Guidance Package on Communication on Process 

年度进展报告概述

Introduction 导言

One of the explicit commitments that a company makes when it participates in the Global Compact is to produce an annual COP. A COP is a communication to stakeholders (consumers, employees, organized labour, shareholders, media, government…) on the progress the company has made in implementing the ten principles in their business activities and, where appropriate, supporting UN goals through partnerships. 

就像加入全球契约时承诺的那样，每个企业都有向全球契约提交年度进展报告的义务。年度进展报告是企业同利益相关者（消费者、企业雇员、股东、媒体和政府等）就其经营过程中如何支持联合国目标、如何实施全球契约的 10 项原则的一种沟通渠道。

The COP policy is part of the Global Compact Integrity Measures. As such the purpose of the COP requirement is to ensure and deepen the commitment of Global Compact participants, safeguard the integrity of the initiative and to create a rich repository of corporate practices that serves as a basis for continual performance improvement. For companies, the COP is a tool to exercise leadership, facilitate learning, stimulate dialogue, and promote action. 

年度进展报告是确保企业遵守全球契约守则的措施之一。年度进展报告的出台主要以加强全球契约与参与者之间的沟通、维护企业对全球契约的忠诚度、创造一个企业社会实践经验宝库以及保证企业的持续发展为目的的。对于企业来讲，年度进展报告是一个展现企业领导力，促进企业学习，加强企业对话和促进企业进步的工具。

How to create, share and submit a COP? 

如何创建“年度进展报告”？

Step One: Creating a COP 

While there is no single structure for the creation of a COP, a COP must include: 

• A statement of continued support for the Global Compact in the opening letter, statement or message from the Chief Executive Officer, Chairman or other senior executive. 

• A description of practical actions that participants have taken to implement the Global Compact principles during the previous fiscal year. 

• A Measurement of outcomes or expected outcomes using, as much as possible, indicators or metrics such as those developed by the Global Reporting Initiative. 

第 一步：创建“年度进展报告”

企业年度进展报告没有固定的模式和格式，企业应确保所提交的报告包括以下三项内容：

● 首席执行官、主席或其他管理层在序函、声明或公告中载列一项关于继续支持全球契约的声明。

● 阐述企业在过去一个财政年度为实施全球契约的各项原则而采取的各项具体行动。

● 对所获得的成果以及预计成果进行阐述，并在阐述过程中尽量采用全球契约所倡导的指标和尺度。

Step Two: Sharing the COP with the Company’s Stakeholders 

It is important to note that the COP is not a communication with the United Nations Global Compact Office. Rather it is intended to provide a means for participants to communicate their progress on implementing the ten Global Compact principles directly with their stakeholders. Therefore, ideally, COPs should be integrated into a companies existing communication with stakeholders, such as an annual financial or sustainability report. A stand alone COP should not be created, unless the company has no other vehicle to report on corporate citizenship issues. 

Just as important as the medium chosen for conveying the COP, is the method of distributing it to stakeholders. Submission to the Global Compact website is not sufficient and companies should use the established methods where stakeholders would expect to find sustainability information (e.g. websites, direct mailings, employee alerts, open houses) to share their COP. 

第二步：与利益相关者分享企业的年度进展报告

企业提交年度进展报告不仅仅是为了和联合国全球契约办公室进行沟通，更重要的是企业可以直接和利益相关者交流其在实施全球契约 10 项原则过程中取得的进展。因此，最理想的做法是将年度进展报告融入企业现有的与利益相关者沟通的报告中，比如年度财政报告或可持续发展报告等。我们不鼓励企业编写独立的年度进展报告，除非该企业没有宣传其在企业社会责任方面进展的其他载体。

为企业的年度进展报告选择适当的载体是十分重要的，因为它有利于企业与利益相关者更广泛的分享其进步。企业仅仅向全球契约网站提交其年度进展报告是不够的，企业应该利用已有的渠道向企业持续的提供他们所需的信息（比如网站，直邮，员工通告，开放日等）。

Step Three: Submitting the COP to the Global Compact Website 

In addition to the sharing the COP with stakeholders companies are expected to post an electronic version (and web link if available) of their COP on the Global Compact website. Participants are also expected to briefly describe how COPs are made available to stakeholders. 

第三步：向全球契约提交其年度进展报告

除了以上所提到的与利益相关者分享其年度进展报告以外，企业还需要向全球契约网站提交电子版的报告（如可能，可一并提供其报告的网站链接）。企业亦需要简要描述其如何与利益相关者分享其年度进展报告的。

When is my COP due and what happens if I do not submit a COP? 

何时提交企业年度进展报告？

Initial COP Submission 

Company participants are required to submit a first COP within two years from the date of joining the Global Compact. Should a company fail to meet this initial submission deadline, they will be marked as non-communicating in the participant database of the Global Compact website. Further, should a company also miss the second COP deadline after an additional year; the company will be removed from the Global Compact database of active participants and listed as inactive on the Global Compact website. 

最初提交期

企业应该在加入联合国全球契约后两年内提交第 一份年度进展报告。如果企业错过这个期限，没有及时提交其年度进展报告的话将被列为“无沟通企业”（non-communicating）的名单，并在联合国全球契约网站上予以公示。如果该企业在一年后再次错过提交企业年度进展报告的期限的话，将被从联合国全球契约网站数据库的名单中删除并在全球契约网站上被列为“非主动企业”(inactive)。

Subsequent COP submissions 

All subsequent COPs are due within one year following the previous COP submission. Should a company fail to meet this submission deadline they will be marked as non-communicating on the Global Compact website. Further, should a company fail to submit a COP within two years of their previous submission, the company will be removed from the Global Compact database of active participants and listed as inactive on the Global Compact website. 

之后的提交期限

之后的企业年度进展报告应该遵守每年提交的原则。如果企业错过了提交年度进展报告一年的期限，将被列为“无沟通企业”（non-communicating）的名单，并在联合国全球契约网站上予以公示。如果该企业在一年后再次错过提交企业年度进展报告的期限的话，将被从联合国全球契约网站数据库的名单中删除并在全球契约网站上被列为“非主动企业”(inactive)。

Grace period 

A 45-day grace period between when the COP due date and the status change (from active to non-communicating or from non-communicating to inactive) can be granted to those companies that contact the Global Compact Office and provide a reasonable explanation for the delay in communication (i.e. changes to reporting cycles, staffing 

and other challenges). The Global Compact Office reserves the right to accept or reject an explanation. 

宽限期

如果企业可以及时向全球契约办公室提供推延提交年度进展报告的合理原因和解释（如提交报告周期的变化，企业内部员工或其他方面的变化等），全球契约可以向企业提供为期 45天的宽限期（即将把企业列入“无沟通或非主动企业”转换的时间从企业应提交年度进展报告截止日期向后推延 45 天）。

Hints and Tips 提示：

1）Choose your Language 语种的选择

A companies COP should be created in the language which is most appropriate for the companies’ stakeholders. 

公司在编写年度进展报告时可选择最能和广大利益相关者分享信息的语种进行陈述。

2）Define the Scope 报告内容的界定

• There is no expectation that small companies will be able to provide as much depth and breadth in their COPs as multinational companies. 

• There is no expectation that all ten principles will be covered in every COP nor all 10 principles addressed to the same extent. 

• There is no need to prepare an independent exhaustive sustainability report to comply with the COP requirements. A simple 2-3 page depiction of progress might prove sufficient depending on the unique operating environment of a 

company. 

• 我们不要求广大中小企业的年度进展报告和大型跨国公司的报告一样深入和宽泛。

• 我们不要求年度发展报告必须包含全球契约所有的 10 条原则。

• 我们不要求广大企业为了达到全球契约的要求而提交一份独立且内容详尽的可持续发展报告。就公司的实际情况而定，一份 2-3 页的能够充分描述其进展并提供充足证据的报告也是被我们认可的。

3）Make the Connections 建立相关性

• Review the ten principles closely in order to understand the connections that exist between the principles and the companies’ vision / strategy. 

• 仔细研读 10 项原则以便准确理解公司自身战略和全球契约 10 项原则之间的内在联

系。

4）Be Specific 报告应具体详实

• Don’t try to cover all ten principles with an overarching statement. 

• Move away from generic statements (e.g., “we have a training program for suppliers”) to more specific descriptions (e.g., “we trained 50 suppliers on how to improve their spill response performance”). 

• 不要企图为了包含所有的 10 条原则而包罗万象的陈述。

• 不要仅仅做一般的陈述（比如我们为供应商提供了一次培训），应该具体的陈述（如我们为 50 名供应商提供了培训，帮助他们提高某某能力）。