中国对外承包工程行业社会责任指引

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中国对外承包工程行业社会责任指引

中国对外承包工程商会

2012年9月

刖§...........................................................................................1

1. 2. 3. 4.	适用范围..............................................................1社会责任定义和基本原则................................................1社会责任管理..........................................................1
	3」	组织机构.......................................................2
	3.2	制度建设.......................................................2
	3.3	能力建设.......................................................2
	3.4	持续改进.......................................................2
	3.5	利益相关方.....................................................3
	3.6	社会责任信息披露...............................................3
	3.7	社会责任危机管理...............................................4
	社会责任核心议题.....................................................4
	4.1 4.2	工程质量与安全.................................................4员工权益与职业发展.............................................5
	4.3 4.4	供应链管理.....................................................7 客户（业主）权益...............................................7
	4.5	公平竞争.......................................................9
	4.6	环境保护.......................................................9
	4.7	社区参与和发展................................................11

附件....................................................................131. 定义和术语......................................................132. 参考文件........................................................143. 社会责任测评....................................................17

社会责任是企业与其利益相关方实现共同发展的重耍保障和路径选择。企业履行社会责任，将社会责任融入企业战略和日常管理，有利于提升企业长期盈利水平和持续发展的能力，有利于维护员工和其他利益相关方的合法权益，有利于营造良好的外部经营环境，最终实现企业与社会、环境的共同、持续、和谐发展。屮国对外承包工程行业的社会责任建设，关系到行关系到全球承包工程市场的健康发业发展方式的转变，
关系到屮国互利共赢开放战略的实施，展。

屮国对外承包工程行业重视企业社会责任建设，近年来从理念和实践方面全而推进社会责任，履行社会责任的意识和能力明显提升。受商务部委托，在广大会员企业积极实践的基础上，屮国对外承包工程商会特编制《屮国对外承包工程行业社会责任指引》（以下简称“《指引：T）,旨在为屮国对外承包工程企业树立社会责任建设的标尺,推动企业树立全球责任观念，以更加负责任的方式开展对外承包工程业务。

本《指引》包括适用范围、社会责任定义和基本原则、社会责任管理、社会责任核心议
题等内容。其屮，核心议题涵盖工程质量与安全、员工权益与职业发展、客户（业主）权益、供应链管理、公平竞争、环境保护、社区参与和发展等内容。《指引》在制定过程屮借鉴了总结吸收了行业近年联合国全球契约和ISO26000国际社会责任标准等国际共识的核心思想，
来形成的社会责任最佳实践，明确了对外承包工程行业对社会责任的共同理解。

本《指引》编制过程屮，参考相关国际准则制定工作流程，注重过程的规范；增强透明度，通过企业实地调研、调查问卷、座谈会、网上公示等方式充分听取利益相关方的意见和建议。行业企业代表、专家学者对本《指引》的编制给予了大力支持；屮德贸易可持续发展与企业行为规范项FP通过责扬天下（北京）管理顾问有限公司以及国内外专家的咨询服务，为指引编制提供了支持。

本《指引》作为行业社会责任建设的指导性文件，由中国对外承包工程商会组织编制和发布，并根据行业发展状况和企业实施情况适时进行修订。

1屮徳贸易可持续发展耳金业行为规范项H山徳国技术合作公司（GTZ）代表徳国联邦经济合作与发展部（BMZ）实施。项目合作方为中华人民共和国商务部世界贸易组织司。

1适用范

1」本《指引》适用于屮国企业在境外开展承包工程项H的和关活动以及为支持境外承

包工程项H的实施而在国内开展的相关活动。

1.2本《指引》可用于指导屮国对外承包工程企业构建社会责任体系，推进社会责任管

理，披露社会责任信息，持续改进社会责任绩效。

1.3本《指引》没有穷尽社会责任方面所有可能的要求，也不排斥与其他有关社会责任

的标准、体系或倡议同时或互补适用。

2社会责任定义和基本原则

2」本《指引》所称社会责任是指屮国对外承包工程金业在决策和经营活动屮以透明和

道德的行为方式，对客户（业主）、员工、供应商（分包商）、合作伙伴、当地社区等利益

相关方以及为促进经济、社会和环境的可持续发展所应承扌n.的责任。

2.2对外承包工程企业履行社会责任应遵循如下基本原则:

•遵守法律法规。维护国家利益和社会公共利益，遵守所在国家或地区的法律法规及
屮国有关规定，遵守国际通行的商业惯例。

•尊重利益相关方。重视与利益相关方的沟通，并将利益相关方的合理期望和要求纳入

企业活动。

•透明和道德经营。公开对肖地社会、经济和环境具有重大影响的决策和活动,并根据

道德行为要求开展企业活动。

•坚持共同发展。促进所在国经济增长、社会进步和环境保护，实现与半地社

区的共同持续发展。

持续改善绩效。履行社会责任要与企业自身发展阶段和实际情况紧密结合,根据不同责任层次（包括必尽的法律责任、应尽的道德责任和自愿承担的责任）要求，持续改进社会责任绩效。

3・社会责任管理

社会责任管理是企业为推进社会责任融入企业决策和活动而开展的一系列管理行为，包括建

立组织机构、制定相关制度、开展能力建设、持续改进绩效、识

别利益相关方、披露社会责任信息和社会责任危机管理等内容。

3.1组织机构

MG1结合企业治理结构和经营实际，指定或设置社会责任管理的决策机构和协调机构。

决策机构负责制定并监督执行企业社会责任战略、规划和重大行动。协调机构负责开展与社

会责任相关的内外部沟通，推进社会责任战略与日常运营相结合，确保战略和实施的一致

性，并致力于提升企业全员社会责任意识和能力，评估社会责任绩效。

3.2制度建设

MG2分析企业可持续发展所面临的机遇与挑战，将社会责任理念融入企业发展战略，并

由企业高级管理层公开社会责任方针和相关承诺。

MG3以社会责任管理组织机构为依托，建立和完善包括计划制定与实施、跟踪检查、评

审、信息披露等环节在内的社会责任管理制度体系，保证企业社会责任工作的常态化和规范

化。
3.3能力建设

MG4制定和实施企业社会责任培训计划，根据岗位的社会责任影响实施全员社会责任培

训，并对管理岗位进行重点培训，同吋积极学习、借鉴国内外成熟的企业社会责任实践。

3.4持续改进

MG5建立和完善监督考评机制，将反映企业重要社会责任绩效的指标与岗位职责绩效结

合进行考核。定期评估企业运营对社会与环境的各类影响，制定并实施相应的改进工作方案。

3.5利益相关方

MG6利益相关方是指任何可能受到组织决策与活动的影响或可能影响组织决策与活动

的各利益个体或群体。对外承包工程企业主要利益相关方包括：股东、投资者、员工、客户

（业主）、合作伙伴（供应商、分包商）、、行业组织、社区（公众、媒体/非组

织）等。企业应建立利益相关方参与机制，保障利益相关方的知情权、监督权和参与权。

表1利益相关方主要参与方式

沟通目的	主要涉及的利益相关方	主要沟通方式	基本要求
告知信息	员工、股东、投资者、客户（业主）、、合作伙伴、社区（媒体/非组织）	员工培训、函件往来、公司手册、公口」网站、公司展示、新闻发布、工作汇报	选择合适的信息披露方式，及时回答利益相关方关心的问题
了解需求	客户（业主）、合作伙伴、社区（媒体/非组织）、员工	问卷调査、专家访谈、专题论坛、专稈拜访	充分考虑各方建议、意见
双向交流	员工、股东、投资者、、社区（媒体/非组织）	多方论坛、高层对话、集体谈判、定期协商	相互信任，平等对话，充分沟通，形成共识，实现共赢
共同介作	客户（业主）、、合作伙伴、社区（媒体/非组织）、行业组织	参加行业组织、项目合作、联合活动、组织联盟	充分合作，优势互补，共同创造综合价值

3.6社会责任信息披露

MG7建立、健全企业社会责任信息的披露机制，及吋向利益相关方披露社会责任信息

和绩效。披露方式包括企业网站、内部刊物等日常信息沟通渠道，定期发布的社会责任或可

持续发展报告，以及专项沟通活动。

3.7社会责任危机管理

MG8树立危机和风险意识，根据业务及其运作环境分析确定对外承包工程活动屮的社会

责任风险及其影响，建立和完善防范机制，并通过与利益相关方的有效沟通避免危机的发生。

MG9建立完整、有效的应对预案，控制和处理社会责任危机和有关事件，防止不利影响

的扩大。

4社会责任核心议题

4.1工程质量与安全

工程质量与安全是屮国对外承包工程行业的立命Z本。企业应加强质量安全管理体系建设，在项H建设全过程屮始终进行严格的质量控制，优化和创新施工工艺,持续提升工程质

量，保证施工安全。

4.1.1

工程质量

QS1
QS2
QS3
QS4
QS5

在资质等级许可的范围内承揽工程。

建立工程质量管理体系和制度，开展质量管理体系和资质认证。

设置工程质量管理机构或监理岗位，负责工程质量的日常管理。

建立健全教育培训制度，提升员工的质量意识和质量控制技能。建立健全原材料和设备等的采购制度以及工程质量检验制度，按照工程

设计要求、施工技术标准和合同约定，对建筑材料、设备、施工方法和流程等进行检验和检

查。

QS6

QS7

QS8

对不同类型的承包工程项FI,根据合同承担相应的质量责任。严格选择和要求分包商，并对分包商的工程质量进行统一•监督和管理。

根据工程设计和施工技术标准开展承包工程，业主或所在国的工程质量
优化、创新施工工艺和流程，提高工程质量和效率。

标准低于本企业或屮国标准吋，向业主推荐采用较高标准。

4.1.2工程安全

QS9 建立工程安全管理制度，设置工程安全管理机构或岗位，负责工程安全口常管理工作。

QS10建立安全教育培训制度，提升员工工程安全意识和技能。

QS11制定工程安全应急预案，妥善处理境外承包工程安全事故，并按规定及吋、如实向

有关利益相关方通报情况。

4.2员工权益与职业发展

员工是企业最核心的利益相关方Z--，是企业发展最具创造性的资源。企业应尊重，保障屮外员工合法权益，尊重、关爱员工，实现员工与企业的共同发展。

4.2.1平等和规范雇佣

HR1建立平等雇佣制度，公平对待不同民族、性别、种族、国籍、年龄、宗教信仰、残疾、婚姻状况、性取向等的应聘者，保护应聘者个人信息和隐私。

HR2不招聘使用童工，不使用、不接受任何形式的强迫劳动，遵守当地对劳动时间的规定。

HR3不以盈利为FI的向外派员工收取工作服务费、管理费等，不向外派员工收取履约保证金或要求提供屮国法律法规禁止的担保。

HR4依法与员工签订劳动合同或提供其它证明雇用关系的文件。

4.2.2薪酬福利

HR5薪酬不低于当地最低工资标准或当地行业一般标准，按吋足额发放薪酬,提供法律规定的其它保障，如缴纳社会保险费用等。

HR6建立员工薪酬增长机制。

HR7为外派员工购买境外人身意外伤害保险。
HR8为员工提供符合为地习俗和商业习惯的必要福利。HR9引导或帮助外派员工合理规划薪酬。

4.2.3职业健康与安全

HR10建立和完善健康安全管理体系、操作规范和应急预案，建立安全生产责任追究制度。

HRU组织员工接受安全施工培训，提高员工职业风险意识，掌握安全知识和技能。

HR12建立系统的健康安全风险评价和检测体系，分析境外承包工程屮的健康安全风险，记录和调查工作场所发生的健康安全事件和问题。

HR13控制和消除威胁员工健康安全的隐患,加强施工设备的经常性维护管理,提供健康安全的作业、生活条件，提供预防职业伤害、疾病和事故以及处理紧急情况所需要的安全设备，最大限度降低工作环境屮的健康安全隐患。

HR14针对工程项Fl所在地卫生状况，开展员工健康知识宣传和培训，完善疾病，尤其是

传染性疾病、艾滋病等的防护措施。

4.2.4员工职业发展
HR15建立员工培训制度，对员工进行岗位职业技能培训。

HR16开展外派员工出境前的语言、文化、法律和心理等培训。

HR17指导员工规划职业生涯，建立健全员工晋升机制。

HR18重视培养卅地员工，推进员工本地化，促进不同文化背景员工间的相互尊重、理解

和融合。

HR19支持员工参加提升业务能力和综合索质的培训教育，并保障必要的费用对员工进行

职业技能培训和教育。

4.2.5员工沟通和参与
HR20依据当地法律和惯例，建立劳资双方的协商机制，支持员工参与企业管理。HR21尊重员工，建立企业与员工的双向沟通渠道和机制，了解并回应员工的期望与诉

求。
4.2.6员工关爱
HR22帮助员工平衡工作与生活，开展必要活动消除员工的不利心理影响。 HR23关心员工及其家庭，帮助困难员工，鼓励员工互助。

4.3客户（业主）权益

客户（业主）是企业生存发展的基础，客户需求是金业存在价值的体现。企业应信

守合同，为客户提供优质工程服务，保障客户权益，不断提升客户满意度,帮助客户创造

最大价值。

4.3.1信息沟通

CL1提供真实、公正和完整的承包工程服务信息，使客户在信息透明和对称的情况下做

出决策。

CL2与客户建立畅通的沟通渠道，进行定期和专题沟通。

CL3与业主及时沟通工程规划、施工工艺、材料变更等情况。

4.3.2 客户权益和隐私

CL4依法签订符合业界惯例的、公平合理的承包工程合同，按照合同要求施工和交付工

程。

CL5以公正、合法的方式获取客户信息，采取必要措施保障客户隐私和工程信息安全。

CL6 开展客户满意度调查，最大程度满足客户的合理要求。

4.3.3 负责任的工程和服务

CL7为客户提供符合项H所在国法律法规关于质量、安全、环保等要求的工程和服务，并

确保承包工程项1=1在生命周期屮有利于半地社会和环境。

CL8采取宣传和教育等方式，倡导客户选择可持续、负责任的工程或服务。

CL9 以合理方式提供承包工程后续维护等必要服务。

CLIO对新型或特殊建筑材料、施工工艺或生产方法开展风险评估和生命周期评价，避免

给承包工程项H带來隐患。

4.4供应链管理

供应链是为企业直接提供商詁及服务的供应商的集合，包括制造商、经销商、分包商和

其他屮介商等。对外承包工程企业的供应链包括材料供应商、设备提供商、分包商、劳务公

司等供应商。

供应链管理是对外承包工程行业规避运营风险，建立竞争优势，实现健康发展的重要环

节。企业应加强对供应商的统一管理，保障供应商权益，提升供应商社会责任意识和能力。

4.4.1权益保护

SU1	制定保障供应商和分包商合法权益的相应措施，公开采购原则、标准和
对供应商和分包商的及承诺。
SU2	预防并治理采购、分包过程111的商业贿赂和其它行为。
SU3	签订采购、分包合同，不恶意拖欠合同款项。

4.4.2责任采购与责任分包

SU4

制定境外工程采购和分包管理制度，选择具有相应资质的供应商和分包

商，统一管理分包商的工程质量、安全生产、环境保护和用工状况。

SU5

对供应商和分包商明确社会责任要求，将道德、环境等企业社会责任标

准纳入采购和分包合同，倡导分包商使用安全、节能环保设备和材料，尽可能降低施工对人

和环境的影响。

SU6
SU7

通过保持或增加订单等措施，鼓励和支持积极履行社会责任的供应商。通过审核、培训等方式，协助供应商和分包商提升社会责任意识并持续

改进社会责任绩效。

SU8

SU9

鼓励和支持供应商和分包商适用社会责任标准和体系或参加社会责任倡

创新分包合作方式，整合各方优势和资源，实现风险共担和利益共亨。

4.4.3本地化采购

SU10营水平。

SU11

在可能条件下，优先考虑采购项Fl所在地的产品和服务，提升属地化经

帮助项H所在地的供应商和分包商提升技术和管理水平，扶持其发展。

4.5公平竞争

公平竞争是指对外承包工程企业间，包括屮国企业与国外同行间进行的公开、公正、平

等的竞争。企业应尊重竞争对手，依法公平竞争，维护行业发展秩序。

4.5.1

维护行业发展秩序

FC1
FC2

遵守行业自律规则，提高公平竞争意识。

根据法律规定和合同约定，提高企业经营的透明度，营造行业透明经营

的氛围。

FC3

以公平方式开展竞争，建立反对商业贿赂的制度和长效机制，杜绝商业

贿赂及其他不正当竞争行为。

FC4	支持行业鼓励公平竞争的公共的制定和执行。
FC5	帮助对外承包工程行业屮的屮小企业提升社会责任意识和能力。
4.5.2	尊重知识产权
有合法的所有权。 FC6 遵守保护知识产权和传统文化的与惯例，确保使用或支配的资源拥
FC7	对获得或使用的知识产权支付合理的补偿。
4.5.3	自主创新和技术进步
FC8	建立和完善技术创新机制，增加研究开发投入，提高自主创新能力，强

化核心竞争优势。

FC9

加大行业关键技术创新力度，促进对外承色工程行业技术进步，增强行

业整体国际竞争力。

4.6环境保护

环境是人类生存和繁荣的先决条件，是企业社会责任的重要方而。企业应积极避免或减

少施工对环境的负面影响，坚持绿色运营，建造绿色工程，保护工程所在地牛态环境，并采

取有效措施控制温室气体的排放。

4.6.1 环境管理

EN1建立、实施、改进环境管理体系，制定承包工程环境管理制度，聘请专业机构对环

境管理体系进行认证/注册。

EN2施工前实施环境影响评价，从基于风险和可持续发展的角度评估承包工程活动给环境带来的风险和影响，并采取预防性措施控制给环境带来的风险和影响。

EN3实施环境风险管理，设置工程环境管理机构或岗位，确定环境保护H标和方案，定期审查环保绩效。

EN4建立承包工程环保培训机制，通过宣传教育和培训等形式,提升从事承包工程活动员工的环境保护意识和能力。

4.6.2资源节约与综合利用

EN5建立科学合理的资源、能源利用控制体系，将节约资源、能源的理念融入承包工程项Fl设计、施工的全过程，负责任地使用能源、原材料、土地、水等资源，提高资源利用率。 EN6积极开发利用可替代资源，如可再生能源和清洁能源。

EN7提高承包工程废弃物的再利用与资源化水平，发展循环经济。

463降污减排

EN8制定承包工程降污减排的相关制度，提供专项资金，确保污染物、化学品与其他危
险物质的排放数量、处理与销毁的程序与标准达到或超过适用的法律法规耍求。

EN9防治污染的措施应当与承包项PI主体工程同时设计、同时施工、同时投产使用。 EN10在承包工程项H执行屮，采用环保施工工艺和建筑材料，减少施工屮的建筑垃圾。 EN11承包工程发生紧急、重大环境污染事件时，应当启动应急机制，及时报告和处理。 EN12将适应气候变化纳入决策过程，采取措施控制温室气体的排放量，减少承包工程对气候变化的影响。

4.6.4生态保护
EN13保护珍稀动植物物种及其自然栖息地，减少承包工程对生物多样性的影响。 EN14在承包工程项H执行过程屮，注重生态系统（湿地、野生动物走廊、保护区和农业用地）保护，对造成的损害给予及吋修复。

EN15倡导和组织企业员工和项H所在地居民开展保护和恢复生态系统的公益行动。

4.7社区参与和发展

社区是企业重要的外部利益相关方。企业应尊重当地社区传统和文化，尊重，

参与和支持社区建设、改善民生，实现与当地社区的共同发展。

4.7.1 社区参与和沟通

SCI在施工前实地考察工程项H所在社区,评估承包工程活动对社区可能造成的影响，了

解社区需求并确认优先发展事项。

SC2主动与社区沟通工程相关信息，了解并回应利益相关方的意见和建议。

SC3制定社区参与计划，参与社区公共服务和管理。

SC4组织和支持员工发挥工程技术专业优势，参与社区志愿活动。

4.7.2 就业和培训

SC5结合工程项Fl实际，为社区提供尽可能多的就业岗位。

SC6结合社区实际，组织、参与或开发职业技能培训项H，提升社区居民技能水平。

SC7通过与半地机构或组织合作、定制培训等方式，增加社区弱势群体的就业机会。

4.7.3 社区发展

SC8按照当地法律纳税，保障社区发展。

SC9发挥工程技术专业优势，支持社区交通、通讯、饮水、卫生等公共基础设施建设。

SCIO帮助提高社区公共服务、管理水平和卫生医疗水平，改善社区居住环境。sen结合

社区实际，开发特色资源，帮助社区发展特色产业。

4.7.4 文化和教育

SC12尊重和保护社区文化传统和遗产，并在必要时为社区文化活动和项H提供便利。

SC13支持社区教育发展，增加社区儿童和弱势群体受教育机会，减少社区文盲。

SC14帮助社区学校改善教育设施，提高教育质量。

4.7.5 捐赠和救灾

SC15支持社区慈善事业发展，为社区发展和防灾减灾提供扌甘赠。

SC16发挥工程技术和设备优势，参与社区防灾减灾活动。

1.定义和术语
1）利益相关方
任何可能受到组织决策与活动的影响，或可能影响组织决策与活动的各利益个体或群体。

2）责任层次

企业履行社会责任有层次之分，通常可分为必尽责任、应尽责任和愿尽责任。其屮必尽责任指法律法规规定的必须承担的责任；应尽责任指高于法律法规要求、利益相关方有明确期望、有助于增强竞争力的、企业应该承扌口的责任；愿尽责任指法律法规没有明确规定、利益相关方没有明确期望，但有助于社会可持续发展的、企业自愿承担的责任。

3）组织治理
组织为实现特定H标血制订和实施决策的系统。

4）社会责任信息披露
企业就其决策和活动产生的经济、社会和环境影响所进行的系统性信息披露，包括企业履行社会责任的理念、行动、绩效和未来计划等内容。社会责任报告是企业披露社会责任信息的重要载体和工具。

5）属地化经营
企业在境外经营活动屮，遵守东道国法律法规和商业习惯，制定发展战略和规划，合理配置卅地资源，实现与东道国共同发展的行为。属地化经营既是一种管理方式和管理规范思路，也是对外承包工程企业应半履行的重要社会责任。

6）职业健康与安全
影响或可能影响工作场所屮员工、暂时性工作人员、供应商与承包方人员、参观者以及其他人员的健康和安全的条件与因素。

7）童工和未成年工
童工是指未满16周岁，与企业发生劳动关系从事有经济收入的劳动的少年儿童。如果当地法律规定最低工作年龄低于16周岁且符合国际劳工组织相关公约的例外规定，则以较

低年龄为准。未成年工是指任何超过上述最低工作年龄但不满十八周岁的人。

8）强迫劳动
以惩罚相威胁，强迫任何人从事的非木人口愿的一切劳动或服务

9）业主
工程建设项n的投资主体或投资人专门为工程建设项n设立的法人。

10）供应商
直接提供商品及服务的金业及其分支机构、个体工商户，包括制造商、经销商、分包商和其他屮介商等。对外承包工程企业的供应商包括建材供应商、设备提供商、分包商、劳务公司等。

11）商业贿赂

企业为销售或者购买产晶或服务而采用无对价或对价虚假地给付财物或者其他手段贿赂交易对方或者个人的行为。企业的员工采用商业贿赂手段为其销售或者购买产品和服务的行为属于金业的商业贿赂行为。

12）环境评价
对规划和建设项H实施后可能造成的环境影响进行分析、预测和评估，提出预防或
者减轻不良环境影响的对策和措施，进行跟踪监测的方法与制度。

13）生物多样性
指所有来源的活的生物体间的变杲性和多元性，这些来源主要包括陆地、海洋和英他水生生态系统及其所构成的生态综合体。生物多样性包括物种内、物种Z间和生态系统的多样性。

2.参考文件

参照的法律法规、国际公约、标准体系及相关文件:

（1）中华人民共和国相关法律、法规、

1-1	《中华人民共和国》
1-2	《屮华人民共和国公司法》
1-3	《屮华人民共和国合同法》
1-4	《屮华人民共和国对外贸易法》
1-5	《中华人民共和国反不正当竞争法》

1-6
1-

《中华人民共和国反垄断法》
7《屮华人民共和国产品质量法》

8《屮华人民共和国企业所得税法》

1-9《屮华人民共和国科学技术进步法》
1- 10《中华人民共和国商标法》
1- 11《屮华人民共和国专利法》
1- 12《屮华人民共和国消费者权益保》
1-
13《屮华人民共和国标准化法》1-14《屮华人民共和国坏境保》
1-15《屮华人民共和国节约能源法》
1-16《中华人民共和国水污染防治法》
M7《屮华人民共和国大气污染防治法》
1-18《屮华人民共和国固体废物污染环境防治法》
1-19《屮华人民共和国环境噪声污染防治法》
1-20《屮华人民共和国循环经济促进法》
1-21《屮华人民共和国可再生能源法》
1-22《屮华人民共和国清洁生产促进法》
1-23《屮华人民共和国环境影响评价法》
1-24《屮华人民共和国未成年人保》
1-25《屮华人民共和全生产法》
1-26《中华人民共和国工会法》
1-27《屮华人民共和国劳动法》
1-28《屮华人民共和国职业病防治法》

1-30《屮华人民共和国妇女权益保障法》1-29《屮华人民共和国残疾人保障法》

1-31《屮华人民共和国就业促进法》
1-32《屮华人民共和国公益事业捐赠法》
1-33《屮华人民共和国保守国家秘密法》
1-34《屮华人民共和国劳动合同法》
1-35《屮华人民共和国劳动争议调解仲裁法》
1-36《中华人民共和国环境影响评价法》
1-37《屮华人民共和国专利法》
1-38《对外承包工程管理条例》
1-39《对外承包工程资格管理办法》
1-40《建筑工程质量管理条例》
1-41《最低工资规定》
1-42《工伤保险条例》
1-43《再生资源I叫收管理办法》
1-44《节能屮长期专项规划》
1-45《残疾人就业条例》
1-46《集体合同规定》

1-47《禁II：使用童工规定》

1-48《女职工劳动保护规定》
1-49《未成年工特殊保护规定》

1-50《职工带薪年休假条例》
1-51《全国年节及纪念U放假办法》
1-52《关于禁止商业贿赂行为的暂行规定》
1-53国有资产监替管理委员会《关于屮央企业履行社会责任的指导意见》1-财政部等五部委联合发布《企业内部控制配套指引》

(2)中国各类组织社会责任指南和管理体系

2- 1上海证券交易所《上市公司环境信息披嘉指引》
2- 2上海证券交易所《公司履行社会责任的报告》编制指引
2- 3深圳证券交易所《上市公司社会责任指引》
2- 4屮国工业经济联合会《屮国工业企业及工业协会社会责任指南》2- 5《屮国企业社会责任报告编写指南(CASS-企业社会责任1.0)》

2- 6《CSC9000T中国纺织服装企业社会责任管理体系总则及细则(2008年版)》

(3)国际公约

3- 1《世界宣言》
3- 2《公民和政治权利国际公约》
3- 3《经济、社会和文化权利国际公约》
3- 4《消除对妇女一切形式歧视公约》
3- 5《儿童权利公约》
3- 6《残疾利公约》
3-7《联合国气候变化框架公约》及其京都议定书
3-8《生物多样性公约》
3-9《保护工业产权巴黎公约》3-10《世界版权公约》

3-11《联合国反公约》
3-12国际劳工组织相关公约

(4)国际组织制定的相关文件

4- 1联合国《全球契约》

4- 2ISO 260(H)国际社会责任标准(FDIS稿)

4- 3ISO 14001:2004环境管理体系规范及使用指南
4- 4OHSAS 18001:2007职业健康与安全管理体系规范

4- 5ISEAL制定社会环境标准良好实践准则(5.01)

3・社会责任测评
本评估表为企业提供了自我评估社会责任水平和现状的工具，以便企业持续改进社会责任实践，提升社会责任绩效。企业可结合《指引》，根据实际情况选择相应选项，对自身社会责任实践进行检测和评价。

表2中国对外承包工程企业社会责任实践自评表

议题	要求	企业社会责任履行现状
议题	要求	差（1分）	较差（2分）	一般（3分）	较好（4分）	好（5分）	不适用
社会责任管理	MG1
	MG2
	MG3
	MG4
	MG5
	MG6
	MG7
	MG8
	MG9
T稈•质卑与安全	QS1
	QS2			豆网
	QS3			豆网
	QS4
	QS5
	QS6
	QS7
	QS8
	QS9
	QS10
	QS11
员丁•权益与职业发展	HR1
	HR2
	HR3
	HR4
	HR5
	HR6
	HR7
	HR8
	HR9
	HR10
	HR11
	HR12

议题	要求	企业社会责任履行现状
	要求	差（1分）	较差（2分）	—般（3分）	较好（4分）	好（5分）	不适用
	HR13
	HRI4
	HR15
	HR16
	HR17
	HR18
	HR19
	HR20
	HR21
	HR22
	HR23
客户（业主）权益	CL1
	CL2
	CL3
	CL4
	CL5
	CL6
	CL7
	CL8		淘	豆网
	CL9
	CLIO
供应链管理	SU1
	SU2
	SU3
	SU4
	SU5
	SU6
	SU7
	SU8
	SU9
	SU1O
	SU11
公平竞争	FC1
	FC2
	FC3
	FC4
	FC5
	FC6
	FC7

议题	要求	企业社会责任履行现状
	要求	差（1分）	较差（2分）	—般（3分）	较好（4分）	好（5分）	不适用
	FC8
	FC9
环境保护	EN1
	EN2
	EN3
	EN4
	EN5
	EN6
	EN7
	EN8
	EN9
	EN10
	EN11
	EN12
	EN13
	EN14
	EN15
社区参与和发展	SCI
	SC2		淘	豆网
	SC3
	SC4
	SC5
	SC6
	SC7
	SC8
	SC9
	SCIO
	SC11
	SC12
	SC13
	SC14
	SC15
	SC16

评分说明：
1分：基本没有按此项要求去做，或者在运营管理屮尚未考虑到此项要求2分：意识到此项要求的重要性，计划或己经在实践小进行初步尝试3分：能够在企业运营管理屮较多考虑并实施此项要求

4分：企业运营管理基本符合并长期地执行此项要求，并且效果较好

5分：社会责任实践完全符合此项要求，并建立了完善、系统的监督保障机制
不适用：企业因经营领域不同或处于不同发展阶段，认为部分指标不适用于自身评估。

Guideon Social Responsibility
forChinese International Contractors

ChinaInternational Contractors Association 2012. 9

Contents

Foreword...........................................................................................................................................1

1・ScopeofApplication...................................................................................................................3

2.Definition and Basic Principles of Social Responsibility............................................................3 3.Social ResponsibilityManagement.............................................................................................4 3.1 OrganizationalStructure...............................................................................................4 3.2 SystemEstablishment...................................................................................................4 3.3 CapacityBuilding.........................................................................................................5 3.4 ContinuousImprovement.............................................................................................5 3.5 Stakeholders.................................................................................................................5 3.6 SocialResponsibility InformationDisclosure..............................................................6 3.7 SocialResponsibility Crisis Management...................................................................74 Social Responsibility Core Subjects..............................................................................................7

4.1
4.2
4.3
4.4
4.5
4.6
4.7

Project Quality and Safety............................................................................................7 Employee Rights and Career Development .................................................................8

Supply Chain Management ........................................................................................11
Customer (Proprietor) Rights .....................................................................................10

Fair Competition.........................................................................................................12 Environmental Protection...........................................................................................13 Community Involvement and Development ..............................................................15

Annexes..........................................................................................................................................17 1.Definitions and Terms.......................................................................................................17

2・References.........................................................................................................................19

3.Social Responsibility Assessment.....................................................................................21

Foreword

Fulfillingsocial responsibility is an important approach as well as assurancefor enterprises to achieve mutually beneficial development withstakeholders. Integrating social responsibility into corporatestrategy and daily management is beneficial to the sustainableprofitability and long-term development of enterprises, theprotection of legal rights and interests of employees and otherstakeholders, the creation of a sound operating environment, andultimately, to the realization of the mutual, sustainable andharmonious development of enterprises with the society and theenvironment. Building social responsibility of Chinese internationalproject contracting industry is relevant to the transition of theindustry's development model, the implementation of Chilians “mutualbenefits, win-win and opening up" strategy, and the sounddevelopment of the global project contracting market.

Chi nese internati onal contractors attach great i mportance tocorporate social responsibility (CSR), and in recent years havecomprehensively promoted social responsibility-concerned ideas andpractices. This has significantly enhanced the awareness and thecapacity to deliver on social responsibility within the industry.Entrusted by China's
Ministryof Commerce (MOFCOM), based on the practices of its memberenterprises, China International Contractors Association (CHINCA) hasformulated this Guideon
SocialResponsibility for the Chinese International Contracting Industiy(hereinafter "the Guide"),to establish a benchmark of social responsibility for the industryand to encourage enterprises to uphold their global responsibilityand operate overseas contracting projects in a more responsible way.

TheGuidedefines, interalia,the scope of application and the definition and basic principles ofsocial responsibility, and provides specific requirements on socialresponsibility management as well as on core social responsibilitysubjects, including project quality and safety, employee rights andcareer development, customer (proprietor) rights, supply chainmanagement, fair competition, environmental protection, and communityinvolvement and development. The Guidereflects international consensus on social responsibility as embeddedin the United Nations Global Compact and the TSO 26000 Guidance onSocial Responsibility; it also summarizes and incorporates recentindustry best practices and enshrines the common understanding of theChinese international contracting industry towards socialresponsibility.

TheGuideadheres to the working procedures of international norms, emphasizing

proceduralstandardization and transparency as well as the ideas and suggestionsof stakeholders acquired through field study in enterprises, surveyquestionnaires, seminars and online consultation. Representativesfrom industry enterprises supported the drafting of the Guidealong with experts and scholars. The Sino-German Corporate SocialResponsibility Project supported the drafting of the Guide throughconsultancy services by GoldenBee Management Co. Ltd. as well asdomestic and international experts.

Asa guidance document for the industry^ construction of socialresponsibility, the Guide

ismade and promulgated by China International Contractors Association,and is subject to

revisionand amendment duly in accordanee to its implementation by memberenterprises

andthe development of the industry.

■ TheSino-German Corporate Social Responsibility (CSR) Project isimplemented by Deutsche Gesellschaft fur Technische Zusammenarbeit(GTZ) GmbH on behalf of the German Federal Ministry for EconomicCooperation and Development (BMZ). Its cooperation partner is theDepartment of WTO Affairs of the Ministry of Commerce of the P.R.C.(MOFCOM).

1Scope of Application

1.1The Guideapplies to all relevant activities of Chinese enterprises operatingoverseas contracting projects, as well as all relevant activitiesconducted in China that support overseas contracting projects.

1.2The Guideis to be used as a guidance document for Chinese internationalcontractors establishing social responsibility systems, advancingsocial responsibility management, disclosing social responsibilityinformation, and continuously improving social responsibilityperformance.

1.3The Guidedoes not exhaust all possible requirements relating to socialresponsibility, nor does it exclude concurrent or supplementaryapplication with other social responsibility standards, systems, orinitiatives.

2Definition and Basic Principles of Social Responsibility

2.1Social responsibility as outlined in the Guidemeans that Chinese international contractors, in decision-making andactivities, shall consider the expectations of such stakeholders ascustomers (proprietors), employees, suppliers (subcontractors),partners, and local communities, and shall take responsibility fortheir impacts on the economy, society, and the environment in atransparent and ethical way so as to promote the

sustainabledevelopment of both enterprises and society. 22In fulfilling their social responsibility, Chinese internationalcontractors shall act in

accordancewith the following basic principles:
• Observelaws and regulations: protectnational and public interests, observe lawsand regulations of the host country or region and relevantregulations of theChinese government, and follow internationally recognized business practices.

• Respectstakeholders: engagein stakeholder communication and incorporate allreasonable expectations and requirements of stakeholders intocorporate activities.

• Operatetransparently and behave ethically: disclosepublic decisions and activitiesthat significantly impact local society, the economy, and the
environment,and conduct corporate activities according to the requirements of ethicalbehavior.

Sustainmutual development: promotethe economic and social progress and •
environmentalprotection of the host country, and realize mutual development withthe local community.

• Continuouslyimprove performances: fulfillsocial responsibility according to the appropriate development stageand practical situation of the

enterprise,and continuously improve social responsibility performance in linewith different levels of responsibility.

3Social Responsibility Management

Socialresponsibility management is a series of managerial activities thatan enterprise conducts to incorporate social responsibility into itsdecision-making and operations. These include setting uporganizational structures, establishing relevant systems, buildingcapacity, continuously improving overall performance, identifyingstakeholders, disclosing social responsibility information, andmanaging social responsibility crises.

3.1Organizational Structure

MG1Appointor set up decision-making and coordinating bodies for socialresponsibility management according to the governance structure andoperational status of the enterprise. The decision-making body shallformulate social responsibility strategy and supervise itsimplementation, while the coordinating body shall conduct internaland external social responsibility communications, promote theintegration of social responsibility into daily operations in orderto guarantee consistency in
strategy,policy and implementation, and raise awareness of socialresponsibility to improve overall employee capacity. The coordinatingbody
shallalso evaluate social responsibility performance.

3.2System Establishment

MG2Analyzeopportunities and challenges for the sustainable development of theenterprise and integrate a social responsibility dimension into thedevelopment strategy. Senior management shall publish theenterprise's social responsibility policy and make public commitmentsto social responsibility.

MG3Onthe basis of the social responsibility management structure,establish and improve social responsibility management systemsrelating to social responsibility planning, implementation, trackingand checking, and review, and the disclosure of information to ensurethe normalization and standardization of social responsibility.

3.3Capacity Building

MG4Developand implement social responsibility training scheme(不可数)and

conductstaff training according to the social responsibility impacts ofdifferent employees. Deliver specific trainings to staff inmanagement positions, while learning and using national andinternational best practices in social responsibility.

3.4Continuous Improvement

MGSEstablishand improve monitoring and evaluation mechanisms, incorporate the keyindicators of enterprisers social responsibility performance withstaff performance evaluations. Regularly assess the social andenvironmental impacts of the enterprisers operations, and make andimplement corresponding improvement plan.

3.5Stakeholders

MG6Stakeholdersrefer to any interested individuals or groups that may be potentiallyinfluenced by, or influence the decisions and activities of, an enterprise.Major stakeholders of international contracting enterprises includeshareholders, investors, employees, customers (proprietors),
partners (suppliers and subcontractors), governments, industry organizations,and communities (the public and media/NGO). Enterprises
shallestablish stakeholder engagement mechanisms to guarantee the participationof stakeholders and their access to information and supervision.

Table1 Primary Methods of Stakeholder Engagement

Purpose of communication	Major stakeholders	Methods of engagement	Basic requirements
In formation exchange	Employees, shareholders, investors, customers (proprietors), governments, ptirtners, community (media/NGO)	Staff training, correspondence, company pamphlet, company website, company showcase, press release, working report	Select proper information disclosure method and answer stakeholders5 questions in a timely mariner
Needs assessme nt	Customers (proprietors), partners, community (media/NGO), employees	Questionnaires and surveys, expert interviews, workshops, on-site visits	Fully consider suggestions and recomme nd ations from all parties
Two-way communication	Employees, shareholders, investors, governments, community (media/NGO) www.	Multi-stakeholder forum, high level dialogue platforms, collective negotiation, regular aodocs.co	Reach consensus and win-win through mutual trust, fair dialogue, full comm un icatio n m
Collaboration	Customers (proprietors), governments, partners, community (media/NGO), industry organizations	Join industry organizations, cooperation on projects, organizational alliances	Full cooperation, complementary advantages, jointly create comprehensive values

3.6Social Responsibility Information Disclosure

MG7Establishand improve social responsibility information disclosure
mechanismsand provide information on social responsibility performance tostakeholders in a timely manner. Disclosure methods include dailycommunication channels such as the enterprise website and internalpublications, regularly published social responsibility orsustainability reports, and tailored communication activities.

3.7Social Responsibility Crisis Management

MG8Buildup crisis awareness and risk awareness mechanisms, analyze andidentify social responsibility risks and assess how they impactinternational contracting activities and projects, including theoperating environment.

Establishand improve precautionary mechanisms and prevent crises througheffective stakeholder communication.

MG9Establishand improve response plans, effectively control and address socialresponsibility crises and incidents, and prevent the expansion ofadverse impact.

4Social Responsibility Core Subjects

4.1Project Quality and Safety
Projectquality and safety is of fundamental importance to the Chineseoverseas project contracting industry. Enterprises shall strengthentheir quality and safety management systems, assume strict qualitycontrol throughout the development of projects, optimize and innovateprocesses and techniques, and constantly improve project quality andensure project safety.

QS1Undertakeprojects within the scope of qualification levels. 4.1>1Project quality

QS2Establisha project quality management system, carry out quality managementcertification, and undertake projects within the scope of relevantquality certifications.

QS3Establisha project quality management unit or supervising position responsible forthe daily management of project quality.

QS4Establishand improve education and training systems to improve quality awarenessand quality control skills of employees.

QS5Establishand improve material and equipment procurement systems and projectquality inspection systems, conduct checks and inspections onbuilding materials, equipment, engineering techniques and processesaccording to engineering design specifications, technical criteria,and contract agreements.

QS6Undertakequality assurance for different types of projects in accordance withcontracts, select and manage subcontractors in a stringent way, andconduct uniform monitoring and management of subcontractors withrespect to project quality.

QS7Optimizeand innovate techniques and processes to improve project quality and

efficiency・

QS8Carryout contracted projects according to project design and technicalcriteria.

Whenthe engineering quality standard of the proprietor or of the hostcountry is lower than that of the enterprise or Chinese standard, thehigher

standardshall be recommended・

4.1.2 Projectsafety
QS9Establisha project safety management system and a safety management organizationor position responsible for daily management of project safety. QS10Establisha safety education and training system to improve safety awareness andthe overall skills of employees.

QS11Developa safety emergency response plan, properly handle all accidents ininternational contract projects, and deliver timely and factualreports to stakeholders concerned.

4.2Employee Rights and Career Development
Employeesare a core stakeholder of an enterprise as well as its most creativeresource for development. Enterprises should respect human rights andguarantee the legal rights of Chinese and foreign employees, respectand care for their employees, and achieve mutual development withemployees.

421Equal and regular employment
HR1Establishan equal employment system and treat applicants of different ethnicities,genders, races, nationalities, age, religions, disabilities, marital statusand sexual orientation equally. Protect personal information and privacy.

HR2Donot recruit or use child labor, do not use or tolerate forced laborin any form, andobserve local regulations on working time.

HR3Donot charge service or management fees for the purpose of profit ordemand a performancebond or any guarantees prohibited by Chinese laws and regulationsfrom employees dispatched abroacl
HR4Signlabor contracts with employees according to the law or provide otherforms ofdocuments establishing a regular employment relationship.

4.2.2 Remunerationand benefits
HRSRemunerationshall be no lower than the local minimum standard or common industrystandard. Salary shall be paid regularly and in full, and benefitssuch associal insurance payments shall be provided as required by law.

HR6Establishan employee salary growth mechanism・

HR7Provideoverseas accident insurance for overseas employees.

HRSProvideemployees with benefits according to local customs and business practices.

HR9Guideor help overseas employees in remuneration planning.

423 Occupationalhealth and safety
HR10Establishand improve health and safety management systems, operating rules andcontingency plans. Establish an accountability system for workplace safety.

HR11Organizesafety operator training for employees, raise occupational risk

awareness,and enhance employees，safetyknowledge and skills.

HR12Establisha systematic health and safety risk evaluation and detection system,analyze health and safety risks for all overseas contracted projects,and record and investigate health and safety incidents and problemsin the workplace.

HR13Controland eliminate hazards that threaten employees,health and safety, strengthen regular maintenance of projectequipment, provide healthy and safe work and living conditions andsafe facilities to prevent occupational injuries, illness andaccidents. Handle emergency situations to minimize hidden hazards tohealth and safety in the workplace.

healthtrainings, and improve disease prevention measures, especially for
HR14Disseminateinformation on matters related to health, conduct project-related

highlycontagious illnesses, e.g., HIV/AIDS.

424 Employeecareer development
HR15Establishemployee-training mechanisms and provide occupational skills trainingto employees.

HR16Conducttrainings on language, culture, law, and psychological health for employeesbefore overseas dispatch.

HR17Guideemployees in career development, establish and improve staffpromotion schemes.

HR18Payattention to the cultivation of local employees and promote stafflocalization and the mutual respect, understanding and harmonizationbetween employees with different cultural backgrounds.

HR19Supportemployees to participate in training and education programs thatraise work capacity and quality, and provide necessary funds foremployees^ occupational skills training and education.

4.2.5Employee communication and participation
HR20Establishemployer-employee negotiation mechanisms in accordance with local lawsand practices, and support employees' participation in management.

HR21Respectemployees, establish two-way communication channels and mechanismsbetween the enterprise and employees,, and learn and respond toemployees' expectations and claims.

426Employee care
HR22Helpemployees keep work-life balance, and conduct necessary activities to preventadverse mental effects.

HR23Takecare of employees and their families, help those with difficulties,and encourageemployees to help each other.

43Customer (Proprietor) Rights
Customers(proprietors) are essential to the survival and development of anenterprise. Enterprises shall honor contracts, provide customers withhigh quality project service, and ensure customersrights so as tocontinuously raise customer satisfaction and help customers

realizetheir own maximum value・

4.3.1 Informationand communication

(proprietors)can make decisions in a transparent and equitable way.
CL1Providetrue, fair, and complete information on project services so thatcustomers

CL2Establishsmooth communication channels with customers and conduct regular, specific,and open dialogue.

CL3Communicatein a timely manner with proprietors on changes to project planning, processes,and materials.

4.3.2 Customersrights and privacy
CL4Signfair project contracts in accordance with laws and general industrial practices,and develop and deliver projects pursuant to contracts.

CL5Acquirecustomers9information fairly and lawfully, and take necessary measures toprotect customers,privacy and information on project safety.

CL6Conductcustomer satisfaction surveys and work to meet all reasonable

requirementsof customers.

4.3.3 Responsibleproject and service
CL7Providecustomers with projects and services that conform to the laws and regulationsof the host country concerning quality, safety, and environmental

protection,and ensure that projects benefit the local society and theenvironment during the project life cycle.

CL8Encouragecustomers to pursue sustainable projects and/or services through informationdissemination and education.

CL9Providenecessary post-construction maintenance services for projects through propermeans.

CLIOConductrisk and life cycle assessments for new materials, processes, and methodsin order to avoid hidden hazards for projects.

4.4Supply Chain Management
Thesupply chain is the aggregation of all product and service suppliersof an enterprise. These suppliers include manufacturers,distributors, subcontractors, and other intermediary parties. Thesupply chain for overseas project contracting enterprises includesmaterial and equipment suppliers, subcontractors, and serviceproviders. Supply chain management is a pivotal link for the overseasproject contracting industry to minimize its operational risks,enhance its competitive advantages, and ensure its robustdevelopment. Enterprises should strengthen their unified managementof suppliers, ensure rights, and increase social responsibilityawareness and capacity.

441 Protectionof rights and interests
SU1Developmeasures that guarantee the legal rights and interests of suppliersand contractors,publish procurement principles and criteria, and publish policy
andcommitments for suppliers and contractors.

SU2Preventand control commercial bribery and other forms of corruption in the

processof procurement and subcontracting・

SU3Signprocurement and subcontracting contracts, and do not intentionallyget into arrearswith contract payments.

442 Responsibleprocurement and subcontracting
SU4Developa procurement and subcontracting management system for overseas projects,select suppliers and subcontractors with appropriate qualifications, anduniformly manage project quality, workplace safety, environmental protection,and labor practices of subcontractors.

SUSRaiseclear social responsibility requirements to suppliers andsubcontractors and incorporatesocial responsibility standards on ethics and environmental protectioninto procurement and subcontracting contracts; encourage subcontractorsto use energy-saving and environmentally friendly equipment andmaterials to reduce as much as possible any negative impact ofproject

constructionon humans and the environment.

SU6Encourageand support suppliers that fulfill social responsibility by suchmeasures askeeping or increasing orders.

SU7Assistsuppliers and subcontractors in raising social responsibilityawareness and continuously improving their social responsibilityperformances through such

meansas auditing, training, and coaching・

SUSEncourageand support the application of social responsibility standards orsystems, or the participation in social responsibility initiatives bysuppliers and subcontractors.

SU9Utilizecooperative approaches for subcontracting and integrate advantagesand resourcesof various parties for risk and benefit sharing.

4.4.3 Localizedprocurement
SU10Wheneverpossible give priority to the procurement of local products and servicesto advance localized operations.

SU11Facilitatelocal suppliers and subcontractors to improve their technical proficiencyand management levels.

4.5Fair Competition
Faircompetition refers to open, just, and equal competition amongoverseas project

Enterprisesshould respect competitors and compete lawfully and fairly tomaintain order
contractingenterprises, including between Chinese enterprises and foreign peers.

inthe industry.

4.5.1 Safeguardingindustrial order for development
FC1Observeindustry self-discipline rules, and improve awareness of faircompetition. FC2Enhancetransparency of enterprise operations according to all legalrequirements orcontractual agreements, and create a transparent operationalenvironment forthe industry.

FC3Competein a fair manner, and establish anti-corruption systems and long-termanti-coiTuption mechanisms to eradicate business corruption and otherunfair competition practices.

FC4Supportthe formulation and implementation of public policies that promotefair competitionin the industry.

FCSHelpsmall- and medium-sized enterprises in the overseas projectcontracting industryto raise their social responsibility awareness and capacity.

4.5.2 Respectfor intellectual property rights
FC6Observepolicies and practices that protect intellectual property rights and traditionalculture, and ensure legal ownership of resources used or

administered・

FC7Providereasonable compensation for intellectual property rights acquired orused.

4.5.3 Independentinnovation and technological progress
FCSEstablishand improve technological innovation mechanisms, increase input in researchand development, raise independent innovation capacity, and strengthencore competitive advantages.

FC9Strengtheninnovation of key industry technologies, promote technologicalprogress of the contracting project industry, and fortify theinternational competitiveness of the industry as a whole.

4.6Environmental Protection
Theenvironment is central to the survival and prosperity of human beingsas well as a significant aspect of social responsibility. Enterprisesshould actively avoid or reduce a project^ adverse impact on theenvironment, uphold green operations, build green projects, protectthe ecological environment in which a project is located, and takeeffective measures to control greenhouse gas emissions.

EN1Establish,implement, and improve environmental management systems, develop
4.6.1Environmental management

environmentalmanagement schemes for all contracting projects, and invitespecialized institutions to conduct environmental management systemcertification/registration.

EN2Conductenvironmental impact assessments prior to the construction ofprojects, evaluate risks and impacts of project activities on theenvironment with respect to risk management and sustainabledevelopment, and take preventive measures to control such risks andimpacts on the environment.

EN3Carryout environmental risk management, establish a project environmentalmanagement organization or position, identify environmentalprotection goals and schemes, and regularly check environmentalperformances.

EN4Establishenvironmental protection training mechanisms for contracting projectsand raise awareness and capacity of environmental protection amongemployees through information dissemination, education, and training.

4.6.2 Resourcesaving and comprehensive utilization
EN5Establisha scientific resource and energy utilization control system,incorporate resourceand energy saving into the design and implementation of projects,

anduse resources such as energy, raw materials, land, and waterresponsibly

toincrease their utilization efficiency ・

EN6Activelydevelop and use replaceable resources such as renewable energy and cleanenergy.

EN7Improvethe recycling and reclamation level of waste from contractingprojects, anddevelop a circular economy.

4.6.3 Wasteand emission reduction
EN8Developa system to reduce waste and emissions, provide special funds to guaranteethe procedures and standards for discharge amount, processing and thedestruction of pollutants, and ensure all chemicals and otherhazardous materialsreach or surpass applicable legal requirements.

EN9Measuresthat prevent pollution should be designed, implemented, and utilized byprojects.

EN10Useenvironmentally friendly technology and materials to reduce wastesduring theimplementation of projects.

EN11Inthe case that critical and significant environment pollution occurs,initiate contingencymeasures and report and handle in a timely manner.

EN12Integrateadaptation to climate change into decision-making, and take measures tocontrol greenhouse gas emissions, reduce impacts of projects onclimate

change.

4.6.4 Ecologicalprotection
EN13Protectrare and precious fauna and flora species and their natural habitat,and reducea project^ impact on biological diversity.

EN14Duringthe implementation of a project, pay attention to the protection ofecological systems (wetland, wild animal passage, protection zonesand farmland) and restore in a timely manner damages that havealready occurred.

EN15Encourageand organize employees of the enterprise and local inhabitants toconduct charity activities aiming at protecting and restoringecological systems.

4.7Community Involvement and Development
Thecommunity is an important external stakeholder for enterprises.Enterprises should value local traditions and culture, respect humanrights, improve people's livelihoods, and participate in and supportthe construction of local community projects to achieve mutuallybeneficial development.

4.7.1 Communityinvolvement and communication
SCIVisitthe communities where a project is located and evaluate the potentialimpacts ofproject activities on the community, learn the needs of thecommunity, and identifydevelopment priorities.

SC2Activelycommunicate project related information and learn and respond to the opinionsand suggestions of stakeholders.

SC3Developcommunity engagement plans and participate in community and public serviceand management activities.

SC4Organizeand support employees with professional advantages to engage in communityvolunteer activities.

4.7.2 Employmentand training
SC5Offermaximum job opportunities to the community, taking into considerationthe practicalsituation of the project.

SC6Organize,participate in, and/or develop occupational skills training programsto improve the capacities of community inhabitants on the basis ofthe needs of the community.

SC7Increasejob opportunities for vulnerable groups within the community bycollaborating with local institutions or organizations and developingspecial

4.7.3
SC8

training programs.

Community development

Pay tax in accordance with the law to guarantee community

development.

SC9 Utilizeproject skills and support the development of public
infrastructurein the community, including transportation, telecommunication, drinkingwater, and sanitation.

SCIOHelpadvance public services, management, and health care systems of the communityto improve living conditions.

SC1XTakinginto consideration community practicalities, explore local resourcesto helpthe community develop featured industries.

4.7.4 Cultureand education
SC12Respectand protect the cultural traditions and heritage of the community,and providesupport for community cultural activities and projects when necessar y.

SC13Supportthe development of community education, increase education
opportunitiesfor children and vulnerable groups, and reduce illiteracy in the

community.

SC14Helpimprove education facilities in the community and enhance education quality.

4.7.5 Donationand disaster relief
SC15Supportphilanthropy initiatives and offer donations for community developmentand disaster prevention and relief.

SC16Takeadvantage of project technology and facilities to engage in community disasterprevention and relief.

Annexes

1.Definitions and Terms

1)Stakeholders
Astakeholder is an individual or group that can affect or be affectedby the decisions and activities of an organization.

2)Responsibility Levels
Thefulfillment of social responsibility has different levels, namely,compulsory responsibility, obligatory responsibility, and voluntaryresponsibility. Compulsory responsibility is the responsibility thatshall be fulfilled by enteiprises according to laws and regulations;obligatory responsibility refers to responsibility that is above therequirements of laws and regulations, beyond the expectation of thestakeholders, yet beneficial to enhancing the competitiveness ofenterprises, and supposed to be undertaken by enterprises; voluntaryresponsibility is responsibility that enterprises may undertake on avoluntary basis without the requirements of laws and regulations, orexplicit expectations of the stakeholders, but that is beneficial tothe sustainable development of the society and is voluntarilyundertaken by enterprises.

3)Organizational Governance
Governanceis a system through which an organization makes and implementsdecisions to achieve specific objectives.

Thesystematic disclosure of information on the impacts on the economy,society and
4)Social Responsibility Information Disclosure

theenvironment by the decisions and activities of an enterprise,including the perspectives, actions, performances, and future plansin fulfilling social responsibility.

Asocial responsibility report is an important instrument forenterprises to disclose social responsibility information.

5)Localized Operation
Inoverseas operations, enterprises observe laws, regulations andbusiness practices of the host country, develop strategies andplanning, properly allocate local resources and achieve mutualdevelopment with the host country. Localized operation is a businessmanagement approach, as well as an important aspect of socialresponsibility that overseas project contracting enterprises shouldfulfill.

6)Occupational Health and Safety
Conditionsand factors that affect, or could affect, the health and safety ofemployees and/or other workers, including temporary workers andcontractor personnel, visitors, or any other person in the workplace.

7)Child Labor and Juvenile Workers
Childlabor refersto teenagers and children under the age of 16 who enter into workrelations with enterprises and work for economic income.If, however,the minimum

workingage prescribed by local law is lower than 16 years, and if that iscompatible with exceptions as provided by relevant ILO conventions,the lower age shall apply. .

Juvenileworkers referto people over the minimum working age defined above and under theage of 18 years.

8)Forced Labor
Anywork or service which is exacted from a person under the menace ofpenalty and

forwhich the said person has not offered himself voluntarily・

9)Proprietor
Theindependent legal entity specially set up for a particular project bythe investment entity or investors.

10)Supplier
Asupplier refers to enterprises, their branches, and individualbusinesses that directly provide goods and services, includingmanufacturers, distributors, subcontractors and other agencies.Suppliers for overseas project contracting enterprises includebuilding material suppliers, equipment suppliers, subcontractors, andlabor service companies.

11)Commercial Bribery
Commercialbribery refers to the enterprise behavior of giving property toanother entity or individual without equal compensation or with falsecompensation or in other means in order to sell or purchasecommodities or services. Commercial bribery committed by employees ofan enterprise for selling or purchasing commodities or services forthe enterprise shall be regarded as the enterprise's act.

12)Environmental Assessment
Environmentassessment is a method and system for analyzing, forecasting, andassessing the potential impact on the environment after theimplementation of plans and constmction projects; for putting forwardstrategies and measures to prevent or alleviate

adverseimpacts on the environment; and for carrying out follow-up andmonitoring ・

13)Biological Diversity
Biologicaldiversity is the variability among living organisms from all sourcesincluding, interalia,terrestrial, marine and other aquatic ecosystems and ecologicalcomplexes of which they are part. This includes diversity withinspecies, between species and of ecosystems.

2・References

Lawsand regulations^ international conventions, standard systems andrelated documents referenced

(1)Chinese laws? regulations and policies

1-	1 Constitution of the People's Republic of China
1-	2 Company Law of the People's Republic of China
1-	3 Contract Law of the People's Republic of China

1- 4Foreign Trade Law of the People's Republic of China
1- 5Law of the People's Republic of China on Anti-Unfair Competition
1- 6Anti-monopoly Law of the Peoples Republic of China
1-7Law of the People's Republic of China on Product Quality
1-8Law of the People's Republic of China on Enterprise In come Tax
1-9Law of the People's Republic of China on Science and TechnologyProgress
1-iOTrademarkLaw of the People's Republic of China
1-11Patent Law of the People's Republic of China
l-12Lawof the People's Republic of China on the Protection of Con sumers1lights and Interests 1-13 Standardization Law of the People'sRepublic of China
1-14EnvironmentalProtection Law of the People's Republic of China
1-15Law of the People's Republic of China on Energy Conservation
1-16Law of the People's Republic of China on Prevention and Control ofWater Pollution 1-17 Law of the People's Republic of China on thePrevention and Control of Atmospheric Pollution
1-18Law of the People's Republic of China on the Prevention and Controlof Environmental Pollutionby Solid Waste
1-19Law of the People's Republic of China on the Prevention and Controlof Environmental Noise Pollution
1-2()Circular Economy Promotion Law of the People's Republic of China
1-21Law of the People's Republic of China on Regenerable Energies
1-22Cleaner Production Promotion Law of the People's Republic of China
1-23Law of the People's Republic of China on Environmental ImpactAssessment 1-24 Law of the People's Republic of China on theProtection of Minors

1-25Law of the People's Republic of China on Work Safety 1-26 Trade UnionLaw of the People's Republic of China

1-27Labor Law of the People's Republic of China
1-28Law of the People's Republic of China on Prevention and Control ofOccupational Diseases 1-29 Law of the People's Republic of China onthe Protection of Disabled Persons
1-3()Law of the People's Republic of China on the Protection of Rights andInterests of Women 1 -31 Law of the People's Republic of China onPromotion of Employment
1-32Law of the People's Republic of China on Donation for Public WelfareUndertakings 1-33 Law of the People's Republic of China on GuardingState Secrets

1・34Labor Con tract Law of the People's Republic of China

1-35Law of the People's Republic of China on Labor Dispute Mediation andArbitration

1-36Law of the People's Republic of China on Environmental ImpactAssessment 1-37 Patent Law of the People's Republic of China
1-38Administrative Regulation on Contracting Foreign Projects

1・39Compete nee for Contracting Foreign Con structio n Projects

1-40Regulation on the Quality Management of Construction Projects 1-41Regulations on Minimum Wages
1-42Regulation on Work-Related Injury Insurances

1・43Renewable Resource Recovery Management Regulations

1-44Mid- and Long-Term Energy Conservation Plan

1-45Regulation on the Employment of the Disabled
1-46Collective Contract Provisions
1-47Provisions on Prohibition of Child Labor
1-48Regulations on the Labor Protection for Female Workers
1-49Regulations for the Special Protection of Juvenile Employees
1-5()Regulation on Paid Annual Leave for Employees
1-51Regulation on Public Holidays for National Annual Festivals andMemorial Days 1-52 Interim Regulations on Prohibiting CommercialBribery
1-53Guidelines to the State-owned Enterprises Directly under the CentralGovernment on FulfillingCorporate Social Responsibilities, State-owned Assets Supervision and AdministrationCommission of the State Council (SASAC)
1- Internal Control Supporting Guidelines, Ministry of Finance andother four Ministries

(2)Social responsibility guidelines and management systems developed byChinese organizations

2-1 Guidelines for Disclosure of Environmental Information of ListedCompanies, Shanghai StockExchange (SSE)
2- 2Guide on Report of Fulfilling Social Responsibility by Companies,Shanghai Stock Exchange(SSE)
2- 3Social Responsibility Guidelines for Listed Companies, Shenzhen StockExchange (SSE) 2-
4Guida nee on Social Responsibilities of Industries (GSRI-China, 2nded.), China Federation ofIndustrial Economics (CFIE)
2- 5China CSR Reporting Guideline (CASS-CSR 1.0)
2-6 China Social Compliance for Textile and Apparel Industry (CSC9000T,2008), China NationalTextile and Apparel Council (CNTAC)

(3)International conventions

3-1 Universal Declaration of Human Rights (UDHR)
3- 2International Covenant on Civil and Political Rights (ICCPR)

3・3International Covenant on Economic，Socialand Cultural Rights (1CESCR)

3- 4Convention on the Elimination of All Forms of Discrimination againstWomen (CEDAW) 3- 5Convention on the Rights of the Child (CRC)
3- 6Convention on the Rights of Persons with Disabilities (CRPD)
3- 7United Nations Framework Convention on Climate Change (UNFCCC) andits Kyoto Protocol
3-8Convention on Biological Diversity (CBD)

3-9Paris Convention for the Protection of Industrial Property (PCPIP)3-10 Universal Copyright Convention (UCC)
3-11United Nations Convention against Corruption (UNCAC)
3-12 Relevant Conve ntions of the In ternational Labour Organizatio n(ILO)

(4)Relevant documents by international organizations

4.1United Nations Global Compact (UNGC)
4-1 ISO 26000:2010 Guidance on Social Responsibility (ISO 26000)
4- 2Environmental Management Systems 一Requirementswith Guidance for Use (ISO 14001:2004) 4- 3 Occupational Health andSafety Management System Standard (OHSAS 18001:2007)
4-4 Code of Good Practice for Setting Social and Environment Standards(ISEAL 5.01)

3・SocialResponsibility Assessment

Theevaluation form below is a self-assessment tool for enterprises toevaluate their

performancestatus in social responsibility, so as to enhance socialresponsibility practice,

andimprove social responsibility performance continuously. Enterprisescan test and

evaluatetheir social responsibility practices by linking this form to theGuide,andthen

selectingappropriate options according to their actual situations.

Table2: Social Responsibility Self-evaluation Form for ChineseInternational Contractors

Topics

Requirement

Corporate Social Responsibility Performance

Very Poor (1 point)

Poor

(2 points)

Fair
(3 points)

Good
(4 points)

Very Good (5 points)

Not
applicable

Social
responsibility management

MGl

MG2

MG3

MG4

MG5

MG6

MG7

MG8

MG9

Project quality and safety

QS1

QS2

QS3

QS4

QS5

QS6

QS7

QS8

QS9

淘

网

QS10

QS11

Employee
rights and career
development

HR1

HR2

HR3

HR4

HR5

HR6

HR7

HR8

HR9

HR10

HR11

HR12

HR13

Topics	Requirement	Corporate Social Responsibility Performance
	Requirement	Very Poor (1 point)	Poor (2 points)	Fair (3 points)	Good (4 points)	Very Good (5 points)	Not applicable
	HR14
	HR15
	HR16
	HR17
	HR18
	HR19
	HR20
	HR21
	HR22
	HR23
Customer (proprietor) rights	CI J
	CL2
	CL3

	CL5
	CL6		淘豆	网
	CL7	ww.	tao	ocs.	com
	CL8
	CL9
	CLIO
Supply chain management	SU1
	SU2
	SU3
	SU4
	SU5
	SU6
	SU7
	SUS
	SU9
	SU10
	SUH
Fair competition	FC1
	FC2
	FC3
	FC4						载高清

Topics	Requirement	Corporate Social Responsibility Performance
	Requirement	Very Poor (1 point)	Poor (2 points)	Fair (3 points)	Good (4 points)	Very Good (5 points)	Not applicable
	FC5
	FC6
	FC7
	FCS
	FC9
Environmental protection	EN1
	EN2
	EN3
	EN4
	EN5
	EN6
	EN7
	EN8
	EN9
	EN10
	EN11
	EN12
	EN13
	EN14		淘	网
	EN15
Community involvement and development	SCI
	SC2
	SC3
	SC4
	SC5
	SC6
	SC7
	SC8
	SC9
	SCIO
	SC11
	SC12
	SC13
	SC14
	SC15
	SC16

Notes:
1Point: This item is on the whole not followed, or is not consideredin operation and management. 2 Points: The significance of this itemis understood and a preliminary attempt has been planned or

practiced・

3Points: This item is largely considered and implemented in operationand managemen匸4Points: Operations management complies with this item on the wholewith good effect. 5 Points: Social responsibility practice fullycomplies with this item, and complete and systematic

supervisionand safeguarding mechanisms are established・

Notapplicable: The operation fields of some enterprises may be differentor in different development phases, therefore some items may not beapplicable for self-evaluation.