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SBD SA Manual 3_4 English and Simple Chinese _Release

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Sustainability & Social Accountability Manual 永续经营与社会责任指南

Version 3.4 /版本 3.4 English/简体中文 (Release)

May-2011
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Table of Contents目录 Sustainability & Social Accountability Manual 永续经营与社会责任指南
Section 1 : Introduction 简介 Section 2 : Standards for suppliers (code of conduct) 供货商标准 Section 3 : Audit procedures 审核程序

Appendices 附录
A – Document requirements 文件要求 B – Area of emphasis during audit 重点审核范围 C – Reports / corrective action plan 审核报告/改善计划 D – Contact information 联络数据

Documents 附加文件
? Supply chain statement 供应链声明书 ? Code of conduct acknowledgement page 行为守则确认书

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Sustainability & Social Accountability Program for Suppliers Introduction 简介
The Social Accountability program at Stanley Black & Decker (SBD) has been in effect for several years and is based on our Supplier Standards. These are continually updated to reflect the sensitivities of an ever-closer global community. The program is aimed at ensuring that products, components, packaging and services provided by suppliers are from facilities that comply with these standards. 依据史丹利百得供货商标准, 史丹利百得 (SBD)已经执行社会责任审核计划多年, 此程序不断被更新改进以反映全球社会之敏感度。此程序是针对确保采买之产品, 零件, 包装和服务的供货商能在遵循此标准下生产。 Stanley Black & Decker’s Supplier Standards cover health and safety issues, compensation, working hours, forced labour, child labour, discrimination, compliance with applicable national laws; environmental considerations, sustainability considerations and the right of inspection by SBD or our designated third party. The Social Accountability audit program is designed to ensure that manufacturers are producing products in a manner consistent with Stanley Black & Decker’s Supplier Standards. 史丹利百得供货商标准涵盖健康, 安全,薪资,工时, 强迫劳工, 童工,歧视,要求遵循 当地国家法律,环境要求,推动永续经营,并定义史丹利百得或第三方审核之权利。 社会责任审核程序适用于保证制造商在稳定地符合史丹利百得供货商标准下生产 产品。 The Social Accountability program for suppliers has three fundamental objectives: 社会责任计划有三个基本目标 1. To verify current management practices and that conditions in all facilities have met or exceed the standards for suppliers 证明所有管理实践与现状 符合或高于供货商标准

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2. To educate supplier factories regarding domestic legal requirements and the additional requirements embodied in our standards 引导工厂注重当地 法律要求并加注要当地法令求于我公司的标准内

3. To implement necessary changes that will result in an improved quality of life for the workers who provide our company with products, components, packaging and services. 要求供应我公司产品, 零件, 包装和服务之供货商, 投入需要之改善以提升劳工生活质量 This new manual reflects our current minimum standards, and those of our customers and end users of our products. 这本指南体现出来自的我们客户和产 品的最终用户者的最低标准。 CODE OF CONDUCT 行为准则 Stanley Black & Decker is committed to dealing with ethical trading partners. Our suppliers must comply with the highest standards of ethical and legal behaviour prevailing in their respective locations as a condition of their continuing business relationship with our company. 史丹利百得保证和有伦理观的合伙人合作。 我们的供货商必须在符合当地最高的 伦理标准和有合法作为, 依此为我公司和他们继续的商务关系的条件 。 It is expected that the management of our suppliers will embrace our values for themselves, their workforce and their suppliers. 我们期盼供货商管理阶层能坚守 此价值来面对他们自己,劳工和上游供货商。 The standard covers six key areas: 此标准包含六个领域: 1. Employment Conditions 雇用条件 2. Workplace Condition 工作场所条件 3. Environmental Requirements 环境要求 4. Legal Requirements 法律要求 5. Right of Inspection 检查的权利 6. Sustainability 永续经营

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Sustainability & Social Accountability Standards for Suppliers 1. Employment Conditions 雇用条件
COMPENSATION 薪资 Suppliers must fairly compensate their employees by paying legal wages and benefits whilst meeting local manufacturing standards. 供货商必须在符合当地生产法令下合理支付工资和福 利给雇员。 WORKING HOURS 工时 Suppliers must maintain reasonable employee work hours in compliance with local standards and applicable laws of the jurisdictions in which the suppliers operate. In general the factory should be working toward achieving a 60-hour working week (Maximum standard weekly working hour of 48 hours and not exceeding weekly over time of 12 hours) Stanley Black & Decker will not use suppliers who, on a regularly scheduled basis, require employees to work in excess of the statutory requirements without proper compensation as required by applicable law. Employees should be permitted reasonable days off (at least one day off for every seven-day period) and leave privileges. 供货商必须将按照当地规范和法令管理雇员工作 时数。在一般通用条件下, 工厂应趋向每周工时60小时内 (标准每周工时48小时, 并不超时每周 12小时加班) 。史丹利百得不与经常性要求员工超过法定要求工时并不给付合理工资的供货商 合作。 雇员应该有合理的休假(每个7天至少一个休假日),拥有请假的基本权利。

CHILD LABOUR童工 Suppliers must not use child labour. Using child labour may subject the supplier to immediate termination of the business relationship with Stanley Black & Decker. The term “child” refers to a person younger than 16 unless there is a local law specifying the local legal minimum age for employment. Suppliers must have recruitment policies in place that look to employ workers above these minimums where possible and check for the validity of the ID of the potential employee. 供货商不得使用童工。 使用童工可能遭受史丹利百得立即终止和供货商的 商务关系。”童工” 意指不足当地法定最低年龄要求 或 不足16岁年龄的工人。 供货商必须有适 当的征人政策,以确认雇用员工符合最低工作年龄,并且检查可能雇用员工身分证的有效性。

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FORCED AND PRISON LABOUR 强迫劳工/ 监狱劳工 Employment must be voluntary. Forced or prison labour will not be tolerated. This applies to labour used in contracting, subcontracting or other manufacturing relationships. 指派工作一定 是自愿下进行。 被强迫或监狱劳工不被容许。 这项要求涵盖契约工,上游供货商,及其他生 产加工关系者。 BASIC WORK RIGHT 基本工作权 Suppliers must not take unreasonable wage deductions or deposits, or hold worker identity papers making it impossible for workers to leave of their own free will. 供货商不应该不合理地 扣除工资或者要求押金,或者扣押工人身分证使工人无离开自由。

DISCRIMINATION 歧视 Workers must be employed based on their ability to perform the job, not on personal values and benefits. Our suppliers must be committed to basic principles of human rights. Suppliers should not discriminate against workers in hiring practices or during employment on the basis of race, colour, national origin, gender, religion, disability, sexual orientation or political belief. 工人必须被基于他们的能力执行工作,无关于个人价值和利益下被雇用。 供货商应该确障基本 人权。供货商不能制定雇用条例或工作要求造成员工种族,肤色,国籍,性别,宗教,生理残 障,性定向或者政治信仰之歧视。 DISCIPLINARY PRACTICE 惩戒条例 Stanley Black & Decker will not do business with a supplier that uses physical or mental punishment in their employment practices. 史丹利百得不与在雇佣条例制定身理或者精神处罚 的供货商建立生意关系。

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Sustainability & Social Accountability Standards for Suppliers 2. Workplace Conditions 工作场所条件
Suppliers failing to provide satisfactory working conditions for their employees jeopardise their business relationship with Stanley Black & Decker. 供货商如不能提供令人满意的工作场所给 雇员将危及他们的与史丹利百得的商务关系。 PROTECTIVE EQUIPMENT 保护设备 Suppliers must provide safe and healthy working conditions. Suppliers should make use of personal protection equipment such as eyewear and hearing protection, respirators and protective clothing as indicated by the work environment and work requirements. 供货商必须 提供安全和健康的工作环境。供货商应提供安全设备,例如护目镜,保护听觉,面具,防护衣 依指定工作环境以符合工作要求。 SAFE WORKING EQUIPMENT 安全的工作环境 Manufacturing facilities must have adequate ventilation, well-lit workstations, clean restrooms, an infirmary or other place for medical treatment, fire exits, suitable living quarters when necessary and other safety precautions. 生产设施必须有足够的通风,明亮的工作场地,清洁 的洗手间,配有医务室或者区域提供医务,有紧急逃生门,和其他安全预防措施所需的活动空 间。 MACHINE GUARDING 机器安全装置 All machinery must have adequate safety guarding to allow safe operation by any employee and eliminate the potential for misuse. Suppliers should upgrade basic machine manufacturer fitted guarding to follow best practice where more effective systems are available. Details of any ‘lock out – tag out’ programmes, electrical safety programmes and incident reporting programmes should be available. 全部机器必须具有适当的安全防护装置使任何雇员得以安全 操作并且防止错误使用。 供货商应改良机器以具备安全防护装置能更有效方式保*踩Sτ 祥细的 “断电上锁-挂牌” 之安全程序, 电力安全程序, 工安事故报告。 EMERGENCY EXITS 紧急逃生门

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The emergency exit doors must be able to open freely at all times without any special knowledge to open. The designated route to the emergency exit must be clear at all times. 紧 急逃生门无须特殊技能便能快速打开。往紧急逃生门之路线必须随时无任何阻碍。 DORMITORY SAFETY 宿舍安全 Suppliers must provide proper fire prevention and protection equipment in all dormitories according to the local law. 供货商必须根据当地地法律在全部宿舍内提供适当的防火设备。 DORMITORY LOCATION 宿舍的位置 Dormitories must not be in the same building as production or assembly of products and components. 宿舍不可和生产产品或组装产品的生产线在的同栋建筑物内。

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Sustainability & Social Accountability Standards for Suppliers 3. Environmental Requirements 环境要求
? ? ? We seek suppliers that share our commitment to environmental excellence. 我们要求供 货商和我们共同承诺对环境优化愿景。 Suppliers must work to applicable local environmental standards. 供货商必须符合当地 环境标准。 An environmental policy must be in place to manage all of the supplier’s environmental considerations. Policies and actions should follow from this. 必须有一环境政策管理所 有工厂环境事务。 有程序和流程图能遵循此政策。 Suppliers must ensure that employees are not exposed to toxic materials directly. 供货 商必须保证雇员不直接暴露于有毒物质下。 Suppliers must fully understand current global material restriction legislation such as the EU ROHS/REACH or US Proposition 65 legislation. Non conforming components must not be used in our products. The requirements of the Stanley Black & Decker Standard ES100118 on restricted and banned substances must be fully met. 供货商需 完全了解RoHS/REACH或US Proposition 65法令, 不得让不符合之零件安装于我公司产 品上。完全符合史丹利百得ES100118之禁用和限制材质要求。 Suppliers must be aware of the current list of “substances of very high concern” as defined by the EU REACH legislation and the US Proposition 65 chemical list. Suppliers must inform Stanley Black & Decker if such substances are being used or included in products supplied to Stanley Black & Decker. 供货商必需了解 REACH 和 US Proposition 65 化学名单之高关注物质。供货商必需通知史丹利百得如果有任何高关 注物质被使用于我公司产品。 Hazardous materials must be safely stored in a separate location and in line with manufacturers’ recommendations and local laws. Incompatible hazardous materials must not be stored together. 危险材料必须被安全存放在一个独立的位置,且与材料制 造商和当地法规建议一致。 不相容的危险的材料不可一同被储放。 Suppliers are encouraged to reduce excess packaging and to use recycled materials. 鼓励供货商减少多余包装并使用可回收材料。

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Suppliers are expected to give preference to the purchase of wood and wood products originating from Certified, Well-Managed sources such as the Forest Stewardship Council. 我们要求供货商能提供木料采购和木料产品的符合FSC(森林管理委员)之证 明。 Suppliers should provide copies of all relative environmental permits relating to their operations such as but not limited to waste water, air emission, solid waste and noise at boundary. 供货商必需能提出相关生产之环境许可证如 废水处理, 空气排放, 废弃物处 理和噪音范围。 Suppliers should provide copies of Environmental Management Programs or Environmentally related projects. Suppliers are encouraged to have an EHS Management system such as ISO 14001 and ISO 18001. 供货商应提出环保计划或环 境相关案件复本。鼓励供货商取得 ISO 14001 和 ISO 18001 认证。

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Sustainability & Social Accountability Standards for Suppliers 4. Legal Requirements 法律要求
? Suppliers are required to comply with all contract provisions and applicable laws, regulations and import requirements of the countries in which they operate and the countries in which the products we purchase from them are to be sold. 供货商需要全部 符合生产国家与产品销售国家之合约规定,法律,法令和进口要求 。 Suppliers must guarantee that all products sold to Stanley Black & Decker do not infringe on any patent, trademark or copyright and will provide upon request all necessary licenses. 供货商必须保证出售给史丹利百得全部产品都不侵犯任何专利, 商 标或者版权并将按要求提供全部必要许可证。 Suppliers must ensure that all products are accurately marked or labelled with its country of origin in compliance with the laws of the country of manufacture and the countries in which the products we purchase from them are intended to be sold. 供货商 必须保证全部产品被正确标明或贴标说明制造国家, 并符合生产国家和产品销售国之法 律。

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Sustainability & Social Accountability Standards for Suppliers 5. Right of Inspection 检查的权利
? To assure proper implementation of and compliance with the standards set out in the Standards for Suppliers, Stanley Black & Decker or a third party designated by Stanley Black & Decker will undertake affirmative measures, such as on-site inspection of production facilities, to implement and monitor these standards. 为了保证适当的实施 供货商标准,史丹利百得或者指定的第三方审核者将从事审查, 例如现场生产设施检 查,以确认有实施和管控此标准。 Any suppliers that fail or refuse to comply with these standards or do not allow inspection of production facilities is subject to immediate cancellation of any and all outstanding orders, or return of any shipment, and otherwise cease doing business with Stanley Black & Decker. 任何供货商无法符合或拒绝符合这些标准,或者不允许对 生产设施检查可造成史丹利百得取消任何和未完成订单,退运,和停止其他模式之商务 关系。

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Sustainability & Social Accountability Standards for Suppliers 6. Sustainability Requirements 永续经营要求
? Suppliers must use their best efforts to minimize waste generation, emissions and
energy usage including water. 供货商必需尽其所能减少产生废弃物, 碳排放, 降低能源 需求和水资源使用。

? Suppliers should provide an official policy for energy usage and emission control. 供货
商应能正式提出能源使用和碳排放控制政策。

? Suppliers should train their employees in energy saving and emission control. 供货商
应培训员工如何节能和减碳。

? Suppliers should measure their energy usage including water and set energy
reduction targets that are reviewed and revised on a regular basis. 供货商应收集记录 能源使用量和水资源使用量并提出减量目标. 并定期评估。

? Suppliers should measure their greenhouse gas emissions and solid waste generated
and have plans in place to reduce these. 供货商应量测碳排放量和废弃物产生量并定 订减量目标。

? Suppliers should encourage their sub contractor suppliers to adopt low energy usage
and gas emission control policies. 供货商应鼓励其上游供货商执行能源节约和减少碳 排放政策。 ? Suppliers should have a waste management policy that is reviewed on a regular basis. 供货商应定期评估废弃物管理成效。

? Suppliers should provide a plan that shows how they plan to reduce their gas
emissions including targets that are reviewed regularly. 供货商应提出碳排放减量计划, 定订目标并定期评估成效。

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? Suppliers should only sell their wastes to purchasers who are approved under local
government requirements. 供货商应只透过当地政府核准厂商处理废弃物。

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Sustainability &Social Accountability Audit Procedure永续经营与社会责任审核程序 Procedure Map 流程图

(*). If the result is Orange, the re-audit plan will be reviewed urgently with the supplier

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Sustainability &Social Accountability Audit Procedure 永续经营与社会责任审核程序 I. Audit Type 审核类型
SELF ASSESSMENT 自我评估 Before the formal audit, Stanley Black & Decker will provide the self-assessment form to the supplier. The supplier must ensure that the self-assessment report is returned to Stanley Black & Decker in a timely manner prior to the formal audit. 在正式的审核之前, 史丹利百得给 与供货商一份自我评估表, 供货商必须完成自我评报告并时间内回传给史丹利百得。 . The self-assessment is also used to make sure the supplier fully understands Stanley Black & Decker’s expectations. The supplier must provide a self-assessment on an annual basis. This is to ensure continued recognition of the requirements of the standards and to cover changes in factory management. 自我评估也被用来确认供货商完全理解史丹利百得要求。 供 货商必须每年度提供自我评估。 以此确认工厂管理持续了解与符合此标准的要求。 INITIAL ON SITE AUDIT 初审 Any new factory planned to produce Stanley Black & Decker components or products is required to be audited before the start of supply. The resulting assessment may require a follow-up schedule for re-audit. 任何新合作厂商开发案启动之前,都被要完成审核通过。 必要 之重审可能需要拟定一份时间表。 RE AUDIT (ON SITE) 重审 If a factory requires a re-audit, it should be scheduled once the corrective actions identified in the letter accompanying the audit findings are documented as implemented. Photo evidence will be provided ahead of the audit to help the re-audit process. 当一厂商评于正式信函通知应 重审, 重审时间应于改善行动完成之后, 照片之证据应于重审前提供以利完成重审程序。 During a re-audit, the auditor will be checking on issues that originally caused the factory to receive the initial assessment. If all the issues are corrected, then the factory will be assigned an appropriate new rating. However, occasionally the auditors notice some other nonconformance during the re-audit. In such cases, the auditor will evaluate and document the new violations carefully. 在重审时,审核员将检查原先厂商审核之问题事项。 如果问题事项被 改善完成, 厂商将被拟定一份更新审核结果。 即便如此,审核员仍可能发现其它违反事项。 因此,审核员应仔细评估和记录新违反事项。

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REQUALIFICATION AUDIT (ON SITE) 重新(现场)认证 All Green and Yellow rated factories will be a re-audited on a regular basis to ensure ongoing compliance with the standards or CAP improvements have been implemented. The auditing timing schedule is between 1 and 3 years outlined in the assessment definitions section of the manual. 所有绿灯和黄灯厂商将于于1~3年内被重审以确认仍然符合标准或执行改善计划。

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Sustainability &Social Accountability Audit Procedure永续经营与社会责任审核程序 II. Audit Process 审核过程
THE AUDIT 审核 It is preferred that audit teams are conversant in the local language. The audit will be conducted in the local language. 审核团队应熟悉当地语言。 审核将以当地语言下进行。 OPENING MEETING 开场 When auditors first arrive at the factory and meet with factory management, factory management should provide the completed factory questionnaire that is included in the factory audit packet forwarded to each supplier. Auditors will confirm all factory information submitted for verification. 当审核员与工厂管理阶层会面时,工厂管理阶层应该提供完成之自我 评估。 审核员会与厂商确认内容。 FACTORY TOUR 工厂巡视 On concluding the opening meeting, the auditor will conduct a factory walk-through. Typically, the auditor conducts the walk-through with minimal assistance from factory management. Minimal oversight allows the auditor to perform the audit in the most efficient way possible. Obviously, time allocated to this portion of the audit varies substantially depending on the size of the factory. 当开场会议完成,审核员将进行工厂巡视。 通常,审核员只需透过少许工厂管 理阶层协助。此少许协助即可帮助审核员以最有效率方式执行审核。 审核时间基本上与厂商大 小相关。 Auditors will speak with factory employees briefly on the production floor, asking questions regarding the operation of machinery as well as other issues impacting Stanley Black & Decker’s Supplier Standards. Additionally, auditors may measure spaces, test fire equipment and other equipment under controlled conditions, as well as checking general maintenance records. 审核员将在生产在线短暂与工厂雇员谈话, 问及影响史丹利百得厂商标准与机器的操 作之问题。 另外,审核员可能测量空间大小,测试消防设施和相关设施,以及检查管理记录。

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Upon completion of the walk-through, auditors will request documentation related to personnel, time, and pay records. Payroll review varies depending on the size of the factory. 当工厂巡视完成时,审核员将要求与人员,工时,支薪记录有关的文件。支薪检阅依厂商大小 而定。 EMPLOYEE INTERVIEWS 面谈

Employee interviews are accepted as an industry standard in assessing code of conduct (supplier standard) issues. Stanley Black & Decker considers the input of employees an integral component of the audit process. Findings and observations are verified through such interviews. 员工面谈被视为符合工业标准之行为准则(供货商标准)。史丹利百得认为员工的回 馈属审核过程的不可缺少的部分。审核之结论和观察会被透过面谈给予证实。 Employee interviews are conducted away from the production floor in a private area. Ideally, factory management should provide a private room. Under no circumstances are interviews conducted with factory management or their representatives present. The objective of these interviews is to find out what the worker has to say relevant to the audit. 员工面谈应于生产线 外的非公开区域内进行。 最好,工厂管理阶层应该提供一个私人会议室。员工面谈需不在工厂 管理阶层和代表旁下进行。员工面谈目的是让员工人说出和此审核相关事项。 Interviews typically take between 5 and 15 minutes. No less than 5 workers and no more than 15, depending on the size of the factory, are interviewed (take guidance from ECS). Ideally, interviews are representative of the male/female mix in the factory as well as the distribution of the departments present in the factory, although it is preferable to interview workers in key production positions. Typically, auditors will identify individuals for interviewing during the walk-through of the factory. Some workers may, however, be requested for interviewing as a result of observations surfaced in the document review portion of the audit. 面谈通常在5 和15 分钟之间完成。取决于工厂的规模决定面谈人数,(依ECS)不少于5名和最多 15员工面谈。虽然建议和关键职位员工面谈, 面谈理论上应体现工厂男性/女性混合比和各部门 的分布。 通常,审核员在工厂巡视时指定被访谈者。不过,被访谈者也可能于审核文件内指定 出来。

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FACTORY RECAP VISIT 工厂审核扼要重述

The audit findings are summarized in a closing meeting with the factory’s management. 审核 员得以工厂访问扼要重述审核总结。 If there are major violations noted that are out of compliance with Stanley Black & Decker Supplier Standards (Orange issues), immediate corrective action will be discussed with factory management. 特别是如果有违反史丹利百得供货商标准(橙灯)将在此 时讨论并要求改善行动。 This recap is formalized in a corrective action plan. Auditors are required to send a copy of the signed audit findings to the factory management in 5 working days after the audit so that the factory has a record of the deficiencies observed during the audit. This will include photo evidence where applicable.这扼要重述在改善行动计划内被确认下来。 审核员需5个工作日内 送出签名完之结论报告使厂商得以留下审核时之记录。 这将包括照片证据。

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Sustainability &Social Accountability Audit Procedure永续经营与社会责任审核程序 III. Assessment Definition 评估结果定义
All factories are inspected to confirm that components or products being produced are in factory conditions that meet Stanley Black & Decker supplier standards. 所有厂方都在审核后 确认产品或零件都在符合史丹利百得厂商标准下生产。

Once a factory is inspected and audited for compliance, it is given an audit rating. The rating criteria are discussed below: 一旦厂商完成审核,都会给一份评估报告。 审核总评被分为︰ ? ? ? ? Green 绿灯 Yellow 黄灯 Orange 橙灯 Red 红灯

GREEN (FULLY APPROVED) 绿灯(完全符合) The following are some of the consequences when a factory receives a ‘Green’ rating: 当厂商 被评为绿灯时,下列是后续结果︰ ? ? ? ? ? Re-qualification Audit is required 仍需要安排重新认证 Current orders can ship 目前订单能出货 Future orders can be placed 能发行新订单 New Product can be developed 能开发新产品 No need to provide CAP to Stanley Black & Decker. 无需提供改善计划给史丹利百得

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Sustainability &Social Accountability Audit Procedure永续经营与社会责任审核程序 III. Assessment Definition 评估结果定义
YELLOW (SOME VIOLATIONS NEED CORRECTIVE ACTION) 黄灯(有部分需改善) The following are some of the consequences when a factory receives a ‘Yellow’ rating: 当厂商 被评为黄灯时,下列是一些后续结果︰ ? ? ? ? ? ? The supplier improves in 1 year 供货商一年期间改善 Re-qualification Audit is required 仍需要安排重新认证 Current orders can ship 目前订单能出货 Future orders can be placed 能发行新订单 New Product can be developed 能开发新产品 CAP must be received in 30 calendar days from the initial audit date. Before the CAP closure date the factory should conduct a self-assessment. 改善计划需在30日内收到。 在改善计划关闭前,厂商应做自我评估确认全部事项完成。

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Sustainability &Social Accountability Audit Procedure永续经营与社会责任审核程序
Orange (SOME HIGH-RISKY VIOLATIONS NEED IMMEDIATE CORRECTIVE ACTION) 橙灯 (有高风险违反, 需立即采取改善行动) The following are some of the consequences when a factory receives an ‘Orange’ rating: 当供 货商被评为橙灯, 有以下结果 ? ? ? ? ? ? ? The supplier improves in 180 days 供货商180天期间改善 Stanley Black & Decker could conduct a re-audit to the supplier to update assessment result. 史丹利百得执行重审以更新审核结果 Current orders can ship 目前订单能出货 Future orders can be placed 能发行新订单 New Product can be developed 能开发新产品 3 continue audits have Orange will turn the assessment result to Red 连续3次橙* 结果变成红灯 CAP must be received in 30 calendar days from the initial audit date. Before the CAP closure date the factory should conduct a self-assessment. 改善计划需在30日内收到。 在改善计划关闭前,厂商应做自我评估确认全部事项完成。

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Sustainability &Social Accountability Audit Procedure永续经营与社会责任审核程序
RED (NO BUSINESS DUE TO CRITICAL VIOLATION FOUND) 红灯 (因严重违反,停 止商务合作) The following are some of the consequences when a factory receives a ‘Red’ rating: 当供货商 被评为红灯, 有以下结果 ? ?

Business termination with the existing supplier for 1 year. 现有供货商停止1年商务合作. No business to the new supplier. 新供货商不得启动商务合作

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Sustainability &Social Accountability Audit Procedure永续经营与社会责任审核程序 III. Assessment Definition 评估结果定义
RATING CONSEQUENCE INTERPERTATION 结果解释 评分 Full approved, re-qualification audit is necessary Green 完全符合, 仍需要安排重新认证审核 绿灯 1 year for improvement Yellow 一年期间改善 黄灯 180 days for improvement and required re-audit after Orange 180 天期间改善并重审 橙灯 3X continuous Orange audits turns to Red 连续 3 次橙*菇峁涑珊斓 No business for 1 year Red 停止一年商务合作 红灯

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Sustainability &Social Accountability Audit Procedure永续经营与社会责任审核程序 IV. CONTINUOUS IMPROVEMENT 持续的改善
? Stanley Black & Decker is committed to continuous improvement and open communication with its suppliers. This extends to employee and human rights. 史丹利 百得认同持续改进且沟通无碍供货商。 此涵盖员工权利,人权。 Stanley Black & Decker will not tolerate child labour, forced labour, corporal punishment etc. However, Stanley Black & Decker believes that for the majority of the non-critical violations observed it can work with the supplier to help raise social, ethical and environmental standards and practices. 史丹利百得不容忍使用童工,强迫劳工, 体罚等等。 不过,史丹利百得相信从多数之非关键性违反事项能被改善,让厂商成为史 丹利百得成功的商业伙伴。 There is on-going communication with our shareholders and business partners on the issues of human rights, integrity, and best practices As industry practices improve Stanley Black & Decker will continue to raise the level of requirements in these areas however we continue to look at standardisation where appropriate to ease duplication and the auditing burden. 我们会持续的向我们的股东和生意伙伴于关注人权,廉正和最 佳案例做沟通。史丹利百得会持续提高标准且持续标准化以利推动复制经验和达到审核 宗旨。 With a positive attitude to improvement from factory management in these areas, Stanley Black & Decker believes suppliers can forge a successful business partnership by adopting best practice. 史丹利百得相信有正面改善厂商将因最佳实践会赢得更多商 机。

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APPENDICES 附录

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APPENDIX A 附录 A DOCUMENT REQUIREMENTS 文件要求
In preparation for the on-site audit, please provide the following documents for review. 为现场 审核,请提供的下列文件阅览 EMPLOYEE DOCUMENTATION 人事资料 ? ? ? ? Employment contracts/ terms & conditions of employment. 雇用契约/雇用条件. Employee files (including employment application, discipline letters, labour contract, etc.) 员工人事文件(包括雇用内容,纪律信,劳工契约,等等) Proof of age documentation (copies of identification cards, birth certificates, etc.) 年龄 证明文件(身分证,出生证的副本, 等等) Restrictions on workers below the age of unrestricted employment. 工作年龄限制聘用 办法 FACILITIES POLICIES AND PROCEDURES 公司管理办法与程序 ? ? ? ? ? ? ? Internal operating policies and procedures (Company Policy). 公司内部营运办法和程序 (公司办法) Business licenses, maintenance and health licenses. 营业执照,维护和健康许可证 Wage and working time policies (Minimum wage, overtime, maximum daily/ weekly hours) 工资和工时办法(最低工资,加班超时,最多每日/ 每周工时) Annual leave and required holidays 年假和假期 Non-discrimination/ Harassment 非歧视性/ 骚扰 Other benefits and allowances其他福利和津贴 Any other government licenses, certificates of operation, etc. 任何其他政府许可证,操 作的证书,等等

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APPENDIX A 附录 A DOCUMENT REQUIREMENTS 文件要求
PAYROLL DOCUMENTS (for the current 12 months) 薪支资料(最*的12个月) ? ? ? ? ? ? Payroll records 薪支记录 Time records 工时记录 Piece rate records 计件薪支记录 Payroll registers 薪支登记 Payroll stubs 薪支存根 Special labour waivers such as temporary overtime extensions 特殊的劳工弃权确认书 加班延长弃权确认书

GENERAL ENVIRONMENTAL HEALTH & SAFETY 一般的环境卫生和安全 ? ? ? ? Plant layout or facility map 工厂*面图或设备布置图 Environmental Health & Safety manual and/or written programs 环境卫生和安全指南和 /或计划书 Assessment records (machinery, fire extinguisher, eyewash/shower, etc.) 评估记录(机 器,消防器,面具/消防栓,等等) Dormitories (government licenses, assessment reports) 宿舍(政府许可证,评估报告)

ENVIRONMENTAL环境 ? ? ? ? ? ? Hazardous waste manifests or shipping papers 危险物质的载运单或货运单据 Waste profiles / test results / waste analyses废料现况/ 测验结果/废料分析 Waste water permits 废水处理许可证 Air emission permit 空污许可证 Waste generation permits 废弃物许可证 Noise at boundary permits 噪音范围许可证

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APPENDIX A 附录 A DOCUMENT REQUIREMENTS 文件要求
HEALTH AND SAFETY 健康和安全 ? ? ? ? ? ? ? ? ? Accident or injury reports including near miss and first aid 事故或工伤报告 Chemical inventory 化学存货列表 Material safety data sheets (MSDS) 物质安全表(MSDS) List of required / approved personal protective equipment 需要安全保护核准的设备清 单 Emergency response plan 消防演练计划 Testing, inspection, and maintenance records for fixed and portable fire equipment 可 携式火设备的测试,检查和维修记录 Evacuation / emergency maps 紧急疏散图 Electrical safety inspection reports 电力安全检验报告 ‘Lock out Tag out’ programs 断电上锁/挂签程序

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APPENDIX B 附录 B AREAS OF EMPHASIS DURING AUDIT 审核重点
COMPENSATION 薪资 Stanley Black & Decker encourages factories to employ an electronic time system with punch cards and train employees how to use the system. Where this is not possible, it is required that employees sign their hours daily. It is also recommended employees sign their agreement to work overtime (OT) beyond the daily schedule. 史丹利百得鼓励厂商使用电子系 统打卡式记录工时并培训员工使用此系统。如此员工即无需每日签名于工时卡。我们同时建议 需员工签名同意工作加班。 Stanley Black & Decker requires all legally required benefits be paid to employees. Factories should provide supporting documentation (i.e. payroll, notarized insurances, local exemption certificates, etc.). Employees should be educated by the factory regarding their pay and the legal deductions taken. 史丹利百得要求所有合法福利应给付给员工。厂方应准备 支持文件(如 支薪,保险,当地免税证明) 。厂商应向员工倡导薪资给付和扣除内容。 Factories must comply with legally required benefits and permissible deductions. Factories must provide copies of paid insurance for the auditor’s review. Factories must educate workers on the contents of their pay check. 厂商必须符合法定允许之福利扣除。厂商需提供已 付保险复本给审核员查阅。厂商需告知员工薪资给付内容。 Stanley Black & Decker requires all legally required wages, incentives, premiums and increments be paid to employees in accordance with the law. 史丹利百得要求依据法令给付员 工所有合法工资,分红,奖金以及增值金。 Below are some common violations: 以下面是一些常见违反 ? ? ? ? ? ? ? ? ? Probation wages are only applicable to new hires with no previous experience for a specific period. 适用期间薪资没有清楚定义适用期限。 Non-payment of applicable wages 没有给付应有薪资 Wages cannot be verified / wage system not clear 无法确认薪资/支薪系统不明确 Failure to pay minimum wage 没有给付最低薪资 Failure to pay legally required overtime premium 没有给付法定加班薪资 Legally required benefits not paid 没有给付合法福利 Illegal deductions 不合法扣除薪资 No pay slips for workers 没有提供薪资单据给员工 Workers unaware of pay rates and deductions 员工不清楚薪资与扣除内容

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Delaying payment of any portion of wages 延迟给付任何部分薪资 Unpaid piece work / No payment for rework 没有给付计件费用/ 没有给付重工之工作 Manipulation of payroll 作支薪假帐 WORKING HOURS 工时

Working hours must be posted in the facility. Hours worked in excess of those hours must be compensated accordingly. 工时必需公布。超时之薪资应对给付。 Overtime must not exceed the amount permitted by national / local standards, unless the factory possesses a document explicitly granting temporary exemption from this law for a specific period and a specific amount of additional overtime. In general, all-inclusive exemption is unacceptable. 超时工作不应超越国家或当地法律。除非厂方取得一份明确合法文 件能短期额外超时并有明定期间和超时时间. 笼统,摡括包含之例外不被接受。 Below are some common violations: 以下面是一些常见违反 ? ? ? ? One day off for every seven-day period not allowed 没有每7天休息1天 OT - Routine coerced overtime 经常性强迫超时工作 OT - Excessive overtime 极端超时 OT exceeding local law requirement 超时已高于当地法律要求

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APPENDIX B 附录 B AREAS OF EMPHASIS DURING AUDIT 审核重点
FORCED LABOUR 强迫劳工

Below are some common violations: 以下面是一些常见违反︰ ? ? ? ? ? ? ? ? Workers are locked in the factory, unable to gain free access outside 工人被工厂监禁 无法自由外出 Use of bonded labourers 使用抵债劳工 Purchasing supplies from state entities using prison labour 使用服刑劳工 Unreasonable limits on access to basic needs (i.e. food, water, and toilet.) 不合理限制 基本的需求(如食品,水,洗手间.) Terminating or disciplining workers who will not work OT hours 终止或惩罚不加班的工 人 Factory holds government issued identity papers against worker's will 工厂不在员工同 意下扣押身分证件 Excessive restrictions on movement - not allowed to leave at night, can only go out on certain days, etc. 过度限制行动- 不能晚间外出,只能在某日/ 周外出,等等 Illegal / unreasonable terms in contract / factory rules and regulations 合约/工厂规则和 条例内有不合法或不合理的条件

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APPENDIX B 附录 B AREAS OF EMPHASIS DURING AUDIT 审核重点
CHILD LABOUR 童工 Below are some common violations: 以下面是一些常见违反 ? ? ? ? Minor's age cannot be verified 无法确认未成年人的年龄 Underage workers hired 聘用未成年的工人 During the audit date - If worker is below the legally required working age (based on the western birth date), it is categorized as Child Labour. 在审核时 – 发现工人不足法定 工作年龄(基于公元年龄),被归列为童工。 Backdate 6 months from the audit date - if worker is below legal required working age (based on the western birth date), it is categorized as Child Labour. (*) 追溯离审核日前 6个月 -发现工人不足法定工作年龄(基于公元年龄),被归列为童工。 Underage workers working “off the books” Incomplete age documentation 不在人事资 料内之未成年工人工作中 Numerous discrepancies in age verification records 多数不完整年龄记录 Workers/children allowed on production floor 工人的孩童被同意在生产在线活动 No hiring procedures to ensure compliance 没有任何招聘程序能保证无童工问题 Job applicants falsifying age documentation 求职者窜改年龄数据但仍被采用

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(*) If the suppliers provide CAP and auditor reviewing that can effectively avoid the same issue, Result to Yellow 如果供货商能提供有效改善计划给审核员证明能防止发生. 视为黄灯

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APPENDIX B 附录 B AREAS OF EMPHASIS DURING AUDIT 审核重点
DISCRIMINATION 歧视 Below are some common violations: 以下面是一些常见违反 ? ? Maternity and paternity rights not upheld in accordance with current national legislation. 依国家法律之产妇和生父权利没有履行。 Pregnancy testing, for reasons other than verifiable legal requirement verifiable incidents of pregnant women denied jobs or dismissed 超过合法要求验孕, 确切事件证 明不任用孕妇或者开除 Verifiable incidents of promotions and pay based on personal characteristics 确切事件 证明基于个人特征升迁和支薪 DISCIPLINARY PRACTICE 纪律条例 Below are some common violations: 以下面是一些常见违反 ? ? ? ? ? Abuse - Corporal punishment / Physical abuse 虐待 - 体罚/虐待 Body Search - Strip searches搜身 - 脱衣搜身 Harassment - Verbal abuse 骚扰 –言语悔辱 Pat down searches by opposite sex 异性搜身 Harassment - Sexual harassment 骚扰 - 性骚扰 ENVIRONMENTAL CONCERNS 环境问题 Below are some common violations: 以下面是一些常见违反 ? ? ? Wilful violation of environmental legal requirements 任意违反法定环境要求 Workers exposed to toxic levels of pollutants 工人暴露于有毒物质污染 Inappropriate storing / handling of chemicals 不适当的储存/管理 化学品

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APPENDIX B 附录 B AREAS OF EMPHASIS DURING AUDIT 审核重点
WORKPLACE ENVIRONMENT (HEALTH & SAFETY -DORMITORIES) 工作场所环境 (健康和安全-宿舍) Below are some common violations (*):以下面是一些常见违反 ? ? ? ? ? ? ? ? Exits - Locked and / or permanently blocked exits 出口-闭锁或通路堵塞 Exits - Emergency exit access / passage impeded by stored materials 出口-紧急出口被 囤积物料堵住 Exits - Emergency exits unmarked 出口-紧急出口没标示 Health & Safety - Restricted access 健康和安全 - 限制通路 Health & Safety - Hazardous chemicals are present 健康和安全 - 危险的化学药品在场 Health & Safety - Lack of access to potable water 健康和安全 –管制饮用水的使用 First Aid - Empty / not present / locked first aid box (kit) 急救箱 - 空的急救箱 /没有急救 箱 / 急救箱锁住 Fire Safety – No access to fire safety equipment / impeded by stored materials 消防安 全 – 无法取得消防安全设备/被囤积物料堵住

(*) The auditor should base assessment on the local law to judge if there are other serious violations. 审核员应依当地法令评估其他违反

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APPENDIX B 附录 B AREAS OF EMPHASIS DURING AUDIT 审核重点
WORKPLACE ENVIRONMENT (HEALTH & SAFETY) 工作场所环境 (健康和安全) Below are some common violations (*):以下面是一些常见违反 ? ? ? ? Health - Lack of access to potable water 健康 – 无法取得饮用水的使用 Health - Work area poorly ventilated 健康 - 工作区通风不良 First Aid - Empty / No / Locked first aid box (kit) 急救箱 -空的急救箱 /没有急救箱 / 急救 箱锁住 Protective Equipment – Appropriate personal protective equipment not provided to worker (i.e. lint masks, eye protection, gloves) 保护设施 – 无适当的保护设备(即面罩, 眼罩,手套)提供给工人 Protective Equipment - Machinery not fitted with safety features 保护设施 - 机器不符合 安全特性 Fire Safety – Access to Fire extinguishers is impeded or blocked 消防安全 – 逃生口或 消防栓区域堵塞 Fire Safety - No fire alarms, emergency lighting, or sprinkler system 消防安全 - 没有火 警警报器,紧急照明灯,或洒水器系统 Fire Safety - Fire extinguishers are past their expiry date 消防安全 –过期的消防器 Fire Safety - Storage of finished goods presents fire hazard 消防安全 – 堆放成品造成 消防风险 Exits - Locked and / or fully blocked exits 安全门 - 锁住和/或完全堵塞安全门 Toilets - Failure to provide gender segregated bathrooms 洗手间 - 没有性别隔间

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(*) The auditor should base assessment on the local law to judge if there are other serious violations. 审核员应依当地法令评估其他违反

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APPENDIX C 附录 C AUDIT REPORT/CAP 审核报告/ 改善计划

? The supplier will sign the official report to confirm they agree with the findings. 供货商会在正式报告签名以确认审核发现问题

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APPENDIX C 附录 C AUDIT REPORT/CAP 审核报告/ 改善计划

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The audit report has a series of questions that will be checked during the audit. The auditor must add his / her findings. 报告书包含一系列问题于审核时被检查. 审核员必需填写发现问题.

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APPENDIX C 附录 C AUDIT REPORT/CAP 审核报告/ 改善计划

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Photographic evidence is essential and will be added to the report. This serves as a record of the conditions found and a reference for corrective action 照片左证会被加入于报告书内. 以留下发现记录当修正行动参考.

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APPENDIX C 附录 C AUDIT REPORT/CAP审核报告/ 改善计划

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The Corrective Action Plan (CAP) should be completed using use the Stanley Black & Decker standard form. 使用SBD标准改善行动计划 Photographic evidence (before and after the change) should be included. 提供照 片左证(在变化前和后). The CAP should be submitted to the appropriate SA auditor. 务必把改善行动计划 转交SBD审核员.

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APPENDIX D 附录 C CONTACT INFORMATION
If you have any questions regarding the Sustainability and Social Accountability standard for Suppliers, please contact: 如果你有任何关于永续经营和社会责任的问题,请联系︰

GLOBAL 全球 Colin Thirlaway Global Product Compliance Leader
Tel: +44 1388 422201 Fax: +44 1388 422088 Email: colin.thirlaway@blackdecker.com

ASIA 亚洲 Leo Tsai Process and Technology Manager
Tel: +886-4-2217-3805 Fax: +886-4-2217-3808 Email: leo.tsai@bdk.com

Chris Ren Supplier Quality Engineering Director
Tel: + 86-21-62367600 X 7530 Fax: + 86-21-62367601 Email: Cren@Stanleyworks.com

George Hung Corporate Asia EHS Manager
Tel: + 886-4-25663211 ext 110 Fax: + 886-4-25606145 Email: GHung@Stanleyworks.com

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CODE OF CONDUCT ACKNOWLEDGEMENT PAGE 行为准则确认书
ACKNOWLEDGEMENT OF TERMS
? As an officer of ______________________________, a Supplier of Stanley Black & Decker, I have read the principles and terms described in this document and understand my company's business relationship with Stanley Black & Decker is based upon said company being in full compliance with these principles and terms. I further understand that failure to abide by any of the terms and conditions stated herein may result in the immediate cancellation by Stanley Black & Decker of all outstanding orders and refusal by Stanley Black & Decker to continue to do business with my company. I am signing this statement to acknowledge, accept and agree to abide by the standards, terms and conditions set forth in this Standard for Suppliers between my company and Stanley Black & Decker. 身为___________主管, 为史丹利百得供货商, 我已经祥读此文件之原则和条款清楚了解 我公司和史丹利百得商务关系建立于完全符合这些原则和条款.我也同时了解无法遵守这 些条款和状况会导致史丹利百得取消订单和被史丹利百得中止与我公司任何形式商务往 来. 我在签下此确认书同意这些与史丹利百得和我公司订下之供货商标准,条款,状况. I hereby affirm that all actions, legal and corporate, to make this agreement binding and enforceable have been completed, and that I have authority to sign on behalf of the company. 我以此申明所有法律与公司行动接受此确认书管束和执行.我拥有代表公司签署权限.

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Supplier Name 姓名: ______________________________________ Address 地址: ___________________________________________ Signature 签名: _______________________Date 日期: __________ Title 职称:_______________________________________________
Please return this executed signature page to the Stanley Black & Decker or 3 party representative who requested the audit. 请将此页签名签名后传给史丹利百得或第三方要求审核者 (Version: 3.4)
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Sustainability & Social Accountability In the Supply Chain 永续经营与社会责任供应链声明书 (Annual Statement of intent)
We have been actively working with you to implement the Stanley Black & Decker “Sustainability & Social Accountability Standards for Suppliers” into your manufacturing facilities. We expect that as a supplier of Stanley Black & Decker you will implement these same standards into your suppliers and your entire supply chain. To comply we require that your company take responsibility for the environmental and working conditions in your supply chain: 我公司积极主动与您推展史丹利百得”供货 商社会责任标准”于生产体系. 我们期望推展这些标准到您供货商及完整供应体系.我需要贵公司保证您供 应体系内的环境和工作状态能符合保证
? Review and develop these same standards within your suppliers to ensure the Stanley Black & Decker “Sustainability & Social Accountability Standards for Suppliers” are met or exceeded. 检讨并推展 史丹利百得”供货商永续经营与社会责任标准”到上游供货商. Understand the entire supply chain of components used in your products. 完全清楚使用于公司产品之零 件供应链. Visit and assess suppliers in your supply chain to assess the level of ethical practices. 有执行访问并评估 供应链的道德实施水*. Develop and follow up corrective action plans where deficiencies are found. 推展并追踪被发现缺陷点之 改善行动. Keep an up-to-date list of sub-contractors home workers and component suppliers. 保存最新承包商和供 货商清单. Approve all new suppliers to the standard before using them for component supply. 批准新供货商符合此 标准才开始供应零件. On an ongoing basis Stanley Black & Decker will periodically audit your suppliers, which may be unannounced, to determine the SA controls that are in place and that you are actively promoting the Stanley Black & Decker standard. 为确认社会责任管理存在并且积极推动史丹利百得标准, 史丹利百得可 对您供货商采取非通知审核. As a supplier of Stanley Black & Decker, signing this statement means you fully understand and will work towards the above requirements through a continuous improvement program. 身为史丹利百得供货 商. 签署此文件代表贵公司完全了解此要求推动持续改善计划.

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Supplier Name 姓名: ________________________________ Address 地址:______________________________________ Signature 签名: ______________________Date 日期:__________ Typed Name 正楷姓名: __________________________________ Title 职称: ____________________________________________
Please return this executed signature page to Stanley Black & Decker sourcing representative. 请将此页 签名签名后传给史丹利百得采购单位代表 (Version: 3.4)

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