Social responsibility management systems—Requirements with guidance for use
Some standard content:
ICS03.100.01
National Standard of the People's Republic of China
GB/T39604—2020
Social responsibility management systems-Requirements with guidance for use2020-12-14 Issued
State Administration for Market Regulation
Standardization Administration of the People's Republic of China
Issued
2020-12-14 Implementation
Foreword
Introduction
Scope
Normative references
Terms and definitions
Organizational context
4.1 Understanding the organization and its social responsibility
Understanding the relationship between organizational characteristics and social responsibility4.1.1
4.1.2 Identifying the organization's social responsibility issues
4.1.3 Understanding the existing management system related to the organization's social responsibility4.2 Understanding the needs and expectations of stakeholders4.3
Determining the scope of the social responsibility management system
Social responsibility management system
5 Leadership and stakeholder engagement
Leadership and commitment
Organizational development direction and decision-making system
Social responsibility policy
Organizational roles, responsibilities and authorities
Consultation and participation of stakeholders…
Planning·
Measures to deal with risks and opportunities
6.1.1
6.1.2
General
Identification of adverse impact factors, evaluation of risks and opportunities, legal and regulatory requirements and other requirements Determination of requirements 6.1.3
6.1.4 Planning of measures
6.2 Planning of social responsibility objectives and their realization 6.2.1
6.2.2
Support
Social responsibility objectives
Planning to achieve social responsibility objectives
Resources
Capability
Awareness
Communication
GB/T39604—2020||tt ||GB/T39604—2020
7.4.1
7.4.2
General
Internal communication
7.4.3 External communication
Handling contradictions and disagreements
Documented information
7.6.1
7.6.2
General
Creation and updating
7.6.3 Control of documented information| |tt||8 Operation
8.1 Operation planning and control
8.1.1
8.1.2
8.1.3
8.1.4
General
Eliminate adverse factors and reduce social responsibility risks Change management
Purchase
8.2 Emergency preparedness and response
9 Performance evaluation
9.1 Monitoring, measurement, analysis and Evaluation of performance 9.1.1
General
Compliance evaluation
9.1.2
Internal audit
9.2.1
9.2.2
General
Internal audit programme
9.3 Management review·
Improvement
10.1
General
10.2 Incidents, nonconformities and corrective actions
10.3 Continuous improvement
Appendix A (informative) Guide to the use of this standard References
Index of terms arranged in alphabetical order of English terms Index of terms arranged in alphabetical order of Chinese pinyin Figure 1 Relationship between the social responsibility management system and other management systems of the organization Figure 2 Relationship between PDCA and the framework of this standard 14
Foreword
This standard was drafted in accordance with the rules given in GB/T 1.1-2009. GB/T39604—2020
Please note that some contents of this document may involve patents. The issuing organization of this document does not assume the responsibility for identifying these patents. This standard is proposed and managed by China National Institute of Standardization. Drafting units of this standard: China National Institute of Standardization, Zeyang Tianxia (Beijing) Management Consulting Co., Ltd., Fangyuan Mark Certification Group Co., Ltd., China Quality Certification Center, Beijing Zhongjianxie Certification Center Co., Ltd., Jiangsu Suzhong Construction Group Co., Ltd., Huaxia Certification Center Co., Ltd., Great Wall (Tianjin) Quality Assurance Center, Beijing Zhongda Huayuan Certification Center, Beijing Zhongshe Certification Service Co., Ltd., State Grid Jiangsu Electric Power Co., Ltd., China Railway First Bureau Group Co., Ltd., China 15th Metallurgical Construction Group Co., Ltd., China Enterprise Confederation, Certification and Accreditation Technology Research Center of the State Administration for Market Regulation, China Certification and Accreditation Association, China National Accreditation Service for Conformity Assessment, Beijing Bissett Safety Technology Research Institute, Shenzhen State-owned Assets Supervision and Administration Commission, Anhui Osa Health Testing Technology Co., Ltd. The main drafters of this standard are Chen Yuanqiao, Bangefei, Chen Quan, Wang Yu, Lin Feng, Han Bin, Chen Yongming, Tian Xiaodong, Ma Litian, Zhang Chongwu, Zhang Li, Song Yuewei, Li Chenxuan, Liu Xinfang, Wang Haishan, Lv Yan, Du Juan, Wang Li, Guan Zhusun, Wang Xiaoyu, Cao Huihua, Zhu Zhiming, Wang Zhenqi, Xia Fang, Hu Guofang, Fan Weixun, Wang Zhongjun, Pan Liling, Li Xiaofeng, Xu Wenbin, Xiong Guotao, Yang Ji, Tang Shangxing, Wang Xiaobingm
GB/T39604—2020
0.1 Background
Introduction|| tt||Organizations should be responsible for the impacts of their decisions and activities on society and the environment, including protecting and promoting social and environmental interests in order to contribute to sustainable development
Note: Generally speaking, in the field of social responsibility, in a broad sense, the environment belongs to the public domain and can be regarded as a part of society. The concept of social responsibility includes the responsibility for environmental impacts. Therefore, for the sake of convenience, unless otherwise specified, this standard refers to social and environmental impacts as social impacts (including beneficial and adverse impacts) when explaining social and environmental impacts. The benefits of adopting a social responsibility management system are: enabling organizations to comprehensively, systematically and effectively manage the social impact of their decisions and activities, maximizing beneficial impacts, preventing and minimizing adverse impacts, and continuously improving their social responsibility performance to become more socially responsible organizations; enabling organizations to take social responsibility as a starting point, from the perspective of top-level governance (values, mission, spirit and development strategy, etc.), lead, standardize, coordinate and integrate other relevant management systems within the organization (such as quality management system, environmental management system, occupational health and safety management system, food safety management system, anti-corruption management system, compliance management system, intellectual property management system, information security management system, etc.), and effectively realize the integration of organizational management systems. GB/T36000-2015 "Guidelines for Social Responsibility" is a basic and universal national standard in the field of social responsibility. It gives definitions of social responsibility and related terms, establishes a unified and standardized basic concept system for the field of social responsibility; stipulates the principles, core themes and topics of social responsibility, and guidelines for integrating social responsibility into organizations. These technical contents lay the necessary technical foundation for organizations to establish and implement a social responsibility management system.
This standard is not a modification of GB/T36000 according to the management system standard model. The difference between the two is that: GB/T36000 is a non-management system standard, a "guideline" standard, and cannot be used for certification or related purposes: while this standard is a new social responsibility management system standard based on the high-level structure of the general management system standard of the International Organization for Standardization (ISO). It is a "requirement" standard and can be used for certification or related purposes.
In the field of social responsibility or sustainability management, in addition to standards, there are many technical tools or initiatives dedicated to promoting social responsibility and sustainable development, such as the Sustainable Development Goals (SDGs) proposed by the United Nations in the 2030 Agenda for Sustainable Development. These tools or initiatives can also provide important technical references for organizations to establish and implement a social responsibility management system. 0.2 Integration or integration of organizational management systems based on social responsibility According to the provisions of GB/T36000, the core themes of social responsibility of each organization include organizational governance, human rights, labor practices, environment, consumer issues, fair operating practices, community participation and development. To this end, the legal and regulatory requirements related to organizational social responsibility are mainly covered by the relevant laws and regulations in the above seven aspects; other management systems related to the organizational social responsibility management system mainly include management systems for one or several of the above topics or their issues, such as quality management system, environmental management system, occupational health and safety management system, food safety management system, anti-corruption management system, compliance management system, intellectual property management system, information security management system, etc. With the development of the economy and society, these related management systems will continue to develop and change, and more new management systems may also emerge. The development of management systems and their integration and integration technologies is an important technical basis for the successful establishment and effective implementation of social responsibility management systems. Appendix SL of the ISO Consolidated Supplement to the ISO/IEC Directives Part 1 gives ISO's requirements for management system standards (including a unified high-level structure, the same core text, and common terms with core definitions, etc.), which provides important technical conditions for organizations to successfully integrate or integrate their various management systems. Under the unified and standardized ISO management system standard high-level structure, this standard is based on the idea of ??management system integration and integration, and from the perspective of top-level governance, it regards other relevant management systems as a systematic "process" within the social responsibility management system to address the social impact (including risks and opportunities) of relevant social responsibility topics or their issues, such as : First, through the quality management system, respond to quality risks and opportunities. On the one hand, avoid or reduce the risk of quality failure as much as possible to protect and safeguard the rights and interests of consumers (including customers) in product and service quality; on the other hand, through continuous improvement, promote the continuous improvement of customer satisfaction level, so as to provide consumers and society with more excellent product and service quality to meet their needs; through the environmental management system, respond to environmental risks and opportunities. On the one hand, avoid or reduce the risk of environmental pollution as much as possible, protect the ecological environment and safeguard the interests of the public environment; on the other hand, actively carry out sustainable use of resources, reduce greenhouse gas emissions to mitigate and adapt to climate change, protect biodiversity, protect ecosystems, etc., and promote environmental improvement and good development:||tt ||Through the occupational health and safety management system, we respond to occupational health and safety risks and opportunities, avoid or minimize occupational health and safety risks, so as to protect the occupational health and safety of employees and other stakeholders, safeguard and maintain their health and safety rights and interests, and promote the safety and civilization of social production and services as well as the health, safety and happiness of employees; Through the food safety management system, we respond to food quality and safety risks and opportunities, avoid or minimize food quality and safety risks, so as to safeguard and maintain the rights and interests of consumers in food quality and safety, and promote the health, safety and happiness of consumers; Through the anti-corruption management system, we respond to anti-corruption risks and opportunities, avoid or minimize corruption risks, so as to safeguard and maintain the rights and interests of organizations and stakeholders, maintain a fair and just market economic order, and promote social Fairness, justice and rule of law: Through the compliance management system, we can deal with compliance risks and opportunities, avoid or minimize non-compliance risks, so as to ensure that the organization fulfills its compliance obligations, including compliance with applicable laws and regulations, relevant standards, contracts and effective governance principles or ethical standards; through the intellectual property management system, we can deal with intellectual property risks and opportunities, avoid or minimize intellectual property infringement risks, so as to protect and safeguard the rights and interests of intellectual property owners, promote intellectual property protection and technological innovation and development; through the information security management system, we can deal with information security risks and opportunities, avoid or minimize information security risks, so as to ensure that the organization fulfills its obligations to protect the privacy information of consumers, customers, partners, etc., and promote the information security of public networks (such as preventing the spread of viruses, etc.).
The integration or integration of the organizational management system based on social responsibility does not mean that the social responsibility management system replaces other related management systems of the organization, but means that through the guidance, standardization, coordination and integration of the social responsibility management system, the organization can more effectively use other related management systems, promote the integration or integration of the organizational management system, and at the same time effectively integrate social responsibility into other related management systems of the organization, and jointly promote the improvement of the social responsibility performance of the organization. Figure 1 shows the relationship between the social responsibility management system and other management systems of the organization, which provides a technical framework for the organization to correctly understand and effectively handle the relationship between social responsibility management and other types of management work, and helps the organization to effectively combine social responsibility management practices with other types of management practices to support and promote the improvement of the organization's social responsibility performance. This issue of common concern is the quality model of social responsibility management system (PA). The leadership makes plans and stakeholders participate in the planning. The goal is to meet the requirements of the overall situation, and to make good progress in the process. The plan will be based on the development of the industry, the overall planning of the investment ... Two feet or will be possible or recognized is its request and actual position fee request and single
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0.3 Purpose of the social responsibility management system
GB/T39604—2020
The role of the social responsibility management system is to provide an organization with a framework for managing the social impacts of its decisions and activities. The purpose and expected results of the social responsibility management system are to prevent adverse social impacts and promote beneficial social impacts, and strive to make the organization more responsible to the society. Therefore, it is essential for a responsible organization to take effective prevention and protection measures to eliminate adverse factors and minimize adverse impacts, as well as, when feasible, take effective measures to actively promote beneficial impacts. When an organization applies these measures through its social responsibility management system, it can improve its social responsibility performance. If measures are taken early and proactively to seize opportunities to improve social responsibility performance, the social responsibility management system will be more effective and efficient. The implementation of a social responsibility management system that conforms to this standard can enable an organization to manage its social impacts and improve its social responsibility performance. The social responsibility management system can help organizations meet legal and regulatory requirements and other requirements. 0.4 Success Factors
For an organization, implementing a social responsibility management system is a strategic and operational decision. The success of a social responsibility management system depends on leadership, commitment, and participation at all levels and functions of the organization. The implementation and maintenance of a social responsibility management system, its effectiveness and its ability to achieve the intended results, depends on many key factors. These key factors may include:
a) The leadership, commitment, responsibility and accountability of top management; b)
The top management establishes, guides and promotes a culture within the organization that supports the achievement of the expected results of the social responsibility management system; c)
Communication (internal and external);
Consultation and participation of stakeholders or their representatives (if any); d)
The resource allocation required to maintain the social responsibility management system; f
Social responsibility policy that is consistent with the overall strategic objectives and direction of the organization; effective processes for identifying adverse impacts, controlling adverse impacts and promoting beneficial impacts; g)
Continuous monitoring and evaluation of the performance of the social responsibility management system to improve social responsibility performance; h)
Integrating the social responsibility management system into the organization's business processes (such as other relevant management systems, etc.); i
Social responsibility objectives that are consistent with the social responsibility policy and must consider the organization's adverse impacts, adverse impacts and beneficial impacts; j)
Comply with legal and regulatory requirements and other requirements. k)
Successful implementation of this standard can assure society and stakeholders that the organization has established an effective social responsibility management system. However, the adoption of this standard does not completely guarantee the prevention of adverse impacts, the socially responsible decisions and activities, and the improvement of social responsibility performance. The level of detail, complexity and scope of documented information of the organization's social responsibility management system, as well as the resources required to ensure the success of the organization's social responsibility management system depend on many factors, such as: the environment in which the organization is located (such as the number of employees, size, geographical location, culture, legal and regulatory requirements and other requirements, etc.); the scope of the organization's social responsibility management system; the nature of the organization's activities and related social impacts. 0.5 "Plan-Do-Check-Act" model The approach to the social responsibility management system adopted in this standard is based on the concept of "Plan-Do-Check-Act (PDCA)". The PDCA concept is an iterative process that can be used by organizations to achieve continuous improvement. It can be applied to the management system and each of its individual elements, as follows:
Planning (P: Plan): Identify and evaluate adverse and beneficial effects, as well as other risks and other opportunities, formulate social responsibility objectives GB/T39604—2020
and establish the necessary processes to achieve results consistent with the organization's social responsibility policy. Implementation (D: Do): Implement the planned process. Inspection (CCheck): Monitor and measure activities and processes in accordance with the social responsibility policy and objectives, and report the results. Improvement (A: Act): Take measures to continuously improve social responsibility performance to achieve expected results. This standard incorporates the PDCA concept into a new framework, as shown in Figure 2. Internal and external issues (4.1) Environment in which the organization operates Stakeholders and the public Demand period (4.2) Responsibilities within the management system (4.3.4.4) Planning Improvement (10) Note: The numbers in brackets refer to the corresponding chapters of this standard. Leadership and stakeholders Relationship with stakeholders (5) Effectiveness of the organization Social responsibility Management System Expected results Support (7) Operation (8) Figure 2 Relationship between PDCA and the framework of this standard 0.6 Contents of this standard
This standard complies with ISO requirements for management system standards. These requirements include a unified high-level structure and the same core text and common terms with core definitions, which are intended to facilitate users of this standard to implement multiple ISO management system standards. Although elements of this standard can be compatible or integrated with other management systems, this standard does not contain requirements specifically for other topics (such as quality, occupational health and safety, environment, etc.). This standard contains requirements that organizations can use to implement a social responsibility management system and conduct conformity assessment. Organizations that wish to demonstrate compliance with this standard can do so by: conducting self-assessments and declarations;
seeking confirmation of their conformity from the organization's stakeholders (such as customers); seeking confirmation of their self-declarations by external organizations; seeking certification or registration of their social responsibility management system by external organizations. Chapters 1 to 3 of this standard describe the scope, normative references, and terms and definitions applicable to this standard, and Chapters 4 to 10 contain requirements that can be used to evaluate conformity with this standard. Annex A provides explanatory information for these requirements. The terms and definitions in Chapter 3 are arranged in the order of concepts. This standard provides a term index arranged in alphabetical order and a term index arranged in pinyin order.
This standard uses the following auxiliary verbs:
—"shall" indicates requirement;
"should" indicates suggestion;
"may" indicates permission;
"can" indicates possibility or ability. GB/T39604—2020
The information marked with "Note" is a guide to understanding or clarifying the relevant requirements. The "Notes" in Chapter 3 provide supplementary information for supplementary terminology material, which may include relevant provisions for the use of terms. IX
1 Scope
Social responsibility management system
Requirements and guidance for use
GB/T39604—2020
This standard specifies Defines the requirements for a social responsibility management system and provides guidance for its use so that organizations can better fulfill their social responsibilities by preventing and controlling adverse impacts, promoting beneficial impacts, and actively improving their social responsibility performance, thereby becoming more socially responsible organizations.
This standard applies to any organization that wishes to establish, implement and maintain a social responsibility management system to improve social responsibility management, eliminate adverse impacts and minimize adverse impacts (including system defects, etc.), actively promote beneficial impacts when feasible, and respond to non-compliance with the social responsibility management system related to its decisions and activities. This standard helps organizations achieve the expected results of their social responsibility management system. According to the organization's social responsibility policy, the social responsibility management system of its Expected results include:
a) continuous improvement of social responsibility performance;
b) meeting legal and regulatory requirements and other requirements; c) achieving social responsibility objectives.
This standard applies to organizations of any size, type and activity. It applies to social impacts under the control of the organization, which must take into account factors such as the environment in which the organization operates, the needs and expectations of the organization's stakeholders and the wider society. This standard neither prescribes specific social responsibility performance criteria nor provides design specifications for a social responsibility management system. This standard enables organizations to use their social responsibility management system to integrate the social responsibility management system with other related management systems (such as quality, environment, occupational health and safety, energy, food safety, anti-corruption, compliance, intellectual property, information Safety and other management systems), on the one hand, can make full use of its existing relevant management system, so that relevant social responsibility themes and issues (such as environment, occupational health and safety, anti-corruption, compliance, intellectual property protection, consumer issues, product or service quality, etc.) can be responsibly addressed in other corresponding management systems to promote the realization of the expected results of its social responsibility management system; on the other hand, it can effectively integrate social responsibility into the relevant management system to form a fusion or integration of the organizational management system based on social responsibility. Promote the improvement of organizational management level and social responsibility performance. This standard does not involve issues other than social impact, such as economic impact. This standard can be used in whole or in part to improve social responsibility management in the system. However, only when all the requirements of this standard are included in the organization's social responsibility management system and are fully met, the statement of compliance with this standard can be recognized. 2 Normative references This standard has no normative references.
3 Terms and definitions
The following terms and definitions apply to this document. 3.1
Organization
A person or group of people whose functions are structured by responsibilities, authorities and relationships to achieve objectives (3.16) GB/T39604—2020
Note 1: An organization includes, but is not limited to, a sole proprietor, company, group, firm, enterprise, institution, administrative body, partnership, charity or social organization, or a part or combination of the above, whether or not a legal entity, public or private. Note 2: This term and definition is one of the common terms and core definitions for ISO management system standards given in Annex SL of the ISO Consolidated Supplement to the ISO/IEC Directives, Part 1.
Stakeholder
Interested party
Interested party
An individual or organization that can influence, be affected by, or consider itself affected by a decision or activity (3.1). Note: This term and definition is one of the common terms and core definitions for ISO management system standards given in Annex SL of the ISO Consolidated Supplement to the ISO/IEC Directives, Part 1.
Employeeemployee
An individual who has established an employment relationship with an organization through an employment contract or has a de facto employment relationship. Note: Employees include top management, management personnel and non-management personnel. [GB/T36000-2015. Definition 3.20]
Participation
participation
Participation in the decision-making process
Note: Participation includes attracting the social responsibility committee and representatives of stakeholders (3.2) (if any) to participate. 3.5
Consultation
consultation
Seeking opinions before making decisions.
Note: Consultation includes attracting the social responsibility committee and representatives of stakeholders (3.2) (if any) to join the consultation activities. 3.6
Workplace
workplace
A place where employees are or go to for work purposes under the control of the organization (3.1) Note: In the social responsibility management system (3.11), the organization's responsibility for the workplace depends on the degree of its control over the workplace. 3.7
contractor
contractor
an external organization that provides services to the organization (3.1) in accordance with agreed specifications, terms and conditions. Note 1 to entry: Services may include, for example, construction activities.
requirement
requirement
a need or expectation that is stated, generally implied or obligatory to be met. Note 1 to entry: “Generally implied” means that it is implicit in the organization (3.1) and interested parties (3.2) that such need or expectation is taken into account, by custom or common practice.
Note 2: A specified requirement is an explicit requirement, such as one stated in documented information (3.25). Note 3 to entry: This term and definition is one of the common terms and core definitions for ISO management system standards given in Annex SL of the ISO Supplement to the ISO/IEC Directives, Part 1.
Legal requirements and other requirements Legal requirements and other requirements The legal requirements that an organization (3.1) must comply with, and other requirements (3.8) that an organization must comply with or choose to comply with. Note 1: For the purpose of this International Standard, legal requirements and other requirements are requirements related to the social responsibility management system (3.11).11) Related requirements. 211) Related requirements. 2
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