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1、联合利华商业道德准则Unilever Code of Business Principle联合利华(中国)Unilever China,Feb 2007,什么是联合利华商业道德准则What is Unilever CoBP,联合国:宪章 U.N.:charter,国家:宪法 Country:constitution,体育运动:规则 Sports:rule,联合利华:商业道德准则 Unilever:CoBP,消费者 Consumer,政府 Government,媒体Media,法律 Law,施压群体Force of groups,投资者Shareholders,竞争者 Competitor,商业
2、伙伴 Business partners,3,环境中的道德准则(内部和外部)CoBP in environments(internal&external),商业道德准则 CoBP,公司的责任取决于个人的行为。尊重员工的合法利益;遵守法律法规;公开而诚实的商业交易;避免个人利益和公司利益冲突。,信任基础 Foundation of trust,信任基础 Foundation of trust,行为标准Standard of Conduct,遵守法律Obeying the law,商业道德Business Integrity,利益冲突Conflicts of Interests,Companys
3、performance relies on individuals behavior Respecting human rights Obeying the law Openness and honesty in trade Avoid conflict of interest between individual and company,信任基础Foundation of trust,行为标准(准则)Standard of Conduct(Code),联合利华在运作自己的业务时信守的标准是:Unilever conduct all the business with the principl
4、es:诚实 Honesty 正直 Integrity 公开 Openness 尊重 Respect,尊重员工人权和利益,同时也尊重其他与我们有关系的各方的合法利益。Respect employees human rights and other related partners legitimate interests.,我们遵从联合国公约和国际协定；We observe all U.N.sanctions and international law我们尊重人权，恪守行为准则；We respect human rights and enter territories where operati
5、ons conducted in accordance with CoBP我们着眼于长远利益，努力为员工谋取最大利益。Maintaining the highest standards of behaviors,providing best contributions to our employees,行为标准(案例)Standard of Conduct(Case),所有联合利华中国的员工都应该共同分享与遵守这些行为标准All Unilever employees should share and follow the standard of conduct,提供虚假的财务报表 Provid
6、e false financial reports 采取不正当竞争的手段获取利益 Benefit from unfair competition伪造销售数据,包括渠道压货行为 Fabricate sales data,incl.stock load in channel 不尊重员工，辱骂下属等 Disrespect employees,abuse subordinators,行为标准,信任基础Foundation of trust,遵守法律(准则)Obeying the Law(Code),公司必须遵循当地的法律与法规 Unilever should obey the local laws a
7、nd regulations所有联合利华的员工在日常活动中必须遵循相关法律法规 Unilevers employees should obey the local laws and regulations员工在日常工作中对涉及的法律和法规存在任何疑虑与问题,一定要向公司的法务部门寻求咨询与帮助 If in doubt over the correct interpretation,employee should seek professional advice from legal Group before acting.公司法务部有责任提供专业的法务咨询 Legal Group is res
8、ponsible for answering all the questions relevant to laws and regulation,信任基础Foundation of trust,遵守法律(案例)Obeying the Law(Case),从工厂偷盗产品并通过非法渠道进行销售 Steal products from factory and illegally sell them 逃税漏税 Tax evasion产品促销活动或新产品命名、包装侵犯其他公司知识产权 Infringe upon others intellectual property rights when we ca
9、rry out promotion plan,name new products or design new packing style,遵守法律,信任基础Foundation of trust,商业道德,商业道德(准则)Business Integrity(Code)-I,联合利华决不直接或间接收受或给予任何贿赂 Prohibition against directly or indirectly giving or receiving bribes or other improper advantages for business or financial gain.联合利华的员工不准提出
10、，收受或给予任何被认为是贿赂的礼物或款项 Employee should not ask,accept or offer any thing that could be regarded as bribes.如有任何相关事件发生,马上向自己的直属经理汇报 If such kind of thing happens,please report to your line manager at the first time联合利华的会计记录和支持文件必须准确的描述与反映各项交易的性质 Unilever financial records must accurately reflect real na
11、ture of each transactions.,信任基础Foundation of trust,积极配合外部审计的工作 Not take any action to mislead external auditors.遵循当地税务局的规定按时纳税 Pay taxes on time,comply with all statutory obligations本着公开公正的原则制订公司内部转移价格 Set up internal transfer price base on principle of openness and fairness严禁剽窃竞争对手的商业创意 Forbid to c
12、opy the business creativity of our competitors,商业道德(准则)Business Integrity(Code)-II,信任基础Foundation of trust,商业道德,在货品入关的过程中行贿 Bribes CIQ when receiving imported goods.为了得到某项批文,送给相关官员5000员人民币 In order to obtain approval,offer government officials RMB5,000.收取供应商钱款或贵重礼品，在供应商选择过程中采用不公平竞争Receive suppliers
13、money or high-value gifts then help him to win in a unfair competition.与客户相互勾结侵占公司利益 Collude with customer to occupy companys interests.在报销促销费用时使用不合规或虚假的发票 Provide fake invoice when claiming promotion fee,商业道德(案例)Business Integrity(Case),信任基础Foundation of trust,利益冲突,利益冲突(准则)Conflicts of Interest(Cod
14、e),避免参与可能会与自己所在公司的利益存在冲突的活动 Avoid conflict of interest between personal activities and Unilever不可滥用职权谋取私利 Avoid conflict of interest as a result of a position.保守公司商业秘密 Confidential information must not be disclosed for personal gains.不可传播跟产品订价有关的非公开信息 Must not pass out unpublished price-sensitive in
15、formation 尊重保守竞争对手的商业秘密 Protect competitors confidential information对于员工个人信息，联合利华将在法律允许下使用 Use personal data only in conformity with applicable laws and regulations.及时汇报潜在的违规行为 Should report any potential breach of code in time,信任基础Foundation of trust,利益冲突,1.到另一家公司担任董事会成员以前向公司申报，并在得到公司的允许后才就任 Can no
16、t be a board member of another company before getting permission from Unilever 2.拥有一家运输公司为联合利华提供运输服务 Own a transportation company who has business with Uniever 3.选择一家由联合利华员工直接或间接拥有的促销活动代理商 Choose to use one promotion agency,which directly or indirectly owned by a Unilever employee.4.拥有竞争对手的股权或充当竞争对手
17、的员工,顾问或业务伙伴 Own competitors stocks or be competitors employee,consultant or business partner 5.向公司隐瞒伴侣或亲戚在为竞争对手,客户或供应商工作的信息 Employee hide the information that his/her spouse or relatives works for our competitors,customers or suppliers.,利益冲突(案例)Conflicts of Interest(Case),信任基础Foundation of trust,互惠互
18、利的商业关系,环境,环境(准则)Environment(Code),联合利华致力于改善我们的生存环境,并大力推广可持续发展 Unilever is committed to reduce the environmental impact of our activities.确保我们的产品是环保的，安全的 Ensure the safety of our products 时时处处保持环保意识 Exercise this concern for the environment where we operate 致力于研发环保产品，尤其关注研发环保包装材料，环保的处置废物，尽可能减少浪费，节约能源
19、，回收利用仍可使用的材料或产品Develop innovative products which could reduce environment impact 我们每一位员工都须具有强烈的环保意识，在日常工作中尽可能的为改善环境做贡献！All of us as employees should be aware of Unilevers environmental policy,and try our best to improve environment in our work!,互惠互利的商业关系Reciprocal commercial relationship,环境,为控制生产造成的
20、污染而购置新的生产机器 Purchase new production equipment to reduce pollution 合理的处理生产废弃物,防止对环境造成不良影响 Proper deal with wastage material,环境(案例)Environment(Case),互惠互利的商业关系Reciprocal commercial relationship,社区活动,参与社会活动(准则)Community Involvement(Code),积极参与社会活动是联合利华的优良传统 Strong tradition of actively engaging with the
21、societies in which we operate联合利华热衷于公益事业 Active involvement in addressing local social,economic and environmental issues.公司激励员工积极参与社会活动，与此同时，使我们的品牌深入人心 Unilever encourage employees to play their part in society while Unilevers brands can become better known.,互惠互利的商业关系Reciprocal commercial relationsh
22、ip,社区活动,为贫穷地区的孩子捐赠希望小学 Build up Hope School in poor area.协助英商会收集衣物、文具和书本捐赠给贫困地区学生 Help U.K.Chamber of Commerce collect clothes,stationary and books and give them to students in poor village.支柱员工到黄山希望小学支教 Encourage employees to be volunteers to teach in HuangShan hope elementary school.,参与社会活动(案例)Com
23、munity Involvement(Case),互惠互利的商业关系Reciprocal commercial relationship,商业伙伴,商业伙伴(准则)Business Partners(Code),联合利华 Unilever：我们确保各投资方均遵循商业道理准则 We ensure that the business principles are applied fully只有愿意遵循我们商业道德准则的企业才有机会成为我们的投资方 We will not invest in other entities unless the application of our CoBP can
24、be honored by that entity商业伙伴 Other business partners：联合利华希望自己商业伙伴的行为遵守联合利华的商业道德准则 Unilever expects its business partners follow Unilever CoBP 联合利华有权力选择遵守我们商业道德准则的商业伙伴 Unilever will seek partners whose conduct and business principles are in accordance with our own.,互惠互利的商业关系Reciprocal commercial rel
25、ationship,商业伙伴,要求联合利华的第三方保证外包生产产品的配方保密 Request the co-packers of Unilever keep confidential of our formulation 要求联合利华的供应商遵守相关法律法规,不偷税漏税 Request Unilevers supplier comply with related law and regulation,pay tax on time.要求供应商和客户签署联合利华的商业准则 Request Unilevers suppliers and customers to sign the acknowle
26、dgement of Unilevers CoBP,商业伙伴(案例)Business Partners(Case),互惠互利的商业关系Reciprocal commercial relationship,员工,员工(准则)Employee(Code)-I,建立互信和尊重的工作环境 Unilever expects us to work with honesty,integrity and with respect for others.聘用、提拔员工的唯一标准：资格和能力 Hire and promote qualified employees base on competency&capab
27、ility为员工提供安全健康的工作环境 Ensure Health and safety at work 联合利华禁止强制用工,禁止使用童工 Not use any form of forced or compulsory labor注重员工的技能和能力的培养 Care about employees growth and development尊重员工自由和尊严 Respect the freedom and dignity of our employee,互惠互利的商业关系Reciprocal commercial relationship,为员工提供良好的沟通和咨询很重要 Good co
28、mmunications is essential for the commitment of our employees to their work and to Unilever员工对网络和Email的使用须遵守 Internet,Intranet and E-mail Use Instructions工作需要 Business related遵循法律法规 Obey the law and related regulation遵循公司规定，禁止泄露公司机密 Comply with company policy,no release of confidential information不发
29、表有损公司形象的言论 Not distribute any information which is bad for companys reputation.,员工(准则)Employee(Code)-II,互惠互利的商业关系Reciprocal commercial relationship,完全基于资质和能力要求来招募,聘用与提升员工，不直接聘用亲戚家属，除非得到HR VP批准 Recruit new employee based on qualification and capability.Not hire employees relatives except getting HR V
30、Ps approval每年2次直属经理和下属讨论PDP（个人发展计划），提名参加培训课程 Twice a year,discussion between line manager and subordinate about PDP,training and personal develop.“U Touch”期刊,公司内部网和China Broadcast邮件是很好的沟通工具“U Touch”magazine,intranet and China Broadcast Email are very good communication tools.,员工,员工(案例)Employee(Case)
31、,互惠互利的商业关系Reciprocal commercial relationship,有责任感的管理实践,遵守法律,行为标准,商业道德,利益冲突,社会团体,消费者,员 工,商业伙伴,环 境,公共活动,产品开发,竞 争,投资者,有责感的管理实践 Responsible management,股东,投资者(准则)Shareholders(Code),我们承诺将不断提升，致力于公司价值最大化 We are committed to continually develop and maximize companys value.我们鼓励投资者积极参与公司经营战略决策 We encourage al
32、l our shareholders to participate in business decision 我们保证将诚实守信的向所有投资者披露公司的运营情况 We ensure to make timely and accurate disclosure to all shareholders on all material aspects of our business,股东,公布季度、年度财务报告以帮助我们的投资者了解整体业务表现 Make timely and accurate disclosure o all shareholders on quarterly and yearly
33、 basis 萨班斯法案审计，确保提供给投资者的财务报告的真实和正确性 Sarbox compliance assessment can ensure the financial reports to be true and accurate.,投资者(案例)Shareholders(Case),有责感的管理实践 Responsible management,公共活动,公共活动(准则)Public Activities(Code),积极配合政府及其他社会团体的工作 Establish appropriate procedures for responding to governmental i
34、nvestigations and other external requests积极维护自身的合法商业利益 promote legitimate business interests.保持中立，不直接或间接的支持任何政党 Unilever companies are prohibited from supporting political parties,either directly or indirectly.,有责感的管理实践 Responsible management,公共活动,起诉当地公司,在未经联合利华授权的情况下,非法生产与售卖联合利华品牌的产品 Sue any compan
35、y who is producing Unilevers products without our permission.,公共活动(案例)Public Activities(Case),有责感的管理实践 Responsible management,产品开发,产品开发(准则)Innovation(Code),我们致力于将最先进的科学技术运用于我们的产品 Our innovation will involve the application of new scientific knowledge and new technologies.我们确保我们的产品开发对人与环境的安全可靠 We ens
36、ures our innovation is safe to people and environment.我们尽力减少将动物运用于实验测试 We try to minimize the animal testing for our business.,有责感的管理实践 Responsible management,产品开发,不在新配方中运用一些还未被证实是安全的成分 Not use any un-safe ingredients in our products,产品开发(案例)Innovation(Case),有责感的管理实践 Responsible management,竞争,竞争(准则)
37、Competition(Code),联合利华坚信激烈但不失公正的竞争 Unilever believes in vigorous yet fair competition 联合利华严格遵从国际竞争惯例 Unilever strictly complies with competition law and all applicable regulations,有责感的管理实践 Responsible management,竞争,拒绝串通一些非法机构来获取竞争对手的机密市场营销计划 Refuse to collude with any illegal agencies to obtain comp
38、etitors confidential information.,竞争(案例)Competition(Case),有责感的管理实践 Responsible management,互惠互利的商业关系Reciprocal commercial relationship,消费者(准则)Consumer(Code),联合利华致力于：Unilever commitments are to:向客户提供最优质的产品 Provide best quality products不断超越客户的期望 Exceed customers expectation积极探索，推陈出新 Research,develop an
39、d innovate,联合利华努力确保：Unilever ensure to provide:安全可靠的产品 Safe and good product 清晰易懂的宣传手册 Clear and simple handbook 客户的投诉及时公正的处理 Fairly and speedily resolve to consumers complaints,消费者,刻意在电视广告中夸大产品功效 Overstate the function of our products in TV commercial产品含有有害人体健康的成分 Products contain poisonous compone
40、nts提供消费者免费热线 Set consumer complaints hotline(free),消费者(案例)Consumer(Case),互惠互利的商业关系Reciprocal commercial relationship,很明显的客户方同一签字人的字体在两份合同里不一样obvious discrepancies on signatures from the same retailer representative.,违规行为解读(案例-1）Suspected Falsified Behaviour(Case-1),使用无法律效力的章盖在合同上,后证实为虚假合同invalid sta
41、mping from the retailer concerned.Further check with the retailer concerned verified the non-existence of the contracts.,重复使用发票的复印件作为核销的附件Reimbursement claims from distributors with duplicated invoice copies from retailers concerned for supporting were found.,违规行为解读(案例-2）Suspected Falsified Behaviou
42、r(Case-2),用来报销的发票的描述为洗涤用品或办公用品Retail invoices with various items,like stationery and detergent,from retailers concerned were used to claim for reimbursement,which rendered the process out of control.,违规行为解读(案例-3）Suspected Falsified Behaviour(Case-3),事后修改发票的描述内容，添加“陈列费”字样Some items on retail invoices
43、 were falsified afterward,which led to suspects of possible fraud.,违规行为解读(案例-4）Suspected Falsified Behaviour(Case-4),Some retailers do be able to issue formal service invoices for promotion fee though quite a lot of retail invoices from them have been used by distributors concerned to claim for reim
44、bursement with the official reason that“the retailers are not able to issue service invoice”.,一些可以提供服务发票的却提供销售发票,违规行为解读(案例-5）Suspected Falsified Behaviour(Case-5),同一人签收，名字被更改成相似但不相同的人Signatures of representatives from various retailers share identical handwritings,which made the delivery sheets for
45、Unilevers free-goods to retailers concerned suspected of being falsified.,违规行为解读(案例-6）Suspected Falsified Behaviour(Case-6),不能提供标准版本的收货清单，以手写证明或收条代替Some delivery sheets for Unilevers free-goods did not have valid receipt from retailers concerned with the latters official stamping or letter-head.,违规行
46、为解读(案例-7）Suspected Falsified Behaviour(Case-7),相对正规的赠品收条Relative Valid Receipt with Retailer Official Stamping,数量部分用阿拉伯数字而非大写数字，并且明显有被修改的痕迹，另外，没有客户公章Relative Invalid Receipt without Retailer Official Stamping,but the characters indicating quantity suspected of being falsified.,违规行为解读(案例-8）Suspected
47、Falsified Behaviour(Case-8),仅以文件作为支持文件The only supporting document for the reimbursement claims are the distributors internal files.,违规行为解读(案例-9）Suspected Falsified Behaviour(Case-9),付促销款到与直接客户相关的关联企业而非直接客户本身Reimbursement was claimed by one distributor while payment was conducted to another distribu
48、tor without direct links.Meanwhile,it was found the distributor registry files of the reimbursement beneficiary at Unilever was established prior to the companys official incorporation date,which indicated that some internal control key has disabled.,违规行为解读(案例-10）Suspected Falsified Behaviour(Case-1
49、0),从购货作为我们在的赠品促销活动另一方面，帮助了清了库存Unilever purchased products back from distributors for free-goods in some promotion activities,which would cause the distributors purchase from Unilever larger than the effective sales to the retail market and consequently caused over-paid incentive bonus to distributor
50、s for the additional purchase from Unilever itself.,违规行为解读(案例-11）Suspected Falsified Behaviour(Case-11),消费者,实用指导方法-透明度测试Instruction transparent test,无论何时你遇到道德是非问题的时候，都应该问自己两个简单的问题：Any time when you have concern of judgment,you should ask yourself two questions:,如果这件事情公诸于众的话，联合利华的名誉会因此而受损吗？Is it bad
