Walmart 沃尔马（人权）验厂标准（中英文版）

Factory Name: Address: Report No.: Audit Date: Auditor(s): Signed by: Factory connect person(title): Signed by: Overall Rating of the Audit 审核正文 Non-ConClause No. Original Clause Requirement Proposed Corrective Action Plan （1.Improved steps. 2. To be completed by factory.） Actual completed date (To be completed by factory.) Status (If done, documentation & photos needs.) Audit Findings formance grade 1 1.1 Record Keeping Practices/ 人事登记 Does the factory have personnel files?工厂是否所有员工都有人事档案（列出有和没有人事档案员工的清单?） MA 1.2 Do the personnel files include all information (ID card copy, photo, and recruited date)?人事档案资料是否完善（身份证复印件，照片及入职时间）? MA Page 1 of 16 Version:A

1.3 What is the legal minimum age in the country the factory is located? 当地法定最小的工作年龄是几岁？ 1.4 Do all employees currently meet the minimum legal working age?What is the age of the youngest worker in the factory? 是否所有的员工符合最低法定工作年龄？工厂最小的员工是几岁？ 1.5 Can the factory offer falsifying age documentation?工厂是否提供伪造/年龄证明文件 1.6 Is any product produced by prisoners/prison labor?工厂 是否有囚犯/监狱劳工？ 1.7 Does the factory detain ID license? 工厂有无扣押员工身份证? 1.8 Does the factory keep the contract? Ifyes, how many employees have the contract?是否工厂所有员工都有劳动合同？如果没有，多少人没有劳动合同？ 1.9 Does the contract meet the local law? 工厂与工人签的劳 动合同是否符合劳动法要MA CR CR CR CR MA Page 2 of 16 Version:A

求？ 1.10 Does the factory check the age and background of the employee?工厂是否对员工的年龄和背景做核查？ MI 1.11 Do the work group (pregnant woman, minors, handicaps, etc.) worker nature, volume beyond legal limits? 特定工人（怀孕工人，未成年工，残疾工人等）工作性质/强度有无超过法定要求？ 1.12 Are factory rules consistent with local/national law?工厂的厂规厂纪是否符合当地/国家法律? 1.13 Can the factory provide production and shipping record for last 1 year?工厂能否提供最近一年的生产记录? 1.14 Does the factory provide business license? Is the name and place on the license correct and true? Is the license in valid? 工厂是否提供营业执照？工厂注册名称和注册地点是否正确和属实？是否在有效期内？ 1.15 Does the factory provide MA MA MA MA MI Page 3 of 16 Version:A

plan? Is the designed plan consistent with the actual buildings? 工厂是否提供平面图？平面图是否与工厂实际建筑相符？ 1.16 Does the factory have organization chart? 工厂是否有组织结构图？ MI 2 2.1 2.2 Reasonable Working Hours and Overtime/正常工时与加班 Does the factory have a MA mechanical or electronic-time keeping system?工厂是否有机械/电子打卡/考勤设备？ Is the time clock/time keeping system functioning?工厂考勤设备是否运作？ MA 2.3 Do all employees have atime card/scan card record? 是否所有的员工都有考勤卡/扫描卡记录？ MA 2.4 Does employee’s time card identify all regular & overtime hours? 工人的考勤卡是否有显示所有的定时上班和加班时间？ MA 2.5 Does everyone have a same time card?是否所有的工人都有一样的考勤卡? MI 2.6 Can employees verify the number of hours that they MA Page 4 of 16 Version:A

work each day?工人是否可以核实自己每天的工作时间？ 2.7 Can the factory offer the time keeping record of last 12 months? 工厂能否提供过去一年的打卡记录？ 2.8 Is the record of the timecard accurate and completeor not ? 工厂的打卡记录是否完善 和准确？ 2.9 Does the factory offer inconsistent working time information (time records is inconsistent with the paper work)?工厂是否有不一致的工时记录（如：考勤与书面记录时间不一致）？ 2.10 Do employees receive one day of rest after six consecutive days of work and worker working overtime under 3 hours per day / 36 hours per month (Are all workers’ overtime complying with local LaborLaw requirement)? 根据劳动法要求：工人是否在连续工作六天后有一天休息时间？是否工人每天加班不超过3小时，每月加班不超过36小时？(工厂工人的加班时间是否符合当MA MA MA MA Page 5 of 16 Version:A

地法律规定？) 2.11 Can employees easily decline to work overtime without any penalty?员工是否能拒绝加班而无惩罚？ 2.12 Is all workers’ working- time complying with local labor law requirement? Are employees working a work week under 57 hours per week including overtime?工厂工人所有的工作时间是否符合当地法律规定？是否工人工作一周包括加班时间没有超过57小时？ MA MA 3 3.1 Fair Wages and Welfare/薪资与福利 Does the factory have the documentation of the local lowest wage?工厂是否有当地政府关于最低工资的最新通知? MI 3.2 Can the factory offer the wage record of latest 12 months?能否提供最近连续12个月之工资记录? MA 3.3 Does the factory keep pay slip /wage sheet with workerssignatures?是否有工资条和有员工签名的工资表？ MI Page 6 of 16 Version:A 3.4 Did all employees' regular wages meet or exceed local minimum wage?所有工人的工资是否达到或超过当地最低工资标准？ MA 3.5 Did all employees receive MA proper overtime rate per local law，Especially, have employees who works for extra hours been paid with applicable wage (e.g. Workers working extra time over 30min. ahead or after normal workingschedule been paid with applicable wage) or not?依照当地法律，是否所有的工人都得到相应的加班费，特别是工人超出正常工时的工作有无获工资（如工人打卡每次超出正常上下班时间30分钟以上而工厂有无视为工作时间并给予工资）？ 3.6 Does the factory keep all the records of wages deduction / fines?工厂能否提供工资扣除/罚款记录？ 3.7 Does the factory have piecework workers? If yes, can the factory provide piece-rate wage record for MA MA Page 7 of 16 Version:A evaluation 工厂是否有计件工，如有，工厂能否提供计件工人的计件工资记录？ 3.8 Are employees benefits provided in accordance with local law?Dose the factory provide the insurance receipt for the benefit? 工人是否依照当地法律获得保险？工厂是否能提供社保局签发的保险收据明细？ 3.9 Are employees paid in a timely manner in accordance with local law?依照当地法律，工人是否能定时得到所付的工资？ 3.10 Can the factory provide relevant documents for bonus explanation? 工厂能否提供相应的文件对奖金红利进行说明？ 3.11 Does the factory have the MA MA MI MA problem that wage cannot be verified due to unclear time system? 工厂是否存在由于工时系统不清晰导致工资无法计算的问题？ 3.12 Does the factory have manipulation of payroll? 工厂是否使用两套不一致的工 MA Page 8 of 16 Version:A

资记录？ 3.13 Were employees paid or under paid during production suspension (e.g. During Chinese New Year) 工厂在停工待料期间有无支付工人工资（如春节放假）？ MA 4 4.1 Safe and Healthy Workplace / Dormitory/cafeteria/安全与健康车间/宿舍/食堂 Can employees move around safely in the factory (i.e. not crowded,aisles cleared)?员工通道是否安全畅通(如：走道不拥挤，过道不堵塞)? MA 4.2 Do all employees know how to do in case of a fire or an emergency?所有员工是否清楚在发生火灾或紧急状况下该怎么做？ MA 4.3 Is anyone in the factory trained in first aid (at least one person)?工厂是否有急救员？（至少有一人接受过急救培训） MA 4.4 Is there a first aid kit available on each floor/ area?每层是否有一个可用的急救箱及急救药品？ MA Page 9 of 16 Version:A

4.5 Do the factory keep building fire safety plan and fire evacuation plan on each floor/warehouse/dorm？工厂有无在每层车间/仓库/宿舍内张贴逃生平面图? MA 4.6 Did the factory conduct a fire drill in the last 12 months? 工厂在过去一年内是否有消防演习？ MA 4.7 Are employees trained to operate fire extinguishers?工人是否有接受灭火器操作使用培训？ MA 4.8 Do all employees have access to operational fire extinguishers, hoses and hydrants in the factoryin accordance with local law?根据当地法,工厂工人是否有权使用灭火器、消防设备？ MA 4.9 Are the fire extinguishers, hoses or hydrants free from obstruction?灭火器，消防栓周围是否畅通？ MA 4.10 Are there at least two emergency exits for each floor of the factory?工厂每个楼层是否至少有两个紧急出口？ MA Page 10 of 16 Version:A

4.11 Do emergency exits open outward from the inside?紧急出口方向是否由里往外？ 4.12 Are all emergency exits unlocked?所有的紧急出口是否未上锁？ MA MA 4.13 Are all emergency exits free from obstruction?If no, which emergency exits are blocked.所有的紧急出口是否未被堵塞？如果被堵塞，哪里的紧急出口被堵? 4.14 Is all emergency lighting fully functional and sufficient to clearly light aisles and exit during a power outage?在断电时，过道和安全出口的应急灯是否可用并光线充足？ 4.15 Do all employees have access to appropriate personal protective equipment (PPE) for job function?所有的员工是否依工种都有配备适当的劳保用品? 4.16 Does the factory have dormitory facilities?工厂是否有宿舍？ 4.17 Does the dormitory comply with local/ national health MA MA CR MA Page 11 of 16 Version:A

and fire safety laws?宿舍是否符合当地/国家健康和消防安全法？ 4.18 Does the factory have cafeteria facilities?工厂是否有食堂？ 4.19 Does the cafeteria facilitycomply with local/ national health and fire safety laws?食堂是否符合当地/国家健康和消防安全法？ 4.20 Can the factory offer cafeteria hygiene certificate and physical checkupbill?工厂能否提供食堂卫生许可证及食堂员工之健康检查证明? 4.21 Does the factory have fire prevention certificate?工厂是否有消防验收合格证? 4.22 Does the factory have special equipment safety permit?工厂是否有特种设备安全许可证? 4.23 Does the factory have operator’s license for special type of work?工厂是否有特种作业操作证?(如电工证等) 4.24 Are all workers trained to operate machines/devices。工厂员工是否有接受机器安 MA MA MA MA MA MI Page 12 of 16 Version:A

全操作培训？ 4.25 Are the workers trained to operate chemical safely? 车间员工是否有接受化学品安全操作培训？ 4.26 Are the areas in the factory clean and tidy (including workshop, dormitory, cafeteria and toilet)? 厂区现场（包括车间，宿舍，食堂和卫生间）是否干净和整洁？ 5 5.1 MI MI Environmental Safety/环境安全 Does the factory have environmental protection file?工厂有无环保文件? MA 5.2 Did the factory make detail environment protect policy? 工厂能否提供书面的环保政策? MA 5.3 Does the factory have material recycle plan and make record of each recovery? 工厂能否提供物料回收计划及记录? MA 5.4 Can the factory offer the drain contaminantlicense？工厂是否能提供废弃/废水排放准许执照及排污合格证书? MA 5.5 Did the factory take training MA Page 13 of 16 Version:A of environment protecting?工厂是否有举办环保知识培训.? 5.6 Does the factory have hazardous inventory / MSDS?是否有危险物料安全资料卡? 5.7 Can the factory offer the chemical material test report？工厂能否提供化学品原料合格测试报告？ 6 6.1 MA MA Freedom of Association and Collective/结社自由与集体谈判 Does the factory have trade unions?工厂是否有工会组织？ MI 6.2 Do workers have right to choose whether to join a lawfully and peacefully form or trade unions?工人是否有权选择加入合法、和平的组织或加入工会? MA 6.3 Does any lawfully trade unions have right to bargain collectively？工会是否有进行集体谈判的权利? MA 7 7.1 Gifts and Entertainment礼品与娱乐招待 No gifts or money to auditor. 工厂不得向审核员赠送礼品或现金. CR 7.2 No entertainment should be CR Page 14 of 16 Version:A tendered. 工厂不得向审核员提供娱乐招待. 8 8.1 Conflicts of Interest利益冲突 Suppliers must not refuse the FS/3rd party/Customer auditor to enter into the factory. 供应商不得拒绝四星/第三方/客人审核员入厂审核. CR CR 8.2 Suppliers must not frighten or threaten the FS/3rd party/Customer auditor。供应商不得恐吓威胁四星/第三方/客人审核员. 8.3 Suppliers must not stop the FS/3rd party/Customer auditor to leave. 供应商不得阻止四星/第三方/客人审核员离厂. CR 8.4 Suppliers must not make any deal with auditors from FS for conflict of interest。供应商不得与四星验厂员达成任何以公谋私的交易。 CR 9 9.1 Anti-Corruption/反贿赂 Suppliers must not bribe FS auditor in any way. 供应商不得以任何形式贿赂四星审核员。 CR Page 15 of 16 Version:A

9.2 Suppliers must not tolerate, permit, or engage in bribery供应商不得容忍、允许或参与贿赂行为. CR Remark:

1. If one critical violation was found, (such as slave labor, forced labor, child labor, physical abuse to the workers, etc.) this factory should be out, the overall rating of the audit should be at risk.

(如果发现1个严重缺陷点，如狱工，童工，对工人体罚等)，工厂将会被停用，本次验厂结果是此工厂存在很大风险。） 2. If three to five (include) major violation were found, the overall rating of the audit should be Need Improvement. （如果发现3~5个（含5个）主要缺陷点，本次验厂结果是此工厂需要改善。

3. If two or less major and six or less minor violation were found, the overall rating of the audit should be Acceptable, and Need Improvement. 如果发现2个以下主要缺陷点和6个以下次要缺陷点，本次验厂结果是此工厂可接受使用但需要改善。

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9.2 Suppliers must not tolerate, permit, or engage in bribery供应商不得容忍、允许或参与贿赂行为. CR Remark:

1. If one critical violation was found, (such as slave labor, forced labor, child labor, physical abuse to the workers, etc.) this factory should be out, the overall rating of the audit should be at risk.

(如果发现1个严重缺陷点，如狱工，童工，对工人体罚等)，工厂将会被停用，本次验厂结果是此工厂存在很大风险。） 2. If three to five (include) major violation were found, the overall rating of the audit should be Need Improvement. （如果发现3~5个（含5个）主要缺陷点，本次验厂结果是此工厂需要改善。

3. If two or less major and six or less minor violation were found, the overall rating of the audit should be Acceptable, and Need Improvement. 如果发现2个以下主要缺陷点和6个以下次要缺陷点，本次验厂结果是此工厂可接受使用但需要改善。

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