Liao Ning Qi Wei Energy Co., Limited.
CODE OF BUSINESS CONDUCT AND ETHICS
辽宁七维能源有限公司 商业行为及道德守则
Table of Contents 目录 Introduction 简介 .............................................................................................................................1 Compliance with Laws 遵守的相关法律 .......................................................................................1 Antitrust Laws 反托拉斯法.................................................................................................1 Anticorruption Laws 反腐败法 ...........................................................................................2 Conflicts of Interest 利益冲突.........................................................................................................3 Doing Business with Family Members 与家庭成员做生意 ...............................................4 Ownership in Other Businesses 在其它企业拥有产权 ......................................................5 Outside Employment 外部雇佣 ..........................................................................................6 Service on Boards 董事会供职 ...........................................................................................7 Business Opportunities 商业机会 .......................................................................................8 Loans 贷款………………………………………..………………………………8 Gifts and Entertainment 礼物和款待 ..............................................................................................9 Accepting Gifts and Entertainment 接受礼物和款待活动 .................................................9 Giving Gifts and Entertaining 赠送礼物和款待活动 .......................................................10 Fair Dealing 公平处事 ..................................................................................................................11 Responding to Inquiries from the Press and Others 回答媒体和其它咨询..................................11 Political Activity 政治活动 ...........................................................................................................11 Safeguarding Corporate Assets 保护公司资产安全 .....................................................................12 Equal Employment Opportunity and Anti-Harassment 平等雇佣机会及反骚扰 ........................13 Health, Safety and the Environment 健康、安全及环境 .............................................................14 Accuracy of Company Records 公司记录的准确性 ....................................................................15 Record Retention 记录保留 ..........................................................................................................17 Administration of the Code of Conduct 行为守则管理 ................................................................17 Distribution 发布 ...............................................................................................................17 Role of Supervisors and Officers 管理人员作用 ..............................................................17 Reporting Violations 报告违规事件 .................................................................................18 Investigations 调查 ............................................................................................................18 Disciplinary Action 纪律处分 ...........................................................................................18 No Retaliation 不报复 .......................................................................................................19 Approvals 批准 ..................................................................................................................19 Waivers 废止 .....................................................................................................................19 Certifications 证明 .............................................................................................................19 Asking for Help and Reporting Concerns 求助及报告所关注的事件 .........................................20 i
Note: This code and related policies are current as of May 13, 2013. In adopting and publishing these guidelines, you should note that (1) in some respects our policies may exceed minimum legal requirements or industry practice, and (2) nothing contained in this code should be construed as a binding definition or interpretation of a legal requirement or industry practice. To obtain additional copies of this code, you may contact Janet Chun. 注：本守则及相关政策于 2013 年 05 月 13 日开始适用。在采用及发布这些指导条款时要注意：1) 在某些方面我们的政策可能逾越了法律要求和工业实践的最低线，2)本守则中所包含的任何内容 都不应理解为法律要求或工业实践的捆绑定义或解释。 要获得本守则额外的影印本，请与 秦少璋联系。
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Introduction 简介 All employees, officers and directors must read and use this code of conduct to ensure that each business decision follows our commitment to the highest ethical standards and the law. This code of conduct applies to the operations of Liao Ning Qi Wei Energy Co., Limited. (the “Parent Company”) and each of its subsidiaries, direct and indirect, collectively “our company,” as used herein. Adherence to this code and to our other official policies is essential to maintaining and furthering our reputation for fair and ethical practices among our customers, stockholders, employees and communities. 所有员工、管理人员及董事必须阅读及使用这个行为守则，确保每一个商业决策符 合我们对最高道德标准及法律的承诺。本守则适用于辽宁七维能源有限公司（“母公 司”）及其直接和间接分公司，以下统称“我们公司”。恪守本守则及其它正式政策是在 我们客户、股东、员工及社区中维护和提高我们公平及道德声誉的基本要求。 It is the responsibility of every one of us to comply with all applicable laws and regulations and all provisions of this code and the related policies and procedures. Each of us must report any violations of the law or this code. Failure to report such violations, and failure to follow the provisions of this code may have serious legal consequences and will be disciplined by the company. Discipline may include termination of your employment. 按照相关法律和本守则中的规则做事是我们每个人的职责。每个人必须报告对法律 及本守则的违规事件。不报告此类违规事件或不遵守本守则的规定可能会面临严重法律后 果并且会受到公司纪律处分，纪律处分包括解聘。 This code summarizes certain laws and the ethical policies that apply to all of our employees, officers and directors. Several provisions in this code may at times reference more detailed policies that either (1) concern more complex company policies or legal provisions or (2) apply to select groups of individuals within our company. If these detailed policies are applicable to you, it is important that you read, understand, and be able to comply with them. If you have questions as to whether any detailed policies apply to you, contact your immediate supervisor. 本守则概述了适用于所有员工、管理人员和董事的一些法律和道德规范。本守则中 的一些规定有时提及更详细的政策，这些政策或者（1）关乎更复杂的公司政策或法律规 定或者（2）仅适用于我们公司内的个别团体。如果这些详细政策适用于你，阅读、理解 和遵守是很重要的。如果你想知道哪些详细政策适用于你，请你向直接主管咨询。 Situations that involve ethics, values and violations of certain laws are often very complex. No single code of conduct can cover every business situation that you will encounter. Consequently, we have implemented the compliance procedures outlined in the sections of this code entitled “Administration of the Code” and “Asking for Help and Reporting Concerns.” The thrust of our procedures is when in doubt, ask. If you do not understand a provision of this code, are confused as to what actions you should take in a given situation, or wish to report a violation of the law or this code, you should follow those compliance procedures. Those procedures will
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generally direct you to talk to your immediate supervisor. There are few situations that cannot be resolved if you discuss them with your immediate supervisor in an open and honest manner. 牵涉的道德、评价及违法的情形通常是非常复杂的。没有任何一个行为守则可以涵 盖我们所遇到的每一个商业情形。因此，我们执行了在“守则的管理”和“求助及报告所 关注的事件”中列明的程序。我们程序的推行原则是：有疑问就问。如果你不明白本守则 的规定，不清楚在特定情形下该采取何种行动，或者如果你想报告一个违法或违规事件， 你应该按照那些程序执行。那些程序一般会指引你与直接主管会谈。如果你与直接主管开 诚布公地讨论，不能解决的事情是很少的。 After reading this code, you should: •
Have a thorough knowledge of the code’s terms and provisions.
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Be able to recognize situations that present legal or ethical dilemmas.
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Be able to deal effectively with questionable situations in conformity with this code.
In order to be able to accomplish these goals, we recommend that you take the following steps: •
Read the entire code of conduct thoroughly.
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If there are references to more detailed policies that are not contained in this code, obtain and read those policies if they apply to you.
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Think about how the provisions of this code apply to your job, and consider how you might handle situations to avoid illegal, improper, or unethical actions.
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If you have questions, ask your immediate supervisor.
阅读完本守则，你应该： l
对本守则的条款及规定有一个全面的了解。
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能够认识到法律和道德之间的两难选择。
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能够有效处理是否符合本守则的疑问情形。
为了能完成这些目标，我们建议采取以下步骤： l
完整、全面阅读本守则。
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如果有提及本守则没有包含的更详细的政策，如果适用于你，请获得并阅读这 些政策。
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思考本守则的规定如何适用于你的工作，考虑如何避免非法的、不恰当的或不 道德的行为。
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如果你有问题，请直接询问你的主管。
When you are faced with a situation and you are not clear as to what action you should take, ask yourself the following questions: •
Is the action legal?
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Does the action comply with this code?
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How will your decision affect others, including our customers, stockholders, employees and the community?
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How will your decision look to others? If your action is legal but can result in the appearance of wrongdoing, consider taking alternative steps.
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How would you feel if your decision were made public? Could the decision be honestly explained and defended?
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Have you contacted your immediate supervisor regarding the action?
如果你遇到问题而不知道该采取何种行动时，就下面的问题自问： l
这个行动合法吗？
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这个行动符合本守则吗？
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你的决定将如何影响其他人，包括我们的客户、股东、员工和社区？
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你的决定别人会怎么看？如果你的行动是合法的，但可能产生错误的表象，请 采用其它措施。
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如果你的决定公之于众你会感觉怎样？这个决定能得以诚实地解释和捍卫吗？
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你是否已就这个行动与你的直接主管通过气。
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To reiterate, when in doubt, ask. Please note that this code is not an employment contract and does not modify the employment relationship between us and you. We do not create any contractual or legal rights or guarantees by issuing these policies, and we reserve the right to amend, alter and terminate policies at any time and for any reason. 再次重申：有疑问就问。 请注意本守则不是劳动合同，不会改变我们之间的雇佣关系。我们不会通过发布这些 政策制造契约性的或法律性的权力或保障，我们保留在任何时间，因任何理由增补、修改 和终止这些政策的权力。
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Compliance with Laws 遵守的相关法律 First and foremost, our policy is to behave in an ethical manner and comply with all laws, rules and government regulations that apply to our business. Although we address several important legal topics in this code, we cannot anticipate every possible situation or cover every topic in detail. It is your responsibility to know and follow the law and conduct yourself in an ethical manner. It is also your responsibility to report any violations of the law or this code. You may report such violations by following the compliance procedures contained in the section of the code entitled “Asking for Help and Reporting Concerns.” 首先，我们的政策是行为讲究道德并且遵守各项法规以及适用于我们行业的各项政 府规定。尽管我们在本守则中写了一些重要的法律条目，但我们不能预测到每一个可能的 情形或详细地涵盖每一个条目。了解和遵守法律以及以道德的方式行动是你的职责。报告 任何对法律和本守则的违规事件也是你的职责。你可以按照本守则“求助和报告所关注的 事件”中的程序报告违规事件。 Antitrust Laws 反托拉斯法 Antitrust laws are designed to ensure a fair and competitive marketplace by prohibiting various types of anticompetitive behavior. Some of the most serious antitrust offenses occur between competitors, such as agreements to fix prices or to divide customers, territories or markets. Accordingly, it is important to avoid discussions with our competitors regarding pricing, terms and conditions, costs, marketing plans, customers and any other proprietary or confidential information. Foreign countries often have their own body of antitrust laws, so our international operations may also be subject to antitrust laws of other foreign countries. 反托拉斯法意欲通过阻止各种反竞争行为确保公平和富有竞争性的市场环境。一些 最严重的违反反托拉斯事件发生在竞争对手之间， 如：协议制定价格，分割客户、地域 或市场。因此，避免与竞争对手谈论有关定价、（付款）期限和条件、成本、市场规划、 客户以及任何其它产权及保密资料是很重要的。外国通常有他们自己的反托拉斯组织，因 此我们的国际运营可能也会面临其它外国反托拉斯法的考验。 Unlawful agreements need not be written. They can be based on informal discussions or the mere exchange of information with a competitor. If you believe that a conversation with a competitor enters an inappropriate area, end the conversation at once. Membership in trade associations is permissible only if approved in advance by the board of directors of Parent Company. 非法的协议不要拟定。这些协议可能基于与竞争对手非正式的交谈或仅仅是信息的 交换。如果你认为与竞争对手的交谈进入了一个不恰当的领域，立即结束这个交谈。加入 商会只有经母公司董事会的事先同意才可以。 Whenever any question arises as to application of antitrust laws, you should consult with legal counsel, and any agreements with possible antitrust implications should be made only with the prior approval of legal counsel.
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当有关于反托拉斯法应用的问题时，你应咨询法律顾问，任何含有反托拉斯意味的 协议都要事先征得法律顾问的同意。 Anticorruption Laws 反腐败法 Conducting business with governments is not the same as conducting business with private parties. What may be considered an acceptable practice in the private business sector may be improper or illegal when dealing with government officials. Improper or illegal payments to government officials are prohibited. “Government officials” includes employees of any government anywhere in the world, even low-ranking employees or employees of government-controlled entities, as well as political parties and candidates for political office. If you deal with such persons or entities, you should consult with the board of directors of Parent Company to be sure that you understand these laws before providing anything of value to a government official. 与政府做生意不同于与私人团体做生意。那些在私人企业中可能被接受的东西在与 政府官员打交道时可能是不合适的或非法的。给予政府官员不适当的或非法的报酬是不允 许的。“政府官员”包括世界上任何政府的雇员，甚至低级别的雇员，或政府控制的实体 的雇员，还有政治团体和政治职位的候选人。如果你与这类人物或实体打交道时，你应与 母公司的董事会商谈，确保你在提供任何有价值的物品给一个政府官员之前了解这些法 律。 In some countries it is permissible to pay government employees for performing certain required duties. These facilitating payments, as they are known, are small sums paid to facilitate or expedite routine, non-discretionary government actions, such as obtaining phone service or an ordinary license. In contrast, a bribe, which is never permissible, is giving or offering to give anything of value to a government official to influence a discretionary decision. Understanding the difference between a bribe and a facilitating payment is very important. You must have approval from the board of directors of Parent Company before making any payment or gift to a foreign government official. 在某些国家为了履行特定的职责给政府雇员报酬是允许的。这些变通性的报酬，大 家知道，只是小额的便于疏通和加快流程，不是随意的政府行为，例如：获取电话服务或 许可证。相反，行贿是给予或赠送有价物品给政府官员从而影响一个任意的决定。理解行 贿和变通的区别是很重要的。在给予一个外国政府官员任何报酬或礼物之前你应征得母公 司董事会的同意。 This discussion is not comprehensive and you are expected to familiarize yourself with all laws and regulations relevant to your position with us, as well as all our related written policies on these laws and regulations. To this end, Ms Janet Chun is available to answer your calls and questions. If you have any questions concerning any possible reporting or compliance obligations, or with respect to your own duties under the law, you should not hesitate to call and seek guidance from Ms Janet Chun.
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这个谈论不很全面，期望你与我们一起熟悉各项法律和与你职位相关的规定，还有 我们所有关于这些法规的的相关书面政策。秦少璋小姐愿意回答各位的电话或当面咨询。 如果你有任何有关可能的报告或遵守义务方面的问题，或者有关基于该法律的个人责任， 请寻求秦少璋小姐指导。
Conflicts of Interest 利益冲突 All of us must be able to perform our duties and exercise judgment on behalf of our company without influence or impairment, or the appearance of influence or impairment, due to any activity, interest or relationship that arises outside of work. Put more simply, when our loyalty to our company is affected by actual or potential benefit or influence from an outside source, a conflict of interest exists. We should all be aware of any potential influences that impact or appear to impact our loyalty to our company. In general, you should avoid situations where your personal interests conflict, or appear to conflict, with those of our company. 我们所有人都必须能够在不受工作之外的活动、利益或关系影响或削弱下或没有这 些影响或削弱的表现下代表公司履行职责及行使判断。更简单地说，当我们对公司的忠诚 受到实际的或潜在的利益影响，或受到来自外部的影响时，利益冲突就存在了。我们都应 意识到所有影响或可能影响我们对公司忠诚度的各种潜在因素。一般来讲，你应避免个人 利益与公司利益发生冲突或可能发生冲突的情形。 Any time you believe a conflict of interest may exist, you must disclose the potential conflict of interest to your supervisor. Any activity that is approved, despite the actual or apparent conflict, must be documented. A potential conflict of interest that involves an officer with the title of Vice President and above must be approved by the board of directors of Parent Company or its designated committee. 一旦你认为利益冲突可能存在，你必须向主管揭示这个潜在的利益冲突。任何被批 准的活动，不管实际的或表面的冲突都必须备案。任何涉及到副总裁以上的潜在利益冲突 都必须得到母公司董事会或其指定的委员会批准。 It is not possible to describe every conflict of interest, but some situations that could cause a conflict of interest include: •
Doing business with family members
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Having a financial interest in another company with whom we do business
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Taking a second job
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Managing your own business
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Serving as a director of another business
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Being a leader in some organizations
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Diverting a business opportunity from our company to another company
不可能描述每一个利益冲突，但有些情形可能引起利益冲突，包括： l
与家庭成员做生意
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在与我们做生意的另一间公司拥有财务利益
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拥有第二份工作
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打理你自己的生意
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在另一间企业做董事
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在某些组织担任领导职务
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将商业机会从我们公司转到另一间公司
Doing Business with Family Members 与家庭成员做生意 A conflict of interest may arise if family members work for a supplier, customer or other third party with whom we do business. It also may be a conflict if a family member has a significant financial interest in a supplier, customer or other third party with whom we do business. A “significant financial interest” is defined below. Before doing business on our behalf with an organization in which a family member works or has a significant financial interest, an employee must disclose the situation to his or her immediate supervisor and discuss it with them. Document the approval if it is granted. If the only interest you have in a customer or supplier is because a family member works there, then you do not need to disclose the relationship or obtain prior approval unless you deal with the customer or supplier. 如果家庭成员供职于供应商、客户或与我们做生意的第三方时利益冲突就可能产 生。若家庭成员在供应商、客户或与我们做生意的第三方有重要财务利益时也可能发生冲 突。“重要财务利益”定义下面给出。在代表公司与一个有家庭成员在其中工作或有重要 财务利益的组织做生意之前，员工必须公开这个情况并与其直接主管讨论这个情况。如果 允许（做这个生意）则将批准文件备案。如果你在客户或供应商中所仅有的利益是因为家 庭成员在那里工作，你不必公布这层关系或获得事先批准，除非你在处理与客户或供应商 的关系。 “Family members” include your: •
Spouse
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Brothers or sisters
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Parents
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In-laws
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Children
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Life partner
“家庭成员”包括你的配偶、父母、子女、兄弟姐妹、姻亲关系和生活伴侣。
Employing relatives or close friends who report directly to you may also be a conflict of interest. Although our company encourages employees to refer candidates for job openings, employees who may influence a hiring decision must avoid giving an unfair advantage to anyone with whom they have a personal relationship. In particular, supervisors should not hire relatives or attempt to influence any decisions about the employment or advancement of people related to or otherwise close to them, unless they have disclosed the relationships to their immediate supervisor who has approved the decision. 雇佣直接向你报告的亲属或密友也可能产生利益冲突。尽管我们公司鼓励员工为职 务空缺举荐候选人，但可能影响招聘决定的员工必须避免给与其有私人关系的人员不公平 的优惠条件。特别地，主管不应雇佣亲属或试图影响与自己有关系或接近于自己的人员的 聘用或提升，除非将这种关系向其直接主管公布并经主管同意。
Ownership in Other Businesses 在其它企业拥有所有权 Our investments can cause a conflict of interest. In general, you should not own, directly or indirectly, a significant financial interest in any company that does business with us or seeks to do business with us. You also should not own a significant financial interest in any of our competitors. 我们的投资可能引致利益冲突。一般来说，你不应在与我们做生意或寻求与我们做 生意的企业拥有重要财务利益。你也不应在我们任何竞争对手的企业拥有重要财务利益。 Two tests determine if a “significant financial interest” exists: •
You or a family member owns more than 1% of the outstanding stock of a business or you or a family member has or shares discretionary authority with respect to the decisions made by that business, or
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The investment represents more than 5% of your total assets or of your family member’s total assets.
两个测试条件决定了是否存在“重要财务利益” l
你或家庭成员拥有一个企业发行股票的 1%以上，或，你或家庭成员对一个企 业的决策拥有任意权限，或
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投资超过你或家庭成员总资产的 5%。
If you or a family member has a significant financial interest in a company with whom we do business or propose to do business, that interest must be approved by your immediate supervisor prior to the transaction. 如果你或家庭成员在与我们做生意或打算与我们做生意的公司拥有重要财务利益，在进行 交易之前要得到你直接主管的批准。
Notwithstanding the foregoing, non-employee directors of our company and their family members may have significant financial interests in or be affiliates of suppliers, customers, competitors and third parties with whom we do business or propose to do business. However, a director must: •
disclose any such relationship promptly after the director becomes aware of it,
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remove himself or herself from any board of directors activity that directly impacts the relationship between our company and any such company with respect to which the director has a significant financial interest or is an affiliate, and
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obtain prior approval of the board of directors of the Parent Company or its designated committee for any transaction of which the director is aware between our company and any such company.
尽管如此，我们公司的非雇员董事及其家庭成员可能在供应商、客户、竞争对手以 及与我们做生意或打算做生意的第三方有重要财务利益或是这些企业的人员。但一 个董事必须做到： l
当该董事意识到这种关系以后要及时公开这种关系，
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对于我们公司与该董事有重要财务利益或是其成员的公司的关系有直接影响的 董事会活动，该董事应回避，还有
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该董事所知道的有关我们公司与这类公司进行的交易要事先得到母公司董事会 或其指定的委员会批准。
Outside Employment 外部就业 Sometimes our employees desire to take additional part-time jobs or do other work after hours, such as consulting or other fee-earning services. This kind of work does not in and of itself violate our code. However, the second job must be strictly separated from your job with 6
us, and must not interfere with your ability to devote the time and effort needed to fulfill your duties to us as our employee. You cannot engage in any outside activity that causes competition with us or provides assistance to our competitors or other parties (such as suppliers) with whom we regularly do business. You should avoid outside activities that embarrass or discredit us. Outside work may never be done on company time and must not involve the use of our supplies or equipment. Additionally, you should not attempt to sell services or products from your second job to us. 有时我们的员工在下班后想打点零工或做其它工作，例如做顾问或其它赚钱的服 务。这种工作本身并不违反我们的守则。但第二职业要与我们的工作严格区分开来，且不 会影响到你作为我们的雇员为完成本职工作应该投入的时间和精力。你不能从事招致与我 们竞争的任何外部活动，或向我们的竞争对手或与我们常做生意的其它团体（如供应商） 提供协助。你应避免参与那些使我们处于困境或失誉的外部活动。外部工作不能在上班时 间做，且一定不要使用我们的设备或用品。此外，你不应向我们出售来自第二职业的产品 或服务。
Before engaging in a second line of work, you should disclose your plans to your immediate supervisor to confirm that the proposed activity is not contrary to our best interests. You may also contact Janet Chun for more information about our policies concerning outside employment. 在从事第二职业之前，你应向直接主管披露你的计划，以便让后者确认你提出的活 动是否与我们公司的最大利益背道而驰。你也可以就外部就业的政策咨询秦少璋。
Service on Boards 董事会服务 Serving as a director of another corporation may create a conflict of interest. Being a director or serving on a standing committee of some organizations, including government agencies, also may create a conflict. Before accepting an appointment to the board or a committee of any organization whose interests may conflict with our company’s interests, you must discuss it with Janet Chun and obtain approval from either of them . This rule does not apply to non-employee directors of our company. 作为另一间公司的董事可能产生利益冲突。在某些组织（包括政府机构）担任董事 或服务于其常务委员会也可能产生冲突。 在接受其利益可能与我们公司利益想抵触的任何组织的董事会或委员会任命前，你 必须与秦少璋讨论，并征得其中之一同意。这个规定不适用于我们公司的非雇员董事。
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Business Opportunities 商业机会 Business opportunities relating to the kinds of products and services we usually sell or the activities we typically pursue that arise during the course of your employment or through the use of our property or information belong to us. Similarly, other business opportunities that fit into our strategic plans or satisfy our commercial objectives that arise under similar conditions also belong to us. You may not direct these kinds of business opportunities to our competitors, to other third parties or to other businesses that you own or with whom you are affiliated. 与我们通常所出售的各类产品和服务相关的，或在你的雇佣过程中或通过使用我们 的财产或信息而从事的有代表性的活动相关的商业机会属于我们。同样，起因于类似条件 下的适合于我们战略规划或满足于我们商业目标的其它商业机会也属于我们。你不能将这 些商业机会指引给我们的竞争对手、其它第三方团体或你拥有的或与你有关联的其它企 业。
Loans 贷款 Unlawful extensions of credit by our company in the form of personal loans to our executive officers and directors are prohibited. All other loans by our company to, or guarantees by our company of obligations of, officers with the title of Vice President or above must be made in accordance with established company policies approved by the board of directors of the Parent Company or its designated committee. 公司以个人贷款形式向我们的高级管理人员和董事放贷是不允许的。公司向副总裁 以上的管理人员发放贷款或以公司责任提供的担保必须按照母公司董事会或其指定委员会 批准的公司政策执行。
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Gifts and Entertainment 礼物和款待 We are dedicated to treating fairly and impartially all persons and firms with whom we do business. Therefore, our employees must not give or receive gifts, entertainment or gratuities that could influence or be perceived to influence business decisions. Misunderstandings can usually be avoided by conduct that makes clear that our company conducts business on an ethical basis and will not seek or grant special considerations. 我们致力于公平无私地对待与我们做生意的所有人和商号。所以我们的员工一定不 要给予或接受可能影响或感知到会影响生意决策的礼物、款待或小费。通过表明我们公司 做生意是以道德为基础而不会寻求或给予特别的考量通常可以避免误会。
Accepting Gifts and Entertainment 接受礼物和款待 You should never solicit a gift or favor from those with whom we do business. You may not accept gifts of cash or cash equivalents. You may accept novelty or promotional items or modest gifts related to commonly recognized occasions, such as a promotion, holiday, wedding or retirement, if: •
this happens only occasionally
•
the gift was not solicited
•
disclosure of the gift would not embarrass our company or the people involved
•
the value of the gift is under RMB $200.
你不应向与我们做生意的人索要礼物或好处。你不可以接受现金或现金等价物。 你可以接受公共认可场合（如促销、节日、婚礼或退休宴会）相关的比较新奇的或 促销性的物品或适度的礼物，如果： l
这仅是偶尔发生的话
l
这礼物不是索取的话
l
披露这个礼物不会使我们公司及相关人员尴尬的话
l
这个礼物的价值在人民幣 200 元以下的话
You may accept an occasional invitation to a sporting activity, entertainment or meal if
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•
there is a valid business purpose involved
•
this happens only occasionally
•
the activity is of reasonable value and not lavish
A representative of the giver’s company must be present at the event. If you are asked to attend an overnight event, you must obtain prior approval from your immediate supervisor. 你可以偶尔受邀参加体育活动，娱乐活动或聚餐，如果： l
有一个正当的业务目的
l
这仅仅是偶而发生
l
这个活动有个合理值，不浪费
赠送礼物的公司必须有代表在场。如果你要参加一个通宵的活动，必须获得直接主 管的事先批准。
Giving Gifts and Entertaining 赠送礼物和款待 Gifts of nominal value (under RMB200) and reasonable entertainment for customers, potential customers and other third parties with whom we do business are permitted. However, any gift or entertainment must •
support our company’s legitimate business interests
•
be reasonable and customary, not lavish or extravagant
•
not embarrass our company or the recipient if publicly disclosed
对于客户、潜在客户以及与我们做生意的第三方团体赠送票面价值人民幣 200 元以 下的礼品和合理的款待是允许的，但任何礼物或款待必须 l
支持公司合法的商业利益
l
合理，符合惯例，不要浪费奢侈
l
如果被公开不至于让我们公司或接受者尴尬
Under no circumstances can any bribe, kickback, or illegal payment or gift of cash or cash equivalents be made. Also, special rules apply when dealing with government employees. These are discussed in this code under “Compliance with Laws – Anticorruption Laws.” 10
If you are not sure whether a specific gift or entertainment is permissible, contact your immediate supervisor. 任何情况下，给予贿赂、回扣，或非法酬金、现金礼品或现金等价物是不允许的，在处理 与政府雇员的关系也有特别的规定，这些规定在“反腐败法”中讨论。 如果你不能确定一个具体的礼物或款待是否是允许的，与直接主管联系。
Fair Dealing 公平处事 We have built a reputation as a trustworthy and ethical member of our community and our industry. We are committed to maintaining the highest levels of integrity and fairness within our company. When we fail to negotiate, perform or market in good faith, we may seriously damage our reputation and lose the loyalty of our customers. You must conduct business honestly and fairly and not take unfair advantage of anyone through any misrepresentation of material facts, manipulation, concealment, abuse of privileged information, fraud or other unfair business practice. 我们作为社区和行业中可信赖的讲道德的一员已建立了自己的声誉。我们致力于在 公司内维持最高水平的诚实和公平。当我们不能以良好的信誉进行谈判、履行职责或做买 卖时，我们就可能严重损害自己的声誉以及失去我们的客户。你必须诚实公平地做生意， 不要通过误传事实、操纵、隐瞒、滥用专有信息、欺骗或其它不公平商业行为获得不公平 条件。
Responding to Inquiries from the Press and Others 回应媒体及其它咨询 Only certain designated employees may discuss our company with the news media, securities analysts and investors. All inquiries from outsiders regarding financial or other information about our company should be referred to Janet Chun. 只有某些指定的员工可以和新闻媒体、证券分析师和投资者谈论我们公司。所有来 自外部的有关公司财务或其它信息的咨询都应知会秦少璋.
Political Activity 政治活动 We will fully comply with all political contribution laws. Our funds may not be used for contributions of any kind to any political party or committee or to any candidate or holder of any government position (national, province or local) unless such contribution is permitted by law and complies with our company policy. Please contact Janet Chun to determine whether a specific company contribution is permitted. 11
It is against our policy for you to lobby our other employees on behalf of a political candidate during the work day. It is also against our policy to reimburse an employee for any political contributions or expenditures. Outside normal office hours, you are free to participate in political campaigns on behalf of candidates or issues of your choosing, as well as make personal political contributions. 我们完全遵守所有的政治捐献法。我们的基金不可以作为对任何政党、委员会、政 府岗位（全国、省或当地的）的候选人或现任者的任何捐助，除非这样的捐助是法律允许 的且符合公司政策。请联系秦少璋决定某项捐献是否允许。 你代表一个政治候选人于工作日游说我们其他的员工是与公司政策相抵触的。给一 个员工报销任何政治捐献或政治花费也是与我们的政策相抵触的。在正常工作时间以外， 你代表候选人参与竞选活动，发布你的选择意向或做个人政治捐献是自由的。
Safeguarding Corporate Assets 保护公司资产 We have a responsibility to protect company assets entrusted to us from loss, theft, misuse and waste. Company assets and funds may be used only for business purposes and may never be used for illegal purposes. Incidental personal use of telephones, fax machines, copy machines, personal computers, e-mail and similar equipment is generally allowed if it is occasional, there is no significant added cost to us, it does not interfere with your work responsibilities and is not related to an illegal activity or outside business. If you become aware of theft, waste or misuse of our assets or funds or have any questions about your proper use of them, you should speak immediately with your immediate supervisor. 我们有责任保护托付给我们保管的公司资产免受损失、盗窃、滥用和浪费。公司资 产和基金只可用于业务目的，不可用于非法目的。偶尔私用电话、传真、复印机、个人电 脑、email 及类似设备一般是允许的，如果只是偶尔的，不会给我们造成大的额外成本， 不会影响到你的工作、职责并且不会牵涉到非法活动或公司之外的业务的话。如果你意识 到公司资产或基金被盗、浪费或滥用或者你对是否恰当使用了这些资产或基金有疑问的 话，应立即告知直接主管。
It is also important that you protect the confidentiality of Company information. Confidential or proprietary information includes all information that is not generally known to the public and is helpful to the company, or would be helpful to competitors. Proprietary information should be marked accordingly, kept secure and access limited to those who have a need to know in order to do their jobs. Our business relations are built on trust, and our customers and suppliers count on that trust. If you learn information from them that is not otherwise public, you should keep that information confidential also.
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保护公司资料（信息）的机密性也很重要。保密的或专有的资料包括所有一般不为 公众知道的且对公司有帮助或对竞争对手有帮助的资料。专有资料应做上相应的标注，安 全保管好，只限因工作需要才能查阅。
We must all be sensitive to the impact of comments made over the Internet through public forums such as chat rooms and bulletin boards. In such forums, you may not post any information about the company including comments about our products, stock performance, operational strategies, financial results, customers or competitors, even in response to a false statement or question. This applies whether you are at work or away from the office. Our company owns all e-mail messages that are sent from or received through the company’s systems. We may monitor your messages and may be required to disclose them in the case of litigation or governmental inquiry. 我们都应该对通过互联网公众论坛如聊天室和公告栏所发表的评论之影响保持警 觉。在这样的论坛中，你不可以贴出有关公司的资料，包括对公司产品、股票行情、营运 策略、财务结果、客户或竞争对手的评论，即使是对一个错误的声明或疑问的回应也不 行。这个规定适用于上班时间和非上班时间。所有经公司系统发出或接收的 email 信息归 我们公司所有。我们可以监控你的这些信息并且可以在出现诉讼或政府询问的时候公布这 些信息。
Equal Employment Opportunity and Anti-Harassment 平等雇佣机会和反骚扰 We are committed to providing equal employment opportunities for all our employees and will not tolerate any speech or conduct that is intended to, or has the effect of, discriminating against or harassing any qualified applicant or employee because of his or her race, color, religion, sex (including pregnancy, childbirth or related medical conditions), national origin, age, physical or mental disability, veteran status or any characteristic protected by law. We will not tolerate discrimination or harassment by anyone – managers, supervisors, co-workers, vendors or our customers. This policy extends to every phase of the employment process, including: recruiting, hiring, training, promotion, compensation, benefits, transfers, discipline and termination, layoffs, recalls, and company-sponsored educational, social and recreational programs, as applicable. If you observe conduct that you believe is discriminatory or harassing, or if you feel you have been the victim of discrimination or harassment, you should notify your immediate supervisor. 我们承诺为所有员工提供平等雇佣机会，不容忍任何针对合格应征者及员工因其种 族、肤色、宗教、性别（包括身孕、生育或相关医疗状况）、血统、年龄、身体或智力残 疾、资历状况或任何受法律保护的特征而差别对待或骚扰的言行。我们不会容忍任何人－ 经理、主管、同事、供应商或客户的歧视或骚扰。这个政策延伸到雇佣过程的每个阶段， 包括招聘、录用、培训、提拔、薪酬福利、调动、处分、解雇、裁员、召回，以及公司出
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资的教育、社会和休闲性项目（如果适用的话）。如果你看到你认为是歧视或骚扰的行为 或你感觉到你已是歧视或骚扰的受害者，你应通报直接主管。
Not only do we forbid unlawful discrimination, we take affirmative action to ensure that applicants are employed, and employees are treated during employment, without regard to their race, color, religion, sex (including pregnancy, childbirth or related medical conditions), national origin, age, physical or mental disability, veteran status or any characteristic protected by law. Our human resources department has been assigned specific responsibilities for implementing and monitoring affirmative action and other equal opportunity programs. One of the tenants of this code, however, is that all employees are accountable for promoting equal opportunity practices within our company. We must do this not just because it is the law, but because it is the right thing to do. 我们不仅禁止非法的歧视，我们也肯定保证员工在被录用和雇佣过程中不会因其种 族、肤色、宗教、性别（包括身孕、生育或相关医疗状况）、血统、年龄、身体或智力残 疾、资历状况或任何受法律保护的特征而区别对待。 我们的人力资源部已被指派专门负责执行和监控这个保证以及其它平等机会项目。 然而本守则的财富之一是所有员工有责任在公司内部促进平等机会的实践。我们这样做不 仅仅因为它是法律，而是因为这样做是对的。
We will not retaliate against any employee for filing a good faith complaint under our anti-discrimination and anti-harassment policies or for cooperating in an investigation and will not tolerate or permit retaliation by management, employees or co-workers. To the fullest extent possible, the Company will keep complaints and the terms of their resolution confidential. If an investigation confirms harassment or discrimination has occurred, the Company will take corrective action against the offending individual, including such discipline up to and including immediate termination of employment, as appropriate. 我们不会报复任何在我们反歧视和反骚扰政策框架下诉以真诚抱怨或与调查合作的 任何员工，不会容忍或允许来自管理层、员工或同事的报复。公司将尽最大可能对抱怨和 解决的条件保密。如果调查确认骚扰或歧视发生，公司将会对触犯人员进行纪律处分直至 立即解雇（如果适当的话）。
Health, Safety and the Environment 健康、安全和环境 We are committed to providing safe and healthy working conditions by following all occupational health and safety laws governing our activities.
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We believe that management and each and every employee have a shared responsibility in the promotion of health and safety in the workplace. You should follow all safety laws and regulations, as well as company safety policies and procedures. You should immediately report any accident, injury or unsafe equipment, practices or conditions. 我们承诺按照所有适用的职业健康和安全法律提供安全健康的工作条件。 我们认为管理层和每一位员工有共同的责任促进工作场所的健康和安全。你应该遵 守所有的安全法规，以及公司安全政策和程序。你应及时报告任何事故、受伤情况或不安 全设备、做法或条件。
You also have an obligation to carry out company activities in ways that preserve and promote a clean, safe, and healthy environment. You must strictly comply with the letter and spirit of applicable environmental laws and the public policies they represent. The consequences of failing to adhere to environmental laws and policies can be serious. Our company, as well as individuals, may be liable not only for the costs of cleaning up pollution, but also for significant civil and criminal penalties. You should make every effort to prevent violations from occurring and report any violations to your immediate supervisor. 你也有责任以保护和促进清洁、安全和健康环境的方式执行公司的各项活动。你应 严格遵守所适用的环境法及其所代表的公共政策的内容和精神。 不遵守环境法及其政策的后果可能是严重的。我们公司以及每个人可能不仅对清洁 污染的成本负责，还可能面临重大民事和刑事处罚。你应该努力防止违反行为并向直接主 管报告任何违反行为。
Accuracy of Company Records 公司记录的准确性 All information you record or report on our behalf, whether for our purposes or for third parties, must be done accurately and honestly. All of our records (including accounts and financial statements) must be maintained in reasonable and appropriate detail, must be kept in a timely fashion, and must appropriately reflect our transactions. Falsifying records or keeping unrecorded funds and assets is a severe offense and may result in prosecution or loss of employment. When a payment is made, it can only be used for the purpose spelled out in the supporting document. 你代表我们（公司）所记录或报告的资料，不管是用于我们还是第三方，都必须准 确诚实。我们所有的记录（包括财会报表）必须维持合理的和适当的细节，必须适时，必 须适当反映我们的交易。伪造记录或保持没有记录的基金和资产是严重违规事件，可能导 致被起诉或解雇。当有付款发生时，它只能用于支持文件标明的目的。
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Information derived from our records is provided to our stockholders and investors as well as government agencies. Thus, our accounting records must conform not only to our internal control and disclosure procedures but also to generally accepted accounting principles and other laws and regulations, such as those of the Internal Revenue Service. Any public communications and the reports we file with government agencies should contain information that is full, fair, accurate, timely and understandable in light of the circumstances surrounding disclosure. 来自于我们记录的资料是提供给我们的股东、投资者以及政府机构。因此我们的会 计记录必须不仅符合内部控制和发布程序，也要符合被广泛接受的会计原则和其它法规 （例如国内税收机构的法规）。我们与政府机构的任何公开沟通和报告必须包含按发布境 况来说是完整、公正、准确、及时和可以看懂的资料。
Our internal and external auditing functions help ensure that our financial books, records and accounts are accurate. Therefore, you should provide our accounting department, internal auditing staff, audit committee and independent public accountants with all pertinent information that they may request. We encourage open lines of communication with our audit committee, accountants and auditors and require that all our personnel cooperate with them to the maximum extent possible. It is unlawful for you to fraudulently influence, induce, coerce, manipulate or mislead our independent public accountants for the purpose of making our financial statements misleading. 我们内部和外部的审计功能帮助确保我们的财务账簿、记录和账目是准确的。因 此，你必须为我们的会计部门、内部审计员、审计委员会和独立公共会计师提供所有他们 要求的相干资料。我们鼓励与我们的审计委员会、会计师和审计师开诚布公地沟通，要求 所有我们的人员尽最大可能与他们合作。你欺骗性地影响、诱导、强制、操纵或误导我们 的独立公共会计师是非法的。
If you are unsure about the accounting treatment of a transaction or believe that a transaction has been improperly recorded or you otherwise have a concern or complaint regarding an accounting matter, our internal accounting controls, or an audit matter, you should confer with your immediate supervisor, or you may submit your concern, on an anonymous basis, to Janet Chun. 如果你不能确定对一项交易的会计处理或认为一个交易被不适当地记录或者你对会 计事务、内部会计控制或审计事务有关注或抱怨，你应该与直接主管交换意见或以匿名方 式报告给秦少璋.
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Record Retention 记录保留 Our records should be retained or discarded in accordance with our record retention policies and all applicable laws and regulations. From time to time we are involved in legal proceedings that may require us to make some of our records available to third parties. Our legal counsel will assist us in releasing appropriate information to third parties and provide you (or your immediate supervisor) with specific instructions. It is a crime to alter, destroy, modify or conceal documentation or other objects that are relevant to a government investigation or otherwise obstruct, influence or impede an official proceeding. The law applies equally to all of our records, including formal reports as well as informal data such as e-mail, expense reports and internal memos. If the existence of a subpoena or a pending government investigation is known or reported to you, you should immediately contact our human resources department and you must retain all records that may pertain to the investigation or be responsive to the subpoena. For further information, you should contact Janet Chun. 我们应该按照我们的记录保存政策和相应的法规保存或废弃我们的记录。我们时不 时会卷入一些法律案件，这些案件要求我们将某些记录提供给第三方。我们的法律顾问将 协助我们向第三方发布适当的资料，向你（或你的直接主管）提供具体指导。改变、破 坏、修改或隐藏与政府调查有关的文件或其它对象，或阻挠、影响、阻止官方行动是犯罪 行为。这个法律相等地适用于我们所有的记录，包括正式的报告，以及非正式的数据， 如：email、费用报表和内部备忘录。如果你知道有传票或未决的政府调查，你应立即联 系人力资源部并且保存所有与调查或传票有关的记录。要得到更多的信息，你应联系秦少 璋.
Administration of the Code of Conduct 行为守则的管理 Distribution 发布 All of our directors, officers and employees will receive a copy of this code when they join our company. Updates of the code will be distributed to all directors, officers and employees. 我们所有的董事、管理人员和员工入职时将会收到一份本守则。本守则的更新将会 发布给所有的董事、管理人员和员工。
Role of Supervisors and Officers 监督者和管理人员的作用 Supervisors and officers have important roles under this code and are expected to demonstrate their personal commitment to this code by fostering a workplace environment that promotes compliance with the code and by ensuring that employees under their supervision participate in our company’s compliance training programs.
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监督者和管理人员在本守则下起重要作用，他们被期待通过培育促进遵守本守则的 工作环境以及通过确保他们监督下的员工参与守法训练项目而展示对本守则的忠诚。
Reporting Violations 报告违规事件 All employees are obliged to report violations of this code or the law and to cooperate in any investigations into such violations. We prefer that you give your identity when reporting violations, to allow the company to contact you in the event further information is needed to pursue an investigation, and your identity will be maintained in confidence to the extent practicable under the circumstances and consistent with enforcing this code. However, you may anonymously report violations to Janet Chun. 所有员工有责任报告对本守则和法律的违反事件并且与对这些违反事件的调查进行 合作。我们期待你在报告违反事件时给出你的身份以便在调查需要得到进一步的资料时能 与你联系，你的身份将会在与执行本守则可行的情况下保密。但是你可以匿名向秦少璋报 告违反事件。
Investigations 调查 We will initiate a prompt investigation following any credible indication that a breach of law or this code may have occurred. We will also initiate appropriate corrective action as we deem necessary, which may include notifying appropriate authorities. For more information about our procedures in dealing with violations or suspected violations of this code, you should contact your immediate supervisor. 当有违法或违反本守则的可靠迹象时我们就会即刻开展调查。当我们认为有必要时 也会启动纠正措施，包括通报适当的管理部门。要了解有关处理违反或可能违反本守则程 序的详细资料，你应联系直接主管。 Disciplinary Action 纪律处分 If you violate any provision of this code, you may be subject to disciplinary action, up to and including discharge. Please be aware that we may seek civil remedies from you and if your violation results in monetary loss to us, you may be required to reimburse us for that loss. If you are involved in a violation, the fact that you reported the violation, together with the degree of cooperation displayed by you and whether the violation is intentional or unintentional, will be given consideration in our investigation and any resulting disciplinary action. 如果你违反本守则的任何规定，你可能面临包括解雇在内的纪律处分。请注意我们 可能向你寻求民事的补救措施，如果你的违规给我们造成金钱的损失，你可能需要赔偿这 个损失。如果你涉及到违规事件，你是否报告这个违规事件、你的合作程度以及该违规是 故意或非故意的事实将会在我们的调查和做出纪律处分方面给予考虑。 18
No Retaliation 不报复 We will not retaliate against anyone who, in good faith, notifies us of a possible violation of law or this code, nor will we tolerate any harassment or intimidation of any employee who reports a suspected violation. 我们不会报复诚恳报告一个违法或违反本守则的可能事件的任何人，也不会容忍对 报告可能违规事件的员工的任何骚扰或胁迫。 Approvals 批准 Approvals required under this code should be documented. 本守则所要求的批准必须有文件证明。 Waivers 废止 Any request for a waiver of this code must be submitted in writing to Janet Chun, each of whom has authority to decide whether to grant a waiver. However, a waiver of any provision of this code for a director or an officer holding the title of Vice President or above must be approved by our Board of Directors or its designated committee and will be promptly disclosed to the extent required by law or regulation. 对本守则的任何一个废止申请必须以书面呈报秦少璋，其中任何一人均有权决定是 否废止。但本守则中有关董事或副总裁以上职务规定的废止必须得到董事会或其指定委员 会批准且将会立刻通知到法规规定的范围。
Certifications 证明 All new employees must sign a certificate confirming that they have read and understand this code. We will also require an annual certification of compliance with the code by all officers with the title of Vice President or above. However, failure to read the code or sign a confirmation certificate does not excuse you from complying with this code. 所有新员工必须签署一个证明书确认他们已经阅读和理解了本守则。我们也将要求 副总裁以上职务的人员每年签署遵守本守则的证明。然而，不阅读或签署确认书不能够作 为你免除遵守该守则的借口。
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Asking for Help and Reporting Concerns 请求帮助和报告所关注的事件 We take this code seriously and consider its enforcement to be among our highest priorities, but we also acknowledge that it is sometimes difficult to know right from wrong. That’s why we encourage open communication. When in doubt, ask. Whenever you have a question or concern, are unsure about what the appropriate course of action is, or if you believe that a violation of the law or this code has occurred: •
You should talk with your immediate supervisor. He or she may have the information you need, or may be able to refer the matter to an appropriate source, including legal counsel as circumstances warrant.
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If you are uncomfortable talking with your immediate supervisor, you may also contact any manager in our company with whom you feel comfortable, Janet Chun.
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In addition, if you have concerns or complaints about accounting or audit matters or our internal accounting controls, you may confer with your immediate supervisor or you may submit your concern or complaint, on an anonymous basis, to the board of directors of the Parent Company.
我们认真对待本守则，将对它的执行放在最优先的位置。但我们也承认有时分辨对 错是很困难的。这也就是为什么我们鼓励公开沟通的原因。有疑问就问。一旦你有 问题或关注，不能确定采用什么适当的措施或如果你认为发生违法或违反本守则的 事件： l
你应与直接主管交谈。他/她可能有你需要的信息，或可能将事件提交给适当 的人员，包括法律顾问（如果情况许可的话）。
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如果你不方便与直接主管交谈，你也可以接触你觉得方便的经理
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此外，如果你对会计或审计事务或我们内部财务控制有关注或抱怨，你可以与 直接主管协商或以匿名方式提交给母公司的董事会。
译者注：此守则之中文译本仅供没有英文阅读习惯的人士理解本守则之内容，若中 英文在理解上出现岐义，以英文本为准。
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Contact Information 联系信息 辽宁办事处 地址： 辽宁省开原市新城街铁西街 424 号 电话： +86 024 73724239 电邮： info@qiwei-energy.com 青海办事处 地址： 青海省西宁市西关大街 17 号 电话： +86 0971 6129655 电邮： info@qiwei-energy.com
Confirmation Certificate 确认书 I have been provided with a copy of the Code of Business Conduct and Ethics of Liao Ning Qi Wei Energy Co., Limited. I acknowledge that I have read the code and understand my responsibilities under it. I further acknowledge that I should follow the compliance procedures described in the code if I have any questions or concerns. 公司已提供一份辽宁七维能源有限公司职业行为和道德守则给我。我承认已经阅读 了本守则并且理解了我的责任。我也认可如果我有任何问题或关注的事件我必须遵守本守 则中规定的程序。
Employee Name: Date: