 特别嘉奖Special Commendation对于完成公司专项目标（任务）或提高企业经济效益和促进企业经济技术发展做出重大贡献，或在维护社会公共利益，提高公司社会影响力方面有突出表现者，可申报特别嘉奖，除通报全公司表彰外，授予“特别嘉奖”荣誉证书，并给予一次性奖励1-10万元，包括但不限于下列事件： For the staff that make significant contribution in achieving the companys special goal (task) or improving economic benefits, promoting economic and technical development for the company, or making outstanding contribution in defending social interest, enhancing companys social impact, could be declared to Special Commendation; Confer Special Commendation honor certificate and bestowed an one-off reward of 10,000-100,000Rmb, these events are included but not limited: a 在完成公司建设、生产、规划、技术、管理等方面具有关键意义的重大专项目标中做出杰出贡献Make outstanding contribution in achieving the significant special goal of the crucial aspects e.g. construction, production, program, technology and management.b 超职责范围主动制止和防止各类紧急事故，使公司免受意外重大人员伤亡和重大经济损失Stop and prevent from emergency beyond responsibility scope, so as not to lead the company unexpected casualties and heavy economical loss.c 被采纳的合理化建议在公司建设、生产过程中取得直接或间接经济效益，或在公司规划、技术、管理等方面取得显著成果；The accepted rationalization proposal gets direct or indirect economic benefits in companys construction or production course or achieves notable accomplishment in the aspects, such as companys planning, technology and management, etc.d 为公司在本岗位工作职责以外创造巨大的可衡量经济效益或挽回相应的直接经济损失.100万元及以上Make a tremendousmeasurable profit or avoid direct economic loses of 1MRmb and above beyond the staffs own duty for company. 2. 奖励程序Reward Procedure 1) 一般奖励General Reward相关部门填写“奖励申请表”（附件1），提交给部门主任批准后生效。Related department will make the request by filling out “Reward Application Form” (Exhibit 1) and carry out after approved by the department director. 奖励文件由受奖员工的主管负责存入部门员工档案The line manager shall keep the Reward file in departmental staff file.2) 通报表扬通报奖励及特别嘉奖Special Commendation and Commendation Notice相关部门填写“奖励申请表”（附件1），提交给人力资源部绩效管理人员, 经其对奖励等级及奖励金额进行初审后交公司绩效管理委员会工作小组。Related department will make the request by filling out “Reward Application Form” (Exhibit 1) and submit to HR Performance Management Staff. HR shall submit to Performance Management Committee working party after preliminary reviewing the application report on the type and amount of the reward.通报奖励和特别嘉奖由绩效管理工作小组报请绩效管理委员会进行审批The application for Commendation and Special Commendation must submitted by the working party to the PM committee for the approval.奖励文件及奖金由人力资源部及相关部门负责宣传并落实HR and related department are responsible for publicizing and carrying out the award files and material award. 奖励文件由人力资源部负责存入员工个人档案HR Dept shall keep the Reward file in the staffs personal file. 二 惩处 Disciplinary Actions1. 惩处等级Level of Discipline Actions1) 正式口头警告Formal Oral Warning 属下列行为之一者，将被给予正式口头警告Examples of offences will lead to Formal Oral Warning a 6个月内发生2 次无故迟到或早退2 times lateness for work or leaving early without reason within 6 months.b 上班时间做与工作无关的事情影响到工作或有可能影响工作Doings not related to the job and affected or will possibly affect the job during working hoursc 不按照岗位标准工作Failure to maintain working standardsd 未经许可擅自带外人进入公司场地参观Showing the visitors around the companys office/plant without permission. e 因过失造成公司轻微损失Leading the company light loss, due to individual mistake.上述所列并不包括全部的违规This list is not exclusive or exhaustive.正式口头警告将在6个月内“有效”，6个月内第二次正式口头警告将自动升级为正式书面警告The Formal Oral Warning will remain “active” for six months. A second Formal Oral Warning will automatically move to next higher level of Formal Written Warning.2) 正式书面警告Formal Written Warning属下列行为之一，或在6个月内受到两次正式口头警告者，将给予正式书面警告Examples of offences or a second Written Warning in 6 months will lead to Formal Written Warning a 不按规定穿戴劳防保护用品Failure to wear specified safety equipment. b 未经直接主管批准擅自缺勤Absence from duty without line supervisors approvalc 在非生产现场但未经许可的区域吸烟Smoking in unauthorized area (non-plant site).d 工作时间在生产现场未经允许睡觉Sleeping in plant during working hours without permission.e 未经许可擅自操作公司的生产设备Use another staffs tools without permissionf 没有汇报人身伤害事故或其它事故Failure to report injury or accident. g 对公司的信息技术资产有非正当使用的行为Use the company IT facilities in an unacceptable manner.h 因过失以致造成公司重大损失Leading to heavy economic loss, due to individual mistake.上述所列并不包括全部的违规This list is not exclusive or exhaustive.正式书面警告将在6个月内“有效”，6个月内第二次正式书面警告将自动升级为解雇The Formal Written Warning will remain “active” for six months. A second Formal Written Warning will automatically move to next higher level of Dismissal.3) 解雇/ 退回原单位Dismissal / sending back to the employing unit 属下列行为之一，或在6个月内受到两次及以上正式书面警告者，将导致解雇（对公司直接雇员）或退回原单位（对其它员工）Examples of offences or a second formal written warning in 6 months will normally lead to dismissing (for the companys direct-hired employee ) or sending back to the employing unit (for other staff)a 违反安全规定，未经授权在生产区域的禁火区吸烟、使用明火或携带打火机等火种Smoking, unauthorized using of naked flames, or carrying lighters in no-fire areas of plant site in contravention of safety regulations.b 故意违反安全规则，或故意不履行工作职责，以至造成公司重大损失Leading to heavy economic loss, due to willful disregard of safety rules, or willful failure to perform job duties. c 故意不按规定穿戴劳防保护用品或由于不按规定穿戴劳防保护用品而导致严重后果Willful failure to wear specified safety equipment, or lead to a great loss due to failure to wear specified safety equipment.d 拒绝遵守合理的指示Refusal to obey a reasonable instruction.e 暴力行为Violent behavior f 未经直接主管批准，擅自缺勤两天及以上2 days and above absent from duty without line supervisors approval.g 偷窃或故意损毁公司或员工财产Willful damage/destruction or steeling the company or staffs property of the Company assetsh 故意隐瞒人身伤害事故或其它事故，或由于没有汇报人身伤害事故或其它事故而导致严重后果Willful failure to report injury or accident, or lead to a great loss due to failure to report injury or accident.i 伪造或修改公司记录，泄露公司保密信息Falsify company records, removal of the company records or release of confidential informationj 故意对公司的信息技术资产进行非正当的使用而导致严重后果Willful use the company IT facilities in an unacceptable manner and accordingly lead to a great loss. k 法律上确认的性骚扰行为、种族歧视等行为Behavior of sexual harassment，racialism which defined by the law l 在工作场地喝酒或酒醉上班Consumption of alcoholic liquor on the work site, or to arrive drunk at work.m 工作时受毒品影响或拥有毒品To be under the influence of or in possession of drugs at workn 滥用公司职务而使自己处于间接或直接获利地位Profit or place him/her self in a position to profit, directly or indirectly, through the misuse of their company position.o 严重失职，营私舞弊，对公司利益造成重大损害的To cause great losses to the company due to serious dereliction of duty or engagement in malpractice for selfish endsp 被依法追究刑事责任的To be investigated for criminal responsibilities in accordance with the law上述所列并不包括全部的违规This list is not exclusive or exhaustive.2. 惩处程序 Procedure of Disciplinary Actions1) 正式口头警告Formal Oral Warning直接主管填写“处分表”（附件2），并报部门主任批准The first line supervisor shall fill out the “Disciplinary Actions Plan Form” (Exhibit 2) and get approve from Department Director.直接主管负责组织与违纪员工进行正式的、非公开的谈话，告知其具体的错误行为。The first line supervisor should organize a discussion with the staff to formally, and in private, inform the specific problem.直接主管须填写 “处分表”（附件2）及“正式口头警告谈话指引”（附件3）， 并将其存入该员工绩效考核的相关文件中The first line supervisor should complete “Disciplinary Actions Plan Form” (Exhibit 2) and “Formal Oral Warning Discussion Guide” (Exhibit 3) and keep the files of discipline actions to the employees performance appraisal document. 2) 正式书面警告 Formal Written Warning直接主管填写“处分表”（附件2），经部门主任批准后报请绩效委员会的批准。The first line supervisor shall fill out the “Disciplinary Actions Plan Form” (Exhibit 2) and get approval from the department Director, than report to the Performance committee for the approval. 由部门书写并经人力资源部审核的“警告信”(附件4)，将由直接主管负责发给违纪员工并与其进行谈话，同时指导违纪员工完成“员工纠错行动计划”（附件5）.The first line supervisor shall send “Warning Letter” (Exhibit 4), which drafted by the department and reviewed by HR, to the relevant staff, meanwhile discuss with the staff and help the staff to complete “Staff Corrective Action Plan” (Exhibit 5).直接主管负责将“处分表”（附件2）及警告信复印件存入该员工绩效考核的相关文件中，并在处分发生两周内将所有文件的复印件交人力资源部备案The first line supervisor shall keep the file of “Disciplinary Actions Plan Form”(Exhibit 2) and “Warning Letter” (Exhibit 3) to the employees performance appraisal document as well as submit a copy for all relevant document to HR in 2 weeks since the disciplinal action occurred.人力资源部负责将保存警告文件并存入员工的个人档案HR shall keep the file of discipline actions in the staffs personal file3) 解雇Dismissal直接主管填写“处分表”（附件2），阐明原因，经部门主任批准后报请绩效委员会的批准。The first line supervisor should fill out the “Disciplinary Actions Plan Form” and get approval from the department Director, than report to the Performance committee for the approval.绩效委员会须征求工会及法务部门意见。The Performance committee should get an agreement from Legal and Labor union.人力资源部负责解雇的各种文件准备、通知员工并办理相关手续HR shall be responsible to prepare the dismissal related documents, notify the staff and carry out the dismissal transaction4) 退回原单位Sending back to the employing unit直接主管填写“处分表”（附件2），阐明原因，经部门主任批准后报请绩效委员会的批准。The first line supervisor should fill out the “Disciplinary Actions Plan Form” and get approval from the department Director, than report to the Performance committee人力资源部负责通知员工及其原单位并办理相关手续HR shall be responsible to notify the staff and his/her employing unit and carry out the transaction on sending the staff back.3. 惩处附则Supplementary Articles of Disciplinary Actions 1) 被批准的处分将作为年终业绩考核的依据之一The approved disciplinary plan will be one of the references to annual performance appraisal f