SDP Management Systems Assessment (Initial/ In-process/ Validation)

Supplier/ ID
Factory /ID Date

Y/
Scope 范围 Management Systems Checkpoints N/ Supporting Documents/ Good Practices 相应文件资料/好的操作
WIP/
NA

1.Supplier's
Vision Statement, COC, Compliance Team
Vision Statement
(a) Does supplier has a clear supplier's Vision Statement including CSR, Environment, integrity,
transparency contents? 供应商是否有清楚明了的包含社会责任,环境,廉政,透明度内容的愿景宣言? Supplier's Vision Statemen供应商愿景宣言
(b) Is the vision statement approved by top management?
愿景宣言是否有管理高层的审批?
(c) How is it communicated internally and externally? 愿景如何在内部及外部进行传达? Supplier's Vision Statemen communication records 供应商愿景宣言内外部
E.g. awareness program / announcement / meeting etc. 如:宣导程序 / 正式通告/ 会议等 传达记录
Code of Conduct
供应商愿景宣言
(COC) (a) Does the supplier have its own Code of Conduct? What contents are included?
供应商是否有自己的行为准则? 该行为守则包含或涉及了哪些方面的内容？
Supplier Code of Conduct供应商行为准则

(b) Does it meet local law and all customer requirements?是否达到当地法律法规标准, 客户要求等
？
(c) Is COC communicated internally and externally? And how? 供应商行为守则是否传达给内部及
外部?
Supplier Code of Conduct communication records 供应商行为准则内外部
E.g.:Have
Posted/ Employee Handbook/
传达记录
(a) a clear organization chart Formal training
for supplier's 张贴/ 员工手册/
compliance 正规培训)
team, with Job Descriptions?
Including names, titles, roles/ responsibilities and reporting line. 供应商有清楚明了的合规小组的组
织结构图并具备职务描述.包括名字,职位, 职责, 报告线
Supplier's compliance team organization chart and Job Descriptions 供应商
合规小组的组织结构图和职务描述
3.Supplier's (b) Does team have the experience and/or qualifications?合规小组是否具备必要的经验和/或资历
Compliance
Team
？ Supplier's compliance team members experience and/or qualifications 供应商
供应商合规小组 合规小组经验和资历说明
(c) Is there any other department support compliance team? Pls include such department and
their responsibilities in O-chart.E.g. business development, quality, production planning. 是否有
一些其他部门支持合规小组的工作?如：业务部门，质检，生产计划.
Related department responsibilities 其他部门的合规责任
(a) Is there a clear organization chart for factory's compliance team, with Job Descriptions?
工厂是否有清楚明了的合规小组的组织结构图并具备职务描述?
(b) Does compliance team have the necessary experience and/or qualifications?
Factory Compliance Team O-chart with Job Description
合规小组是否具备必要的经验和/或资历？
4.Factory's
Compliance (c) Other department support on social and environmental compliance? Pls include such
Team
工厂合规小组 department and their
responsibilities in O-chart.E.g. business development, quality, production planning. E.g.
production manager plans for high OT works if not aware of it. 是否有一些其他部门支持合规小组
的工作? 请把他们也纳入组织结构图中.
如：业务部门，质检，生产计划.如：生产经理不了解有关要求，有可能安排过量加班.
(a) Does the supplier have a ready list of factories used globally and monitor its factories' ES
performance? Supplier monitoring tool on the factories
供应商是否现有一份全球工厂的名单，并对这些工厂的ES表现进行监管？ 供应商工厂监管工具记录
(b) Does the supplier/factory conduct regular compliance assessments? Is there a well defined Supplier/factory internal monitoring policies/ procedures 供应商/工厂合规
5. Supplier's
Self-Assessment procedures/ policies? 供应商/工厂是否定期组织内部合规审核?是否有清楚定义的程序/政策等? 内审政策程序
Model
(c) Who is responsible for implementing the assessment? Is that supplier, factory or 3rd party
audit firm? Pls indicate the name and background of the internal auditors/ 3rd party audit firm. 谁 Supplier management procedures on 3rd party audit firm 供应商第三方审核
负责实施审核? 是供应商,工厂还是第三方审核公司? 请阐明内审员/第三方审核公司名字和背景. 管理程序
(d) What are the assessment rating criteria? Are there any Implementation Tools? Audit tools and Assessment rating criteria
审核的评分标准是什么? 是否有相关执行工具? 审核工具与评定标准
(e) How's the scope and frequency of self-assessment ? Please Indicate the date
and scope of the most recent internal assessment.
审核频率和范围如何? 请阐明最近一次自审的日期和时间范围.
(f) How often does the supplier company review its selected factory's corrective
action plans (CAP)? 供应商公司多长时间会核实一次所选工厂的整改计划? CAP follow up and remediation procedure 审核后改善跟进程序
供应商 (g) Does the supplier company have a mechanism in place to assist its selected
自我审核 factory to implement corrective actions / remediate issues identified from internal or external
体系 assessments / reviews?供应商是否有现行机制辅导工厂执行纠正/改善措施？
(h) Is supplier/ factory monitored by other brand? How's the frequency? How does supplier review
the audit report and follow up on CAP? 工厂是否同时接受其他品牌的监管? 频率? 供应商如何审阅
这些客户的审核报告, 跟进整改措施。 Monitoring Program Mapping for Customers
(a) Lastest 2 ES Audit results and Approval Date
6. Factory Audit (b) High Risk Violation Findings (from last 2 years) 过去两年的高风险问题 High Risk Violation List高风险违规列举
History
审核历史 (c) Remediation for high risks (from last 2 years), Please address Transparency/ RCA etc. RCA tools/ Remediation for high risks
近两年高风险问题的改正措施, 请阐明透明度/ 根源分析等. 高风险违规根源分析/改善案例

1. Recruitment, Selection, & Hiring System 招聘,选拔及雇佣体系

(a) Are there formal written policies and procedures for the system? 是否有正式书面上关于系统的 Policies and procedures for Recruitment, Selection, & Hiring System 招聘,
政策和程序文件? 选拔及雇佣政策和管理程序

(b) Do policies and procedures uphold standards on: Nondiscrimination /Avoidance of forced labor
Policies and procedures on:
1. Policy /Avoidance of child labor? 此系统的政策和程序是否包含:非歧视/避免强迫劳动/避免童工? Nondiscrimination / Avoidance of forced labor / Avoidance of child
书面相关政策 labor/managing young labour/Harrassment 关于反歧视/避免强迫劳动/避
免童工/ 管理未成年工/ 骚扰 政策和程序
(c)Is there a formal job analysis, and a written job descriptions for all positions? 是否有进行正式的
用工分析和所有的岗位的工作职位描述? Job Analysis/Job Descriptions 工作分析和职位描述
(d)Is the policy approved by top management, and well communicated and practices by all
parties? 该政策是否有高层批准? 有否向所有的相关责任方阐明公司的政策?
2. Law / (a) Does factory conduct the law/customer requirements identification, mapping, communication
Customer and training? Availability? 工厂是否有将法律/客户要求与工厂招聘操作进行识别, 比对, 培训? Law/customer requirements identification, mapping 法律/客户要求识别与
requirements (b) Is there risk analysis procedure in hiring process? 工厂是否有分析招聘程序中的风险? 分析
法律/客户要求

(a) Is there assigned persons HR? 有否配置专门的部门和人员负责选拔和招聘事宜? Responsibility, guidelines and qualifications on Hiring 招聘职责, 指引和资
3. Responsibility Please specify the responsibility and qualification it.负责人/职责和资格是怎样的? 格
责任落实 (b) Are managers and supervisors participate in the selection process before hiring? Interview Guidelines 面试指引
部门经理和主管在员工雇佣之前是否有参与到员工选拔的过程中?

Manpower Analysis and Hiring Application 劳动力需求分析和用工申请

(a) How to evaluate manpower needs? The needs coordinated with production planning?
Considering Business plan/ Work flow evaluation/ position mapping/ evaluation frequency/
participants etc.如何评估劳动力需求? 招聘需求与生产计划相结合? 考虑商业计划/工作流程评
估/职位评估/评估频率/参与者.
(b) Have job description for all positions?- (with Functions and responsibilities/ Required
knowledge, skills and attitudes) 有无工作描述?(职责和要求的知识、技能)
Manpower Analysis 用工需求分析
(c) How to document the recruitment application with approval? 是否有记录批准下招聘申请?
Job Description 岗位工作描述
Hiring Application 用工申请与审批
 Recruitment Plan and Channels 招工计划, 渠道
(a) How to plan hiring? Are procedures based on the position nature, (management, technical,
worker, temporary/seasonal). 招聘流程是否基于岗位的性质,比如管理, 技术工, 普通工,临工?
(b)What’s the recruiting channels for the factory? (d) Shall chose internal and/ or external
postings via varied appropriate avenues?Workers referential? Internal transfer? Internal
promotion?招聘渠道是什么?通过合适的途径在外部招聘? 工人介绍? 内部? 转职? 内升?
(c) Is the Job advertisement only including job descriptions and free of discrimination? Greivance Management on Recruitment Plan and Channels 招工计划和渠道管理
cgannel? 招聘广告是否只包含工作描述，而没有歧视？申诉渠道? Job advertisement 招聘广告
Recruitment Agency Agreement 招聘代理协议

Screening & Selection Standard 筛选和选拔标准

(a) How are the selection standard and process? With objective tools and measurable criteria?选
拔标准和流程是怎么样的? 有客观的工具和标准?
(d) Recruitment or probation interview, testing? 录用/ 转正面试, 测试?
Hiring 招聘
Screening & Selection Process /Standard 筛选和选拔流程和标准
(a) Are applicants not charged employment fees or deposits when hired (except foreign contract Hiring Registration Form入职登记表
workers, as per law)?应聘者没有被收取雇用费或存款? Hiring Interview Form入职访谈表
Hiring Test Form入职考试
Background Check 背景调查
(a) Are there procedures in place for age verification of applicants？ 是否有年龄验证流程？
(b) How does the background check process? 背景调查的操作是怎样的?
E.g.: Checking with local Gong An/ Letter from previous employer / Background Check Procedure/Tools 背景调查程序/工具
Phone call to previous employer 在公安局核查/ 离职证明/ 与上家雇主电话核实 Interests Conflicts Declaration 利益冲突申报
4. Procedures
/ Structure Orientation Training 入职培训
程序/架构 (a) Orientation Training Topics (Including: company rules and regulations including on work hour,
compensation, health and safety and disciplinary procedures, Communication etc.)
入职培训内容(包括公司规章制度:工时,薪资,健康和安全,惩罚制度, 沟通等)
(b) Orientation Training Frequency/ Orientation Training Hours/ trainer having the proper
qualification/ effectiveness and new hires' satisfaction for the training Orientation Training Procedures 入职培训程序
入职培训频率/ 入职培训时长/ 培训者的资质/ 入职培训的效果和满意度？ Orientation Training Materials and records/ 入职培训材料/记录
Orientation Effectiveness Eveluation/ Survey Form入职培训效果调查表
Contract & Personnel File Management 劳动合同和人事档案管理
(a) When sign labor contract with workers? The Copy provided to each worker? All in compliance
with law? 何时与工人签订劳动合同?提供合同副本给所有员工？ 完全合法?
(b) Ttrain all workers the terms and conditions of employment before sign the labour contract? 工 Contract & Personnel File Management 劳动合同和人事档案管理程序
厂是否在签订劳动合同前解释劳动合同的条款？ Labor Contract 劳动合同
(c)How does factory manage the labor contract & personnel file for full-time/part-time/resigned Personnel File 人事档案
workers? 如何管理全部工人(包括全职/兼职/离职)的劳动合同和档案?

Transparency, Fairness 透明,公平

(a)What's the mechanism that factory use to ensure hiring process fair, objective, transparent and
free from discrimination? Greivance system? 如何确保招聘过程公正,客观,透明无歧视？
(b) Ensure equal employment opportunity , E.g.: no discrimination, equal pay for equal work. 公平
招聘策略, 例如: 没有歧视,同工同酬…

Manage Labor Shortage 应对劳动力短缺

(a) What strategy to manage rush orders/peak seasons and labor shortage? Procedures and Guidelines on Managing Labor Shortage 应对劳动力短缺管
有何策略来应对劳工短缺？ 理程序指引
(b)Eg.incentive worker referential /Use hiring agency/ maintain worker with more benefits / Lean Incentive scheme on worker referential 内部推荐工人激励措施
production/ innovation on product, tech, machines. 激励措施鼓励推荐工人/ 劳务中介 Multi-skills Workers Program

Probation evaluation system 试用期评估 Probation evaluation guidelines 试用期评估指引

Is there any probation evaluation system available in place? 是否有建立试用期评估的体系? Probation Evaluation Form试用期评估表
Exit interviews 离职面谈
Is there interview for worker the exit worker? 是否对离职员工安排面谈?
Exit interviews Procedures 离职面谈
Exit interviews Form离职面谈表
(a) Are function managers and supervisors assigned to conduct interviews and are they trained on
5. interviewing skills and competency-based hiring? Guidelines on Communicating/Training the Recruitment, Selection, & Hiring
Communication
and Training
相关责任人员、经理和主管是否都有安排进行面试,并有参加面试技巧、能力导向招聘的培训? System 关于加强招聘,选拔及雇佣体系培训沟通的指引
沟通和培训 (b) Is annual refreshing training provided to employees on company regulation? 是否有安排至少 Interviewing Skills 招聘访谈技巧
每年一次的更新培训给员工让其了解公司的规定? Identity identification and background check身份证件甄别

How does factory monitor and evaluate this system? 工厂如何监控和评估该系统?

(a) Monitored by in-direct responsible persons (e.g. Internal feedback controls)? 指定非直接负责
人员监控评估(如,内部反馈的监控)? Monitoring and evaluation Guidelines for hiring system 监控和评估招聘系
(b)Monitor and assess on: 统的指引
Policies and procedures execution, Impact to business, Turnover analysis,Worker shortages,
6. Monitoring Worker’s Service Year Analysis, Workers’ Age /education Analysis 监控评估政策和程序的执行, 对 Procedures for handling complaints and irregularities in the hiring process 关
and Evaluation
监控和评估 业务正负面影响, 流失率分析, 员工短缺情况, ,工人年龄/工龄/学历结构分析. 于招聘过程中的违规投诉处理程序
(c) Have procedures for handling complaints and reports of any irregularities in the process?有投 Turnover Rate Turnover Rate Analysis 员工流失率分析
诉处理程序应对体系过程中的违规行为? Worker’s Service Year Analysis/ Workers’ Age Range Analysis
员工服务年限分析/ 工人年龄层分析
(d)Is annual review done for continuous improvement?是否有年度评审和持续改善?
Work force monthly / annual Analysis Report 工厂用工月度/ 年度评审报
告

2. Training & Development System 培训和发展系统

(a)What is written training policies/ requirements? 工厂是否有关于培训的政策/规定?

(b) Are Training and Development Objectives defined. 是否定义了培训和发展目标?
1. Policy
书面相关政策 Supplier Social Responsibility Standards are included in these objectives. 供应商社会责任标准
是包含在目标里
(c) Trainings for all workers. 所有员工都可接受培训. Training policies/ procedures 培训的政策程序
(d)Training is linked to all management systems. 培训与所有的管理系统相联系的.
(a) Is there a specific HR unit or person responsible for Training and Development function?Are
responsibilities explicitly indicated in job descriptions of trainers?
有配置HR或专人负责培训发展事宜?在其工作描述中有明确的规定其培训的职责?
2.
Responsibilities /
(b) Is worker learning linked to job descriptions and job requirements. 员工学习与工作描述和工作
Organization
负责人/ 团队 需求相结合? Training and Development Responsibility Definition
培训发展职责介定说明
*(c)Department heads take responsibility for meeting training goals and objectives.部门主管负责任
应该参与制定培训目标
Training Needs Analysis 培训需求分析
(a) How does factory conduct formal TNA? -who/when/how/budget. CSR training needs included.
如何做正式的培训需求分析? - 由谁/何时/怎样/预算. 否包括社会责任标准.
- Includes: customer needs / job requirement/ new hire/ new product and technology, / audit
finding / new law / Training Needs Survey / Career development/ Performance evaluation 包括
: 客户需求 / 工作要求 / 新岗位 / 新产品和技术 / 审核发现 / 新法律 / 需求调查 / 职业发展/绩效评 Training Needs Survey From 培训需求调查表
估 Training Needs Analysis Guidelines 培训需求分析指引
 Training Plan 培训计划
(a) Have training plan (Annual/ Quarterly/ Monthly). Adjust according to the actual condition. 有培
训计划 (年度/季度/月度) . 根据实际情况调整培训计划.
(b) Training for each level and different departments. 培训是否给到全体员工.
(c) Trainer / room / tool / materials / registration and records / Trainee /Time
培训师 / 会议室 / 工具 / 材料 / 注册和记录 / 参加者 / 时间
(d) Mmanagement trained on workers rights, communication policy, grievance , effective
supervision & leadership etc.
管理人员参加有关工人权利、沟通政策、申诉、有效监督和领导力等的培训.
Training Plan 培训计划

Training Type/Topics 培训类型/主题

(a) Internal Training Type/Topics & Hours 内部培训类型/主题和时间
(b) External Trainings Type/Topics & Hours 外部培训类型/主题和时间
3. Procedures Training Topics 培训主题材料
/ Structure (c) Taining program covers:
程序/架构 handbook, social responsibility standards, legal standards, COC, company policies, C & B, work
COC/ Company policies
hour system, Performance management system, discipline and termination system, Hiring Management System
harassment/abuse, workers communication and grievance system , workers rights & Performance management systemC & B
obligations,fire drill, emergency evacuation, waste management, PPE, machine/chemical safety / C&B
etc.) Work hour / Production system
培训项目/课程包括: Reward, Discipline and Termination system
员工手册, 以及社会责任标准: 法律标准,CoC行为守则, 公司政策和程序,薪酬福利, 工时制度, 绩效考 Harassment/abuse
核, 惩罚与离职, 反骚扰, 申述处理机制, 工人权利和义务等 Workers communication and grievance system
消防演习, 废弃管理, PPE,机器/化学品安全, Labor Contract/ Workers rights & obligations
(d) CSR Training Hours 社会责任的培训小时 Fire Safety
Emergency Response
Waste management
PPE
Machinery safety
Chemical safety
Training facilities 培训安排和跟进
(a) Training and documentation in local language? Maintain updated and sufficient training
material. 培训和资料用当地语言, 更新保存培训资料.
(b) appropriate training room 安排合适的培训场所.
(c) keep training records and maintain training records for each employee. 保留每个员工的个人 Training records for Individual, Team and the Company 个人/ 部门/ 公司
培训记录. 培训记录.
Trainer's Qualification培训师资质
(a) identify, qualify and assign external trainers or internal trainer. 确定培训师(内/外部培训师)
Are trainers adequately trained and/or qualified to conduct training? 讲师是否有被培训或有任何资 Trainers Qualification Management
质吗？
(b) objective evaluation and incentive for trainer. 培训师评价激励方案? 培训师的管理
(a) communicate the training program and training plan to workers by orientation or poster or
4. meeting etc. 透过入职培训, 公告, 会议等方式告知工人培训体系计划等.
Communication (b) training needs of workers identified and all workers receive adequate and effective training for
and Training the job.
沟通和培训 确定所有的员工培训需要。工人培训足够有效.

How does factory evaluate the training effectiveness/ monitor and evaluate this system?工厂如何
监控和评估该系统?
(a)There is a feedback process on training evaluation results针对培训效果评估的反馈流程
5. Monitoring (b)There is a regular training effectiveness evaluation with actions for improvement. 每次培训后都
and Evaluation 会做培训效果评估
监控和评估 (c)Actions are taken to improve effectiveness of training on the basis of evaluation. 根据培训效果
评估结果采取行动改进培训流程 Training Effectiveness Evaluation Procedures
(d) Taining summary? Training KPI? Training impact on performance?培训统计, 指标. 培训对于绩 Training Effectiveness Evaluation Form
效的影响. Training-resulted KPI

3. Performance Management System 绩效管理系统

(a) Supplier/ factory has manual to guide performance system. 供应商有对工厂关于绩效管理的指

引
(b) - There are clear guidelines for evaluating workers’ performance for promotion and merit
increases with feedback mechanism.
1. Policy
书面相关政策 - 有明确的指南评估员工的工作绩效用于加薪晋升，并且有反馈机制
- SMART performance evaluation plans (specific, measurable, attainable, time-bound) based on
objective targets. - 有效的考核体系应该基于客观的目标
- Aligned goals and objectives of individual and organization 个人和企业有一致目标
(c)CSR are included in this Policy 社会责任也在考核之列. Performance Management Policy and Procedures

2. (a) Assigned person responsible forit. 有专人负责绩效管理.

Responsibilities/ (b) In addition to HR,are functional supervisor/manager responsibilities for it. 除了HR,部门主管/经
team 理参与员工表现考核.
负责人/ 团队
(c) roles and responsibilities clearly defined. 明确职责
KPI
(a) What KPI? How's the KPI set up. 工厂有哪些KPI/ 工厂如何设置KPI.
CSR included. (Safety / QA / Production / EC / Sales) 含有企业社会责任相关的KPI. （安全/ 质量/
生产/ 环境/ 销售）
(b) Workers representatives involv in 工人代表是否参与
(c) Worker appraisal based on goals and objectives agreed upon and communicated at the
beginning of the year.考核是基于年初的目标制定和沟通而建立 KPI Management

Performance Review Process 绩效评估过程

(a) Worker appraisal system covers 绩效评估涵盖:
- Probationary employees/trainees up for promotion/demotion to regular status /Regular
workers 试用期/培训期员工升级/降级考核/ 固定合同工
(b) Performance Review Frequency, Annual at least 绩效评估频率-至少一年一次
(c) Review Target Should covers all employees 绩效评估 应该包括所有员工.
(d) How's the evaluaiton steps? 审核的步骤是怎样的？
e.g.: 3 steps- worker Self- evaluation, direct manager, indirect manager evaluation
考核三步骤：自我审核，直接经历，间接经理审核
(e) Performance Standards are measurable. 考核指标可测.
(f) Performance indicators base on job descriptions.考核指标基于职责描述. Performance Management Procedures- For Workers
3. Procedures (g) Accurate record of performance results 准确记录员工考核结果 Performance Evalaution Form
/ Structure
程序/架构 Performance Management Procedures- For Management Saff
Impact of Performance evaluation 绩效评估的影响
(a) allowance/ bonus / piece-rate linked with performance 奖金 / 计件考核与绩效评估挂钩
(c) training /improvement planning for poor performance. 针对低效率员工的培训/提升计划 Reward for Good Performance
Improvement for Poor Performance
Career Development 职业发展
(a) promotion criteria & process for workers. 工人的升职标准和程序
(b) performance evaluation impact promotion and incentive. 绩效考核影响工人的升职激励 Career Development and Promotion Procedures
(c) Woman Empowerment Program 妇女提升项目 Promotion Sample
 Communication and feedback on time 及时的交流和反馈

(a) Does the performance evaluation process includes feedback systems for workers and
management?
绩效评估体系中员工是否有对个人表现的反馈机会？
(b) Is there any mechanism to ensure the fairness through the performance review & promotion?
有什么机制可以确保绩效评估和升职的公平性?

E.g.: Promotion Name List Publication 升职名单公示

Grievance system 申诉系统 Appeal Case for Performance Evlaution
4. (a) Orientation /training and communcation to all workers on the system.
Communication
and Training
针对员工考核体系的培训沟通
沟通和培训 (b) Managers trained on how to execute the system.经理有参加执行绩效评估体系的培训.

(a) HR recording and tracking performance ratings of workers. HR部门对员工考核体系和员工考核

5. Monitoring 结果的维护跟踪
and Evaluation
监控和评估 (b)The System is evaluated periodically for effectiveness with feedback from all employees. 包括 Performance Evaluation Summary and Performance Evalaution Analysis
参考员工反馈, 定期评估考核体系成效

4. Compensation & Benefits System 薪酬管理系统

(a) supplier has policy to guide factory on C&B system.
供应商有政策指导工厂薪酬管理体系
(b) factory has written policy on workers’ Compensation and Benefits. 工厂有明确的薪资政策.
1. Policy (c) CSR requirements are include. 工厂薪资福利政策中 社会责任要求.
书面相关政策 (d) Clear policy on determining and implementing bonuses, incentives, loans and
deductions. 有政策明确规定奖金、奖励、贷款和扣款.
(e) policies and procedures allowing for wage increases based on contribution difference, skills,
productivity or other relevant factors. 不同岗位不同贡献有不同薪资增长政策. Compensation & Benefits Policy and Procedures
2. Law/ (a) Regulation & Laws on C&B update 薪资福利法律规范的更新
法律要求

(a) Responsibile persons for the system: Qualification and sufficient workforce for timely and
3. Responsible
Person/ Team
accurate C & B execution. 合格的 薪酬管理人员足够, 保证准时准确的执行.
负责人/ 团队 (b) Clear roles and responsibilities 薪资专员的任务与职责明确

Payroll System 工资系统

(a) wage structure 工资结构
(c)wage research / benchmarking and result (competatvie). 工资的市场调研比对
(d) Secondary/third Check of payroll with the time recording system before payment approval.
支出付工资之前，进行工资与工时核对.
(e) Records of workers’ output, hours worked, and piece-rates are kept and are easily
available to workers. 员工可以随时调阅自己的薪资相关记录 Wage Structure and Payroll System 工资结构
(f) Special grievance procedure on C&B 针对薪资福利的投诉受理程序 wage benchmarking 工资市场调研比对
Insurance 保险
4. Procedure
and tools
(a) Pprovide insurance benefits for all workers according to law.
程序和工具 按法规要求提供保险. Insurance Records
Application not to buy Insurance
None-cash Benefit -total equivalent- RMB/ USD 非现金福利- 折合现金
(a) Does factory provide all workers free health check? 工厂是否有提供给工人免费体检?
(b) Training / Entertainment Facilities免费培训/ 娱乐设施
(c) Low price / Free Meals & Dormitory 低价格/ 免费的伙食&宿舍
(d) Activities - E.g.: Evening Party, Sports Games 如: 晚会,运动会
(e) Gifts -E.g.: Birthday Gifts, Traditional Festival Gifts 例如: 生日礼物, 传统节日礼物
Summary of additional benefits
5.Communicatio (a) Train all workers on the C&B system. 对员工薪酬和福利体系 培训员工
n and Training (b) C & B management staff are trained on the effectiveness. 管理人员接受相关培训.
沟通和培训
Training records
6. Monitoring Supplier and factory monitor and evaluate this system regularly.
and Evaluation
监控和评估 工厂定期监控和评估该系统.
C & B Summary and Analysis

5. Discipline & Termination System 惩罚和辞退管理系统

(a) Supplier has written policy/procedure to guide factory on Discipline & Termination system with
fairness. 供应商有书面政策指导工厂公平合理惩罚和终止雇佣体系.
(b) Policy includes a statement upholding fair and standard discipline and termination procedure
政策包含公平处置程序
1. Written - Policy in compliance with legal requirement and prohibit Punitive fines and deductions, any
Policies
书面相关政策 harassment or abuse of any kind (physical, verbal, sexual, corporal punishment) 政策与法律法规
相一致.禁止惩戒性罚款与扣款,任何形式的骚扰与虐待（身体上、语言上、性别上、体罚).
- Policy focus on the prevention of disciplinary faults, 政策着眼与防范违规
- For final settlement of resigned workers follow the exit interview process to know the actual
reason of resignation.在解雇发生前, 进行调查和员工访谈。
Discipline & Termination Policy and Procedures 惩罚和辞退政策和程序

Responsible persons:
(b) Please specify the responsibility of responsible person / team. 说明团队成员与职责
2. Responsible - defined roles and responsibilities 经理和主管有清晰的任务和职责描述
Person/ Team - qualifications- Training supervisors and managers on discipline and termination policies and
负责人/ 团队 requirements. 经理和主管是否接受过劳动纪律和解雇政策及要求的培训
- Have an impartial team or external party for investigation and decision making. 成立专门小组/
外部机构调查处理相关事件

(a) Types of discipline 哪些类型的劳动纪律

- Clear definition of disciplinary misconduct types. 清晰界定不同类型违纪行为.
- Clear definition of disciplinary sanctions types (verbal, written, suspension or termination) Misconducts Identification and Classification违纪行为定义分类
包括对不同惩戒类型的界定（如口头、书面、留职察看、解雇） Disciplinary Identification and Classification 违纪惩戒定义分类
(b) What are discipline criteria? 劳动纪律有哪些标准？
- A Clearly defined Code of Behavior for managers, supervisors and all workers 定义行为准则
3. Disciplinary - Violations to the Code of Behavior are reported for appropriate action 明确行为准则的违规项
System
惩罚系统 (c) Disciplinary procedure is included in employee hand book and accessible to all employees 劳
动纪律要求涵盖在员工手册中并方便全体员工取阅
(d)How's the discipline process?
- There are procedures of evaluating disciplinary faults and sanctions, ensuring confidentiality. 制
订纪律违规评估程序及处罚执行规程和保护隐私.
- Exit interviews with terminated / resigned employees 进行离职面谈 Disciplinary Records 纪律处罚记录
- Records of dismissed employees according to legal provisions 保存纪律处罚记录 Exit interviews Record 离职面谈记录

(a) termination criteria 辞退的依据

4. Termination (b) How's the termination process?Are Exit interviews and/or meetings of terminated/resigned
辞退 employees conducted? 辞退的过程是怎样? 是否进行员工离职调查？
(c) have an example 提供实例
 (a) Neutral party involved in the discipline & termination process. E.g.: worker union, worker’s
representative, HR. 有中立方参与到辞退过程. 例如: 工会,员工代表大会, 人事
(b) Appeal chance for workers 工人申诉
- Procedure for the worker could defend against a discipline 工人可通过程序提出异议
5. Appeal - Complaints of violations of Code of Behavior are investigated 对违规投诉进行调查
公平/申诉
- Impartial Investigation Process:Committee to investigate, evaluate, and take appropriate action
free of discrimination. 公平的调查流程：无不公平行为无歧视
- Committee to investigate, evaluation, and sanction (avoiding discrimination)
成立小组进行调查、评估和裁决（在此过程中避免出现行为）
Appeal Procedure
Appeal Case and Investigation record

Training is provided to worker on Discipline & Termination system.

工厂有提供任何有关惩罚和终止雇佣的培训来指导工人吗?
- Responsible Staff or persons are qualified with sufficient training/ experience.
6. Training and 确保相关人员具备相关经验并接受过相关培训
Communication - Training is provided to managers and supervisors for proper implementation of disciplinary
相关培训 policies. 经理和主管须接受劳动纪律政策的培训以确保实施上的一致性
- Workers are well trained on it and violation consequency in orientation, training session, meeting
etc. 工人有足够的培训,清楚相关规定及违反规定的后果.

Training Material and Records on Managing Discipline

How does factory monitor and evaluate this system? 工厂如何监控和评估该系统?

- There are procedures to follow up on corrective action and review it's effectiveness
建立跟进改善流程并核查其效果
7. Monitoring - There are procedures for in-direct responsible persons to monitor and evaluate the complaince
and Evaluation and effectiveness. 由非直接相关的人员监督评估该体系.
监控和评估 - Results are recorded and reported to the responsible person for corrective action
评审的结果应该被记录并报告给责任人，以便于采取改善措施
- Cases of Discipline and Termination are reviewd and analyzed to identify possible areas of
intervention to minimize their recurrence 统计频发事故并进行防范的案例
Discipline and Termination Summary and Analysis

6. Worker Communication & Feedback System 员工沟通与意见反馈系统

(a) Supplier has guidance for factory on Communication system.

供应商有对工厂员工沟通和意见反馈系统的指导.
(b) Factory has written policies/ requirements about Communication system.
工厂有员工沟通和意见反馈的政策/规定.
1. Written
Policies
- A policy that states the commitment to worker communication and workers to be heard
书面相关政策 政策须承诺提供员工交流渠道倾听员工声音
- The policy uphold the worker's right to associate freely in accordance with local legal
requirements. No retalidation, or discrimination. 维护工人合法的结社自由权利, 禁止报复与歧视.
- Worker Committees involve in the policy setting, renewal, and implementation with agreement.
工会委员会参与并同意员工沟通体系和执行的过程.
Worker Communication Policy and Procedures
(a) Who is responsible. 谁负责
- worker representatives / HR/ function managers / third party etc.
专人负责员工
- Frequent interactions between the management and workers at shop floor
2. Responsible
Person/ Team
工厂管理人员与生产员工定期互动
负责人/ 团队 - Define responsibility. 明确职责
- Define the roles and responsibilities of worker representatives, managers, and supervisors on
labor relations in their job descriptions. 在工人代表、经理和主管的岗位描述中清晰提及其涉及劳动
关系部分的角色与职责

(a) Approaches/ Channels to collect worker’s suggestion and How the channel works effectively.
获得工人意见的渠道, 作用机制.
E.g.: suggestion box 建议箱; GM's E-mail 总经理邮箱; QQ; worker union工会;
3. worker representative committee 员工代表大会
Communication
Approaches - Worker Committee meetings are documented and communicated to management
沟通渠道 至少有一种形式的员工委员会，且有书面的管理运营流程
- Procedures are in place to protect confidentiality of information
一些必要信息保密政策
- Does company culture support the communciation system? 公司的文化是否支持它?

(a) Factory has procedures for management to respond on worker feedback. Frequent
interactions between the management and workers.
管理层对员工反馈做出响应及沟通的程序, 常与工人沟通.
- The supplier/ factory CoC provides guidance on the system.
工厂或客户的行为准则指导员工反馈机制.
- Workers are encouraged and acknowledge for giving suggestion. 鼓励认可.员工的建议.
- Workers' feedback is documented and provided back to workers through management
responses on notice boards, discussions in worker committee meetings and other means
管理层通过诸如公告栏、员工讨论会等方式提供对员工意见的反馈
4.Procedure and
tools
- Senior Management have interaction with all workers regularly, e.g. once a year.
程序和工具 高层管理与工人的互动活动（如每年进行一次大会）
- Collecting feedback from workers directly before and after any new announcement / new policy
implementaion. 新提案 / 新政策的实施前后的反馈机制

(b) For grienvance case. 对于申诉的案例

- Identification on different scenarios, Conduct investigation, survey and interview, keep records.
识别区分工人申诉的不同类型,展开调查员工访谈, 存档.
- Different procedures on managing grievance and suggestions. 针对员工意见和申诉有不同的管理
程序 Suggestion Procedures
Appeal Procedures

The representativeness and the work mechanism.

5. Workers’ (a) the nomination, selection, voting procedure
Representative 员工代表的提名, 选拔和选举的过程
(or Union) (b) workers' representative hold any regular meeting/ activities. 组织一些会议/活动
员工代表
(c) function with labor union 工会的职能
(d) achievements and cases 提供实际例子和工作总结
Labour Union Procedures
(a) survey types- Workers satisfactory / exit survey/ Specific subject survey etc.意见调查类型- 满
6. Workers 意度调查/ 离职/ 专题调查
Survey (b) Survey questionnaire structure, frequency,
员工意见调查 调查内容的结构.
(c) Survey result analysis : Top 3 issues etc.调查结果分析, 关注前3要点
Workers Satisfactory Survey Procedures and Form 满意度调查
(d) Follow up action with examples. 跟进行动计划(举例说明) Exit Survey Survey 离职调查
Specific Subject Survey 专题调查
 Training worker on the communication system. 提供有关沟通程序的培训给工人.
- Creating awareness on the system through e.g. notice boards, circulars, memos, public address
systems, hotline, open door, labor union committee etc
通过诸如公告栏、宣传单、备忘录、公共系统、热线、开门政策、劳工工会组织等方式实现政策的
传达。
7. - Training mid management on the system and related skills.
Communication 培训中层管理该体系和沟通技巧
and Training - Worker representatives are trained to perform their assigned tasks and functions
沟通和培训 工人代表接受了与其职能相关的培训
- The roles and responsibilities of worker representatives are formally communicated to the entire
workforce 将工人代表的任务和职责培训给工人.
- All workers are easy to approach Worker representatives. 所有工人都能接触到工人代表
Training Materials on Management Skills
Communication Skills
Training to Worker Representatives

A- Monitor and evaluate the labor relations, the processes, activities, and practices.
定期对劳资关系处理，活动的合规性进行监管
- document monitoring, verifying, and correcting related activities and process.
8. Monitoring 记录好监督、核实、改正相关活动过程
and Evaluation
监控和评估 - Procedure to measure effectiveness of worker communication systems
测评估员工交流沟通体系
- Periodically review labor relations policies, and procedures, processes activities and the
effectiveness. 定期检查劳资关系处理流程/制度的实际操作效果
Summary and Analysis on the communications results

7. Work Hours & Production System 工作时间及生产系统

(a) Supplier has policy to guide factory on Work Hours & Production system?
供应商对工厂关于工时和生产系统政策
(b) Factory written policies/ requirements about Work Hours & Production system. 工厂关于工时和
生产的政策/规定.
- Written working hours policy according to legal requirements 合法的书面工时政策
- Production planning based on legal working hours limit 基于法定工时进行生产安排
- Daily / Total weekly working hour and 7th day rest in good complaince
日工时/ 周总工时/ 第7天休息合规
1. Written
Policies - Shift working 合理安排倒班
书面相关政策 - Working hours for juvenile workers 按照法律法规安排未成年工的工作时间
- Back-up strategy for urgent business needs e.g. rush order or seasonal production
制定生产应急预案
* Production engineering and work study department exists in the factory to determine workers
efficiency and ensuring wokers productivity
配备生产工程师和工作研究部门负责工人工作效率的测定以确保生产效率的统计和控制

Work Hours Policy and Procedures 工时政策和管控程序

2. Law/Customer (a) factory conducts the law/ customer requirements mapping on it. 工厂有分析对比将法律/客户
Requirements
工时要求
Mapping法律/客
户要求分析 (b) Aware of and Identify Critical Requirement on suc-con and supply chain management? Law and Customers Requirements Analysis 法规及客人要求分析
供应商(链)- 分包商管理
(a) Roles and responsibilities-职责
-Who is responsible 谁负责
- Responsibility definition 明确负责人职责
3. Responsibility
责任落实 - Defind OT approval and reporting process 加班安排的审批和汇报程序
- OT Approval and reporting procedure goes to senior management for sign-off.
高层管理须参与到工厂加班工时的审批和汇报中 Roles and Responsibilities
责任权限落实

(a) OTpolicy 工厂加班时间控制政策

(b) OT control criteria/ tools 控制加班工时的 辅助工具
4. OT Control (c) voluntary OT work policy and implementation 加班自愿原则
加班控制 (d) OT application process. Responsibilities of relevant departments for OT controlling, E.g.: HR,
Production, Compliance department. 加班申请的流程. 相关部门职责, 例如:人事，生产，合规部 OT Procedures 加班控制程序
门 OT Applciation Form 加班申请表
OT control tool 加班控制工具
(a) attendance recording system-E.g.: punch card/ manual record 考勤系统-电子/手工记录…
- Accurate all in and out time records 准确记录每位工人的进出工时
- manual records -signed by the worker 检查工人的人工签名纪录
- Consistent time records and payroll /operation 工时记录与工资/营运记录一致
- Good Production planning system based on the productivityto ensure that working hours
compliance 生产计划安排确保工时合规
5. Attendance - Back up mechanism for time recording data 工时记录备份
System - Secondary/ third dialy check to ensure effective and accurate time recording system
考勤系统 每日工时系统的检查以确保系统的有效准确

(b) How to deal with unusual attendance cases? 如何处理打卡异常?

1. Is there secondary check to ensure the time recording system is working effectively in every
pay cycle,. Work Hours Record of Peak Seasoon
2. Consistent and Accurate records of overtime hours for each individual worker? Management on Work Hour Abnormity

(a) Good Production Planning- considering all factors impacting OT e.g. work force change,
Absenteeism, Material situations etc
制定生产计划时考虑到意外加班因素，如人员的减少、缺勤、物料不足等 Production Plan
6. Production (b) Please list production system projects / techniques/ QA System/ machinery/ skilled workers/
System (5S/ Production MeetingMemo
LEAN)
other advantages in the factory. QA System
生产系统(5S/ 精益 请列出工厂的生产项目/ 技术 /机械/特点/熟练工人/其他优势 Machinery Maintenance Plan
生产) (c) Good practices and Decrease OT by Improving production efficiency with lean production
精益生产 , 多方革新, 努力提高生产效率 -成功案例分享.
Multi-skills Workers Program
(d) Supply Chain Management- with the policy and procedures? 5S Program
5S Checklist
Lean Production

training workers on the system and policy 提供有关工时政策和体系培训给工人

- Working hour policy and procedure posted local language for all workers
工人可顺利获取张贴的工时政策和程序
- All workers and managers are clear on it. 管理者和员工都清楚工时政策要求
- Production function managers are clear on the system and implementation with training.
7. 生产等管理人员都应获得工时政策、程序和操作规程的培训
Communication - Contracted labor agents are trained and monitored on it. (if applicable)
and Training 培训监控劳动代理
沟通和培训 - Feedback system with customers on production and delivery time for compliance.
与客户的生产与交货期的反馈机制, 满足工时合规

- HR tracking overtime hours for each individual worker HR跟踪监控工人加班时间

- Workers can have daily check own work hours. 工人每天核实他们的实际出勤状况

Work Hours Monitoring records/ Summary

 monitor and evaluate this system 监控和评估该系统
- Managment have Periodic review of working hours system (or through internal audit). 工厂管理
者定期评估工厂的工时制度（通过内审或者其他方式）
- Improvements actions 工厂管理者应根据监管和评估记录改善工时政策、流程和操作规程
8. Monitoring
and Evaluation * Three-level check systems in working hours before disbursing wages to workers. Including
监控和评估 Primary Check, Secondary Check, Third Level Check. team
在工资发放前进行三级检查
- Accuracy and consistency assurance of various records ex: broken needle records, production
record and time reocords
检查时须考虑记录的一致性，如断针记录、生产记录和工时记录 KPI of work hours
Work Efficency

8. Environmental Management System 环境管理系统

(a) Supplier policy and guidance on factory Environment system.
供应商关于环境系统指导要求
(b) factory's written policies on Environment system 工厂关于环境的政策
1. Written
Policies
- setting and reviewing environmental objectives and targets
书面相关政策 设立和回顾环境指标与目标
- The Policy and objectives communicated to all employees 培训所有相关人员
- The policy is made publicly available 政策须公开
- Review the Policy on a regular basis (at least annually) and take action if needed.
须有体系对其政策进行定期（如每年）回顾并在有必要修改时进行修改
Environmental Policy and Procedures
(a) Factory set up law bank and identify for use.
Factory conducts the law/ customer requirements mapping on Environment
procedures. 工厂有将法律/客户要求与工厂管理环境程序进行比对.
2. Law/Customer (b) analyze the risk in Environment process.
Requirements 工厂分析管理环境程序中的风险.
Mapping & Risk
Evaluation
法律/客户要求比 Factory environmental policy shall describs activities, products and services, commitment to
对及风险分析 continual improvement and prevention of pollution, to comply with legal requirements 书面的环境
管理政策须包含生产生活的活动描述、产品和服务的介绍、对持续改进和预防污染的承诺、合规的
承诺. Environmental Law/ Customers Requirements Mapping
Environmental Risk Analysis
(a) Have Environment Committee wtih the organization chart and job description. 环境委员会组
织架构及工作职责.
3. Responsible - Dedicated person: the qualification and training chance. 专责人员背景资质或接受过相关培训
Person/ Team
负责人/ 团队 (b) Environment Committee holds the regular meetings/ activiyies EHS Committee O-chart and Responsibilities
环境&安全生产委员会有常规会议/活动 EHS Committee Meeting Memo
Annaul / Monthly Plan and Activities Summary
(a) Is the factory doing the formal/ informal Environment Aspect and Impact Analysis?
Please specify the frequency. When for this year?
工厂是否定期做环境影响评估? 频率是多久一次? 今年是何时?
5. Environment
- To perform an analysis of risk assessments to identify the environmental risks and work to
Aspect and control it. (Aspect-Impact assessment) 识别环境风险因素并进行控制
Impact Analysis - Have an Environmental Emergency Protocol 制定环境应急预案
环境影响分析 (b) List the top 3 aspects respectively.
请列出前三点的环境影响.
(c) Actions to minimize the impact. Tell the story
请说明工厂采取措施降低对环境的影响.
Environmental Impact Assessment Report

(a)Define objectives, targets and goals 明确目标

- Related people involved in objective setting 目标的设定充分听取了相关人员的意见
- Identify all legal requirements and maintain the register-- EIA, approvals, Wastes discharge
permits, monitoring reports etc. 识别所有相关的法规，申请法定文件,证明,许可,检测报告.

(b) How handle wastes. 工厂如何处理和处置废弃物

- Defined Wastes Treatment Procedures 制定废弃物程序(water, air, noise, solid wastes, light)
6. Waste &
Discharge
- Written EMS manual to be practiced, fully accessible and up to date 编制并及时更新培训材料
废物&排放 - Have appropriate storage and disposal processes of waste, using authorized companies for
disposal 制定符合要求的废弃物储存、处置的程序，使用有资质的单位进行废弃物处置 Environmental KPI management
- Recycle waste materials, including plastic, wrap, carton scrap, paper, oil, alcohol, corrugate,
fiber drums and plastic bottles
Discharge Permit
对废弃物进行了回收，如塑料、布料、废纸箱、纸张、油、酒精、起皱物品、纤维、塑料盒 Wastes Management Procedures
(c)Environmental Change Management 环境变更管理 Monitor Reports
Hazardous Wastes Management Procedures
(d)- Manage supply chain 管理下游企业 Environmental Change Management 环境变更管理
Supply Chain Management

(a) When started EE/ how make acheivements. 工厂参加能效提升项目的情况.

-- have Sustainability initiatives: replace lights, use solar energy, to replace machinery, biological
7. EE and RD control instead of Pesticides Control, use rainwater etc 开展可持续项目，如更换节能灯、
Program
能效提升项目 使用太阳能、淘汰旧设备、采取生物控制替代农药控制、搜集雨水用于灌溉等.
(b) Take action to reduce discharge 减排措施
EE Program

(a) Factory internal Environmental Training 工厂内部环境的培训

- Training needs identification done 完成培训需求分析
- Trainings on environment are included in the training plan 培训计划中包括环境培训
- Information on environmental performance is made available to internal stakeholders and
external stakeholders. 内外环境培训宣导
9. Environmental
Training
- ReinforceTraining periodically 定期环境培训
环境培训
- Specific training for exployees who are handling environment aspects
依据所涉及的环境影响的对象的不同进行具体的培训
Training needs Analysis 培训需求分析
(b) Training by external experts for the management. 管理人员接受外部专业培训 Trainings Plan on Environment 环境培训计划
E.g.: EHS Academy Environmental Training Materials
 How does factory monitor and evaluate this system? Conduct EMS audit? Is it the management
review annually? 工厂如何监控和评估该系统?
- EMS audits to ensure that the site is implementing, maintaining and confirming with the EMS.
进行环境管理体系审核
- At minimum, management reviews to be undertaken annually. 管理层至少每年评估一次
- The review outputs: decisions and actions of improvement.
管理层对环境管理体系的评估结果
Some reference 评估参考:
* Have KPI targets to measure the performance of the management system (examples: waste
reduction, water consumption). 设定了KPI
* Have programs to monitor and conserve energy use, reduce waste from operations and officers,
11. Monitoring increase our recycling efforts and water conservation efforts. 开展了诸如节水、节能、减废、增加
and Evaluation
监控和评估 循环利用率等项目
* Reduce waste operations through ex: Lean, Six Sigma. 减少废弃物在运营环节中的产生，如进行
精益生产、推广6sigma理论
(a) Any award relates to environment got from external parties?
是否有获得一些由第三方颁发的环保的奖项?
Have any relevant certificate.E.g.: ISO 14001
工厂是否有相关的证书?
(b) Please summary the investment in environment area.
请总结在环境方面的投资. Daily or Weekly Environmental Checklist
Monthly/ Quaterly/ Annual Evaluation Report
Achievements / Reward Summary

9. Health & Safety System 健康和安全系统

(a) Supplier has policy to guide factory on Health & Safety system.
供应商有对工厂关于健康安全系统的指导政策
- The Policy include objectives,and commitment to the prevention of occupational injuries and
illnesses 政策须包括目标及对预防工伤和职业病的承诺。
(b) Factory has written policies/ requirements about Health & Safety system.
1. Written 工厂有关于健康安全的政策/规定
Policies 书面政策 - The policy covers legal requirements including fire safety and machine and chemical safety.
政策须包含相关法律法规要求，包括消防安全、机械安全和化学品安全。

- Emergency response measures to natural disasters such as earthquake of tsunami.

自然灾害如地震、海啸的应急措施
- Establish and maintain health and safety objectives and targets 管理目标 Health & Safety Policy and Procedures
Health and Safety KPI management

(a) Factory conducts the law/ customer requirements identification, mapping training on Health &
2. Law/Customer
Requirements Safety. 工厂有识别, 比对培训相关健康安全法律/客户标准要求
Mapping & Risk - Define Health & Safety policy 制定健康安全政策
Evaluation - Easily available 易于查阅
法律/客户要求及 - Regular review and update 定期及时更新
风险分析
(b) Analyze the Health & Safety risk in production process. 工厂有分析健康安全风险
Law and Customers Requirements Mapping
Health and Safety Risk Analysis
(a) Factory has Health & Safety Committee with clear organization report line and the job
description. 工厂有健康安全委员会, 组织架构, 工作职责说明
- Management and employees are included. 健康安全委员会须涵盖管理人员和员工。
- The team have qualifications, roles and responsibilites. 团队资格, 工作职责
- Dedicated cross-functional team for fire safety 跨部门的消防小组
- List and pictures of the first aid team should be available at the floor.
急救人员名单及照片须张贴在工厂显眼位置
(b) Health & Safety Committee regular meetings 环境&安全生产委员会常规会议
Health and Safety O-chart and Responsibilities
H & S Meeting Memo

(c) Committee activites 委员会相关活动

3. Responsible - identify all applicable OH&S training requirements, legislations, identification for hazadous
Person/ Team
负责人/ 团队 materials and control measures. 培训需求分析、法律的搜集、对有害物质进行识别和控制。
- Handling procedures for the following: Storage requirements, Segregation, Inspection
requirements, Housekeeping and Personal Protective Equipment. 按照贮存、隔离、观察、PPE等
要求进行操作

Any H &S programmes are implemented. e.g. safety week / month, exhibitions,Health Promotion
programs, campaign against smoking, high blood pressure, infection diseases, biological
monitoring, immunisations programs, genetic screening, serious communicable disease, testing
for alcohol and drugs. 组织有效的宣传活动。如每周安全、每月安全、展览、离岗活动、健康宣传
、戒烟运动、预防高血压、预防传染病、生物监控、疫苗注射、遗传病筛查、严重的传染性疾病、
酒精及毒品检测
Effective access control system, e.g. warehouse, chemicals, explosive area, high workstation,
electricity lock out and tag out. 施行特殊工作场合进出控制。

H & S Committee Management

(a) Fire Safety Management Procedures

(b) Chemical Management Fire Safety Management Procedures
(c) Manchinery Safety Chemical Management
4. Procedures (d) Electricity-- Regular monitoring of electrical applicance / insulation 定期检查维护电器设备和绝 Manchinery Safety/ Machine SOP/ Machine Maitenance Checklist
缘设施 Electricity Safety
(e) Emergency Response
Emergency Response
(f) Changement Management
Changement Management
Health and Safety Checklist

(a) Factory buys injury insurance for all workers.工伤保险全买

(b) There is procedure to handle work-related injury. 有处理工伤的程序
(c) Have work-related injury investigation and report. 有工伤调查报告
5. Work Injury - Incident / Accident tracking / analysis system through Root Cause Analysis system / WHY
工伤 analysis techniques. 运用根源分析法对事故进行跟踪分析。
- Incident / Accident records are maintained 保留事件/ 事故记录
(d) Work-related injury rate & cases summary.
工伤率和工伤案例总结 Work Injury Report and Follow up form
Work Injury Summary
(a) Protection methods applied in production 生产中的保护措施
- Production crafts improvement 生产工艺改善
- Effective maintenance program cover mechanical and electrical.有效的维护，包括机械、电
- Use new chemicals or techniques to replace toxic and hazardous ones.
用新化学物质或技术取代旧的有毒、有害的物质
(b) human engineering application 人机功效的应用 Machinery Maintenance Management/ Plan
6. Protection
Methods (d) PPE应用管理
保护措施 - Identify and document PPE needs with risk assessment 风险和PPE的需求分析
- defined PPE rules or procedures 建立管理规则和程序
- Well monitored and replaced or maintained 监控, 及时更新或替换
- All employees are well trained 培训所有员工
(e) First Aid and medical care 急救与医疗设施
- Availablility of first aid box at floor. 医药箱方便获取
- Well equipped medical clinic / dispensary 条件良好的诊所 PPE management Procedure
7. Occupational (a) occupational health examination provided to workers needed 提供职业健康检查
health exam E.g. :Pre-job/ on-job examination 上岗前/ 在岗检查
健康检查 - well recorded and accessible. 健康记录可查询

8. Dormitory and
Canteen Factory ensure the sanitation in dormitory and canteen. Sanitory Team with training and
Sanitation monitoring. 确保宿舍和食堂卫生- 清洁组, 有培训, 有检查. Dormitory Management Procedure
宿舍食堂卫生 Canteen Management Procedure
(a) factory internal health & safety training 工厂健康安全的培训
- The policy be posted and readable in local language by all employees
政策须由当地语言编写、进行张贴并方便阅读
- Awareness training for workerson local law and buyers' standard.
工人须了解当地法律法规及客户的要求
- Trained fire fighting team of employees 训练有素的消防小组由员工组成
9. Health &
Safety Training
- Regular training on H & S include PPE use. 健康安全培训, 包含PPE的使用
健康和安全培训 - Participation of Management staff in the training session. 管理层参与培训
- Awareness sesstion in orientation 入职培训包括健康安全常识
Health and Safety Training Plan
Health and Safety Training Material
Health and Safety Training Record
(b) If factory participates external health & safety training, E.g.: EHS Academy
工厂是否有参加外部的职业健康安全培训, E.g.: EHS Academy Outsourced Training Management

(a) How does factory monitor and evaluate this system? 工厂如何监控和评估该系统?
- Rreviewed annually and revised to ensure relevant and appropriate. 每年评估，确保有效
- Training effectiveness evaluation 培训效果评估
- Use an up-to-date system to measure, monitor and record the number of first aid, Occupational
11. Monitoring Injuries and illness cases. 记录, 衡量、监控和跟踪急救、工伤及职业病
and Evaluation
监控和评估 - The management review for changes to policy, objectives, and other elements of the system for
continuous improvement. 持续改进, 经管理评估调整政策目标及其它体系内容

(b) Health and Safety Award 职业健康安全奖项

(c) Summary on health & safety investment. 总结在职业健康安全方面的投资.
Health and Safety Evaluation Report
Supply Chain Management/ Sub-con

Ethical Sourcing audits required for factories producing: 生产以下产品的工厂需要做道德采购审核

Merchandise imported by Walmart (Walmart is the importer of record)

所有由沃尔玛进口的商品 （沃尔玛是注册进口商）

Merchandise sourced through Walmart Global Sourcing

所有由沃尔玛全球采办采购的商品

Any private label, licensed, or non-branded merchandise

所有沃尔玛贴牌、许可或非品牌商品

Brands exclusive to Walmart 所有由沃尔玛独家销售的商品

Merchandise labeled as “distributed by/manufactured for Walmart”

Standards and 带有如“由沃尔玛销售/生产” 等标记的商品
requirement
Packing materials with logos/brands exclusive to Walmart
包装材料上印有沃尔玛专有标志或商标或提及沃尔玛的商品

Merchandise components bearing any mark associated with Walmart

商品零部件带有沃尔玛标志的任何商品

Augmentation of any merchandise in scope for Walmart Ethical Sourcing including but not limited to washing, embroidering,
assembling, printing etc. 沃尔玛道德采购项目范围中的商品通过生产或加工（包括但不限于洗涤、刺绣、装配、
印刷等）的增值
Mandatory factory disclosure: Suppliers must disclose, in advance, the names and locations of all of their in scope facilities to
the buyer or sourcing designee. 工厂信息强制披露：供应商必须提前向买手或相关采购人员披露所有生产工厂的
名称和地点。

Factory IDs will be required to be listed on the sample tag for any items to be considered for finalization.任何产品在最终确
认前供应商须在样板标签上列出生产工厂编号。

All newly disclosed facilities pre-qualification must have a green or yellow rating prior to activated. Orange-rated facilities may
no longer be added to the supplier’s matrices.
所有新披露的工厂应进行道德采购资格预审并取得黄色或绿色评级结果后方可激活。橙色工厂不能加到供应商
的工厂名单中。

Standards and if a supplier wishes to add an already-active factory to their supplier matrix, the factory must have a green or yellow rating.
Requirement 如果供应商要将现有激活状态的工厂增加至其工厂名单,工厂必须是黄色或绿色评级。

Effective June 1, 2013, all suppliers are required to have a company employee for ensuring ES compliance stationed in each
country where the supplier is actively sourcing Walmart product. The name of the in-country representative must be listed on
the sample tag for any items to be considered for finalization.
2013年6月1日起，所有供应商应在生产沃尔玛采购的生产国有一名员工负责确保在该国采购的商品符合沃尔玛
道德采购的要求。任何产品在最终确认前供应商须在样板标签上列出供应商生产国代表的名字。

Are the supplier related people, including top, sales, purchasing, production, QA, and compliance well aware of the related law
and customer policy on Sub-con?供应商有关人员比如高层、销售人员、采购人员、生产人员、QA还有合规人员明
白关于分包的法律和客户政策？
Policy政策 Top has commitment?高层有承诺吗？
How to update the policy?如何更新此政策？
Does supplier has intergrate customer requirement in own COC policy? Well communicated internally and externally?供应上
是否有综合了所有客户要求的政策在他们的COC上面？内部和外部都进行了充分的沟通吗？
KPI set on Supply Chain Management including sub-con compliance?供应链管理的KPI的设定是否包含了分包？
Evidance of implementation of the policy?执行此政策的证据

Who are in charge of it? Clear job description on it for individual position? 谁负责？清晰的岗位职责说明书？
Responsibility The responsible persons qualified? 相关的人是否符合要求？
责任 The background/ Relevant? The competency? Need enhance?背景是否相关？是否具有能力？需要加强吗？
How to impact the performance evaluation? 是否跟表现评估相关？
With reward and incentive mechanism?是否有肯定和奖励机制？
Who lead /who envolved for define and design the procedures and tools?谁领导或者参与到程序和工具的定义及设计过
程当中？
Where embedded the policy and procedure?在哪里植入这些程序和政策？
What is the recource center?资源中心是什么？
What is the report line if any concern?如果有任何问题，汇报线是什么？
Approval Procedure on using sub-con?使用分包时候的审批流程？
Specific tools?具体的工具？

Procedures and
tools程序工具
 Vendor Identification Process供应商资格确认
• Supply chain mapping Map- ALL the suppliers that provide raw materials / accessories / services / resources to your
production processes.了解供应链-列出所有为您的生产流程提供原料，配件，服务的所有供应商。
• Vendor identification供应商资格确认
Types of vendors considered (manufacturing vendors or trading vendors or both)
分析供应商的类型 （生产厂商或者贸易商，或者两者皆是）
Reports, business certificates and credit standings of vendor considered before initiating a purchase process.首次下单前综合
考虑供应商的资质，企业证书和信用状况
Process of obtaining information from factories
Procedures and 从工厂获取信息
tools程序工具 E.g. questionnaire, checklist for self assessment of the factories.如：调查问卷，工厂的自我评估清单
Verification of the information provided by factories for consistency check.
核实工厂提供的有关资料是否一致
Mechanism to analyze information provided by your factories on environmental and social compliance parameters.
建立相关机制去验证工厂提供的关于环境和社会责任审核的相关资料
• Classification of vendors供应商分级

Vendor Pre-qualification Process供应商资格预审

• Vendor Evaluation供应商评估
• Verification复核
• Approval/Disapproval process before initiating the purchase初次订单前批复程序

Engagement with vendors供应商合作

• Vendor Registration供应商登记
• Continuous engagement持续参与合作

Training Program and Training needs analysis includes SCM-Suc-con?培训项目和培训需求分析涉及供应链管理的分包

吗？
Communication Included in the plan? 包含在计划里面吗？
and training Internal/ external trainee?内部/外部学员？
沟通培训 Channel and media？渠道和媒介？
Recorded the training?培训记录？
Training effectiveness evaluated?培训效果评估？
Have and Review all the systemetical sections?拥有并且回顾了所有的系统模块？
Supplier has the effective monitoring procedures? 供应商有奏效的监控程序？
Supplier has the sufficient checklist?供应商有足够的检查清单？
Do you have a dedicated high-integrity team to manage the SCM/ subcontractor performance?有专门高品德素质的团队来
管理供应商/分包商？
Have you included SMC-SUB-CON standards in KPIs? 是否把供应链-供应商管理也作为一项关键绩效指标？
Do you have a regular statement of work prepared for the subcontractors?
是否能提供关于分包商的定期工作报告？
How to evaluate the internal performance on on the subject using the KPIs? 如何用关键绩效指标来评估内部供应商/分包
商的管理？
Monitoring and How do you compare and evaluate the performance of all subcontractors using the Scorecard or KPIs? 如何用关键绩效指标
Evaluation 来比较和评估所有的分包商？
监督评估 What is the feedback mechanism in place to report the performance levels of subcontractors?对分包商的相关表现有设立什
么反馈机制？
Is there an individualized corrective action plan initiated for poorly performing subcontractors? 是否对绩效不好的分包商开
展有针对性的整改计划？
Is there an active dis-qualification and retreat mechanism for the sub-con?是否有关于分包的正在运作的“取消资格”及
“撤销”机制？
Regular review and evlaute the Supply Chain Management System? What is the frequency?定期回顾和评估供应链管理体
系？大概多久一次？
Recent review memo and action report?最近一次的回顾记录和行动报告？
 SDP Management Systems Assessment (Initial/ In-process/ Validation)
Supplier/ ID 香港捷达玩具有限公司 版 本: SDPMSA-01
Factory / ID 文件编号: SDP-08 制订日期 : Sep-01-2013

Y/
N/ Development Responsible
Scope 范围 Management Systems Checkpoints Comments
WIP/ Plan Person
NA

Vision Statement, COC, Compliance Team

(a) Does supplier has a clear supplier's Vision Statement including CSR, Environment, integrity,
1.Supplier's Vision transparency contents? 供应商是否有清楚明了的包含社会责任,环境,廉政,透明度内容的愿景宣言?
Statement

(b) Is the vision statement approved by top management?

愿景宣言是否有管理高层的审批?

供应商愿 (c) How is it communicated internally and externally? 愿景如何在内部及外部进行传达?

景宣言 E.g. awareness program / announcement / meeting etc. 如:宣导程序 / 正式通告/ 会议等
2. Supplier's Code
of Conduct (COC) (a) Does the supplier have its own Code of Conduct? What contents are included?
供应商是否有自己的行为准则? 该行为守则包含或涉及了哪些方面的内容？

(b) Does it meet local law and all customer requirements?是否达到当地法律法规标准, 客户要求等
？
(c) Is COC communicated internally and externally? And how? 供应商行为守则是否传达给内部及
外部?
供应商行为守 E.g.: Posted/ Employee Handbook/ Formal training 张贴/ 员工手册/ 正规培训)
则 (a) Have a clear organization chart for supplier's compliance team, with Job Descriptions?
Including names, titles, roles/ responsibilities and reporting line. 供应商有清楚明了的合规小组的组
织结构图并具备职务描述.包括名字,职位, 职责, 报告线

3.Supplier's (b) Does team have the experience and/or qualifications?合规小组是否具备必要的经验和/或资历

Compliance ？
Team
供应商合规小组
(c) Is there any other department support compliance team? Pls include such department and
their responsibilities in O-chart.E.g. business development, quality, production planning. 是否有
一些其他部门支持合规小组的工作?如：业务部门，质检，生产计划.

(a) Is there a clear organization chart for factory's compliance team, with Job Descriptions?
工厂是否有清楚明了的合规小组的组织结构图并具备职务描述?
(b) Does compliance team have the necessary experience and/or qualifications?
合规小组是否具备必要的经验和/或资历？
4.Factory's
Compliance
Team
工厂合规小组 (c) Other department support on social and environmental compliance? Pls include such
department and their
responsibilities in O-chart.E.g. business development, quality, production planning. E.g.
production manager plans for high OT works if not aware of it. 是否有一些其他部门支持合规小组
的工作? 请把他们也纳入组织结构图中.
如：业务部门，质检，生产计划.如：生产经理不了解有关要求，有可能安排过量加班.
(a) Does the supplier have a ready list of factories used globally and monitor its factories' ES
performance?
供应商是否现有一份全球工厂的名单，并对这些工厂的ES表现进行监管？
(b) Does the supplier/factory conduct regular compliance assessments? Is there a well defined
5. Supplier's Self-
procedures/ policies? 供应商/工厂是否定期组织内部合规审核?是否有清楚定义的程序/政策等?
Assessment
Model (c) Who is responsible for implementing the assessment? Is that supplier, factory or 3rd party
audit firm? Pls indicate the name and background of the internal auditors/ 3rd party audit firm. 谁
负责实施审核? 是供应商,工厂还是第三方审核公司? 请阐明内审员/第三方审核公司名字和背景.
(d) What are the assessment rating criteria? Are there any Implementation Tools?
审核的评分标准是什么? 是否有相关执行工具?
(e) How's the scope and frequency of self-assessment ? Please Indicate the date
and scope of the most recent internal assessment.
审核频率和范围如何? 请阐明最近一次自审的日期和时间范围.
(f) How often does the supplier company review its selected factory's corrective
action plans (CAP)? 供应商公司多长时间会核实一次所选工厂的整改计划?
供应
商自我审核 (g) Does the supplier company have a mechanism in place to assist its selected
体系
factory to implement corrective actions / remediate issues identified from internal or external
assessments / reviews?供应商是否有现行机制辅导工厂执行纠正/改善措施？
(h) Is supplier/ factory monitored by other brand? How's the frequency? How does supplier review
the audit report and follow up on CAP? 工厂是否同时接受其他品牌的监管? 频率? 供应商如何审阅
这些客户的审核报告, 跟进整改措施。
(a) Lastest 2 ES Audit results and Approval Date
6. Factory Audit (b) High Risk Violation Findings (from last 2 years) 过去两年的高风险问题
History
审核历史 (c) Remediation for high risks (from last 2 years), Please address Transparency/ RCA etc.
近两年高风险问题的改正措施, 请阐明透明度/ 根源分析等.

1. Recruitment, Selection, & Hiring System 招聘,选拔及雇佣体系

(a) Are there formal written policies and procedures for the system? 是否有正式书面上关于系统的
政策和程序文件?

1. Policy
书面相关政策
第 11 頁，共 25 頁
 (b) Do policies and procedures uphold standards on: Nondiscrimination /Avoidance of forced labor
/Avoidance of child labor? 此系统的政策和程序是否包含:非歧视/避免强迫劳动/避免童工?
1. Policy
书面相关政策 (c)Is there a formal job analysis, and a written job descriptions for all positions? 是否有进行正式的
用工分析和所有的岗位的工作职位描述?

(d)Is the policy approved by top management, and well communicated and practices by all
parties? 该政策是否有高层批准? 有否向所有的相关责任方阐明公司的政策?

(a) Does factory conduct the law/customer requirements identification, mapping, communication
2. Law / Customer
requirements
and training? Availability? 工厂是否有将法律/客户要求与工厂招聘操作进行识别, 比对, 培训?
法律/客户要求 (b) Is there risk analysis procedure in hiring process? 工厂是否有分析招聘程序中的风险?

(a) Is there assigned persons HR? 有否配置专门的部门和人员负责选拔和招聘事宜?

3. Responsibility Please specify the responsibility and qualification it.负责人/职责和资格是怎样的?
责任落实 (b) Are managers and supervisors participate in the selection process before hiring?
部门经理和主管在员工雇佣之前是否有参与到员工选拔的过程中?

Manpower Analysis and Hiring Application 劳动力需求分析和用工申请

(a) How to evaluate manpower needs? The needs coordinated with production planning?
Considering Business plan/ Work flow evaluation/ position mapping/ evaluation frequency/
participants etc.如何评估劳动力需求? 招聘需求与生产计划相结合? 考虑商业计划/工作流程评
估/职位评估/评估频率/参与者.
(b) Have job description for all positions?- (with Functions and responsibilities/ Required
knowledge, skills and attitudes) 有无工作描述?(职责和要求的知识、技能)
(c) How to document the recruitment application with approval? 是否有记录批准下招聘申请?

4. Procedures
/ Structure
程序/架构

第 12 頁，共 25 頁
 Recruitment Plan and Channels 招工计划, 渠道
(a) How to plan hiring? Are procedures based on the position nature, (management, technical,
worker, temporary/seasonal). 招聘流程是否基于岗位的性质,比如管理, 技术工, 普通工,临工?
(b)What’s the recruiting channels for the factory? (d) Shall chose internal and/ or external
postings via varied appropriate avenues?Workers referential? Internal transfer? Internal
promotion?招聘渠道是什么?通过合适的途径在外部招聘? 工人介绍? 内部? 转职? 内升?
(c) Is the Job advertisement only including job descriptions and free of discrimination? Greivance
cgannel? 招聘广告是否只包含工作描述，而没有歧视？申诉渠道?

Screening & Selection Standard 筛选和选拔标准

(a) How are the selection standard and process? With objective tools and measurable criteria?选
拔标准和流程是怎么样的? 有客观的工具和标准?
(d) Recruitment or probation interview, testing? 录用/ 转正面试, 测试?
Hiring 招聘
(a) Are applicants not charged employment fees or deposits when hired (except foreign contract
workers, as per law)?应聘者没有被收取雇用费或存款?

Background Check 背景调查

(a) Are there procedures in place for age verification of applicants？ 是否有年龄验证流程？
(b) How does the background check process? 背景调查的操作是怎样的?
E.g.: Checking with local Gong An/ Letter from previous employer /
Phone call to previous employer 在公安局核查/ 离职证明/ 与上家雇主电话核实
4. Procedures
/ Structure Orientation Training 入职培训
程序/架构 (a) Orientation Training Topics (Including: company rules and regulations including on work hour,
compensation, health and safety and disciplinary procedures, Communication etc.)
入职培训内容(包括公司规章制度:工时,薪资,健康和安全,惩罚制度, 沟通等)
(b) Orientation Training Frequency/ Orientation Training Hours/ trainer having the proper
qualification/ effectiveness and new hires' satisfaction for the training
入职培训频率/ 入职培训时长/ 培训者的资质/ 入职培训的效果和满意度？

Contract & Personnel File Management 劳动合同和人事档案管理

(a) When sign labor contract with workers? The Copy provided to each worker? All in compliance
with law? 何时与工人签订劳动合同?提供合同副本给所有员工？ 完全合法?
(b) Ttrain all workers the terms and conditions of employment before sign the labour contract? 工
厂是否在签订劳动合同前解释劳动合同的条款？
(c)How does factory manage the labor contract & personnel file for full-time/part-time/resigned
workers? 如何管理全部工人(包括全职/兼职/离职)的劳动合同和档案?

Transparency, Fairness 透明,公平

(a)What's the mechanism that factory use to ensure hiring process fair, objective, transparent and
free from discrimination? Greivance system? 如何确保招聘过程公正,客观,透明无歧视？
(b) Ensure equal employment opportunity , E.g.: no discrimination, equal pay for equal work. 公平
招聘策略, 例如: 没有歧视,同工同酬…

Manage Labor Shortage 应对劳动力短缺

(a) What strategy to manage rush orders/peak seasons and labor shortage?
有何策略来应对劳工短缺？
(b)Eg.incentive worker referential /Use hiring agency/ maintain worker with more benefits / Lean
production/ innovation on product, tech, machines. 激励措施鼓励推荐工人/ 劳务中介
Probation evaluation system 试用期评估
Is there any probation evaluation system available in place? 是否有建立试用期评估的体系?
Exit interviews 离职面谈
Is there interview for worker the exit worker? 是否对离职员工安排面谈?
(a) Are function managers and supervisors assigned to conduct interviews and are they trained on
5. Communication interviewing skills and competency-based hiring?
and Training 相关责任人员、经理和主管是否都有安排进行面试,并有参加面试技巧、能力导向招聘的培训?
沟通和培训 (b) Is annual refreshing training provided to employees on company regulation? 是否有安排至少
每年一次的更新培训给员工让其了解公司的规定?

How does factory monitor and evaluate this system? 工厂如何监控和评估该系统?

(a) Monitored by in-direct responsible persons (e.g. Internal feedback controls)? 指定非直接负责
人员监控评估(如,内部反馈的监控)?
(b)Monitor and assess on:
Policies and procedures execution, Impact to business, Turnover analysis,Worker shortages,
6. Monitoring and Worker’s Service Year Analysis, Workers’ Age /education Analysis 监控评估政策和程序的执行, 对
Evaluation
监控和评估 业务正负面影响, 流失率分析, 员工短缺情况, ,工人年龄/工龄/学历结构分析.

(c) Have procedures for handling complaints and reports of any irregularities in the process?有投
诉处理程序应对体系过程中的违规行为?

(d)Is annual review done for continuous improvement?是否有年度评审和持续改善?

2. Training & Development System 培训和发展系统

(a)What is written training policies/ requirements? 工厂是否有关于培训的政策/规定?

(b) Are Training and Development Objectives defined. 是否定义了培训和发展目标?
1. Policy
书面相关政策 Supplier Social Responsibility Standards are included in these objectives. 供应商社会责任标准
是包含在目标里
(c) Trainings for all workers. 所有员工都可接受培训.
(d)Training is linked to all management systems. 培训与所有的管理系统相联系的.

第 13 頁，共 25 頁
 (a) Is there a specific HR unit or person responsible for Training and Development function?Are
responsibilities explicitly indicated in job descriptions of trainers?
有配置HR或专人负责培训发展事宜?在其工作描述中有明确的规定其培训的职责?
2. Responsibilities /
Organization (b) Is worker learning linked to job descriptions and job requirements. 员工学习与工作描述和工作
负责人/ 团队 需求相结合?

*(c)Department heads take responsibility for meeting training goals and objectives.部门主管负责任
应该参与制定培训目标
Training Needs Analysis 培训需求分析
(a) How does factory conduct formal TNA? -who/when/how/budget. CSR training needs included.
如何做正式的培训需求分析? - 由谁/何时/怎样/预算. 否包括社会责任标准.
- Includes: customer needs / job requirement/ new hire/ new product and technology, / audit
finding / new law / Training Needs Survey / Career development/ Performance evaluation 包括
: 客户需求 / 工作要求 / 新岗位 / 新产品和技术 / 审核发现 / 新法律 / 需求调查 / 职业发展/绩效评
估
Training Plan 培训计划
(a) Have training plan (Annual/ Quarterly/ Monthly). Adjust according to the actual condition. 有培
训计划 (年度/季度/月度) . 根据实际情况调整培训计划.
(b) Training for each level and different departments. 培训是否给到全体员工.
(c) Trainer / room / tool / materials / registration and records / Trainee /Time
培训师 / 会议室 / 工具 / 材料 / 注册和记录 / 参加者 / 时间
(d) Mmanagement trained on workers rights, communication policy, grievance , effective
supervision & leadership etc.
管理人员参加有关工人权利、沟通政策、申诉、有效监督和领导力等的培训.

Training Type/Topics 培训类型/主题

(a) Internal Training Type/Topics & Hours 内部培训类型/主题和时间
3. Procedures (b) External Trainings Type/Topics & Hours 外部培训类型/主题和时间
/ Structure (c) Taining program covers:
程序/架构 handbook, social responsibility standards, legal standards, COC, company policies, C & B, work
hour system, Performance management system, discipline and termination system,
harassment/abuse, workers communication and grievance system , workers rights &
obligations,fire drill, emergency evacuation, waste management, PPE, machine/chemical safety /
etc.)
培训项目/课程包括:
员工手册, 以及社会责任标准: 法律标准,CoC行为守则, 公司政策和程序,薪酬福利, 工时制度, 绩效考
核, 惩罚与离职, 反骚扰, 申述处理机制, 工人权利和义务等
消防演习, 废弃管理, PPE,机器/化学品安全,
(d) CSR Training Hours 社会责任的培训小时

Training facilities 培训安排和跟进

(a) Training and documentation in local language? Maintain updated and sufficient training
material. 培训和资料用当地语言, 更新保存培训资料.
(b) appropriate training room 安排合适的培训场所.
(c) keep training records and maintain training records for each employee. 保留每个员工的个人
培训记录.
Trainer's Qualification培训师资质
(a) identify, qualify and assign external trainers or internal trainer. 确定培训师(内/外部培训师)
Are trainers adequately trained and/or qualified to conduct training? 讲师是否有被培训或有任何资
质吗？
(b) objective evaluation and incentive for trainer. 培训师评价激励方案?
(a) communicate the training program and training plan to workers by orientation or poster or
meeting etc. 透过入职培训, 公告, 会议等方式告知工人培训体系计划等.
4. Communication (b) training needs of workers identified and all workers receive adequate and effective training for
and Training
沟通和培训 the job.
确定所有的员工培训需要。工人培训足够有效.

How does factory evaluate the training effectiveness/ monitor and evaluate this system?工厂如何
监控和评估该系统?
(a)There is a feedback process on training evaluation results针对培训效果评估的反馈流程
5. Monitoring and (b)There is a regular training effectiveness evaluation with actions for improvement. 每次培训后都
Evaluation 会做培训效果评估
监控和评估 (c)Actions are taken to improve effectiveness of training on the basis of evaluation. 根据培训效果
评估结果采取行动改进培训流程
(d) Taining summary? Training KPI? Training impact on performance?培训统计, 指标. 培训对于绩
效的影响.

3. Performance Management System 绩效管理系统

(a) Supplier/ factory has manual to guide performance system. 供应商有对工厂关于绩效管理的指
引
(b) - There are clear guidelines for evaluating workers’ performance for promotion and merit
increases with feedback mechanism.
1. Policy
书面相关政策
- 有明确的指南评估员工的工作绩效用于加薪晋升，并且有反馈机制
- SMART performance evaluation plans (specific, measurable, attainable, time-bound) based on
objective targets. - 有效的考核体系应该基于客观的目标
- Aligned goals and objectives of individual and organization 个人和企业有一致目标
(c)CSR are included in this Policy 社会责任也在考核之列.
(a) Assigned person responsible forit. 有专人负责绩效管理.
2. Responsibilities/
team
(b) In addition to HR,are functional supervisor/manager responsibilities for it. 除了HR,部门主管/经
负责人/ 团队 理参与员工表现考核.
(c) roles and responsibilities clearly defined. 明确职责

KPI
(a) What KPI? How's the KPI set up. 工厂有哪些KPI/ 工厂如何设置KPI.
3. Procedures CSR included. (Safety / QA / Production / EC / Sales) 含有企业社会责任相关的KPI. （安全/ 质量/
/ Structure 生产/ 环境/ 销售）
程序/架构 (b) Workers representatives involv in 工人代表是否参与
(c) Worker appraisal based on goals and objectives agreed upon and communicated at the
beginning of the year.考核是基于年初的目标制定和沟通而建立

第 14 頁，共 25 頁
 Performance Review Process 绩效评估过程
(a) Worker appraisal system covers 绩效评估涵盖:
- Probationary employees/trainees up for promotion/demotion to regular status /Regular
workers 试用期/培训期员工升级/降级考核/ 固定合同工
(b) Performance Review Frequency, Annual at least 绩效评估频率-至少一年一次
(c) Review Target Should covers all employees 绩效评估 应该包括所有员工.
(d) How's the evaluaiton steps? 审核的步骤是怎样的？
e.g.: 3 steps- worker Self- evaluation, direct manager, indirect manager evaluation
考核三步骤：自我审核，直接经历，间接经理审核
(e) Performance Standards are measurable. 考核指标可测.
(f) Performance indicators base on job descriptions.考核指标基于职责描述.
(g) Accurate record of performance results 准确记录员工考核结果

Impact of Performance evaluation 绩效评估的影响

(a) allowance/ bonus / piece-rate linked with performance 奖金 / 计件考核与绩效评估挂钩
3. Procedures (c) training /improvement planning for poor performance. 针对低效率员工的培训/提升计划
/ Structure
程序/架构

Career Development 职业发展

(a) promotion criteria & process for workers. 工人的升职标准和程序
(b) performance evaluation impact promotion and incentive. 绩效考核影响工人的升职激励
(c) Woman Empowerment Program 妇女提升项目

Communication and feedback on time 及时的交流和反馈

(a) Does the performance evaluation process includes feedback systems for workers and
management?
绩效评估体系中员工是否有对个人表现的反馈机会？
(b) Is there any mechanism to ensure the fairness through the performance review & promotion?
有什么机制可以确保绩效评估和升职的公平性?

E.g.: Promotion Name List Publication 升职名单公示

Grievance system 申诉系统

4. Communication (a) Orientation /training and communcation to all workers on the system.
and Training 针对员工考核体系的培训沟通
沟通和培训 (b) Managers trained on how to execute the system.经理有参加执行绩效评估体系的培训.

(a) HR recording and tracking performance ratings of workers. HR部门对员工考核体系和员工考核

5. Monitoring and 结果的维护跟踪
Evaluation
监控和评估 (b)The System is evaluated periodically for effectiveness with feedback from all employees. 包括
参考员工反馈, 定期评估考核体系成效

4. Compensation & Benefits System 薪酬管理系统

(a) supplier has policy to guide factory on C&B system.
供应商有政策指导工厂薪酬管理体系
(b) factory has written policy on workers’ Compensation and Benefits. 工厂有明确的薪资政策.
1. Policy (c) CSR requirements are include. 工厂薪资福利政策中 社会责任要求.
书面相关政策 (d) Clear policy on determining and implementing bonuses, incentives, loans and
deductions. 有政策明确规定奖金、奖励、贷款和扣款.
(e) policies and procedures allowing for wage increases based on contribution difference, skills,
productivity or other relevant factors. 不同岗位不同贡献有不同薪资增长政策.

2. Law/ (a) Regulation & Laws on C&B update 薪资福利法律规范的更新

法律要求

(a) Responsibile persons for the system: Qualification and sufficient workforce for timely and
3. Responsible
Person/ Team
accurate C & B execution. 合格的 薪酬管理人员足够, 保证准时准确的执行.
负责人/ 团队 (b) Clear roles and responsibilities 薪资专员的任务与职责明确

4. Procedure and
tools Payroll System 工资系统
程序和工具 (a) wage structure 工资结构
(c)wage research / benchmarking and result (competatvie). 工资的市场调研比对
(d) Secondary/third Check of payroll with the time recording system before payment approval.
支出付工资之前，进行工资与工时核对.
(e) Records of workers’ output, hours worked, and piece-rates are kept and are easily
available to workers. 员工可以随时调阅自己的薪资相关记录
(f) Special grievance procedure on C&B 针对薪资福利的投诉受理程序

Insurance 保险
(a) Pprovide insurance benefits for all workers according to law.
按法规要求提供保险.

None-cash Benefit -total equivalent- RMB/ USD 非现金福利- 折合现金

(a) Does factory provide all workers free health check? 工厂是否有提供给工人免费体检?
(b) Training / Entertainment Facilities免费培训/ 娱乐设施
(c) Low price / Free Meals & Dormitory 低价格/ 免费的伙食&宿舍
(d) Activities - E.g.: Evening Party, Sports Games 如: 晚会,运动会
(e) Gifts -E.g.: Birthday Gifts, Traditional Festival Gifts 例如: 生日礼物, 传统节日礼物

5.Communication (a) Train all workers on the C&B system. 对员工薪酬和福利体系 培训员工
and Training (b) C & B management staff are trained on the effectiveness. 管理人员接受相关培训.
沟通和培训

6. Monitoring and Supplier and factory monitor and evaluate this system regularly.
Evaluation
监控和评估 工厂定期监控和评估该系统.

5. Discipline & Termination System 惩罚和辞退管理系统

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 (a) Supplier has written policy/procedure to guide factory on Discipline & Termination system with
fairness. 供应商有书面政策指导工厂公平合理惩罚和终止雇佣体系.
(b) Policy includes a statement upholding fair and standard discipline and termination procedure
政策包含公平处置程序
- Policy in compliance with legal requirement and prohibit Punitive fines and deductions, any
1. Written Policies
书面相关政策
harassment or abuse of any kind (physical, verbal, sexual, corporal punishment) 政策与法律法规
相一致.禁止惩戒性罚款与扣款,任何形式的骚扰与虐待（身体上、语言上、性别上、体罚).
- Policy focus on the prevention of disciplinary faults, 政策着眼与防范违规
- For final settlement of resigned workers follow the exit interview process to know the actual
reason
of resignation.在解雇发生前, 进行调查和员工访谈。

Responsible persons:
(b) Please specify the responsibility of responsible person / team. 说明团队成员与职责
2. Responsible - defined roles and responsibilities 经理和主管有清晰的任务和职责描述
Person/ Team - qualifications- Training supervisors and managers on discipline and termination policies and
负责人/ 团队 requirements. 经理和主管是否接受过劳动纪律和解雇政策及要求的培训
- Have an impartial team or external party for investigation and decision making. 成立专门小组/
外部机构调查处理相关事件

(a) Types of discipline 哪些类型的劳动纪律

- Clear definition of disciplinary misconduct types. 清晰界定不同类型违纪行为.
- Clear definition of disciplinary sanctions types (verbal, written, suspension or termination)
包括对不同惩戒类型的界定（如口头、书面、留职察看、解雇）

(b) What are discipline criteria? 劳动纪律有哪些标准？

- A Clearly defined Code of Behavior for managers, supervisors and all workers 定义行为准则
3. Disciplinary
- Violations to the Code of Behavior are reported for appropriate action 明确行为准则的违规项
System
惩罚系统
(c) Disciplinary procedure is included in employee hand book and accessible to all employees 劳
动纪律要求涵盖在员工手册中并方便全体员工取阅
(d)How's the discipline process?
- There are procedures of evaluating disciplinary faults and sanctions, ensuring confidentiality. 制
订纪律违规评估程序及处罚执行规程和保护隐私.
- Exit interviews with terminated / resigned employees 进行离职面谈
- Records of dismissed employees according to legal provisions 保存纪律处罚记录

(a) termination criteria 辞退的依据

4. Termination (b) How's the termination process?Are Exit interviews and/or meetings of terminated/resigned
辞退 employees conducted? 辞退的过程是怎样? 是否进行员工离职调查？
(c) have an example 提供实例

(a) Neutral party involved in the discipline & termination process. E.g.: worker union, worker’s
representative, HR. 有中立方参与到辞退过程. 例如: 工会,员工代表大会, 人事
(b) Appeal chance for workers 工人申诉
- Procedure for the worker could defend against a discipline 工人可通过程序提出异议
5. Appeal/ 公平/申诉 - Complaints of violations of Code of Behavior are investigated 对违规投诉进行调查
- Impartial Investigation Process:Committee to investigate, evaluate, and take appropriate action
free of discrimination. 公平的调查流程：无不公平行为无歧视
- Committee to investigate, evaluation, and sanction (avoiding discrimination)
成立小组进行调查、评估和裁决（在此过程中避免出现行为）

Training is provided to worker on Discipline & Termination system.

工厂有提供任何有关惩罚和终止雇佣的培训来指导工人吗?
- Responsible Staff or persons are qualified with sufficient training/ experience.
6. Training and 确保相关人员具备相关经验并接受过相关培训
Communication - Training is provided to managers and supervisors for proper implementation of disciplinary
相关培训 policies. 经理和主管须接受劳动纪律政策的培训以确保实施上的一致性
- Workers are well trained on it and violation consequency in orientation, training session, meeting
etc. 工人有足够的培训,清楚相关规定及违反规定的后果.

How does factory monitor and evaluate this system? 工厂如何监控和评估该系统?

- There are procedures to follow up on corrective action and review it's effectiveness
建立跟进改善流程并核查其效果
7. Monitoring and - There are procedures for in-direct responsible persons to monitor and evaluate the complaince
Evaluation and effectiveness. 由非直接相关的人员监督评估该体系.
监控和评估 - Results are recorded and reported to the responsible person for corrective action
评审的结果应该被记录并报告给责任人，以便于采取改善措施
- Cases of Discipline and Termination are reviewd and analyzed to identify possible areas of
intervention to minimize their recurrence 统计频发事故并进行防范的案例

6. Worker Communication & Feedback System 员工沟通与意见反馈系统

(a) Supplier has guidance for factory on Communication system.
供应商有对工厂员工沟通和意见反馈系统的指导.
(b) Factory has written policies/ requirements about Communication system.
工厂有员工沟通和意见反馈的政策/规定.
1. Written Policies - A policy that states the commitment to worker communication and workers to be heard
书面相关政策 政策须承诺提供员工交流渠道倾听员工声音
- The policy uphold the worker's right to associate freely in accordance with local legal
requirements. No retalidation, or discrimination. 维护工人合法的结社自由权利, 禁止报复与歧视.
- Worker Committees involve in the policy setting, renewal, and implementation with agreement.
工会委员会参与并同意员工沟通体系和执行的过程.

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 (a) Who is responsible. 谁负责
- worker representatives / HR/ function managers / third party etc.
专人负责员工
- Frequent interactions between the management and workers at shop floor
2. Responsible
Person/ Team
工厂管理人员与生产员工定期互动
负责人/ 团队 - Define responsibility. 明确职责
- Define the roles and responsibilities of worker representatives, managers, and supervisors on
labor relations in their job descriptions. 在工人代表、经理和主管的岗位描述中清晰提及其涉及劳动
关系部分的角色与职责

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 (a) Approaches/ Channels to collect worker’s suggestion and How the channel works effectively.
获得工人意见的渠道, 作用机制.
E.g.: suggestion box 建议箱; GM's E-mail 总经理邮箱; QQ; worker union工会;
3. Communication worker representative committee 员工代表大会
Approaches - Worker Committee meetings are documented and communicated to management
沟通渠道 至少有一种形式的员工委员会，且有书面的管理运营流程
- Procedures are in place to protect confidentiality of information
一些必要信息保密政策
- Does company culture support the communciation system? 公司的文化是否支持它?

(a) Factory has procedures for management to respond on worker feedback. Frequent
interactions between the management and workers.
管理层对员工反馈做出响应及沟通的程序, 常与工人沟通.
- The supplier/ factory CoC provides guidance on the system.
工厂或客户的行为准则指导员工反馈机制.
- Workers are encouraged and acknowledge for giving suggestion. 鼓励认可.员工的建议.
- Workers' feedback is documented and provided back to workers through management
responses on notice boards, discussions in worker committee meetings and other means
管理层通过诸如公告栏、员工讨论会等方式提供对员工意见的反馈
4.Procedure and
tools
- Senior Management have interaction with all workers regularly, e.g. once a year.
程序和工具 高层管理与工人的互动活动（如每年进行一次大会）
- Collecting feedback from workers directly before and after any new announcement / new policy
implementaion. 新提案 / 新政策的实施前后的反馈机制

(b) For grienvance case. 对于申诉的案例

- Identification on different scenarios, Conduct investigation, survey and interview, keep records.
识别区分工人申诉的不同类型,展开调查员工访谈, 存档.
- Different procedures on managing grievance and suggestions. 针对员工意见和申诉有不同的管理
程序

The representativeness and the work mechanism.

5. Workers’ (a) the nomination, selection, voting procedure
Representative 员工代表的提名, 选拔和选举的过程
(or Union) (b) workers' representative hold any regular meeting/ activities. 组织一些会议/活动
员工代表 (c) function with labor union 工会的职能
(d) achievements and cases 提供实际例子和工作总结

(a) survey types- Workers satisfactory / exit survey/ Specific subject survey etc.意见调查类型- 满
意度调查/ 离职/ 专题调查
6. Workers Survey (b) Survey questionnaire structure, frequency,
员工意见调查
调查内容的结构.
(c) Survey result analysis : Top 3 issues etc.调查结果分析, 关注前3要点
(d) Follow up action with examples. 跟进行动计划(举例说明)

Training worker on the communication system. 提供有关沟通程序的培训给工人.

- Creating awareness on the system through e.g. notice boards, circulars, memos, public address
systems, hotline, open door, labor union committee etc
通过诸如公告栏、宣传单、备忘录、公共系统、热线、开门政策、劳工工会组织等方式实现政策的
传达。
- Training mid management on the system and related skills.
7. Communication 培训中层管理该体系和沟通技巧
and Training
沟通和培训 - Worker representatives are trained to perform their assigned tasks and functions
工人代表接受了与其职能相关的培训
- The roles and responsibilities of worker representatives are formally communicated to the entire
workforce 将工人代表的任务和职责培训给工人.
- All workers are easy to approach Worker representatives. 所有工人都能接触到工人代表

A- Monitor and evaluate the labor relations, the processes, activities, and practices.
定期对劳资关系处理，活动的合规性进行监管
- document monitoring, verifying, and correcting related activities and process.
8. Monitoring and 记录好监督、核实、改正相关活动过程
Evaluation
监控和评估 - Procedure to measure effectiveness of worker communication systems
测评估员工交流沟通体系
- Periodically review labor relations policies, and procedures, processes activities and the
effectiveness. 定期检查劳资关系处理流程/制度的实际操作效果

7. Work Hours & Production System 工作时间及生产系统

(a) Supplier has policy to guide factory on Work Hours & Production system?
供应商对工厂关于工时和生产系统政策
(b) Factory written policies/ requirements about Work Hours & Production system. 工厂关于工时和
生产的政策/规定.
- Written working hours policy according to legal requirements 合法的书面工时政策
- Production planning based on legal working hours limit 基于法定工时进行生产安排
- Daily / Total weekly working hour and 7th day rest in good complaince
日工时/ 周总工时/ 第7天休息合规
1. Written Policies - Shift working 合理安排倒班
书面相关政策
- Working hours for juvenile workers 按照法律法规安排未成年工的工作时间
- Back-up strategy for urgent business needs e.g. rush order or seasonal production
制定生产应急预案
* Production engineering and work study department exists in the factory to determine workers
efficiency and ensuring wokers productivity
配备生产工程师和工作研究部门负责工人工作效率的测定以确保生产效率的统计和控制

2. Law/Customer (a) factory conducts the law/ customer requirements mapping on it. 工厂有分析对比将法律/客户
Requirements
Mapping
工时要求
法律/客户要求分析 (b) Aware of and Identify Critical Requirement on suc-con and supply chain management?

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 (a) Roles and responsibilities-职责
-Who is responsible 谁负责
- Responsibility definition 明确负责人职责
3. Responsibility
责任落实 - Defind OT approval and reporting process 加班安排的审批和汇报程序
- OT Approval and reporting procedure goes to senior management for sign-off.
高层管理须参与到工厂加班工时的审批和汇报中

(a) OTpolicy 工厂加班时间控制政策

(b) OT control criteria/ tools 控制加班工时的 辅助工具
4. OT Control (c) voluntary OT work policy and implementation 加班自愿原则
加班控制 (d) OT application process. Responsibilities of relevant departments for OT controlling, E.g.: HR,
Production, Compliance department. 加班申请的流程. 相关部门职责, 例如:人事，生产，合规部
门

(a) attendance recording system-E.g.: punch card/ manual record 考勤系统-电子/手工记录…

- Accurate all in and out time records 准确记录每位工人的进出工时
- manual records -signed by the worker 检查工人的人工签名纪录
- Consistent time records and payroll /operation 工时记录与工资/营运记录一致
- Good Production planning system based on the productivityto ensure that working hours
compliance 生产计划安排确保工时合规
5. Attendance - Back up mechanism for time recording data 工时记录备份
System - Secondary/ third dialy check to ensure effective and accurate time recording system
考勤系统 每日工时系统的检查以确保系统的有效准确

(b) How to deal with unusual attendance cases? 如何处理打卡异常?

1. Is there secondary check to ensure the time recording system is working effectively in every
pay cycle,.
2. Consistent and Accurate records of overtime hours for each individual worker?

(a) Good Production Planning- considering all factors impacting OT e.g. work force change,
Absenteeism, Material situations etc
制定生产计划时考虑到意外加班因素，如人员的减少、缺勤、物料不足等
6. Production (b) Please list production system projects / techniques/ QA System/ machinery/ skilled workers/
System (5S/ LEAN) other advantages in the factory.
生产系统(5S/ 精益生
产)
请列出工厂的生产项目/ 技术 /机械/特点/熟练工人/其他优势
(c) Good practices and Decrease OT by Improving production efficiency with lean production
精益生产 , 多方革新, 努力提高生产效率 -成功案例分享.
(d) Supply Chain Management- with the policy and procedures?

training workers on the system and policy 提供有关工时政策和体系培训给工人

- Working hour policy and procedure posted local language for all workers
工人可顺利获取张贴的工时政策和程序
- All workers and managers are clear on it. 管理者和员工都清楚工时政策要求
- Production function managers are clear on the system and implementation with training.
生产等管理人员都应获得工时政策、程序和操作规程的培训
7. Communication - Contracted labor agents are trained and monitored on it. (if applicable)
and Training
沟通和培训 培训监控劳动代理
- Feedback system with customers on production and delivery time for compliance.
与客户的生产与交货期的反馈机制, 满足工时合规

- HR tracking overtime hours for each individual worker HR跟踪监控工人加班时间

- Workers can have daily check own work hours. 工人每天核实他们的实际出勤状况

monitor and evaluate this system 监控和评估该系统

- Managment have Periodic review of working hours system (or through internal audit). 工厂管理
者定期评估工厂的工时制度（通过内审或者其他方式）
- Improvements actions 工厂管理者应根据监管和评估记录改善工时政策、流程和操作规程
8. Monitoring and
Evaluation * Three-level check systems in working hours before disbursing wages to workers. Including
监控和评估 Primary Check, Secondary Check, Third Level Check. team
在工资发放前进行三级检查
- Accuracy and consistency assurance of various records ex: broken needle records, production
record and time reocords
检查时须考虑记录的一致性，如断针记录、生产记录和工时记录

8. Environmental Management System 环境管理系统

(a) Supplier policy and guidance on factory Environment system.
供应商关于环境系统指导要求
(b) factory's written policies on Environment system 工厂关于环境的政策

1. Written Policies - setting and reviewing environmental objectives and targets

书面相关政策 设立和回顾环境指标与目标
- The Policy and objectives communicated to all employees 培训所有相关人员
- The policy is made publicly available 政策须公开
- Review the Policy on a regular basis (at least annually) and take action if needed.
须有体系对其政策进行定期（如每年）回顾并在有必要修改时进行修改

(a) Factory set up law bank and identify for use.

Factory conducts the law/ customer requirements mapping on Environment
procedures. 工厂有将法律/客户要求与工厂管理环境程序进行比对.
2. Law/Customer (b) analyze the risk in Environment process.
Requirements 工厂分析管理环境程序中的风险.
Mapping & Risk
Evaluation
法律/客户要求比对及 Factory environmental policy shall describs activities, products and services, commitment to
风险分析 continual improvement and prevention of pollution, to comply with legal requirements 书面的环境
管理政策须包含生产生活的活动描述、产品和服务的介绍、对持续改进和预防污染的承诺、合规的
承诺.

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 (a) Have Environment Committee wtih the organization chart and job description. 环境委员会组
织架构及工作职责.
3. Responsible
Person/ Team
- Dedicated person: the qualification and training chance. 专责人员背景资质或接受过相关培训
负责人/ 团队 (b) Environment Committee holds the regular meetings/ activiyies
环境&安全生产委员会有常规会议/活动

(a) Is the factory doing the formal/ informal Environment Aspect and Impact Analysis?
Please specify the frequency. When for this year?
工厂是否定期做环境影响评估? 频率是多久一次? 今年是何时?
5. Environment
- To perform an analysis of risk assessments to identify the environmental risks and work to
Aspect and Impact control it. (Aspect-Impact assessment) 识别环境风险因素并进行控制
Analysis - Have an Environmental Emergency Protocol 制定环境应急预案
环境影响分析 (b) List the top 3 aspects respectively.
请列出前三点的环境影响.
(c) Actions to minimize the impact. Tell the story
请说明工厂采取措施降低对环境的影响.

(a)Define objectives, targets and goals 明确目标

- Related people involved in objective setting 目标的设定充分听取了相关人员的意见
- Identify all legal requirements and maintain the register-- EIA, approvals, Wastes discharge
permits, monitoring reports etc. 识别所有相关的法规，申请法定文件,证明,许可,检测报告.

(b) How handle wastes. 工厂如何处理和处置废弃物

- Defined Wastes Treatment Procedures 制定废弃物程序(water, air, noise, solid wastes, light)
6. Waste &
Discharge
- Written EMS manual to be practiced, fully accessible and up to date 编制并及时更新培训材料
废物&排放 - Have appropriate storage and disposal processes of waste, using authorized companies for
disposal 制定符合要求的废弃物储存、处置的程序，使用有资质的单位进行废弃物处置
- Recycle waste materials, including plastic, wrap, carton scrap, paper, oil, alcohol, corrugate,
fiber drums and plastic bottles
对废弃物进行了回收，如塑料、布料、废纸箱、纸张、油、酒精、起皱物品、纤维、塑料盒
(c)Environmental Change Management 环境变更管理

(d)- Manage supply chain 管理下游企业

(a) When started EE/ how make acheivements. 工厂参加能效提升项目的情况.

-- have Sustainability initiatives: replace lights, use solar energy, to replace machinery, biological
7. EE and RD control instead of Pesticides Control, use rainwater etc 开展可持续项目，如更换节能灯、
Program
能效提升项目 使用太阳能、淘汰旧设备、采取生物控制替代农药控制、搜集雨水用于灌溉等.
(b) Take action to reduce discharge 减排措施

(a) Factory internal Environmental Training 工厂内部环境的培训

- Training needs identification done 完成培训需求分析
- Trainings on environment are included in the training plan 培训计划中包括环境培训
- Information on environmental performance is made available to internal stakeholders and
external stakeholders. 内外环境培训宣导
9. Environmental
Training
- ReinforceTraining periodically 定期环境培训
环境培训
- Specific training for exployees who are handling environment aspects
依据所涉及的环境影响的对象的不同进行具体的培训

(b) Training by external experts for the management. 管理人员接受外部专业培训

E.g.: EHS Academy

How does factory monitor and evaluate this system? Conduct EMS audit? Is it the management
review annually? 工厂如何监控和评估该系统?
- EMS audits to ensure that the site is implementing, maintaining and confirming with the EMS.
进行环境管理体系审核
- At minimum, management reviews to be undertaken annually. 管理层至少每年评估一次
- The review outputs: decisions and actions of improvement.
管理层对环境管理体系的评估结果
Some reference 评估参考:
* Have KPI targets to measure the performance of the management system (examples: waste
reduction, water consumption). 设定了KPI
* Have programs to monitor and conserve energy use, reduce waste from operations and officers,
11. Monitoring and increase our recycling efforts and water conservation efforts. 开展了诸如节水、节能、减废、增加
Evaluation
监控和评估 循环利用率等项目
* Reduce waste operations through ex: Lean, Six Sigma. 减少废弃物在运营环节中的产生，如进行
精益生产、推广6sigma理论
(a) Any award relates to environment got from external parties?
是否有获得一些由第三方颁发的环保的奖项?
Have any relevant certificate.E.g.: ISO 14001
工厂是否有相关的证书?
(b) Please summary the investment in environment area.
请总结在环境方面的投资.

9. Health & Safety System 健康和安全系统

(a) Supplier has policy to guide factory on Health & Safety system.
供应商有对工厂关于健康安全系统的指导政策
- The Policy include objectives,and commitment to the prevention of occupational injuries and
illnesses 政策须包括目标及对预防工伤和职业病的承诺。
(b) Factory has written policies/ requirements about Health & Safety system.
1. Written Policies 工厂有关于健康安全的政策/规定
书面政策 - The policy covers legal requirements including fire safety and machine and chemical safety.
政策须包含相关法律法规要求，包括消防安全、机械安全和化学品安全。

- Emergency response measures to natural disasters such as earthquake of tsunami.

自然灾害如地震、海啸的应急措施
- Establish and maintain health and safety objectives and targets 管理目标

第 20 頁，共 25 頁
 (a) Factory conducts the law/ customer requirements identification, mapping training on Health &
2. Law/Customer
Requirements Safety. 工厂有识别, 比对培训相关健康安全法律/客户标准要求
Mapping & Risk - Define Health & Safety policy 制定健康安全政策
Evaluation - Easily available 易于查阅
法律/客户要求及风 - Regular review and update 定期及时更新
险分析
(b) Analyze the Health & Safety risk in production process. 工厂有分析健康安全风险

(a) Factory has Health & Safety Committee with clear organization report line and the job
description. 工厂有健康安全委员会, 组织架构, 工作职责说明
- Management and employees are included. 健康安全委员会须涵盖管理人员和员工。
- The team have qualifications, roles and responsibilites. 团队资格, 工作职责
- Dedicated cross-functional team for fire safety 跨部门的消防小组
- List and pictures of the first aid team should be available at the floor.
急救人员名单及照片须张贴在工厂显眼位置
(b) Health & Safety Committee regular meetings 环境&安全生产委员会常规会议

(c) Committee activites 委员会相关活动

3. Responsible - identify all applicable OH&S training requirements, legislations, identification for hazadous
Person/ Team materials and control measures. 培训需求分析、法律的搜集、对有害物质进行识别和控制。
负责人/ 团队
- Handling procedures for the following: Storage requirements, Segregation, Inspection
requirements, Housekeeping and Personal Protective Equipment. 按照贮存、隔离、观察、PPE等
要求进行操作

Any H &S programmes are implemented. e.g. safety week / month, exhibitions,Health Promotion
programs, campaign against smoking, high blood pressure, infection diseases, biological
monitoring, immunisations programs, genetic screening, serious communicable disease, testing
for alcohol and drugs. 组织有效的宣传活动。如每周安全、每月安全、展览、离岗活动、健康宣传
、戒烟运动、预防高血压、预防传染病、生物监控、疫苗注射、遗传病筛查、严重的传染性疾病、
酒精及毒品检测
Effective access control system, e.g. warehouse, chemicals, explosive area, high workstation,
electricity lock out and tag out. 施行特殊工作场合进出控制。
(a) Fire Safety Management Procedures
(b) Chemical Management
(c) Manchinery Safety
4. Procedures (d) Electricity-- Regular monitoring of electrical applicance / insulation 定期检查维护电器设备和绝
缘设施
(e) Emergency Response
(f) Changement Management
(a) Factory buys injury insurance for all workers.工伤保险全买
(b) There is procedure to handle work-related injury. 有处理工伤的程序
(c) Have work-related injury investigation and report. 有工伤调查报告
5. Work Injury - Incident / Accident tracking / analysis system through Root Cause Analysis system / WHY
工伤 analysis techniques. 运用根源分析法对事故进行跟踪分析。
- Incident / Accident records are maintained 保留事件/ 事故记录
(d) Work-related injury rate & cases summary.
工伤率和工伤案例总结

(a) Protection methods applied in production 生产中的保护措施

- Production crafts improvement 生产工艺改善
- Effective maintenance program cover mechanical and electrical.有效的维护，包括机械、电
- Use new chemicals or techniques to replace toxic and hazardous ones.
用新化学物质或技术取代旧的有毒、有害的物质
(b) human engineering application 人机功效的应用

6. Protection
Methods
保护措施
(c) PPE应用管理
- Identify and document PPE needs with risk assessment 风险和PPE的需求分析
- defined PPE rules or procedures 建立管理规则和程序
- Well monitored and replaced or maintained 监控, 及时更新或替换
- All employees are well trained 培训所有员工
(d) First Aid and medical care 急救与医疗设施
- Availablility of first aid box at floor. 医药箱方便获取
- Well equipped medical clinic / dispensary 条件良好的诊所

7. Occupational (a) occupational health examination provided to workers needed 提供职业健康检查

health exam E.g. :Pre-job/ on-job examination 上岗前/ 在岗检查
健康检查 - well recorded and accessible. 健康记录可查询
8. Dormitory and Factory ensure the sanitation in dormitory and canteen. Sanitory Team with training and
Canteen Sanitation
宿舍食堂卫生 monitoring. 确保宿舍和食堂卫生- 清洁组, 有培训, 有检查.

(a) factory internal health & safety training 工厂健康安全的培训

- The policy be posted and readable in local language by all employees
政策须由当地语言编写、进行张贴并方便阅读
- Awareness training for workerson local law and buyers' standard.
工人须了解当地法律法规及客户的要求
- Trained fire fighting team of employees 训练有素的消防小组由员工组成
9. Health & Safety
Training - Regular training on H & S include PPE use. 健康安全培训, 包含PPE的使用
健康和安全培训 - Participation of Management staff in the training session. 管理层参与培训
- Awareness sesstion in orientation 入职培训包括健康安全常识

(b) If factory participates external health & safety training, E.g.: EHS Academy
工厂是否有参加外部的职业健康安全培训, E.g.: EHS Academy

(a) How does factory monitor and evaluate this system? 工厂如何监控和评估该系统?
- Rreviewed annually and revised to ensure relevant and appropriate. 每年评估，确保有效
- Training effectiveness evaluation 培训效果评估
- Use an up-to-date system to measure, monitor and record the number of first aid, Occupational
11. Monitoring and Injuries and illness cases. 记录, 衡量、监控和跟踪急救、工伤及职业病
Evaluation
监控和评估 - The management review for changes to policy, objectives, and other elements of the system for
continuous improvement. 持续改进, 经管理评估调整政策目标及其它体系内容

(b) Health and Safety Award 职业健康安全奖项

(c) Summary on health & safety investment. 总结在职业健康安全方面的投资.

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 Supply Chain Management/ Sub-con
Are the supplier related people, including top, sales, purchasing, production, QA, and compliance
well aware of the related law and customer policy on Sub-con?供应商有关人员比如高层、销售人
员、采购人员、生产人员、QA还有合规人员明白关于分包的法律和客户政策？
Top has commitment?高层有承诺吗？
How to update the policy?如何更新此政策？
Does supplier has intergrate customer requirement in own COC policy? Well communicated
Policy internally and externally?供应上是否有综合了所有客户要求的政策在他们的COC上面？内部和外部
政策 都进行了充分的沟通吗？
KPI set on Supply Chain Management including sub-con compliance?供应链管理的KPI的设定是
否包含了分包？
Evidance of implementation of the policy?执行此政策的证据

Who are in charge of it? Clear job description on it for individual position? 谁负责？清晰的岗位职
责说明书？
The responsible persons qualified? 相关的人是否符合要求？
The background/ Relevant? The competency? Need enhance?背景是否相关？是否具有能力？需
Responsibility 要加强吗？
责任 How to impact the performance evaluation? 是否跟表现评估相关？
With reward and incentive mechanism?是否有肯定和奖励机制？

Who lead /who envolved for define and design the procedures and tools?谁领导或者参与到程序和
工具的定义及设计过程当中？
Where embedded the policy and procedure?在哪里植入这些程序和政策？
What is the recource center?资源中心是什么？
What is the report line if any concern?如果有任何问题，汇报线是什么？
Approval Procedure on using sub-con?使用分包时候的审批流程？
Specific tools?具体的工具？

Vendor Identification Process供应商资格确认

• Supply chain mapping Map- ALL the suppliers that provide raw materials / accessories / services
/ resources to your production processes.了解供应链-列出所有为您的生产流程提供原料，配件，
服务的所有供应商。

• Vendor identification供应商资格确认
Types of vendors considered (manufacturing vendors or trading vendors or both)
分析供应商的类型 （生产厂商或者贸易商，或者两者皆是）
Reports, business certificates and credit standings of vendor considered before initiating a
purchase process.首次下单前综合考虑供应商的资质，企业证书和信用状况
Procedures Process of obtaining information from factories
and tools 从工厂获取信息
程序工具 E.g. questionnaire, checklist for self assessment of the factories.如：调查问卷，工厂的自我评估清
单

Verification of the information provided by factories for consistency check.

核实工厂提供的有关资料是否一致
Mechanism to analyze information provided by your factories on environmental and social
compliance parameters.
建立相关机制去验证工厂提供的关于环境和社会责任审核的相关资料

• Classification of vendors供应商分级

Vendor Pre-qualification Process供应商资格预审

• Vendor Evaluation供应商评估
• Verification复核
• Approval/Disapproval process before initiating the purchase初次订单前批复程序

Engagement with vendors供应商合作

• Vendor Registration供应商登记
• Continuous engagement持续参与合作

Training Program and Training needs analysis includes SCM-Suc-con?培训项目和培训需求分析涉

Communicatio 及供应链管理的分包吗？
n and training Included in the plan? 包含在计划里面吗？
沟通培训
Internal/ external trainee?内部/外部学员？
Channel and media？渠道和媒介？
Recorded the training?培训记录？
Training effectiveness evaluated?培训效果评估？

第 22 頁，共 25 頁
 Have and Review all the systemetical sections?拥有并且回顾了所有的系统模块？
Supplier has the effective monitoring procedures? 供应商有奏效的监控程序？
Supplier has the sufficient checklist?供应商有足够的检查清单？
Do you have a dedicated high-integrity team to manage the SCM/ subcontractor performance?有
专门高品德素质的团队来管理供应商/分包商？
Have you included SMC-SUB-CON standards in KPIs? 是否把供应链-供应商管理也作为一项关键
绩效指标？
Do you have a regular statement of work prepared for the subcontractors?
Monitoring and 是否能提供关于分包商的定期工作报告？
Evaluation How to evaluate the internal performance on on the subject using the KPIs? 如何用关键绩效指标
监督评估 来评估内部供应商/分包商的管理？
How do you compare and evaluate the performance of all subcontractors using the Scorecard or
KPIs? 如何用关键绩效指标来比较和评估所有的分包商？
What is the feedback mechanism in place to report the performance levels of subcontractors?对分
包商的相关表现有设立什么反馈机制？
Is there an individualized corrective action plan initiated for poorly performing subcontractors? 是
否对绩效不好的分包商开展有针对性的整改计划？
Is there an active dis-qualification and retreat mechanism for the sub-con?是否有关于分包的正在
运作的“取消资格”及“撤销”机制？
Regular review and evlaute the Supply Chain Management System? What is the frequency?定期
回顾和评估供应链管理体系？大概多久一次？
Recent review memo and action report?最近一次的回顾记录和行动报告？

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 SUPPLY CHAIN MANAGEMENT / SUB-CON
Ethical Sourcing audits required for factories producing:生产以下产品的工厂需要做道德采购审核 Y/N/NA REMARK

Merchandise imported by Walmart (Walmart is the importer of record)

所有由沃尔玛进口的商品 （沃尔玛是注册进口商）

Merchandise sourced through Walmart Global Sourcing

所有由沃尔玛全球采办采购的商品

Any private label, licensed, or non-branded merchandise

所有沃尔玛贴牌、许可或非品牌商品

Brands exclusive to Walmart 所有由沃尔玛独家销售的商品

Merchandise labeled as “distributed by/manufactured for Walmart”

带有如“由沃尔玛销售/生产” 等标记的商品

Packing materials with logos/brands exclusive to Walmart

包装材料上印有沃尔玛专有标志或商标或提及沃尔玛的商品

Merchandise components bearing any mark associated with Walmart

商品零部件带有沃尔玛标志的任何商品

Augmentation of any merchandise in scope for Walmart Ethical Sourcing including but not limited to washing, embroidering,
assembling, printing etc. 沃尔玛道德采购项目范围中的商品通过生产或加工（包括但不限于洗涤、刺绣、装配、
Standards and 印刷等）的增值
Requirement
Mandatory factory disclosure: Suppliers must disclose, in advance, the names and locations of all of their in scope facilities to
the buyer or sourcing designee. 工厂信息强制披露：供应商必须提前向买手或相关采购人员披露所有生产工厂
的名称和地点。

Factory IDs will be required to be listed on the sample tag for any items to be considered for finalization.任何产品在最终确
认前供应商须在样板标签上列出生产工厂编号。

All newly disclosed facilities pre-qualification must have a green or yellow rating prior to activated. Orange-rated facilities
may no longer be added to the supplier’s matrices.
所有新披露的工厂应进行道德采购资格预审并取得黄色或绿色评级结果后方可激活。橙色工厂不能加到供应商
的工厂名单中。

if a supplier wishes to add an already-active factory to their supplier matrix, the factory must have a green or yellow rating.
如果供应商要将现有激活状态的工厂增加至其工厂名单,工厂必须是黄色或绿色评级。

Effective June 1, 2013, all suppliers are required to have a company employee for ensuring ES compliance stationed in each
country where the supplier is actively sourcing Walmart product. The name of the in-country representative must be listed on
the sample tag for any items to be considered for finalization.
2013年6月1日起，所有供应商应在生产沃尔玛采购的生产国有一名员工负责确保在该国采购的商品符合沃尔玛
道德采购的要求。任何产品在最终确认前供应商须在样板标签上列出供应商生产国代表的名字。

Are the supplier related people, including top, sales, purchasing, production, QA, and compliance well aware of the related
law and customer policy on Sub-con?
Top has commitment?
Policy How to update the policy?
Does supplier has intergrate customer requirement in own COC policy? Well communicated internally and externally?
KPI set on Supply Chain Management including sub-con compliance?
Evidance of implementation of the policy?

Who are in charge of it? Clear job description on it for individual position?
The responsible persons qualified?
Responsibility The background/ Relevant? The competency? Need enhance?
How to impact the performance evaluation?
With reward and incentive mechanism?

Who lead /who envolved for define and design the procedures and tools?
Where embedded the policy and procedure?
What is the recource center?
Procedures and What is the report line if any concern?
Tools Approval Procedure on using sub-con?
Specific tools?

第 24 頁，共 25 頁
 Vendor Identification Process供应商资格确认
• Supply chain mapping Map- ALL the suppliers that provide raw materials / accessories / services / resources to your
production processes.了解供应链-列出所有为您的生产流程提供原料，配件，服务的所有供应商。

• Vendor identification供应商资格确认
Types of vendors considered (manufacturing vendors or trading vendors or both)
分析供应商的类型 （生产厂商或者贸易商，或者两者皆是）
Reports, business certificates and credit standings of vendor considered before initiating a purchase process.首次下单前综合
Procedures and 考虑供应商的资质，企业证书和信用状况
Tools Process of obtaining information from factories从工厂获取信息
E.g. questionnaire, checklist for self assessment of the factories.如：调查问卷，工厂的自我评估清单

Verification of the information provided by factories for consistency check.核实工厂提供的有关资料是否一致

Mechanism to analyze information provided by your factories on environmental and social compliance parameters.建立相关
机制去验证工厂提供的关于环境和社会责任审核的相关资料
• Classification of vendors供应商分级

Vendor Pre-qualification Process供应商资格预审

• Vendor Evaluation供应商评估
• Verification复核
• Approval/Disapproval process before initiating the purchase初次订单前批复程序

Procedures and
Tools
Engagement with vendors供应商合作
• Vendor Registration供应商登记
• Continuous engagement持续参与合作

Training Program and Training needs analysis includes SCM-Suc-con?

Included in the plan?
Communication Internal/ external trainee?
and Training Channel and media?
Recorded the training?
Training effectiveness evaluated?

Have and Review all the systemetical sections?

Supplier has the effective monitoring procedures?
Supplier has the sufficient checklist?
Do you have a dedicated high-integrity team to manage the SCM/ subcontractor performance?有专门高品德素质的团队来
管理供应商/分包商？
Have you included SMC-SUB-CON standards in KPIs? 是否把供应链-供应商管理也作为一项关键绩效指标？
Do you have a regular statement of work prepared for the subcontractors?
是否能提供关于分包商的定期工作报告？
How to evaluate the internal performance on on the subject using the KPIs? 如何用关键绩效指标来评估内部供应商/分
Monitoring and 包商的管理？
Evaluation How do you compare and evaluate the performance of all subcontractors using the Scorecard or KPIs? 如何用关键绩效指
标来比较和评估所有的分包商？
What is the feedback mechanism in place to report the performance levels of subcontractors?对分包商的相关表现有设立
什么反馈机制？
Is there an individualized corrective action plan initiated for poorly performing subcontractors? 是否对绩效不好的分包商
开展有针对性的整改计划？
Is there an active dis-qualification and retreat mechanism for the sub-con?
Regular review and evlaute the Supply Chain Management System? What is the frequency?
Recent review memo and action report?

第 25 頁，共 25 頁