27-上海证券交易所上市公司董事会议事示范规则(英文)

('ModelRulesofProcedurefortheBoardofDirectorsofListedCompaniesinShanghaiStockExchange(May15,2006)Article1TenetsInordertofurtherregulatethediscussionmethodsanddecision-makingproceduresoftheboardofdirectorsofthiscompany,urgethedirectorsandtheboardofdirectorstoeffectivelyperformtheirrespectivefunctionsandenhancethestandardizedoperationsandscientificdecision-makingleveloftheboardofdirectors,theseRulesareformulatedaccordingtotheCompanyLaw,theSecuritiesLaw,theGuidelinesfortheGovernanceofListedCompaniesandtheRulesofShanghaiStockExchangefortheListingofStocks,etc.Article2OfficeoftheBoardofDirectorsTheboardofdirectorswillestablishageneralofficeforhandlingthedailyaffairsoftheboardofdirectors.Thesecretaryoftheboardofdirectorsortherepresentativeofsecuritiesaffairswillconcurrentlyactastheperson-in-chargeofthegeneralofficeoftheboardofdirectorsandberesponsibleforthesealsoftheboardofdirectorandthegeneralofficethereof.Article3RegularMeetingsThemeetingsoftheboardofdirectorsshallbedividedintoregularmeetingsandtemporarymeetings.Theboardofdirectorsshallholdregularmeetingsatleastonceineachofthetwohalvesofayear.Article4ProposalsforRegularMeetingsBeforethenoticeonholdingaregularmeetingoftheboardofdirectorsiscirculated,theofficeoftheboardofdirectorsshallfullysolicittheopinionsofallthedirectors,preliminarilyformtheproposalsonthemeetingandsubmitthemtotheboardofdirectorsfordraftingproposals.Beforethechairmanoftheboardofdirectorsdraftstheproposals,heshallsolicittheopinionsofthemanagersandotherseniormanagers.Article5TemporaryMeetingsWhereitisunderanyofthefollowingcircumstances,theboardofdirectorsshallholdatemporarymeeting:(1)Whentheshareholdersthatrepresent1/10ormoreofthevotingrightsputforwardamotion;(2)When1/3ormoredirectorsjointlyputforwardamotion;(3)Whentheboardofsupervisorsputsforwardamotion;(4)Whenthechairmanoftheboardofdirectorsconsidersitnecessarytoholdameeting;(5)When1/2ormoreindependentdirectorsputforwardamotion;(6)Whenthemanagerputsforwardamotion;(7)Whenthesecuritiessupervisorydepartmentrequirestoholdameeting;or(8)AnyothercircumstanceasprescribedbytheArticlesofAssociationofthiscompany.Article6MotioningProceduresforTemporaryMeetingsWherethetemporarymeetingoftheboardofdirectorsismotionedaccordingtotheprovisionsintheprecedingArticle,awrittenmotionsigned(sealed)bytheproponentshallbesubmittedthroughthegeneralofficeoftheboardofdirectorsorbedirectlysubmittedtothechairmanoftheboardofdirectors.Thewrittenmotionshallindicate:(1)thenameoftheproponent;(2)thereasonsorobjectivecausesonwhichthemotionisbased;(3)thetimeortimelimit,placeandmethodassuggestedforholdingthemeeting;(4)theexplicitandspecificproposals;and(5)thecontactinformationoftheproponentsandthedateofmotion,etc.TheproposalsshallconcernthemattersthatfallwithinthescopeoftheauthoritiesoftheboardofdirectorsasprescribedintheArticlesofAssociationofthiscompany,andbesubmittedtogetherwiththematerialsthatrelatetotheproposals.Afterreceivingtheaforesaidwrittenproposalsandtherelevantmaterials,theofficeoftheboardofdirectorsshallforwardthemtothechairmanoftheboardofdirectors.Ifthechairmanoftheboardofdirectorsconsidersthecontentsintheproposalsinexplicitorunspecific,orconsiderstherelevantmaterialsinsufficient,hemayrequiretheproponenttoalterorsupplementtherelevantcontents.Thechairmanoftheboardofdirectorsshall,within10daysuponreceiptoftheproposalsortherequestofthesecuritiessupervisorydepartment,holdthemeetingoftheboardofdirectorsandpresideoverthemeeting.Article7ConveningofandPresidingovertheMeetingsThemeetingoftheboardofdirectorsshallbeconvenedandpresidedoverbythechairmanoftheboardofdirectors.Wherethechairmanoftheboardofdirectorscannotperformhisfunctionsorfailstoperformhisfunctions,thedeputychairmanoftheboardofdirectorsshallconveneandpresideoverthemeeting;wherethereisnodeputychairmanoftheboardofdirectors,orthedeputychairmanoftheboardofdirectorscannotperformhisfunctionsorfailstoperformhisfunctions,halformoredirectorsshalljointlyrecommendadirectortoconveneandpresideoverthemeeting.Article8NoticesontheMeetingToholdaregularortemporarymeetingoftheboardofdirectors,theofficeoftheboardofdirectorsshall,10or5daysinadvancerespectively,submitawrittennoticeonthemeetingwiththesealofthegeneralofficeoftheboardofdirectorstoallthedirectors,supervisors,managersandthesecretaryoftheboardofdirectorsbydirectservice,fax,e-mailoranyothermeans,andshallmakeaffirmationbyphonecallsandmakethecorrespondingrecords.Wherethecircumstanceisurgentanditisnecessarytoholdatemporarymeetingoftheboardofdirectors,thenoticeonthemeetingcanbecirculatedatanytimebyphoneoranyotheroralmeans,buttheconvenershallmakeexplanationsatthemeeting.Article9ContentsoftheNoticeontheMeetingAwrittennoticeonthemeetingshallatleastinclude:(1)thetimeandplaceofthemeeting;(2)themethodforholdingthemeeting;(3)thematters(proposals)tobedeliberated;(4)theconvenerandthepresiderofthemeeting,theproponentofthetemporarymeetingaswellasthewrittenproposals;(5)theconferencematerialsnecessaryforthevotingoftheboardofdirectors;(6)therequirementthatthedirectorsshallattendthemeetinginpersonorbyentrustingotherdirectors;and(7)thecontactpersonandcontactinformation.AnoralnoticeshallatleastincludethecontentsmentionedintheaforesaidItems(1)and(2)aswellastheexplanationsonholdingthetemporarymeetingoftheboardofdirectorsundertheurgentcircumstance.Article10AlterationoftheNoticeontheMeetingAfterawrittennoticeonholdingtheregularmeetingoftheboardofdirectorsiscirculated,ifthetimeorplace,etc.ofthemeetingneedstobechangedortheproposalsforthemeetingneedtobesupplemented,revisedorcancelled,awrittennoticeontheaforesaidalterationshallbecirculated,theconditions,therelevantcontentsofthenewproposalsandtherelevantmaterialsshallbeexplained3daysbeforetheoriginaldayofthemeeting.Ifthereislessthan3days,themeetingshallbecorrespondinglypostponedorcanbeheldonscheduleuponconfirmationofallthedirectorsthatattendthemeeting.Afterawrittennoticeonholdingatemporarymeetingoftheboardofdirectorsiscirculated,ifthetimeorplace,etc.ofthemeetingneedstobechangedortheproposalsforthemeetingneedtobeadded,changedorcancelled,itisnecessarytoobtaintheprioraffirmationofallthedirectorsattendingthemeetingandmakethecorrespondingrecords.Article11HoldingoftheMeetingThemeetingoftheboardofdirectorscanbeheldonlyaftermorethanhalfofthedirectorsattendthemeeting.Iftherelevantdirectorsfailorrefusetoattendthemeetingandtheminimumnumberofdirectorsforholdingthemeetingthuscannotmeettherequirements,thechairmanandthesecretaryoftheboardofdirectorsshalltimelyreportittothesupervisorydepartment.Thesupervisorscanattendthemeetingasnon-votingdelegates;ifamanagerorthesecretaryoftheboardofdirectorsisnotadirector,heshallattendthemeetingasanon-votingdelegate.Thepresiderofthemeetingmaynotifyotherrelevantpersonstoattendthemeetingasanon-votingdelegateifheconsidersitnecessary.Article12PersonalAttendingandCommissionedAttendingoftheMeetingAsageneralrule,adirectorshallattendthemeetingoftheboardofdirectorsinperson,ifhecannotattendthemeetingduetosomereasons,heshallreadtheconferencematerialsinadvance,formexplicitopinionsanddelegateinwritinganyotherdirectortoattendthemeeting.Apowerofattorneyshallindicate:(1)thenameoftheprincipalandtheagent;(2)thebriefopinionsoftheprincipalconcerningeachproposal;(3)thescopeofauthorizationoftheprincipalandhisinstructionsconcerningthetypesofopinionstotheproposals;and(4)thesignatureoftheprincipalandthedate,etc..Incaseadirectorauthorizesanyotherdirectortoissuewrittenconfirmationopinionsoncommissionforaregularreport,heshallgivespecialauthorizationintheletterofattorney.Thedelegateddirectorshallsubmitawrittenletterofattorneytothepresiderofthemeeting,andstatetheconditionsonattendingthemeetingoncommissionontheattendancebook.Article13RestrictionsinConnectiontotheCommissionedAttendingThefollowingprinciplesshallbefollowedfordelegatingothersorbeingdelegatedtoattendthemeeting:(1)Whenarelatedtransactionisdeliberated,anon-relateddirectorshallnotdelegateanyrelateddirectortoattendthemeeting,andarelateddirectorshallnotacceptthedelegationofanynon-relateddirector;(2)Anindependentdirectorcannotdelegateanynon-independentdirectortoattendthemeeting,andanon-independentdirectorcannotacceptthedelegationofanyindependentdirector;(3)Adirectorshallnotdelegateanyotherdirectortoattendthemeetingwithallpowersunderthecircumstancethathedoesnotexplainhisownopinionsandthetypesofopinionstotheproposals,andtherelevantdirectoralsoshallnotacceptthedelegationwithallpowersorwithunclearcontents;and(4)Adirectorshallnotacceptthedelegationoftwoormoredirectors,ordelegateanydirectorthathasacceptedthedelegationofothertwodirectorstoattendthemeeting.Article14MethodsforHoldingtheMeetingAsageneralrule,thelivemeetingoftheboardofdirectorsshallbeheld.Whennecessary,themeetingmaybeheldbyvideo,telephone,faxore-mail,etc.uponconsentoftheconvener(presider)andtheproponentsonthepremisethatthedirectorscanfullyexpresstheiropinions.Themeetingoftheboardofdirectorscanalsobeheldliveincombinationwithothermeans.Inthecaseoflivemeeting,thenumberofdirectorsattendingthemeetingshallbecalculatedbythedirectorswhoareonthespotasshowedbyvideo,thedirectorswhohaveexpressedopinionsinthetelephoneconference,thefaxes,e-mailsandothervalidvotesthatareactuallyreceivedwithintheprescribedtimelimit,orthewrittenconfirmationlettersthedirectorssubmittedafterwardsforprovingthattheyhaveattendedthemeeting.Article15DeliberationProceduresoftheMeetingThepresidershallrequestallthedirectorswhohaveattendedthemeetingoftheboardofdirectorstoexpressclearopinionstoalltheproposals.Withrespecttotheproposalsthatshouldbeapprovedinadvancebytheindependentdirectorsaccordingtotheprovisions,thepresidershall,beforetherelevantproposalsarediscussed,designateoneindependentdirectortoreadoutthewrittenapprovalopinionsreachedbytheindependentdirectors.Whereanydirectorhampersthenormalgoingofthemeetingoraffectsthespeechofanyotherdirector,thepresidershallstophimintime.Unlessitisunanimouslyagreedtobyallthedirectorsattendingthemeeting,themeetingoftheboardofdirectorsshallnotvoteonanyproposalnotbeingincludedinthenoticeonthemeeting.Whereadirectoracceptsthedelegationofanyotherdirectortoattendthemeetingoftheboardofdirectors,heshallnotvoteontheproposalnotbeingincludedinthenoticeonthemeetingonbehalfofanyotherdirector.Article16ExpressingOpinionsThedirectorsshallseriouslyreadtherelevantconferencematerials,andindependentlyandprudentlyexpresstheiropinionsonthebasisoffullyunderstandingoftheconditions.Adirectorcanfindouttheinformationnecessaryforthedecision-makingfromtheofficeoftheboardofdirectors,theconvener,managersandotherseniormanagers,allthespecialcommissions,theaccountantfirm,thelegalfirmandotherrelevantpersonsandinstitutions,ormaysuggestthepresiderduringthecourseofthemeetingtoasktherepresentativesoftheaforesaidpersonsorinstitutionstoexplaintherelevantconditions.Article17VotingattheMeetingAftereachproposalhasbeenfullydiscussed,thepresidershallsubmitittothedirectorsattendingthemeetingforvotinginrealtime.Inthevotingonanyresolutionatthemeeting,onedirectorshallonlyhaveonevote.Thevotingshallbecarriedoutinaregisteredorwrittenmanner.Theopinionsofthedirectorsforvotingshallbedividedintothefollowingkinds:consent,objectionorabstention.Thedirectorsattendingthemeetingshallchooseonekindoftheaforesaidopinions.Ifanydirectorwhohasnotchosenanykindofopinionsorsimultaneouslychosentwoormorekindsofopinions,thepresidershallrequirehimtomakeanewchoice.Ifherefusestodoso,itshallberegardedasanabstention.Anydirectorwholeavesthemeetingplacehalfwayandthusdoesnotmakeachoice,itshallberegardedasanabstention.Article18CalculationofVotingResultsUponconclusionofthevotingofthedirectorsattendingthemeeting,therepresentativesofsecuritiesaffairsandtherelevantstaffmembersoftheofficeoftheboardofdirectorsshalltimelycollectthevotesofdirectorsandsubmitthemtothesecretaryoftheboardofdirectorsforcalculationunderthesupervisionofonesupervisororindependentdirector.Inthecaseofalivemeeting,thepresidershallannouncethecalculationresultsonthespot;otherwise,thepresidershallrequirethesecretaryoftheboardofdirectorstonotifythedirectorsofthevotingresultsbeforethenextworkingdayuponconclusionofthetimelimitforvotingasprescribedbythesecretaryoftheboardofdirectors.Whereanydirectorcastshisvoteafterthepresiderannouncesthevotingresultsoruponconclusionoftheprescribedtimelimitforvoting,hisvoteshallnotbecountedinthecalculationresults.Article19FormationofResolutionsExceptforthecircumstancesprescribedinArticle20oftheseRules,whentheboardofdirectorsadoptsanyproposalforthemeetingandformsanyrelevantresolution,thereshallbemorethanhalfofallthedirectorswhocastaffirmativevotes.Wherethereisanyprovisioninanylaw,administrativelawortheArticlesofAssociationofthiscompanywhichprescribesthatnoresolutionmaybeformedbytheboardofdirectorsunlesstheaffirmativevotesofthedirectorsaccountformorethantheaforesaidproportion,suchprovisionshallprevail.WheretheboardofdirectorsmakesaresolutionfortheguarantieswithinthescopeofitspowersaccordingtotheprovisionsintheArticlesofAssociationofthiscompany,thereshallbe2/3ormoredirectorsattendingthemeetingwhocastaffirmativevotesexceptthatitshallbeagreedonbyhalformoreofallthedirectorsofthecompany.Incasethereisanyconflictbetweendifferentresolutionsintermsofcontentsormeaning,theresolutionformedatalatertimeshallprevail.Article20WithdrawalfromVotingIfanyofthefollowingcircumstancesoccurs,thedirectorsshallwithdrawformthevotingontherelevantproposals:(1)thecircumstancesasprescribedintheRulesofShanghaiStockExchangefortheListingofStocksunderwhichthedirectorshallwithdraw;(2)thecircumstanceunderwhichthedirectorthinksthatheshallwithdraw;or(3)anyothercircumstanceasprescribedintheArticlesofAssociationofthiscompanyunderwhichthedirectorshallwithdrawbecausehehasanyrelatedrelationwiththeenterpriseinvolvedintheproposal.Underthecircumstancewhereanydirectorwithdrawsfromvoting,therelevantmeetingoftheboardofdirectorscannotbeheldunlesshalformorenon-relateddirectorsattendthemeeting,andtheresolutionthusformedshallbeadoptedbyhalformoreofthenon-relateddirectors.Wheretherearelessthan3non-relateddirectorsattendingthemeeting,thevotingontherelevantproposalscannotbeconducted,andtherelevantmattersshallbesubmittedtothegeneralassemblyofshareholdersfordeliberation.Article21NotExceedingtheLimitofAuthoritiesTheboardofdirectorsshallhandleitsaffairsinstrictaccordancewiththeauthorizationofthegeneralassemblyofshareholdersandtheArticlesofAssociationofthiscompany,andshallnotformanyresolutionbyexceedingthelimitofauthorities.Article22SpecialProvisionsontheDistributionofProfitsIncasethemeetingoftheboardofdirectorsneedstomakeanyresolutionregardingthedistributionofprofits,itmayfirstnotifythecertifiedpubicaccountantsofthepreliminaryplanaboutthedistributiontobesubmittedtotheboardofdirectorsfordeliberation,andrequirehimtoissueadraftontheauditreportbasedthereon(thefinancialdataotherthanthedistributionofprofitsshallbedetermined).Aftertheboardofdirectormakesaresolutiononthedistributionofprofits,itshallrequirecertifiedpublicaccountantstoissueaformalauditreport,andtheboardofdirectorsshallmakeresolutionsonotherrelevantmattersintheregularreportinlightoftheformalauditreportissuedbythecertifiedpublicaccountants.Article23HandlingofUnadoptedProposalsIfaproposalisnotadopted,underthecircumstancewheretherelevantconditionsandfactorsarenotsignificantlychanged,themeetingoftheboardofdirectorsshallnotdeliberateanyproposalwiththesamecontentswithinonemonth.Article24SuspensionofVotingWherehalformoreofthedirectorsattendthemeetingortwoormoreindependentdirectorsconsideranyproposalinexplicitorunspecific,ortheycannotmakeajudgmentfortherelevantmattersbecausetheconferencematerialsarenotsufficient,etc.,thepresidershallrequirethemeetingtosuspendthevotingontheaforesaidproposalatthemeeting.Thedirectorswhosuggestsuspendingthevotingshallputforwardexplicitrequirementsforsubmittingtheaforesaidproposalfordeliberationagain.Article25AudioRecordsofMeetingAudiorecordsshallbemadeforthewholeprocessofthemeetingoftheboardofdirectorsheldlive,byvideoortelephone.Article26MeetingRecordsThesecretaryoftheboardofdirectorsshallarrangethestaffmembersoftheofficeoftheboardofdirectorstowellrecorddownthemeetingoftheboardofdirectors.Themeetingrecordsshallinclude:(1)thenumberofsession,thetime,placeandmethodforholdingthemeeting;(2)theconditionsonsendingoutthenoticeonthemeeting;(3)theconvenerandthepresiderofthemeeting;(4)theconditionsonwhetherthedirectorswillattendthemeetinginpersonorbydelegation;(5)theproposalstobedeliberatedatthemeeting,themajorpointsandopinionsofallthedirectorstotherelevantmatters,andtheiropinionstotheproposals;(6)thevotingmethodsandresultsofeachproposal(thenumberofvotesofconsent,objectionandabstentionshallbespecificallyindicated);and(7)othermattersasregardedbythedirectorsattendingthemeetingthatshallbeindicated.Article27MeetingMinutesandResolutionRecordsExceptforthemeetingrecords,thesecretaryoftheboardofdirectorsmayarrangethestaffmembersoftheofficeoftheboardofdirectorstomakeconciseminutesonthemeetingwhennecessary,andtoseparatelymakerecordsoftheresolutionsformedatthemeetinginlightofthevotingresults.Article28SignatureofDirectorsThedirectorsattendingthemeetingshallaffixtheirnamesonthemeetingrecordsandresolutionrecordsforconfirmationonbehalfofthemselvesorotherdirectorswhodelegatethemtoattendthemeeting.Ifanydirectorholdsdissentingopinionstothemeetingrecordsorresolutionrecords,hecanmakeanexplanationinwritingwhenheaffixeshisname,andwherenecessary,hemayreportittothesupervisorydepartmentormaymakeapublicdeclaration.Ifanydirectorfailstoaffixhisnameforconfirmation,orexplainhisdissentingopinionsinwriting,orreportittothesupervisorydepartmentordeliverapublicdeclarationaccordingtotheprecedingParagraph,itshallberegardedthathehascompletelyagreedwiththecontentsinthemeetingrecordsorresolutionrecords.Article29ResolutionAnnouncementsTheannouncementoftheresolutionsformedbytheboardofdirectorsshallbehandledbythesecretaryoftheboardofdirectorsaccordingtotherelevantprovisionsintheRulesofShanghaiStockExchangefortheListingofStocks.Beforethedisclosureofaresolutionannouncement,thedirectorsattendingthemeeting,thepersonsattendingthemeetingasnon-votingdelegates,thepersonnelforrecordingandprovidingservices,etc.shallkeepthecontentsoftheresolutionstothemselves.Article30ImplementationofResolutionsThechairmanoftheboardofdirectorsshallurgetherelevantpersonstoimplementtheresolutionsformedbytheboardofdirectors,inspecttheimplementationofresolutions,andcirculateanoticeontheimplementationofresolutionsformed.Article31PreservationofMeetingArchivesThemeetingarchivesofthemeetingoftheboardofdirectors,includingthenoticeonthemeeting,conferencematerials,theattendancebook,thelettersofattorneyonentrustingdirectorstoattendthemeeting,therecordingdataonthemeeting,votes,themeetingrecords,meetingminutes,resolutionrecordsandresolutionannouncementsassignedandaffirmedbythedirectorsattendingthemeeting,etc.,shallbekeptbythesecretaryoftheboardofdirectors.Themeetingarchivesofthemeetingoftheboardofdirectorsshallbekeptfor10yearsormore.Article32SupplementaryProvisionsTheterm“morethan”asmentionedintheseRulesshallincludethesaidfigureitself.TheseRulesshallcomeintoforceaftertheboardofdirectorsformulatethemandreportthemtothegeneralassemblyofshareholdersforapproval,anditshallbethesamefortherevisionthereof.ThepowertointerprettheseRulesshallremainwiththeboardofdirectors.',)