广电计量: 合规管理办法

Core Viewpoint - The company aims to enhance compliance management to effectively prevent risks and ensure high-quality development, guided by relevant laws and regulations [1][2]. Group 1: Compliance Management Framework - Compliance is defined as the alignment of business operations and employee conduct with national laws, regulations, industry standards, and internal policies [1]. - Compliance risk refers to the potential legal liabilities and economic or reputational losses arising from non-compliance [1]. - The compliance management system includes establishing compliance policies, improving operational mechanisms, fostering a compliance culture, and strengthening supervision and accountability [1][2]. Group 2: Management Principles - The company emphasizes the importance of party leadership in compliance management [2]. - A comprehensive approach is adopted, embedding compliance requirements across all business areas and processes [2]. - Clear responsibilities are established for business and compliance departments, ensuring accountability for compliance breaches [2][3]. Group 3: Organizational Structure and Responsibilities - The board of directors leads compliance management, while various departments collaborate to implement compliance strategies [3][4]. - The audit and compliance committee oversees compliance management efforts and evaluates the effectiveness of the compliance system [3]. - The chief compliance officer, who is also the chief legal advisor, is responsible for leading compliance initiatives and reporting to the company's main leadership [4][5]. Group 4: Compliance Responsibilities of Departments - Each business and functional department is responsible for establishing compliance management systems and conducting risk assessments [5][6]. - The legal department plays a key role in drafting compliance policies and conducting compliance reviews of contracts and major decisions [6][7]. - Various centers within the company, such as finance, procurement, and human resources, have specific compliance responsibilities tailored to their functions [7][8]. Group 5: Compliance Culture and Training - The company integrates compliance management into its corporate culture, promoting awareness and adherence among all employees [16][17]. - Regular compliance training is mandated for management and key personnel to ensure understanding of compliance requirements [16][17]. - The legal department is tasked with disseminating compliance information and fostering a culture of integrity and compliance [16]. Group 6: Risk Management and Reporting - A compliance risk identification and assessment mechanism is established to proactively manage potential compliance risks [11][12]. - The company requires compliance reviews to be part of the decision-making process for significant business actions [12][13]. - An annual compliance management report is prepared to summarize compliance activities and evaluate the effectiveness of the compliance system [13][14]. Group 7: Accountability and Whistleblower Protection - The company has mechanisms in place for addressing compliance violations and holding responsible parties accountable [21][22]. - A whistleblower platform is established to encourage reporting of compliance issues while ensuring confidentiality and protection for whistleblowers [14][15]. - The company emphasizes a culture of accountability, with clear consequences for non-compliance and a focus on continuous improvement [22][23].