TJX验厂审核准备过程和现场审核程序

  TJX验厂审核准备过程和现场审核程序i7W兆毅咨询

  VENDOR REQUIREMENTSi7W兆毅咨询

  Cooperation from our suppliers is critical to making this program a success. We value youri7W兆毅咨询

  participation in this program. It is our aim to provide you with the appropriate information toi7W兆毅咨询

  assist you in preparing for an audit.i7W兆毅咨询

  Step One: Identification of Active Factoriesi7W兆毅咨询

  TJX requires the Vendor to notify our Agent of all active TJX production factories, on a monthlyi7W兆毅咨询

  basis. Active factories are defined as factories with current production, future on order, ori7W兆毅咨询

  production within the past 12 months.i7W兆毅咨询

  Step Two: Communication to Active Factoriesi7W兆毅咨询

  The Vendor is responsible for informing the active factories that a social compliance audit willi7W兆毅咨询

  take place and for ensuring that the ‘Audit Procedure Outline’ and ‘Factory Evaluationi7W兆毅咨询

  Checklist’ are provided to the factory, as it offers assistance to prepare for the audit. Conductingi7W兆毅咨询

  a mock audit of the factory using the checklist provided in this manual is highly recommended.i7W兆毅咨询

  Step Three: Making an Appointmenti7W兆毅咨询

  The auditor will contact the factory directly to make a 2-week window announcement for thei7W兆毅咨询

  audit. The Vendor and Agent will also be informed of the audit timeframe. Please ensure at leasti7W兆毅咨询

  one member of the factory’s management team, who has access to the appropriate documentsi7W兆毅咨询

  required to complete the audit, is present in the audit timeframe.i7W兆毅咨询

  Step Four: Prepare for an Auditi7W兆毅咨询

  Please ensure that the following list of documents is made available to the auditors to avoidi7W兆毅咨询

  further re-audit. Please provide any other additional documentation upon the auditors’ request.i7W兆毅咨询

  Employee Documentationi7W兆毅咨询

  o Employment contracts/ terms & conditions of employmenti7W兆毅咨询

  o Employee files (including employment application, discipline letters, labor contract, etc.)i7W兆毅咨询

  o Proof of age documentation (copies of identification cards, birth certificates, medicali7W兆毅咨询

  clearance, etc.)i7W兆毅咨询

  o Restrictions on workers below the age of unrestricted employmenti7W兆毅咨询

  Facility Policies and Proceduresi7W兆毅咨询

  o Internal operating policies and procedures (Company Policy)i7W兆毅咨询

  o Business licenses, maintenance and health licensesi7W兆毅咨询

  o Wage and hour policies (Minimum wage, overtime, maximum daily/ weekly hours)i7W兆毅咨询

  o Annual leave and required holidaysi7W兆毅咨询

  o Nondiscrimination/ Harassmenti7W兆毅咨询

  o Other benefits and allowancesi7W兆毅咨询

  o Any other government licenses, certificates of operation, etc.i7W兆毅咨询

  Payroll Documents (for the current 6 months)i7W兆毅咨询

  o Payroll recordsi7W兆毅咨询

  o Time recordsi7W兆毅咨询

  o Piece rate recordsi7W兆毅咨询

  o Payroll registersi7W兆毅咨询

  o Payroll stubsi7W兆毅咨询

  o Special labor waivers such as the overtime extension waiveri7W兆毅咨询

  General Environmental Health & Safetyi7W兆毅咨询

  o Plant layout or facility plot plani7W兆毅咨询

  Confidential 9i7W兆毅咨询

  o Environmental Health & Safety manual and/or written programsi7W兆毅咨询

  o Assessment records (machinery, fire extinguisher, eyewash/shower, etc.)i7W兆毅咨询

  o Dormitories (government licenses, assessment reports)i7W兆毅咨询

  Environmental (only if working with chemicals)i7W兆毅咨询

  o Hazardous waste manifests or shipping papersi7W兆毅咨询

  o Waste profiles/test results/waste analysesi7W兆毅咨询

  Health & Safetyi7W兆毅咨询

  o Accident or injury reportsi7W兆毅咨询

  o Chemical inventoryi7W兆毅咨询

  o Material safety data sheets (MSDS’s)i7W兆毅咨询

  o List of required/approved personal protective equipmenti7W兆毅咨询

  o Emergency response plani7W兆毅咨询

  o Testing, inspection, and maintenance records for fixed and portable fire equipmenti7W兆毅咨询

  o Evacuation/emergency mapsi7W兆毅咨询

  Step Five: Wait for Audit Resultsi7W兆毅咨询

  Typically, the turnaround time for the auditor to complete the audit and finalize the full report isi7W兆毅咨询

  10 business days. During this time, the report goes through a number of checks to ensure that thei7W兆毅咨询

  audit findings are accurate, the assessment is fair and reflects TJX’s criteria, and any grammaticali7W兆毅咨询

  errors are corrected.i7W兆毅咨询

  In special cases, where production needs to start as soon as possible, the auditor should bei7W兆毅咨询

  notified of this in Step One. The auditor will try their best to schedule the audit with respect toi7W兆毅咨询

  your timeline, however they cannot guarantee that this is possible every time.i7W兆毅咨询

  Step Six: Re-audit (If required)i7W兆毅咨询

  The re-audit evaluation has been designed for verification of compliance and ensures thati7W兆毅咨询

  recommended corrective actions have been taking place since the last audit. Any re-auditi7W兆毅咨询

  requirement is determined by TJX based on the status of the factory and/or previous auditi7W兆毅咨询

  findings.i7W兆毅咨询

  In the event that a re-audit is required, an invoice will be issued to the supplier directly by TJX’si7W兆毅咨询

  third-party auditor. A re-audit will not take place until the invoice is paid. Failure to pay thisi7W兆毅咨询

  invoice is synonymous with non-participation in the program, and TJX reserves the right toi7W兆毅咨询

  suspend or terminate business until such time that the invoice is paid and an audit can occur.i7W兆毅咨询

  Confidential 10i7W兆毅咨询

  AUDIT PROCEDURE OUTLINEi7W兆毅咨询

  The audit is a fact-finding process, designed to help you identify areas within the factory’si7W兆毅咨询

  operations that require improvement to ensure you are in compliance with TJX standards andi7W兆毅咨询

  country-specific legal requirements related to the factory’s production. No certificate is providedi7W兆毅咨询

  at the completion of the audit, and it does not automatically approve you for production for anyi7W兆毅咨询

  other brands or retailers, or qualify you for membership in industry associations.i7W兆毅咨询

  An audit consists of five components (not necessarily completed in this order): an openingi7W兆毅咨询

  meeting, health and safety tour, payroll and documentation inspection, employee interviews, andi7W兆毅咨询

  a closing meeting. In addition, if further steps or documents are needed in order to have ai7W兆毅咨询

  complete understanding of the factory situation, they can be requested and should be provided.i7W兆毅咨询

  Management such as the factory manager or human resource personnel should be present.i7W兆毅咨询

  Otherwise, assistance may be provided by anyone whom the factory deems has the authority toi7W兆毅咨询

  provide the documents needed and to answer the questions from the auditors.i7W兆毅咨询

  Opening Meetingi7W兆毅咨询

  After the auditors have passed all security requirements and are given access to the factory, ani7W兆毅咨询

  opening meeting is held with the contact person, preferably management. During this meeting,i7W兆毅咨询

  the format of the audit is described. The production manager and the human resource personneli7W兆毅咨询

  are needed in order to answer a series of questions regarding production capacity, machines, leadi7W兆毅咨询

  times, and hiring practices.i7W兆毅咨询

  Health and Safety Touri7W兆毅咨询

  A walkthrough of the factory is conducted to ensure adequate measures are in place to protect thei7W兆毅咨询

  health of workers and guarantee their safety and the safety of the surrounding environment.i7W兆毅咨询

  Production capacity is also evaluated during the walkthrough. Housing units, if applicable, needi7W兆毅咨询

  to be inspected by the auditors. The eating area used by the workers is also viewed, as is thei7W兆毅咨询

  kitchen if cooking takes place onsite.i7W兆毅咨询

  Security of the facility will be evaluated, with attention to physical security features as well asi7W兆毅咨询

  factory policies concerning security.i7W兆毅咨询

  Photographs of the factory are also taken with permission from management.i7W兆毅咨询

  Payroll and Documentation Inspectioni7W兆毅咨询

  Payroll documentation is reviewed. Payroll journals, timecards, production records, attendancei7W兆毅咨询

  books, proof of insurance payment or tax payment (if applicable) must all be provided to thei7W兆毅咨询

  auditors for a complete audit to take place. The auditors are checking to ensure that the regionali7W兆毅咨询

  minimum wage is provided to all employees for all hours worked, including overtimei7W兆毅咨询

  compensation. Also evaluated is whether maximum hours authorized to work, includingi7W兆毅咨询

  weekend and evening hours, are in compliance with regional labor laws.i7W兆毅咨询

  Copies of operating licenses and other government issued permits are also reviewed. Customsi7W兆毅咨询

  documents will also be requested. If quota restrictions apply, quota information should bei7W兆毅咨询

  provided along with shipping invoices and country of origin documentation.i7W兆毅咨询

  Company policies handbooks and management systems are reviewed. Employee records arei7W兆毅咨询

  reviewed. Proof of age documentation must be available.i7W兆毅咨询

  Confidential 11i7W兆毅咨询

  Employee Interviewsi7W兆毅咨询

  The auditors will randomly select employees from various production areas for interviews, awayi7W兆毅咨询

  from the presence of management or other employees. Auditors will require the use of a privatei7W兆毅咨询

  room in which to conduct these interviews. Employees are asked questions regarding hours ofi7W兆毅咨询

  work, length of employment, their understanding of human rights (freedom of association,i7W兆毅咨询

  collective bargaining, equal opportunity, non-discrimination, unrestricted liberties, etc.),i7W兆毅咨询

  disciplinary policies of the factory, hiring policies, and working conditions.i7W兆毅咨询

  Closing Meetingi7W兆毅咨询

  At the conclusion of the audit a Corrective Action Plan (CAP) is created if necessary and alli7W兆毅咨询

  concerns are discussed with the facility management. Management is encouraged to writei7W兆毅咨询

  comments in the second part of the CAP as to reflect any disagreements or clarifications.i7W兆毅咨询

  Management is requested to sign the CAP, to verify that they understand the findings. A copy ofi7W兆毅咨询

  the CAP is left with management to assist them in resolving the concerns detected during thei7W兆毅咨询

  audit.i7W兆毅咨询

  Post-Audit Activities:i7W兆毅咨询

  Within 15-20 days from this audit, a formal, typed copy of this audit report will be sent toi7W兆毅咨询

  the Agent. A copy will be automatically sent to TJX.i7W兆毅咨询

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