第五章 董事会组织结构 Chapter 5 Organization of the Board of Directors Article 45
The board of directors shall have a secretary, a secretariat, and various professional committees to handle the day-to-day administrative manners and professional matters of the board of directors.
Section 1 Secretary to the Board of Directors Article 46
The secretary to the board of directors is a member of the senior management staff of the Company to be nominated by the chairman and appointed and dismissed by the board of directors.
Article 47
Directors of the company or other members of the senior management staff (except for supervisors) may concurrently act as secretary to the board of directors. Where a director act concurrently as the secretary to the board, in the event that an act needs to be performed respectively by the secretary to the board of directors and by directors, the person who is concurrently a director and the secretary to the board of directors shall not act in dual capacity.
Article 48
The secretary to the board of directors shall be a natural person with the necessary professional knowledge and experience. He shall at least have university education and three years’ experience in the finance, financial audit, business administration and legal field or in the work of a secretary to the board of directors to a listed company, and shall have participated in training courses run by China Securities Regulatory Commission or other professional organization and passed the appraisal. He shall be strong in coordination and meticulous in work, capable of performing duties faithfully, and proficient in language and able to handle administrative matters satisfactorily. The circumstances stipulated in Article 11 hereof regarding persons who shall not be fit to act as directors shall apply to the secretary to the board of directors.
Article 49
The principal duties and responsibilities of a secretary to the board of directors are: (1) to provide information to, remind directors of and ensure
directors understand the laws and regulations, policies and requirements of domestic and overseas securities regulatory authorities in respect of corporate operation; (2) to assist directors to practically implement the domestic and overseas laws, regulations, Articles and other relevant provisions in exercising their functions and powers; (3) to prepare the documentation of the board of directors and the general meeting; to ensure the convening of the meetings and that the process of decision-making are in conformity with the legal procedures; (4) to organize and prepare and promptly submit such documents and information as required by the securities regulatory authorities; to take up the task assignment handed down by the securities regulatory authorities and organize for completing such task; (5) to organize for information disclosure, to coordinate for a good external relationship in the course of information disclosure, and to ensure the promptness in information disclosure and the relevance of the information disclosed; (6) to maintain and keep the register of members of the Company and the relevant information; and to handle securities-related affairs; (7) to participate in the financing and investment made by the Company in the securities market and the relevant matters; (8) to manage the day-to-day work of the secretariat of the board of directors; (9) to be responsible for the communication and coordination among directors; to report any significant events to directors, and to answer any relevant questions put forward by directors; (10) to liaise with domestic and overseas securities regulatory authorities; (11) to coordinate between, and to pay visit to and visit domestic and overseas fund managers, securities company
staff and analysts and commercial media, etc.; (12) to manage the relationship between the investors of the Company. Article 50
The office of company secretary may be assumed by one or two natural persons. When two persons co-act as company secretary, the duties of company secretary shall be shared by both persons, provided that either of them is empowered to exercise all of the authorities of the company secretary.
Section 2 Secretariat of the Board of Directors Article 51
The secretariat of the board of directors is a standing organ of the board of directors. Its principal duties are: (1) to handle the daily administrative work of the board of directors in accordance with the requirements of the board of directors and the chairman; to coordinate between various organizations of the board of directors; (2) to prepare the documentation and letters of the board of directors, and the various motions to be put forward to the board of directors for discussions pursuant to rules; (3) to organize the meetings of the board of directors and general meetings; to prepare the meeting documentation, to prepare minutes of the meetings; and to take the initiative to follow up the implementation of the relevant resolutions; (4) to draft, amend, publish and distribute the interim and annual reports of the Company; (5) to coordinate for and organize the matters relating to external information disclosure by the Company, to establish a sound system for information disclosure, to participate in any meetings involving information disclosure, and to keep itself promptly aware of any major operating decisions and relevant information; (6) to participate, at the request of the board of directors, in the consultation for and analysis of matters to be decided by the board of directors, and to give corresponding opinions and
suggestions; (7) to actively and take the initiative to communicate with the management of the Company, securities regulatory authorities, intermediaries, and media; and to promptly provide information on the Company to the board of directors and the board of supervisors for their reference; (8) to coordinate for and organize marketing efforts, to coordinate and receive visitors, to handle investors’ relationship, to maintain a good relationship with investors, intermediaries and media and to enhance the awareness to and the transparency of the Company; (9) to manage the files on the equity of the Company and the documents of the board of directors, to maintain the information set out in the register of members of the Company and in the register of directors, and the data on the shareholding of substantial shareholders and the shareholdings of directors; (10) to complete such other tasks as assigned by the directors. Section 3 Audit Committee Article 52
The principal tasks of the audit committee is to conduct independent and objective audits on the economic operation, financial activities, financial policies, financial work, internal monitoring, external audit, internal audit, financial information report, and the correctness and accuracy of the financial data of the Company, and to assist the board of directors in performing the relevant duties and responsibilities.
Article 53
The audit committee shall comprise three to five directors, of which at least a simple majority shall be independent nonexecutive directors. The audit committee shall have a chairman, who shall be an independent non-executive director. The secretary to the board of directors shall concurrently be the secretary to the audit committee.
Article 54
The members of the audit committee shall be well recognizant with the characteristics of the business and the mode of operation of the Company, and shall have a relatively good financial knowledge, rich commercial experience and enterprise management skills. At least one member of the audit committee shall be specialized in financial matters.
Article 55
The term of office of a member of the audit committee shall be three years. A member who leaves office upon expiry of his term is entitled to be re-appointed as member of the committee.
Article 56
The principal duties and responsibilities of the audit committee is to assist the board of directors in reviewing whether the financial report procedures and internal monitoring system of the Company are effective, and to ascertain whether the principal operating risks is kept under control and properly handled, and, specifically, include: (1) the committee shall coordinate the work of directors of the Company, external auditors, internal auditors and other relevant employees responsible for making financial reports of the Company; the committee shall give its independent opinion to the board of directors to the standard of those given by the external auditors and internal auditors of the Company; (2) the board of directors may assign the committee to investigate any activities which falls within the scope of functions and powers of the committee, and the committee may be authorized to obtain any necessary information from any employees of the Company, and all employees will accordingly have been instructed to be cooperative with the committee; (3) the board of directors authorized the committee to seek external legal or other independent professional advice; the committee may, as it consider necessary, invite the external auditor or internal auditor of the Company to attend the meeting of the committee; the committee and the external auditor of the Company shall hold annual meetings which the executive directors of the Company shall not attend; (4) the committee is responsible for considering the appointment of the external auditor, the audit fee and any matters relating to the resignation or removal of the external auditor; (5) the committee shall, prior to the commencement of audit procedures, discuss with the external auditor the nature and scope of the audit and its impact of the annual report; (6) the committee shall review the independent non-audit work of the external auditor;
(7) the committee shall first examine the half-year and annual financial statement before submitting them to the board of directors, and shall focused its attention on the following aspects: 1. any change in accounting policies and accounting practice; 2. various principal areas to which judgment shall be applied; 3. any major adjustments which have to be made to the accounts after examination; 4. the assumption of “on-going concern�; 5. the extent to which the financial statements meet the professional accounting standards; and 6. the extent to which the financial statements meet the regulations of the stock exchange and the relevant legal provisions. (8) the committee shall discuss the questions put forward after examining the interim and annual accounts and any doubts relating thereto, and any matters which the audit wishes to discuss. (9) the committee shall examine the audit explanatory statement issued by the external auditor and the response of the management of the Company. (10) the committee shall examine the declaration of the Company regarding its internal monitoring system (if the annual report contains such declaration) before submitting it to the board of directors for signing. (11) the committee shall examine the internal audit plan and ensure that the internal audit auditor and the external auditor work in coordination, and to ensure that the internal audit department obtain sufficient resources and have a due status in the hierarchy of the Company. (12) the committee shall examine the response of the management of the Company regarding the performance of the
external auditor. (13) the committee shall examine whether the management or the Company and the external auditor have any dispute in preparing the annual report. (14) the committee shall discuss with the board of directors as regards the ways to improve the duties and responsibilities of the board. (15) the committee shall give an opinion to the board of directors in respect of the duties and responsibilities of the committee. (16) the committee shall consider the major findings of internal audit and the response of the management. (17) the committee shall consider such other matters as assigned by the board of directors. Article 57
The audit committee shall meet at least twice annually. The meetings shall respectively be convened prior to the adoption by the board of directors of the interim reports of the Company and after the conclusion of the annual audit work. The representative of the external auditor of the Company may, as it consider necessary, request to convene a special meeting.
Article 58
The audit committee may, in accordance with the requirements of the matters to be discussed, invite other directors, internal audit organs, financial departments, independent auditors and other relevant departments and persons to attend the meeting of the audit committee as non-voting attendees.
Section 4 Development Strategy and Investment Committee Article 59
The Development Strategy and Investment Committee (“Strategy Committee�) is principally responsible for determining the direction of the strategic development of the Company, formulating the strategic plans of the Company, monitoring the implementation of strategy, adjusting the Company’s strategy and management structure in due course, organizing for the examination of the projects which the Company intends to invest, and making proposals on the decisions to be make by the board of directors.
Article 60
The Strategy Committee comprises five directors. Its members
shall include the chairman, at least one other director who work in the Company and one independent director. The chairman shall take the chair of the committee. The secretary to the board of directors shall act concurrently as secretary to the committee. Article 61
The members of the Strategy Committee shall have a full grasp of the characteristics of the business development and operation of the Company, relatively good market acumen and comprehensive judgment, and an understanding of the trend of macro-economic policy of China and the trend of domestic and overseas economic development.
Article 62
The duties and responsibilities of the Strategy Committee are: (1) to put forward ideas on the strategic development of the Company, to organize examination and review of the strategic development direction of the Company, to audit the strategic plan of the Company, and to put forward plans for strategic adjustments in due course; (2) to examine the mid- and long-term development strategy and goal of the Company; to monitor the implementation of strategy; (3) to formulate the criteria, procedures and schedules and cycles for evaluating the strategy pursued by the Company; (4) to ensure the continuity and completeness of the information collected and provided by the Company; (5) to examine major mergers and acquisition policies and proposals for assignment of the property of the Company and its subsidiaries; to examine major plans on major acquisitions of and merger with other enterprises; (6) to examine the proposal for preliminary approval and the feasibility report of projects in which the Company intends to invest, and to give an initial examination opinion; (7) to make proposals to the general manager regarding project investment; (8) to examine the progress reports submitted by the general managers on investment projects; (9) to examine post-assessment reports on projects in which
investment has been completed Article 63
The Strategy Committee may, pursuant to the requirements of the matters discussed, invite other relevant personnel such as other directors, members of the senior management staff and line managers to attend its meeting as non-voting attendees.
Section 5 Human Resources and Remuneration Committee Article 64
The human resources and remuneration committee (“Human Resources Committee�) is principally responsible for appraising the performance and giving opinion on the appointment and removal of directors, general managers and other members of the senior management staff of the Company, and for determining the strategy of the Company for human resources development and its remuneration strategy.
Article 65
The Human Resources Committee shall comprise three to five directors, a simple majority of which should be independent non-executive directors. The chairman of the committee shall possess the relevant knowledge and experience, and shall be an independent non-executive director. The director of the human resources department of the Company shall concurrently act as secretary to the committee.
Article 66
The term of office for the Human Resources Committee shall be three years. At least one new member shall normally joint the committee at the time of its change of session.
Article 67
The principal duties and responsibilities of the Human Resources Committee includes: (1) to organize supervision and examine the human resources development strategy of the Company; to examine the plan of the Company for human resources development; (2) to propose non-shareholder-nominated candidates for directorship, and to examine the shareholder-nominated candidates for directorship; (3) to appraise the work performance of directors during their tenure of office; to put forward plans on directors’ remuneration; (4) to propose on suspending the eligibility of directors and members of the senior management staff of the Company for
their respective positions; (5) to examine overall wages adjustment plans, incentive systems, share option incentive schemes (or similar types) of the Company and its plan of remuneration system adjustments; (6) to examine the training schemes of the Company
董事会工作条例 第五章 董事会组织结构 第 1 条 董事会设董事会秘书、董事会秘书室和各种专业委员会，处理董事会的 日常行政事务及专业事项。 第一节 董事会秘书 第 2 条 董事会秘书为公司的高级管理人员，由董事长提名，董事会聘任或者解 聘。 第 3 条 公司董事或其他高级管理人员（监事除外）可以兼任董事会秘书。 当董事会秘书由董事兼任时，如某一行为应当由董事及董事会秘书分别作出， 则该兼任董事及董事会秘书的人不得以双重身份作出。 第 4 条 董事会秘书应当是具有必备的专业知识和经验的自然人，至少应具有大 学学历和三年以上从事金融或财务审计或工商管理或法律或上市公司董事会秘 书等方面的工作经验，参加过中国证监会及其他专业机构组织的董事会秘书任 职资格培训并考核合格，协调能力强，工作细致，能够忠诚地履行职责，并具 有良好的文字表达水平和处理行政事务的能力。 本条例第 11 条规定不得担任公司董事的情形适用于董事会秘书。 第 5 条 董事会秘书的主要职责是： （一） 持续向董事提供、提醒并确保其了解境内外证券监管机构有关公司运作 的法规、政策及要求； （二） 协助董事在行使职权时切实履行境内外法律、法规、公司章程及其他有关 规定；
（三） 负责董事会、股东大会有关文件的准备工作，保证会议的召开、决策符合 法定程序； （四） 负责组织准备和及时递交证券监管部门所要求的文件、资料，负责接受 证券监管部门下达的有关任务并组织完成； （五） 负责组织信息披露，协调信息披露中的对外关系，并保证信息披露的及 时性、相关性； （六） 负责管理和保存公司股东名册及有关资料，负责处理股证事务； （七） 参与公司在证券市场融资及项目投资等有关事宜； （八） 负责管理董事会秘书室的日常工作； （九） 负责董事间的沟通及协调，向董事报告公司的重大情况，解答董事提出 的相关问题； （十） 负责与境内外证券监管机构的联系； （十一） 负责协调并接访境内外基金经理、证券公司及分析员、商业性传媒机构 等。 （十二） 负责公司投资者关系管理工作。 第 6 条 公司秘书可由一名或两名自然人共同出任。在二人共任的情况下，公司 秘书的职务应由二人共同分担；但任何一人皆有权独自行使公司秘书的所有权 力。 第二节 董事会秘书室 第 7 条 董事会秘书室是董事会的日常办事机构，其主要职责是： （一） 按照董事会和董事长的要求办理董事会日常行政事务，协调董事会内组 织机构之间的工作； （二） 负责董事会有关文件及函件的准备，按规定提交董事会讨论的各类议案；
（三） 筹备董事会会议、股东大会，准备会议文件，负责会议记录，主动跟踪 有关决议的执行情况； （四） 负责公司中期和年度报告的起草、修改及印发分送事宜；
（五） 协调和组织公司对外信息披露事宜，建立健全有关信息披露的制度，参 加公司所有涉及信息披露的有关会议，及时知晓公司重大经营决策及有关信息 资料； （六） 根据董事会要求，参加董事会决策事项的咨询、分析，提出相应的意见 和建议； （七） 积极主动与公司经营层、证券监管机构、中介机构及传媒沟通，及时提供 公司相关情况给董事会、监事会参阅； （八） 负责协调组织市场推介，协调来访接待，处理投资者关系，保持与投资 者、中介机构及传媒的联系，增强公司知名度和透明度； （九） 管理公司股权及董事会的文件档案，保存公司股东名册资料、董事名册、 主要股东持股量和董事股份的记录资料； （十） 完成董事交办的其他事项。 第三节 审核委员会 第 8 条 审核委员会的主要任务是就公司的经济运行和财务活动、财务政策、财务 工作程序、内部监控、外部审计、内部审计、财务信息报告和财务数据真实准确性 等方面提供独立及客观的审核，协助董事会履行其相关职责。 第 9 条 审核委员会由三至五名董事组成，其中至少有半数以上的成员为独立非 执行董事，设主席一名，由独立非执行董事担任。委员会秘书由董事会秘书兼任。
第 10 条 审核委员会成员应熟悉公司的业务特点和经营运作方式，具有较强的 财务知识，拥有丰富的商务经验和具有企业管理等方面的技能。审核委员会内至 少有一名成员专长于财务事项。 第 11 条 审核委员会成员的任期为三年，当有关委员卸任后，其均有资格再度 被委任为该委员会成员。 第 12 条 审核委员会的主要职责是协助董事会检讨公司的财务报告程序内部监 控措施是否充分有效，确定主要经营风险是否得以控制或妥善处理，具体包括：
（一） 该委员会需协调本公司之董事、外聘审计师、内部审计师及其他有关报告 本公司财务状况之雇员之间的工作，该委员会并需向董事会提供其独立意见， 以至达到本公司之外聘审计师及内部审计师之标准。
（二） 董事会可委任该委员会调查其职权范围内的活动，并可获授权向本公司 任何雇员索取其所需的任何资料，而所有雇员已接获指示对该委员会的任何要 求予以合作。 （三） 董事会授权该委员会可听取外界的法律或其他独立专业意见；如该委员 会认为需要，可邀请本公司外聘审计师或内部审计师出席该委员会会议；每年 该委员会在本公司执行董事不列席情况下与本公司外聘审计师举行会议。 （四） 考虑外聘审计师的任命、审计费及任何有关辞任或解除委任的事宜。 （五） 在审计程序开始前与外聘审计师讨论审计的性质、范围及影响对审计年 报之因素。 （六） 就外聘审计师其独立之非审计工作表现作出检讨。 （七） 在未提交董事会前，先审阅半年度及全年度财务报表，尤其应集中审阅 下列各方面： 1. 会计政策及会计实务的任何转变； 2. 需要运用判断的各主要范畴； 3. 审核帐目后须作出重大调整； 4. 持续经营的假设； 5. 与会计专业标准的符合程度；及 6. 与证券交易所的规则及有法律规定的符合程度。 （八） 讨论在期中及期末帐目审核后提出的问题及起存疑之处，以及审计师希 望讨论的事项。 （九） 审阅外聘审计师发出的查核情况说明书及公司管理人员的回应。 （十） 在提交予董事会签署前，审阅公司就内部监控系统作出的声明（如年报 内刊有此等声明）。 （十一） 审阅内部审核计划，确保内部审计师与外聘审计师互相协调，以及确 定内部审核部门取得足够的资源，并在公司内享有适当的地位。 （十二） 查核本公司管理人员就对外聘审计师表现的回应。 （十三） 查核本公司管理人员与外聘审核师是否就制订年报时有任何争拗。
（十四） 向董事会讨论其本身职责之改善。 （十五） 向董事会提出任何有关该委员会之职责作出意见。 （十六） 考虑内部调查的主要发现及管理人员的回应。 （十七） 考虑董事会设定的其他事项。 第 13 条 审核委员会每年至少召开二次会议，应分别于董事会通过中期业绩报 告前、年度审计工作结束后召开；如本公司外聘审计师的代表认为有需要，可要 求召开特别会议。 第 14 条 审核委员会可以根据所讨论事项的需要，邀请其他董事、内审机构、财 务部门、独立审计师等相关部门和人员列席审核委员会会议。 第四节 发展战略及投资委员会 第 15 条 发展战略及投资委员会（“战略委员会”）的主要任务是负责确定公 司的战略发展方向，制订公司的战略规划，监控战略的执行，适时调整公司战 略和管治构架。组织审核公司拟投资的项目，为董事会决策提供建议。 第 16 条 战略委员会由五名董事组成，成员内应包括董事长、其他在公司内任职 的董事以及独立董事至少各一名，董事长任委员会主席，委员会秘书由董事会 秘书兼任。 第 17 条 战略委员会成员应充分掌握公司业务发展和经营运作特点，具有较强 的市场敏锐感和综合判断能力，了解国家宏观经济政策走向及国内外经济发展 趋势。 第 18 条 战略委员会的职责是： （一） 提出公司战略发展的构想，组织审查、检讨公司的战略发展方向，审计 公司的战略规划，适时提出战略调整计划； （二） 审议公司的中长期发展战略和目标，监控战略的执行； （三） 制定公司的战略评价标准、战略评价程序及评价周期； （四） 确保公司收集和提供战略信息资料的连续性、完整性； （五） 审议重大兼并、收购政策和转让公司及附属公司产权的方案；审议重大 收购或兼并其他企业的方案； （六） 审查公司拟投资项目的立项建议或可行性报告，提出预审意见；
（七） 向总经理提出项目投资管理的建议； （八） 审查总经理提交的投资项目进度报告； （九） 审查已完成投资的项目的后评价报告。 第 19 条 战略委员会可以根据所讨论事项的需要，邀请其他董事、高级管理人员、 业务部门经理等相关人员列席战略委员会会议。 第五节 人力资源及薪酬委员会 第 20 条 人力资源及薪酬委员会（“人力委员会”）的主要任务是负责公司董 事、总经理及其他高级管理人员的考评及对任免事宜提出建议，负责确定公司人 力资源发展和薪酬策略。 第 21 条 人力委员会由三至五名董事组成，其中半数以上的成员应为独立非执 行董事。委员会主席应当由有相关知识及工作经验，由独立非执行董事担任，委 员会秘书由公司人力资源部门主管兼任。 第 22 条 人力委员会成员三年一届。委员会定期换届时，一般应至少有一名新任 委员进入委员会。 第 23 条 人力委员会的职责主要包括： （一） 组织审查、检讨公司的人力资源发展策略，审议公司的人力资源发展规 划； （二） 提议非股东推选董事候选人和审议股东推选董事候选人； （三） 评估董事任期工作业绩，提出董事薪酬方案； （四） 提出中止董事和公司高级管理人员的任职资格的建议； （五） 审议公司工资总额调整计划、奖励制度、期股期权（或类似方式）计划和 薪酬制度调整方案； （六） 审议公司培训计划。