TJX验厂审核准备过程和现场审核程序

　　VENDOR REQUIREMENTS

　　Cooperation from our suppliers is critical to making this program a success. We value your

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

　　assist you in preparing for an audit.

　　Step One: Identification of Active Factories

　　TJX requires the Vendor to notify our Agent of all active TJX production factories, on a monthly

　　basis. Active factories are defined as factories with current production, future on order, or

　　production within the past 12 months.

　　Step Two: Communication to Active Factories

　　The Vendor is responsible for informing the active factories that a social compliance audit will

　　take place and for ensuring that the ‘Audit Procedure Outline’ and ‘Factory Evaluation

　　Checklist’ are provided to the factory, as it offers assistance to prepare for the audit. Conducting

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

　　Step Three: Making an Appointment

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

　　audit. The Vendor and Agent will also be informed of the audit timeframe. Please ensure at least

　　one member of the factory’s management team, who has access to the appropriate documents

　　required to complete the audit, is present in the audit timeframe.

　　Step Four: Prepare for an Audit

　　Please ensure that the following list of documents is made available to the auditors to avoid

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

　　Employee Documentation

　　o Employment contracts/ terms & conditions of employment

　　o Employee files (including employment application, discipline letters, labor contract, etc.)

　　o Proof of age documentation (copies of identification cards, birth certificates, medical

　　clearance, etc.)

　　o Restrictions on workers below the age of unrestricted employment

　　Facility Policies and Procedures

　　o Internal operating policies and procedures (Company Policy)

　　o Business licenses, maintenance and health licenses

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

　　o Annual leave and required holidays

　　o Nondiscrimination/ Harassment

　　o Other benefits and allowances

　　o Any other government licenses, certificates of operation, etc.

　　Payroll Documents (for the current 6 months)

　　o Payroll records

　　o Time records

　　o Piece rate records

　　o Payroll registers

　　o Payroll stubs

　　o Special labor waivers such as the overtime extension waiver

　　General Environmental Health & Safety

　　o Plant layout or facility plot plan

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　　o Environmental Health & Safety manual and/or written programs

　　o Assessment records (machinery, fire extinguisher, eyewash/shower, etc.)

　　o Dormitories (government licenses, assessment reports)

　　Environmental (only if working with chemicals)

　　o Hazardous waste manifests or shipping papers

　　o Waste profiles/test results/waste analyses

　　Health & Safety

　　o Accident or injury reports

　　o Chemical inventory

　　o Material safety data sheets (MSDS’s)

　　o List of required/approved personal protective equipment

　　o Emergency response plan

　　o Testing, inspection, and maintenance records for fixed and portable fire equipment

　　o Evacuation/emergency maps

　　Step Five: Wait for Audit Results

　　Typically, the turnaround time for the auditor to complete the audit and finalize the full report is

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

　　audit findings are accurate, the assessment is fair and reflects TJX’s criteria, and any grammatical

　　errors are corrected.

　　In special cases, where production needs to start as soon as possible, the auditor should be

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

　　your timeline, however they cannot guarantee that this is possible every time.

　　Step Six: Re-audit (If required)

　　The re-audit evaluation has been designed for verification of compliance and ensures that

　　recommended corrective actions have been taking place since the last audit. Any re-audit

　　requirement is determined by TJX based on the status of the factory and/or previous audit

　　findings.

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

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

　　invoice is synonymous with non-participation in the program, and TJX reserves the right to

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

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　　AUDIT PROCEDURE OUTLINE

　　The audit is a fact-finding process, designed to help you identify areas within the factory’s

　　operations that require improvement to ensure you are in compliance with TJX standards and

　　country-specific legal requirements related to the factory’s production. No certificate is provided

　　at the completion of the audit, and it does not automatically approve you for production for any

　　other brands or retailers, or qualify you for membership in industry associations.

　　An audit consists of five components (not necessarily completed in this order): an opening

　　meeting, health and safety tour, payroll and documentation inspection, employee interviews, and

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

　　complete understanding of the factory situation, they can be requested and should be provided.

　　Management such as the factory manager or human resource personnel should be present.

　　Otherwise, assistance may be provided by anyone whom the factory deems has the authority to

　　provide the documents needed and to answer the questions from the auditors.

　　Opening Meeting

　　After the auditors have passed all security requirements and are given access to the factory, an

　　opening meeting is held with the contact person, preferably management. During this meeting,

　　the format of the audit is described. The production manager and the human resource personnel

　　are needed in order to answer a series of questions regarding production capacity, machines, lead

　　times, and hiring practices.

　　Health and Safety Tour

　　A walkthrough of the factory is conducted to ensure adequate measures are in place to protect the

　　health of workers and guarantee their safety and the safety of the surrounding environment.

　　Production capacity is also evaluated during the walkthrough. Housing units, if applicable, need

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

　　kitchen if cooking takes place onsite.

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

　　factory policies concerning security.

　　Photographs of the factory are also taken with permission from management.

　　Payroll and Documentation Inspection

　　Payroll documentation is reviewed. Payroll journals, timecards, production records, attendance

　　books, proof of insurance payment or tax payment (if applicable) must all be provided to the

　　auditors for a complete audit to take place. The auditors are checking to ensure that the regional

　　minimum wage is provided to all employees for all hours worked, including overtime

　　compensation. Also evaluated is whether maximum hours authorized to work, including

　　weekend and evening hours, are in compliance with regional labor laws.

　　Copies of operating licenses and other government issued permits are also reviewed. Customs

　　documents will also be requested. If quota restrictions apply, quota information should be

　　provided along with shipping invoices and country of origin documentation.

　　Company policies handbooks and management systems are reviewed. Employee records are

　　reviewed. Proof of age documentation must be available.

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　　Employee Interviews

　　The auditors will randomly select employees from various production areas for interviews, away

　　from the presence of management or other employees. Auditors will require the use of a private

　　room in which to conduct these interviews. Employees are asked questions regarding hours of

　　work, length of employment, their understanding of human rights (freedom of association,

　　collective bargaining, equal opportunity, non-discrimination, unrestricted liberties, etc.),

　　disciplinary policies of the factory, hiring policies, and working conditions.

　　Closing Meeting

　　At the conclusion of the audit a Corrective Action Plan (CAP) is created if necessary and all

　　concerns are discussed with the facility management. Management is encouraged to write

　　comments in the second part of the CAP as to reflect any disagreements or clarifications.

　　Management is requested to sign the CAP, to verify that they understand the findings. A copy of

　　the CAP is left with management to assist them in resolving the concerns detected during the

　　audit.

　　Post-Audit Activities:

　　Within 15-20 days from this audit, a formal, typed copy of this audit report will be sent to

　　the Agent. A copy will be automatically sent to TJX.