烟台中集来福士海洋工程有限公司(包括集团公司以及其子

1、采购管理部行为准则Procurement Code of ConductYCRO-WB-103 1.0018/08/20101. 目的烟台中集来福士海洋工程有限公司（包括集团公司以及其子公司，烟台中集来福士海洋工程有限公司、烟台中集莱佛士船业有限公司、海阳中集来福士海洋工程有限公司、龙口中集来福士海洋工程有限公司以及中集莱佛士海洋工程有限公司（新加坡）采购管理部的员工，在与供应商接触中，对公司公众形象确立和公司的信誉的起着重要的作用。本行为准则是用来规范和指导烟台中集来福士采购管理部员工以及在采购过程中涉及到的人员的行为准则和职业道德，使他们的行为方式符合烟台中集来福士的最高利益。2. 编制和

2、适用范围本行为准则由烟台中集来福士采购管理部编制，适用于公司采购管理部所有员工（包括集团公司以及其子公司，烟台中集来福士海洋工程有限公司、烟台中集莱佛士船业有限公司、海阳中集来福士海洋工程有限公司、龙口中集来福士海洋工程有限公司以及中集莱佛士海洋工程有限公司（新加坡），包括直接或者间接参与到采购活动中的人员。此行为准则对烟台中集来福士的供应商有同样效力。3. 定义与分类无4. 职责4.1 采购管理部所有员工执行本行为准则的相关要求4.2 供应商执行本行为准则的相关要求5. 过程要求准则概述：为了公司的利益，烟台中集来福士推行公开，透明的商业行为。 这包括在我们的采购过程中严格遵守一系列行为准则

3、：准则一 利益冲突准则二 礼品和邀请准则三 行贿和受贿准则四 自由竞争准则五 平等原则准则六 保密准则和信息准确准则七 企业社会责任准则八 沟通任何个人对此行为准则或其适用范围有任何疑问，请向上级领导寻求建议。5.1 准则一 - 利益冲突员工应该恪尽职守，履行其职责和义务，避免个人商业行为或专业活动造成员工个人和烟台中集来福士之间的利益冲突。应严厉禁止的一些例子：Ø 禁止员工与任何正在与烟台中集来福士或者寻求与烟台中集来福士合作的供应商发生任何实质的所有权关系或者利益关系。Ø 未经烟台中集来福士执委会的书面批准，任何人不得在与烟台中集来福士有生意往来的供应商或者正在寻求与烟

4、台中集来福士合作的公司中任职。5.2 准则二 - 礼品和邀请5.2.1烟台中集来福士致力于以公开和有章可循的方式处理礼品和邀请的问题。礼品和邀请包括但不仅限于：Ø 任何免费的物品或者服务Ø 非面向公众的物品或者服务的折扣Ø 参加餐饮，住宿，旅行，娱乐或其他活动的机会5.2.2收到任何礼品和邀请应立即上报直线经理同时由行政经理负责登记在册。5.2.3所谓礼品不包括很小价值的物品，例如记事本，日历等。接收到的礼物应立即上交行政经理（除非是你的上级经理有其他的安排）作为礼物或者奖品适当的时候奖励给员工。5.2.4合理的邀请是一种正常的商务合作行为可促进相互沟通和合作。但

5、是，受邀者不应该让别人以为，因为他/她接受了这种邀请而影响了商务决定。在不确定的情况下，必须获得上级经理的批准。5.2.5员工在任何情况下都不能以他/她在烟台中集来福士的职位为理由索要礼品或者邀请。员工也应该小心避免给供应商这方面的暗示。5.3 准则三 - 行贿和受贿：5.3.1烟台中集来福士绝不姑息任何行贿受贿的行为，所有的员工都要拒绝任何形式的行贿和受贿行为。5.3.2 如果有供应商行贿，当事人应立即报告上级经理同时由行政经理登记在册。5.3.3 如果这一指控有充分的证据，烟台中集来福士有保留追究其法律责任的权利，同时该供应商将从合格供应商名单中除名；如果发现烟台中集来福士的员工受贿，该员

6、工将立即被开除，并立即向当地派出所报警。同时，在公司的网站和向有关的商会通报该供应商的行为。5.3.4如有烟台中集来福士员工企图向供应商索要贿赂。供应商应立即向采购总监汇报。5.4 准则四 - 自由竞争：5.4.1所有的采购活动应该符合自由竞争的原则。投标和公开竞标是维持和加强公司在行业的竞争力的基本原则。5.4.2只要是在竞争的情况下发起的框架协议，也可以认为是符合自由竞争的原则。5.5 准则五 - 平等原则：5.5.1发给供应商的询价(不论是以硬拷贝的或者是电子版的)应该是完全一致的。设备材料或者服务的技术规格应该是清晰，详细的，并完全符合烟台中集来福士的要求。5.5.2技术规格中不应该指

7、定任一设备材料或者服务的供应商而应是对现有产品性能描述，技术规格应为功能性的技术要求，不同的物品或者服务都可以满足其要求。5.5.3 基于公平竞争的原则，采购管理部的员工应该但不仅限于：Ø 不拒绝同一集团下，不同分公司的报价Ø 不跟烟台中集来福士的不合格供应商联系Ø 不向投标者泄露其他投标者的信息5.5.4 一旦订单签订之后，应通知其他没有中标的供应商。5.6 准则六 - 保密准则和信息准确5.6.1 烟台中集来福士要求所有的员工保护公司的保密文件并保密，其中包括我们的内部客户和外部客户以及与烟台中集来福士有商业来往的供应商的保密信息。5.6.2 烟台中集来福士的

8、所有员工都应该意识到烟台中集来福士商务活动的保密性，任何员工（不管其在不在烟台来福士任职）无论以何种目的不得向第三方泄露或用于非公司业务的其在公司服务期间获得的公司的保密信息。 5.6.3 烟台中集来福士的保密信息是烟台中集来福士可以藉此比其他竞争者优先获得的利益或者机会；包括但不仅限于非公开的公司的运营，战略，发展的信息；公司的非公开商务的计划，商务过程，合同/订单条款的信息；烟台中集来福士的供应商数据库等。5.6.4 将一个供应商的报价和技术规范转给另外一个供应商也被认为是不道德损害烟台中集来福士的名誉的行为。这包括但不仅限于以间接的方式例如与供应商的往来过程中无意间听到的电话，无意中看到

9、的文件。采购管理部所有的文件文档应保密管理，文件的查阅权限仅限于经过采购经理授权的人员。5.6.5 烟台中集来福士员工和现有的或者潜在的供应商，都有责任为各自商业信息保密。不能将其泄露给任何的非缔约方，比如在做生意中，在没有获得其他方书面的认可的前提下得到的信息。未获得批准泄露这种信息，有可能对烟台中集来福士带来损害，并引起法律诉讼。5.6.6 烟台中集来福士员工必须采取必要的防范措施防止有可能的非法的信息泄露。员工应该恰当的管理办公区域和办公电脑。外部的U盘，硬盘等其他电子储存器的不允许在烟台中集来福士自己的电脑上使用。5.6.7 到访的供应商代表不允许进入采购员的办公室。所有的谈判，会议，

10、讨论等都应该在指定的会议室内进行。5.6.8 在供应商参与的采购过程中，采购员给出的信息应该是真实可靠的，不能给供应商造成误会或者误解。5.7 准则七 企业社会责任在履行合同的过程中，烟台中集来福士期望供应商做到但不仅限于以下几点：Ø 符合国家或者当地的法律，法规Ø 履行他们对员工或承包商健康和安全的职责和义务Ø 符合环境法的规定Ø 尊重并实行人权和员工基本权利Ø 实施反腐败5.8 准则八 沟通5.8.1 采购管理部员工应该对内部顾客以及外部的供应商的垂询主动提供及时和有效的答复。5.8.2在与供应商沟通的过程中所有的渠道必须清楚和有目的性，在

11、采购过程中烟台中集来福士的员工应该做到但不仅限于以下几点：Ø 不得以任何理由向供应商泄露私人的信息，例如家庭地址Ø 与供应商联系应该使用他/她的公司的电话，邮件地址。只有事先进经过上级经理批准的特殊情况下才可使用私人邮箱，私人电话和供应商联系Ø 在书面的沟通中，使用烟台中集来福士的标准格式。 5.9 检举发现任何违背采购管理部行为准则的行为，应立即报告给：章介人采购总监电话:(86) 535-680 1451 转2394手机(中国)：86-138 0890 7825手机(新加坡)：65 9875 0024 邮箱地址：Juliancimc-单位名称：烟台中集来福士海

12、洋工程有限公司邮寄地址：中国山东烟台芝罘岛芝罘东路70号 邮编： 2640006. 其他适用资料/备注无7. 附件：7.1 采购管理部行为准则协议书采购员 YCRO-WB-103-R-017.2 烟台中集来福士采购管理部行为准则协议书供应商 YCRO-WB-103-R-028. 存档文件8.1 烟台中集来福士采购管理部行为准则协议书采购员 YCRO-WB-103-R-018.2 烟台中集来福士采购管理部行为准则协议书供应商 YCRO-WB-103-R-029. 最新更改汇总9.1 2010年08月20日第一次发布；1. PurposeThe employees of Procurement M

13、anagement Department (PMD) of Yantai CIMC Raffles Offshore Ltd (YCRO) (includes the group and its subsidiaries, Yantai CIMC Raffles Offshore Ltd, Yantai CIMC Raffles Shipyard Co., Ltd, Haiyang CIMC Offshore Co., Ltd, Longkou CIMC Offshore Co., Ltd, CIMC Raffles Offshore Ltd （Singapore）), who are in

14、contact with suppliers, play an important role in setting up the public image and reputation of the company.This Code of Conduct is to define behavior rules and ethical standards for YCRO procurement staff to apply and give guidance to employees of YCRO involved in procurement process, so that they

15、conduct themselves in a manner which will be compatible with the best interest of YCRO.2. Preparation and applicabilityThis Code of Conduct is compiled by YCRO Procurement Management Department. This procurement code of conduct applied to all procurement management department personnel (includes the

16、 group and its subsidiaries, Yantai CIMC Raffles Offshore Ltd, Yantai CIMC Raffles Shipyard Co., Ltd, Haiyang CIMC Offshore Co., Ltd, Longkou CIMC Offshore Co., Ltd, CIMC Raffles Offshore Ltd （Singapore）)and all employees in other department who are directly or indirectly involved in the procurement

17、 process.This Code of Conduct is also expected to be respected by YCROs suppliers.3. Definition and categoryNone4. Responsibility4.1Procurement management department personnelComply with the relative requests in the Code of Conduct.4.2 SuppliersComply with the relative requests in the Code of Conduc

18、t.5. Process requirementRules overview:YCRO practices and promotes fair and transparent business practices in the best interest of the company. This including upholding a strict code of conduct in our procurement process:Rule 1 Conflict of InterestRule 2 Gifts and Hospitality Rule 3 Bribery and Corr

19、uptionRule 4 Free CompetitionRule 5 Equal Treatment of SuppliersRule 6 Confidentiality and Accuracy of InformationRule 7 Corporate Social Responsibility Rule 8 CommunicationShould individuals have questions or concerns about a particular circumstance or event in relation to this code of conduct, emp

20、loyees should raise the matter to management for the advice. 5.1 Rule 1 Conflict of InterestEmployees shall excise good faith in carrying out their responsibilities and duties and avoid a personal business or professional activity that would create a conflict interest between personal and YCRO.Some

21、examples of prohibited conflicts:Ø No employees may have material ownership or a financial interest in any supplier doing or seeking to do business with YCRO.Ø No employees without written approval from Executive Committee of YCRO, may hold a position with any supplier doing or seeking to

22、do business with YCRO.Ø5.2 Rule 2 Gifts and Hospitality5.2.1 YCRO is committed to dealing with any gifts or hospitality in an accountable and transparent manner. The gift or hospitality includes but not limited to:Ø Free gift of any goods or servicesØ Discount to any goods or service

23、which are not available to general publicØ The offer of food, drink, accommodation, travel, entertainment or opportunity to attend some events. 5.2.2 Any offer of gifts and hospitality shall be reported immediately to line management and recorded in transparency list by Administration Manager.5

24、.2.3 Gifts other than items of very small intrinsic value such as business diaries, calendars, etc, should not be accepted. Accepted gifts shall be passed to Administration Manager (unless agreed by line manager for other arrangement) as a gift or prize to the employees during special occasions. 5.2

25、.4 Reasonable hospitality is an accepted courtesy of a business relationship. However, the recipient should not allow him or herself to reach a position whereby he or she might be deemed by others to have been influenced in making a business decision as a consequence of accepting such hospitality. I

26、n case of doubt, approval of the line manger is mandatory. 5.2.5 Employees shall never solicit or invite an offer of gifts or hospitality in connection with their position in YCRO. Employees shall also take care to avoid giving indication that they might be open such improper offer.5.3 Bribery and C

27、orruption5.3.1 YCRO emphasis zero tolerance on bribery and corruption, all the employees are required to reject forms of bribery and corruption. 5.3.2 In the event of an attempt to bribe by a supplier, the solicited person must immediately report it to line management and recorded in transparency li

28、st by Administration Manager.5.3.3 In case this accusation can be verified with sufficient evidence, YCRO preserves the right for legal action and the supplier will be disqualified from further business; YCRO employees accepting bribes will be terminated immediately and the case will be reported to

29、local police immediately. Also, the network of foreign invested companies and relevant commercial chambers will be informed about the suppliers act. 5.3.4 In the even of an attempt by an employee of YCRO asking for bribery, the supplier is requested to contact with director of procurement management

30、 dept immediately.5.4 Rule 4 Free Competition:5.4.1 All procurement activities should be conducted in accordance with rules of free competition. Tendering and competitive bidding is the basic principle for sustaining and enhancing competitiveness in business. 5.4.2 Frame agreements are compatible wi

31、th the ethical principles of free competitions as long as they are initiated in a competitive situation.5.5 Rule 5 Equal Treatment of Suppliers5.5.1 Inquires, whether in hardcopy or electronic form, should be the same for all potential suppliers. Specifications of goods and services shall exactly ma

32、tch the needs of YCRO and shall be explicit and detailed. 5.5.2 Specifications shall not describe the goods or services of a specific supplier but need to be in neutral form of any available product. Specifications are regarded as functional specifications that can be satisfied by various goods/serv

33、ices. 5.5.3 Based on fair competitions, the procurement management department personnel shall but not limited to:Ø Not limit request for quotations to companies that are affiliates of the same groupØ Not consult suppliers with whom YCRO is not prepared to do business Ø Not disclose to

34、 any bidder the list of other bidders5.5.4 All unsuccessful bidders should be notified once the order is awarded.5.6 Rule 6 Confidentiality and Accuracy of Information5.6.1 YCRO expects its employees to respect and protect the companys confidential information, which includes confidential informatio

35、n of our internal and external customers and suppliers who entrust it to us as apart of their business transactions with us. 5.6.2 Each employee of YCRO must recognize the confidential nature of the YCROs commercial activities and no employee may ever (whether during or after their employment with Y

36、CRO) disclose to any third party or use for any purpose other than business of YCRO any confidential information acquired during her or his employment with YCRO. 5.6.3 Examples of confidential information for YCRO include but not limited to any information that gives YCRO an advantage or an opportun

37、ity to obtain an advantage over our competitor; non public information about companys operation, results, strategic and projections; non public information about the companys business plan, business process, contract /PO terms and conditions; YCRO supplier database etc.5.6.4 It is also considered un

38、ethical as well as damaging to YCRO s reputation to allow information about one supplier s quotation and technical specification to be passed on to another supplier. This included but not limited to indirect methods such as overheard telephones calls, documentation left on deck during supplier inter

39、views. All documents and files within the procurement department are to be maintained in a confidential manner and access to these files or other purchasing related documentation shall be restricted to those authorized by procurement manager.5.6.5 Both YCRO and each of its potential and existing sup

40、pliers are responsible for strictly controlling the information concerning their respective business and shall not disclose to any non-parties such information which they have come to know through their dealings, without obtaining prior written permission from the other party or parties. Unwarranted

41、 disclosure of this kind of information can harm YCRO and can lead to disciplinary measures.5.6.6 YCROs employees must take precautionary measures to prevent the unauthorized disclosure of proprietary and confidential information. Employees shall also ensure that access to work areas and computers i

42、s properly controlled. No external memory stick is allowed to be used in the computers of YCRO. 5.6.7 No supplier representatives are allowed to enter purchaser office. All negotiation, meeting, discussion etc, should be held in the designated meeting room.5.6.8 Information given in the course of su

43、ppliers participation in procurement activity must be true and fair and not designed to mislead or misrepresent.5.7 Rule 7 Corporate Social Responsibility In the course if fulfilling contractual obligations, suppliers of YCRO are expected to as follows but limited to: Ø Comply with national or

44、local laws and regulationsØ Fulfill all their legal obligations regarding the health and safety of their employees and contractors Ø Conform determinedly to environment legislationØ Respect and implement the protection of fundamental human rights and employment rightsØ Engage aga

45、inst corruption.5.8 Rule 8 Communication5.8.1 Procurement department personnel should strive to provide a timely and effective responsible for inquiries from internal customers and suppliers.5.8.2 In all channels used, communication with suppliers must be clear and objective, and employees of YCRO involved in procurement process should be as follow but not limited to:Ø Not