第二章评注：一般性政策 Commentary on Chapter II: General Policies

Commentary on Chapter II: General Policies

第二章评注：一般性政策

17. The term ‘business relationship’ includes relationships with business partners, sub-contractors, franchisees, investee companies, clients, and joint venture partners, entities in the supply chain which supply products or services that contribute to the enterprise’s own operations, products or services or which receive, license, buy or use products or services from the enterprise, and any other non-State or State entities directly linked to its operations, products or services.

18. The recommendation in paragraph A.11 applies to those matters covered by the Guidelines that are related to adverse impacts associated with an enterprise’s operations, products and services. Throughout the Guidelines, recommendations related to due diligence should be read in line with paragraphs A. 11-13 and related commentary.

19. The nature and extent of due diligence, such as the specific steps to be taken, appropriate to a particular situation will be affected by factors such as the context of an enterprise’s operations, the specific recommendations in the Guidelines, and should be proportionate to the size of the enterprise, its involvement with an adverse impact and the severity of adverse impacts.

20.   The Guidelines recognise that it may not be feasible for most enterprises to assess or to engage with all the individual entities with which they have a business relationship. Where enterprises have large numbers of suppliers and other business relationships, they are encouraged to identify general areas where the risk of adverse impacts is most significant and, based on this risk assessment, prioritise these areas for due diligence in line with the measures outlined in Commentary paragraph 19.

17. “业务关系”一词包括与业务伙伴、分包商、特许经营加盟商、被投资公司、客户、合资伙伴的关系，以及在供应链中提供产品或服务以支持企业自身经营、产品或服务的实体，或者从企业接收、许可、购买或使用产品或服务的实体，还包括与企业经营、产品或服务直接相关的任何其他非国家或国家实体的关系。

18. 第 A.11 款中的建议适用于《准则》所涵盖与企业经营、产品和服务相关的不利影响有关的事项。在整个《准则》中，与尽职调查相关的建议应根据第A.11-13款和相关评注来理解。

19. 尽职调查的性质和范围，例如应采取的具体步骤，将受到企业经营环境、《准则》中的具体建议等因素的影响，应与企业的规模、与不利影响的关联程度和不利影响的严重程度相称。

20.《准则》认识到，对大多数企业而言，评估或接触与之有业务关系的所有实体可能并不可行。在企业拥有大量供应商和其他业务关系的情况下，鼓励企业识别不利影响风险最为显著的一般领域，并在风险评估的基础上，根据评注第19条中概述的措施，对这些领域进行优先尽职调查。

21. Where an enterprise causes or may cause an adverse impact, then it should take the necessary steps to cease or prevent that impact.

22. Where an enterprise contributes or may contribute to an adverse impact, then it should take the necessary steps to cease or prevent its contribution and use its leverage to mitigate any remaining impacts to the greatest extent possible.

23. The Guidelines recognise that responsibility should not be shifted from an entity causing an adverse impact to the enterprise with which it has a business relationship.

24. The Guidelines recognise that there are practical limitations on the degree of leverage enterprises have or may be able to build to effect change in the behaviour of entities with which they have business relationships. These are related to product and/or service characteristics, the number of suppliers and other business relationships, the structure and complexity of the supply chain, or the nature of a business relationship or adverse impact in question.

21. 如果企业造成或可能造成不利影响，则应采取必要措施终止或防范这些影响。

22. 如果企业助长或可能助长不利影响，则应采取必要步骤，终止或防范造成不利影响，并利用其影响力，尽可能地减轻任何剩余影响。

23.《准则》认为，不应将造成不利影响的实体的责任转嫁给与其有业务关系的企业。

24.《准则》认为，企业在改变与其有业务关系的实体的行为方面所拥有或可能建立起来的影响力存在实际限制。这些限制与产品和/或服务的特点、供应商和其他业务关系的数量、供应链的结构和复杂性，或者业务关系的性质或相关的不利影响有关。

25. Appropriate responses with regard to the business relationship may include continuation of the relationship throughout the course of risk mitigation efforts; temporary suspension of the relationship while pursuing ongoing risk mitigation; or, as a last resort, disengagement from a business relationship either after failed attempts at mitigation, or where the enterprise deems mitigation not feasible, or because of the severity of the adverse impact.

26. Enterprises may also engage with suppliers and other entities with which they have business relationships to improve their performance, in co-operation with other stakeholders, including through personnel training and other forms of capacity building, and support the integration of principles of responsible business conduct compatible with the Guidelines into their business practices.

27. Enterprises are also encouraged to participate in private or multi-stakeholder initiatives and social dialogue on responsible business conduct, such as those undertaken pursuant to the Decision of the Council on the OECD Guidelines for Multinational Enterprises on Responsible Business Conduct, including the Procedures attached to it.

28. Meaningful stakeholder engagement is a key component of the due diligence process. In some cases, stakeholder engagement may also be a right in and of itself. Stakeholder engagement involves interactive processes of engagement with relevant stakeholders,  through, for example, meetings, hearings or consultation proceedings.

29. Finally, it is important to note that self-regulation and other initiatives in a similar vein, including the Guidelines, should not unlawfully restrict competition, nor should they be considered a substitute for effective law and regulation by governments. It is understood that multinational enterprises should avoid potential trade or investment distorting effects of codes and self-regulatory practices when they are being developed.

25.       对业务关系的适当应对措施可包括：在减轻风险的过程中继续保持关系；在减轻风险的同时暂时中止关系；或者，作为最后的手段，在减轻风险的努力失败后，或在企业认为减轻风险不可行的情况下，或由于不利影响的严重性，终止业务关系。

26.企业还可以与其他利益相关者合作，通过人员培训和其他形式的能力建设等方式，与供应商和与其有业务关系的其他实体合作，提高绩效，并支持将符合《准则》的负责任商业行为原则纳入其业务实践。

27.鼓励企业参与有关负责任商业行为的私营领域或多方利益相关方倡议和社会对话，例如根据理事会关于《经合组织跨国企业负责任商业行为准则》的决定（包括其所附程序）所开展的活动。

28.有意义的利益相关方参与是尽职调查过程的关键组成部分。在某些情况下，利益相关方的参与本身也是一种权利。利益相关方的参与是指通过会议、听证会或意见征询会等方式，与有关的利益相关方进行互动的过程。

29. 最后，值得注意的是，自律倡议和其他类似举措，包括《准则》，不应非法限制竞争，也不应被视为政府有效法律和监管的替代品。跨国企业在制定相关准则和自律实践制度时，应避免产生扭曲贸易或投资的潜在影响。

²                      The above information is for reference only.

²                      以上信息仅供参考