Article 1 In order to provide legal protection for the Whistleblower and Complainant to exercise their accusation right in accordance with the law, safeguard the legitimate rights and interests thereof, and give full play to the positive role of reporting and accusing in improving Party conduct and combat corruption, and promoting the sound development of the company, the Measures are formulated by China Shenhua Energy Company Limited (hereinafter referred to as China Shenhua or the Company) in accordance with ''Constitution of the People's Republic of China'', ''Administrative Supervision Law of the People’s Republic of China'', ''Criminal Procedure Law of the People's Republic of China'' and other national laws, as well as intra-party discipline and rules such as ''Regulations of the CPC Central Committee on Safeguarding the Rights of the Member of Communist Party of China'', ''Regulation on Handling Public Complaints and Proposals'', ''Rules for Discipline Inspection and Supervision Organs to Deal with Accusations'', taking the actual situation of China Shenhua into consideration.
Article 2 Any citizen, legal person or organization shall have the right to appeal to relevant departments and units of China Shenhua by means of information network, letters, telephone, faxes, visits, etc., to lodge complaints or accusations against its affiliates as well as staff members, and meanwhile, shall be obligated to the authenticity of the contents reported, while shall not fabricate or distort facts to make false accusation or frame-up.
"Whistleblower and Complainant" mentioned herein refer to citizens, legal persons or organizations that file complaints or accusations in the form as prescribed in the preceding paragraph.
Article 3 Relevant departments and units of China Shenhua shall handle the accused matters in accordance with relevant rules, disciplines and law, based on the principle of "who in charge shall be responsible for handling and safeguarding the legitimate rights and interests of the Whistleblower and Complainant", according to the work division and management authorization, and shall transfer those involved in illegal crimes to relevant judicial organs according to relevant regulations.
Article 4 The Whistleblower and Complainant are entitled to all the legitimate rights and interests as stipulated in national laws and intra-party rules. Relevant departments and units of China Shenhua shall strictly implement confidentiality terms, avoidance mechanism, effective anti-retaliation measures, and appropriate reward and punishment mechanisms to protect the legitimate rights and interests of the Whistleblower and Complainant and accept the requests thereof to protect their legitimate rights and interests.
Article 5 The departments, units as well as staff member of China Shenhua that receive accusations shall strictly abide by the confidentiality terms, and shall never disclose or transfer the information on the Whistleblower and Complainant or any accusation contents to the accused individual or units or any other unrelated units as well as persons.
Article 6 The departments, units as well as staff member of China Shenhua that receive accusations shall take the initiative to implement the avoidance mechanism. Those who are the close relatives of the Accused, the Accused themselves or who have interests with any close relatives of the Accused, or have other relations with the Accuser that may affect the impartiality therein, shall not participate in the affair handling. The Whistleblower and Complainant shall have the right to apply for the avoidance of the staff member related to the accused matters.
Article 7 Any unit or individual of China Shenhua shall not retaliate against the Whistleblower and Complainant with any excuse or means, shall not trace the information on the Whistleblower and Complainant without authorization, and shall not take any punishment measures such as disadvantageous transferring position or degrading the Whistleblower and Complainant who is an employee the Company.
Where any Whistleblower or Complainant 's legitimate rights are threatened or infringed due to any accusation, and applies for protection, China Shenhua shall provide protection in a timely manner in accordance with the law, and request relevant units to provide assistance when necessary.
Article 8 China Shenhua advocates and encourages real-name reporting and accusing, and will give priority to handling, disposing and replying to the reporting and accusing in real-name. The Company will give praise or rewards to those who have reported any serious case that have been verified to be true in real name, or have recovered major economic losses for the Company according to regulations.
Article 9 For those who violate the confidentiality terms mentioned above, interfere with, or hinder any reporting or accusing, or retaliate against any Whistleblower and Complainant, China Shenhua shall make them to take the responsibilities thereof and handle seriously in accordance with regulations, disciplines and laws, and transfer those suspected of violating the law or committing a crime to relevant judicial organs for legal liability according to law.
Article 10 Matters not covered in this policy shall be handled in accordance with relevant national laws, intra-party discipline and rules, as well as policies and statements of China Shenhua.
Article 11 China Shenhua reserves the right to interpret the policy.
Article 12 This policy shall come into force as of the date of sign off.
