Professional Documents
Culture Documents
Responsibility
Code
Table of Contents
Introduction..............................................3
Labor...........................................................6
Health and Safety....................................8
Environmental.........................................10
Ethics.........................................................12
Management System.............................14
2
Introduction
At 3M, we are committed to improving our
business, our planet, and every life. Our
employees demonstrate that commitment
every day in our own operations and in the
communities in which we live and work.
We recognize the choices we make for our
material and service providers must also reflect
these values. We want our suppliers to share
our commitment to maintaining compliant,
responsible and sustainable operations
and practices.
3
The 3M Supplier Responsibility Code outlines If, however, a supplier
demonstrates not only conformance
3M’s basic expectations for our suppliers in the to this Code, but additional
areas of Management Systems, Labor, Health dedication to improving the
and Safety, Environment and Ethics. This Code sustainability of their operations,
they may positively distinguish
is based on our corporate values for sustainable themselves from their competition.
and responsible operations. It also aligns with the We encourage all suppliers to take
10 Principles of the United Nations Global a proactive approach to responsible
and sustainable operations by
Compact, of which 3M is a signatory, and with the establishing and implementing
Electronic Industry Citizenship Coalition (EICC) their own relevant policies and
programs, and expecting their
Code of Conduct. suppliers to do the same.
Fundamental to conforming to this Code is the understanding that a
3M’s 2025 Sustainability Goals
business, in all of its activities, must operate in full compliance with
are focused not only on our
the laws, rules and regulations of the locations in which it operates.
own operations, but also the
Suppliers must maintain compliance systems and be able to demonstrate
sustainability goals and needs of
a satisfactory record of compliance with laws and regulations in
our broader value chain, including
conducting their business. 3M also encourages suppliers to go beyond
our suppliers. We can realize
legal compliance, drawing upon internationally recognized standards to
far greater impact when we
advance social and environmental responsibility and business ethics.
collaborate to understand and
overcome the challenges we face
Conformance to this Code is required to become or remain a supplier to
in partnership with others. Our
3M, anywhere in the world, and for any supplied material or service. Our
mutual environmental and social
suppliers are also expected to hold their subcontractors and suppliers
challenges and needs represent
accountable to the principles in this Code. It is the supplier’s responsibility
shared opportunity. Together,
to disseminate and educate the requirements of this Code to their
we can improve our businesses,
employees, agents, subcontractors and suppliers. We expect our suppliers
our planet, and every life.
to communicate their conformance status to us when requested and
to make any necessary improvements to ensure full conformance. 3M
will monitor our suppliers’ performance against this Code as we deem
necessary. We encourage our suppliers to periodically assess themselves
and their suppliers for conformance.
4
5
All work must be voluntary and
workers shall be free to leave
work at any time or terminate
their employment. Employers and
agents may not hold or otherwise
destroy, conceal, confiscate or
deny access by employees to
employees’ identity or immigration
documents, such as government-
issued identification, passports or
work permits, unless the holding
of work permits is required by
law. Workers shall not be required
to pay employers’ or agents’
recruitment fees or other related
fees for their employment. If any
such fees are found to have been
paid by workers, such fees shall be
repaid to the worker.
Young workers
Suppliers must comply with the
applicable local laws with regard
to the minimum hiring age for
employees. If no such law exists or
if the existing law permits the hiring
Labor
of workers younger than 18 years of
age (Young Workers), the supplier
may not employ anyone under
In addition to full compliance with all applicable labor and human resource 16 years of age. Young workers
laws, we expect our suppliers to be committed to upholding the human shall not perform hazardous work.
rights of workers, and treating them with dignity and respect as understood Suppliers shall ensure proper
by the international community. This applies to all workers including management of student workers
temporary, migrant, student, contract, direct employees, and any other type through proper maintenance of
of worker. student records, rigorous due
diligence of educational partners,
Our supplier labor standards are: and protection of students’ rights in
accordance with applicable law and
regulations. Suppliers shall provide
Freely chosen employment
appropriate support and training
Forced, bonded (including debt bondage) or indentured labor, involuntary to all student workers. In the
prison labor, trafficked or slave labor shall not be used. This includes absence of local law, the wage rate
transporting, harboring, recruiting, transferring or receiving persons by for student workers, interns and
means of threat, force, coercion, abduction or fraud for labor or services. apprentices shall be similar to other
There shall be no unreasonable restrictions on workers’ freedom of entry-level workers performing
movement in the facility or unreasonable restrictions on entering or exiting equal or similar tasks.
company-provided facilities. As part of the hiring process for workers
entering the country specifically to work for the supplier, workers must be
provided with a written employment agreement in their primary language
that describes terms and conditions of employment prior to the worker
departing from his or her country of origin, or the supplier will utilize other
mechanisms to ensure employees understand their employment terms.
6
Working hours
Studies of business practices clearly link worker strain to reduced 3M is committed to doing
productivity, increased turnover and increased injury and illness. our part to help abolish
Workweeks are not to exceed the maximum set by local law. Further, a forced and child labor and
workweek should not be more than 60 hours per week, including overtime, human trafficking around
except in emergency or unusual situations. Workers shall be allowed legally the world. This commitment
mandated breaks, holiday and vacation days to which they are legally
is evident in these supplier
entitled, including time off when ill or for maternity leave. Further, workers
shall be allowed at least one day off every seven days.
expectations and in our
own Human Rights Policy
Wages and benefits Statement. We recognize
we have an important role to
Compensation paid to workers shall comply with all applicable wage play in confirming that these
laws, including those relating to minimum wages, overtime hours and
abhorrent practices are not
legally mandated benefits. In compliance with local laws, suppliers shall
compensate workers for overtime at pay rates greater than regular hourly
part of our supply chain, and
rates. Deductions from wages as a disciplinary measure shall not be we expect our suppliers to
permitted. For each pay period, suppliers shall provide workers with a timely be able to demonstrate that
and understandable wage statement that includes sufficient information to these expectations are being
verify accurate compensation for work performed. All use of temporary, addressed.
dispatch and outsourced labor will be within the limits of the local law.
Humane treatment
There is to be no harsh and inhumane treatment including any sexual
Recognized standards such
harassment, sexual abuse, corporal punishment, mental or physical
as the United Nations Guiding
coercion or verbal abuse of workers; nor is there to be the threat of any
Principles on Labor and Human
such treatment. Disciplinary policies and procedures in support of these
Rights, the UN Global Compact
requirements shall be clearly defined and communicated to workers.
Principles 1-6 on Human Rights
and Labor, and SA8000 may
Non-discrimination be useful sources of additional
Suppliers should commit to a workforce free of harassment and unlawful information.
discrimination. Companies shall not engage in discrimination based on
race, color, age, gender, sexual orientation, gender identity and expression,
ethnicity or national origin, disability, pregnancy, religion, political
affiliation, union membership, covered veteran status, protected genetic
information or marital status in hiring or in employment practices such
as wages, promotions, rewards, and access to training. Suppliers shall
reasonably accommodate workers for religious practices. In addition,
suppliers should not subject workers or potential workers to medical tests
or physical exams that could be used in a discriminatory way. Physical
assessments to determine capability to perform the job are appropriate if
based on physical job requirements.
Freedom of association
In conformance with local law, suppliers shall respect the right of all
workers to form and join trade unions of their own choosing, to bargain
collectively and to engage in peaceful assembly as well as respect the
right of workers to refrain from such activities. Workers and/or their
representatives shall be able to openly communicate and share ideas and
concerns with management regarding working conditions and management
practices without fear of discrimination, reprisal, intimidation or harassment.
7
Health and Safety
In addition to full compliance with all applicable health and safety laws, we
expect our suppliers to minimize the incidence of work-related injury and
illness, and foster a safe and healthy work environment. Suppliers should
utilize ongoing worker input and education as essential opportunities to
identify and solve health and safety issues in the workplace.
8
We take workplace health
and safety seriously, and we
expect our suppliers to do
the same. If you are facing a
workplace safety challenge,
3M may be able to help: we
have been developing worker
health and safety solutions
for decades. Feel free to
contact us anytime to discuss
how we can work together
to make safer workplaces
everywhere.
Recognized management
systems such as OHSAS
18001 and ILO Guidelines
on Occupational Safety and
Health may be useful sources of
additional information.
9
Air emissions
Air emissions of volatile organic
chemicals, aerosols, corrosives,
particulates, ozone depleting
chemicals and combustion
by-products generated from
operations are to be characterized,
routinely monitored, controlled
and treated as required prior
to discharge. Supplier shall
conduct routine monitoring of the
performance of its air emission
control systems where appropriate.
Materials restrictions
Suppliers are to adhere to all
applicable laws, regulations and 3M
requirements regarding prohibition
10
Pollution prevention and Legally harvested
resource reduction plant materials Global environmental
The use of resources, including Suppliers are expected to supply to challenges like climate
raw materials, water and energy, 3M materials containing plant change, water quality and
and generation of waste of all materials or their derivatives that scarcity and energy availability
types, including air emissions and are legally sourced, harvested and affect all of our businesses and
wastewater, are to be reduced exported from their country of every person on the planet.
or eliminated at the source where origin. Suppliers are expected to 3M is doing its part through
feasible, by practices such as adopt policies and management
our 2025 Sustainability Goals
modifying production, maintenance systems with respect to the U.S.
and facility processes, materials Lacey Act, the EU Timber Regulation
to continue reductions in
substitution, conservation, recycling and similar laws and to require their raw material usage/waste,
and re-using materials. suppliers to adopt similar policies water and energy usage, and
and systems. Further, 3M has a greenhouse gas emissions.
Transportation detailed Pulp and Paper Sourcing Similarly, we expect our
Policy with additional traceability, suppliers to find and act on
Suppliers are expected to comply
environmental and social opportunities to reduce their
with all applicable laws governing
expectations for suppliers of all environmental impacts in a
the transportation of goods and
types of paper and pulp materials. responsible way. We welcome
materials. If handling Hazardous
Materials* in the United States, opportunities to collaborate
suppliers are expected to be Conflict minerals with our suppliers to make a
registered with the U.S. Department If materials supplied to 3M contain positive impact on the world.
of Transportation as a Hazardous any tantalum, tin, tungsten or Start the conversation by
Materials shipper and are expected gold that are necessary to the submitting your project idea
to be trained, tested and certified production or functionality of such or challenge on 3M Supplier
to package, mark, label and ship products under Section 1502 of
Ideation.
Hazardous Materials as required the U.S. Dodd-Frank Act and its
by law. If handling Dangerous implementing regulations, supplier
Goods* outside the United States, must: (i) disclose the presence
suppliers are expected to be trained of these minerals; (ii) provide on
in and shall comply with applicable request information on the smelters
transportation regulations for air, and refiners in the relevant supply Recognized management
ocean or land cargo. chains of these minerals and other systems such as ISO 14001 and
information consistent with industry the Eco Management and Audit
*Hazardous material/dangerous good standard conflict minerals reporting Scheme (EMAS), and UNGC
means a substance or material that has been Principles 7-9 on Environment
templates; (iii) adopt a policy to
determined by a regulatory agency (i.e., U.S.
Department of Transportation, International reasonably assure that the minerals may be useful sources of
Maritime Dangerous Goods Code of the do not directly or indirectly finance additional information.
International Maritime Organization, etc.) to or benefit armed groups that are
be an unreasonable risk to health, safety and
perpetrators of serious human rights
property when transported in commerce and
which has been so designated. abuses in the Democratic Republic
of Congo or an adjoining country;
and (iv) adopt a due diligence
management system regarding the
minerals and require their suppliers
to adopt a policy and management
system.
11
Ethics Gifts and entertainment
Supplier must not provide any gift,
meal or entertainment to a 3M
Our suppliers and their agents are expected to comply with all applicable employee that might influence,
laws and conduct their business with the highest standards of ethics. or appear to influence, a 3M
employee’s decision in relation to
Our supplier ethics standards are: the supplier. Business decisions
must be made on the basis of fair
Business integrity and objective criteria. Gifts, meals
The highest standards of integrity are to be upheld in all business or entertainment may be offered
interactions. Suppliers shall have a policy to prohibit any and all forms to a 3M employee if modest in
of bribery, corruption, extortion, money laundering and embezzlement. value, infrequent, not in the form
All business dealings should be transparently performed and accurately of cash or cash equivalents, hosted
reflected on supplier’s business books and records. Monitoring and in locations that will not bring
enforcement procedures shall be implemented to ensure compliance with reputational harm, free from the
anti-corruption laws including but not limited to the United Kingdom Bribery appearance of improper influence,
Act and the United States Foreign Corrupt Practices Act, as well as any are consistent with customary
local anti-corruption laws. Suppliers should conduct appropriate risk-based business practice, and do not
diligence prior to engaging contractors or third parties to ensure that such violate Supplier’s internal policies
third parties comply with this Code and the anti-corruption laws. and any laws.
Anti-corruption
Supplier shall comply with all applicable anti-corruption laws while
conducting business on behalf of 3M or with 3M. Supplier shall not engage
in any form of bribery, kickbacks, corruption, extortion, money laundering
or embezzlement. Bribes or other means of obtaining undue or improper
advantage are not to be promised, offered, authorized, given or accepted.
This prohibition covers promising, offering, authorizing, giving or accepting
anything of value, either directly or indirectly through a third party, in order
to obtain or retain business, direct business to any person, hiring persons or
otherwise gain an improper advantage.
12
Conflicts of interest Reporting, protection of
Supplier must not enter into any identity and non-retaliation 3M is committed to operating
transaction with 3M employees that Supplier shall have adequate with uncompromising honesty
could create an actual or perceived systems to address employee and integrity in everything we
conflict of interest. A conflict of concerns and grievances. do. The 3M Code of Conduct
interest is any situation where an Those systems must protect clearly defines what is
individual’s interests or relationships confidentiality, allow anonymity expected of all employees and
may conflict with or influence, or of reporting unless prohibited by
appear to conflict with or influence,
other individuals representing
law, and protect employees against
decisions an individual makes on 3M. When we choose to
retaliation.
3M’s behalf. Even the appearance do business with you, our
of a conflict of interest between a supplier, we associate the
Privacy
3M employee and a supplier could actions and reputations of our
be detrimental to 3M’s business Supplier shall protect the two companies. Therefore, it
interests. privacy expectations of personal is in both of our organizations’
information of everyone they do
best interests to maintain the
business with, including suppliers,
Disclosure of information highest ethical standards.
customers, consumers and
Supplier shall disclose information employees. Suppliers are to comply
regarding labor, health and with privacy and information
safety, environmental practices, security laws and regulatory
business activities, structure, requirements when personal
financial situation and performance information is collected, stored, The UN Convention Against
consistent with applicable processed, transmitted, and shared. Corruption and UNGC Principle
regulations. Supplier shall not 10 on Anti-corruption may be
provide false or misrepresented useful sources of additional
records or reports of conditions or information.
practices in their supply chain.
Intellectual property
Supplier shall respect intellectual
property rights, ensure technology
and know-how is transferred in a
manner that protects intellectual
property rights, and ensure
that customer information is
safeguarded.
13
Management System Management accountability
and responsibility
The supplier clearly identifies
Suppliers are expected to adopt or establish a management system
senior executive and company
covering the elements of this Code. The management system shall be
representative[s] responsible
designed to ensure: (a) compliance with applicable laws, regulations and
for ensuring implementation of
customer requirements related to the supplier’s operations, products
the management systems and
and services; (b) conformance with this Code; and (c) identification and
associated programs. Senior
mitigation of risks related to this Code. It should also be designed to
management reviews the status
facilitate continuous improvement.
of the management system on a
regular basis. Supplier shall have a
The management system should contain the following elements:
process to assess that sufficient and
qualified resources are assigned to
Company commitment their own Supplier Responsibility
Corporate social and environmental responsibility policy statements Code.
affirming the supplier’s commitment to compliance and continuous
improvement, endorsed by executive management and posted or otherwise Legal and customer
made available in the supplier’s facility (where applicable) in the local requirements
language.
A process to identify, monitor and
understand applicable laws and
regulations, and the requirements
of this Code.
14
Risk assessment and risk Audits and assessments
management Periodic self-evaluations to 3M believes that robust and
A process to identify the legal ensure conformance to legal and comprehensive management
compliance, environmental, health regulatory requirements and the systems are necessary to
and safety and labor practice content of these Standards. achieve and maintain control
and ethics risks associated of any complex program.
with supplier’s operations. Corrective action process A one-time review and
Determination of the relative A process for timely correction of implementation of these
significance for each risk and deficiencies identified by internal or expectations is not enough to
implementation of appropriate external assessments, inspections,
procedural and physical controls
ensure ongoing conformance.
investigations and reviews. Our strongest suppliers will
to control the identified risks and
ensure regulatory compliance. demonstrate ownership of
Documentation and records conformance to this Code
Improvement objectives Processes and controls to ensure by institutionalizing these
accurate books and records, practices into their culture
Written performance objectives, and creation and maintenance
targets and implementation
and everyday actions, with
of documents and records to systems in place to continually
plans to improve the supplier’s ensure regulatory compliance
performance against this Supplier monitor and improve
and conformance to company
Responsibility Code, including a performance.
requirements, along with
periodic assessment of supplier’s appropriate confidentiality to
performance in achieving those protect privacy.
objectives.
Supplier responsibility
Training
A process to communicate the The OECD Guidelines for
Programs for new and ongoing 3M Supplier Responsibility Code Multinational Enterprises and
training of managers and workers requirements to next-tier suppliers their Due Diligence Guidance
to implement supplier’s policies, and to require suppliers to adopt may be useful sources of
procedures and improvement management systems and practices additional information.
objectives and to meet applicable for compliance to this Code or
legal and regulatory requirements requirements materially consistent
and this Code. with this Code.
Communication
A process for communicating clear
and accurate information about
supplier’s policies, practices,
expectations and performance
to workers.
15
Questions? Refer to the Supplier Resources page
on 3M.com, or call the Sourcing Operations
Response Center at 651-575-6450.
Sourcing Operations
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St Paul, MN 55144-1000 Version 2.0 - April 1, 2016