From EIA to CSR 从环境影响评价到企业社会责任 Ben Gunn 班杰明

1. From EIA to CSR 从环境影响评价到企业社会责任 Ben Gunn 班杰明 SINOSPHERE Suite 1720 Sunflower Tower 37 Maizidian Street Beijing 100026, China Telephone: +86-10-8527-5700 Facsimile: +86-10-8527-5701 Website:www.sinosphere.com

2. Definition of CSR/企业社会责任的定义 • Different companies use different terms (e.g. CSR, Sustainability, Corporate Citizenship). • 不同的企业使用不同的名词 (如，企业社会责任，可持续经营，企业公民). • All have a similar meaning: “…the continuing commitment by business to behave ethically and contribute to economic development while improving the quality of life of the workforce and their families as well of the local community and society at large…” From WBCSD • 但都有一个共同的意思: “…企业持续承诺符合伦理的行为，并且在为经济发展做出贡献的同时改善工人和他们家庭的生活，以及促进当地社区以及整个社会的发展…” ——世界可持续商业委员会 www.sinosphere.com

3. Environmental Movement – Raising the bar on Corporations 环境运动 – 企业的障碍提高 • Little accountability. • 企业公信力低 • 1960’s heightened public awareness on environmental pollution. • 1960年代公众对环境污染意识的提高 • Public pressure lead to National Environmental Protection Act (NEPA). Introduced EIA and SIA. Focus on social impact prediction rather than ongoing social performance. • 公众的压力促成了国家层面的环境保护法案。 环境影响评估和社会影响评估出现，开始关注对社会影响的预计而不只是当前的社会影响。 www.sinosphere.com

4. Environmental Movement – Raising the bar on Corporations 环境运动 – 企业的障碍提高 • Continued public dissatisfaction with government performance in addressing environmental issues lead to the formation of EPA and introduction of Clean Air and Clean Water Acts. • 公众对政府在解决环境问题的表现持续不满，导致了国家环保署（局）的出现以及清洁空气法案和清洁水法案的出台。 • Continued focus on governments and regulatory reform to control the behavior of companies. • 继续关注政府及法律改革来控制公司的行为 • Focus on corporations environmental performance but little in way of social performance. • 关注企业的环境表现，但是并不关注企业的社会表现 www.sinosphere.com

5. Globalization - Beginnings of CSR 全球化 – 企业社会责任的开端 • Rapid globalization following end of cold war. • 冷战以后全球化进程迅速 • Corporation grew powerful sometimes exceeding the GDP of some countries. • 企业更加强大，有些企业甚至超过了某些国家的国民生产总值 • Corporations now extended beyond the boundaries of government regulation and influence. • 现在企业已经超出了政府法规和影响的边界。 • Public/consumers question integrity of corporate practices. Concern over different standards in different regions. • 公众及消费者对企业行为的诚信质疑。关心不同地区的不同标准。 www.sinosphere.com

6. Globalization - Beginnings of CSR 全球化 – 企业社会责任的开端 • Prompted an entirely new focus among NGOs, media outlets and consumers. • 促成了一个非政府组织、媒体及消费者关注的焦点。 • Where once minimization of environmental impacts was the inspirational standard, increasingly a much broader range of issues are evolving. • 最大限度地减少环境影响曾经是让人鼓舞的标准，但现在企业社会责任已经开始包含越来越广泛的问题。 • Corporations seen has having strong influence on society and thus having responsibility to society. • 企业对社会有着深刻的影响，因此也对社会负有责任。 • Call for greater transparency and interaction. • 呼唤更多透明和互动。 www.sinosphere.com

7. The Evolution of CSR企业社会责任的发展 www.sinosphere.com

8. Evolving definition of stakeholders 利益相关方定义的演进 • Extension of stakeholders beyond direct shareholders. • 利益相关方超越直接的股东 • Changes in the way companies interact with stakeholders. • 公司与其利益相关方互动方式的变化 www.sinosphere.com

9. Co.公司 Old model/旧模式: Pyramid of influence/金字塔式的影响 New model新模式: Circle of cross-influences交叉影响的圆圈 ‘Branding Company’ ‘品牌公司’ ‘Corporate Citizen’ ‘企业公民’ Consumers 消费者 Co. 公司 employees员工 media媒体 trade association工会 suppliers供应商 NGOs/ Community 非政府组织/ 社区 key clients主要客户 regulators法规制订者 Mass consumers 大众消费者

10. Scope of CSR企业社会责任的范围 • Good governance 善治 • Health and safety* 健康和安全* • Environmental impacts*环境影响* • Labor rights*劳工权利* • Social社会 • Ethics伦理 • Corruption腐败 • Social development impacts社会发展影响

11. Sub-contracting外包 • Reliance on supply chain.对供应链的依赖 • Reduce costs.减少成本 • Increase liabilities.增加责任 • Extension of corporate principles and code of conduct.企业原则和行为准则的延伸 • Corporate driven as result of public pressure.公众压力促使企业行动

12. SINOSPHERE Activities 博信公司的业务 • CSR auditing of suppliers to multinational companies. • 对跨国公司的供应商进行企业社会责任审核。 • Focus on environment, occupational health and safety, and labor rights. • 关注环境，职业健康与安全，和劳工权利。 • Environment: emissions, waste management, RoHS, etc. • 环境：排放，废物管理，限制有毒物质，等等。 • OHS: workplace safety, chemical handling, fire and emergency preparedness, workplace environmental quality, etc. • 职业健康和安全: 工作场所的安全，化学品操作，火灾或紧急情况准备，工作场所环境质量，等。 • Labor: working hours, compensation, benefits, child labor, discrimination, discipline, freedom of association. • 劳工: 工作时间，报酬，福利，童工，歧视，纪律，结社自由。 www.sinosphere.com

13. Difference approaches to assessment不同的评估方法 • Compliance 符合性评估 • Management systems管理系统评估 • “Sustainability” and continuous improvement • 可持续经营和持续改善评估

14. The SINOSPHERE Approach • Initial Benchmark Auditing初始的基准核查 • Employs a comprehensive audit protocol designed to assess performance in the areas of Environment, OHS, Labour, Dormitories, and General Awareness • 使用一个设计出来的全面的核查规程来评估企业在环境，职业健康与安全，劳工，宿舍，以及综合意识方面的表现。 • Results quantified using a standardized Scorecard system which establishes a baseline to be used for tracking improvements and in comparisons against peer companies as well as best practice “Benchmarks” from various industries • 通过一个标准化的记分卡系统量化核查结果，从而设立了一个基本线用来跟踪改进情况并与同类企业进行对比，同时还可以与不同行业里的具有最佳表现的一些基准企业进行比较。

15. The SINOSPHERE CSR Scoring System 博信公司的企业社会责任评分系统 The scorecard is divided into two major sections defined by the scoring method used. Facility performance is first assessed on whether it provides significant liability to a customer. Such “Zero Tolerance” issues are graded on a pass or fail basis. A failure of any one Zero Tolerance issue demonstrates the facility presents a significant liability and requires immediate corrective action. 根据评分方法，评分卡被分为两个主要的部分。第一部分评估的是工厂的表现是否会给客户带来严重的法律责任，这些“零容忍度”问题在评分系统中只以“通过”和“失败”进行评判，任何一个“零容忍度”问题失败了，都说明工厂会带来严重的法律责任问题因此需要马上采取补救措施。 Zero Tolerance criteria include basic labor rights issues, worker health and safety and environmental controls which prevent large scale environmental degradation. “零容忍度”问题包括劳工权利问题，工人健康和安全，以及旨在预防大规模环境恶化的环境管理。 The rest of the scorecard is functioned through a seven-point scoring system 另外一部分的评分卡主要由一个七分制的评分系统来实现

16. The Seven Point Scoring System 7分制评分系统 : Used to track progress from basic Compliance and beyond into Best Practice 用来跟踪从最基本的遵守到超越遵守再到最佳实践的进步过程

17. Issues Facing Suppliers 供应商所面临的问题 ENVIRONMENT 环境 • Hazardous waste disposal 有害垃圾处置 • Rely on government certified contractors.依靠政府认证的承包商 • Assume that using certified contractors avoids liability. • 认为使用认证过的承包商可以避免责任 • Certification is not a guarantee.认证并不是保证 • Preferred operators often have special relationships with authorities. • 首选的承包商经常和权威部门有着特殊的关系 • Shanghai survey by Lucent Technologies朗讯科技在上海的调查 • Good practice is to audit all waste contractors before contracting services. • 好的做法是在把服务承包出去以前对承包商进行一定的核查 • Regulatory monitoring 法规追踪 • Local implementation often weak.法规在地方的实施经常是无力的 • No records of emissions and discharge compliance.没有关于排放的符合法规的记录 • Responsible company should track these impacts (also an ISO14000 requirement). • 负责任的公司应该追踪这些影响（这也是ISO14000 中的一个要求） • Few companies actually do.极少有公司真正去做 www.sinosphere.com

18. Issues Facing Suppliers 供应商所面临的问题 ENVIRONMENT 环境 • Over reliance on certification (e.g. ISO14000) 对认证的过度依赖 (如 ISO14000) • Certification often requested by clients. • 认证经常是客户要求的 • Very often becomes a paper-based exercise and not fully applied in reality. • 这些认证常常成为书面的练习，并没有充分在现实中应用 • Understand how to run the system but lack awareness on why they are doing it. • 理解如何运行该系统，但是并不明白为什么要那样做 www.sinosphere.com

19. Issues Facing Suppliers 供应商所面临的问题 OHS 职业健康与安全 • Awareness of occupational hazards 职业危险的意识 • Lack of awareness on occupations with disease causing potential. • 对具有职业病潜在危险的职业缺乏意识 • Lack of understanding on legal requirements. • 对法规要求缺乏了解 • Often results in failure to provide adequate protection (either total lack of PPE or inappropriate PPE provision). • 因此经常的结果是不能提供足够的保护（或者在总体上缺少个人防护用品，或者提供不正确的个人防护用品） • Failure to perform appropriate medical tests. • 不能进行适当的医疗检查 • Failure to fully inform workers of hazards. • 不能充分告知员工相关的危险 www.sinosphere.com

20. Issues Facing Suppliers 供应商所面临的问题 OHS 职业健康与安全 • Monitoring 监测 • Lack of regular workplace environmental monitoring. • 缺乏工作场所环境质量的常规监测 • Authorities often lack the capacity to monitor correct parameters (e.g. lead). • 权威部门常常缺乏足够的能力监测正确的要素（如：铅） • Accident recording and follow-up事故记录和跟踪 • Lack of recording procedures. • 缺乏记录的程序 • No process of investigation and corrective actions. • 没有过程的调查和改正行动 • Best practice is to record all accidents and ‘near-misses’ and implement corrective actions to prevent future occurrences. • 好的做法是记录所有事故和几乎发生的事故，并且实施纠正措施，防止将来事故的发生 www.sinosphere.com

21. Issues Facing Suppliers 供应商所面临的问题 OHS 职业健康与安全 • Occupational Injury compensation • 工伤赔偿 • Suppliers often provide only partial coverage. • 供应商常常只提供部分赔偿 • Often have special arrangement with local authorities. • 常常与当地部门有特殊的安排 www.sinosphere.com

22. Issues Facing Suppliers 供应商所面临的问题 LABOR 劳工 • Working hours工作时间 • Chinese national law has defined standard (40 hrs/5 days per week). • 中国国家法律已经规定了标准（每周工作5天，40小时） • Maximum of 36 hours per month overtime (more stringent than international practice). • 每月最多36小时的加班时间 （比国际标准严格） • In many factories workers work long hours to meet production schedules. • 在很多工厂，工人需要工作很长时间来满足生产安排的需求 • Many factories adopt average hours working system to legally extent overtime. However this is easily abused. • 很多工厂使用综合计算工时系统，以合法地延长加班时间。但是这很容易被滥用。 • Many factories claim that employee want to more overtime. • 很多工厂声称是工人自己愿意更多地加班。 www.sinosphere.com

23. Issues Facing Suppliers 供应商所面临的问题 LABOR 劳工 • Compensation工资 • Most compensation is set to meet local minimum wage. • 大部分工资是根据当地的最低工资标准确定的 • Minimum wage varies locally and is generally very low compared to international standards. • 最低工资不同地方都不相同，但是一般都比国际标准低很多 • Facilities frequently pay less than minimum wage (e.g. probationary workers). • 工厂经常付给工人低于最低工资的工资 （如试用期期间的工人） • Some companies will make deductions from wages which violates regulations. • 一些公司会从工人的工资中扣除一些费用，这是违反规定的

24. Issues Facing Suppliers 供应商所面临的问题 LABOR 劳工 • Freedom of association 结社自由 • Most corporations require that workers have right to form independent labor organizations and engage in collective bargaining. • 大部分大企业要求供应商规定工人有权组织独立的工会组织并可以进行集体谈判 • In China all unions must be affiliated with All-China Federation of Independent Trade Union (ACTFU). • 在中国所有的工会必须在全国总工会的管理之下 • ACTFU has been criticized as not being independent and putting issues of development ahead of that of workers. • 全国总工会却被批评是不独立的，并且把发展的问题优先于工人的问题考虑

25. Issues Facing Suppliers 供应商所面临的问题 LABOR 劳工 • Discrimination 歧视 • Most corporations make requirements not to discriminate based on race, gender, age and religion. • 大部分大企业都要求其供应商不能有基于种族、性别、年龄、宗教的歧视 • Manufacturing industry often hires only healthy, young people (usually women under age of 25) as operators. • 制造业常常倾向于只雇佣健康的年轻人作为工人（通常是25岁以下的妇女） • Upper management is male dominated. • 上层管理人员却是男性主导的 • Some companies will have policies on discrimination which are contradicted by HR policies. • 一些公司有关于反歧视的政策，但这些政策却和人力资源政策相冲突

26. Issues Facing Corporations大企业所面临的问题 Codes of Conduct 行为准则 • Typically require compliance with national and local regulations一般要求遵守国家和地方的法规 • “…COMPLIANCE WITH APPLICABLE LAWS • All Vendor Partners shall comply with the legal requirements and standards of their industry under the national laws of the countries in which the Vendor Partners are doing business. Should the legal requirements and standards of the industry conflict, Vendor Partners must, at a minimum, be in compliance with the legal requirements of the country in which the products are manufactured…”Walmart Standards For Vendor Partners. “…遵守相关的法律：所有的供应伙伴应该遵守所在国家的法律框架下的法规要求和行业标准。如果行业标准与法律有冲突，供应伙伴必须至少遵守产品产地所在国的法律要求…”《沃尔玛供应伙伴标准》 • Lack of local implementation by authorities due to lack of capacity, desire to attract investment, and/or corruption (e.g. medical insurance).由于缺乏能力，渴望吸引投资或者腐败而导致法规执行不力（如医疗保险） • Legal grey areas (e.g. Overtime requirements).法律的灰色地带（如关于加班的要求） • Reality is most suppliers fail to meet compliance.现实是大部分供应商不能遵守法规要求 • Corporations must decide to what extent does situation pose risk of liability and/or scandal (e.g. average working hours system, occupational injury insurance). 企业必须判断在多大程度上（供应商不守法规）情形将带来法律责任和丑闻的出现 （如综合工时计算，工伤保险）

27. Issues Facing Corporations 大企业所面临的问题 Greater commitment to CSR costs money 对企业社会责任更大的承诺意味着更多花费 • Many companies sub-contract manufacturing to China solely for the purpose of saving money. • 很多企业把制造部分外包到中国纯粹是为了节省成本 • Raises the issue of who should pay for this cost. • 谁将为这部分增加的费用买单？ • Due to fierce competition profit margins are low. • 由于激烈的竞争和利润空间的减少 • Corporations often play off subcontractors to get best prices. • 企业常常让供应商互相竞争以得到最好的价钱 • Can make it difficult for companies to compete with local operators who take advantage of weak legal structure to cut corners on EHS and labour standards. • 这将使利用法律结构的弱点在环境、健康与安全及劳工标准方面走捷径的当地企业获益 • Are corporations willing to bear the cost? • 企业愿意负担这部分费用吗？ • Are consumers willing to pay the cost? • 消费者愿意负担这部分费用吗？

28. Solutions 解决方案 • Given that there are economic limits to what can be achieved in the short-term, CSR must aim at sustainable, continuous improvement. • 短期内所取得的经济利益是有限度的，企业社会责任必须瞄准可持续的，不断的进步 • Need to engage local communities and regulators to encourage proper enforcement of existing laws. • 需要让当地社区及政府参加近来以鼓励现有法律的执行 • Convince stakeholders that it is in the long term regional economic interest to promote investments by ethical and sustainable industries. • 说服股东投资道德的与可持续的产业在长期来看符合地区的经济利益 • Set a minimum baseline criteria to minimize liability then focus on improvement. • 设立一个最低的底线标准来最大限度地减少责任，然后关注改善

29. Solutions 解决方案 • Increase bilateral communication between corporation and suppliers. • 增加企业与供应商双方之间的交流 • E.g. Need for overtime is often caused by last-minute production requirements or changes from buyers, and communication problems such as delays in sample approval. • 如，对加班的需要经常是由买方最后一刻生产的要求或变更，或者沟通的问题如样品批准的延误等造成的。 • Increased awareness with the ultimate goal of creating a corporate culture of awareness and accountability wherein expectations are clear and the reasons for doing things a certain way are understood. • 增强意识，了解最终的目标是创造一个有意识和公信力的企业文化，在这个文化中人们的预期是清楚的，以某种方式做事的原因也是得到理解的。 • Where major differences exist between international practice and Chinese law exist, CSR solutions must be sort that are both practical and creative (e.g. Freedom of association). • 在国际标准与中国现有法律存在差异的地方，企业社会责任解决方案必须现实而且有创造性 （如：结社自由）

30. Contacts联系方式 Ben Gunn班杰明 CSR Practices Director 企业社会责任项目主管 gunn@sinosphere.com SINOSPHERE CORPORATION Suite 1720 Sunflower Tower 37 Maizidian Street, Chaoyang District Beijing 100026 China 博信国际信息咨询公司 朝阳区麦子店街37号，盛福大厦1720室， 北京100026 中国 Tel 电话 (8610) 8527 5700 Fax 传真 (8610) 8527 5701 www.sinosphere.com Thank You! 谢谢！