GOTS认证咨询-认证申请组织应将其尽职调查流程加入其政策和管理体系中

GOTS Section 4.1.1 (i)
GOTS第4.1.1节（i）款
“The Certified Entity shall embed its due diligence process into its policies and management systems.”
“被认证实体应将其尽职调查流程加入其政策和管理体系中。”
GUIDANCE
指南
• Certified Entity’s Policy on Responsible Business Conduct (RBC) shall:
• 被认证实体的《负责任商业行为政策》（RBC）应：
a. Be based on the OECD Guidelines for Multinational Enterprises and relevant international human rights standards, listed under GOTS Section 4.4.1. 
a. 基于《经合组织（OECD）跨国企业准则》以及相关国际人权标准，如GOTS第4.4.1节所列。
b. Include commitments regarding Certified Entity’s own activities and articulate Certified Entity’s expectations of its business partners – including suppliers, licensees and intermediaries – across the full length of its supply chain.
b. 包括关于被认证实体自身活动，且明确被认证实体对其整个供应链上的供应商、被许可人和中介机构等商业合作伙伴的期望的承诺。
c. Include a commitment to incorporate due diligence into the decision-making process at an organizational level.
c. 包括从组织层面将尽职调查纳入决策过程的承诺。
d. Cover GOTS Chemical Input Criteria, GOTS Environmental Criteria, GOTS Human Rights and Social Criteria, and GOTS Governance Criteria and issues identified as sector risks in the OECD Due Diligence Guidance for Responsible Supply Chains in the Garment and Footwear Sector.
d. 涵盖GOTS《化学品投入物准则》、GOTS环境准则、GOTS人权与社会责任准则、GOTS治理准则以及《经合组织（OECD）服装和鞋类行业负责任供应链尽职调查指南》中明确属于行业风险的问题。
e. Include commitments to conduct due diligence on the Certified Entity’s most significant risks in its own operations and in its supply chain.
e. 包括对被认证实体自身经营及其供应链中存在的最重大风险开展尽职调查的承诺。
f. Include a commitment to responsible sourcing practices, meaning that the Certified Entity commits to preventing its contribution to harmful impacts through its sourcing practices.
f. 包括负责任采购惯例的承诺，即被认证实体承诺通过其采购惯例预防造成有害影响。
g. Stipulate the Certified Entity’s expectations regarding the use of subcontractors by direct suppliers, when relevant, including a definition of “subcontract” and distinctions in subcontracted work if they exist.
g. 规定被认证实体对于直接供应商使用分包商的期望（如相关），包括“分包”的定义以及分包工作的区分（如有）。
h. Put forth the Certified Entity’s expectations regarding the outsourcing to homeworkers and the use of handwork, where relevant to the Certified Entity’s business models.
h. 提出被认证实体对于外包给居家工人和使用手工艺的期望（若牵涉被认证实体的商业模式）。
i. Include a commitment to meaningful engagement with affected stakeholders through the course of due diligence.
i. 包括关于通过尽职调查过程与受影响的利益相关者进行有意义的往来的承诺。
j. Include a commitment to hear and address all complaints against the Certified Entity regarding its own operations regardless of how they are raised.
j. 包括关于听取和解决被认证实体收到的关于其自身经营的所有投诉（与如何提出投诉无关）的承诺。
k. Include a commitment to hear and address measured and substantiated complaints that the Certified Entity has caused or contributed to harm in its supply chain raised through legitimate processes.
k. 包括关于听取和解决通过合法流程提出的，且已对被认证实体供应链造成损害的已经评估并证实的投诉的承诺。
l. Should be approved at the most senior level of the Certified Entity. 
l. 应该在被认证实体的最高层面获得批准。
NATURE OF THE POLICY
政策的性质
• The Certified Entity’s RBC policy may consist of one single policy or several stand-alone policies or be integrated into wider governance documents such as the code of conduct or principles of business ethics. 
• 被认证实体的RBC政策可为单项政策或包含多项独立政策，或纳入行为准则或商业道德原则等更广管辖文件。
• The Certified Entity’s RBC policy may also build on existing policies and commitments.
• 被认证实体的RBC政策也可以现有政策和承诺为基础。
ADOPTING AND UPDATING THE POLICY
采纳和更新政策
• The Certified Entity’s RBC policy should be developed with and informed by relevant internal and external expertise and approved at the most senior level of the company. 
• 被认证实体应该结合和贯穿相关内外部专家意见制定RBC政策，政策宜在公司的最高层面获得批准。
• The Certified Entity’s RBC policy should not be a static document. It should be updated through an iterative process that builds on increasing knowledge about risks of harm in the enterprise’s supply chain and on input from internal and external stakeholders.
• 被认证实体的RBC政策不宜为静态文档。应该基于对企业供应链中危害风险不断提高的认识以及内外部利益相关者的输入，通过反复完善的过程更新政策。
COMMUNICATING THE POLICY
传达政策
• RBC policy should be made publicly available and communicated to all employees, suppliers, business partners, and other relevant parties. 
• 宜向所有员工、供应商、商业合作伙伴和其它相关方公开和传达RBC政策。