Walmart Ethical Audit for DMPI Cannery (August 2016)

• Document No.

• Audit Title

• Client / Site

• Conducted on

  Date

• Prepared by

• Location
  Address

• Personnel

• AUDIT COMPONENTS

• A. Opening Meeting:
  1. List the names of the opening meeting participants.
  2. Get the signature of the participants.
  3. Define the scope, purpose, duration, and activities in the audit.
  
  The opening meeting should include, at the minimum, the following:
  1. The auditor
  2. Facility or site management
  3. Health and safety representative
  4. Environment management representative
  5. Human resource representative
  6. Any other necessary or requested parties

• Add signature

  Sign

• Add signature

  Sign

• Add signature

  Sign

• Add signature

  Sign

• Add signature

  Sign

• Add signature

  Sign

• Add signature

  Sign

• Add signature

  Sign

• Add signature

  Sign

• Add signature

  Sign

• B. Facility Tour
  The purpose of the Facility Tour is for the auditor to inspect the facility for compliance with the Standards for Suppliers and legal requirements. Auditors will:
  Inspect the Operations floor, dormitories, and canteens for compliance with the Standards for Suppliers and legal requirements.
   Interview workers.
   Measure spaces, test fire equipment and other equipment under controlled conditions, check maintenance, and production records.
  

• C. Worker Interviews
  The purpose of Worker Interviews is for an auditor to ask the workers questions related to the operation of the facility, compliance standards, and Code of Conduct issues.
  Depending on the size of the factory’s production workforce, five percent of the production workers (a minimum of five and to a maximum of 20) are interviewed. The sample pool of workers may be increased based on observations and findings during the audit. Interviewees should be representative of gender and the active departments in the factory.
  Auditors will identify key production individuals in facility tour (or selected from a masterlist of workers present at the time of audit) to be interviewed and from observations identified in the document review.
  Worker interviews should be conducted away from the production floor in a private area. Facility management should provide a private room for the interviews. Worker interviews should never be conducted with factory management or their representatives present. Interviews will be conducted in the local language of workers.

• D. Document Review
  The purpose of Document Review is to review facility documentation related to employment, compensation, benefits, hours, health and safety, and environment for compliance with the Standards for Suppliers and local legal requirements.
  The audit includes a document review of at least 3 months to one year of records depending on the audit type.
  The same sample size protocol used for employee interviews will also apply to the document review portion of the audit.

• E. Audit Report
  The audit report will be prepared by the app upon completion of the audit.

• F. Closing Meeting
  During the Closing Meeting, the auditor will discuss the audit findings and the Audit Report with facility management and representatives.
  The auditor will discuss the identified issues and the recommendations to remedy the violations observed and documented in the Audit Report.
  The auditor and facility management are required to sign the audit report as confirmation of the audit having taken place and documentation of the findings during the audit. Factory management will be provided the original signed and stamped Audit Report identifying issues and recommendations.

• The Audit Document Checklist lists some of the key documents required to be maintained in every facility and should be readily available during an audit; auditors may request to review additional documents not identified in the Checklist.
  Document titles and requirements may vary according to the country or the facility location.
  Supplier and facility managers are encouraged to reference the Checklist prior to the audit to determine the availability of various documents that may be reviewed during the audit.
  It is the Supplier’s responsibility to maintain all permits, documents and records according to national and/or state legal requirements or when required by law.

Compliance with Laws

• Business/ factory license

• Fire license / No objection certificate/ Advisory from fire authorities/ factory building stability/ building stability or construction certificates.

• Permits and certificates for water/air/hazardous waste

• Factory or facility floor plan

• Registration certificate to employ contract workers

• Valid license of contractor approved by competent authority

• Contract agreement between factory and contractor

• Shift working approval/ staggered weekly off approval from the relevant governing department

• Factory rules and regulations/ standing orders

• Local official minimum wage notification

• Permit for diesel generator installation from Electricity Board

• Approved list of national and festival holidays

• All legally required registers

• Records of subcontractors used for Walmart with details of process/part that is sub-contracted and other details of the subcontractor

Labor Hours and Compensation

Time, Wages & Benefits

• 12 months actual IN and OUT time and payroll records for regulars and contract workers

• 12 months production records by department to verify wages for piece rate workers if any

• Piece-rate wages calculation records

• Minimum wages notification

• Payroll computation for salary/ overtime

• Pay slips with workers signature/ bank statements/ acknowledgment from bank if salary is credited directly to workers account

• Full and final settlement records (gratuity, leave encashment, bonus, wages, proof of intimation, others)

• Individual/ group/ medical insurance/ social insurance

• Other benefits

• Wages deductions/ fines record

• Bonus records

• Unclaimed wage records

• Policies for deductions (late reporting, damage, etc.) incentives, loan disbursement, etc.

Production

• Production process flow chart

• 12 months production records by department (dependent on the latest Walmart audit assessment)

• Material movement registers

• Subcontracting records for process/ part that is subcontracted

• Other production records

Health & Safety

Electrical Safety

• Electricians certificate/ license

• Electrical inspection records

Fire Safety

• Fire safety certificate/ No objection certificate/ Fire advisory

• Fire drill records

• Fire protection/ equipment inspection/ service records

• Fire safety documentation

• Construction approval

• Certification by civil or structural engineer

• Zoning permit

• Routine internal inspection records for fire safety and electricity safety

• External inspection reports for fire extinguisher and fire hydrant.

• Training on handling of hazardous, combustible or flammable materials

• Fire safety policy and procedure

• Fire safety committee, responsibility, and meeting minutes

• Emergency action plan training records

• Emergency response personnel name list

• Emergency response personnel training records

• Workshop plot plan that includes the floor area or dimensions

• Documentation with number of employees for each shift

Personal Protective Equipment & Chemical Safety

• PPE issue records

• PPE training records

• Permits/ licenses for storage and handling of chemicals and oils

• Chemical inventory records

• Material Safety Data Sheets (MSDS) for chemicals

• Training records for workers involved in handling of flammable liquids

• Medical examination certificates for workers handling hazardous chemicals

Material Handling

• Training records for workers on material handling

• Workers certification for handling specific materials/wastes or substances

Sanitation

• Drinking water test reports issued by responsible authority/agency

• Canteen staff medical examination certificates

• Canteen operation certificates

Work Area Design & Maintenance

• Applicable legal permits for crèches/childcare facilities

Accident & First Aid Program

• First aid procedure

• First aid training records certified by competent authority

• First aid issue records

• Sickness records

• Minor Injury records

Equipment & Machine Safety

• Machine/Equipment maintenance records

• Machine/Equipment safety training records

• Pressure Vessel Inspection Reports (boiler, compressor, dryer etc.) Hoist/ Lift Approval /Inspection Report

• Licenses/Certificate for operators

• Machine safety committee records

• Lock Out Tag Out Procedures

Other

• Committee records (e.g., works committee, health and safety committee, grievance redressal committee, prevention of sexual harassment committee etc.)

Environment

Waste Management

• Permit(s) for onsite waste disposal

• Permit(s) for storage and transportation of hazardous wastes

• License of hazardous waste disposal contractor

• Waste inventory and tracking records

Wastewater & Effluent Management

• Permit(s) for wastewater/effluents discharge

• Permit(s) for wastewater treatment

• Wastewater/effluent discharge monitoring report

• Corrective action plan report (if wastewater/effluent discharges are over applicable limits)

• Drainage system layout

• Maintenance records for wastewater/effluent treatment plant/ system

Air Emissions Management

• Air emissions permit(s)

• Air emissions monitoring report

• Corrective action plan report (if air emissions are over applicable limits)

• Air emissions source inventory records

• Ozone Depleting Substances (ODS) inventory records

• Maintenance records for ODS containing equipment

Water Management

• Permit(s) for water use and extraction

• Inventory of water use and consumption

Energy Use & Greenhouse Gases

• Permits for emissions and energy use

• Monitoring records for energy consumption (e.g., electricity bills, fuel bills etc.)

• GHG emissions inventory

Land Use & Biodiversity

• Environmental Impact Assessment

• Land use/ construction permits

Environment Management System

• Environment policy

• Environmental emergency protocol/response plan

• Environmental training plan and records

• Environmental legal register

Hazardous Substances Management

• Permits for hazardous substance handling/ storage and/or transportation

• Hazardous substances inventory

• Copies of licenses of authorized vendors

• Protocols and awareness of sensitive receptors

Noise Pollution

• Noise pollution permits

• Noise pollution monitoring and assessment reports

• INSTRUCTIONS TO AUDITOR: 1. Tap on one answer to each question/statement. 2. For "NO" answers, the comment and photo field will automatically appear. Enter the circumstances of the reason why your answer is NO. 3. As much as possible, all "YES" answers should be supported by evidence. Tap on the question to bring up the comment and photo fields. 4. Take a photo of the evidence presented and enter your comments in the space provided.

VOLUNTARY LABOR

Management Review

• Supplier regularly reviews facility labor policies.

  Yes

  No

  N/A

• Supplier regularly reviews National of state facility laws and regulations.

  Yes

  No

  N/A

• Supply regularly reviews relevant industry-approved operating orders.

  Yes

  No

  N/A

• Supplier regularly reviews national labor or state laws, regulations, and policies pertaining to labor.

  Yes

  No

  N/A

• Supplier regularly reviews labor contractor agreements.

  Yes

  No

  N/A

Unrestricted Movement

• The supplier allows workers to travel freely as allowed by law.

  Yes

  No

  N/A

Termination/ Resignation

• The supplier allows workers to end their employment voluntarily according to the terms and conditions of their contract, with no restrictions such as excessive notice periods or the imposition of substantial fines.

  Yes

  No

  N/A

Retaliation

• The supplier does not discipline or retaliate against workers for expressing their legitimate concerns.

  Yes

  No

  N/A

Recruitments/ Assurance Fee

• The supplier does not ask workers to make any payment for an assurance to work.

  Yes

  No

  N/A

• The supplier does not charge workers recruitment fees or take deductions from their wages for being hired.

  Yes

  No

  N/A

Juvenile Workers

• Workers under the age of 18 years are considered to be juvenile workers. The supplier ensures that they comply with all legal restrictions and requirements that are applicable to juvenile workers.

  Yes

  No

  N/A

• If the supplier has juvenile workers, they ensure that they allow such workers to complete any compulsory education required by law.

  Yes

  No

  N/A

• The supplier does not require juvenile workers to undertake any work that is hazardous by nature. Hazardous work is defined as work that, by its nature or the circumstances in which it is carried out, is a substantial possibility of harm to the health or safety of the worker if adequate protections are not taken.

  Yes

  No

  N/A

Human Trafficking

• The supplier complies with all applicable laws on slavery and human trafficking.

  Yes

  No

  N/A

• The supplier ensures that its manufacturing processes and materials do not support or engage in human trafficking.

  Yes

  No

  N/A

Control Over Identity Documents

• The supplier allows workers to maintain control over their original identity documents (such as passports, national IDs). The supplier does not withhold any original identity document of workers.

  Yes

  No

  N/A

Contract Workers

• The supplier ensures that all voluntary labor requires apply to all workers.

  Yes

  No

  N/A

Child & Underage Workers

• Supplier does not employ workers under the age of 16 years or below the minimum work age as defined by local and national regulations or Walmart standards. Suppliers found to have violated the prohibition on use of underage labor are required to remediate the situation by implementing a satisfactory solution that places the best interest of the underage worker first.

  Yes

  No

  N/A

• Supplier does not allow any person under the age of 16 to be present in a facility compound area, unless that person is in an appropriate child care facility.

  Yes

  No

  N/A

LABOR HOURS

Management Review

• Supplier management reviews worker time records in the facility.

  Yes

  No

  N/A

• Supplier management reviews government/labor department-issued notifications on working hours.

  Yes

  No

  N/A

• Supplier management reviews working hours and special considerations for women workers.

  Yes

  No

  N/A

• Supplier management reviews national or state facility rules and regulations.

  Yes

  No

  N/A

• Supplier management reviews relevant industry-approved operating orders.

  Yes

  No

  N/A

• Supplier management reviews national labor or state laws, regulations and policies pertaining to labor hours.

  Yes

  No

  N/A

• Supplier management reviews labor contractor agreements.

  Yes

  No

  N/A

Working Hours

• The supplier ensures that working hours for all workers are within the legal limit for regular and overtime hours.

  Yes

  No

  N/A

• Working hours in the facility/factory does not exceed 60 hours per week.

  Yes

  No

  N/A

Work Groups or Work Nature Beyond Legal Limits

• Supplier ensures that they follow all legal requirements that specify nature of work, associated working hours and requirements for special work groups such as, but not limited to, women workers, pregnant women, juvenile workers and personnel with disabilities.

  Yes

  No

  N/A

Work from Home

• Supplier does not allow workers to engage in any form of "work from home" program unless prior consent is obtained from Walmart.

  Yes

  No

  N/A

Time Recording Systems

• Supplier ensures that all time worked, including time worked by those workers on a per-piece payment scheme, is fully documented by an accurate and reliable recording system.

  Yes

  No

  N/A

• Supplier ensures that time recording systems are clear, trash sparest, and accessible during all times for auditor review.

  Yes

  No

  N/A

• This recording system shall document regular hours and overtime worked by each worker.

  Yes

  No

  N/A

• Time cards/ registers are maintained in a clear and legible format, with worker details such as name and ID number.

  Yes

  No

  N/A

• Time in and time out are recorded accurately and are acknowledged by the workers themselves.

  Yes

  No

  N/A

• Supplier ensures that the facility has a system to capture, verify, and immediately correct any errors in time recording. Manually corrected records follow a documented internal process approval and are acknowledged by the worker.

  Yes

  No

  N/A

• Workers are allowed to review their time records, if needed.

  Yes

  No

  N/A

• All of the requirements listed above are being applied to all contract workers in the facility.

  Yes

  No

  N/A

Seventh Day Rest

• Supplier provides workers with rest days in compliance with applicable laws.

  Yes

  No

  N/A

• Supplier provides all workers with a minimum of one scheduled rest day per seven calendar days.

  Yes

  No

  N/A

• Workers may volunteer to work on their rest days, but the supplier ensures that the workers are not allowed to do so more than once every two weeks.

  Yes

  No

  N/A

Overtime

• Supplier ensures that overtime is voluntary and within the legal limit per day. Overtime should only be a maximum of 6 hours in a day.

  Yes

  No

  N/A

• Supplier ensures that overtime is within the legal limit per week; should not exceed 12 hours per week.

  Yes

  No

  N/A

Breaks

• Suppliers provide workers with reasonable meal and rest breaks.

  Yes

  No

  N/A

• Meal breaks of the workers comply with laws.

  Yes

  No

  N/A

HIRING & EMPLOYMENT PRACTICES

Management Review

• Supplier management reviews government/labor department issued notifications on wages according to relevant class of industry and category worker, if applicable.

  Yes

  No

  N/A

• Supplier management reviews national and/or state facility laws and regulations.

  Yes

  No

  N/A

• Supplier management reviews relevant industry approved operating orders.

  Yes

  No

  N/A

• Supplier management reviews national, state and/or regional laws, regulations and policies pertaining to wages and labor.

  Yes

  No

  N/A

• Supplier management reviews labor contractor agreements.

  Yes

  No

  N/A

• Supplier management review personnel files of workers.

  Yes

  No

  N/A

Workers Committees

• In addition to legal requirements, supplier ensures that worker committees are established in their facilities: Environmental, Health and Safety Committee (EHS Committee).

  Yes

  No

  N/A

• In addition to legal requirements, supplier ensures that worker committees are established in their facilities: Fire Safety Committee.

  Yes

  No

  N/A

Worker Discipline

• The supplier has established written disciplinary procedures that are clear, understandable, and accessible to all workers.

  Yes

  No

  N/A

• The procedures are available in a language understood by the worker.

  Yes

  No

  N/A

• All disciplinary actions are recorded, and a document providing the details of the disciplinary action are kept in the workers record.

  Yes

  No

  N/A

• Workers are allowed their right to appeal, according to local laws and regulations.

  Yes

  No

  N/A

Verification of Age

• Supplier verifies that every worker meets the minimum age requirement prior to beginning employment.

  Yes

  No

  N/A

• Each worker's record contains a copy of identification documents as proof of age, such as a copy of a birth certificate or a national identification card.

  Yes

  No

  N/A

Unrestricted Movement

• Workers are allowed to move freely to and from the facility and within the workplace with unrestricted and reasonable access to bathrooms and drinking water.

  Yes

  No

  N/A

Pregnancy & Maternity

• Supplier does not require pregnancy testing of female employment applicants or workers, unless pregnancy tests are required by law.

  Yes

  No

  N/A

• Women returning from maternity are provided an equivalent position and pay corresponding to their employment prior to maternity, if legally required.

  Yes

  No

  N/A

• Supplier complies with any work environment requirement protecting the health and safety of pregnant, post-partum, and lactating women.

  Yes

  No

  N/A

• The supplier does not restrict or limit worker's reproductive rights.

  Yes

  No

  N/A

• Supplier does not ask female applicants about their pregnancy status or family planning, unless required for reasons of health and safety (for example, chemical exposure).

  Yes

  No

  N/A

Personnel Files

• Personnel files contain a signed copy of the worker's employment contract.

  Yes

  No

  N/A

• Personnel file contains a proof of age document.

  Yes

  No

  N/A

• Personnel file contains a proof of address document.

  Yes

  No

  N/A

• Personnel file contains a national identification card or other identification if required by law.

  Yes

  No

  N/A

• Personnel file contains relevant, valid, and appropriate work permits and visas in case of migrant workers.

  Yes

  No

  N/A

• Personnel file contains proof of membership in insurance as legally applicable (social, medical).

  Yes

  No

  N/A

• Personnel file contains documents on worker provident fund/ retirement savings fund with relevant details.

  Yes

  No

  N/A

• Personnel file contains appraisal information.

  Yes

  No

  N/A

• Personnel file contains notices of leaves.

  Yes

  No

  N/A

• Personnel file contains other memos issued to the worker.

  Yes

  No

  N/A

• Supplier maintains personnel files for all workers in the facility. For contract workers, suppliers must retain a copy of the personnel file or have access to the personnel files at the location of storage for the purpose of the audit facility.

  Yes

  No

  N/A

Migrant/ Foreign Workers

• Supplier verifies that a migrant/foreign worker is in the host country lawfully, have valid work permits, visas, and passports at the time of being appointed. These documents are verified prior to being hired.

  Yes

  No

  N/A

• Migrant workers are provided with contracts in the host country language.

  Yes

  No

  N/A

• In case of special economic zones, the supplier ensures that control over legal documentation such as passports, work permits, etc. is to be exercised. With the acknowledged consent of the worker. Suppliers may only retain copies for record purposes.

  Yes

  No

  N/A

Medical Tests

• Supplier does not subject workers to any medical test unless they are required by law for the purpose of employment.

  Yes

  No

  N/A

Induction Programs

• Supplier has a well-defined induction program for workers and the program includes applicable fire safety requirements.

  Yes

  No

  N/A

Equal Opportunity

• Supplier's employment practices are based on equal opportunity.

  Yes

  No

  N/A

Employment Contracts

• Supplier provides employment contracts to all workers that comply with applicable laws.

  Yes

  No

  N/A

• The contract is provided in a language understood by the worker.

  Yes

  No

  N/A

• The contract contains terms and conditions of employment.

  Yes

  No

  N/A

• The contract contains complete information on the wage of the worker which must comply with the minimum wage.

  Yes

  No

  N/A

• Contract contains the worker's wage at the time of hiring.

  Yes

  No

  N/A

• The contract contains date of joining of the worker.

  Yes

  No

  N/A

• The contract contains the name and date of birth of the worker.

  Yes

  No

  N/A

• The contract contains information on the benefits associated with the wages, contract signature, and stamp or logo of the facility.

  Yes

  No

  N/A

• The contract contains the signature of the worker.

  Yes

  No

  N/A

• The original copy of the contract is provided to and retained by the worker.

  Yes

  No

  N/A

• Supplier does not use consecutive short-term arrangements for probation/apprenticeship schemes to disguise intent to provide regular employment.

  Yes

  No

  N/A

• For contract workers, the facility retains a copy of the employment contract or have access to the employment contracts at the location of storage for the purposes of the audit. The employment contract is between the worker and the contractor.

  Yes

  No

  N/A

• All terms and conditions of employment including, but not limited to hiring, pay, training, promotion, termination, and retirement must be based on an individual's ability and willingness to do the job.

  Yes

  No

  N/A

Discrimination

• Workers are treated with dignity and respect for the individual.

  Yes

  No

  N/A

• Supplier does not tolerate verbal abuse of workers.

  Yes

  No

  N/A

• Supplier does not tolerate physical abuse of workers.

  Yes

  No

  N/A

• Supplier does not tolerate sexual abuse of workers.

  Yes

  No

  N/A

• Supplier does not tolerate harassment of workers.

  Yes

  No

  N/A

• Supplier does not discriminate against workers based on gender.

  Yes

  No

  N/A

• Supplier does not discriminate against workers based on age.

  Yes

  No

  N/A

• Supplier does not discriminate against workers based on race.

  Yes

  No

  N/A

• Supplier does not discriminate against workers based on religion.

  Yes

  No

  N/A

• Supplier does not discriminate against workers based on ethnicity.

  Yes

  No

  N/A

• Supplier does not discriminate against workers based on national origin.

  Yes

  No

  N/A

• Supplier does not discriminate against workers based on political affiliation.

  Yes

  No

  N/A

• Supplier does not discriminate against workers based on social status.

  Yes

  No

  N/A

• Supplier does not discriminate against workers based on sexual orientation.

  Yes

  No

  N/A

• Supplier does not discriminate against workers based on disability.

  Yes

  No

  N/A

• Supplier does not discriminate against workers based on actual or perceived HIV status.

  Yes

  No

  N/A

• Supplier does not discriminate against workers based on legal migrant worker status.

  Yes

  No

  N/A

Control Over Identity Documents

• Supplier allows workers to maintain control over their original identity documents and does not withhold any original worker identity document.

  Yes

  No

  N/A

• Supplier implements hiring practices that accurately verify workers age and legal right to work in the country prior to employment.

  Yes

  No

  N/A

HEALTH & SAFETY

Worker Health

• Workers are provided with personal protective equipment appropriate for the work they do.

  Yes

  No

  N/A

• Personal protective equipment are provided to all workers free of charge.

  Yes

  No

  N/A

• Supplier has an accident book in which all accidents, however minor, are recorded.

  Yes

  No

  N/A

• Supplier has taken steps to prevent reoccurrence of these accidents.

  Yes

  No

  N/A

• Supplier has well-stocked first aid boxes in every area of the production site.

  Yes

  No

  N/A

• First aid boxes are accessible to anyone at anytime (not locked).

  Yes

  No

  N/A

• Each shift is covered by a trained first aider.

  Yes

  No

  N/A

• Supplier has further medical facilities/ sick room on site.

  Yes

  No

  N/A

• Workers are aware of where and how to access further medical facilities (on site and off site) in case of an emergency.

  Yes

  No

  N/A

• Supplier has an HIV-AIDS written policy.

  Yes

  No

  N/A

• All employees are aware of the HIV-AIDS policy.

  Yes

  No

  N/A

• Supplier has a procedure on how to make employees aware of the HIV-AIDS policy.

  Yes

  No

  N/A

• Supplier has a HIV-AIDS workplace program for employees.

  Yes

  No

  N/A

• The HIV-AIDS workplace program covers the basic components as required by the law.

  Yes

  No

  N/A

Health & Safety Training

• Workers receive health and safety training relevant to their job.

  Yes

  No

  N/A

• Coverage of health and safety training is provided.

  Yes

  No

  N/A

• Supplier keeps records of health and safety training.

  Yes

  No

  N/A

Health & Safety Management

• Supplier has a senior manager responsible for health and safety.

  Yes

  No

  N/A

• Name is provided (workers know who the person is).

  Yes

  No

  N/A

• Position is provided.

  Yes

  No

  N/A

• Supplier has a health and safety committee in which workers are represented.

  Yes

  No

  N/A

• Workers are aware of all health and safety laws and regulations relevant to the workplace.

  Yes

  No

  N/A

• Supplier has ways to keep employees informed about changes in health and safety regulations.

  Yes

  No

  N/A

• Supplier carries out health and safety risk assessment.

  Yes

  No

  N/A

• High-risk areas have been identified.

  Yes

  No

  N/A

• Action plans for high-risk areas have been developed and implemented.

  Yes

  No

  N/A

FREEDOM OF ASSOCIATION

Management Review

• Supplier management reviews national or state facility laws and regulations.

  Yes

  No

  N/A

• Supplier management reviews relevant industry-approved operating orders.

  Yes

  No

  N/A

• Supplier management reviews national labor or state laws, regulations and policies pertaining to labor rights.

  Yes

  No

  N/A

• Supplier management reviews labor contractor agreements.

  Yes

  No

  N/A

Worker Representatives

• Supplier and facility management gives worker representatives access to the workplace to carry out their representative functions in accordance with local law.

  Yes

  No

  N/A

• Supplier respects the right of workers to choose whether to lawfully and peacefully form or join trade unions of their choosing, and to bargain collectively.

  Yes

  No

  N/A

Training

• Supplier trains their managers and supervisors in freedom of association compliance laws, and workers receive instruction on their legal rights and company standards.

  Yes

  No

  N/A

Rights

• Supplier does not prevent workers from exercising their rights to freely associate and collectively bargain as protected by local law. Workers are able to form, join, and maintain trade unions in accordance with local laws.

  Yes

  No

  N/A

• Supplier prohibits any action that suppresses freedom of association of workers, and supplier is aware that such action may be illegal under some countries' labor code.

  Yes

  No

  N/A

Retaliation

• Supplier does not punish workers for supporting free association or collective bargaining.

  Yes

  No

  N/A

• Supplier does not retaliate against workers because they have raised issues regarding compliance with any legal collective bargaining agreement.

  Yes

  No

  N/A

Restriction by Law

• Where the right to freedom of association and collective bargaining is restricted by law, the supplier does not hinder the development of legal alternatives.

  Yes

  No

  N/A

Discrimination

• Supplier does not unlawfully discriminate against workers or their representatives due to their membership in, or affiliation with a legal trade union.

  Yes

  No

  N/A

DORMITORIES & CANTEENS

Management Review

• Supplier management reviews national, state and/or local labor laws and regulations for dormitories and canteens.

  Yes

  No

  N/A

• Supplier management reviews building construction approvals.

  Yes

  No

  N/A

• Supplier management reviews fire safety approvals.

  Yes

  No

  N/A

• Supplier management reviews dormitory/canteen rules and regulations.

  Yes

  No

  N/A

Storage & Handling of Food

• At the supplier's canteens, food is stored in containers made of material that is graded as food grade and qualified to store or serve food. Chemical and other containers are not used to store, prepare, or serve food.

  Yes

  No

  N/A

• Food is handled and stored in sanitary fashion.

  Yes

  No

  N/A

• Food is prepared and served in different areas.

  Yes

  No

  N/A

Security

• Dormitories and canteens are secure.

  Yes

  No

  N/A

• The dormitory/ canteen have security measures to protect workers and workers' property.

  Yes

  No

  N/A

• The facility provides a lockable space with at least 0.5 cubic meter storage to each worker.

  Yes

  No

  N/A

• Suppliers ensure that the facilities are safe, healthy and sanitary.

  Yes

  No

  N/A

Management of Facilities

• The dormitory or canteen complies with all applicable occupancy, health, sanitation and safety rules.

  Yes

  No

  N/A

• The facility management obtains and maintains valid construction approvals for dormitory and canteen facilities.

  Yes

  No

  N/A

• The facility management obtains valid fire licenses for dormitory and canteen facilities.

  Yes

  No

  N/A

• The facility management obtains and maintains proper and valid zoning permits.

  Yes

  No

  N/A

• The facility management ensures that all areas of the dormitory/ canteen facilities are safe and sanitary and maintained in a functional and clean condition.

  Yes

  No

  N/A

• The facility management ensures that hazardous or flammable chemicals, and combustible materials are not stored in or on the roof of the dormitory or canteen.

  Yes

  No

  N/A

• The facility management keeps the premises of dormitory and canteen facilities clear enough to allow proper access by fire-fighting and emergency responders and their equipment.

  Yes

  No

  N/A

Canteen Sanitation

• Supplier ensures that the canteen is equipped with cooking facilities.

  Yes

  No

  N/A

• Supplier ensures that the canteen is equipped with mechanical refrigeration.

  Yes

  No

  N/A

• Supplier ensures that the canteen is equipped with sinks with hot and cold running water.

  Yes

  No

  N/A

• Supplier ensures that the canteen is equipped with proper lighting and ventilation.

  Yes

  No

  N/A

• Food preparation, cooking, and serving area floors, surfaces, and equipment are to be kept clean and sanitary.

  Yes

  No

  N/A

• All food service workers have current health certificates as required by law.

  Yes

  No

  N/A

COMPLIANCE WITH LAWS

Management Review

• Supplier management reviews national and/or state facility rules and regulations.

  Yes

  No

  N/A

• Supplier management reviews relevant industry-approved operating orders.

  Yes

  No

  N/A

• Supplier management reviews permits and licenses including but not limited to labor, hiring, health and safety, machinery and environment.

  Yes

  No

  N/A

Unauthorized Subcontracting

• Supplier does not engage in unauthorized subcontracting. Subcontracted facilities are not used without prior authorization by Walmart.

  Yes

  No

  N/A

• Supplier discloses subcontracting to Walmart in advance. Supplier has an affirmative duty to discover and disclose all facilities within their supply chain. Disclosure requires Walmart to be provided with: subcontracted facility name, location, contact information, brief description of the actions taken by that facility, and for the information to be kept accurate.

  Yes

  No

  N/A

Origination of Materials

• Suppliers and facilities maintain inventory and production records to document the origin and place of production of incoming materials.

  Yes

  No

  N/A

• Facilities maintain chain of custody documents showing that raw materials were obtained from legal harvests consistent with local law.

  Yes

  No

  N/A

• Facilities maintain chain of custody documents showing that raw materials were obtained from legal harvests consistent with national law.

  Yes

  No

  N/A

• Facilities maintain chain of custody documents showing that raw materials were obtained from legal harvests consistent with international treaties.

  Yes

  No

  N/A

• Facilities maintain chain of custody documents showing that raw materials were obtained from legal harvests consistent with protocols.

  Yes

  No

  N/A

Licenses & Permits

• Supplier licenses (including facility licenses) and permits must be valid and up-to-date.

  Yes

  No

  N/A

• Supplier licenses (including facility licenses) and permits must reflect the correct facility/business information.

  Yes

  No

  N/A

• Supplier licenses (including facility licenses) and permits must be current for machine operators and machinery.

  Yes

  No

  N/A

• Supplier licenses (including facility licenses) and permits ensure that internal regulations/ standing orders are up-to-date and posted on the notice boards.

  Yes

  No

  N/A

• In case of renewal of licenses and permits, supplier maintains all valid documentation of applications that are in progress, such as payment receipts and copies of application renewal forms and confirmations.

  Yes

  No

  N/A

Full Compliance with Laws

• Supplier fully complies with all applicable laws, including but not limited to laws related to work hours.

  Yes

  No

  N/A

• Supplier fully complies with all applicable laws, including but not limited to laws related to wages.

  Yes

  No

  N/A

• Supplier fully complies with all applicable laws, including but not limited to laws related to labor relations.

  Yes

  No

  N/A

• Supplier fully complies with all applicable laws, including but not limited to laws related to immigration.

  Yes

  No

  N/A

• Supplier fully complies with all applicable laws, including but not limited to laws related to foreign labor.

  Yes

  No

  N/A

• Supplier fully complies with all applicable laws, including but not limited to laws related to health and safety.

  Yes

  No

  N/A

• Supplier fully complies with all applicable laws, including but not limited to laws related to environment.

  Yes

  No

  N/A

• Supplier adheres to the most stringent applicable requirement when there are differences between local, regional, and national laws, and the Standards for Suppliers.

  Yes

  No

  N/A

• Suppliers and their designated manufacturing facilities must fully comply with all applicable national and/or local laws and regulations.

  Yes

  No

  N/A

Factory Visibility

• Suppliers have designated an employee or employees who are responsible for facility compliance with applicable laws and standards.

  Yes

  No

  N/A

• The designated employees have sufficient visibility of facility operations to ensure compliance at the facility level.

  Yes

  No

  N/A

COMPENSATION

Management Review

• Supplier management reviews government/ labor department issued notifications on wages according to relevant class of industry and category of workers if applicable.

  Yes

  No

  N/A

• Supplier management reviews national, state, and/or regional facility laws and regulations.

  Yes

  No

  N/A

• Supplier management reviews relevant industry-approved operating orders.

  Yes

  No

  N/A

• Supplier management reviews national, state and/or local labor laws, regulations and policies pertaining to wages and labor.

  Yes

  No

  N/A

• Supplier management reviews labor contractor agreements.

  Yes

  No

  N/A

• Supplier management reviews worker wage records in the facility.

  Yes

  No

  N/A

• Supplier management reviews payslips.

  Yes

  No

  N/A

Wages

• Supplier compensates workers with wages, overtime premiums and benefits that either meet of exceed the applicable legal standards or labor agreements, whichever are higher.

  Yes

  No

  N/A

• Supplier compensates workers on probation, undergoing training, or participating in an apprenticeship program with wages that meet or exceed the applicable legal minimum wage.

  Yes

  No

  N/A

• Supplier compensates workers on a per-piece payment scheme with at least the minimum wage.

  Yes

  No

  N/A

• Supplier ensures that workers understand how their wages are calculated.

  Yes

  No

  N/A

Wage Payment Cycles/ Dates

• Wage period does not exceed 15 days.

  Yes

  No

  N/A

• Wages are disbursed according to payment periods specified by legal regulations.

  Yes

  No

  N/A

Leave, Benefits & Work Holidays

• Suppliers provide and make sure that workers are made aware of and entitled to their legally required benefits.

  Yes

  No

  N/A

• Suppliers provide and make sure that workers are made aware of and entitled to their legally required bonuses.

  Yes

  No

  N/A

• Suppliers provide and make sure that workers are made aware of and entitled to their legally required leaves (such as but not limited to statutory holidays, sick leave, annual leave).

  Yes

  No

  N/A

• Suppliers excuse workers from work on all legally required work holidays.

  Yes

  No

  N/A

Documentation of Compensation

• Supplier ensures that pay slips are in a local language or a language understood by majority of the workers.

  Yes

  No

  N/A

• Supplier provides accurately calculated proof of payment that clearly shows regular and overtime hours worked, regular and overtime rates and wages, leaves, bonuses, and deductions.

  Yes

  No

  N/A

• Supplier ensures that workers sign a confirmation of receiving pay in a format that is documented, retrievable, and verifiable (electronic, hard copy, etc.).

  Yes

  No

  N/A

Deductions

• Supplier ensures that only legally-allowed deductions are made from workers' wages.

  Yes

  No

  N/A

• Deductions are not excessive.

  Yes

  No

  N/A

• Workers are not disciplined by deducting from the worker's wages.

  Yes

  No

  N/A

• Signature of Auditor:

  Sign

• Signature of Auditee (1):

  Sign

• Signature of Auditee (2):

  Sign