2023-15

CODE OF CONDUCT行为准则2023-15

Code Information 政策信息：Name 名称

CODE OF CONDUCT行为准则

Version 版本

5.0

Effective Date生效日期July 3rd, 2023
2023 年 07 月 03 日

Formulation
Departments
制定部门

Compliance Department
合规部Version Information 版本信息：
Version
版本

3.0

Formulation
Departments
制定部门
General Manager Office总经理室Compliance Department
合规部Legal Department
法务部

4.0

Legal Department
法务部

5.0

Compliance Department
合规部

1.0
2.0

Approver
批准人
The Board of Directors of SPC
董事会
The Board of Directors of SPC
董事会
The Board of Directors ofCompany
董事会
The Board of Directors ofCompany
董事会
The Board of Directors ofCompany
董事会

Effective
Date生效日期
2011.4.5
2018.2.1
2022.1.1

2022.4.1

2023.7.3

2023-15

Message from Our CEO:总裁致辞：

Inheriting the spirit of the Sumitomo Group for 400
years, Sumitomo Pharma has continued to create
and contribute new values for human health andhappiness based in China since its entry into thecountry in the 1990s. The patient-centered principle
gives us a great sense of mission and drives us tocarry out our work with an attitude of “Innovation
today, healthier tomorrows”.
承袭了住友集团四百年来的企业精神，住友制
药自上世纪九十年代进入中国以来，立足中国，为人类健康和幸福持续创造并贡献新价值。以患者为中心，赋予我们巨大的使命感，驱动我们以Innovation today, healthier tomorrows
的态度去开展我们的工作。
To achieve innovative results, all employees are
required to adhere to the company's shared valuesof "Patients first", "Always with integrity", and"One diverse team". These shared values guide our
behavior and form an important foundation of ourcompany culture.
而为了要达成创新的成果，就要求公司的所有的员工严格恪守公司的共同价值观，即“Patient First （以患者为优先）”、“Always with Integrity（诚信经营）”以及“OneDiverse Team（多元的一体化团队）”。这些共同的价值观引导着我们的行为，并构成我们公司文化的重要基础。
With these values as the origin, Sumitomo Pharma Group China has developed a Code of Conductthat applies to all employees of the company and is designed to help everyone regulate their actions
and behaviors and make right decisions. These ethical and compliance standards will also ensurethat the company conducts its business activities in a legal and compliant manner. We also promote
an environment where any employee has the responsibility and obligation to raise concerns about
behavior that is inconsistent with the company's values.
以上述价值观为原点，中国住友制药所制定的《行为准则》，适用于公司的全体员工，旨在帮助大家规范自己的言行举止，并做出正确的决策。这些道德规范与合规标准也将确保公司合法合规的开展经营活动。同时我们倡导一个畅所欲言的环境，对于不符合公司价值观的行
为，任何员工都有责任及义务提出自己的疑虑。
Each and every one of us, whether interacting with colleagues, stakeholders, or customers, is
expected to live up to the Code of Conduct. The support of each employee's actions will enable us
to continue to gain the trust of the community, and realize the goal of becoming a high quality
company that continue to contribute to the development of healthcare in China.
我们每位员工，无论是与同事、利益相关方亦或是客户互动时，应始终贯彻《行为准则》的要求。来自每位员工行动上的支持，才能使我们持续获得来自社会的信任，真正成为为中国医疗事业发展持续做出贡献的高品质企业。
CEO Koketsu Yoshitaka总裁 纐缬义隆

Table of Contents
目录
1.

2.

Introduction/行为准则介绍 .................................................................................................................................... 5
1.1

Who We Are/我们是谁 .................................................................................................................................... 5

1.2

What Is the Code/什么是行为准则 ................................................................................................................ 5

1.3

Our Commitment to Integrity/对于诚信的承诺 ........................................................................................... 6

1.4

Your Responsibility/员工的责任 .................................................................................................................... 6

1.5

Applicable Scope/适用范围 ............................................................................................................................. 7

Acting with Integrity/诚信行事 .............................................................................................................................. 7
2.1

2.1.1

Interaction With Patients and Patient Organizations/与患者及患者组织的互动 .................................... 7

2.1.2
动

Interaction With Healthcare Professionals and Organizations/与医疗卫生专业人士和的专业组织的互................................................................................................................................................................... 7

2.1.3

Promoting Activities/推广活动................................................................................................................. 8

2.2

Clinical Studies/临床研究 ........................................................................................................................ 9

2.2.2

Application, Manufacturing and Logistics/申请批文、生产和物流 ..................................................... 11

2.2.3

Drug Safety Management and Surveillance/药品安全管理和监督 ....................................................... 12

Prohibition of Unfair Trade Practices/禁止不当交易行为 ..................................................................... 13

2.3.2

Anti-bribery and Corruption/反商业贿赂和腐败 ................................................................................... 14

How We Conduct Our Business/我们如何开展业务 .................................................................................. 14

2.4.1

Business Partners/商业伙伴 .................................................................................................................... 14

2.4.2

Avoidance of Conflict of Interest/避免利益冲突 ................................................................................... 15

2.4.3

Company Assets and Information/公司资产和信息 .............................................................................. 16

2.4.4Intellectual Property/知识产权 ............................................................................................................... 17

2.4.5

Financial Integrity/财务完整性 .............................................................................................................. 18

2.4.6

Protection of Personal Information/个人信息的保护 ............................................................................. 18

2.4.7

Social Media/社交媒体 ........................................................................................................................... 19

2.4.8

Public Relations/公共关系 ...................................................................................................................... 19

2.5

5.

Following Laws and Regulations/遵循法律法规 ......................................................................................... 13

2.3.1

2.4

4.

Product and Product Development/产品和产品开发 ................................................................................... 9

2.2.1

2.3

3.

With Healthcare Community/与医疗行业各方的互动................................................................................. 7

Our Staff and Workplace/我们的员工及工作环境 ..................................................................................... 20

2.5.1

Prohibition of Harassment including Discrimination/禁止包含歧视在内的骚扰行为.......................... 20

2.5.2

Working Environment with Safety and Health/安全健康的工作环境 ................................................... 20

Corporate Citizenship/企业公民意识 .................................................................................................................. 21
3.1

Care for the Environment/环境保护 ............................................................................................................ 21

3.2

Support Charitable Donations and Aid/支持慈善捐款和捐助 .................................................................. 21

Internal Communication and Reports of Concerns/内部交流和汇报............................................................... 22
4.1

Speak-up System/举报机制 ........................................................................................................................... 22

4.2

Response to Violations/违规行为的回应 ...................................................................................................... 23

Amendments/修订 ................................................................................................................................................. 24
4

1.

Introduction
行为准则介绍

1.1

Who We Are我们是谁
The Company is a proud part of the Sumitomo Pharma Group (“SMP”) of companies.
As such, the Company operates in China pursuant to a corporate vision informed by
SMP and in a manner consistent with all SMP Group Company Policies.
公司作为住友ファーマ株式会社（“住友制药”） 集团公司的一员而感到骄傲。
因此，公司按照住友制药告知的公司愿景并以与住友制药集团公司政策一致的方式在华经营。
We are a company engaged in the life science industry that requires high ethicalstandards, we shall comply with applicable laws and regulations, and conducttransparent and fair corporate activities with a strong commitment to ethical behavior.
我们是一家遵循高规格伦理道德标准的生命科学领域的企业，我们遵守各项适
用的法律法规，并切实践行透明、公平、合乎伦理道德的企业活动。

1.2

What Is the Code什么是行为准则This Code of Conduct is designed to describe the rules of conduct for the Company
and its employees in the work that they do in China as part of the larger SMP group ofcompanies. The Code builds upon our values by establishing general compliance, legal
and ethical standards that apply not only to our relationships with customers andoutside partners, but also to how we work with each other.
本行为准则旨在说明公司及其员工在华工作以及作为整个住友制药集团公司的一部分开展工作时应当遵守的行为规则。本守则建立在我们的价值观之上，确
立了一般的合规、法律和道德标准，不仅适用于我们与客户和外部合作伙伴的
关系，也适用于我们相互之间的工作方式。
The Company standards, principles, and requirements that are contained in this Codeof Conduct are designed to ensure that the Company lives up to the highest ethical andbusiness standards in all respects. The Board of Directors of the Company fully
supports this Code of Conduct, and abides by it as well.
本行为准则所载的公司标准、原则和要求，旨在确保公司在各个方面遵循最高的道德和业务标准。公司的董事会全力支持本行为准则并将予以遵守。
Questions on this Code of Conduct can be addressed to your manager, the Human
Resources Department, or the Compliance Department. The Code of Conduct, and all
relevant related documents, such as SMP Group Company Policies, are available fromthe Human Resources and Compliance Department.
关于本行为准则的问题可向你的经理、人力资源部或合规部提出。本行为准则以及诸如住友制药集团公司政策等相关文件可向人力资源部和合规部索取。
5

1.3

Our Commitment to Integrity
对于诚信的承诺The Company operates and carries on business subject to, and in accordance with,
relevant laws and regulations. Because the Company is part of a multinational groupof companies, relevant laws and regulations include not only those of China, but also
those of other jurisdictions.
We shall observe international rules and local laws and regulations in our cross-borderbusiness activities, and shall respect local culture and customs.
公司受相关法律管辖并根据相关法律经营和开展业务。由于公司是一家跨国集团公司的一部分，因此相关法律和法规不仅包括中国的法律和法规，而且包括其他司法辖区的法律和法规。
在公司开展的跨境业务活动中，我们应当严格遵守国际规则、当地法律法规，并尊重当地的文化和习俗。
The Company interacts with its customers, employees, shareholders, partners, suppliersand competitors, and promotes the development of its business, with an attitude of goodfaith.
公司以诚实的态度与公司客户、员工、股东、合作伙伴、供应商、竞争对手打交道，促进公司的发展。

1.4Your Responsibility
员工的责任
Employees shall act as honest and reliable staff, strictly complying with applicable laws
and regulations as well as internal rules, so as to accomplish Company corporate
mission and management mission. “Internal rules” (as mentioned above and below)
include, without limitation, any company policy, company rule, SOP, and any company
notice.
员工应当以诚实可信赖人士的标准行事，严格遵守适用的法律法规，以及各项
公司内部规定，践行公司的企业理念与经营理念。前述以及下述提及的“公司内部规定” 包括但不限于任何公司方针，公司规章制度，标准操作流程，公司通知等。
All employees of the company will receive a copy of the Code of Conduct on the onboard day. They should read, understand this document and acknowledge having done
so by making a signed declaration to the Company.
公司所有员工入职时都将得到一份行为准则，并应阅读和理解此文件，然后通过向公司提交经签字的制度签收表的方式加以确认。
Please review and study this Code of Conduct carefully. It sets forth the main standards
which the Company expects not only for itself, but also for its employees and its Boardof Directors, and therefore, this Code of Conduct forms an important basis for theemployment relationship between the Company and its employees.
请认真阅读和学习本行为准则，其中规定了公司不但期望其自身而且期望其所有员工予以遵守的主要标准，因此，本行为准则构成了公司与员工之间雇用关6

系的重要基础。
1.5

Applicable Scope适用范围
The Company shall refer to Sumitomo Pharma (Suzhou) Co., Ltd. and its affiliates(hereinafter “SMPC”). The affiliates include but not limited to parent company,
subsidiaries, and branches of Sumitomo Pharma (Suzhou) Co., Ltd., and any otherentities established in China which is directly or indirectly controlled by the same
parent company of Sumitomo Pharma (Suzhou) Co., Ltd.
本公司，是指住友制药（苏州）有限公司及其关联公司（以下统称“SMPC”）。
关联公司包括但不限于在中国境内依法设立的住友制药（苏州）有限公司母公司、子公司、分公司及与住友制药（苏州）有限公司受同一母公司直接或间接控制的其他法人实体。

2.

Acting with Integrity
诚信行事

2.1

With Healthcare Community
与医疗行业各方的互动
2.1.1 Interaction With Patients and Patient Organizations
与患者及患者组织的互动The purpose of our interactions with patients and patient organizations should beconsistent with applicable laws, regulations and industry code, and that purpose
should be adhered to in the execution of the activity. In all interactions, SMPC
should clearly state the reason for the activity and the planned outcome and why
the activity will benefit patients.
我们在开展与患者、护理人员和患者组织的互动时，其目的应符合适用法律、法规和行业的规范，并应在执行活动时坚持该目的。在所有的互动中，
SMPC应该清楚地说明活动的原因和计划的结果，以及为什么活动会使患者受益。
We should assess our relationships with patients and patient organizations toensure conflicts of interest are addressed. Any activity with patients and patientorganizations should be conducted in full respect of medical ethical values andshould aim to have a positive impact on the overall healthcare system.
我们应该评估我们与患者和患者组织的关系，以确保利益冲突得到解决。与患者和患者组织的任何活动都应在充分尊重医学伦理价值的前提下进行，并应以对整个医疗系统产生积极影响为目标。
2.1.2 Interaction With Healthcare Professionals and Organizations
与医疗卫生专业人士和的专业组织的互动
When we ask healthcare professionals and other experts for consultation,
7

advisory or other services, we shall comply with applicable laws and regulations
and always conclude a written contract. We must be careful to ensure that no
unjust payment is made under the name of consulting fees, manuscript fess, orthe like. The amount of consideration must be appropriate for the services that
we receive, and the details of the services must be recorded in writing. If theorganization where the service provider belongs has its own internal rules on
consultation, advisory or other services, we shall also observe such internal rules.
在我们向医务专业人士以及其他专家寻求咨询、建议或其他服务的时候，我们应当严格遵守适用的法律法规并始终与前述人员签订书面协议。我们应当坚决确保在以咨询费， 稿费或其他类似名义费用的支付不存在任何不当利益。为所提供的服务支付的对价应当与我们获得的服务相当，并且提供服务的细节应当予以书面记录如果该等服务提供者所属的机构在提供咨询、建议或其他服务方面有其自身内部的规定，我们也应严格遵守该等内部规定。
When we make contributions to medical institutions, universities and otherexternal organizations, we shall confirm that our contributions are not illegal. We
should strictly refrain from making contributions that lack transparency, as wellas making unjust payments under the name of consulting fees, advisory fees, orthe like. We shall make contributions based on a pure intent without requesting
any trade-offs from the recipient and shall not use contributions as a means tounjustly induce business from the recipient.
当我们向医疗机构、大学和其他外部组织进行捐赠时，我们应当确保捐赠行为的合法性。对于缺乏透明性的“捐赠”，以及以咨询费，顾问费或其他类似费
用为名义但实则输送不正当利益的“捐赠”，我们应当予以严格禁止。我们的捐赠行为应当建立在纯粹目的，无需接受者给予任何回报的基础之上，我们不得利用捐赠不正当地从接受者处诱导任何商业机会。
2.1.3 Promoting Activities推广活动
We must recognize that promotional activities involve a noble mission: we must
provide accurate information, and we are responsible to deliver sufficient
information for the proper use of drugs. For this purpose, Company must develop
and establish an appropriate in-house system.
我们必须认识到推广活动的光荣使命：即我们应当提供准确的信息，并且我们有责任传递关于合理使用药物的充足信息。基于此使命，公司应当建立
适当的公司内部机制。
When we engage in promotional activities for medical institutions and others, weshall comply with applicable laws and regulations (including Anti-unfair
Competition Law of the People’s Republic of China, Anti-monopoly Law of thePeople’s Republic of China, RDPAC (China Association of Enterprises with
Foreign Investment R&D Based Pharmaceutical Association Committee) Codeof Practice etc.), internal rules and the like to ensure fair and transparent activities.
当我们向医疗机构和其他有关机构开展推广活动的时候，为确保推广活动的公正性和透明性，我们应当严格遵守相关适用的法律法规（包括《中华8

人民共和国反不正当竞争法》、《中华人民共和国反垄断法》、《RDPAC 行为准则》等），公司内部规定以及其他类似规定。
We shall learn the medical and pharmaceutical knowledge necessary forpromotional activities, and provide proper information to promote the proper useof drugs or the like in accordance with applicable laws and regulations such as
Drug Administration Law of the People's Republic of China.
为开展推广活动之目的，我们应当学习必要的医药知识，并根据适用的法
律法规（例如《中华人民共和国药品管理法》）提供适当信息，以倡导合理用药。
We shall observe applicable laws and regulations as well as corporate ethics toappropriately conduct advertising activities. We shall ensure fairness in thecontents and expressions of advertising activities so that such activities are notregarded as false or exaggerated advertisement, nor will it constitute social
discrimination or violation of the human rights.
我们应当遵守适用的法律法规和企业伦理道德，合理开展广告宣传活动。
我们应当确保广告活动内容和表述的合理性，防止该等活动被认为是虚假
或夸大宣传，或被认为是构成社会歧视或侵犯人权。
We shall maintain a healthy relationship with physicians, pharmacists and othersin public medical institutions so as not to violate, or be suspected of violating,
Criminal Law of the People’s Republic of China (crime of bribery), Anti-unfair
Competition Law of the People’s Republic of China, and other applicable laws
and regulations.
我们应当和医务人员、药剂师和其他公共医疗卫生机构的工作人员保持健
康的关系，以确保不违反或涉嫌违反《中华人民共和国刑法》（贿赂相关罪名）、《中华人民共和国反不正当竞争法》和其他相关适用的法律法规。
In the sale and marketing of, and information communication for our products,
we shall conduct fair sales activities in accordance with applicable laws andregulations and corporate ethics. We must properly review and respond toinquiries and requests about our products.
在药品销售、市场推广和信息沟通中，我们应当按照相关适用的法律法规和企业伦理道德开展公平的销售活动。我们应当妥善地审视与回应关于我们的产品的任何询问和诉求。
2.2

Product and Product Development产品和产品开发
2.2.1 Clinical Studies
临床研究
When we conduct clinical studies, we shall comply with applicable laws andregulations as well as internal rules. Observing rules such as Administrative9

Standards on Good Clinical Practice (GCP) is a major prerequisite for conducting
clinical development and is the responsibility of pharmaceutical companies. We
shall sufficiently investigate whether the relevant medicinal agent deserves tohave clinical studies conducted based on the data that was obtained throughresearch and development. To ensure transparency with respect to clinical trial
information, clinical trial information needs to be disclosed in accordance withthe applicable laws and regulations.
在开展临床研究的时候，我们应当严格遵守相关适用的法律法规和公司内部规定。制药企业有责任确保在严格遵守相关规定（例如 《药物临床试验质量管理规范》等）的前提下开展临床研究。我们应当根据以往研究和开发
中所获的数据充分研究相关的医药代理机构开展临床研究的合理性和必要性。
为了确保临床研究信息的透明性，临床试验相关信息应当根据相关适用的法律法规予以披露。
When we conduct clinical studies, we shall give utmost respect to the humanrights of the subjects. We shall adequately provide the necessary information to
the medical institutions, and should we become aware of any safety issue or
determine that the relevant drug has no efficacy, we will immediately revise therelevant study plan and appropriately determine whether to continue the study.
Furthermore, we shall be prepared for any chance of the occurrence of healthdamages to the subjects in all clinical studies that we conduct.
在开展临床研究的时候，我们应当充分尊重受试者的人权。我们应当向医疗机构提供充分和必要的信息。如果我们知晓任何安全问题或确定相关药品丧失疗效，我们应当立即修正相关临床研究方案，并且妥善决定是否继续临床研究。此外，我们应当就临床研究开展过程中对受试者可能造成健康损害做
好准备。
When we request medical institutions to conduct clinical studies, we shallconclude a written contract. We shall clarify the method of payment of expenses
to medical institutions and shall not make any payment under the name of ascholarship contribution, manuscript fees or the like, which is different from theactual service.
当我们需要医疗机构参与临床研究的时候，应当与医疗机构签署书面协议。
我们应当向医疗机构明确临床研究费用的支付方式，并且不得以捐赠奖学金、稿费或其他类似与实际服务情况不相符的名义支付任何费用。
In our relationship with physicians or the like who are working for public medical
institutions where we request the conduct of clinical studies, we shall maintain ahealthy relationship with them so as not to violate or be suspected of violating
Criminal Law of the People’s Republic of China (crime of bribery), Anti-unfair
Competition Law of the People’s Republic of China, RDPAC (China Associationof Enterprises with Foreign Investment R&D Based Pharmaceutical Association
Committee) Code of Practice and other applicable laws and regulations.
我们应当与医生或其他类似供职于开展临床研究的公共医疗机构的人员保持
健康的关系，以确保我们不会构成违反或涉嫌违反《中华人民共和国刑法》（贿赂相关罪名）、《中华人民共和国反不正当竞争法》、《RDPAC 行为
10准则》以及其他适用的法律法规。
2.2.2 Application, Manufacturing and Logistics
申请批文、生产和物流When we apply for the manufacturing and marketing approval (including
applications for partial changes and/or the filing of minor change notice), weshall comply with applicable laws and regulations as well as internal rules, andonly use application materials that accurately describe data and facts based onstudies that were conducted ensuring the scientific quality and credibility of theresults. We shall never use data obtained from studies conducted in a manner thatdeviated from applicable laws and regulations or internal rules, nor shall we everbe involved in fraudulent acts including falsification, replacement orconcealment of data. When we outsource such studies to outsourcing contractors,
we shall sufficiently manage and supervise those outsourcing contractors toensure that the studies and obtainment of data are carried out properly.
当我们申请生产和上市许可（包括部分内容变更申请和/或细微内容变更申请）的时候， 我们应当严格遵守适用的法律法规以及公司内部规定，并确保以具备科研质量和可信度的研究结果为依据制备申请材料、使其准确反映
数据和事实。我们不得使用以违反适用的法律法规或公司内部规定的方式而
获得的数据，我们也不得有任何包括伪造、篡改或隐瞒数据在内的欺骗行为。
当我们将该等研究外包给外部承包商的时候，我们应当充分管理和监督外部
承包商，确保其以适当的方式开展研究和获取数据。
We shall be aware of the fact that our products are related to people’s lives andensure the stable supply of products to patients through medical institutions in atimely and appropriate manner. The inability to provide sufficient treatment topatients due to out-of-stock products or the like must be avoided at any cost.
我们应当意识到我们的药品与人的生命息息相关，应当确保药品能及时适当地通过医疗机构持续稳定地向患者供应。我们应当不惜代价地避免由于库存
不足或其他类似原因而导致的无法充足向患者提供的情况。
We shall observe applicable laws and regulations as well as internal rules inmanufacturing products, and fully implement manufacturing and quality control
measures through the entire process of manufacturing. If any problem arises withrespect to product quality, we shall promptly take appropriate measures,
including product recovery, placing the first priority on the prevention of healthdamages. In addition, we shall identify the root cause and take necessary
measures to prevent recurrences.
我们应当在药品生产过程中严格遵守适用的法律法规和公司内部规定，在生产全程充分贯彻生产和质量控制措施。一旦发生任何与药品质量有关的问题，我们应当立即采取适当措施（包括药品回收），将预防健康损害置于首位。此外，我们应当查明问题根源，采取必要的措施防止类似问题的再次
发生。
In running plants and manufacturing equipment, we shall observe applicable laws
11

and regulations as well as internal rules and take appropriate measures in orderto prevent accidents and disasters, including fires and explosions and to ensure
the safety of the employees and local community.
在管理厂房和生产设备的时候，我们应当严格遵守适用的法律法规和公司
内部规定，采取适当措施防止包括火灾、爆炸在内的事故和灾难的发生，
确保公司员工和当地民众的安全。
When we handle chemical substances such as raw materials used for
manufacturing products, we shall observe applicable laws and regulations as wellas internal rules with respect to the handling of chemical substances to be usedin production activities, and water discharge and emission from plants and takeappropriate measures, taking into account the effects on the health of employees
during the manufacturing process and the environmental impact due to external
emissions.
在我们处理诸如用于生产药品的原材料之类的化学物质的时候，应当严格遵守与生产活动中的化学物质的处理和工厂污水废物排放有关的适用的法
律法规和公司内部规定，采取适当措施，充分考虑生产过程中这些化学物
质对员工身体健康的影响以及因外部排放而产生的环境影响。
We shall observe applicable laws and regulations as well as internal rules inrelation to logistics, import and export of products, raw materials, equipment,
devices, or the like, and appropriately carry out such logistics, import and export
operations.
我们应当严格遵守与药品、原材料、设备、装置或其他类似的物流运输、进出口有关的适用的法律法规和公司内部规定，并恰当开展该等物流运输
和进出口运营活动。
2.2.3 Drug Safety Management and Surveillance
药品安全管理和监督In order to ensure the safety of drugs or the like after manufacturing andmarketing and to establish the proper use thereof, we shall conduct postmarketing safety management operations and post-marketing surveillance incompliance with applicable laws and regulations as well as internal rules.
为确保上市后药品的安全性及药品的合理使用，我们应当按照适用的法律
法规和公司内部规定的要求进行上市后药品的安全管理和监督。
We shall collect, report and examine safety management information derived
from various sources and exert efforts to ensure the safety, including
implementation of various safety measures, in compliance with applicable laws
and regulations as well as internal rules.
我们应当根据相关适用的法律法规和公司内部规定，收集、报告和分析各
种来源的药物安全相关信息，采取各种形式的安全措施，以进一步确保临床药物的安全使用。
We shall conduct surveys and studies in compliance with applicable laws and12regulations as well as internal rules, to collect and create re-examination or reevaluation materials, and also as a part of activities to monitor the safety of drugs
or the like.
我们应当按照适用的法律法规和公司内部规定开展调查和研究，收集并创建经过复核的材料，并对药品的安全性等进行常规监测。
2.3

Following Laws and Regulations
遵循法律法规
2.3.1 Prohibition of Unfair Trade Practices
禁止不当交易行为
In our relationship with medical institutions, competitors, business partners andothers, we shall follow the rules set by Anti-monopoly Law of the People's
Republic of China, Anti-unfair Competition Law of the People’s Republic ofChina and other applicable regulations, to ensure fair, legitimate and transparent
corporate activities.
在与医疗机构、竞争对手、商业伙伴以及其他人士的交往中，为确保公司
活动的公正性、合法性和透明性，我们应当严格遵守《中华人民共和国反垄断法》、《中华人民共和国反不正当竞争法》和其他适用的法律法规。
In our business activities, including in promotional activities and sales activities,
we shall not give illegal or unjust gifts, entertainment, rebates or the like tohealthcare professionals, persons in charge of relevant dealings at our business
partners, university staff, researchers, medical institutions, wholesalers andpatient organizations.
在包括推广和销售行为的经济活动中，我们不应向医务专业人员、交易合作伙伴中负责交易事项的人员，大学教职工，研究人员，学术研究机构，批发商和患者组织，提供任何非法的或不正当的礼品、娱乐、回扣或类似的好处。
Officers and employees who are involved in any form of business must not makean arrangement among competitors on product pricing, quantity, sales
destinations (markets) and the like, and must not limit the competition in themarket. Such an act is prohibited by Anti-monopoly Law of the People's Republicof China as an unreasonable restraint of trade (horizontal level). In a meeting
among competitors, topics that could unjustly restrict competition in the market
shall not be brought up, including pricing and sales terms. Should such a topic
come up in a conversation, you must refuse and leave the meeting immediately.
开展商业活动的管理人员与员工均不得就产品价格、数量、销售区域（市场）等与具有竞争关系的经营者达成任何协议安排（根据《中华人民共和国反垄断法》，该等行为是不当限制竞争行为（横向垄断）），并且不得从事任何会限制市场竞争的行为。在与有竞争关系的经营者开会时，应当
避免任何可能不当限制市场竞争的话题，包括价格与销售条款。如果会议
中出现该等不恰当的话题，参会者应当拒绝并立即离席。
13

Anti-monopoly Law of the People's Republic of China prohibits, as unreasonable
restraints of trade, the restrictions of resale price of products that shall be
generally determined by customers such as pharmaceutical wholesalers, for sale
to medical institutions and pharmacies; or the unjust imposition of a disadvantage
against customers by abusing a dominant position in the market.
《中华人民共和国反垄断法》禁止限制产品的转售价格（通常情况下应当由诸如药品批发商等客户自行决定，以便其自行销售到医疗机构及药房），并禁止滥用市场支配地位而向客户施加不正当的条件。这些行为均被视为
不当限制竞争行为。
2.3.2 Anti-bribery and Corruption
反商业贿赂和腐败We shall not provide, offer or promise to provide, unjust profit (money, goods,etc.) to government officials, deemed government officials or any individual
designated under special laws (hereinafter collectively referred to as“Government Officials”). Furthermore, we shall firmly refuse a request to
provide unjust profit.
我们不得向政府官员、或被视为政府官员的人员、或在特定法律条件下的
被认定为政府官员的人员（以下统称为“政府官员”）提供或承诺提供不正当利益（金钱、财物等）。此外，我们将坚决抵制任何要求提供不正当利
益的行为。
We shall not provide, offer or promise to provide, unjust profit to Government
Officials of foreign countries in compliance with applicable corrupt practices
laws and regulations.
我们应当严格遵守所适用的反商业贿赂的法律法规，不得向国外的政府官
员提供或承诺提供任何不正当利益。
We shall exert efforts to build a healthy and transparent relationship with thegovernment and administration.
我们应当努力与政府管理部门建立健康和透明的关系。
We shall not make any unjust monetary payment or other similar payment topolitical parties, politicians, political organizations or the like, regardless of thename under which such payment is made.
我们不得以任何名义向政治团体、政要、政治组织或类似团体或个人进行不正当的金钱支付或类似的支付。
2.4

How We Conduct Our Business我们如何开展业务
2.4.1 Business Partners
商业伙伴
14

Third Parties which act for or on behalf of the Company or otherwise work with
the Company (e.g., sales agents, distributors, contractors, advisers, suppliers,
partners, consultants, etc.) play a very important role in the Company and thedevelopment of its business. Actions which Third Parties take in connection with
the Company usually will be regarded as actions taken by the Company and, thus,
the actions and behaviors of Third Parties affect the Company’s image andreputation.
为公司行事或代表公司行事或以其他方式与公司一起工作的第三方（例如销售代理商、经销商、承包商、顾问、供应商、合作方、咨询师等）在公司和公司业务开发中扮演着非常重要的角色。第三方采取的与公司有关的行动通常视同于公司的行动，因此，第三方的行动和行为影响到公司的形象和声誉。
Any Third Party used by the Company should be subject to strict appraisal andapproval to confirm that the Third Party has (i) adequate qualifications to performthe services for which it will be engaged by the Company; and (ii) a good
reputation. No Third Party may be used unless it has successfully passed throughsuch appraisal and approval process. The documentation from or in relation toeach Third Party must be accurate and complete, and the Company must have acomplete set of confirmed information on such Third Party. Employees should bevery alert to improper actions by or improper proposals from Third Parties.
应当对公司启用的任何第三方加以严格评估与核准，以确认该第三方(i)具备履行公司聘用其所供服务的充分资质，并(ii)享有良好信誉。没有成功通过评估与核准程序的第三方不能启用。自每一第三方取得的或与之相关的资料文件必须准确齐全，公司必须对启用的第三方拥有完整的
确认资料。员工应对第三方不当行动或不当建议保持高度的警觉性。
Contracts with Third Parties must be in writing, and must be prepared andhandled in accordance with all relevant Policies.
与第三方的合同必须是书面形式，并须按照所有相关政策编制和办理。
2.4.2 Avoidance of Conflict of Interest
避免利益冲突We shall avoid potential conflicts of interest, such as situations where ourjudgment or conduct is affected by direct or indirect (e.g., through a relative
and/or friend) personal interest or, even broader, place the interests of a third
party above those of the Company when conducting the Company’s business.
我们应当避免潜在的利益冲突，例如直接或间接（例如通过亲属及/或朋友）
的个人利益影响其判断或行动的情形，或者更宽泛而言，在执行公司的业务时将第三方的利益置于公司利益之上的情形。
Personally receiving rebates, monetary offers, gifts or entertainment frombusiness partners or the like in relation to work can distort business decisionmaking and also create conflicts of interest. It might also constitute a violation of
Criminal Law of the People’s Republic of China (crime of bribery) in severecases. We shall maintain a fair and healthy relationship with business partners
15and others, and shall not receive, request for or promise illegal or unjust benefits(money, goods, entertainment, favors, etc.) in relation to a position or power atwork.
个人从商业伙伴或者其他与工作相关联的类似方处获得回扣，经济上的好处，
礼品或娱乐招待会干扰正常的商业决策，并且也会构成利益冲突。在具有严重情节的情形下，还有可能构成违反《中华人民共和国刑法》（贿赂相关罪名）的刑事犯罪。我们应当和商业伙伴和其他人士保持公正和健康的关系，我们不得接受、要求或承诺任何与工作或职权有关的非法或不正当的利益（诸如金钱、财物（包括礼品）、娱乐、优惠待遇等）。
Without the Company’s prior written consent, employees of the Company may
not hold the position of chief officer, adviser, employee, representative or agentof any supplier, competitor or organization, no matter whether it does businessor is seeking an opportunity to do business with the Company. Employees must
immediately report, in writing, to their manager and to the CCO, if their spouseor any lineal relatives takes up a position as a Government Official, or with anyorganization that does business with, or is seeking an opportunity to do business
with, the Company.
未经公司事先书面同意，公司的员工不得在无论是同公司有业务往来的，还
是正在寻求机会与公司发生业务往来的任何供应商、竞争对手或组织中担任
总监、顾问、雇员、代表或代理的职位。如果员工的配偶或任何直系亲属担
任政府官员职务或在同公司有业务往来或正在寻求机会与公司发生业务往来的任何组织内担任职务，员工必须立即向其经理和首席合规官书面汇报。
The Company expects every employee to devote his/her time and effort, during
working hours, to the Company business. While employed by the Company,
without the Company’s prior written consent, employees are not allowed toengage in any other occupation or derive any interest outside working hours indirect or indirect competition (or conflict) with the business or interests of theCompany or of any of its affiliates or other subsidiaries, regardless of whether
doing so on a remunerated or an unremunerated basis.
公司希望每位员工在工作时间里将其全部的时间与精力投入到公司业务中。
在员工受雇于公司期间，未经公司事先书面同意，则不允许其在工作时间以
外从事同公司或其任何联营公司或其他下属公司业务或利益有直接或间接竞争（或冲突）的其他职业或获得利益，无论是有偿的还是无偿的。
2.4.3 Company Assets and Information
公司资产和信息Company Assets - We shall use funds, goods or other assets of the Company only
for its business operations, and will not use them for illegal purposes or forindividual or third party’s interests. Officers and employees are required to draw
a line between business interests and private interests and use company assets
with restraints.
公司资产 - 我们应当仅为公司经营活动的需要使用资金、货品或其他公司资产，我们不得为了非法目的、个人或第三方的利益之目的使用它们。管理人
16

员和员工应当严格区分公司利益与个人利益，并有限制地使用公司资产。
We shall effectively utilize the Company’s information system and devices, andwill not utilize them for individual or third party’s interests.
我们应当有效使用公司信息系统和设备，并不得为了个人或第三方利益之目的使用它们。
Company Information - During employment with and after termination of
employment (for whatever reason) from the Company -- unless receiving explicit
authorization from the Company to do so -- employees may not communicate toany person, or use for any purpose other than the business of the Company, anysuch information concerning the Company or another employee of the Company
that should not be made public. Such information includes technical secrets,
confidential research, production processes, formulas, inventions, patents, plansand policies (e.g., those concerning marketing, sales, clinical trials, research), andany other confidential financial or business information of the Company.
公司信息 - 在受雇于公司期间以及与公司的雇用关系（无论因何种原因）终止后，除非得到公司明示授权，否则员工不得将有关公司或公司其他员工的任何不应该公开的信息告诉任何人，也不能用于公司业务以外的任何其他用途。这些信息包括技术秘密、机密研究工作、工艺流程、配方、发
明、专利、计划和政策（如关于营销、销售、临床试验、研究的计划和政策）以及任何其他机密的公司财务或业务信息。
We shall not wrongfully obtain, use or disclose the confidential information ofother companies and of any other third party.
我们不得以任何不当的方式取得、使用或披露其他公司或任何第三方的保密信息。
We shall not disclose within the Company, or use for the Company, theconfidential information of a third party that we had acquired prior to joining theCompany and the confidential information of a third party that we had learned
through temporary transfers and other similar arrangements.
我们不得在公司内部披露、或为公司利益使用加入公司前我们已经获悉的
第三方保密信息，以及我们通过临时派遣和其他类似安排而获悉的第三方保密信息。
We shall properly manage confidential information in electronic format equallyas confidential information in printed format.
我们应当同等程度地妥善处理书面和电子文档形式的保密信息。
2.4.4 Intellectual Property
知识产权
Employees acknowledge that the Company is the first owner of all work createdby employees during their employment with the Company. For the purpose of17

further confirming IP ownership, each employee agrees to assign to the Company
all intellectual property generated during their employment with the Company,
including but not limited to patents, inventions, technical knowhow, trade secrets,
copyright and any other right concerning publications, including the right of
attribution, the right to benefit and the right to obtain copyright registration.
员工承认其在职期间创作的所有作品，公司为作品的第一拥有人。为了进
一步明确知识产权的权属，每一员工同意将其在职期间产生的所有知识产权转让给公司，包括但不限于专利、发明、技术秘密、商业秘密、著作权
和出版物的任何权利（包括归属权、受益权以及获得著作权登记的权利等）。
We shall respect the intellectual property rights (patent rights (including rights
on inventions, utility models and exterior designs), trademark rights, copyrights,
trade secrets, etc.) of a third party equally as those of the Company, and shall not
infringe the same.
我们应当如同尊重公司的知识产权（专利权（包括发明、实用新型和外观设计）、商标权、著作权、商业秘密等）一般，尊重并绝不侵犯第三方的知识产权。
We shall observe applicable rules concerning employee inventions and promoteresearch and development activities.
我们应当遵守有关员工发明创造的相关适用规定并鼓励研究和发明活动。
2.4.5 Financial Integrity
财务完整性We shall accurately record business activities in preparing, creating and keeping
accounting records and documents to be submitted to public offices.
在准备、创建和制作提交给有关政府部门的会计记录与账簿时，我们应当准确记录交易信息。
We shall always recognize that the payment of taxes is an obligation of citizens
and shall observe tax laws.
我们始终认为纳税是公民应尽的义务并应当严格遵守税法。
2.4.6 Protection of Personal Information
个人信息的保护We shall recognize the importance of personal information protection and shallcomply with applicable laws and regulations as well as internal rules. We shallalso appropriately establish and manage a system to promote the protection of
personal information and prevent the leakage of personal information.
我们应当认识到个人信息保护的重要性，并应当严格遵守适用的法律法规
以及相关的公司内部规定。我们也应当适当地建立与管理相应的系统，以促进个人信息的保护并防范个人信息的泄露。
18

We shall take necessary and appropriate measures to protect personal information,such as through the proper acquisition of personal information, notification andpublication of the purpose of use, prohibition of use for unintended purposes,
safe management, education of employees and others, restriction on the provisionof such information to a third party, and the development and operation ofprocedures to respond to requests for actions, such as the disclosure of owned
personal data.
我们应当采取必要和适当的措施保护个人信息，例如合理取得个人信息，
告知使用目的、禁止未经允许的使用、进行安全管理、对员工和其他相关人员进行教育培训、限制向第三方提供个人信息、以及制定相关操作流程，
以应对披露其所持有的个人信息等要求。
2.4.7 Social Media
社交媒体
When Company makes a digital communication utilizing social media or the like,
we must recognize that Company shall bear all responsibility for the contents ofsuch communication. We must confirm compliance with applicable laws andregulations before engaging in these activities, including compliance by theconcerned parties, planning companies, agencies and the like.
当公司采用社交网络或其他类似数据通讯工具的时候，我们必须认识到公
司应当就该等通讯方式上的内容承担全部责任。我们应当在开展这些活动之前确保遵守相关适用的法律法规，并确保相关方，企划方，代理机构或
其他类似机构均已遵守相关适用的法律法规。
When we use social media or the like personally, we must fully understand theircharacteristics (e.g. the fact that information spreads spontaneously andextensively, and remains on the media permanently). We must not release any
information that may be confidential of, disgrace or discredit Company or any
third party, infringe the rights of Company or any third party, or otherwise violate
any applicable laws and regulations, or internal rules.
当我们个人在使用社交网络或者类似通讯工具的时候，我们应当充分理解
其属性（即该等媒介上的信息会自发地且广泛地予以传播，并且可能会永久地存在于该等媒介之上）。我们不得在该等媒介上披露任何公司的保密
信息，或者发布任何有损公司或任何第三方声誉，侵犯公司或任何第三方
的权利，或违反任何适用法律法规或内部规定的信息。
2.4.8 Public Relations
公共关系
We shall disclose the information that society needs in a timely, appropriate andfair manner and also listen to the expectations and requests from society, andthereby facilitate communication with society.
我们应当及时、合理、公平地披露公众所需的信息，听取公众的期望和要
求，促进与公众的交流沟通。
We must strive to provide, in addition to the Company corporate information,
information that may be needed from a customer’s point of view. As a member19

of the life science industry, we are expected to actively disseminate health-related
information, including the promotion of a healthy lifestyle, awareness campaigns
for early detection of diseases and prevention of major disease, or the like.
除了公司的公司信息，我们必须努力提供客户所需要的信息。作为生命科学领域的一员，我们应当主动发布健康相关的信息，包括宣扬健康的生活
方式，提升大众关注早期疾病检查和重大疾病防范的意识，以及其他类似信息。
2.5

Our Staff and Workplace
我们的员工及工作环境
2.5.1 Prohibition of Harassment including Discrimination
禁止包含歧视在内的骚扰行为We shall not discriminate or harass anyone both within and outside the Company
based on race, nationality, ethnicity, gender, age, religion, faith, belief, sexual
orientation, academic background, disability, disease and the like.
无论在公司内部还是在公司外部，我们不会因人种、国籍、种族、性别、年龄、宗教、信仰、性取向、教育背景、残疾、疾病和诸如此类的原因而
歧视或骚扰任何人。
We shall respect the human rights of workers and shall not tolerate any form ofharassment including sexual harassment and power harassment in the workplaceso as to create a pleasant and comfortable working environment.
为创建愉快而舒适的工作环境，我们应当尊重劳动者的人权，且绝不允许
在工作场所内发生任何形式的骚扰行为，包括性骚扰和利用职权的骚扰行
为。
2.5.2 Working Environment with Safety and Health
安全健康的工作环境
We shall comply with Labor Law of the People's Republic of China, Labor
Contract Law of the People's Republic of China, Law of the People’s Republicof China on Work Safety and other applicable employment related laws andregulations. In addition, we shall make continued efforts for the prevention ofindustrial accidents and maintenance of employees’ health by creating a working
environment that gives consideration to safety and health and comfortableworking conditions.
我们应当严格遵守《中华人民共和国劳动法》、《中华人民共和国劳动合
同法》《中华人民共和国安全生产法》 以及其他劳动用工方面适用的法
律法规。此外， 我们应当不断努力，通过创建足够安全、健康和适宜的
工作环境，防止工伤事故发生、维护员工的人身健康。
We shall be aware of the need for compliance in all aspects of business activities,
including in the workplace, and shall not be engaged in any behavior that may
disgrace or discredit people inside and outside the Company.
20我们应当意识到确保公司经营活动的所有方面（包括在工作场所内）合规的必要性， 我们也不得在公司内部或外部有任何有损他人声誉的行为。
We shall ensure full compliance with laws and regulations related to employment
so that the Company will not be engaged in illegal staffing dispatch.
我们应当确保严格遵守有关劳动用工方面的法律法规，确保公司不会从事
任何非法的劳务派遣。
We shall endeavor to create a non-smoking workplace and promote appropriate
measures against passive smoking in the workplace.
我们应努力构建一个无烟的工作场所并对被动吸烟采取适当应对措施。
3.

Corporate Citizenship企业公民意识

3.1

Care for the Environment环境保护We shall observe environment-related laws and regulations as well as internal rules,
and always conduct business activities in a manner that is considerate of the effects on
the global environment and the environment of local communities.
我们应当遵守与环境有关的法律法规和公司内部规定，在开展经营活动时，始终全面考虑对全球和地区环境的影响。

3.2

Support Charitable Donations and Aid
支持慈善捐款和捐助
The Company does not regard the making of profit as its only goal. Rather, theCompany stresses corporate social responsibility, and emphasizes the enhancement of
its corporate values by building its own social responsibility system.
公司并非把企业盈利看作是唯一的目标，而是强调企业的社会责任，强调通过自身社会责任理念体系的构筑，创造更深层次的企业价值。
All charitable donations and aid are subject to strict examination beforehand, including
the submission of a written proposal identifying the organization (or person) proposing
the donation or aid, and the purpose thereof. Charitable donations or aid must comply
with all applicable laws and regulations as well as with the relevant requirements of
the Company and of the donee. A valid official receipt must be obtained for each
donation or instance of giving aid.
所有的慈善捐款和捐助在实施前应经过严格的审查，包括书面的倡议书、发起捐
助或捐款的机构（或人）以及目的。慈善捐款或捐助必须遵守一切适用法律和法
规以及公司和受捐人的相关要求。每一笔捐款或捐助都必须获得有效的正式收据。
Donations may not be made in cash, nor may they be remitted to bank accounts ofindividuals.
21慈善捐款或捐助不得以现金的形式进行捐款，也不得给个人的帐户汇款。
The possibility that any Government Official(s), MIs, or HCPs could derive any private
gain from the donation or aid should be excluded.
应当杜绝任何政府官员、MI 或HCP 从慈善捐款或捐助中谋取任何私利的可能性。
4.

Internal Communication and Reports of Concerns
内部交流和汇报

4.1

Speak-up System
举报体制
The Company makes efforts to promote communication between management andemployees. Any employee believing that someone has acted or is acting in violation of
applicable laws, this Code of Conduct, or any of the Policies should notify theCompany immediately, by reporting such to his/her manager. However, if theemployee does not feel comfortable raising the issue with his/her manager, theemployee may submit the report to the CCO in-person or by mail. The employee may
also make a report via the Company’s compliance hotline, which can be accessed via
the following avenues:
公司致力于推动管理层和员工的对话。如有员工认为有人已经或者正在违反适
用法律、本行为准则或任何政策，则应立即通过向其经理报告的方式通知公司。
但是，如员工认为不便向其经理提出该问题，其可亲自或通过邮件向首席合规官报告。员工还可通过公司的合规热线进行报告，合规热线可通过下述方式联
系：
Email: hotline@sumitomo-pharma.com.cn
电子邮件：hotline@sumitomo-pharma.com.cn
Telephone:电话：

4009213301
4009213301

Enterprise WeChat: Quick Linkage for Compliance Hotline on Enterprise WeChat
Platform企业微信端：合规热线企业微信举报端
The details of submitting the report to SMP Compliance Hotline please refer to <SOP
on Use of the Company’s Compliance Hotline>.
SMP 集团合规热线的使用详情请见《合规热线运用标准操作规程》。
Employees of the Company will not suffer adverse consequences if filing a report ingood faith. But filing a report in bad faith is a serious disciplinary issue, because it may
harm employees identified in the report. Any report made through the hotline may bemade anonymously1, and the Company will keep the information confidential to the22extent consistent with investigating the matter in question.
公司员工不会因善意举报而遭到不利。但出于恶意提交的举报则是严重的纪律问题，因为这会使被举报的员工受到伤害。员工可通过热线匿名1 举报，公司
将在与调查举报事项相符的范围内对信息予以保密。
4.2

Response to Violations违规行为的回应Any violation of the Code of Conduct could subject an employee to face disciplinary
action, including but not limited to, a warning, a demotion or even termination of
his/her employment, depending on the seriousness of the circumstances. Disciplinary
action will also be taken against any supervisor who guides or approves of an
employee’s breach of laws or the Code of Conduct, or who is aware of a violation but
fails to take timely action to correct the same in accordance with the Code of Conduct
and Policies.
任何违反本行为准则的行为都可能使员工受到纪律处罚，这些处罚包括却不仅
限于警告、降级或解雇，视情节轻重而定。另外，对引导或认可他人违反法律
或本行为准则的行为的任何主管人员，以及虽然知情但没有遵照本行为准则和政策及时采取行动纠正的主管人员，也将受到纪律处分。

1 Please note, however, if a report is made anonymously, it can be more difficult for the Company to investigate thematter appropriately and makes it nearly impossible to provide feedback to the reporting employee.
但请注意，如属匿名举报，则公司对该事项进行适当调查会更加困难，而向举报员工提供反馈则几乎不可
能。
23

5.

Amendments
修订
The Code of Conduct and Policies will be periodically reviewed and updated to satisfy
the requirements of the external legal environment as well as those of the developments
and changes experienced by the Company and its business.
本行为准则和政策将定期加以审查和更新，以满足外部法规环境和公司及其业务不断发展变化的要求。
The Board of Directors of the Company reserves the right to amend this “CODE OF
CONDUCT” as appropriate at any time, without prior notice.
公司董事会保留在适当的时候在没有通知的情况下修改本准则的权利。

24

UNDERTAKING承诺书
The Undersigned, as an employee of the Company has read the Code of Conduct
formulated by the Company and hereby undertakes to abide by the Code of Conduct inall of his/her work and activities for the Company.
本人作为公司的员工，已阅读公司制定的《行为准则》，并在此承诺，在为公司开展的所
有工作和活动当中，本人将遵守《行为准则》的要求。

Undersigned (please print full name):
承诺人姓名（正楷）：Signature of the Undersigned:
承诺人签字：

Department/region:
所属部门/区域：

Date of signature:签字日期：25