壳牌行为准则

ETHICSANDCOMPLIANCE

02 03 04 081 12 14 16 182HSE 20 (HSE) 223 24 26 28 30 34 364 38 40 42 44 465 48 50 52 546 56 58 60 62 64 66 68 70 7401

(Jeroen van der Veer)03

• • • • (Compliance Officer)• (Chief Ethics & Compliance Officer)• (Shell Global Helpline) 7 24 ? (compliance focalpoint) (Compliance Officer) (Shell Compliance Office) ( ) 06

1 2 3 4 510

6 7 811

114161813

100 ( ) • • • • • • (Shell Compliance Office) (Compliance Officer) 14

1• ( ) • • • • • http://sww.shell.com/legal/competition• • • • • 15

( ) ( )• • • • • • • • • • • 16

1 ( ) http://sww.shell.com/exportcontrol (exportcontrol compliance officer) • • • 17

(EU) (OECD) (CFC ) • • ( )• • • 18

1 ( ) ( ) ( ) (international tax department) • • • • • 19

222 (HSE)21

(HSE)• • • (HSE) HSE • HSE (HSE Golden Rules)– – – • • HSE • • • • • HSE HSE 22

( )2 (HSE) (HSE) HSE HSE HSE HSE (HSE) http://sww.shell.com/corporate/sd HSE (Group SecurityStandard) http://sww09.europe.shell.com/securityworldwide/ (HSE)• 23

3 262830343625

( )( ) OECD (OECDGuidelines For Multinational Enterprises)(International Chamber of CommerceRules of Conduct to Combat Extortionand Bribery)• ( )• • • (Shell GlobalHelpline) ( )26

3 ( ) (Management Primer) http://sww.shell.com/sgbp/dilemmas_primershttp://sww.shell.com/sgbp/learning/level_2 (CentralCorporate Affairs) (Shell Global Helpline)https://www.compliance-helpline.com/shell.jsp• • • 27

• • • • • • • 28

3 ( ) ( ) (Management Primer)http://sww.shell.com/sgbp/dilemmas_primershttp://sww.shell.com/sgbp/learning/level_2 (CentralCorporate Affairs)• • • • ( )29

• ( )• • • • • • ( )30

3• • • 32 • • • • • ( ) • 31

• Q50 ( ) ( ) ( )• Q100• Q200 • • • • • 32

3 (ExecutiveCommittee) • • • • • • • (Management Primer) http://sww.shell.com/sgbp/dilemmas_primershttp://sww.shell.com/sgbp/learning/level_2 (CentralCorporate Affairs)• • 33

(spread bets)• 34

3 (insiderlist) ( )http://sww.shell.com/ethicsandcompliance/inside_info_and_share_dealing/key_requirements.htmlhttp://sww-stockweb.shell.com/dealingcode/employee.asp• • • • 35

• • • • 36

3http://sww.shell.com/home/policies_standards_compliance/policies_standards.html (Central Corporate Affairs)• ( ) • • • 37

44042444639

20-F• • • ( )• ( )• 40

4 ( ) (External Affairs) (Investor Relations) (Ethics & Compliance) (Key Compliance Areas) http://sww.shell.com/ethicsandcompliance/• • • 41

( ) ( ) • • • • • • • GFAP42

4 IFRS (GFAP) (Financial ControlHandbook) http://sww.shell.com/finance/controllers/manuals• 43

( ) • • ( ) • • • • (MLRO)(CountryController)44

4 ( )• • • • • • • • (FATF) ( ) (MLRO) (Controller)• • • (MLRO) (Controller) • 45

• • • • • • • 46

4 (compliancefocal point)• • • 47

550525449

• • • • • 50

5 (HR) (Shell Global Helpline)https://www.compliance-helpline.com/shell.jsp• 51

( ) • • • • / • (Compliance Officer) (Shell GlobalHelpline)• • 52

5 / / (HR) (Shell Global Helpline)https://www.compliance-helpline.com/shell.jsp• • • • • 53

( ) • • • • • • • ( ) • • • • 54

(Shell Global Helpline) 5 (HR) (Shell Global Helpline)https://www.compliance-helpline.com/shell.jsp• • • • 55

6586062646657

(IP) ( ) ( )• • IPS • (IPS)• • IPS• 58

6• • • • (Intra-Group Agreements) • (IPS) IPS • IPS http://sww04.europe.shell.com/ip (IPS)• • IPS • IPS • • IPS • IPS 59

• • • • • • • ( ) 60

6• ( ) • • (data protection focal point) (data protection focal point)• 61

(GroupStandard for Records Management) (Group RecordsManagement Guidelines) ( ) • • • • • • • ( )• 62

6(Group Retention Schedule)(GroupRecords Management Guidelines)(Group Standardfor Records Management) (Group Records ManagementGuidelines)http://sww.shell.com/ethicsandcompliance/records/main/standard_and_guidelines.htmlhttp://sww.shell.com/ethicsandcompliance/records/main/retention_schedules.html• • ( ) 63

( )• • • • • ( ) ( )• • • ( )• • (GroupInformation Classification System)64

6 (BusinessCommunications Standard) (Sitescape) (Email Code) (Business Communications Standard) (Email Code)(Business CommunicationsStandard) (Email Code)http://sww.shell.com/ethicsandcompliance/records/main/business_communications_standard_and_email_code.html• ()• ( 100% )• ( )• • • • – – ( )– – ( )65

BlackBerry • • • (ISP)66

6 (lawful access) ( )http://sww-itforshell.shell.com/infosec/legal/pers_use.htm• • • (Outlook ) • • • • – – – – – ( )67

707469

A 09, 22, 23, 54, 55B 46, 47, 58, 67 06, 07, 27, 51, 53, 55 46 61 66, 67 (HSE) 20 46, 58, 62 58 03, 07 22, 40, 42HSE 22, 40 47 42 03, 06 19, 40, 66 66 47 64 32, 33 30 26, 36C 42, 43 42, 43, 46 43 34, 35 06, 22, 26–29 03, 04, 24 36 16, 17, 65 27, 37 18D 06, 26, 27 33 31, 50, 52 03, 66 29 26, 27, 45 64, 65 16 58, 59 47 06, 27 52 46, 66, 67 62–67 46, 64, 66 37, 64, 65 14, 15 28, 29 18, 54, 55 67E 53F 14, 15 44, 45 54 31, 46, 47 26, 27 42, 45G 36, 37 33 28, 29, 35 60, 61 03, 05, 06, 44, 64, 65 09, 22, 52 28, 35, 37 28, 35, 37 40, 41 36, 58 12, 22, 26, 52, 65 09, 11, 27 14, 16, 18, 26, 44 29 26HHSE 22 15 10, 52, 54 28 26, 27 06, 27 66, 67 09, 10, 22 26 26, 27 27 27 27J 40, 46, 58, 65 40 60, 61 46, 65 58 42, 46, 62 62 6270

07, 11, 27, 34, 53 16, 18, 58 35 14, 15 34, 35, 40, 41 47, 62, 64 40, 62 40 (HSE) 22, 23 07, 27, 53 17, 18 10, 42, 46, 47 15 10, 14 28, 29 14, 15 14 19, 54 32, 33 53, 62 52K 55 22 32 14–16, 65 15, 28 47 44, 45 52 42, 43L 34, 54, 55 37, 46, 47 46 54 26, 29–33, 37 32, 33 28–30 16, 44 32, 67M 15 29 30 41N 28, 34, 35 34, 35, 40, 41 06 40O 18P 07, 23, 50 16, 28, 30, 40, 41, 44, 47, 58, 65 61 47, 58 30 28 58, 59 50Q 46, 67 50, 51 15 29R 60 16, 46, 58, 66S 52, 53 46, 58 09, 30 11, 26, 27 10 37 42 03, 11, 66 07, 66 46, 47 37 27 40, 41 32 67 34 34 22, 55 41, 42, 46, 64 37 30, 32, 33 59 37, 41 28 35 30, 36 26, 27 62 46, 60, 61 26 4771

T 23, 55 40, 46 35 28 41 41 25 31W 41, 64, 65 53, 65 07 10, 11 44 46 18 54, 55 26 30 36 47, 62 10, 36, 37 27, 36, 37 46, 58 47, 59 16, 19 28 52 18, 46, 58 06X 44, 45 45 33 15 44, 47, 62 59 41 67 40, 62, 63 66, 67 66, 67 46, 66, 67 15 07, 41, 46Y 34 37, 64, 65 66 67 28, 60 31, 36, 37, 40, 41 14 36, 37 33 28, 60 29, 50 09, 37, 50, 52, 60 16, 18, 19Z 30 26–28, 34, 40 4072

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