Walmart Responsible Sourcing Evaluation RS / FCCA /...

Walmart Responsible Sourcing Evaluation RS / FCCA / GSV

* Example Report *

North America +1-813-252-4770

Latin America

+52-1-333-2010712

Europe & Middle-East +49-8122-552 9590

Asia & Asia Pacific +886-2-2832-2990

India

+91-120-4291971

Email

[email protected]

www.proqc.com

1

NAME : NAME :

ADDRESS : ADDRESS :

CITY : CITY :COUNTRY : COUNTRY :

PHONE : PHONE :FAX : FAX :

Mr./Mrs. Title: Email:Mr./Mrs. Title: Email:Mr./Mrs. Title: Email:Mr./Mrs. Title: Email:Mr./Mrs. Title: Email:Mr./Mrs. Title: Email:Mr./Mrs. Title: Email:

Mr./Mrs. Title: Email:Mr./Mrs. Title: Email:Mr./Mrs. Title: Email:

Scope :

CSA 43.88% FCCA 39.68% GSV 54.3%

C 36.73% C 9.52% Comply 11.11%

I 21.43% I 11.11% Need Imp 20.99%

NC 41.84% NC 79.37% Not comply 67.90%

ABC Factory ABC Company

Champlain

SUPPLIER'S PERSONNEL PARTICIPATING

SUPPLIER'S INFORMATION

Rev.SUMMARY

Report No.

CLIENT'S INFORMATION

XXXXX XXXXXXXXXXXXXXXXX

Systems are effective, you could start or continue business with this supplier

There are serious major issue in this supplier that could impact in your business

Supplier Name Audit Date

Wal-Mart Supplier Audit

The better solution will be to source for another supplier

AUDIT RESULTS

RECOMMENDATIONS

supplier, and keep pushing them to improve it.

System has some major issue, you could temporarily use this supplier andrequest immediate corrective action in case of long term business.

System is acceptable, with minor nonconformities, you could use this

Pro QC Auditor

Pro QC PERSONNEL

GSV=54.3%FCCA=39.68%RS=43.88%

1

This factory is aware of these issues and now trying to group energy and resources to resolve.

Energy consumption and monitoring, as well as environmental aspect and their impact are not well known.

In regards to GSV / C-TPAT, there is no security system in place. Containers can come in, but no inspection is conducted on them, neither in visitor or employee. Employees are not identified with badges. Fences are not equippedwith necessary cameras, and the facility looks easily accessible from various points.

The building has 2 floors, the 1st floor is for knitting and injection mold product, warehouse and delivery product.The 2nd floor is for assembly testing, testing and packaging. The whole building seems to be under constructionwith additional equipment current in installation process, including fire equipment. The factory is currently developingdocuments to conform to social responsibility requirements. For example, work contract, working hours, salary payroll respecting the

visible. They do not seem to be totally aware of safety risk in the environment.

basic requirement of national law. The safety condition and sanitary is an issue for improvement. The factoryhas not yet conducted a full risk assessment that should lead to have safety program in place , including trainingand necessary communication to workers. People assigned in paper as being responsible of safety issues are not

See above summary and within report. Opportunities for Improvement:

Strengths:Equipment looks new.Enough space for the development of future business.The location of the factory is quite easy to find.

To evaluate the social responsibility level of the supplier associated with conducting business with Wal-Mart.

Summary/Recommendation:The factory just received their business license in March this year.Their production center is located on 6210 square meter in a workshop of 2 floor rented from someone else.

The factory does not have any quality management system in place. Machines looks new, but with no documentedmaintenance plan, and no calibration plan for inspection / test equipment.

The building certificate was provided. The factory started to produce last year.

XXXXXXXXXXXX XXXXX #VALUE!

Scope of Audit:

The current number of people is around 88 workers, acting in full time, no specific Quality Department, but with5 people acting as QC, 1 for incoming inspection, 1 for final inspection and 3 in-process inspection.

Wal-Mart Supplier Audit Rev.AUDIT REPORT

Supplier Name Audit Date Report No.

1

SCORE

1 SCORE1.1

I

1.2

I

1.3

I

1.4

C

2

2.12.1.1

C

2.1.2

C

2.1.3

C

COMPLIANCE WITH LAWS

VOLUNTARY LABOUR

Child Labour

xxxxXXXXXXXXXXXXXXXXXXXXXXXXXX

C = Complies with the requirements, I = Improvement Needed, NC = Not Complies, N/A = Not Applicable

The factory defined the minimun working age as 16 years old. It writing in Social Responsibility Manual (KX/SA01, Rev. A/0), page #28, section 4.1.1

QUESTIONNAIRES

Does the Company know the minimum legal working age?

Does a written policy exist at the Company addressing legal minimum age or 15, whichever is greater?

Rev.Social Responsibility


Audit for Wal-Mart Suppliers

The hiring procedure is writing in the Social manual (KX/SA01, Rev. A/0), page #28, section 4.2.1 as verify the ID and Kukou certificate, and check in the national website in case it need. The web site should be added in this section.

What are the procedures the Company follows to verify the age of its employees?

EVIDENCE TO CHECK FINDINGS

Ask HR department or individual responsible in charge of Hiring employee. Ask if that person has a documented National law in which the minimal working age is written.

Yes, the company is aware of the minimun legal working age which is 16 years olds. Ms Cary is in charge of Human resource and hiring process.

Review the procedure, and ask the audited person to explain the procedure

Name and title of the person with the defined authority to carry out the requirements

Yes, the company has nominated Mr. Wang Li xia as Representative, there is a nomination letter KX [2015]01 signed in 201504-01 (See Photo #8). The Safety representative is also nominated in the file KX [2015] 02, signed in 2015-04-01.

Attach the policy statement or document asserting commitment to compliance

Yes, the policy is written in the social manual (KX/SA01), page #18. Must be signed.

Does your facility adhere a written health and safety policy (or statement of commitment)?



Does your facility adhere a written enviroment (or statement of commitment)?

Review policy and record the document number in which this policy is written.

Does your facility adhere a written labor and ethics policy (or statement of commitment)?



Is there a management representative at this facility assigned responsability for assuring and facilitating compliance with labor and ethics, health and safety policy and environment policies, regulations and codes?

1

SCORE



QUESTIONNAIRES




EVIDENCE TO CHECK FINDINGS2.1.4

C

2.1.5

C

2.1.6

C

2.1.7

N/A

2.1.8

C

2.2 Forced Labor

Are any employees found to be under the minimum legal age or 15, whichever is greater, during the audit review?

Do the Organization has a remedial program for under age-hired workers such as?

Check if any or more of following remedial program is planned : a) Hire one of his or her family members.b) Send them to school.c) Feed them.d) Pay for them to go home. Record the documented number in which this program is written

Yes, the factory has a remedial prgram writing in the Social Manual (KX/SA01, Rev. A/0), page#17, section #4.7, 4.8, 4.9 AN 4.10. The program is: 1) Immediately stop work. 2) Conduct physical medical check 3) Immediately inform local labour service. 4) Do not stop his contract, clean up his salary, take care of transporation expense to home, conduct necessary investigation...etc

Record the Name of the Worker(s) found to be under minimum legal age or 15. Possibily take a photo of the worker(s)

Following 11 employees were checked: KX002, KX003, KX021, KX055, KX069, KX072, KX088, KX089, KX096, KX099 and KX100. Their age is between 18 to 25. None of them were found under minimun legal age (See photo #10)

The factory has list of all employees, around 103, including 15 already leave, since April this year . Each employee is listed with his name, employee code number, sex, education level, department number, name, ID number, birthday, hiring date, location address, age between 19 to 49 (See photo #9)

Select 5 employees (of apparent youngest age) at each workshop, record their name and ID, ask them their age, year of birth, date of hire. Ask them if their employer asked for age identification at the time of their hiring. Cross check employee information with HR records.

Are ages of all employees checked prior to hiring?

Have the organization implemented the remediation program as defined

If there is an under age-hired worker(s), check the record of implemementation of remediate program. If not then this question is not applicable.

Does your facility ensure that young or workers don´t perfom night work or hazardous work?

Review the restrictions (if any). Are the restrictions documented and fairly enforced? If restrictions do exist, check the restricted work areas for compliance.

No, the factory has never experienced the use of child labour, and has never implement a such plan, Not applicable

Yes, the factory defined policy for young workers (16 to 18) describe din the Social Manual (KX/SA01, Rev. A/0), page #16, section 5.6, and has prohibit the OT and night work in the section 5.6.2

1

SCORE



QUESTIONNAIRES





C

2.2.3

I

2.2.4

I

2.2.5

N/A

2.2.6

C

How does the Company ensure it does not use prison labor or forced labor and that all workers are doing so voluntarily? (Human traffiking)

Following 11 employees were checked: KX002, KX003, KX021, KX055, KX069, KX072, KX088, KX089, KX096, KX099 and KX100. Each has a written work contract, signed by the employee himself. But no signature from the company represenative. Remuneration is not mentioned (See photo #11).

No guest at this factory

Does each personel employed at the facility has a written contract?

Select 5 employees at each workshop who are paid directly by the facility. Check their contract and record the ID No. of employee checked. Check if the remunaration is written in the contract.

Does the Company employ guest workers or temporary labor?

If there is no guest or temporary worker, then no applicable. If not check the employment or business contracts to evaluate the employee payment conditions

Does the company require employees to make any monetary deposits or keep any original identification documents as a condition of employment or make any financial guarantee to secure employment?

Review the contract and do interview to 5 employess to corroborate information

Yes, the factory defined policy to prohibit the use of forced labor described in the Social Manual (KX/SA01, Rev. A/0), page #22. The procedure is comform to national law.

Does your facility has a documented procedure to verify that your suppliers avoid slavery and human trafficking?

Review documents or requirements requested to suppliers before to purchase goods and services.

Yes, the factory defined a procedure to select, qualify supplier is the base of their respect or engagement in the social policy. This procedure is documented in the social manual (KX/SA01, Rev. A/0), page #8, 9. The factory has a list of 6 main suppliers, but there is no evidences of their commitment to social effort.

1. Let them explain the steps they follow to verify that prison labor or forced labor are not used at the Company and that all workers are doing so voluntarily. 2. Review the procedures/ practices.

No, such practices are prohibited by the policy documented in the procedure of Social Manual (KX/SA01, Rev. A/0), page #22, section 3.2.2, as required by national labor law in section #32, and #96. All interviewed employee has never experienced been forced to such practices.

1

SCORE



QUESTIONNAIRES





C

2.2.8

C

3

3.1 C

3.2 C

3.3 C

3.4 C

3.5 C

3.6 C

Check with employees Yes, everyday from 11:30 to 12:30

If so on what basis do they accept over time work? Voluntary or requiered . Check time record it should we available for all workers

Are employees provided with clear information about their wages and benefits on a regular and timely basis?

What is the limit on total working hours in your facility?

Please enter legal limits hours and over time hours per days, per week and per month in your company

Yes, the receive pay check with all information, working hours and OT, and they sign when they get their pay (See photo #14)

Ask 5 employees if they were provided with the paycheck or other documentation information on a regular basis.

LABOR HOURS 5 working days ber week, 8 hours per day (8:30 to 11:30, 12:30 to 17:30), OT is 3 hours per day (18:30 to 20:30). At least 1 day rest within 7 working day

Do you workers have regular brakes during them working hours?

Yes, the factory has defined working hours in the document KX [2015] 08 as following (See photo #12): 5 working days ber week, 8 hours per day (8:30 to 11:30, 12:30 to 17:30), OT is 3 hours per day (18:30 to 20:30). At least 1 day rest within 7 working day

Interview 5 employees at each workshop who are paid directly by the facility. Ask them what the top management will do if they decide to stop their employment at the factory.

Is there a legal limit on total working hours in country or region?

If so please enter legal limits for regular hours and over time hours in both case per days, per week and per month

Yes, employees are free to stop their contract as it defined in the Social Manual (KX/SA01, rev. A/0) page #29, section 6.1. Around 15 employee resigned their contract since April. And each has completed the resign process, for example of the employee #KX064, hired in 2015-3-27, applied the resign in 2015-6-15, and approved in 2015-6-16.

No evidenceRegardless of the reason why, if any of these conditions are identified, score "NC"

Check if they have at least 1 during every seven-day period

Do all your workers have regular rest day?

Yes, 1 day rest per week

Is there any evidence of forced, bonded, or involuntary prison labor used at the site?

Are all employees free to stop their employment at the factory?

Yes, worker perform over time, for example of worker KX072, KX096, KX099. KX088 who has accumulated 24 hours OT in april.

Do any of your workers at the facility perform over time work?

1

SCORE



QUESTIONNAIRES





3.7 C

3.8 C

4

4.1 I

4.3 C

4.4 C

4.5 C

4.6 C

4.7 I

No evidenceIs there any evidence of the use of sexual harassment, corporal punishment, mental or physical coercion or physical abuse in the facility?

Interview 5 employees who have recently (past 2 years) received disciplinary actions. If no employees have received disciplinary actions randomly select 3 employees.

HIRING AND EMPLOYMENT PRACTICES

Does the facility have a policy on discrimination or is a statement included in an employee handbook?

Review the policy/ practices. (this should be addressed to avoid sexual harassment, corporal punishment, mental or physical coercion or physical abuse Are management personnel (including supervisors and any other individuals who can administer discipline trained in the policy?

Yes, the factory defined policy to avoid practice of discrimination, and it writing in the employee handbook. No promotion notice against discrimination in the field

Ask for the document where is the policy and review the records made about it

The policy is written in employee handbook, We did not see any evidences, such as traning record, or public notice to enforce the respect of this policy.

No home work

This contract has a clear description and is provided in the national language and with a clear understanding to the person who is being hired?

Yes, the contract provide clair information in national language (See photo #11)

Review contracts made for the employees, it should be provided in the national language or the prevalent language of the majority of the employees

Yes, there record of working hours in regular and OT in daily basis, they use electronic fingerprinter cards (See photo #15), and time are recorded automatically (See photo #13)

Check time cards or other reliable system such a lectronics swipe cards

Does the facility pay the legal minimum wage for regular time and overtime?

Ask HR department or department in charge of payroll to show the documents and it should be according with the law

Yes, check record of KX088, KX021 (See photo #14) for the payroll of March, April and May.

The company do any form of home working?

It is niot allowed home working unless prior consent is obtained

Does the time worked by all workers is fully documented?

Yes, each wroker has contract according to the law. But this contract is only signed by the employee, not by the company representative (See photo #11)

Does this policy is clear, understandable and duly communicated to the workers?

When is required the company have a contract for the workers according with the law?

Review with HR department contracts made for the employees

1

SCORE



QUESTIONNAIRES





4.8 NC

4.9 C

4.1.0 C

4.11 C

5

5.1 C

5.2 C

COMPENSATION

Are allowed to the workers reasonable movement in the workplace including unrestricted access to bathrooms and drinking water?

Interview 3 employees to know if this basic right is fulfilled

Yes, all workers has reasonable movement in the factory. No unreasonable restriction to access to bathrooms and drinking water

Are employees provided with other benefits (holiday pay, vacation) to which they are legally entitled?

Review policy or schedule of deductions. Review 5 employee paychecks who received other benefits to verify they are correct and that they are clearly documented.

There is a procedure in the Social Manual KX/SA01, Rev. A/0, page #10, 11, section 5.6.1.4 describing salary calculation such as 150% for OT in regular day, 200% for OT in Saturday and Sunday, and 300% in national holiday. There were national holiday in May 1st, employee did not work that day, and there is no OT. Other benefit are assurance for accident, and retirement documented in the file GP29002004486195.

Does your company avoid request to their job applicants pregnancy testing and AIDS test?

Review the selection procedure conducted by HR (including questions, test, surveys and documents requested)

There is no such request when hiring people

Review policy or schedule of deductions. Review 5 employee paychecks who receive deductions for disciplinary purposes to verify they are correct and that they are clearly documented.

Yes, the factory published a rules in the office, in which it's indicated deduction for disciplinary purpose.

Does the facility have a prenatal and postnatal program that ensures expectant mothers and new mothers are able to safely continue working in an area suitable for the condition and in accordance with any applicable governmental requirements?

Review the documented program or procedure, review of work areas designated by the facility as suitable for expectant mothers and new mothers. Sick leave provided. Limits for nightshift or overtime work. Relocation to less demanding work.

The factory has defined policy for protection of expected and new mother in the social manual KX/SA01, Rev. A/0, page 23, 24. Including working hours, holidays…etc. An prohibited work environment during pregnancy . With allowance to fit their baby for 30md when it needed.

Verify wages for the last 12 months of paychecks for 5 employees. Consider regular, overtime and holiday wages. If applicable, does piece rate pay comply with legal minimum wage

We have checked monthly pay check of March, April and May 2015, because the company has just got their business license since March this year. Record of salary, including OT is documented in hours rate, and the salary is almost above legal minimum

Are deductions and/or penalties made for disciplinary purposes?

Are the wages provided at least of the legal minimum?

1

SCORE



QUESTIONNAIRES





5.3 C

5.4 C

66.1

C

6.2

I

6.3

C

6.4

C

6.5 N/A

Is the salary are paid in timely manner including over time?

Ask the same 5 employees how often they are paid, and check if the date of payroll is respected (no more than 30 days from beginning of wage period)

Is there an elected member of the work force that acts as employee representative?

Is there a work union in your facility and if so, do you recognize it?

Review a Policy or procedure signed by a company top authority, in recognition of the work union force.

Yes, the factory recognize freedom of association as defined in the procedure of Social Manual (KX/SA01, rev A/0), page #31.

Deductions from wages must not be made without the express and written consent of workers and shall be documented in employee files. Deductions must not be made as a disciplinary measure and Suppliers must not deduct recruitment agency fees.

There is deduction for employee assurance of employee, 158.90 for immigrate employee, and 282.20 for local employee. According to the national law.

the salary is provided every month of 25 days, it written in the record salary.

Are representatives or union members subject to discrimination?

Interview the worker's representative The factory has define policy to not to discriminate workers representative in the Social Manual KX/SA01, Rev. A/0, page 32, section 4.6.2

If unions are restricted by law:Do the employees have a representative committee?

Ask for the representative committee in the facility

Union is not restricted by the law.

Does is deducted from wages only what is legally allowed?

Note the name of the worker Representative, and note his work location.

Yes, the authority has approved the election of worker representative see nomination letter KX [ 2015]07 signed in 201504-15. Worker Rep. are: He chen Xiu, Shi hua, Liu Dong, Li De Yan. The valid period is from 2015-04-15 to 2017-04-14. There is no recorded that attest that those people were selected by worked

Are employees free to join a union or association?

Interview 5 workers at each workshop if they know who is their worker representative

Yes, it defined that workers are free to join an union or association

FREEDOM OF ASSOCIATION AND RIGHT TO COLLECTIVE BARGAINING

1

SCORE



QUESTIONNAIRES




EVIDENCE TO CHECK FINDINGS6.6

I

6.7

I

6.8

NC

7

7.17.1.1

I

7.1.2

I

7.1.3

NC

Workers know who the representative is? Employees remember when the last elections were held?

Do the employees have access to management?

Interview 5 workers at each workshop, and ask them how they access to management in cas of need(complaint)

There is procedure to allow employee to convert their complaint to top management, written in the document KX/CARE201-234, page #67, section 3.1, 3.2. An unique mail box is fixed at the first floor workshop (See photo #16). The mail box is totally empty. The procedure i snot communicated to employee

Are workers allowed to meet on work related or personal issues?

Interview 5 workers at each workshop and ask them if is allowed this kind of meeting

Yes, worker are allowed to meet on work related or personal issue. But we did not see any evidence that worker are aware of such right, no publish notice. No record of their attendee.

Interview 5 workers at each workshop, and ask them if the now when the last elections were held.

Interviewed few worker, almost they do not know their worker representative. There is no notice in field to inform them about

Are kept clear and unblocked at all times aisles, exits and stairwells ?

Please take photos of these places like evidence

Stairwells some stairwell are not free of object. All aisles at the 1st and 2nd floor are blocked with object (See photo #6)

HEALTH AND SAFETY

Fire safety

Are the exits clearly marked and unlocked at all times during working hours ?

Exit doors must open outwards, be unlocked from the inside and require no special operation. Please choose different exits at the facility and take photos to collect evidence

Some exist doors are marked, and maintained unlocked during the working time. While others are locked (See photo #17) at the 2nd floor. Few exist doors are opened in the opposite direction.

Does the facility conduct regular fire drills?

It should be at least once per year or as mandated by law, whichever is more frequent. (Review the Occupational Health and Safety program or policies)

They haven't conduct fire drills, not record so far.

1

SCORE



QUESTIONNAIRES





I

7.1.5

I

7.27.2.1

NC

7.37.3.1

NC

7.3.2

NC

Electrical Safety

PPE/Chemical Safety

Is fire fighting equipment and training available/ appropriate?

Fire fighting equipment and training must be consistent with the expectations of the facility and the expected behavior of workers in the event of an incident. Does the factory have Fire Extinguishers distributed throughout the facility?a) Are the locations of the fire extinguishers prominently identified?b) Are the fire extinguishers all serviceable?i. Are they numbered for identification?ii. Are they maintained secure with lock clips retainers in place?iii. Are the inspections of the Extinguishers documented?

Fire extinguishers are about to be distributed, they are now placing them at the related place. A) Some are identified with a code number, and physical place, while few are surrounded with object. B) They are serviable, with code number in some of them. c) have inspection record from March only. Must have a map that locate each fire extinguisher. (See Photo 18)

There is no specific place that indicate the location of chemical product, such as oil used for the maintenance of machines. Not labeling. No MSDS document, and no specific storage place for chemical material found on side (See photo #20)

The leakage testing are generate noise, and operator are not protected. Noise reach around 71 db, which is out of requirements (Photo #21)

Are adequate emergency exits and emergency notification systems provided?

In most cases, 2 or more main emergency exits are appropriate. Are the main emergency exits marked, accessible and unlocked? Do exits open in the direction of travel and discharge to a safe area?

Exist has notification system in place, but very limited.

Does the facility maintain appropriate electrical wiring and circuit box conditions and use appropriate protection equipment, including rubber mats as required?

Check the electrical wiring , circuit box and see the conditions. Review protection equipment. Take photos to collect evidence

Electric wiring and circuit box are not protected, to avoid worker to be hit by electricity (See photo #19)

Does the facility has a inventory of all chemicals used ?

They should be: -Separated like hazardous and non-hazardous. -With appropriately store MSDS/CSC (chemical safety card) in local language and available on the floor. - Dated when are received and properly labeled with at least the chemical name and hazard warnings.

Is Personnel Protective Equipment (PPE) provided, used and appropriate?

Identify 3 jobs (preferably more hazardous jobs or more common jobs). Evaluate what the correct level of PPE is for the jobs. Is this level of PPE provided? Is it worn correctly and when necessary?

1

SCORE



QUESTIONNAIRES





N/A

7.47.4.1

NC

7.4.2

NC

7.57.5.1

I

7.5.2 N/A

7.5.3

N/A

7.67.6.1

NC

Sanitation

Accident/First Aid/Risk Assessment

Does your company possess appropriate hygiene certificates for their canteen and its workers as mandated by law

Ask for this certificates if they have it Not applicable

Does the factories has a list of hazardous liquids (flammable and acid base)

They should be: - Stored in appropriate (durable and compatible) storage bulk/drum/container. - Has a standard operating procedures SOP (flammable liquids) - Dated when are received and properly labeled with at least the chemical name and hazard warnings.

There is not list of hazardous liquids, for hazardous elements found on site (See photo #21, 22)

Does the factory has preventative maintenance program for flammable liquid systems and its communicated to the workers and duly recorded?

Review it and take photos for evidence.

Ask the prevention program and documents showing that it has been communicated and followed

General conditions. Is a health or occupancy certificate issued by the local authorities? Is a score provided on the certificate?

Does the facility provide safe drinking water for their workers?

Does the factory has eye wash stations . Are them appropriately located and maintained?

Please take photos like evidence Not need eye wash

The factory does not have restrooms, canteens, food preparation, dormitories

No preventive system, no record attesting that it was communicated to all employee

They have certificate for drinking water, # 20150675, conducted in 2015-03-26 to 2015-04-08, according to GB 17323-1998, and GB 17324-2003. Drinking water, and devices are not located in sanitary manner, too much dirty around (See photo #23)

Does the spaces in your facility such as restrooms, canteens, food preparation areas, dormitories, etc. are maintained in a safe and clean condition?

Does your facility to adhere to a written Occupational Health and Safety policy?

Or commitment statement for the company focused on this . What are the decisions and actions taken?

There is no specific safety plan since risk was not identified yet

Hazardous Liquid

1

SCORE



QUESTIONNAIRES





NC

7.6.3 I

7.6.4

NC

7.77.7.1

NC

7.7.2

I

7.7.3

NC

7.7.4

NC

7.7.5

NC

Machine/Equipment Operation and Maintenance

The factory did not conducted risk identification, and assessment

There is no accident / incident log in place

Does factory maintain detailed accident/incident logs?

Attach occupational health and safety policy and check the accidents and incidents occurred at factory are registered

The machine list is not update, and machine safety manual is not visible in place. No document showing that machine wear detected with certain risk. However, few machines has warning sign

Are adequate first aid competence available in the facility, including related medicine disposal?

Check who are first aid people, what certificate they have, interview 5 workers at each workshop if they know the first aid people.

The factory has 3 person certified 1st aid person, 2 newly added in 2015-06-10. their name, and contact people should be visible at the medical box. (See photo #24)

Training regarding the proper and safe operation of machinery/ equipment is provided to workers?

Ask for the records of these training proper operation, practices and procedures to safeguard employees from unexpected startup

Is your company have documents where have been identified the risk and hazards at work?

There is no proper work instruction to describe the safety operation of the machine on site. No operating raining record for production machine in place (See photo #3, 4, 5, 6, 25)

Does the company has records for maintenance machinery and equipment?

Proper CLTI (Cleaning, Lubrication, Inspection and Tightening) checklist is maintained after each machine maintenance.

No records and no plan for maintenance.

Does the machines are equipped with appropriate and operational safety devices?

Review if the machines: Are inspected and serviced on a regular basis. Machines with rotating parts are enclosed and interlocked with an automatic shut off mechanism.

All required safety/protective guards are securely in place.

Ask for machine safety instructions (including pictures/warnings) Machine operational parameters are posted on all machinery. (root cause analysis)

Does the company has detected the risks associated with machine hazards?

Few machine are equipped with appropriate safety devices (See photo 25). Others does not (See photo 26). Knitting machines, around 30 are equipped with an alarm system, and system to stop if any problem (See photo 27)

Does the facility has a machine safety committee?

This committee should be comprised of management, worker representatives and maintenance team to address concerns related to machine safety.

No safety team for the machine maintenance.

Ask for risk and hazards found at work duly document and the plan action to avoid them

1

SCORE



QUESTIONNAIRES





I

9

9.19.1.1

NC

9.1.2

NC

9.1.3

NC

9.1.3

NC

9.1.4

NC

9.1.5

NC

9.29.2.1

NC

Wastewater & Effluents Management

ENVIRONMENT

Does the facility has all the certificates and license and registration of the machine when is needed?

Ask the legal certificates needed for the machines and machines parts like pressurized/compressed equipment (boilers, compressors, gas cylinders, etc.).

There are 2 elevators, one is under 500 kg, do n0t need to be certify, and another has certificate at the building owner has that certificate. They have 2 persons with certificate

Review the permits that the facility has regarding this issue

Does your facility have a program and/or procedures for management of wastewater and solid, including monitoring, characterization, treatment, discharge, and/or recycling?

Review environment program focused on wastewater

We cannot see any program about environment.

Wasted Management

Cannot see it

Is collection and transfer to a waste management firm used to manage the wastewater and solid waste?

Deliver hazardous waste for offsite treatment and disposal only to contractors licensed or permitted by appropriate competent authority (if any), which should be verified regularly. Review this documents

No record

Review the training program (Employees should be provided appropriate waste management training, including the handling and segregation of wastes)

No recordDoes the employees receive training about wasted management?

Are the type of waste classified? It should be segregate hazardous and non-hazardous waste. Should be Maintain in containers and labels in an appropriate condition. Maintain inventory and tracking records, including the disposal and treatment of both on-site and off-site waste.

Does the facility has appropriate permits for onsite waste disposal as required by law. (water and solids)

No plan, and no recordReview if they make sampling & testing, as required by law.

Does the company conducts regular wastewater ?

No record

Is onsite disposal or incineration used to dispose of solid waste at your facility?

Please check the method used it should Conduct no on-site waste burning or uncontrolled waste land filling.

No record

1

SCORE



QUESTIONNAIRES





N/A

9.39.3.1

NC

9.3.2

NC

9.3.3

NC

9.3.4

NC

9.49.4.1

NC

9.4.2

NC

9.59.5.1

NC

9.5.2

NC

9.6

Air Emissions Management

Water Management

Energy use and GHG (greenhouse gases) management

Land Use and Biodiversity

A detailed layout or schematic of the drainage system should be available

for review.

It should be as required by law

No data for water consumption

Does the facility set up energy use inventory (direct and indirect)?

No energy use inventory system in place

Does the facility maintain data regarding water use consumption?

You can verify by water consumption data from water bills and meter readings

Does the facility obtain and maintain appropriate permits as required by law?

Review documents where prove applicable legal requirements in terms of energy use and GHGs emissions.

No permit was available by the time of this audit

Review documents such as energy consumption data from energy bills and meter readings, fuel bills, gas bills, on-site transport

Ask for this permits, it should be as required by law

Are methods used to control airborne emissions at your facility?

No appropriate permit for air emissions

Does the facility has a proper drainage system?

Does your company obtain and maintain appropriate permits for air emissions?

Review the immediate corrective actions taking by company when in the event emission limits are exceeded.

No detailed layout of the drainage system

No method, no systemDoes your facility have a program aimed at reducing the amount of airborne emissions generated, including process modification, containment, or efficiency improvement?

Review methods to control like exhaust ventilation, oxidizer, scrubber, electrostatic precipitator, carbon filtration etc.

No method, no system

Does your facility have a program aimed at inventorying, reducing, and reporting the emissions of global warming gases (GWGs) from your operations?

Review that the facility has: Inventory of sources related to air emission points.

Maintain an inventory of ODS (ozone depleting substances).

Seek to expand the inventory of ODS (ozone depleting substances) containment equipment.

No program

Does the facility maintain appropriate permits for water use ?

No permits was available by the time of this audit

1

SCORE



QUESTIONNAIRES





NC

9.79.7.1

I

9.7.2

NC

9.7.3

NC

9.89.8.1

NC

9.8.2

NC

NC

Does the facility maintain an inventory of hazardous substances used and stored?

Ask for inventory list and review that it should be maintained together with relevant up-to-date Material Safety Data Sheets (MSDS).

No inventory

Not visible

Does your facility have a program and/or procedures for obtaining environmental permits/approvals and managing compliance with the permit requirements?

Review environmental legal register, programs and /or procedures

Does this program has a management team coordination of environmental management activities?

Does the company take appropriate measures to prevent & control any risks of environmental pollution?

This risk could be hazardous substances release, including the contamination of soil and groundwater.Verify the existence of sensitive receptors (e.g. rivers, underground water, etc.) close to productions facilities and see the measurements to prevent these risks.

No measure in place

Does the company use hazardous substances?

No list

Ask for the documents where prove the conformation of this group and show the mechanics used be communicated to the employees

Environmental Management System

Hazardous Substances Management / Soil & Ground Water Pollution Prevention

Does the company has a Emergency Response Plan for environmental issues?

Ask for this plan and remember it Plan should be communicated to the local authorities, emergency services, and local communities as required by law.

No response plan

Does the facility conduct Environmental Impact Assessment and submit the results to competent authority?

Review the permits for land use and facilities construction as required by law, Including permits to protect land.

The factory has not conducted environmental impact, record seems to be at someone office who was not in place during the time of the audit

There is a procedure for env. Management. But no assessment record, and no risk assent, no specific plan

Review the list and have in account: Is forbidden the use if banned chemicals. It should has the permits required by law (handling & storage)

1

SCORE



QUESTIONNAIRES





NC

9.8.4

I

9.99.9.1

I

9.109.10.1

C

9.10.2

C

1010.1

NC

11

Noise Pollution

Permissible harvests and origin of raw (input) materials:

GIFT AND ENTERTAINMENT

CONFLICTS OF INTEREST

Does the facility demonstrate origin of incoming materials and place of production?

Ask for inventory records and production records to demonstrate origin of materials

Yes, the factory maintain a list of supplier who provide raw material

Has your facility implemented a risk assessment process to identify, prioritize, and mitigate the potential Health and Safety risks associated with Noise pollution in operations and activities?

Does the facility report any pollution and hazardous substance incidents to the authorities?

Ask for the records if it has happened or the way that they have to communicate any incident

There is no procedure for such action. However, the factory never record an incident that need to be report to local government.

Does your facility have a program and/or procedures in place to prevent excessive gift-giving, on the part of suppliers, contractors, or agents representing the facility?

Ask for this program and must ensure factories do not offer gifts or entertainment to Wal-Mart associates or those working on behalf of Wal-Mart. Gifts include but are not limited to:MealsTravel expensesMoney or the equivalentFree goodsTickets or access to eventsPersonal favors

There is no such policy, procedure and training. Including monitoring system

Does the facility demonstrate that raw materials were obtained from legal harvests?

Ask for certifications which prove the raw materials were obtained from legal harvests according with international treaties and protocols in addition to local laws and regulations even if national regulations do not regulate harvests.

The factory use plastic raw material, and cartons for packaging. Their buy those raw material from eligible company having business license provided by the local government. License are available

No training recordAsk for the documents of training it should include pollution prevention and response.And training in substance handling

Are the employees trained about hazardous substances issues?

We were no able to see the last assessment record about noise to know if the factory is within tolerance. But from outside, the factory do not produce excessive noise, except inside which is harmful for worker

Ask for this program and have in account risk detected and corrective actions in the event the noise pollution limits are exceeded.

1

SCORE



QUESTIONNAIRES




EVIDENCE TO CHECK FINDINGS11.1

NC

1212.1

NC

1313.1

NC

FINANCIAL INTEGRITY

ANTI CORRUPTION

Does the company keep accurate records of all matters related to their business with Wal-Mart?

Ask for financial records. They should be in accordance with standard accounting practices such as Generally Accepted Accounting Principles (GAAP) or International Financial Reporting Standards (IFRS) and available for for pre-arranged and unannounced audits by Wal-Mart or authorized third party representatives.

There is no such record linked to GAAP, IFRS system

The factory does not have program / procedure to prevent corruption, bribery…etc.

Does your facility have a program and/or procedures to detect, eliminate, and prohibit situations in which Wal-Mart Associates have a potential conflict between the company’s interests and their own?

Suppliers must not enter into transactions with Wal-Mart associates that create a conflict of interest. So review program or procedure (Ethical Business practices) to detect and avoid this kind of situation

There is no Ethical business program to protect conflict interest

Does your facility have a program and/or procedures in place to prevent corruption, including bribery, , extortion, or embezzlement, on the part of suppliers, contractors, or agents representing the facility?

Review Ethical Business Manual it should be addressed to: Suppliers may not promise, offer, or pay anything of value to a government official or political party to obtain or retain business or secure an advantage on behalf of Wal-Mart.Ethical Sourcing This electronic copy, maintained on Retail Link and on Walmartstores.com,Wal-Mart Stores, Inc. is the only controlled document. Printed copies are deemed not controlled.

1

WEIGHT SCORE

11.1

2 3

1.22 1

1.32 0

1.4

3 N/A

1.5

3 0

1.6

5 0

2 WEIGHT SCORE2.1

3 0

2.2

2 3

2.3

3 0

2.4

2 0

2.5

3 1

2.6

3 0

2.7

3 0

3 WEIGHT SCORE3.1

5 0

3.2

4 0

Audit for Wal-Mart Suppliers Rev.

FCCA CHECKLIST


Factory Facilities and Environment

XXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXX xxxx xxxx

QUESTIONNAIRES / EVIDENCE TO CHECK FINDINGS

No system.

No system, no training record, no policies, no objectives.

Factory has maintenance team withsuitable skill level and equipment toperform necessary repair and calibration on machines.

Factory has established QualityMa nagement System that is appropriate to their products and procedures

Workers & Supervisors are familiar to these quality policies and objectives

Factory has documented system and procedure for scheduled equipment cleaning and repairs

Factory machines and equipmentappear to be clean and in good running condition

Machines, equipment and tools areproperly labeled with date of lastmaintenance/calibration and schedule.

Machines, equipment and tools thatneeds to be repaired are properly labeled to avoid accidental use

Factory has proper, clean and organized storage area of critical tooling (i.e. injection moulds) with labeled shelves

The facility maintains clean andorganized production, finishing and packing areas.

Facility has separate inspection area with inspection table and proper ventilation

Facility has documented pests/mildew and moisture control program which includes frequent inspections. (in-house or 3rd party)

Factory has proper documentation and updated inventory of machines, tools, spare parts and equipment

No broken windows or leaking roofs that may result to product contamination was observed during audit

Factory implements strict sharp toolscontrol procedure to prevent scissors, knives, blades, broken glasses and needles to be mixed with product (CRITICAL)

There is sufficient lighting in production, finishing, Inspection, packing and loading area (See photo 3,4,5, 6)

There is sufficient lighting on:Production, revising, finishing, inspection, packing and loading areas?

The facility is not clean.

The facility does not have a separate are for inspection.

There is no system to prevent it.

Broken windows, and opened window are visible on site.

The factory does not have strict control system to avoid scissors, knives, blades, broken glasses and needles in the product.

The factory does not have a system and procedure for equipment cleaning and repairs

Injection machines are 6, and 10 knitting machines, 30 knitting all appears to be new, clean and in good condition (See photo, 3, 4, 5, 6)

Machines, equipment and tools are not properly labeled, no maintenance, no calibration.

No label in machine that need to be repaired.

There are storage are, but not properly labeled.

No document.

There is no maintenance team, no JD, no plan.

Machine Calibration and Maintenance

Quality Management System

1

WEIGHT SCORE


FCCA CHECKLIST

Supplier Name Audit Date Report No.XXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXX xxxx xxxx

QUESTIONNAIRES / EVIDENCE TO CHECK FINDINGS3.3

4 0

3.4

5 1

3.5

3 0

3.6

5 0

3.7

5 0

3.8

5 0

4 WEIGHT SCORE

4.1 3 0

4.2 3 0

4.3 4 0

4.4 3 3

4.5 3 0

4.6 3 0

4.7 5 0

4.8 4 0

4.9 2 3

No FIFO system in place.

No specific document as guideline.

No system and procedures to control risk of physical, chemical. Lot of machine, hazardous elements in field

There is no complaint system, and there is no log.

There are 5 QC peoples, 1 at incoming inspection, 1 at final inspection, 3 at in-process inspection. No leader, no specific department, no specific JD.

2 main test equipment, to check pressure resistance (100%), and leakage (randomly). Test equipment seems new, but with pressure meter no calibrated.

Raw material not labeled.

No procedure.

No risk audit, no person

No

There is no adequate system to assure materials conform specific requirements.

Factory properly separate good quality items from rejects and identifies non-conforming (rejects) materials for replacement.

Facility’s storage areas have sufficient lighting, well ventilated and clean surrounding.

Factory has systems and procedures in place to control the risk of physical, chemical and biological contamination that may damage the product and personnel as well

Factory conducts risk audits to identify hazards from chemicals, raw materials, process equipment and tools

Is needed testing equipment available, and maintained in good condition?

Are raw materials properly labeled,stored and traceable?

Factory has documented process and reference samples that ensure incoming raw materials conform to specifications.

Factory has proper system on material segregation to avoid accidental contamination from rejected items (CRITICAL)

Proper first in-first out (FIFO) system on materials are practiced

Factory has procedures (instructions, guidelines and documented records) for quality inspection on incoming raw materials, accessories and components

Factory has documented customercomplaint system and documented recall program

Factory QC team is independent from Production division (CRITICAL)

Production management and QC team discuss and work together in solving Quality issues/ concerns. (Documented)

Is factory accredited with anyinternational, national or customer quality standards association (e.g. ISO 9001,etc.)?

Has the factory taken adequate measures to assure raw materials conformance to required specifications before use?

No strict separation of good / bad in field.

Yes, lighting is sufficient, and ventilated.

For plastic raw material, no need references samples. But for component, no reference samples

No segregation area or system in place.

Incoming Materials Control (Warehousing and Storage)

1

WEIGHT SCORE


FCCA CHECKLIST


QUESTIONNAIRES / EVIDENCE TO CHECK FINDINGS

4.10 3 0

4.11 5 0

4.12 3 1

4.13 3 0

4.14 3 0

5 WEIGHT SCORE

5.1 4 0

5.2 3 1

5.3 3 0

5.4 5 0

5.5

3 0

5.63 0

5.7

3 0

5.8

4 0

5.9 5 0

5.10

3 0

Factory has documented Qualityprocedures (QP) at each stage ofoperation

No system, no data.

No system.

Does factory have an established,documented quality procedure and does factory evaluate, monitor sub-contractor quality performance and reliability?

Does factory PD study and apply product safety features, evaluates patterns, moulds and samples during product design and development?

Does factory have a documentedsupplier selection and approval process?

Does factory track, evaluate anddocument material’s supplier reliability (performance)?

Mr. Shen is in charge of supplier selection, he do not have standard procedure for the selection, they have 6 suppliers

The factory do not have system to track, evaluate supplier reliability

Materials, components and accessories are properly stacked and identified with tags / labels and off the floor.

Chemicals and maintenance substances are properly marked and stored to prevent risk of contamination (CRITICAL)

No labels on materials, component.

No marking in chemical material.

Does factory QC compare first piecesamples with approval sample andspecification sheet?

Are there adequate approved samples, first piece samples, reference samples and work instructions to provide workers withproper guidelines?

No visible approved sample in place.

Does factory conduct “pilot-run”, review product quality against specification sheet and document results with corrective actions prior to production?

Was in house lab-testing performed on current production? (Request for test copies)

Does factory conduct Pre-production meeting prior to start of production?

Are critical quality and safety checks reviewed, identified, and actions for improvement documented during Pre-production meeting (CRITICAL)

No record meeting.

No record, no procedure.

No system, no record.

Does Quality Control have authority to stop production if quality of products did not meet specification (CRITICAL)?

In-line inspections (IPQC) areperformed by QC at every operationprocess

No QUALITY department, no authority acting as quality leader.

There is 3 in-line QC, but no specific JD, no work instruction, no record.

Very few. Work Instruction at the assembly line, not very weel done, not under control.

No lab-testing in place

No record of first piece inspection.

Process and Production Control

1

WEIGHT SCORE


FCCA CHECKLIST



3 0

5.12

3 0

5.13

3 3

5.14

3 0

5.153 0

5.16

3 1

5.17

3 3

5.18

3 0

6 WEIGHT SCORE6.1

15 N/A

6.23 N/A

6.33 N/A

6.43 N/A

7 WEIGHT SCORE7.1

3 0

7.2

2 0

7.3

2 0

7.4

2 0

Are there formal written final inspection reports? Are they properly filed and traceable to review quality of products?

Does factory have guidelines in place to ensure packaging is correct for product?

Does packing area have enough space to perform packing functions properly? Is it clean and organized?

Packed cartons are stored in enclosed area not exposed to sunshine and wet weather

Is quality of item acceptable on current production? (Check 8 finished products taken from factory final inspected goods and check for major defects on the item.)

Factory QC inspects per standard AQL or as per industry standards

Factory performs 100% functionalitycheck on final products?

Does factory use corrective actions and root cause analysis methods? (Please provide examples)

Does factory track and document on-time ship performance?

Does factory perform in-house labtesting and are facilities appropriately equipped?

All gauges and test equipment havevalid calibrations.

Testing manuals of various industrystandards are available as reference

In-house Lab Technicians are properly trained to perform testing functions

Does factory have procedure andworking instruction for final QC?

Factory QC conducts final inspection per standard AQL or as per industry standards.

An approved sample or reference sample with packing list and shipping marks are available as reference for factory QC.

No lab.

There is no standard and criteria for acceptance of product, they conduct inspection at 100%.

The factory does not have standard AQL as industrial standard.

Yes, the factory performs 100% functionality pressure resistance test, randomly check in leakage test.

No system in place.

No system.

The space is enough, but no well organized.

No approved sample, not identified.

No inspection report.

Final Inspection

Packed cartons are inside the workshop, but windows are very close, and sometime open, leader to wet weather could enter.

No system.

No lab.

No lab.

No lab.

In-House Lab-Testing

No writing procedure for final QC.

No QC final inspection.

1

WEIGHT SCORE


FCCA CHECKLIST



4 0

7.6

2 0

7.75 0

7.83 0

8 WEIGHT SCORE8.1

4 0

8.2

4 1

8.3

4 0

No record of failed, no record to show the follow up.

Does factory final QC perform internal mechanical tests to ensure the safety of product?

Factory does not ship goods unlesssubjected to release procedures from customer

Factory conducts, documents and maintains on-job training for all personnel or conducts pre-hire testing of skilled workers prior to hiring

Factory conducts and documents technical training programs for Electrical/Mechanical Engineer, Machinist, QC and Lab Test Technician

Records of trainees and all regularpersonnel with corresponding performance records are kept and maintained

People Resources and Training

Where appropriate, are inspection and testing equipment used by the inspector in good condition and calibrated?

Failed inspections are properly corrected prior to final inspection by customer (CRITICAL)

Good condition, but not calibrated.

Yes, final QC perform internal mechanical, but no record

No procedure in place.

No training plan, no record.

There are few people trained with certificate.

No record training.

1

A

1 NC

2 I

3 NC

4 NC

5 NC

6 NC

7 NC

8 NC

9 I

10 NC

11 NC

B1

I

2NC

3

NC

4C

5NC

6I

7

NC

8I

9

NC

10NC

11NC

Audits for Wal-Mart Suppliers Rev.

GSV CHECKLIST

Supplier Name Audit Date Report No.XXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXX xxxx xxxx

No security procedures.

No policies.

Does the facility has security department/personnel

Has the facility conducted a site security assessment

Has the facility designated a company official responsible for contractor security

Has the facility designated a company official responsible for conveyance/transport security

Has the facility designated a company official responsible for personnel security

Employee does not have badge.

The have form to conduct history check, but most of their record are empty at the spaceof history

employment.

Are Employee personnel files maintained include the date of birth, name, ID number, and address of the employee

Yes, name, bithday and location address, and ID number are included in employee personnel files.

Are employees required to return their badges when they leave the company?

Does facility have process in place requiring all personnel to participate in the security awareness program

Does the facility have or maintain a written code of conduct for employees

No process, no procedure to publish.

There is no restricted area, no ID is required.

No specific ID to access loading/packing area, these areas are opened to everyone.

Are Employment history checks conducted

No process, no training. Employee are not aware of the security requirements as explained in C-TPAT, GSV.

Code of conduct are documented in employee handbook, and few others published at the office area,

but these CoC are not related to C-TPAT/ GSV, they are more for disciplinary purpose.

No, employee does not have identification or badge.

No system in place to required such check, no record.

Is IDs specify access for loading/packing dock areas?

Does the facility has process in place to publish the security procedures throughout the facility (i.e. posters, bulletin boards, etc)

Has the facility designated a company official responsible for plant security

Has the facility designated a company official responsible for security audits or evaluations

Has the facility designated a security chief

Is company identification required for entry of personnel.

Are criminal background checks updated periodically as needed, and/or when employees' work responsibilities require it.

No

Are Security procedures and improvement plans where relevant, documented and verifiable

Does the facility has policy in place to ensure that security procedures are documented

No

No

No, backgroup are not checked, only record of birthday, ID are visible.

No

No

No, the facility has 2 security department / personnels, one working at daily time, and another at night time. They do not have a higher level person as their chief.

A.Records & Documentation:

Personnel Security:

Is there documented security improvement action plan summarizing identified vulnerabilities and their relevant corrective actions?

Is background checks on all applicants conducted

Is IDs required to access restricted areas?

Facility has no documented security improvement action plan summarizing identified vulnerabilities and their relevant corrective actions.

Yes, the facility has 2 security department / personnels, one working at daily time, and another at night time. No specific JD, no record of their presence during these time.

No

1


GSV CHECKLIST


12NC

13NC

14NC

15NC

16NC

17NC

18NC

19NC

21NC

22NC

23C

24I

25NC

C1

NC

2

I

3C

4NC

5

I

6

I

7NC

8NC

9NC

10NC

11C

12I

Fingerprint is isued to identify people.

By HR

Not defined.

None

None

No procedure to handle lost IDs, no record for the replacement.

No training, no announcement. Employees are not aware of C-TPAT requirements.





Is Employee access limited to the relevant areas of responsibility

Containers are keep in the factory, they came and go just after loading. The container with tracks are stored

between building. The distance is around 5 m.

New employee orientation does not include detection of unlawful activity

New employee orientation does not include maintaining cargo integrity

New employee orientation does not include recognizing and detecting dangerous substances and devices

The control over distribution and inventory of employee ID badges and facility access keys/cards/codes is not restricted to a limited number of authorized employeesThe ID does not include a biometric indicator, i.e. a unique physical identifier such as a facial photograph or fingerprintIs the issuance of employee identification centralized and controlled by a specific department?

Is Access to video monitors controlled

Is visitors log which records entries and exits maintained

Areas near the cargo conveyances are not lighted

Entry/exit control points for employees are the same as for visitors, vendors, repairmen, etc.

Are Employee parking lots located away from entrances and exits?

Are containers stored an adequate distance away from the perimeter walls/fence

Are containers stored away from exterior building walls

Are Employees observed by and/or subject to security inspection when entering the building

Entrances/exits for the facility are not secured by gates

Are copies kept of container seal numbers on incoming shipments

Are lost IDs replaced and recorded as missing?

videos monitors is located at an office, beside the desk, no body there in 24/24 to monitor it. Any person could go

through.

Lighting is enough.

No visitor log for entries and exits.

Does new employee orientation include reporting compromised security infrastructure (broken locks, windows, computer viruses, etc.)

Does new employee orientation include challenging and reporting unidentified persons to security or management personnelNew employee orientation does not include computer security


There are no procedures in place to retrieve IDs and/or deactivate access as needed

Is Access to the lighting switches restricted to authorized personnel only


Physical Security

Security procedures and periodic security checks related to personnel security are not documented and verifiable.

New employee orientation does not include confirming that all onsite personnel are wearing ID

No, there is no restriction to the lighting switches.

Containers are keep in the factory, they came and go just after loading. The container with tracks are stored

between building. The distance is around 5 m.

No records kept.

No limitation to access to the area.

No limitation to access to the area.

No inspection to employee when entering the building.

The company has only 1 entrance, with gate (See photo #1).

There is one entrance gate, but no control at all.

1


GSV CHECKLIST


13NC

14I

15C

16I

17

I

18

NC

19NC

20

I

21NC

22I

23NC

24NC

25NC

26

I

Facility has outside lighting

Examinations of containers found with broken seals do not document other anomalies

Shipping/receiving parking lots are separated from all other parking lots

The activity inside/outside the facility is not monitored by closed circuit television cameras (CCTV)

38. Facility's designated security guard force is not overseeing the facility 24 hours a day, 7 days a week (24/7)

For conveyance entries/exits, logs are not maintained with container number

Facility buildings are not properly maintained and repaired

Facility does not have a back up power source for the alarm system

Facility does not have a designated security guard force

Facility maintain an up-to-date list of names and addresses of all contractor, vendor, repairmen personnel

Facility has adjoining/overhanging structures or foliage which would potentially facilitate illicit entry over the fenced areas into the facility

Gates are monitored by cameras during non-operating hours

If allowed to enter facility area, vendor and visitor vehicles are not inspected

Parking lots are not monitored

The activity inside the facility is monitored by closed circuit television cameras (CCTV) located in manager office, in one computer screen. Activity outside the factory is not monitored.

Containers are no examined, no record (See photo 25 with a container that was there during the audit).

Yes, facility are not properly maintained (See photo 28).

Yes, there is back up power for alarm system.

There are just 2 security personnel, with no specific Job description.

No available list of contractor, vendor, repairmen personnel, exceed for raw material supplier.

Yes, there are lot of possibility to illicit entry over the fenced (See photo 28).

No outside lighting on the fence.

There are just 2 security personnel, with no specific Job description, one working in day time, another night time.

No log maintained.

Shipping/receiving parking lots are not separated from all other parking lots (see photo 29).

No camera at the gate and around the fenced. Camera are only inside workshop at certain point.

Vendor / visitor vehicle are not inspected.

No specific parking area limited.

1


GSV CHECKLIST


27

NC

28

NC

29NC

30NC

31

NC

32

NC

33

NC

D1

NC

2NC

3N/A

4N/A

5

NC

6

NC

7NC

8NC

9NC

E1

I

2C

5

NC

6C

7C

8

C

The facility does have procedures for identifying which employees are allowed access to automated systems, company document.

Passwords are subject to regular forced changes

Information systems are password protected

Is there a termination procedures in place for employee?

There are distribution records of the facility's access keys, codes and cards to employees

The company does require the use of visual identification for visitor parking (a coded parking sticker, tag, decal)

The container storage area is surrounded by a secure fence or wall

The entire perimeter of the facility (including gates) is lighted

The company does require the use of visual identification for employee parking

The company does NOT require the use of visual identification for employee parking.

No, the company does NOTrequire the use of visual identification for visitor parking (a coded parking sticker, tag, decal).

No, the container storage area is not surrounded by a secure fence or wall.

Password is not used to access information, each person use password in his computer, there is no automatic periodical change.

No, the facility does not have that procedures for identifying which employees are allowed access to automated systems.

No firewalls system used.

Information Access ControlsComputer information backups are not stored at an off site facility.

No back up system to avoid lost.

The facility implement firewalls into its network system

The designated company representative responsible for providing accurate information on the company products to the carrier/broker/forwarder, has IS been trained on the information requirements for shipments to the United States

There is company representative responsible for providing accurate shipper, forwarder, and consignee information

There is process or plan to restore IT data in the case of a failure

There is system in place to suspend a log in user ID after a certain number of failed access attempts

There is company representative responsible to provide timely advance information for shipments

There is designated company representative responsible for providing accurate information on the company products to the broker/forwarder

The entire perimeter of the facility (including gates) is not lighted at night time.

No, there are no distribution records of the facility's access keys.

98. There are no procedures for detecting and reporting shortages and overages.

No, there are no termination procedures in place to immediately terminate existing physical access when an individual terminates employment or transfers to another position.

Computer information backups are stored at an off site facility

Password is not used.

There is no IT knowledge at the factory.

There are procedures for detecting and reporting shortages and overages

Computer information is saved on a back-up system

Incidents of unauthorized IT system access are not investigated and recorded

No, there is no process or plan to restore IT data in the case of a failure.

No, there is no system in place to suspend a log in user ID after a certain number of failed access attempts

Shipment Information ControlsInformation for shipments are manual, not automated.

Records are maintained of outcomes of unannounced security checks related to shipment information controls

Information requirements for shipments are automated

Records are maintained of outcomes of unannounced security checks related to shipment information controls

No training record.

Yes, there a person who can provide accurate shipper, forwarder information.

Yes, the Production Manager can provide such information.

Yes, there is someone who can provide such information.

Walmart Responsible Sourcing Evaluation RS / FCCA /...

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Transcript of Walmart Responsible Sourcing Evaluation RS / FCCA /...