China: 中国企业"走出去"劳动用工合规浅析(下)

Last Updated: 16 July 2019
Article by Su Wenwei
Most Read Contributor in China, September 2019

三、企业"走出去"境外劳动用工的其他合规问题

劳动用工合规是境外投资、对外贸易、对外承包工程、境外日常经营的重要合规要求。劳动用工合规始终贯穿境内企业"走出去"全过程的各个方面且事无巨细。所以,境内对外投资企业在"走出去"的过程中,不仅在用工形式及劳动权益保护中要遵守国内以及投资所在国家地区的相关法律法规,还需要注意劳动用工领域下其他方面合规问题。

(一)严格执行反腐败、反贿赂

在走出去的过程中,许多中国企业对国际反腐败体系的约束力度认识不深,依然延续了在国内不规范经营的思维模式和行为习惯,认为其可以通过贿赂获得不正当的竞争优势。根据中国公司法务研究院、荷兰威科集团和方达律师事务所联合发布的《2016-2017中国合规及反商业贿赂调研报告》显示,商业贿赂是中国企业遭受境内外执法的首要原因。目前反腐已经成为全球的基本共识,且国际惯例中的反腐规则远比国内企业认知的要严格得多。早在2012年中兴的两位高管及华为的一位高管就因行贿遭到了阿尔及利亚法院的审判,三人被判以十年有期徒刑并被各自罚款300万第纳尔。两家公司也因犯有行贿和以权谋私被勒令两年内不许参加当地公开项目竞标,对企业的负面影响非常大。

全球遏制商业腐败力度不断加大,各国际机构、政府颁布了各类针对反腐败的法律法规。2005年联合国通过了《反腐败公约》(UnitedNations Convention Against Corruption),这是联合国历史上通过的第一个用于指导国际反腐败的法律文件,将贿赂外国公职人员及国际公共组织官员等行为确定为犯罪。美国的《反海外腐败法》(ForeignCorrupt PracticesAct,简称FCPA),其禁止美国公司向外国政府公职人员行贿,并且明确了企业的合规管理责任。1998年的修正案将FCPA管辖范围进一步扩大,将外国企业或自然人在美国境内实施的违反FCPA的行为也列入FCPA管辖范围。还有英国于2011年生效的《反贿赂法》(BriberyAct),对公司合规的要求更加严格,其禁止企业间的商业贿赂行为,该部法律适用于所有在英国开展业务的所有类型公司,所以只要在英国开展业务经营,不管在任何地方进行商业贿赂,都有可能遭受来自英国相关部门的调查。法国的反腐败法《萨宾二法案》(SapinII)也于2017年5月正式生效,在反海外腐败方面看齐了美国《反海外腐败法》和英国《反贿赂法》的有关内容,各国对涉嫌商业贿赂的处罚一般都较为严格。

在进行跨境经营时要充分重视违规带来的风险,一旦出现跨境商业腐败方面的合规问题,对企业声誉、经济损失造成的影响将是巨大且深远的。所以我国对外投资企业一定要坚持公平竞争,坚决抵制商业贿赂,严格禁止向当地公职人员、国际组织官员和关联企业相关人员行贿,不得借助违法手段谋取商业利益。否则,可能会遭受法律制裁、监管处罚,重大财务损失或名誉损失的风险。

(二)重视公平雇佣

虽然我国在《劳动法》、《就业促进法》等法律法规中明确规定了劳动者享有平等就业的权利,且不应因民族、种族、性别、宗教信仰等不同而受歧视,但是就业歧视问题在国内企业中仍是普遍存在的。原因在于很少有执行就业歧视的企业因此受到严重惩处,即使因此发生争议引起诉讼,企业被判的赔偿金数额也是很少的,不会加重企业任何负担,所以通常不会引起企业的重视。但在美国、英国、俄罗斯、德国等国家对于就业歧视的保护力度是很强的。如美国拥有较完善的反就业歧视的法律和制度体系,该体系以1964年颁布的《民事权利法案》(CivilRights Act of 1964)为中心,由《美国残疾人法案》(Americanswith Disabilities Act of 1990)、《反对就业年龄歧视法》(AgeDiscrimination in Employment Act)、《公平报酬法》(FairPayAct)等禁止歧视的法案构成。美国的反就业歧视精神还体现在解除时,虽然美国法律下规定解除劳动合同是任意解除,但是如果雇员认为被解除是不公平的基于歧视,就可以向法院寻求救济,若获得法院支持则可获得高额的赔偿金。

2017年,全美规模最大的中餐连锁店熊猫餐饮集团(以下简称"熊猫集团")被指控在重新审核工作许可时歧视非美国公民雇员,触犯了《移民及国籍法》(Immigrationand NationalityAct)而遭美国司法部调查。同年6月28日,联邦司法部宣布与熊猫集团达成和解协议。根据和解协议熊猫集团将支付40万美元民事罚款,并建立一个20万美元的欠薪基金,以补偿因其行为而失去工作机会的员工。且凡是2014年5月31日至2017年6月28日期间在熊猫快餐工作过、拥有劳工许可的非美国公民,若因此而失去了工作,都有资格向该公司的欠薪基金索取应有的赔偿。熊猫集团还被要求其人力资源部进行有关反歧视的培训工作,以满足相关法律对反歧视的规定并将受到监督。

所以,我国企业在该等国家进行海外经营的时候要格外重视避免就业歧视问题,留心不要触碰到这条高压线,否则对外投资企业可能会面临高额的经济处罚。

(三)加强个人信息数据保护

为了更好的管理劳动者和进行生产经营活动,企业在招聘员工以及日常管理中都需要收集员工的个人信息。虽然我国《网络安全法》中规定了企业对劳动者个人信息的保护义务,但是在当前互联网普及和大数据应用不断推进的环境下,中国员工对于个人信息保护意识弱,相关主管部门对企业监管处罚力度低。所以企业在劳动者个人信息数据保护方面缺乏意识,也没有相关经验。但是在企业走出去的用工管理过程中,忽略个人信息数据保护可能会给企业造成严重后果。

欧盟议会于2016年通过的《通用数据保护条例(GeneralData ProtectionRegulations)》(以下简称"条例"或"DGRP")已于2018年5月25日在欧盟成员国内正式生效实施。GDPR的适用范围极为广泛,即使是欧盟以外的机构,只要其在提供产品或服务的过程中(不论是否收费)处理了欧盟境内个体的个人数据,将同样适用于《条例》。

该条例的实施对中国企业在欧盟市场的投资产生了显著影响,在该条例实施后微信公众平台就发布了通知,声明为遵守GDPR的相关要求,当欧盟地区微信用户撤销授权该公众号获取其个人信息(主要包括该微信用户取消关注公众号或其自行注销微信个人帐号)时,会以邮件形式告知公众号的注册邮箱删除欧盟用户的信息。其后,正版中国等平台也陆续发布了类似声明。而摩拜因共享单车和汽车平台会通过手机应用收集用户的大量数据(其中包括用户在没有使用其应用时,也能被收集到准确的位置数据)也受到了德国柏林数据监管保护机构的调查。违反该条例会导致严重的法律后果,如被欧盟认定违规,最高处罚金额可至2000万欧元(约1.5亿人民币)或该企业上一财年全球年度营业总额的4%(以较高者为准)。

该条例的实施增加了中国企业违规的风险,欧洲市场在数据治理和数据保护方面,有着独特的监管要求,因此,中国企业在开拓欧洲市场时应该高度重视欧盟在数据保护的相关规定,否则,将很有可能合作受阻、甚至失去欧盟市场。相关企业应对欧洲数据保护的合规要求以及潜在法律风险作出深刻研究及准备,明确知晓其权利义务边界,避免越界获取劳动者的隐私信息,同时在收集、处理、使用、传输劳动者个人信息时,应严格按照相关规定对劳动者个人信息的保护义务,降低合规性风险。

(四)加强外派人员合规培训

国际市场对外派人员的综合素质要求越来越高,但是我国外派劳动者普遍文化程度不高(尤其工程项下外派人员)、外语水平偏低、对所在国国情不了解、法律意识及合规意识不强,这使得因不了解当地法律法规或宗教习俗产生矛盾纠纷,甚至发生人身伤害的事件频发,甚至给企业带来严重后果。

2016年,中国农业银行纽约分行因违反纽约州的反洗钱法被美国纽约州金融监管机构判以2.15亿美元的处罚。而该事件的起因是该行一高管因性骚扰一名白人下属而遭到举报,最终使得导致农业遭到惩处。2014年北汽福田汽车公司在印度马哈拉施特拉邦选址建设汽车工业园区时选择了一片"完美"的土地,但是这片土地靠近一座印度教"神山",被当地僧侣认为会"破坏山的灵性"。虽然福田公司做出诸多努力,但是当地村民依旧以破坏圣山精神为由拒绝了工业园区的建设。这场意料之外的文化宗教冲突导致福田汽车的项目一度停滞,同时也给公司带来了严重损失。这些事件的发生均是由于企业员工对于东道国文化习俗与法律法规不熟悉,合规意识薄弱导致的。

所以我国对外投资企业应根据《暂行办法》及《管理条例》的规定加强外派人员培训工作。培训工作应不光只限于职业技能,还应当从安全防范知识、外语以及东道国相关法律、宗教信仰、风俗习惯等方面进行培训。境外企业管理者、业务部门以及人力资源部门还应当重点进行合规培训,从宗教文化、法制环境、公平雇佣、签证办理、劳动合同签订、工资及奖金发放、竞业限制、个税社保缴纳、反腐败反贿赂、反歧视与性骚扰、工会组织、个人数据传输与隐私保护、解雇、生态环境保护等多方面,了解劳动用工各项环节的合规要求。使得境外管理人员提高法律意识、熟悉派驻国别的法律法规、宗教习俗和风土人情、提高合规管理重要性和迫切性的意识,以胜任国外工作岗位,避免争议发生;并引导培训其他外派人员提高合规意识,自觉遵守我国和所在国的有关法律规定,尊重当地的传统文化、宗教信仰和风俗习惯。相应政府部门还可以建立与当前外派劳务市场需求相适应的官方权威劳务培训机制,以提升外派人员整体综合素质和国际劳务竞争力。

(五)建立完善的用工合规风险监管体系

中国企业在境外经营过程中伴随着文化、宗教、法律体系及社会监管要求的不同,一般都会面临各种商业风险、法律风险及政策风险,加之海外业务开展过程中所面临的信息不对等,将进一步加大中国企业所面临的风险。在2017年12月15日举行的国务院政策例行吹风会上,国资委副主任王文斌也表示,在实施国际化经营的过程中企业要合规管理、合规经营,切实防范可能引发的各种风险。因此,对海外业务开展过程中建立完善的合规风险监控体系是非常重要的。

2017年,中兴通讯因违反美国限制向伊朗与朝鲜出口的禁令,被罚款11.9亿美元。后中兴承认其违法事实并与美国相关执法部门签订了和解协议,确定了8.92亿美元的罚款(剩余的3亿美元在接下来七年中视中兴整改情况酌情向美国商务部工业与安全局缴纳或取消),并承诺了一系列整改措施。抛开中美之间的政治因素,中兴的事件反应出中国企业在向海外拓展业务时,因忽视海外业务合规问题和企业内部管理所带来的对企业未来数年的经营发展产生极大的负面影响与后果。中国的多数企业将合规职能放在法务部或审计监察部,并不会在公司内部再行设立相对独立的合规部门用以监督公司内部规范的执行以及把控外部法律政策风险。本案中的中兴通讯内部法务部门并没有起到防控法律风险的作用,而沦为公司业务部门附庸的法务部以及合规部门的缺位,也是导致中兴最终承担恶果的重要原因之一。

因此,建立完善的合规体系,才能更好地检测、识别、预警、控制并化解合规风险,保障海外业务持续稳定健康发展。首先,建立海外业务合规风险管理体系应建立独立于法务部或审计部的专门合规管理部,增加合规专业人士,确保合规体系得到有效的运作和贯彻。其次,建立海外业务合规风险管理体系,不仅要了解中国、东道国以及相关国际公约的法律规定,以识别海外业务合规风险;同时还应当对目标国社会文化、风俗、宗教进行考察,了解其社会风俗禁忌,并注重保持良好的沟通协调渠道。保证企业在经营过程中遵守相关反商业贿赂法规或条约规定,履行所在国环境保护义务,规范企业劳动用工管理等合规要求。此外,企业还应当对员工开展相关合规风险的培训,树立企业人员的合规意识,培养企业合规文化,构建明确的员工合规职责及行为合规要求。最后,从监督角度出发,合规管理体系还应当设置内部违规的举报、调查机制,使得员工发现问题后可以及时汇报,遇到问题时有快捷的寻求解决的途径,并建立全面有效的问责制度,对于违规事项有处罚的依据。综上,"走出去"中国企业要想走得远、走得稳必须建立并实施符合国际标准的合规风险监管体系。

四、结 语

随着经济全球化的深入发展,合规逐步成为中国企业适应全球竞争的新方式和全球竞争新规则。由于企业劳动用工合规贯穿境内企业对外投资全过程的各个方面,所以企业用工合规面临着来自方方面面的多重挑战,不仅仅是上文中提到的,还有包括宗教文化、法制环境、签证办理、劳动合同签订、竞业限制、个税社保缴纳、工会组织、解雇等多个方面。2018年7月1日中国国家标准化管理委员会发布《合规管理体系指南》,11月国资委发布《中央企业合规管理指引(试行)》,12月29日国家发改委、外交部等7个部门又联合发布《企业境外经营合作管理指引》,合规将毫无悬念的成为今后中国企业经营中需要关注的重点问题。在国家相关政策文件的规范下,中国企业定会全面加强劳动用工合规管理,强化员工合规意识的培养,提升依法合规经营管理水平,在"走出去"的过程中实现企业境外经营的可持续发展。

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In your use of the Website and/or Services you shall: comply with all applicable laws, regulations, directives and legislations which apply to your Use of the Website and/or Services in whatever country you are physically located including without limitation any and all consumer law, export control laws and regulations; provide to us true, correct and accurate information and promptly inform us in the event that any information that you have provided to us changes or becomes inaccurate; notify Mondaq immediately of any circumstances where you have reason to believe that any Intellectual Property Rights or any other rights of any third party may have been infringed; co-operate with reasonable security or other checks or requests for information made by Mondaq from time to time; and at all times be fully liable for the breach of any of these Terms by a third party using your login details to access the Website and/or Services

however, you shall not: do anything likely to impair, interfere with or damage or cause harm or distress to any persons, or the network; do anything that will infringe any Intellectual Property Rights or other rights of Mondaq or any third party; or use the Website, Services and/or Content otherwise than in accordance with these Terms; use any trade marks or service marks of Mondaq or the Contributors, or do anything which may be seen to take unfair advantage of the reputation and goodwill of Mondaq or the Contributors, or the Website, Services and/or Content.

Mondaq reserves the right, in its sole discretion, to take any action that it deems necessary and appropriate in the event it considers that there is a breach or threatened breach of the Terms.

Mondaq’s Rights and Obligations

Unless otherwise expressly set out to the contrary, nothing in these Terms shall serve to transfer from Mondaq to you, any Intellectual Property Rights owned by and/or licensed to Mondaq and all rights, title and interest in and to such Intellectual Property Rights will remain exclusively with Mondaq and/or its licensors.

Mondaq shall use its reasonable endeavours to make the Website and Services available to you at all times, but we cannot guarantee an uninterrupted and fault free service.

Mondaq reserves the right to make changes to the services and/or the Website or part thereof, from time to time, and we may add, remove, modify and/or vary any elements of features and functionalities of the Website or the services.

Mondaq also reserves the right from time to time to monitor your Use of the Website and/or services.

Disclaimer

The Content is general information only. It is not intended to constitute legal advice or seek to be the complete and comprehensive statement of the law, nor is it intended to address your specific requirements or provide advice on which reliance should be placed. Mondaq and/or its Contributors and other suppliers make no representations about the suitability of the information contained in the Content for any purpose. All Content provided "as is" without warranty of any kind. Mondaq and/or its Contributors and other suppliers hereby exclude and disclaim all representations, warranties or guarantees with regard to the Content, including all implied warranties and conditions of merchantability, fitness for a particular purpose, title and non-infringement. To the maximum extent permitted by law, Mondaq expressly excludes all representations, warranties, obligations, and liabilities arising out of or in connection with all Content. In no event shall Mondaq and/or its respective suppliers be liable for any special, indirect or consequential damages or any damages whatsoever resulting from loss of use, data or profits, whether in an action of contract, negligence or other tortious action, arising out of or in connection with the use of the Content or performance of Mondaq’s Services.

General

Mondaq may alter or amend these Terms by amending them on the Website. By continuing to Use the Services and/or the Website after such amendment, you will be deemed to have accepted any amendment to these Terms.

These Terms shall be governed by and construed in accordance with the laws of England and Wales and you irrevocably submit to the exclusive jurisdiction of the courts of England and Wales to settle any dispute which may arise out of or in connection with these Terms. If you live outside the United Kingdom, English law shall apply only to the extent that English law shall not deprive you of any legal protection accorded in accordance with the law of the place where you are habitually resident ("Local Law"). In the event English law deprives you of any legal protection which is accorded to you under Local Law, then these terms shall be governed by Local Law and any dispute or claim arising out of or in connection with these Terms shall be subject to the non-exclusive jurisdiction of the courts where you are habitually resident.

You may print and keep a copy of these Terms, which form the entire agreement between you and Mondaq and supersede any other communications or advertising in respect of the Service and/or the Website.

No delay in exercising or non-exercise by you and/or Mondaq of any of its rights under or in connection with these Terms shall operate as a waiver or release of each of your or Mondaq’s right. Rather, any such waiver or release must be specifically granted in writing signed by the party granting it.

If any part of these Terms is held unenforceable, that part shall be enforced to the maximum extent permissible so as to give effect to the intent of the parties, and the Terms shall continue in full force and effect.

Mondaq shall not incur any liability to you on account of any loss or damage resulting from any delay or failure to perform all or any part of these Terms if such delay or failure is caused, in whole or in part, by events, occurrences, or causes beyond the control of Mondaq. Such events, occurrences or causes will include, without limitation, acts of God, strikes, lockouts, server and network failure, riots, acts of war, earthquakes, fire and explosions.

By clicking Register you state you have read and agree to our Terms and Conditions