供應(yīng)商社會(huì)責(zé)任稽核報(bào)告SupplierCSRAuditReport

1.Purpose目的

"weconsidercorporatesocialresponsibility(CSR)asthecustomerrequirementsofsocialandenvironmentalcharacterstoourproductsandproductionprocessthroughoutthelifecycle,weintegratestheseCSRrequirementsintoourbusinessandprocesses,andextendthesamerequirementsasprocurementrequirementstooursuppliersandsub-tiersuppliers,weconsiderCSRasopportunitiesofcreatingbusinessvaluestosupportourbusinesscompetitivenessbesidesriskcontrol.

wehasdevelopedsupplierCSRagreementbaseoncustomerrequirements,RBAandothersustainabilityguidelineswithreferencetointernationalstandardsofSA8000,ISO14001andISO45001.ThissupplierCSRauditreporttemplateandchecklistisdevelopedasapracticalguidancetoassessthelevelofcomplianceofsupplierCSRperformancewithLuxsharesupplierCSRagreementandthegapinordertoevaluatetheriskandidentifyimprovementopportunities."

"我們將企業(yè)社會(huì)責(zé)任（CSR)視為客戶對(duì)產(chǎn)品及其生產(chǎn)過(guò)程的社會(huì)和環(huán)境要求，我們將這些社會(huì)責(zé)任要求融入業(yè)務(wù)和流程，并將同樣的要求作為采購(gòu)要求，傳遞給我們的供應(yīng)商和下級(jí)供應(yīng)商，除了發(fā)現(xiàn)控制之外，我們將CSR視為創(chuàng)造商業(yè)價(jià)值和支持企業(yè)競(jìng)爭(zhēng)優(yōu)勢(shì)的機(jī)會(huì)。

我們根據(jù)客戶要求、RBA商業(yè)聯(lián)盟準(zhǔn)則和其他可持續(xù)發(fā)展標(biāo)準(zhǔn)的指引，參考SA8000、ISO14001和ISO45001等國(guó)際標(biāo)準(zhǔn)，制定了“供應(yīng)商社會(huì)責(zé)任行為準(zhǔn)則”。本供應(yīng)商CSR考察報(bào)告模板及檢查表旨在提供一個(gè)操作性的指引，用以評(píng)估供應(yīng)商與立訊公司供應(yīng)商社會(huì)責(zé)任協(xié)議之間的符合程度和差距，評(píng)估風(fēng)險(xiǎn)，識(shí)別改善機(jī)遇。"

2.Scope適用范圍

"ThissupplierCSRaudittoolappliestoallthesuppliersandsubcontractorssupplyinggoodsorservicestoLuxsharedirectlyandindirectly,includingsub-tiersuppliers."

本供應(yīng)商CSR審核工具適用于所有直接或間接向立訊公司提供產(chǎn)品或服務(wù)的供應(yīng)商和分包商，包括下級(jí)供應(yīng)商。

3.SupplierSelf-assessment供應(yīng)商自檢

"Suppliershallconductself-assessmentbeforeLuxshareauditandprovideself-assessmentreporttoLuxshare.Thesuppliershallconductself-assessmentwiththesameauditmethodologiesasLuxshareincludingsiteinspection,documentreview,interviewwithmanagementandworkers,internetsearchtoidentifytheirachievements,bestpracticesanddeficiencies,thesuppliershalltakecorrectiveandpreventiveactionsandupdatetheprogress.

ThesuppliershallassignappropriatepersonssuchasHRmanagerandEHSengineertoconductthisself-assessment,theself-assessorsshallclarifytheauditscopeoftheproductionfloorsandwarehousesrelatedtoLuxshareproductsandworkerdormitoriesandcanteens,andcompletethetab2summary,especiallythemanufacturingprocessandsub-contractedprocessandworkersinformation.

Thesuppliershallevaluatefactoryoperationsagainstthequestionsattab3checklistandaddthescoreinthecolumnCandsupportiveevidenceatcolumnE,thesuppliershallensuretheprovidedinfoisaccurateandsufficient.

Thesuppliershallprovideself-assessmentfindingsandconclusionsatappropriatecolumnoftab3auditsummaryandrequestseniormanagementtoreviewandapprovebeforesendingtoLuxshare."

"在立訊審核之前，供應(yīng)商應(yīng)完成自檢，并將自檢結(jié)果提交立訊公司。供應(yīng)商應(yīng)采用與立訊同樣的審核方式，如現(xiàn)場(chǎng)檢查、文件審閱、管理層訪談、員工訪談和網(wǎng)絡(luò)檢索等進(jìn)行自檢，識(shí)別供應(yīng)商在CSR各個(gè)方面的成績(jī)、優(yōu)秀實(shí)踐和不足，擬定糾正和預(yù)防措施，并跟進(jìn)進(jìn)展。

供應(yīng)商應(yīng)指定合適的人選，如人力資源經(jīng)理和EHS工程師進(jìn)行自檢，首先明確審核范圍，即涉及立訊業(yè)務(wù)的生產(chǎn)廠區(qū)和倉(cāng)庫(kù)，以及宿舍和飯?zhí)玫?，供?yīng)商應(yīng)核實(shí)并填寫summary工廠概況”，尤其寫明“生產(chǎn)流程”、“外包工序”和員工信息，不要遺漏。

供應(yīng)商應(yīng)對(duì)照checklist檢查表列提出的問題，將自檢評(píng)分填寫在C列，將自檢結(jié)論和支持證據(jù)描述填寫在E列，供應(yīng)商應(yīng)根據(jù)實(shí)際情況如實(shí)回復(fù)，并盡量用數(shù)據(jù)。

供應(yīng)商應(yīng)在summary指定欄目填寫自檢基本信息、自檢發(fā)現(xiàn)及自檢結(jié)論，并由指定的高層經(jīng)理評(píng)審和確認(rèn)后提交給立訊，確保自檢結(jié)果和記錄的真實(shí)性。"

4.LuxshareOnSiteAudit立訊現(xiàn)場(chǎng)審核

"Itisrecommendedtoassigntwoauditor-daysforeachsiteaudit,theauditmethodologiesareonsiteinspection,documentreview,interviewwithmanagementrepresentativesandprivateinterviewwithworkersselectedbytheauditorsandinternetsearch.ThesuppliershallprovidesufficientaccesstothesitefacilitiesincludingproductionfloorsforLuxsharebusiness,warehouseandpowerstation,dormitoryandkitchen,thesuppliershallalsoprovideallrelevantdocumentsandrecordsoflatest12monthsaspertheauditchecklist,suchasgovernmentlicenseandpermits,policiesandprocedures,employmentrecords,timerecords,payrolls,EHSrecords,etc.

Attheendofaudittheauditorswillbrieftheauditfindingstosuppliermanagementincludingthestrengthsandimprovementopportunitiesforthesuppliertotakecorrectiveactions."

"現(xiàn)場(chǎng)審核建議安排兩人天，審核方式包括現(xiàn)場(chǎng)檢查、文件審閱、管理層和員工訪談，以及網(wǎng)絡(luò)檢索。供應(yīng)商應(yīng)允許審核員進(jìn)入審核范圍，包括涉及立訊業(yè)務(wù)的生產(chǎn)廠區(qū)、倉(cāng)庫(kù)、發(fā)電房、宿舍和飯?zhí)玫?，供?yīng)商應(yīng)根據(jù)審核清單提供最近12個(gè)月的相關(guān)文件記錄，如政府批文、CSR政策和程序、員工雇傭記錄、工時(shí)記錄、工資表、環(huán)境安全健康記錄等。

現(xiàn)場(chǎng)審核結(jié)束前，審核員應(yīng)簡(jiǎn)要報(bào)告審核結(jié)果，包括強(qiáng)項(xiàng)和存在的主要問題，以便供應(yīng)商盡快采取糾正行動(dòng)。"

5.AuditFindingsClassification審核發(fā)現(xiàn)分類

"Baseonriskassessmenttheauditfindingsaregenerallyclassifiedasbelowcategories:

1)Criticalissuesorintolerableissues:

ProhibittheuseofanyformofchildLabour;

Prohibittheuseofprisonworkersandbondedlabor;

ProhibitionofforcedLabour(restrictionofpersonalfreedom,seizureofidentitycards,etc.);

Prohibitionofill-treatment(whetherpsychologicalorphysical);

Abanonpayingemployeesbelowtheminimumwage;

SeriousEHSrisksoraccidentsareprohibited,suchas:

a.Directdischargeorimpropertreatmentofwastegas,wastewaterandwasteresidueshallbeprohibited,resultinginseriousenvironmentalpollution;

b.Prohibitionofanyworkingconditionsthatseriouslyendangerthesafetyorhealthoflife;

Corruptionanddishonestyareprohibited,and""nobribery,nogifts,noconnections,nofraud,nocorner-cutting,nocommercialfraud,keeppromises.""

2)Majorissuesorsystematicerror:highriskwithshorttermanddirectimpactorsystematicerror,includingi)shorttermimpacttoworkerrights,orii)shorttermimpacttothehealthandsafetyorevenlifeofworkers,oriii)Shorttermimpacttoenvironment,typicalexamplesareobstructedexit,underpay,serioushealthandsafetyissues,etc.

3)Minorissuesorcommondeficiency:lowriskwithlongtermortolerableimpact,includingi)commonviolations,orii)Broadlytoleratedmistake,andiii)Minorimpact,typicalexamplesarelockedfirstaidkit,kitchenworkernotwearingmask,etc.

4)Observationwhichcanbeimprovedthroughoptimizationmanagementandcontrol"

"基于風(fēng)險(xiǎn)評(píng)估的結(jié)果，審核發(fā)現(xiàn)的問題分為以下四類：

1）嚴(yán)重問題項(xiàng)或不可容忍的問題：

禁止使用任何形式的童工；

禁止使用監(jiān)獄工、抵債勞工；

禁止強(qiáng)迫勞工（限制人身自由、扣押身份證等）；

禁止虐待（無(wú)論是心理還是肉體）；

禁止低于最低工資標(biāo)準(zhǔn)支付員工工資；

禁止出現(xiàn)嚴(yán)重EHS風(fēng)險(xiǎn)或事故，如：

a.禁止廢氣、廢水、廢渣直排或處理不當(dāng)造成嚴(yán)重環(huán)境污染的；

b.禁止任何嚴(yán)重危及生命安全或健康的工作條件；

禁止發(fā)生腐敗和不誠(chéng)信事件，做到“不行賄、不送禮、不關(guān)聯(lián)、不弄虛作假、不偷工減料、不商業(yè)欺詐、信守承諾”。

2）主要不符合項(xiàng)或系統(tǒng)性性問題，即短時(shí)存在高風(fēng)險(xiǎn)或系統(tǒng)性缺陷，如短期影響工人權(quán)益、短期影響安全健康或短期環(huán)境損害，典型案例包括消防通道堵塞、工資低于標(biāo)準(zhǔn)和嚴(yán)重安全隱患等。

3）次要不符合項(xiàng)或輕微不符合問題，即存在為較低風(fēng)險(xiǎn)，可以容忍或影響較小的問題，典型案例包括急救箱上鎖、廚房未戴口罩等。

4）建議改善項(xiàng)，可以通過(guò)優(yōu)化管控更加完善的項(xiàng)目"

6.AuditScoringguidance審核評(píng)分指引

"Thisauditchecklistconsistsof5sections,eachsectiontakes20%oftotalweightingand7-29questionsandtotal99questionsareselectedtomeasurethesupplier'spolicies,proceduresandpractices,0,1or2pointswillbeawardedbasedonbelowguideline:

2points:Acceptable,fullyormostlymeetrequirementswithsufficientsupportiveevidences;

1point:Marginal,partiallymeetrequirementswithinsufficientsupportiveevidences;

0point:Unacceptable,systematicallyviolaterequirementswithsupportiveevidences;

N/AmaybeawardedifaquestionisnotapplicableinthesupplierbutthetotalnumberofN/Ashouldbekeptasminimumaspossible."

"本審核檢查表包括5章，每章權(quán)重占20%。每章精選了7-29個(gè)問題，總共99個(gè)問題用于評(píng)估供應(yīng)商的CSR政策，制度、實(shí)際運(yùn)作及其結(jié)果。請(qǐng)根據(jù)以下指引分別對(duì)各個(gè)問題進(jìn)行打分，分別為0、1或2分：

2分：全部或大部分滿足要求，并能提供充分的支持證據(jù)；

1分：部分滿足要求，只能提供部分的支持證據(jù)，或者缺乏系統(tǒng)性控制；

0分：不滿足要求，缺乏證據(jù)或存在負(fù)面違反證據(jù)。

N/A：如果問題不適用于供應(yīng)商，則可以授予N/A，但應(yīng)將N/A的總數(shù)保持為最少。"

7.AuditGradingGuidance審核評(píng)級(jí)指引

"Basedontheweightedscoresandauditresults,anauditedsupplierwillbegradedasbelow:

Agrade:Goodsupplier,strongmanagementsystem,weightedscore≥90%,nocriticalormajorissu