compliance合规文件slc201local implementation of siemens circular no226global本通告用中英文书就如两种不同的解释或其含义产生分歧以

SLCRegionalCompliance

January11,2016111日OCGeneralManagersOCCommercialManagersComplianceallStaffAll.,Circular–RegulationSLC2-01-16Subject:LocalImplementationofCircularNo.226GlobalFor1,promotingintegritymeansactinginaccordancewithourvalues-responsible,excellentandinnovative-whereverwedobusiness.OwnershipcultureisacornerstoneofVision2020,andtheintegrityofemes2decisionsandactionsisanessentialpartofit.Akeyelementofintegrityiscompliance:adherencetothelawandtoourinternalregulations.和矢志创新——采取行动。主人翁精神是西门子“2020公司愿景”的基石，而员工做出决策和采取行动时秉持诚原西主翁必少一。的重元是，遵律和Thefundamental rulesarecontainedintheBusinessConductGuidelines“G”）anincludetheobligationtocomplyatalltimeswithapplicablelawandtheprohibitionofcorruptionandotherviola-tionsoftheprinciplesandrulesoffaircompetition.BCG§all -wideregulationsspecifyingtheBCGprovisionsintheareasofanti-corruption,antitrust,anti-moneylaunderinganddataprivacyaswellasregulationsregardingtheCom-plianceOrganization(annex)and§bindingtopic-specificdirectivesaboutapplicableprocessesortheuseoftoolsoperatedbyLegalandCompliance(appendices).1Theterm""meansAGandanyAffiliated“西门子”意指西门子公司和任何关联公司2Theterm"employee"isusedequallytodenotemembersoftheManagingBoard,seniorexecutivesandany sworkingAGanditsAffiliatedCompaniesworldwide.“员工”是管理成员、高管以及任何其他为西门子公司及其世界各地关联公司工作的人的统一代称These,togetherwiththeComplianceOperatingModel(LCCOStandard001),constitutetheComplianceSystem.TheComplianceOperatingModeloutlineshowComplianceoperatesandtheCom-plianceOrganization.以上内容与《合规运作模式》（001）一起构成西门子合规体系。《合规运作模式》units3shallonlyissuespecificregulationsinthescopeofthisCircularifrequiredbylawand/orinordertoaddressortomitigatebusiness-specificrisks.AllsuchregulationshavetoundergotheCompliancePortfolioManagementprocess.Ifnecessary,implementationguidancemaybeissuedbyLegalandComplianceinordertoimplementtherequirementssetoutinthisCircularattheoperationallevel.ThisCircularisbindingforallunitsofLimited,andappliesto’AffiliatedCompaniesininaccordancewithSLCCircular3-44-07/LocalImplementationofCircularNo.105Ipmntaioof-internalregulationsinAffiliatedopanies本通告对西门子（中国）旗下所有机构均有约束力，并根据SLC通告3-44-07/西门子105号通告“西门子内部规章制度在关联公司内的”适用于西门子各关联公司。ItsupersedesthefollowingImplementationofCircularNo.191”SLC通告第2-10-13号：“报告合规以及CLCO的进一步处理/西门子191号通告的本地执行SLCCircular2-33/11“CodeofConductforComplianceInvestigationsandFact-Finding”/CircularNo.149SLC通告第2-33-11号：“合规与事实行为守则/西门子149号通告的本地执行SLCCircular2-06-13MeaueinResponseto pliantBehaviorandRulesforDis-ciplinaryProcesses/LocalImplementationofCircularNo.180”SLC通告第2-06-13号：应对行为的措施及纪律处罚流程的规定/西门子180号通告的本地执SLCCircular2-18/11“Giftsandhospitality/LocalImplementationofCircularNo.SLC2-18-11142Giftsandhospitality-QuestionsandSLCCircular2-45-11“ComplianceGuidelinesforCooperationwithBusinessPartners/LocalImplementationofCircularNo.151”SLC2-45-11151SLCCircular3-08-10“Newprocessforconsistentimplementationofcompliance-relatedcommunicationintheDivisions,RegionsandCountries/LocalImplementationofCircularNo.125”3Theterm“unit”isusedforallunitsof,includingHealthcare.WithinthisCircular,theterm“unit”hasthesamemeaningas“机构”意指西门子旗下所有机构，包括医疗业务领域。在本通告中，“机构”和“实体”是同样的意思SLC通告第3-08-10号：各业务、业务区域及国家间实施统一的合规宣传新流程/西门子Note:AsalocalimplementationofCircularNo.226(SC226),thisSLCCircularisernanceofSC226”,pleaseclickherefordetailsofSC226226门子通告第226 Bernd&CEO ., ., 西门子（中国）Dr.Inge ZhaoEVP&GeneralCounsel VP&RegionalComplianceOfficer., .,士 AnnexAppendices1-12附录1-PCMBthatincase pliantbehaviorofnel,appropriatedisciplinarymeasuresevaluated,decidedandimplementeddependingparticularlyonthenatureandseverityofpliant如果西门子员工出现行为，必须根据行为的性质和严重程度评估、决定和执行适当的纪律处罚施thataComplianceRiskAssessment(CRA)andanAntitrustRiskExposureAssessment(AREA)performedonaregularbasisandamonitoringprocessforfollow-upactivitiesisin定期进行合规风险评估（CRA）和反风险评估（AREA），制定后续行动流程toensureandmonitoraregularcommunicationoftheCompliancesystemandComplianceelementsasdefinedinthe"GlobalComplianceCommunicationStrategy"andtheCommunicationn".InternalcommunicationmustincludeamongothertopicsCompliance"TonefromtheTop"and确保对合规体系及《全球合规沟通策略》和《合规沟通计划》中规定的合规标准元素进行定期沟通并监督。内部沟通必须涉及合规体系、“管理层态度”和TreuInfo等thattogetherwiththeManagementtheComplianceRiskAssessmentresultsofDivisionsorCountriesareevaluatedforapplicability,possiblenewrisksareidentified,resultsareedandmonitoringprocessfordefinedfollow-upmeasuresisin和管理层一道，评估业务或主要市场国的合规风险评估结果的适用性，识别潜在的新风险，记录结果，制定后续措施流程thateachentityiscoveredbyanadequateComplianceorganizationandhasestablishedasystem.[OnlyapplicabletotheresponsibleCorporateernanceOwner(‘G每个实体必须由一个胜任的合规组织，并且必须建立一套合规体系。【只适用于相应的公司负责人（“GO）】thattheCompliancecasesareappropriayreportedandmonitoredincl.appropriatehandlingaccountingrelatedcomints.ityofinformationisprotectedtoumextentpossiblesharedonlyon“needtoknow”basis.Retaliationagainsttheinformantsmustbeprohibited.applicabletotheresponsibleCorporateernanceOwner("GO正确报告和合规，包括正确处理与财务有关的。尽可能最大限度地保护信息的性，只需要知道的人信息。必须严 人。【只适用于相应的公 （“GO”）toprovideallrelevantemployeeswithadequateandmandatorytraining(in,andwebregardingComplianceat为所有相关员工提供充分、强制性的西门子合规培训（面授和网络）thatcompleteandcomprehensiveComplianceDueDiligencespriortotheengagementofapartnerasdefinedintherespectiveguidelinesexistandbindingcontractprovisionsareincludedincontractwiththeapprovedBusiness聘用商业伙伴之前，必须按照相关指导文件中的规定进行全面综合的合规尽职，在与通过的商伙伴签订的合同中还应纳入约束性的合同条thatforallrelationshipswithrelevantbusinesspartnersvalidandapprovedComplianceDueexistandapprovedBusinessPartnersaremonitoredasdefinedinthe 对与相关商业伙伴的所有关系，必须进行有效且被批准的合规尽 ，对通过的商业伙伴，必须照相关政策的规定进行监thatGiftsandHospitality(G&H)benefitsprovidedtothirdpartiesareassessedand向第提供的礼品与款待（G&H）好处必须接受相应的评估和Overview概 MandateoftheComplianceOrganization合规组织的职 RoleswithinCompliance合规组织的角 ChiefComplianceOfficer首席合规 ComplianceOfficers合规 Chapter2:Managementresponsibility管理层职 Organizationalandsupervisoryduties(“WhiteBook”）组织和职责（“白皮书 Anti-corruption Giftsandhospitality礼品与款 Sponsoring,donationsandmemberships赞助、捐赠和入 Businesspartners商业伙 Facilitationpaymentsandpaymentsunderduress通融费和受胁迫付 High-riskpayments高风险付 Projectbusiness项目业 Procurement采 Antitrust反Anti-moneylaunderingandprohibitionofterrorismfinancing(AML)反洗钱和主义融 DataProtection DataPrivacy隐私数 Datatransmissionoutsideof数据的传 Mergersandacquisitions,majorities,minoritiesandpermanentestablishments(PE)并购、多数股 Mergersandacquisitions兼并与收 Compliancestandardsinmajorityinvestments多数股权投资的合规标 Compliancestandardsinminorityinvestments少数股权投资的合规标 Permanentestablishments常设机 Communication沟 Training培 Complianceriskmanagement(CRAandAREA)合规风险管理（CRA和 Integrationinto nelprocess与人事流程相结 Compliancecheck合 sofinterest利 Collective Reportingofcompliancecases报告合规Registrationandhandlingofintentionaldamages(TreuInfocases)故意损害的登记和处（TreuInfo Complianceinvestigations合规 Informationrequests信息询 ClearingCommittee澄清 ComplianceReviewBoard合规Complianceauditsandoperationalreviews合规审计和运营评 Disciplinaryconsequences纪律处罚措 Remediation整 Case-relatedremediation与有关的整 Otherremediationmatters其他整治问 Appendices1-4:附录1-4附录1：防范|Appendix2:Prevent|Facilitation附录2：防范|3：防范|4：防范|Appendices5-11:Detectand附录5-11Appendix5:Detect|CompliancecaseAppendix6:Detect|TreuInfo附录6：监察|TreuInfoAppendix7:Detect|Codeofconductforcomplianceinvestigationsandfact-附录7：监察|合规和事实行为准则Appendix8:Detect|ComplianceReviewBoard附录8：监察|合规Appendix9:Detect|DawnraidAppendix10:Detect|ClearingCommittee附录10：监察|澄清指附录11：应对|附录12：医疗业务相关规Overview概Chapter1:TheComplianceChapter1containsthemandateoftheComplianceOrganizationaswellastherolesandappoint-mentswithinCompliance.Relatedstipulationsaresupplementedbythe“ComplianceOperatingModel”.Chapter1isaddressedtoall Chapter2:ManagementChapter2describestheexistingprovisionsinsectionA.4oftheBCGregardinggeneralmanagementresponsibilityandreferstofurtherspecificareasofmanagementresponsibilityintheappendicestothiscircularontherespectivetopics.Chapter2isaddressedprimarilytomanagement.Chapter3:Chapter3containsthemainregulationswithinthe“Pt”pillaroftheComplianceSystem,whichspecifytheexistingBCGprovisionsintheareasofanti-corruption,antitrust,anti-moneylaunderinganddataprivacy.Bindingtopic-specificdirectivesmostlyaboutapplicableprocessesortheuseoftoolsoperatedbyLegalandCompliancearelaiddownintheindividualappendices.Thesecontentsofchapter3areaddressedtoall Chapter3alsocontainsregulationsforcompliancestandardsinmergersandacquisitions,majorities,minoritiesandpermanentestablishments(PE).Thesecontentsofchapter3areaddressedprimarilytoChapter4:Chapter4containsthemainregulationswithinthettpillaroftheComplianceSystem,especiallyaboutcompliancecasehandlingandinternalinvestigations,auditsandoperationalreviews,aswellasregulationsfordealingwithpublicandotherthirdparties.Italsocontainsregula-tionsabouttheComplianceReviewBoardandtheComplianceControlFramework.Chapter4isaddressedprimarilytotheComplianceOrganizationandmanagersresponsibleforperformingthemaintasksinthis第四章介绍与西门子合规体系的“监察”支柱有关的主要规定，尤其是合规的处理、内部、审计 Chapter5:ciallyaboutthedisciplinaryprocessesandconsequenceswithinthecompliancecasehandlingandremediationprocessesinsideandoutsideofinternalinvestigations.ItisaddressedprimarilytotheComplianceOrganizationandmanagersresponsibleforperformingthemaintasksinthisAppendices1-12containbindingtopic-specificdirectivesmostlyaboutapplicableprocessesortheuseoftoolsoperatedbyLegalandCompliance.Theyareaddressedprimarilytoall whodealwiththerespectiveprocessesandtools.1-12Chapter1:TheComplianceOrganization合规MandateoftheComplianceOrganizationTheComplianceOrganizationhasglobalernanceresponsibilityfortheComplianceSystem,whichcoverstheareasofanti-corruption,antitrust4,dataprivacy5andanti-moneylaundering,andforitsimplementationacrosstheentire6.Compliancealsooperatessystematicprocessesandtoolstosupporttheeffectivemitigationofcompliancerisks.合规组织承担包含败、反、隐私数据和反洗钱等领域的西门子合规体系的全球管理职责，以及合规体系在全公司的执行的职责。合规组织还利用系统化流程和工具为有效降低合规风险提供支持。ComplianceOfficersandSubjectMatterExpertsareresponsibleforoperatingtheComplianceSystemandactaspartnerstomanagementandemployees.epeymiesepls“Pevnt“Detet”d合规体系由“防范”、“监察”和“应对”这三大支柱构成。EmployeeswhohavequestionsabouttheinterpretationorapplicabilityofprovisionsofthiscircularanditsappendicesshouldcontacttheirmanagerorComplianceOfficerforfurtheradvice.Forcertainspecificcomplianceregulationscontainedinthiscircular,itismandatorytoconsulttherespectiveComplianceOfficerunderdefinedcircumstancesandthereforeforcertainprocessesembeddedintotheworkflowoftherespectivetool.Furtherdirectivesarecontainedinthe“ComplianceOperatingModel”7.RoleswithinComplianceTheHeadofComplianceisalsotheChiefComplianceOfficerandreportstotheGeneralCounselofAG.Atthesametime,heorshehasdirectaccesstotheManagingBoardandtheSupervisoryBoardofAG,andreportstothemquarterlyandonanadhocbasis.Furtherdirectivesarecontainedinthe“ComplianceOperatingModel”.ChiefCounselComplianceTheHeadofComplianceRegulatoryisalsotheChiefCounselComplianceOfficersTheComplianceOfficersareresponsibleforimplementingtheComplianceSystemintheCorporateCoreandCorporateServicesunits,Divisions,BusinessUnits,CountriesandHealthcare.TheRegionalComplianceHeadsleadtheComplianceOrganizationintheworldregionsofthe .All4inalignmentwithLC与反不正当竞争部一5incollaborationwithLCC与总部隐私数据部门一致6Fordetails,pleaserefertotheOrganizational参阅《西门子组织手7TheComplianceOperatingModeldescribestheoperatingmodelandprocessesapplicablewithintheCompliancehighlightstheimportanceofcollaborationforeffectivecompliancewithin,andsupportsComplianceOfficersandSubjectMatterExperts.《合规运作模式》介绍了适用于合规组织的运作模式和流程，同时强调了通过协作确保西门子合规的重要性，可为合规官及专家提供支持。ComplianceOfficersultimayreporttotheChiefComplianceOfficer.Furtherdirectivesarecontainedinthe“ComplianceOperatingModel”.Chapter2:Managementresponsibility管理层职ThefollowingregulationsspecifytheexistingBCGprovisions8regardinggeneralmanagementresponsi-bility.FurtherInformationonspecificareasofmanagementresponsibilitycanbefoundintheappendicestothiscircularontherespectivetopics.Organizationalandsupervisoryduties(“WhiteBook”）组织和职责（“白皮书Allmanagersmustensurethattherearenoviolationsoflawswithintheirareaofresponsibilitythatpropersupervisioncouldhaveprevented.Theystillremainresponsible,eveniftheydelegateparticu-lartasks.hasprovidedanoverviewofthemainprinciplesoforganizationalandsupervisorydutiesintheinternalguidanceforGermanyOgaizioaandSupervisoryDuties(Whiteook”.AllCountryGeneralCounselsandComplianceOfficersarerequestedtoprovideappropriateguidanceformanagerstofulfilltheirdutiesinaccordancewithlocallaw.所有西门子管理人员必须确保其职责范围内不出现可以通过适当得以避免的违法行为。即使将特定任务委ForfurtherrelatedapplicablelocallawofPeople’sRepublicof,pleasecontactCorporateLegalin.,.ImplementationoftheComplianceSystem-tonefromthetop合规体系的执行-管理层态度OverallresponsibilityforcompliancelieswiththeCEOs/Headsoftheindividualunits.Theyactasrolemodelsinmattersofcomplianceandensurethatallemployeesactinaccordancewiththelawandwithregulations.Infulfillingtheseobligations,theCEOs/HeadsofunitsaresupportedbytheComplianceOfficersbearingresponsibilityforoperatingtheComplianceSystem.Furtherdirectivesarecontainedinthe“ComplianceOperatingModel”.Chapter3:PreventvnbytheComplianceOrganization.ThefollowingregulationsfurtherspecifytheexistingBCGprovisionsintheareasofanti-corruption,antitrust,anti-moneylaunderinganddataprivacy.Bindingtopic-specificdirectivesmostlyaboutapplicableprocessesortheuseoftoolsoperatedbyLegalandCompliancearelaiddownintheindividualappendices.“防范”支柱由以下元素/规章制度组成，合规组织承担相关的主要职责。以下条例进一步介绍了《商业行为8BusinessConductGuidelines,section《商业行为准则》A.4Anti-corruptionInordertofurtherspecifytheprohibitionofcorruptionaccordingtotheBCG,certainprocesseshavebeenGiftsandhospitality9Allbenefitstothirdpartiesmustbeinaccordancewithlocallawand’BusinessConductGuide-lines,inparticularsectionB.2andB.3.Benefitsmustnotbeprovidedorreceivedinexchangeforanimproperadvantage,andmustnotcreatetheappearanceofbadfaithorimpropriety.Invitationstoentertainmenteventsandinmostcasesthepaymentofnon-localtravelandlodgingcostsmustbeapprovedinadvanceviatheSpoDoMITtool.Employeescanverifyallotherbenefits-particularlygiftsandmeals-usingtheappropriatescorecards,i.e.wherethebenefitisprovided,aswellas,ifdifferent,thescorecardofthebeneficiary’shomecountry.给予第的所有好处必须符合当地和西门子《商业行为准则》的要求，尤其是B.2和B.3节。提 活动以及大多数情况下支付非本地旅行和住宿费用，事先必须通过SpoDoMIT工具进行。员工可以使Whenprovidinggiftsandhospitalitytoernmentofficialsorrelatedparties,theuseofscorecardsisobligatory.AcountrymaywaivetheobligationtousetheScorecardbelowacertainthresholdundertheprerequisitethatlocallawclearlyspecifiesandgenerallyallowsspecificamountsofbenefitsinthepublicsectorbelowthatthreshold.DetailsaresetforthintheInstructionsonGandHospitality”;Whenprovidinggiftsandhospitalitytoprivate-sectorindividuals,theuseofscorecardsisvoluntary.EmployeescanverifytheacceptanceofbenefitsofalltypesusingtheAcceptanceScorecard.ThecurrentversionsofthesescorecardsareavailableviatheComplianceintranet.Furtherbindingdirectivesarecontainedinthe“InttnsonGiftsandHospitality”.ForotherbenefitspleaserefertoCircularNo.186“Sponsoring,Donations,andotherotitns. 品与款待说明》中进行了介绍。关于其他好处，请参阅西门子通告186号《赞助、捐赠FurtherrelatedlocalregulationsforGiftsand§SLCCircular2-01-15:PrinciplesforSponsoringActivities,DonationsandCharitableContributions,MembershipsandOtherContributionswithoutConsideration/localimplementationofCircularNo.SLC通告第2-01-15186§SLCCircular2-22-14:UpdatedGuidelinesontravelprovidedtothirdpartiesonSLC通告第2-22-14号：西门子出资为第提供旅行的指引更§SLCCircular2-24-11:AccountingGuidanceonGiftandHospitalityTransactionsSLC通告第2-24-11号：关于礼品与款待的财务指南9BusinessConductGuidelines,sectionsB.2and《商业行为准则》B.2和B.3 SLCRCOReminder:Nocash,monetarygifts,non-monetarygiftcards/vouchersallowedinconnectionwithbusinessactivities Instructionson“GiftsandHtalit–“礼品与款待”指南- SLCCircular2-12-12:ProhibitiononcashallowancestojournalistsonaccountSLC通告第2-12-12号：西门子出资向支付现金补贴Eachnnedsponsoring,donationandmembershipengagementandothercontributionswithoutcon-siderationmustundergocertainapprovalprocessesasdefinedinCircularNo.186“Sponsoring,Donations,andotherContributions”.FurtherinformationisavailableontheSpoDoMwebsite.每项赞助、捐赠和入会及其他无偿捐献计划必须通过西门子通告186号《赞助、捐赠和其他捐献》中规定的特定程序。进一步信息可通过SpoDoM获取。Furtherrelatedlocalregulationsfor西门子中国关于SpoDoM§SLCCircular2-01-15:PrinciplesforSponsoringActivities,DonationsandCharitableContributions,MembershipsandOtherContributionswithoutConsideration/localimplementationofCircularNo.SLC通告第2-01-15186§SLCCGspecialnotice:SpoDoMRegistrationSLC部专项通知：SpoDoM的Businesspartners11Cooperationwithbusinesspartners12ispartofbusiness.However,theintegrityof’businesspartnersisanimportantfactorinprotectingfromliabilityandreputationalrisks.DetaileddirectivesforcooperationwithbusinesspartnersarecontainedinAppendix1uinessPartners”andinthebindingInutionforCooperationwithBusinessPartners”.FurtherinformationisavailableontheBusinessPartnerhomepage.Regardingrs,pleaserefertoChapter3.1.7“Procurement”.险的重要因一。关于与商业伙伴合作的详细指令在附录1《商业伙伴》及其附件《与商业伙伴的合作说明》中进行了介绍。进一步信息可通过商业伙伴主页获取。如果是供应商，请参阅3.1.7节“采购”。FurtherrelatedlocalregulationsforBusiness SLCRCONote:BusinessPartnerengagedbyotherEntitiesoutsideof SLCRCONotification:UpdatedhandlingofSalesAgentsin10BusinessConductGuidelines,section《商业行为准则》B.411BusinessConductGuidelines,section《商业行为准则》B.212Theterm“businesspartner”inthiscircularisusedforexternalbusiness本通告中的“商业伙伴”特指外部商业伙伴Facilitationpaymentsandpaymentsunderduress13TheprohibitionofbriberyasstatedintheBusinessConductGuidelinesincludestheprohibitionofso-actnorthegrantingofanyotherbenefittousuallylow-ranking ernmentofficials,fortheirown benefit,withtheaimofspeedinguptheperformanceofanofficialacttowhichthemakingthepayment/grantingthebenefitisentitled.However,noemployeesareexpectedtorisklife,limborlibertyinthecourseofperformingtheirduties.Unjustifiedpaymentsunderduresswillnotbepunishedwithdisciplinaryaction.TheymustbereportedinaccordancewithAppendix2"Facilitationpayments",whichalsocontainsmoredetailedguidance.受到纪律处分，但必须根据包含详细指导的附录2《通融费》中的规定进行报告。High-riskpaymentsThehigh-riskpaymentprocessaimstopreventandmitigatecompliance-relatedrisks,particularlycorrup-tionrisks,relatedtocertaintypesofpaymentsandpayees.Allunitsmustthereforereviewtheirlocalsituationbasedonarisk-orientedapproachtoestablishwhetheritisnecessarytoimplementandcommunicatelocalcompliance-relevantcriteriaforsystematicallyidentifying,assessingandmonitoringhigh-riskpayments.FurtherinstructionsarecontainedinAppendix3“Hhriskpayments”.地合规相关标准，从而系统地识别、评估和的高风险付款。进一步的说明在附录3《高风险付款》中进FurtherrelatedlocalregulationsforHighRisk SLCCircular2-26-14HandlingofHighRiskPaymentsSLC通告第2-26-14号：高风险付款的管理Ananti-corruptionriskassessmentmustbeperformedwithintheinternalapprovalprocessfor’customerprojectsaccordingtothecriteriaestablishedinthePM@andLoAtool(PM@LimitsofAuthority(LoA))process,CircularNo.182“forLimitsofAuthorityProcessandProjectApprovals”).DetailsaredescribedinthePMGuideRequirements2.1and2.2anditsrespectiveattaents.SpecificcompliancerisksthatmayariseintheprojectexecutionphasemustbeaddressedbymeasuresunderRequirement2.2ofthePMGuide(CircularNo.200“Udstandardsforprojectbusiness；detailedinstructionsaregivenin“ComplianceinProjectExecution”. 和LoA工具（PM@西门子权限（LoA）流程、西门子第182号通告《权限流程和项目 容在PM指南第2.1和2.2节及其相应的附件中介绍。在项目执行阶段可能出现的特定合规风险必须通过PM指南第2.2节（西门子第200号通告《项目业务的标准》）所述的措施解决；详细指导在《项目执FurtherrelatedlocalregulationsforProject ProjectApprovalsSLC通告第2-13-15号：LoA流程和项目政策/西门子通告第182号的本地实13BusinessConductGuidelines,section《商业行为准则》B.2ProcurementMitigatingcompliancerisksinprocurementisoneofthegoalsof’ rqualificationprocess-es.alsoexpectsitsrsandbusinesspartnerstoshare ’valuesandcomplywithallapplicablelawsaslaiddowninthe“CodeofConductfor rsandThirdPartyInterme-ds”.Forfurtherdetails,pleaserefertoBCGsectionB.5andto correctpurchasingat”andtotheCompliancehomepage(“Procurement,Purchasing,参见《商业行为准则》B.5节、西门子第213号通告《西门子标准采购原则》以及合规主页（“采购、、FurtherrelatedlocalregulationsforCompliancein SLCCircular2-29-15:Codeofconduct rsandThirdPartySLC通告2-29-15：西门子供应商及第中间人行为准则 SLCCircular2-31-14:Principlesofcorrectpurchasingat/ImplementationofCircularNo.213SLC通告2-31-14：西门子标准采购原则/西门子通告第213Antitrust14反Mitigatingantitrustriskexposureisimportant,particularlyinrelationtoso-calledhaceantitrustviola-tions.Sucharrangementsarestrictlyprohibited(includingforexamplecararrangementsbetweencompetitors,thefixingofpricesorothertermsoftrade,theallocationofmarketsorcustomers,productionorsalesquotas,bidrigging,limitingproductionorproductioncapacities,aswellas,forexample,agree-mentsbetweenrsanddistributorsaboutminimumresaleprices).降低反合规风险非常重要，尤其是针对所谓的“硬核”行为。法律严格反法的以下商业部ernanceresponsibilityfortheAntitrustComplianceProgramhasbeenassignedtotheChiefCounselCompetitionandtheChiefComplianceOfficer.Employeesmustreportall(possible)breachesofantitrustlawtotheirlinemanagers,LegalandCompliance,“lus”ortheOmbudsmanwithoutdelay.ThedirectivesoftheAntitrustQuickGuideaspartoftheAntitrustComplianceProgrammustbefollowedandtheCompetitionandCompliancehomepage.）为，员工必须及时向上级管理层、法律与合规部、合规帮助台“lus”或全球特派官报告。所有员工必须）通告《西门子反Furtherrelatedlocalregulationsfor SLCCircular2-15-12:AntitrustComplianceProgram/localimplementationofSC172SLC通告第2-15-12号：西门子反合规体系/西门子通告第172号的本地执行 AntitrustQuickGuide–反快速指南–汉语14BusinessConductGuidelines,section《商业行为准则》B.1Anti-moneylaunderingandprohibitionofterrorismfinancing(AML)15反洗钱和主义融doesnottoleratemoneylaunderingandterroristfinancing.Allemployeesareobligedtoabidebyalllawsandregulationsaimedatpreventing,detectingandreportingmoneylaundering,terrorismfi-nancingandrelatedcriminalactivities.西门子绝不洗钱和主义融资行为。所有员工必须遵守旨在防范、和洗钱、主义融资及 conductsbusinessonlywithreputablecounterpartieswhoareinvolvedinlawfulbusinessactivi-tiesandderivefundsfromlegitimatesources.businesscounterpartsmustbewillingandabletocomplywiththetransparencyrequirementsdefinedintheapplicableanti-moneylaunderinglegislationandprocedures,includingtheAMLComplianceSystem.Inparticular,the“KnowYouruneat”(KYC)processesenabletheappropriateleveloftransparency16.值得一提的是，西门子的“了解对方”（反洗钱相关的尽职）流程可实现适当程度的透明化。ernanceresponsibilityfortheAnti-MoneyLaunderingComplianceSystemhasbeenassignedtoLCLaunderingComplianceSystemhomepage. DataPrivacy17DataprivacyregulationsarespecifiedinCircularNo.216“BindingCorporateRulesforthePro-tectionofalData”.LegaladviceregardingdataprivacyisprovidedbyLCCDPatthecorporatelevelandbytherespectiveLegaldepartmentsineachcountry.隐私数据规定在西门子216号通告《保护个人数据的约束性企业准则》中进行了介绍。总部的隐私数FurtherrelatedlocalregulationsforData SLCCircular2-34-14:BindingCorporateRulesfortheProtectionofalData/localimplementationofSC216SLC通告第2-34-14号：关于个人数据保护的约束性企业准则/西门子通告第216 SLCCircular2-35-13:DataPrivacy ’sStateSecretProtectionLawprohibitsunauthorizedtransferofstatesecretsoutsideof.Anysystematicorsubstantialtransmissionofdataoutsideof ,physicallyorelectronically,needstobefirstapprovedbytheDataReviewBoard(“DRB”)of .,.中国《保守国家法》将国家 FurtherrelatedlocalregulationsforDataTransmissionoutsideof15BusinessConductGuidelines,section《商业行为准则》B.616KYCrequirementsare:identificationandverificationofallcontractpartnersofregulatedunits.Thedatarequiredforglobalidentificationincludesthename,address,beneficialowner,registrationno.,representatives,andsoon.Inthecaseofcashpaymentsorsuspiciousbehavior,allunitsmustidentifyandverifyaspecificcontract反洗钱相关的尽职的要求：查明并核实所管理西门子机构的所有合作伙伴。识别所需的资料包括名称、地址、受益人、号、等等。对于现金支付或可疑行为，所有西门子机构必须查明并核实相应的合作伙伴。17BusinessConductGuidelines,sectionsA.2and《商业行为准则》A.2和E.3 SLCCircular2-06-15:UpdatedApprovalProcessforDataTransmissionOutsideofSLC通告第2-06-15号：数据传输至外地区需要事先批准Mergersandacquisitions,majorities,minoritiesandpermanentestablishments(PE)并购、多数股MergersandacquisitionsPriortotheacquisitionordivestmentofa,apartofa oraninterestina,itisnecessarytoevaluatethepotentialcompliancerisksfor andmitigatethembytakingappropriateaction.DetailedinformationonthiscanbefoundinCircularNo.222“Applicationforandapprovalofcapitalinvestmentsanddivestments”一section1Annex4:施予以降低。有关这方面的详细信息可查阅西门子通告第222号《资本投资和剥离的申请和》中的第1节、附录4《合规》。Furtherrelatedlocalregulationsformergers