参考compliance合规文件201avoiding conflicts of interest

Circular–Circular–PagePAGE1ofSLCRegionalCompliance Beijing,January1,西门子（中国）区域合规监察，2011年1月12–01/

Circular–

SLCManagementBoardSLCBGGeneralManagersSLCBGGeneralManagersBusinessAdministrationSLCDirectorsofCorp.Depts.andServiceCentersSLCRegionalGeneralManagersSLCGroupOperatingCompaniesGeneralManagersSLCGroupOperatingCompaniesCommercialHRmanagersinSLCAllUsersComplianceSubject: sof 避免BusinessConductGuidelinesrequireemployeestomakebusinessdecisionsinthebestinterestof.Thiscircularsetsouttheapprovaland/orreportingprocesseswhereaofinterestmayarise.可能出现利益时批准和/或报告的程序。ThiscircularcomesintoeffectonJanuary1,2011supersedingSLCCircular3-32-07(AvoidingofInterest).本通告于生效,取代SLC通告3-32-07（避免利益）ThiscircularappliestoallCorporateDepartmentsandBusinessSectorsof.,,includingallmajorityownedOperatingCompaniesinaswellasallcompaniesparticipatingintheSLCComplianceProgram.本通告适用于西门子（中国）所有和业务领域，包括的所有控股运Casesofsof利益的情sofinterestmayariseinthefollowing以下情况可能出现利益Anemployeeorhis/herCloseRelativecompeteswithonaself-employedornon-self-employedbasis.员工或员工亲属自营或非自营与西门子竞Anemployeeengagesinsideline员工Anemployee’sCloseRelativeoperatesorengagesinnon-self-employedactivitiesata withwhichhasbusinessdealings.员工亲属经营或受雇于与西门子有业务往来的公司Anemployeeorhis/herCloseRelativeholds,directlyorindirectly,InterestsinaCompetitorof.员工或其亲属直接或间接持有西门子竞争公司的权益Anemployeeorhis/herCloseRelativeholds,directlyorindirectly,InterestsinanAffiliatedorAssociatedof.员工或员工亲属直接或间接持有西门子关联公司或附属公司的权Anemployeeorhis/herCloseRelativeholds,directlyorindirectly,Interestsinawithwhichhasbusinessdealings.员工或员工亲属直接或间接持有与西门子有业务往来公司的权益Anemployee’sCloseRelativeworksatthesameoranotherAffiliated员工亲属在同一西门子公司或其他关联公司工作Othersituationswhereanemployee’s alinterestmayinterferewithhis/herbusinessdecision员工个人利益可能影响工作决策的其他情Rulesof行事Incaseofnewhiresorinternaltransfer,ofinterest,ifany,shallbedisclosedinHRApplicationFormforNewEntryorApplicationFormforInternalTransfer.如新员工入职或员工内部调动时存在利益的情形，须相应地在人事部的入职申请表或内Incaseof sofinterestarisinginthecourseofemployment,ithastobehandledinaccordancewiththerulessetoutinAnnex1.当任职过程中出现上述利益时，应按照附件1所列的各项行事原则处理Itistheobligationofeachemployeeinvolvedinaofinteresttoactivelytakeactiontomakesurethattherulesofconductarecompliedwith.Violationoftheserulesmayleadtolaborlaw,civillawandevencriminallawconsequences.在利益时员工应积极采取行动确保行事原则得以遵守。行事原则会导致劳动法、民CircularCircular–PagePAGE3of 签 签Mei-Wei Jeff& SeniorEVP&., ., 高级执行副 西门子（中国） 签 签Ma ZhaoEVP&HR VP&RegionalCompliance., .,执行 兼人事总 兼地区合规西门子（中国 西门子（中国）TheControlRequirementresultingfromthisCircular本通告的控制要求如下"Thereisarequirementthatemployeesidentifyand(potential)sofinterestandthatmanagementappropriateactionif“员工应识别和报告（潜在）利益，必要时管理层须采取适当动。Annex Rulesof附件 行事原Annex Relevant附件 相关定CircularCircular–Page4ofPage4of8ofcirculardatedOurref.ofAnnex附件Rulesof行事利of(employee/tionforHandling操作流Grantingpermission/Reviewing给予/报存涉及的人原(员工/员工(/申/报告属1.Competingonaself-employedornon-self-employedbasis无无无ReportingEmployeereportstolinemanagerusingform”ReportingofsofInterestinCompaniesbyCloseRelatives”attachedasExhibit1(“ReportingForm”). Linemanagerisresponsibletoreviewthereportandmakecomments.Incaseofconcern,theresponsibleHRpartnerandcomplianceofficershouldbeation proceduresandarchivedbyHR2.SidelinePermissionEmployeemakesapplicationtolinemanagerusingform”ApplicationforPermissiontoPerformSecondaryActivitiesand/orHoldInterestsina”attachedasExhibit2(“ApplicationForm”).员工使用“申请获准和/Linemanagerisresponsibletoreviewapplication/reportandmakedecision/givecomments.Incaseofconcern,theresponsibleHRpartnerandcomplianceofficershouldbeconsulted. ation proceduresandarchivedbyHRPagePAGE5PagePAGE5ofNUMPAGES8ofcirculardated1/1/2011OurofCircular–Circular–PagePAGE5of某公司权益申请表”（见2，。3.Operationoforactivitiesatahasbusiness于与西门子务往来的公ReportingEmployeereportstolinemanagerusingReportingForm.“报告表向主管经理报4.Directorindirectholdingofinterestsina竞争公司的Permissionrequirediftheinterestinalistedexceeds5%5%的上市可EmployeemakesapplicationtolinemanagerusingApplication员工使用“申请表向主管经理申请Linemanagerisresponsibletoreviewapplication/reportandmakedecision/givecomments.Incaseofconcern,theresponsibleHRpartnerandcomplianceofficershouldbeconsulted. 的HR顾问与合规官。ation proceduresandarchivedbyHRProhibitedifthecompetitorisanotalisted无ReportingEmployeereportstolinemanagerusingReportingForm.PagePAGE6PagePAGE6ofNUMPAGES8ofcirculardated1/1/2011OurofCircular–Circular–PagePAGE6of5.DirectorindirectholdingofinterestsinanAffiliatedorEmployeeorReportingEmployeereportstolinemanagerusingReportingForm.Linemanagerisresponsibletoreviewthereportandmakecomments.Incaseofconcern,theresponsibleHRpartnerandcomplianceofficershouldbe6.Directorindirectholdingofinterestsinhasbusiness往来公司的Employeemakesapplicationtohis/herlinemanagerusingApplicationForm.员工使用“申请表向主管经理申请许Linemanagerisresponsibletoreviewapplication/reportandmakedecision/givecomments.Incaseofconcern,theresponsibleHRpartnerandcomplianceofficershouldbeconsulted. 的HR顾问与合规官。ation proceduresandarchivedbyHRReportingEmployeereportstohis/herlinemanagerusingReportingForm.7.ACloseworkingatthesameorandCloseReportingEmployeereportstohis/herlinemanagerusingReportingForm.Linemanagerisresponsibletoreviewthereportandmakecomments.Incaseofconcern,theresponsibleHRpartnerandcomplianceofficershouldbeation proceduresandarchivedbyHR员工亲属在同西门子公司他关联公司作PagePAGE7PagePAGE7ofNUMPAGES8ofcirculardated1/1/2011OurofCircular–Circular–PagePAGE7of8．OtherofinterestcasesorCloseReportingEmployeereportstolinemanagerusingReportingForm.Linemanagerisresponsibletoreviewthereportandmakecomments.Incaseofconcern,theresponsibleHRpartnerandcomplianceofficershouldbeation proceduresandarchivedbyHRExhibit FormforReportingofsofInterest(“Reporting附录 Exhibit ApplicationFormforPermissiontoPerformSecondaryActivitiesand/orHoldInterestsina(“Application附录 CircularCircular–Page8ofAnnex附件Relevant相关“CompetitorCompanies”arecompaniesthatcompetewithSAG,oneofitsAffiliatedorAssociatedCompanies.“竞争公司”是指与西门子公司、西门子关联公司或其附属公司竞争的公司“CloseRelatives”includeanemployee’sspous