The Coca-Cola Company
Worldwide Licensing Department
Code of Conduct for Licensees/Suppliers and their Manufacturers of Merchandise bearing any trademarks of TCCC or its subsidiaries (Collectively referred to as
“Merchandise Manufacturers”)
可口可乐公司
全球认证部
直接供应商/特许供应商和他们的产品制造商行为准则
包括生产任何带有TCCC商标的产品及其辅助产品的制造商
(统称产品制造商)
Table of Contents目录
Introduction 简介... 3
TCCC’s Code of Conduct for Merchandise Manufacturers. 4
Compliance with Applicable Laws and Standards. 8
Principle of Citizenship公民准则... 9
Restrictions 限制... 10
ATTACHMENT A—附件A.. 12
Third Party Auditing Procedure 第三方审核程序... 16
Audit Execution 审核的执行... 18
Corrective Action plan 改善计划... 19
Audit Follow-Up跟进审核... 20
Notice of Audit of Facility Producing Licensed Articles bearing trademarks of TCCC (Attachment D) 21
Audit Framework审核的范围... 22
Introduction 简介
The reputation of The Coca-Cola Company (“TCCC”) is built on trust. Those who do business with us around the world know we are committed to managing our business with a consistent set of values that represent the highest standards of quality, integrity, excellence, compliance with law and respect for the unique customs and cultures in communities where we operate. We seek to develop relationships with Licensees/Suppliers and/or their manufacturers of merchandise bearing trademarks of TCCC or its subsidiaries (collectively referred to “Merchandise Manufacturers”) that share similar values and conduct business in an ethical manner.
可口可乐公司(TCCC) 的声誉构建于消费者的信任和认可之上. 我们那些遍布全球的合作伙伴都知晓我公司致力于在发展的同时, 坚守和信奉代表最高水准的价值观, 系列地体现在质量, 诚信, 优秀, 守法, 尊重当地文化及独特的习俗等方面.
我们寻求与那些和我们信奉类似的价值观和文明经商的直接供应商/特许供应商和他们的产品制造商发展业务关系,包括生产任何带有TCCC商标的产品及其辅助产品的制造商(统称产品制造商).
As part of our ongoing effort to develop and strengthen our relationships with Merchandise Manufacturers that use trademarks of TCCC, our Worldwide Licensing Department (“WWL”) is introducing TCCC‘s Code of Conduct for Merchandise Manufacturers (“Code”). The Code is based upon our belief that good corporate citizenship is essential to our long-term business success and must be reflected in our relationships and actions in the marketplace, the workplace, the environment and the community.
作为我们持续地致力于发展和加强我公司与使用TCCC 商标的产品制造商关系的一部分, 我司的全球认证部特向你们介绍可口可乐产品制造商行为准则. 该准则基于这样一种信念:良好的团体成员意识是我们业务长期成功的基石,并且这种信念必定体现于我们在销售市场, 生产场所, 及相关的环境和社会团体活动中的行为和合作关系.
Recognizing there are differences in laws, customs and economic conditions that affect business practices in various parts of the world, we believe that shared values must serve as the foundation for relationships between TCCC and our Merchandise Manufacturers. The Code restates our requirements and emphasizes good workplace policies that comply with applicable environmental and local labor laws.
鉴于我们在全球各地的运作常常受到不同的法律法规,风俗习惯, 以及经济条件等的影响, 我们深信我们共享的价值观念应作为TCCC 与产品制造商合作关系的基石. 行为准则重申并强调了我们的 对“良好的工作环境”的要求及其重要性: 必须遵从相关环境保护法律法规及当地劳动法的良好的工作环境的重要性.
We look forward to working with you to ensure understanding of and compliance with requirements set forth in this program for you and all Merchandise Manufacturers for TCCC.
我们寄期望于同你们及所有的TCCC 产品制造商携手合作来确保对行为准则中的要求的充分理解和遵从.
TCCC’s Code of Conduct for Merchandise Manufacturers
TCCC 产品制造商行为准则
Workplace Practice生产场所活动
At TCCC, we support fair employment practices in our relationship with our employees consistent with a commitment to human rights in our workplace, and we seek to provide a safe environment in which to work. We abide by all applicable labor laws addressing working hours, compensation, employees’ rights to choose whether to be represented by third parties and to bargain collectively, working conditions, and other such workplace practices. We seek to create a workplace where individuals are treated with dignity, fairness and respect. We recognize value, respect and celebrate the cultural differences and diversity of background and thought of our employees.
在TCCC, 我们支持同我们的员工建立一种公平的雇雇佣关系, 使得我们的员工享受到与我们与工作环境相关的人权所作的承诺相一致的人权. 同时, 我们致力于为他们提供一个安全的工作环境. 我们遵从于所有适用的, 且与工作时间, 报酬, 员工是否选择第三方为代表来进行劳资谈判, 工作条件, 以及其它所有与工作环境.相关的方面. 我们也致力于创建一种保护员工尊严, 尊重员工, 公平对待员工的工作环境. 我们认同员工的不同价值观, 尊重并崇尚不同的文化背景的差异性及员工信仰的多样性.
We expect our Merchandise Manufacturers to follow applicable laws, and similar standards and principles in the countries in which they operate. TCCC’s Code defines requirements concerning working conditions that must be met by the Merchandise Manufacturers in the production of merchandise bearing any of our trademarks.
我们期望产品制造商遵守其经营所在的国家的相关法律法规和行业标准及准则. 同时, 所有生产带有TCCC 商标产品的产品制造商必须符合TCCC 行为准则中所定义的与工作条件相关的要求.
Work Environment 工作环境
We expect our Merchandise Manufacturers to judge their employees and contractors based upon their ability to do their jobs and not upon their physical and /or personal characteristics or beliefs, affirming the principle of no unlawful discrimination based on race, color, gender, religion, national origin or sexual orientation.
我们期望产品制造商以工作能力而不是以身体或个人特征, 或信仰作为评判其雇员工作的标准, 进而确立一种无非法歧视的原则. 这种原则应该是反对任何基于种族, 肤色, 性别, 宗教信仰, 国籍, 或性取向等方面的歧视.
Health and Safety 安全卫生
All Merchandise Manufacturers must provide a safe and healthy working environment to minimize the risk of accidents, injury, and exposure to health risks. Merchandise Manufacturers must ensure that workers have access to portable clean drinking water, clean sanitary facilities, adequate lighting and ventilation in the working area and an adequate number of fire extinguishers and fire exists. Merchandise Manufactures must also ensure the same standards apply to worker housing facilities and canteens. The manufacturer shall implement training designed to reduce injuries and promote safe working conditions.
所有的产品制造商应提供一种安全卫生的工作环境以使得意外伤害风险及曝露于
风险中的机会最小.产品制造商应确保在生产区域工人能喝道清洁的饮用水, 有洁净的卫生设施, 足够的照明, 通风条件, 同时应有足够的逃生出口和灭火器. 在饭堂,宿舍区也达到同样的标准. 产品制造商须提供培训以推进生产安全状况并减少工伤事故.
Child Labor 童工
We expect our Merchandise Manufacturers to not employ anyone under the legal working age as defined by local law. The term “child” refers to any person aged 15 years or younger, or if a country’s local law mandates a higher minimum working age than 15 years, a child of that purposes of that country means any person who is younger than the higher legal minimum working age. If the local law mandates a higher working age than 15, then the higher age would apply. Official documentation for every worker’s date of birth must be maintained.
我们要求我司的产品制造商不雇佣任何低于其所在国家规定的最低工作年龄的工人.童工是指任何低于15岁或更低年龄的工人(如果当地国家和地区规定法定的工作年龄低于15岁的话) . 如果当地国家和地区规定法定的工作年龄严于15岁, 我们要求按其中严的标准执行. 必须保存每位工人的与年龄和出生年月相关的官方文件资料.
Forced Labor 强迫劳工
We expect our Merchandise Manufacturers to not use forced or involuntary labor in which a worker does not voluntarily offer himself or herself. This includes all manner of involuntary work such as bonded, prison and indentured.
我们要求产品制造商不使用强迫劳工和非自愿劳工, 包括所有非自愿工作行为如契约工,囚工, 奴役工.
Wages and benefits 工资和福利
We expect our Merchandise Manufacturers to compensate their employees fairly and competitively relative to their industry in full compliance with applicable local and national wage and hour laws and to offer opportunities for employees to develop their skills and capabilities. This includes applicable laws regarding minimum wage, overtime, hourly or by piece rate. The Merchandise Manufacturer shall provide legally mandated benefits as stated in the local or national law.
我们要求产品制造商在行业的竞争中公平支付他们雇员的薪酬, 并必须和当地与工资/工时相关的法律法规完全相符, 从而提供平等的机会以发挥/发展员工的技能. 产品制造商必须提供当地法定要求的各种福利.
Working hours 工作时间
The Merchandise Manufacturers shall not require workers to work more than 48 hours per week and 12 hours overtime or 60 hours per week. The requirement also includes any established working hours regulations set forth by local or national law. In addition, manufacturer must guarantee that workers will receive at least one day off in every seven-day period.
产品制造商不能要求工人正常工作超过48小时/周, 加班超12小时/周或总工时超60小时/周. 同时还包括当地法律法规所设定的工时要求. 另外, 产品制造商必须保证工人每7天至少休息1天.
Collective Bargaining 劳资谈判
In the event employees have lawfully chosen to be represented by third parties, we expect our Merchandise Manufacturers to bargain in good faith and not to retaliate against employees for their lawful participation in labor organization.
在任何事件中雇员都有依照法律选择第三方以替代他们和产品制造商协商谈判的权利. 我们期望产品制造商按承诺协商谈判, 同时保证雇员不会因他们依法参与劳工组织而受到报复.
Environmental practices 环境保护
We expect our Merchandise Manufactures to conduct business in ways that protect and preserve the environment. At a minimum, we expect our suppliers to meet applicable environmental laws, rules and regulations in their operations in the countries in which they do business. Apply to all Merchandise Manufacturers including all subcontractors/sub-manufacturers utilizing our trademarks. TCCC’s Code applies to all subcontractors/ sub-manufacturers at all tiers of the relationship (e.g. sub of sub or sub of sub) utilizing our trademarks. These subcontractors/ sub-manufacturers at all tiers are collectively deemed to be Merchandise Manufacturers.
我们期望产品制造商以环保的方式进行业务经营. 至少我们期望我们的供应商能遵守当地相关的环保法律法规要求. 产品制造商包括使用我们的商标的分包商/分包厂. TCCC的行为准则适用于所有使用我们的商标的处于不同层次关系的分包商/分包厂(如分包的分包间). 所有这些处于不同层次关系的分包商/分包厂统称产品制造商
Monitoring Compliance and Authorization监督与权限
Merchandise Manufacturers shall designate one or more of its management to monitor factory compliance with standards set forth herein. Merchandise Manufactures shall use one of TCCC approved firms that specializes in social compliance. Each Merchandise Manufacturer must conduct such compliance monitoring on an annual basis and must submit such verification of compliance to TCCC. Merchandise Manufacturers will authorize TCCC designated agents to engage in factory audits to confirm compliance. These visits will include unannounced on-site inspections of manufacturing facilities; a review of all employee related books; and private interviews with employees. Any Merchandise Manufacturer who does not comply with TCCC’s Code standards or refuses to allow inspection is subject to immediate termination by TCCC. In order to be authorized to use our trademarks each Merchandise Manufacturer must provide TCCC with a copy of a passing social compliance inspection within one year of the date of initial authorization. This must be provided annually from the date of the passing inspection used for the authorization. TCCC must have the right to verify the copy with the inspecting company.
产品制造商应指定一名或多名管理层成员监督工厂与在这里所设定的标准的符合性. 产品制造商应请用TCCC认可的社会责任方面的机构. 产品制造商应以年审为基础进行社会责任方面的审核并提交确认符合TCCC行为准则的报告. 产品制造商应准许TCCC指派的社会责任方面的机构参与对产品制造商的审核以确认符合性.这种审核性的来访包括对工厂无预先通知的现场检查, 与雇员相关的所有资料的审查及与雇员私密性的面谈. 任何产品制造商如不愿意符合TCCC行为准则或拒绝接受检查将导致与TCCC业务的立即终止. 每个产品制造商都必须在以初次审核日期为准的一年之内提交通过社会责任审核的报告以获得继续使用TCCC商标. TCCC公司有权与审核机构进行核实报告的真实性.
Exception豁免
When purchasing through Li & Fung (Trading) Limited (“Li & Fung”), TCCC’s promotional merchandise, sourcing and service provider, social compliance inspections of Merchandise Manufacturers are conducted by Li & Fung’s internal social compliance inspection team. Pursuant to our agreement with Li & Fung, this team has been approved by WWL to monitor social compliance and engage in factory audits to confirm compliance by each Merchandise Manufacturer that utilizes our trademarks. Li & Fung’s social compliance team provides TCCC with annual ‘passing’ inspection reports for each Merchandise Manufacturer. In addition, WWL closely monitors Li & Fung’s internal social compliance inspection team’s performance.
当采购是通过利丰公司时, TCCC的促销商品,采购和服务提供商及产品制造商的社会责任方面的检查都由利丰公司内部的社会责任检查队伍来执行.依照我们与利丰公司的协议, 这支队伍已被TCCC全球认证部认可对使用TCCC商标的产品制造商的社会责任方面进行监察和检查. 由利丰公司内部的社会责任检查队伍提供 “通过”性 的产品制造商的社会责任审核报告. 另外, TCCC全球认证部则紧密地监督利丰公司内部的社会责任检查队伍的行为操守.
Communications宣传
We expect our Merchandise Manufacturers to communicate these Code principles for Merchandise Manufacturers to their employees. These principles should be provided in the local language and posted in an accessible place. We also expect our Merchandise Manufacturers to develop and implement appropriate business mechanisms to monitor compliance with these principles.
我们期望产品制造商把产品制造商行为准则向其雇员宣传. 产品制造商行为准则应以当地语言进行宣传并张贴在显眼易看到的地方. 我们也期望产品制造商致力于发展并执行恰当的商业运营机制以监督行为的符合性.
Compliance with Applicable Laws and Standards
遵从现行法律法规
At a minimum, Merchandise Manufacturers will be required to meet the following standards with respect to their operations as a whole:
产品制造商至少应整体上遵从以下与其运作相关的法律法规.
· Laws and Regulations 法律法规
Merchandise Manufacturers will comply with all applicable laws, rules, regulations and requirements in the manufacture and distribution of our products and supplies and in providing services to TCCC.
产品制造商在生产及分销我司产品或向我司提供产品和服务时遵从相关的法律法规要求.
· Child Labor 童工
Merchandise Manufacturers will not use child labor as defined by local law.
产品制造商应按当地法律要求不得雇用童工.
· Forced Labor 强迫劳工
Merchandise Manufacturers will not use forced or compulsory labor
产品制造商不得使用 强迫或强制劳工.
· Abuse of Labor 虐待劳工
Merchandise Manufacturers will not physically abuse employees
产品制造商不得对员工进行身体上得虐待.
· Collective Bargaining 劳资谈判
Merchandise Manufacturers will respect employees’ rights to choose whether to be represented by third parties and to bargain collectively in accordance with local law.
产品制造商应尊重雇员有权选择第三方以替代他们依照法律和产品制造商协商谈判的权利.
· Wages and Benefits 工资与福利
Merchandise Manufacturer’s wages and benefits will comply with local law
产品制造商应按当地法律要求支付员工工资, 并提供相关福利.
· Working Hours 工作时间
Merchandise Manufacturer’s working hours and overtime will comply with local law.
产品制造商应按当地法律要求来安排其员工的工作时间和加班时间.
· Health and Safety 卫生安全
Merchandise Manufacturer’s working conditions will comply with local regulations.
产品制造商的工作环境应符合当地法规要求.
· Environment 环境保护
Merchandise Manufacturers will comply with all applicable environment laws.
产品制造商应遵从所有现行的与环境保护有关的法律.
Principle of Citizenship公民准则
Our reputation is built on trust. Through good citizenship we will nurture our relationships and continue to build that trust. That is the essence of TCCC promise - to benefit and refresh everyone who is touched by our business. Wherever TCCC does business, we strive to be trusted partners and good citizens. We are committed in managing our business around the world with a consistent set of values that represent the highest standards of integrity and excellence. We share these values with our Merchandise Manufacturers making their system strong.
我们的的声誉构建于消费者的信任和认可之上. 这是可口可乐公司(TCCC)承诺使我们的生意伙伴受益并发展的关键所在. 无论何时何地, TCCC公司都为被尊为可信任的生意伙伴和公民而努力奋斗. 我们承诺在全球范围内的经营活动都与我们的价值观相符并代表公证和优秀的最高标准. 我们与产品制造商共享这些让他们越来越强大的价值观.
Marketplace市场
We will adhere to the highest ethical standards, knowing that the quality of our products, the integrity of our brands and the dedication of our people build trust and strengthen relationships. We will serve the people who enjoy our brands through innovation, superb customer service, and respect for unique customs and cultures in the communities where we do business.
我们拥护最高的道德标准, 我们深知我们的产品的质量, 我们的品牌的公信力, 我们员工的奉献都有助于建立我们的诚信和加强我们与消费者的关系. 我们将通过不断的创新, 优质的售后服务,对各地独特的文化和风俗习惯的尊重, 为那些喜欢我们的品牌的人提供优质的客户服务
Workplace生产场所
We will treat each other with dignity, fairness and respect. We will foster an inclusive environment that encourages all employees to develop and perform to their fullest potential, consistent with a commitment to human rights in our workplace. TCCC’s workplace will be a place where everyone’s ideas and contributions are valued and where responsibility and accountability are encouraged and rewarded.
我们将公平地与各位相处, 以诚相待, 互相尊重. 我们致力于鼓励我们所有的雇员努力发挥他们的最大潜力来兑现我们对生产场所的人权状况的承诺. TCCC的生产场所将是一个每个人都能实现自己的理想, 奉献也有所价值, 忠于职守受到激励并奖励的地方.
Environment环境
We will conduct our business in ways that protect and preserve the environment. We will integrate principles of environmental stewardship and sustainable development into our business decisions and processes.
我们将以环保的方式进行业务经营. 至少我们期望我们的供应商能遵守当地相关的环保法律法规要求. 我们将把履行环保的职责并将其融入到我们的业务决议和业务经营中.
Community社会团体
We will contribute our time, expertise and resources to help develop sustainable communities in partnership with local leaders. We will seek to improve the quality of life through locally relevant initiatives wherever we do business.
我们将奉献我们的时间, 专业技术, 和各种资源来支助当地居民机构发展适合的社会团体. 我们将致力于通过当地居民的主动性来改善他们的的生活质量.
Responsible corporate citizenship is at the heart of TCCC’s promise. We believe that what is best for our employees, for the community and for the environment is also best for our business.
尽职可信赖的公民职权是TCCC承诺的核心所在. 我们确信那些对我们的雇员最好的, 对社会团体最好的, 对环境最好的事, 也就是对我们的业务最好的事.
Restrictions 限制
Stitched Soccer Balls (Footballs) Restrictions缝制足球限制
All stitched soccer balls featuring TCCC’s trademarks must be sourced solely through Merchandise Manufacturers authorized and managed by WWL, as set forth in the TCCC Executive Office Memorandum dated 30 January, 2003 (see Attachment A).
如附件A所示的2003年1月30日制定的TCCC执行备忘录，所有带有TCCC商标的缝制足球须只能经由全球认证部WWL管理和授权的产品制造商来采购.
WWL is responsible for all stitched soccer ball agreements, warranties, ongoing inspection of manufacturing facilities and stitching centers, and the testing of all stitched soccer balls. WWL will make certain that the authorized Merchandise Manufacturers meet TCCC’s social compliance requirements. Additionally, all stitched soccer ball manufacturing must take place in authorized facilities/stitching centers and all inventory must be tightly controlled from production all the way through shipping. Given the extreme high risk associated with stitched soccer balls, extra controls are required.
所有缝制足球的协议，授权，对工厂, 缝制中心的监控, 以及对所有缝制足球的检测都由全球认证部WWL负责。全球认证部WWL将确保所有授权的产品制造商符合TCCC的社会责任要求。另外，所有缝制足球的制造必须在授权的工厂和缝制中心内，从生产到出货的所有储存都必须进行严格控制。 因缝制足球有特定的极高风险，故要求特别的控制
Geographic Restrictions地理限制
TCCC has compiled a list of countries and geographic regions where unfair working conditions may have been reported or suspected. Please review the Watch Area outlined in Attachment B. In addition, Cambodia is reported to have a very high rate of social compliance issues; therefore, use of Merchandise Manufacturers in Cambodia for the supply of merchandise bearing TCCC’s trademarks outside of Cambodia is not authorized.
TCCC列出了一些被怀疑或报道工作条件有不公平现象的相关国家及地区。请见附件B所示。另外，柬埔寨是一个社会问题高发国家，因此，用柬埔寨的产品制造商生产TCCC的产品以供应柬埔寨以外的地区消费是不允许的。
Countries under U.S. Trade Embargo美国禁运国家
TCCC will not allow production in any country under trade embargo by the U.S. This list includes countries such as Angola, Afghanistan, Burma, Cuba, Iran, Iraq, Libya, North Korea and Syria. This list is not exhaustive and is accurate as of the date of this publication. Countries under current embargo are listed on “Office of Foreign Assets Control” website at “www.treas.gov/offices/eotffc/ofac/sanctions/index.html” under the link entitled “Sanctions Program and Country Summaries”. Please refer to this site and follow the restrictions which apply as a matter of law.
TCCC不允许任何被美国政府列为贸易禁运国家中的生产。这个名单包含安哥拉，阿富汗，巴拿马, 古巴，伊朗，伊拉克，利比亚，朝鲜，叙利亚。以上所提到的国家名单须以最新公布的为准。详情请登陆www.treas.gov/offices/eotffc/ofac/sanctions/index.html查询。
Antiboycott Issues 反抵制联盟问题
The antiboycott laws require U.S. firms to refuse to participate in foreign boycotts that the U.S. does not sanction. They have the effect of preventing U.S. firms from being used to implement foreign policies of other nations which run counter to U.S. policy. The Arab League boycott of Israel is the principal foreign economic boycott with which U.S. companies must be concerned.
反抵制联联盟法要求美国公司不得参与美国政府未批准支持的海外抵制联盟。该法有效的防止美国公司被利用去执行一些与美国政策相反的外国政策。阿拉伯联盟反以色列就是美国公司必须注意的一项海外经济抵制联盟.
The following are some of the types of conduct that we must avoid in order to comply with the U.S. laws: agreement not to do business with Israel or a company blacklisted for doing business with Israel (the simple agreement, even if not carried out is illegal), agreement to discriminate against other persons based on race, religion, sex, national origin or nationality, and implementation of letters of credit or any other form of contract containing prohibited boycott terms or conditions. 以下是一些我们为了符合美国法律而必须避免的一些做法：同意不与以色列做生意或不与因与以色列做生意而被列入黑名单的公司（即使是简单的一个协议，没有执行也是违法的）；同意带有种族，宗教，性别，血统，民族的歧视, 及执行条款，采用任何带有抵制联盟的条款或任何带有抵制联盟条文的信用证或其它合同形式。
Even if we do not agree to participate in any of the above, the fact that someone requests that we do so triggers our obligation under law to report the incident to the US government.
即使我们不同意参与任何以上的一点，将事件报告美国政府也是我们的义务。
Useful Internet sites: 有用的网址如下：
www.treas.gov/ofac OFAC sanctions and specially designated nationals information.
www.bxa.doc.gov US Department of Commerce Bureau of Export Administration.
www.state.gov US Department of State country reports.
www.stat-usa.gov This US DOC site provides a lot of practical import/export info for countries around the world.
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EXECUTIVE OFFICE MEMORANDUM 执行备忘录
TO: OFFICERS AND DEPARTMENT HEADS, THE COCA-COLA COMPANY, HEADS OF OPERATING DIVISIONS AND SUBSIDIARIES
ATLANTA, GEORGIA, January 30, 2003
EOM# 03-06
Effective immediately, all stitched soccer balls featuring our company's trademarks must be sourced solely through suppliers/manufacturers authorized and managed by the Worldwide Licensing Department of The Coca-Cola Company.
In the past, press reports linked the Coca-Cola trademark to stitched soccer balls allegedly produced for various World Cup sponsors under unacceptable working conditions. Even though we believe the balls in question were counterfeit, we recognize the serious nature of these allegations and are taking additional steps to ensure that the Coca-Cola trademark and reputation are protected.
Specifically, Worldwide Licensing is responsible for supplier agreements, warranties, ongoing inspection, and the testing of all stitched soccer balls. It will make certain that our authorized suppliers meet the company's social compliance requirements. In addition, this group will be responsible for leveraging the Coca-Cola system's purchasing power to source policy-compliant soccer balls at competitive prices.
Regarding unacceptable working conditions, it is the policy of The Coca-Cola Company not to use child labor, pay unreasonably low wages and/or maintain unsafe working conditions in connection with any promotional merchandise bearing our trademarks. Given the extreme high risk associated with stitched soccer balls, extra controls are required. The company will continue to assess the risk and control of other items on an ongoing basis and may expand Worldwide Licensing's accountability beyond stitched soccer balls, as necessary.
Accountability for compliance with the company's promotional merchandise policies remains with the Division Presidents. To further understand the company's policies relative to promotional merchandise, please refer to EOM #02-09.
Please share this information with your teams and Bottlers, and direct any questions to Cindy Birdsong, director, Worldwide Licensing.
STEPHEN C. JONES
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Countries and Geographic Regions Included劳工问题国家和地区(附件B)
In The labor Watch Area (Attachment B)
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Third Party Auditing Procedure 第三方审核程序
To verify compliance with TCCC’s Code, we have designated several third party auditing firms that specialize in social compliance monitoring (see Attachment C). Audits are performed by qualified auditors who are knowledgeable about local laws, living standards and cultural differences in each region. The third party audits will be an impartial assessment of the Merchandise Manufacturer’s compliance with our code and local laws.
为验证是否符合TCCC的行为准则，我们指定了几个专业的第三方的审核公司。请见附件C。熟知各个区域的当地法律及当地生活标准和文化背景的有资格的审核员将做这些审核。第三方的审核将是作为产品制造商符合我们行为准则及当地法律的公正评估。
All facilities, with special emphasis on manufacturing facilities, are subject to annual inspection and verifications of compliance with our code. Annul inspections are required because factory conditions change rapidly over time, creating a need for re-certification. All manufacturing facilities are subject to annual Code inspections, including factories that have a satisfactory audit history.
所有的机构，特别是制造工厂，须接受年度审核。因为工厂的情况是随着时间的过去而经常改变的，故年度审核及年度资格的认定是必要的。所有的制造工厂，即使是以往认定为合格工厂，也必须接受年度行为准则检查。
TCCC recognizes global challenges and the differences between each manufacturer and level of their development. The following is a global pre-audit and post audit checklist for Merchandise Manufacturers.
TCCC意识到全球的挑战及不同生产商之间的差异和发展水平的不同。以下是对产品制造商的预审和事后审核的全球性的检查点：
Note: Most auditing firms use the same standards for auditing but this may vary by company and procedural attributes. It is important that TCCC’s requirements are showed with any audit firm used.
备注：大部分的审核公司采用相同的标准来进行审核，但也许也因为审核公司及操作上的不同而有所差异。关键是不同的审核公司都将TCCC的要求反映出来。
1. It is the Merchandise Manufacturer’s responsibility to ensure its management understands the requirements of TCCCs’ Code and verification procedures.
产品制造商有责任让其管理层明白及理解TCCC的行为准则及审核程序
2. The Merchandise Manufacturer must complete a pre-audit questionnaire and submit their response to third party auditing firm and to TCCC.
产品制造商须在审核前完成一份TCCC的审核问卷并将其发给第三方的审核公司及TCCC。
· Merchandise Manufacturers completes and returns the factory profile questionnaire which may include questions regarding labor contracts, wage/overtime policy, collective bargaining agreements, injury log, medical procedures, evacuation procedure, protective equipment polices, etc.
产品制造商完成并发回工厂资料表，该表可能包含一些合同，工资，加班时间及集体谈判权，工伤记录，逃生程序，PPE等信息。
· Provide records of any previous audits of the facility to auditing firm
将产品制造商的一些记录在审核前提供给审核公司
· Provide factory layout and production flow chart
提供工厂平面图及生产流程图
3. Upon completion of audit, Merchandise Manufacturer must send a copy of audit results to TCCC.
一旦完成审核，产品制造商须提供TCCC一份审核结果的拷贝。
Note: Under no circumstances should confidential information, such as factory workers’ names, be reported to the manufacturing facility.
备注：决不可以将审核中工厂工人的名字泄露给工厂
4. Inspector will provide a summary of findings. If violations are found, the inspector will provide a detailed description of all Code violations and proposed timeline for corrective action/completion. The corrective action plan must be agreed upon by the inspector and the facility management prior to closing the audit.
审核员将提供一份发现点摘要。如有违反点，审核员将提供一份详细的违反项说明及改善计划。改善计划须在结束审核前由审核员及工厂管理层之间达成一致.
5. If violations have been cited, TCCC may require additional corrective actions or measures different from the third party auditor’s action plan.
若违反项已经被，则TCCC可要求与第三方审核员不同的整改行动或措施。
6. The Merchandise Manufacturers will incur all costs for Code audits and any follow-up audit thereafter.
产品制造商应承担所有的审核或跟进审核的费用.
7. An audit notification by the third party auditing firm will be made 30 days prior to the audit date(s). A letter outlining permission to enter the manufacturing facility must be prepared by the relevant Merchandise Manufacturer or TCCC prior to audit date (see Attachment D).
Note: The audit is not contingent upon the production of Coca-Cola products at the time of the audit. The audit may take place at any time, but is only valid for one year from the actual date of the audit.
第三方审核公司须在审核前30天发一份审核通知。审核前，须由产品制造商提供一份充许审核的同意书。请见附件D。
备注：审核时，审核不一定在产品制造商生产可口可乐公司的产品时才进行。审核将在任何必要的时候安排，也不一定在一年期满的确切日期安排。
Audit Execution 审核的执行
As stated previously, most auditing firms use the same guidelines for their investigation but may use different approaches in their actual audits. However, the main task involved in each audit will focus on our Code, though not limited to worker’s rights including child labor, forced labor, health/safety and environmental practices. Based on the pre-audit questionnaire, the auditor will define critical data, which is required prior to any actual visit to the facility. Each third party auditing firm will have a regional coordinator that will schedule audits with full acknowledgment of the facility management. If on the day of the audit, the facility is not prepared to conduct the audit, the facility will be responsible for any additional charges incurred for rescheduling. The auditing firm will take into consideration any applicable labor issues of the region, applicable national labor laws, applicable safety legislation and other current voluntary laws and regulations.
如前所述，大多审核公司在调查中使用相同的标准，但在实际审核中也可能侧重点有所不同。但主要的重点还是集中在童工，强迫劳工，健康安全，环保。根据审核前问卷，审核员在审核前将了解审核中的关键信息。每一家第三方审核公司都有一个区域的合作者。若在审核当日，工厂没有准备好审核，则工厂须承担重新排期审核所发生的费用。审核公司应当充分考虑当地可能的劳力，适用的法律条文，安全法规，及其它法律及法规。
The following is a general outline of procedures and events that may take place during an audit:以下是一个审核的大致过程
1. Opening meeting首次介绍会议
· Introduction by the auditor and management interview
· Confirming the scope of the audit
· Obtain agreement from the management on purpose and approach of audit
2. Facility Tour 巡厂
· Visual observation of facility which includes production area, dormitories, canteen area, infirmary, etc.
· Visual observation of facility emergency plan, safety initiatives (ventilation, safety gear, etc.) and environmental practice (chemical storage, purification system, etc.).
· Visual assessment of worker moral, association and injury survey
3. Employee Interview员工访谈
· Interviews are conducted by randomly selecting individual workers from a demographic distribution and job type.
· All interviews will be confidential. The job security of workers will not be compromised.
4. Document review文件记录审查
· Payroll records, overtime calculations and maximum work hour policy
· Accident log, injury log, emergency procedures, protective equipment
· Maintenance log, chemical storage log, environmental compliance, government inspections, etc.
5. Closing meeting末次总结会议
· Provide summary of results
· A detailed description of violations of our code found, if any.
· Discuss corrective action plan, addressing most severe to least problematic violations, in that order.
Corrective Action plan 改善计划
A detailed list of violations of our Code and a timeline for completion of these non-conformities will be summarized in a corrective action plan by the third party auditing firm. The Merchandise Manufacturers should discuss these violations with facility management and develop a timeline for correcting these violations. The timeline for the corrective action plan should be based on the severity of the violation (from deficient priority to critical). The corrective action plan must be communicated to TCCC and Merchandise Manufacturers immediately following the audit. The plan to resolve all matters of non-compliances must be agreed upon by the facility management. A follow up audit will be scheduled no later than 60 days from the original audit date.
准则的违反点及改善的时间都应在改善计划上由第三方审核公司详细地列出。产品制造商应由管理层讨论违反点并给出改善计划及改善时间。改善时间应当因违反点的程度不同而有所不一样。同时，改善计划应当及进告知TCCC及供应商。包含所有改善行动的计划也须经供应商的管理层同意。跟进审核会在上次审核结束的60天内再次进行。
If the violations are classified as deficient priority, the Merchandise Manufacturers may continue to produce products concurrent with the corrective action plan. However, if the violations of our Code are classified as critical priority, then the Merchandise Manufacturers must immediately cease manufacturing products bearing our trademarks.
若违反点被定义成不足的这一级，则产品制造商可以边生产边进行改善。反之，若违反点是属严重一级，则产品制造商须立即停止我们品牌产品的生产。
If the audit does not find any violations, neither a facility action plan nor a follow up audits will be necessary.
若审核没有发现违反点，则产品制造商不需要提供改善计划或不需要跟进审核。
Nonconformities can be characterized as low, moderate and high based on the severity of the violations. The following are a few examples of classification of nonconformities:
违反点可分成低，中，高三种。以下是一些实例：
1. Deficient一般
· Evacuation plan逃生图
· Fire extinguishers 灭火器
· Work environment工作环境
· Health & safety violations健康安全方面的违反点
· Working hours工时
· Environmental 环保
2. Critical严重
· Child Labor童工
· Forced labor强迫劳工
· Verbal & physical abuse 虐待及体罚
· Severe health & safety 健康安全严重问题
Audit Follow-Up跟进审核
A follow-up audit will be performed to determine if improvements made by the facility management have rectified the nonconformity with our Code. The follow-up audit must be scheduled within 30-60 days of the initial audit. However, if the violations of our code are considered as critical priority, then manufacturing must cease and there is no follow-up. In some circumstances, critical priority violations such as “health and safety” may be corrected within 30 days. In this instance, special permission must be obtained from TCCC before executing the follow-up audit.
若产品制造商已针对不符项采取的改善行动，则须在距上次审核的30~60天内安排跟进审核。离然面，若违反点是严重项，则产品制造商会停止生产而不再安排跟进审核。某些情况下，严重项如健康安全方面的可以在30天内改善。此种情况下，特别允许会在跟进审核前从TCCC获得。
If the first follow-up audit reveals that facility has not made sufficient improvement against noted deficiencies, a full report must be provided by the facility management. In this report, the facility management must report why corrective action has not been initiated and a timeline for rectifying these remedies must be agreed upon. At this time a follow-up audit is scheduled based upon the severity of these violations. If the violations are considered critical priority, then the facility termination procedure will be initiated.
若第一次跟进审核发现产品制造商的改善行动并没有完全改进违反项，则产品制造商的管理层须提供一份详细的报告去解释为什么改善行动没有达到预期的效果，并给出一个确切的整改期限。此次跟进审核是基于违反点的严重性来安排的。若违反点被认为是严重级的，则产品制造商终止程序会激活。
A second follow-up audit is scheduled when the first follow-up audit reveals any pending violation of our Code. If violations are found during the second follow-up audit, the Merchandise Manufacturer operating the facility will be terminated under the applicable agreement. Company will also review its options and remedies under all relevant contracts related to this terminated Manufacturing Merchandise.
若第一次跟进审核发现在未改善完的违反点时，则会安排第二次的跟进审核。若第二次仍发现有违反项，则会在可适用的条款下终止此家产品制造商的合作关系。对相关合约下因此而终止产品采购所造成的情况公司也会进行选择和补救措施。
Notice of Audit of Facility Producing Licensed Articles bearing trademarks of TCCC (Attachment D)
审核通知书(附件D)
From:
To:
Address
Dear [factory management]
The Coca-Cola Company conducts Code of Conduct compliance audits of Merchandise Manufacturer’s facilities. The facility noted below, will be audited, by our Company’s authorized agent for such audits, [name of authorized third party auditing firm]:
Facility Name: _________________________
Facility Address: _______________________
This audit and the requisite access to the noted Merchandise Manufacturer’s facility is permitted by the terms of the Agreement between [_________________] and
The Coca-Cola Company dated with effect from [date of contract], as well as the following additional sub agreement(s) if applicable. Access for our agent’s representatives to the Merchandise Manufacturers facility at the scheduled date and time for the audit is critical. Denial of such access would amount to a breach the above referenced agreements (if applicable). Please notify your noted subcontractor(s) in writing of the impending audit, to be conducted by [name of auditing firm] on our behalf within the next 30 days, and promptly provide this office with a copy of that written notice.
Sincerely Yours,
[Client]
Audit Framework审核的范围
I. Child Labor童工
TCCC requires all Merchandise Manufacturers to meet the local child labor regulations and not use child labor. All Merchandise Manufacturers must verify the age of their workers and maintain proof of age through the following means:
TCCC要求所有产品制造商符合当地童工的法规及不使用童工。所有产品制造商须检查工人的年龄及通过以下方式保存员工年龄的证据
Certificate of Education教育（学历）证书
National ID’s身份证
Employee Identification number雇员编号
Date of hire and birth date per official documentation雇用日期及法定文件的出生日期
Do you have a written Child Labor policy or a mission statement that verbalizes the core beliefs and values of your company? If so, please share that in your response.
有童工政策或相关的文件说明贵公司对核心理念及价值吗？
Is the facility in compliance with the child labor laws of its country? Please explain.
该工厂符合当地法律要求的有关童工的条文吗？
Does the facility keep up to date with the latest local and national child labor laws? Please explain.
工厂存有最新的当地的有关童工方面的法律吗？
Is there any evidence of child labor in the facility? Do any workers appear to be younger than the legal age?
有童工吗？有任何工人的年龄要比法定年龄低吗？
What is the age of the youngest worker in the facility? How does the factory confirm the true age of the workers? Please explain.
最年轻的工人是多少岁？工厂如何确认工人的真实年龄？
Does the facility maintain an official record of each worker's date of birth? Please provide documentation.
工厂存有所有工人的官方文件记录吗？
What action would be taken if violations are found?
若有违反点如何改善？
II. Involuntary/Forced Labor强迫劳工
TCCC is against any violation of human rights forced/prison labor and restricted liberties of the workers. Forced/prison labor can be detected through the following visual means:
TCCC反对任何人权/强迫劳工/监狱工及工人自由限制方面的违反项。以下为几种形式：
Possession of worker’s legal papers by the factory工厂扣押工人的法定文件
Restricted freedom of association 限制结社自由
Factories internal policies against forced labor针对强迫劳工的工厂内部政策
Does the facility recruit foreign contract workers? If yes, what are the recruitment polices?
有外籍工人吗？若有，有雇用政策吗？
Do guard posts appear to be for normal security purpose? Are guard towers or guard dogs present?
保安职责是维护日常安全？有保安亭或是狗吗？
Are workers restrained in anyway, i.e. chained to equipment? Do employees appear free to leave when their work period ends?
工人受到任何行动上的限制吗，如被锁住？下班时职员可以自由离去吗？
III. Abuse of Labor 虐待
TCCC expects that there will be no physical or other unlawful abuse or harassment by any Merchandise Manufacturers
任何TCCC的产品制造商都不应有虐待的情况发生
Does the facility have written policies regarding disciplinary actions?
有关于惩戒措施方面的政策吗？
Are employees disciplined for any reasons outside of written policy?
职员因为书面政策以外的其它方面原因而被处罚过吗？
Is there any evidence of physical/verbal abuse or sexual harassment?
有体罚，辱骂或性骚扰吗？
IV. Compensation报酬
TCCC expects that all Merchandise Manufacturers meet at the minimum, the legal or local industry standards in wages, workers compensations, overtime and maximum hours worked. Compensation violations can be detected through the following tools:
产品制造商应支付员工工资应符合当地的最低工资标准及加班工资标准，报酬方面的违反点可以通过以下来发现：
Lowest wage paid vs. minimum wage required by law法定最低工资跟实际支付的最低工资比较
Wage statements recording hours/days worked, piece rate earned per
Day工资记录
Calculating maximum hours worked by the time cards 工时记录
Does the facility provide a clear document to each of its workers setting forth the days worked, overtime, piece rate and overall contractual agreement? Please explain.
有提供清晰的工人工作时间，加班时间，记件记录等文件记录吗？
Does the lowest wage paid to a single worker meet the minimum wage required by law? Record the minimum wage paid.
单个工人的工资符合最低工资标准吗？
What is the maximum number of hours worked by a single worker?
一个工人工作的最多时间是多少？
Do the payroll records indicate that workers are properly paid for overtime? Does the overtime commonly exceed 12 hours per week? Please explain.
工资表上的记录是工人加班的应得工资吗？加班有超12个小时每周吗？
Are the workers provided with at least one day off in seven? Are the workers allowed annual leave and holidays as required by national law? Are workers paid for holidays?
Are there any payroll deductions for housing, meals, etc.? Please explain.
工人每七天至少有一天休息吗？有法律要求的年假及法定假日吗？法定假日有工资吗？工资中有扣款吗？
Do the workers perform any work at home or during breaks, off-hours, etc.? Please explain.
工人在家要做工作吗？工休时间呢？
V. Health & Safety健康安全
Merchandise Manufacturers must provide safe and healthy working conditions. Merchandise Manufacturers must meet the local and applicable health/safety laws. Working condition violations can be detected through the following means:
产品制造商应提供安全健康的工作环境，应符合当地适用的健康安全法律，以下是几种方式：
Sanitary toilet areas洗手间面积及数量
Fire hazards, fire extinguishers, blocked exits, unsafe machinery, poor lighting, protective gear, ventilation, first aid kits, etc. 火险，消防设施，光线不足，通风不良，急救箱等等
Health and safety procedures manual健康安全程序手册
Are your workers provided with safety equipment? Please list the devices. Do you keep a worker injury record?
有提供工人安全装备？有工伤记录？
Do you have a service log for all your machinery and how often the equipment is inspected?
有机器的保养记录？
How and where do you store your chemicals and hazardous materials? Do you keep material safety data sheets on all your raw material/chemicals? Please explain.如何保存化学品及危险品？有MSDS吗？
Do you have adequate ventilation in areas with fumes, heat, and areas that have chemical exposure? Please list the number of ventilators and locations?
有烟，发热及化学品使用的地方有足够的通风系统吗？
Do you have an evacuation mechanism in case of an emergency? How often do you practice this plan with the workers? Are exits clearly marked?
有逃生程序吗？如何让工人知道及明白此程序？
How many fire extinguishers are present in your factory/each production area? How often are the extinguishers serviced?
有多少灭火器？
Do you have a medical clinic on site? If yes, do all workers have free access to the clinic for personal injury or illness?
有医务室吗？若有，所有工人可以自由就诊吗？
Are there a sufficient number of rest rooms for the workers in the facility? Are they segregated by gender? Are they well maintained/clean?
休息室够吗？分男女吗？
Are the rest rooms supplied with adequate cleaning supplies such as hot and cold running water, soap and hand towels?休息室有干净的冷热水，洗手液，毛巾供应吗？
Are sleeping quarters segregated by gender? How many workers sleep in each room?
宿舍分男女吗？每个房住多少人？
VI. Collective Bargaining 集体谈判
We expect Merchandise Manufacturers to bargain in good faith and not to retaliate against employees for their lawful participation in labor organization activities.
产品制造商与员工诚意谈判，不应报复参与法定劳工组织活动的劳工
Do the employees have the legal right to form or belong to a labor organization?
员工有权参与或组织劳工组织吗？
Have you become aware of any allegations that management interfere with their employees’ legal right to choose third party representation or to bargain in good faith?
管理层干涉员工法定的选第三方代表的权力或无诚意谈判？
Does Merchandise Manufacturers have current agreement in place with any labor organization?
VII. Environment 环境保护
We expect Merchandise Manufacturers to conduct business in ways that protect and preserve the environment. At a minimum, we expect Merchandise Managers to meet applicable environmental laws, rules and regulations.
我们期望产品制造商能在生产的同时实现对环境的保护. 至少,制造商们应尊守现有的与环境相关的法律法规及规章.
What measures does the facility take to minimize land, air, noise and water pollution?
工厂都采取了什么措施来最小化工厂生产所造成的土地, 大气, 噪音 和水资源污染.
Has the facility been sited for violation of environmental regulations? If so, can the facility demonstrate that it has become compliant?
工厂是否曾被指控违法相关环境保护法规? 如有, 工厂现在能否证明其已经符合环保法规的要求.
Is there any evidence that the facility is in violation of local requirements?
有任何证据显示工厂有违法当地法规吗?