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Wal Mart factory inspection

Product introduction: Wal Mart factory inspection1、 Wal Mart factory inspection standard human rights review documentThe following originals must be provided on the same dayBusiness licensePlant planOrganization chart-Factory rules and discipline-Dormitory discipline rules-Employee handbook-Individual labor contracts need to be provided, which are clear and acceptable through collective contracts recognized by the government-Personnel filesCopy of ID cardPersonnel file data - including date of entryPlease leave a false billResignation letter / recordWarning letter-Physical examination report and work license / registration of juvenile workers aged 16-18-Local minimum wage document-Salary / production records of the last year*-Time card / attendance record-Piecework production records and piecework wage calculation records-Payroll records - manual or computer-Payslip / payroll with worker's signature-Payroll deduction / penalty record-Industrial accident record-Insurance - relevant approvals and insurance purchase receipts provided by local government departments-Material safety data sheet-Emergency / accident record-Health certificate of kitchen / restaurant staff-Special equipment license-Special equipment operation permit-Discharge permit for waste / wastewater, etc-Election procedures of trade union representatives, trade union responsibilities, minutes of trade union organization meetings-Safety certificate of plant building structure-Fire fighting plan and emergency escape plan of the plant-Structure diagram and / or working procedure of EHS organization / work safety committee-Emergency / accident record / sick leave record-Operation certificate for personnel of special type of work-Hazardous material inventory / waste inventory-Fire drill records and fire escape procedures-Machine safety operation training record-Training records on safe use of chemicals-Medical and first aid training records-Health / health training records-Others (depending on the audit)2、 Wal Mart audit process and procedureThe subcontractor's factory producing the following goods shall be subject to the audit of ethical standards:A. Finished productsB. Spare parts with Wal Mart logoC. Products, clothing cleaning and processing plants that are obviously included in Wal Mart's products also require ethical standards audit. It is the supplier's responsibility to inform all subcontractors producing Wal Mart goods.Note: the supplier shall distribute a poster of 'Supplier Standard' in English and local language to all factories producing goods for sale by Wal Mart.1. Audit arrangementDirect import supplier:After the application form is accepted and reviewed by the GP, the auditor will arrange the time for the auditee to review the application form on site. Local suppliers in the United States: after the audit application form is accepted, the ethical standards Department of the headquarters will arrange the audit time and appoint a third-party audit organization to the site for audit. Suppliers and factories should consult Wal Mart's es department for relevant matters. Wal Mart requires the third-party auditor to transfer to Wal Mart es department for handling after receiving relevant calls from the supplier / factory.2. Audit implementation: pre audit meeting, factory inspection, employee interview, factory document review, summary meeting and signing of audit reportAudit scope-The preliminary review and annual review shall be comprehensive. The auditor will review the records for at least three months to one year.-The follow-up audit is mainly based on but not limited to the results of the previous audit. The follow-up review also includes the review of salary and working hours.-The scope of audit on the factory of Direct Import Supplier shall also include the audit required by C-TPAT (Customs Trade anti terrorism alliance).Any factory that attempts to obstruct or refuse the entry of auditors designated by Wal Mart will lead to serious consequences. Read the supplier standard and Chapter 6 of this manual for details. If the auditors cannot enter the factory, they cannot determine the compliance of the relevant factory with the supplier standard. The audit fee will be charged when the factory of local suppliers in the United States is audited. The incomplete or inaccurate contact information of the factory, and the management personnel of the factory do not understand the relevant requirements of the audit and reception auditors, which will seriously affect the audit time limit. The supplier shall help relevant personnel of the factory understand the relevant requirements of Wal Mart's supplier standard. When the audit is conducted according to the prior arrangement, the person in charge of the factory and / or the supplier must be present and sign on the on-site report proposing improvement measures. The person in charge of the factory must be present during the audit. If the person in charge of the factory is not present, the direct import supplier shall still bear the third-party audit expenses.3. The whole audit procedure includes the following activities:(1) . pre audit meetingAfter the auditors arrive at the factory, they first meet with the factory management. The factory management personnel shall provide the completed factory questionnaire. At this stage, the auditors will also verify the business license of the factory and verify and confirm the materials submitted by the factory one by one.(2) Factory inspectionAfter the pre audit meeting, the auditors will patrol the factory. In general, the auditors only need the minimum assistance of the factory management personnel during the patrol inspection. With as little monitoring as possible, auditors can audit in the most effective way. Of course, due to the different size of the factory, the inspection time will be different.The auditor will have a short dialogue with the factory staff in the production area to ask mechanical operation and other questions related to Wal Mart supplier standards. In addition, the auditor may measure the space, test whether the fire prevention equipment and other equipment are under control, and check the repair and maintenance records. At the end of the inspection tour, the reviewers will require documents related to personnel, working hours and salary records. The salary review depends on the size of the factory.(3) Employee interviewEmployee interviews are an industry standard for assessing code of conduct (vendor standards) issues. Wal Mart believes that understanding employees' opinions is an indispensable part of the audit process. The audit results and findings can be confirmed through such interviews.Employee interviews should be conducted separately outside the production area. Factory management personnel shall provide a separate interview room. Factory managers or their representatives shall not be present during the interview. The number of employees interviewed shall be no less than 15 and no more than 25. The specific number depends on the size of the factory. The interviewees shall be representatives of male and female employees in the plant and selected from different departments in the plant. In addition, it is best to select employees in key production positions. Usually, the auditors will select the interview objects during the inspection of the factory. If some problems are found during document review, relevant employees can also be invited to interview at any time.(4) Review of factory documentsIn order to further ensure the correct implementation of Wal Mart's supplier standard, Wal mart or the third party designated by Wal Mart will take measures such as factory on-site inspection to ensure the correct implementation of the supplier standard. Suppliers who fail to pass the factory site inspection or refuse to accept the factory site inspection and relevant document inspection will face the consequences of immediate cancellation of remaining orders, rejection of goods, return of goods, termination of business transactions and so on.(5) . summary meetingWhen the audit is conducted according to the prior arrangement, the factory management representative and / or the supplier must be present and sign on the site report proposing improvement measures. The auditors will summarize the audit results together with the factory at the summary meeting, and discuss the non-compliance with Wal Mart's supplier standards with the factory management. The auditor will prepare an on-site report, including the violations found in the audit process and suggestions for improvement measures. During the summary meeting, the auditors will discuss the problems pointed out in the on-site report and the improvement measures proposed. Factory management personnel and auditors shall sign on the site report for confirmation. This ensures that plant managers also have a record of problems (violations) and remedial suggestions. The plant management shall take measures to deal with the problems pointed out in the site report. The factory management personnel shall submit the prepared action plan to the auditors at the follow-up audit meeting. During the follow-up audit, the auditor will confirm the implementation of the measures. The supplier and / or the factory should contact the regional office to communicate the problems and / or suggestions reported on the site in time.(6) . sign the audit report3、 Wal Mart audit result (grade) classificationAll factories must be inspected to ensure that the products are produced in accordance with Wal Mart's supplier standards. After the factory is audited, it will be evaluated as an audit result (level). The audit results (grades) are as follows:Green-If no violation or only low-risk violation is found during the audit, the factory will be rated as green-The order can be shipped normally-New orders available-If the factory still produces Wal Mart products one year after obtaining the green results, it must be subject to annual review.Yellow-Factories with medium risk violations found during the audit will be rated as yellow-The order can be shipped normally-New orders available-The factory will re audit within 120 days after the evaluation results come out.Orange-Factories found to have high-risk violations during the audit will be rated orange-The order can be shipped normally-New orders available-The factory will re audit within 120 days after the evaluation results come out.Red (red)-Factories found to have serious violations during the audit will be rated as 'red'-The factory has violations in the following aspects: child labor, forced labor, corporal punishment, illegal transshipment, discrimination, human rights violations, bribery and / or unsafe working conditions-Cancel released orders-All orders that have not been shipped will be cancelled-If a full container of goods has been shipped, it can be accepted only with the consent of the retail market-If the LCL goods have been delivered to the designated assembly carrier, they will be accepted (the retail market that disagrees with the acceptance shall be handled according to the return / Claim Procedure)-New orders cannot be acceptedFrozen program'Rejected' should not be confused with ES audit results. This procedure is mainly used to manage suppliers / factories that do not meet the new ES procedures and requirements. Non conforming and / or non cooperative suppliers / factories will be classified into this status. In this ethical standards procedure, factories that meet the following elements can be listed in the rejected status:-A total of four (consecutive or cumulative) orange results were obtained within two years.-Direct import supplier: after the supplier's factory obtains orange results three times, Wal Mart will decide whether the next audit will be conducted by a third-party impartial organization designated by Wal mart or by Wal Mart ethical standards department. If a third party audit is required, the relevant expenses of the audit shall be borne by the supplier. The 'audit application form' reviewed by the third party must be submitted within 90 days of the audit date of the last audit.Execution of disapproved program-The cumulative number of orange results will be pushed back two years from the last audit date.-When orange results are obtained for the third time, the supplier / factory and Wal Mart procurement department shall be informed of the results at the same time. Note: if any audit result makes the factory get the fourth orange result within two years, the factory will be listed as 'rejected' from the date of the last audit.Consequences of inclusion in 'rejected'-New orders cannot be accepted for at least one year from the date of audit-All purchase orders will be cancelled-All undelivered orders will be cancelled-Only products that have been shipped will be accepted-New orders cannot be accepted when the factory is in the 'rejected' status-New orders cannot be accepted until they are reviewed by a third-party audit organization or Wal Mart ethical standards department and obtain yellow or green results.Release 'disabled' status-The factory must first solve the problem that led to disapproved-The supplier must submit the review application form to the local ethical standards department at least 30 days before business recovery.-The factory must accept a comprehensive audit and obtain yellow or green results before accepting new orders.-The document review will include salary records for at least three months and up to one year-For direct import suppliers, ES department will determine whether the supplier's factory needs to be audited by a third-party audit organization or ES Department of the company. Es department decides to submit it to the third-party audit organization for audit, and the relevant expenses of audit shall be borne by the supplier.-If the factory fails to obtain the qualified audit results, it will continue to maintain the 'rejected' statu-After the factory is ready for re audit, the supplier can submit the audit application form again.Wal Mart encourages suppliers to develop and improve the factories they use in accordance with Wal Mart's supplier standards.The supplier's performance will be evaluated by the following parameters:-Number of disapproved plants-Number of factories that have not been reactivated due to being listed in the rejected status-Overall factory performance: get the number of green result factories, yellow result factories, orange result factories and red result factories
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Wal Mart factory inspection
  • Project description
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Wal Mart factory inspection

1、 Wal Mart factory inspection standard human rights review document
The following originals must be provided on the same day
Business license
Plant plan

Organization chart
-Factory rules and discipline
-Dormitory discipline rules
-Employee handbook
-Individual labor contracts need to be provided, which are clear and acceptable through collective contracts recognized by the government
-Personnel files

Copy of ID card
Personnel file data - including date of entry
Please leave a false bill
Resignation letter / record
Warning letter
-Physical examination report and work license / registration of juvenile workers aged 16-18
-Local minimum wage document
-Salary / production records of the last year*
-Time card / attendance record
-Piecework production records and piecework wage calculation records
-Payroll records - manual or computer
-Payslip / payroll with worker's signature
-Payroll deduction / penalty record
-Industrial accident record
-Insurance - relevant approvals and insurance purchase receipts provided by local government departments
-Material safety data sheet
-Emergency / accident record
-Health certificate of kitchen / restaurant staff
-Special equipment license
-Special equipment operation permit
-Discharge permit for waste / wastewater, etc
-Election procedures of trade union representatives, trade union responsibilities, minutes of trade union organization meetings
-Safety certificate of plant building structure
-Fire fighting plan and emergency escape plan of the plant
-Structure diagram and / or working procedure of EHS organization / work safety committee
-Emergency / accident record / sick leave record
-Operation certificate for personnel of special type of work
-Hazardous material inventory / waste inventory
-Fire drill records and fire escape procedures
-Machine safety operation training record
-Training records on safe use of chemicals
-Medical and first aid training records
-Health / health training records
-Others (depending on the audit)

2、 Wal Mart audit process and procedure
The subcontractor's factory producing the following goods shall be subject to the audit of ethical standards:
A. Finished products
B. Spare parts with Wal Mart logo
C. Products, clothing cleaning and processing plants that are obviously included in Wal Mart's products also require ethical standards audit. It is the supplier's responsibility to inform all subcontractors producing Wal Mart goods.
Note: the supplier shall distribute a poster of 'Supplier Standard' in English and local language to all factories producing goods for sale by Wal Mart.
1. Audit arrangement
Direct import supplier:
After the application form is accepted and reviewed by the GP, the auditor will arrange the time for the auditee to review the application form on site. Local suppliers in the United States: after the audit application form is accepted, the ethical standards Department of the headquarters will arrange the audit time and appoint a third-party audit organization to the site for audit. Suppliers and factories should consult Wal Mart's es department for relevant matters. Wal Mart requires the third-party auditor to transfer to Wal Mart es department for handling after receiving relevant calls from the supplier / factory.

2. Audit implementation: pre audit meeting, factory inspection, employee interview, factory document review, summary meeting and signing of audit report
Audit scope
-The preliminary review and annual review shall be comprehensive. The auditor will review the records for at least three months to one year.
-The follow-up audit is mainly based on but not limited to the results of the previous audit. The follow-up review also includes the review of salary and working hours.
-The scope of audit on the factory of Direct Import Supplier shall also include the audit required by C-TPAT (Customs Trade anti terrorism alliance).


Any factory that attempts to obstruct or refuse the entry of auditors designated by Wal Mart will lead to serious consequences. Read the supplier standard and Chapter 6 of this manual for details. If the auditors cannot enter the factory, they cannot determine the compliance of the relevant factory with the supplier standard. The audit fee will be charged when the factory of local suppliers in the United States is audited. The incomplete or inaccurate contact information of the factory, and the management personnel of the factory do not understand the relevant requirements of the audit and reception auditors, which will seriously affect the audit time limit. The supplier shall help relevant personnel of the factory understand the relevant requirements of Wal Mart's supplier standard. When the audit is conducted according to the prior arrangement, the person in charge of the factory and / or the supplier must be present and sign on the on-site report proposing improvement measures. The person in charge of the factory must be present during the audit. If the person in charge of the factory is not present, the direct import supplier shall still bear the third-party audit expenses.

3. The whole audit procedure includes the following activities:
(1) . pre audit meeting
After the auditors arrive at the factory, they first meet with the factory management. The factory management personnel shall provide the completed factory questionnaire. At this stage, the auditors will also verify the business license of the factory and verify and confirm the materials submitted by the factory one by one.

(2) Factory inspection
After the pre audit meeting, the auditors will patrol the factory. In general, the auditors only need the minimum assistance of the factory management personnel during the patrol inspection. With as little monitoring as possible, auditors can audit in the most effective way. Of course, due to the different size of the factory, the inspection time will be different.

The auditor will have a short dialogue with the factory staff in the production area to ask mechanical operation and other questions related to Wal Mart supplier standards. In addition, the auditor may measure the space, test whether the fire prevention equipment and other equipment are under control, and check the repair and maintenance records. At the end of the inspection tour, the reviewers will require documents related to personnel, working hours and salary records. The salary review depends on the size of the factory.

(3) Employee interview
Employee interviews are an industry standard for assessing code of conduct (vendor standards) issues. Wal Mart believes that understanding employees' opinions is an indispensable part of the audit process. The audit results and findings can be confirmed through such interviews.

Employee interviews should be conducted separately outside the production area. Factory management personnel shall provide a separate interview room. Factory managers or their representatives shall not be present during the interview. The number of employees interviewed shall be no less than 15 and no more than 25. The specific number depends on the size of the factory. The interviewees shall be representatives of male and female employees in the plant and selected from different departments in the plant. In addition, it is best to select employees in key production positions. Usually, the auditors will select the interview objects during the inspection of the factory. If some problems are found during document review, relevant employees can also be invited to interview at any time.

(4) Review of factory documents
In order to further ensure the correct implementation of Wal Mart's supplier standard, Wal mart or the third party designated by Wal Mart will take measures such as factory on-site inspection to ensure the correct implementation of the supplier standard. Suppliers who fail to pass the factory site inspection or refuse to accept the factory site inspection and relevant document inspection will face the consequences of immediate cancellation of remaining orders, rejection of goods, return of goods, termination of business transactions and so on.

(5) . summary meeting
When the audit is conducted according to the prior arrangement, the factory management representative and / or the supplier must be present and sign on the site report proposing improvement measures. The auditors will summarize the audit results together with the factory at the summary meeting, and discuss the non-compliance with Wal Mart's supplier standards with the factory management. The auditor will prepare an on-site report, including the violations found in the audit process and suggestions for improvement measures. During the summary meeting, the auditors will discuss the problems pointed out in the on-site report and the improvement measures proposed. Factory management personnel and auditors shall sign on the site report for confirmation. This ensures that plant managers also have a record of problems (violations) and remedial suggestions. The plant management shall take measures to deal with the problems pointed out in the site report. The factory management personnel shall submit the prepared action plan to the auditors at the follow-up audit meeting. During the follow-up audit, the auditor will confirm the implementation of the measures. The supplier and / or the factory should contact the regional office to communicate the problems and / or suggestions reported on the site in time.

(6) . sign the audit report

3、 Wal Mart audit result (grade) classification
All factories must be inspected to ensure that the products are produced in accordance with Wal Mart's supplier standards. After the factory is audited, it will be evaluated as an audit result (level). The audit results (grades) are as follows:

Green
-If no violation or only low-risk violation is found during the audit, the factory will be rated as green
-The order can be shipped normally
-New orders available
-If the factory still produces Wal Mart products one year after obtaining the green results, it must be subject to annual review.
Yellow
-Factories with medium risk violations found during the audit will be rated as yellow
-The order can be shipped normally
-New orders available
-The factory will re audit within 120 days after the evaluation results come out.


Orange
-Factories found to have high-risk violations during the audit will be rated orange
-The order can be shipped normally
-New orders available
-The factory will re audit within 120 days after the evaluation results come out.

Red (red)
-Factories found to have serious violations during the audit will be rated as 'red'
-The factory has violations in the following aspects: child labor, forced labor, corporal punishment, illegal transshipment, discrimination, human rights violations, bribery and / or unsafe working conditions
-Cancel released orders
-All orders that have not been shipped will be cancelled
-If a full container of goods has been shipped, it can be accepted only with the consent of the retail market
-If the LCL goods have been delivered to the designated assembly carrier, they will be accepted (the retail market that disagrees with the acceptance shall be handled according to the return / Claim Procedure)
-New orders cannot be accepted

Frozen program
'Rejected' should not be confused with ES audit results. This procedure is mainly used to manage suppliers / factories that do not meet the new ES procedures and requirements. Non conforming and / or non cooperative suppliers / factories will be classified into this status. In this ethical standards procedure, factories that meet the following elements can be listed in the rejected status:

-A total of four (consecutive or cumulative) orange results were obtained within two years.
-Direct import supplier: after the supplier's factory obtains orange results three times, Wal Mart will decide whether the next audit will be conducted by a third-party impartial organization designated by Wal mart or by Wal Mart ethical standards department. If a third party audit is required, the relevant expenses of the audit shall be borne by the supplier. The 'audit application form' reviewed by the third party must be submitted within 90 days of the audit date of the last audit.

Execution of disapproved program
-The cumulative number of orange results will be pushed back two years from the last audit date.
-When orange results are obtained for the third time, the supplier / factory and Wal Mart procurement department shall be informed of the results at the same time. Note: if any audit result makes the factory get the fourth orange result within two years, the factory will be listed as 'rejected' from the date of the last audit.

Consequences of inclusion in 'rejected'
-New orders cannot be accepted for at least one year from the date of audit
-All purchase orders will be cancelled
-All undelivered orders will be cancelled
-Only products that have been shipped will be accepted
-New orders cannot be accepted when the factory is in the 'rejected' status
-New orders cannot be accepted until they are reviewed by a third-party audit organization or Wal Mart ethical standards department and obtain yellow or green results.

Release 'disabled' status
-The factory must first solve the problem that led to disapproved
-The supplier must submit the review application form to the local ethical standards department at least 30 days before business recovery.
-The factory must accept a comprehensive audit and obtain yellow or green results before accepting new orders.
-The document review will include salary records for at least three months and up to one year
-For direct import suppliers, ES department will determine whether the supplier's factory needs to be audited by a third-party audit organization or ES Department of the company. Es department decides to submit it to the third-party audit organization for audit, and the relevant expenses of audit shall be borne by the supplier.
-If the factory fails to obtain the qualified audit results, it will continue to maintain the 'rejected' statu
-After the factory is ready for re audit, the supplier can submit the audit application form again.

Wal Mart encourages suppliers to develop and improve the factories they use in accordance with Wal Mart's supplier standards.

The supplier's performance will be evaluated by the following parameters:

-Number of disapproved plants
-Number of factories that have not been reactivated due to being listed in the rejected status
-Overall factory performance: get the number of green result factories, yellow result factories, orange result factories and red result factories

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