ICS 03.160 CCS K 00 备案号： 53939-2016 准 T/CEC 734—2022 电力企业供应链合规风险管理实施指南 Implementation guide for supply chain compliance risk managemen t of electric power enterprises 2022-10-26 发布 2023-02-01 实施 中国电力企业联合会 发 布 全国团体标准信息平台 中国电力企业联合会标准 电力企业供应链合规风险管理实施指南 T/CEC 734—2022 * 中国电力出版社出版、印刷、发行 （北京市东城区北京站西街 19号 100005 http://www.cepp.sgcc.com.cn ） * 2023年2月第一版 2023年2月北京第一次印刷 880毫米×1230 毫米 16开本 1.75印张 51千字 * 统一书号 155198·4576 定 价 37.00元 版 权 专 有 侵 权 必 究 本书如有印装质量问题，我社营销中心负责退换 T/CEC 734—2022 全国团体标准信息平台 T/CEC 734—2022 I 目 次 前言 ······························································ ······························································· · II 引言 ······························································ ······························································· III 1 范 围 ······························································ ···························································· 1 2 规范性引用文件 ······························································ ············································· 1 3 术语和定义 ······························································ ··················································· 1 4 总体原则 ······························································ ······················································ 1 5 管理过程 ······························································ ······················································ 2 6 供应链合规风险管理范围、环境及准则确定 ······························································ ········· 3 7 供应链合规风险评估 ······························································ ······································· 4 8 供应链合规风险应对 ······························································ ······································· 7 9 检查和监督 ······························································ ················································· 10 10 沟通和记录 ······························································ ················································ 11 附录 A （资料性） 电网企业供应链合规风险识别对象框架与企业层级对照表示例 ························ 12 附录 B （资料性） 供应链合规风险（廉洁风险）三要素法示例 ················································ 13 附录 C （资料性） 电力企业供应链合规风险分类示例 ···························································· 1 4 附录 D （资料性） 合规风险事件后果严重程度（ S）分级规则示例 ··········································· 15 附录 E （资料性） 业务开展的频率（ E）及可能性（ P）赋值示例 ············································ 16 附录 F （资料性） 风险等级划分及处理时限示例 ······························································ ···· 17 附录 G （资料性） 电网企业供应链合规风险评估示例 ···························································· 1 8 附录 H （资料性） 电网企业供应链合规风险应对措施示例 ······················································ 20 参考文献 ······························································ ························································· 21 全国团体标准信息平台 T/CEC 734—2022 II 前 言 本文件按照 GB/T 1.1 —2020《标准化工作导则 第 1部分：标准化文件的结构和起草规则》的规定 起草。 请注意本文件的某些内容可能涉及专利。本文件的发布机构不承担识别专利的责任。 本文件由中国电力企业联合会提出。 本文件由中国电力企业联合会企业合规管理标准化技术委员会（ CEC/TC 30 ）归口。 本文件起草单位：中国南方电网有限责任公司、贵州电网有限责任公司、国家电网有限公司、国网 江苏电力有限公司、国网湖南省电力有限公司、中国电力企业联合会科技开发服务中心、中电联（北京）检测认证中心有限责任公司、华能吉林发电有限公司、北京卓玮律师事务所、北京市京师律师事务所。 本文件主要起草人：谭琼、李志强、蔡泽龙、李有铖、王子博、谢荣伟、丁晓飞、霍建彬、王斌、 邓松、陈淼、史蕾、汪琨、张盛、余波、韩文德、沈雷、肖广云、潘苏东、静铁岩、朱宁、宋晓江。 本文件为首次发布。 本文件在执行过程中的意见或建议反馈至中国电力企业联合会标准化管理中心（北京市白广路二条 一号， 100761）。 全国团体标准信息平台 T/CEC 734—2022 III 引 言 为深入贯彻国家能源安全新战略，落实保障产业供应链安全稳定要求，确保电力企业供应链在依法 合规的轨道上运行，按照“强内控、防风险、促合规”目标要求，坚持“基于风险、系统化、规范化与 持续改进”原则，在供应链领域引入风险管理理论，在总结实践经验的基础上，针对电力企业供应链业务特点和风险类型，编制了《电力企业供应链合规风险管理实施指南》 ，以促进供应链业务规范、高效、廉洁运行，强化供应链合规管理能力。 本文件明确了电力企业供应链合规风险管理的理论、原则、过程和方法，为开展合规风险的识别、 分析、评价、应对、检查和监督、沟通和记录等工作提供了依据。 全国团体标准信息平台 T/CEC 734—2022 1 电力企业供应链合规风险管理实施指南 1 范 围 本文件明确了电力企业供应链合规风险管理的总体原则、过程、范围、环境及准则，提供了进行供 应链合规风险评估、应对、检查和监督、沟通和记录的指南。 本文件适用于各种类型和规模的电力企业在供应链所有环节中开展的合规管理活动。