供應(yīng)商社會(huì)責(zé)任考察報(bào)告模板 Supplier CSR Audit Report Template

供應(yīng)商社會(huì)責(zé)任考察報(bào)告SupplierCSRAuditReport,

1.Purpose目的,

"InHuaweiweconsidercorporatesocialresponsibility(CSR)asthecustomerrequirementstoourproductsanditsproductionprocessthroughoutthelifecycle,weintegratestheseCSRrequirementsintoourbusinessandprocesses,andextendthesamerequirementsasprocurementrequirementstooursuppliersandsub-tiersuppliers,weconsiderCSRasopportunitiesofcreatingbusinessvaluestosupportourbusinesscompetitivenessbesidesriskcontrol.

HuaweihasdevelopedsupplierCSRagreementbaseoncustomerrequirements,EICCelectronicindustrycodeofconductandJACjointauditcooperationsustainabilityguidelines,werequestsupplierstoestablishandmaintainitsmanagementsystemswithreferencetointernationalstandardsofISO14001/ISO45001/IPC1401.ThissupplierCSRauditreporttemplateandchecklistisdevelopedasapracticalguidancetoassessthelevelofcomplianceofasupplier'sCSRperformancewithHuaweiCSRagreementandthegapinordertoevaluatetheriskandidentifyimprovementopportunities.",

"在華為，我們將企業(yè)社會(huì)責(zé)任（CSR)視為客戶要求，是客戶對(duì)產(chǎn)品及其生產(chǎn)過(guò)程的要求，我們將CSR融入業(yè)務(wù)和流程，融入采購(gòu)業(yè)務(wù)流程，要求我們的供應(yīng)商遵守，并逐級(jí)傳遞給下級(jí)供應(yīng)商，除了風(fēng)險(xiǎn)控制之外，我們將CSR視為創(chuàng)造商業(yè)價(jià)值和支持企業(yè)競(jìng)爭(zhēng)優(yōu)勢(shì)的機(jī)會(huì)。

華為公司根據(jù)客戶要求、EICC電子行業(yè)行為準(zhǔn)則和JAC聯(lián)合審核合作組織可持續(xù)發(fā)展指引制定了“供應(yīng)商社會(huì)責(zé)任協(xié)議”，我們要求供應(yīng)商參照ISO14001/ISO45001/IPC14001標(biāo)準(zhǔn)建立管理體系。本供應(yīng)商CSR考察報(bào)告模板及檢查表旨在提供一個(gè)操作性的指引，用以評(píng)估供應(yīng)商與華為公司CSR協(xié)議之間的符合程度及其差距，評(píng)估風(fēng)險(xiǎn)，識(shí)別改善機(jī)遇。",

2.Scope適用范圍,

"ThissupplierCSRaudittoolappliestoallthesmallsuppliersandsubcontractorswithlessthan800employeessupplyinggoodsorservicestoHuaweidirectlyandindirectly,includingsub-tiersuppliers.",

本供應(yīng)商CSR審核工具適用于所有直接或間接向華為公司提供產(chǎn)品或服務(wù)的人數(shù)規(guī)模少于800人的小型供應(yīng)商和分包商，包括下級(jí)供應(yīng)商。,

3.SupplierSelf-assessment供應(yīng)商自檢,

"Asuppliershallconductself-assessmentbeforeHuaweiauditandprovideself-assessmentreporttoHuawei.Thesuppliershallconductself-assessmentwiththesameauditmethodologiesasHuaweiincludingsiteinspection,documentreview,interviewwithmanagementandworkers,internetsearchtoidentifytheirachievements,bestpracticesanddeficiencies,thesuppliershalltakecorrectiveandpreventiveactionsandupdatetheprogress.

ThesuppliershallassignappropriatepersonssuchasHRmanagerandEHSengineertoconductthisself-assessment,theself-assessorsshallclarifytheauditscopeoftheproductionfloorsandwarehousesrelatedtoHuaweiproductsandworkerdormitoriesandcanteens,andcompletethetab2siteprofile,especiallythemanufacturingprocessandsub-contractedprocessandworkersinformation.

Thesuppliershallpreparethelatest12monthsdocumentsandrecordsindicatedattab5documentlist,suchasgovernmentlicensesandpermits,policiesandprocedures,employmentrecords,timerecords,payrolls,EHSrecords,etc.Thesuppliershallalsocompletethetab6workinghoursanalysisandtab7workerturnoveranalysispages.

Thesuppliershallevaluatefactoryoperationsagainstthequestionsattab4checklistandaddthescoreinthecolumnCandsupportivewritten/oral/observation/searchevidenceatcolumnE,thesuppliershallensuretheprovidedinfoisaccurateandsufficient.

Thesuppliershallprovideself-assessmentfindingsandconclusionsatappropriatecolumnattab3auditsummaryandrequestseniormanagementtoreviewandapprovebeforesendingtoHuawei.

ThesuppliershallpayspecialattentiontotheCSRredlineissueslistedattab8redlinesandcheckthesection12managementsystemattab4asthehighpriorityofCSRself-assessment.",

"在華為審核之前，供應(yīng)商應(yīng)完成自檢，并將自檢結(jié)果提交給華為公司。供應(yīng)商應(yīng)采用與華為同樣的審核方法，如現(xiàn)場(chǎng)檢查、文件審閱、管理層訪談、員工訪談和網(wǎng)絡(luò)檢索等進(jìn)行多維度自檢，識(shí)別供應(yīng)商在CSR各個(gè)方面的成績(jī)、優(yōu)秀實(shí)踐和不足之處，擬定糾正和預(yù)防措施，并跟進(jìn)進(jìn)展。

供應(yīng)商應(yīng)指定合適的人選，如人力資源經(jīng)理和EHS工程師進(jìn)行自檢，首先明確審核范圍，即涉及華為業(yè)務(wù)的生產(chǎn)廠區(qū)和倉(cāng)庫(kù)，以及宿舍和飯?zhí)玫龋?yīng)商應(yīng)核實(shí)并填寫tab2“siteprofile工廠概況”，尤其寫明“生產(chǎn)流程”、“外包工序”和員工信息，不要遺漏。

供應(yīng)商應(yīng)根據(jù)tab5documentlist審核文件清單準(zhǔn)備最近12個(gè)月的相關(guān)文件記錄，如政府批文、CSR程序、員工雇傭記錄、工時(shí)記錄、工資表、環(huán)境安全健康記錄等，完成tab6workinghours工作時(shí)間分析和tab7workerturnover員工流失情況分析等表格。

供應(yīng)商應(yīng)對(duì)照tab4checklist檢查表B列提出的問(wèn)題，將自檢評(píng)分填寫在C列，將自檢結(jié)論和相關(guān)的書面證據(jù)/口頭證據(jù)/觀察證據(jù)/檢索證據(jù)描述填寫在E列，并盡量用數(shù)據(jù)支持。

供應(yīng)商應(yīng)在tab3auditsummary指定欄目填寫自檢基本信息、自檢發(fā)現(xiàn)及自檢結(jié)論，并由指定的高層經(jīng)理評(píng)審和確認(rèn)后提交給華為，確保自檢結(jié)果和記錄的真實(shí)性。

供應(yīng)商應(yīng)特別關(guān)注tab8redlines列出的9條CSR紅線要求，對(duì)照9條航線檢查tab4第12章管理體系的要求，作為審核關(guān)注的重點(diǎn)。",

4.HuaweiOnSiteAudit華為現(xiàn)場(chǎng)審核,

"Itisrecommendedtoassigntwoauditor-daysforeachsiteaudit,theauditorswillusethemethodologiesofsiteinspection,documentreview,interviewwithmanagementrepresentatives,privateinterviewwithworkersselectedbytheauditorsandinternetsearchtoassessthecompliancestatusofthesupplier.ThesuppliershallprovidesufficientaccesstothesitefacilitiesincludingproductionfloorsforHuaweibusiness,warehouseandpowerstation,dormitoryandkitchen,thesuppliershallalsoprovideallrelevantdocumentsandrecordsoflatest12monthsaspertheauditdocumentrequestlistattab5,suchasgovernmentlicenseandpermits,policiesandprocedures,employmentrecords,timerecords,payrolls,EHSrecords,etc.

TheauditorsshallworkwithsupplierHRmanagerandEHSengineertoclarifytheauditscopeoftheproductionfloorsandwarehousesrelatedtoHuaweiproductsandworkerdormitoriesandcanteens,andcompletethetab2siteprofile,especiallythemanufacturingprocessandsub-contractedprocessandworkerinformation.

Theauditorsshallchecktheavailabilityofthedocumentsandrecordsindicatedattab5documentlist,andcheckthetab6workinghoursanalysisandtab7workerturnoveranalysis.

Theauditorsshallevaluatefactoryoperationsagainstthequestionsattab4checklistandaddthescoreinthecolumnCandsupportivewritten/oral/observation/searchevidenceatcolumnD.

Theauditorsshallprovideauditfindingsandconclusionsatappropriatecolumnattab3auditsummary.

Attheendofaudittheauditorswillbrieftheauditfindingstosuppliermanagementincludingthestrengthsandimprovementopportunitiesforthesuppliertotakecorrectiveactions.",

"現(xiàn)場(chǎng)審核建議安排兩人天，審核員應(yīng)采用現(xiàn)場(chǎng)檢查、文件審閱、管理層訪談、員工訪談以及網(wǎng)絡(luò)檢索等方法多維度進(jìn)行評(píng)估。供應(yīng)商應(yīng)允許審核員進(jìn)入審核范圍，包括涉及華為業(yè)務(wù)的生產(chǎn)廠區(qū)、倉(cāng)庫(kù)、發(fā)電房、宿舍和飯?zhí)玫龋?yīng)商應(yīng)根據(jù)tab5文件清單提供最近12個(gè)月的相關(guān)文件記錄，如政府批文、CSR政策和程序、員工雇傭記錄、工時(shí)記錄、工資表、環(huán)境安全健康記錄等。

審核員與供應(yīng)商人力資源經(jīng)理和EHS工程師核對(duì)明確審核范圍，即涉及華為業(yè)務(wù)的生產(chǎn)廠區(qū)和倉(cāng)庫(kù)，以及宿舍和飯?zhí)玫龋藢?shí)tab2工廠概況，尤其“生產(chǎn)流程”、“外包工序”和員工信息，不要遺漏。

審核員應(yīng)檢查tab5文件清單是否準(zhǔn)備好，檢查tab6工作時(shí)間分析和tab7員工流失情況分析，確認(rèn)供應(yīng)商是否了解tab8CSR紅線要求。

審核員應(yīng)對(duì)照tab4檢查表B列提出的問(wèn)題，將審核評(píng)分填寫在C列，將判斷結(jié)論和相關(guān)的書面證據(jù)/口頭證據(jù)/觀察證據(jù)/檢索證據(jù)描述填寫在E列，并盡量用數(shù)據(jù)支持。

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

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

"Baseonriskassessmenttheauditfindingsaregenerallyclassifiedasbelowcategories:

1)Criticaldeficiency:extrahighriskwithimmediateandintolerablethreat/impact,includingdirectinfringementofbasichumanrights,immediatethreattolifeofworkers,immediatethreat/impacttoenvironment,orbribeauditors.TypicalexamplesareCSRredlineissueslistedattab8.

2)Majordeficiency:highriskwithshorttermanddirectimpactorsystematicalerror,includingshorttermimpacttoworkerrights,tothehealthandsafetyofworkers,ortotheenvironment,typicalexamplesareobstructedexit,underpay,serioushealthandsafetyissues,etc.

3)Minordeficiency:lowriskwithlongtermortolerableimpact,includingcommonandbroadlytoleratedmistakes,typicalexamplesarelockedfirstaidkit,kitchenworkernotwearingmask,etc.",

"基于風(fēng)險(xiǎn)評(píng)估的結(jié)果，審核發(fā)現(xiàn)的問(wèn)題分為以下三類：

1）重大違規(guī)：即時(shí)存在無(wú)法容忍的威脅或影響，如損害基本人權(quán)、危及生命、環(huán)境污染、賄賂審核員、生產(chǎn)停產(chǎn)等，典型案例是tab8列出的CSR紅線問(wèn)題。

2）嚴(yán)重違規(guī)：即短時(shí)存在高風(fēng)險(xiǎn)或系統(tǒng)性缺陷，如短期影響工人權(quán)益、短期影響安全健康或短期環(huán)境損害，典型案例包括主要安全出口堵塞、工資低于標(biāo)準(zhǔn)和嚴(yán)重安全隱患等。

3）次要違規(guī)：即常見(jiàn)的，可以容忍的影響較小的缺失，典型案例包括急救箱上鎖、廚房未戴口罩等。",

6.AuditScoringguidance審核評(píng)分指引,

"Thisauditchecklistconsistsof12sections,eachsectiontakes5%-10%oftotalweightingand4-9questionsandtotal80questionsareselectedtomeasurethesupplierCSRperformance,-5,0,1or2pointswillbeawardedbasedonbelowguideline:

2points:Acceptable,noviolation,fullyormostlymeetrequirementswithsufficientsupportiveevidences;

1point:Marginal,partiallymeetrequirementswithinsufficientsupportiveevidences;

0point:Unacceptable,systematicallyviolaterequirementswithsupportiveevidences.

-5point:confirmedvioationofCSRredlineswithcriticalthreats.",

"本審核檢查表包括12章，每章權(quán)重占5%-10%。每章精選4-9個(gè)問(wèn)題，總共80個(gè)問(wèn)題用于評(píng)估供應(yīng)商CSR表現(xiàn)。請(qǐng)根據(jù)以下指引分別對(duì)各個(gè)問(wèn)題進(jìn)行打分，分別為0、1、2分或-5分：

2分：全部或大部分滿足要求，沒(méi)有違規(guī)項(xiàng)，并能提供充分的支持證據(jù)；

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

0分：不滿足要求，存在明確的違規(guī)證據(jù)。

-5分：確認(rèn)CSR紅線違規(guī)，存在重大風(fēng)險(xiǎn)。",

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

"Basedontheweightedscoresandauditresults,anauditedsupplierwillbegradedasbelow:

Agrade:Goodsupplier,industryleadershipwithstrongmanagementsystemandpractices,score≥90%,nocriticalormajorissue.

Bgrade:Acceptablesupplier,overthanindustryaveragewitheffectivemanagementsystemandpractices,score≥80%,nocriticalissueandmajorissues<2.

Cgrade:Conditionalacceptablesupplier,belowindustryaveragewithbasiccontrols,score≥70%,nocritical2-6majorissues.

Dgrade:Unacceptablesupplier,poormanagementandcontrols,score<60%,critical≥1or/andmajorviolations>6.",

"根據(jù)加權(quán)平均評(píng)分和審核結(jié)果，供應(yīng)商CSR表現(xiàn)可按照以下指引分級(jí)：

A級(jí):優(yōu)秀供應(yīng)商，行業(yè)領(lǐng)先，CSR管理體系及實(shí)踐優(yōu)秀，沒(méi)有重大或嚴(yán)重問(wèn)題，加權(quán)得分≥90%，重大問(wèn)題為0，嚴(yán)重問(wèn)題為0。

B級(jí):合格供應(yīng)商，高于行業(yè)平均水平，管理體系和實(shí)踐總體有效，沒(méi)有重大問(wèn)題，可能有個(gè)別嚴(yán)重問(wèn)題，加權(quán)得分≥80%，重大問(wèn)題為0，嚴(yán)重問(wèn)題<2個(gè)。

C級(jí):有條件供應(yīng)商，低于行業(yè)平均水平，管理和控制水平較低，一般沒(méi)有重大問(wèn)題，但有多個(gè)嚴(yán)重問(wèn)題，加權(quán)得分≥70%，重大問(wèn)題為0，嚴(yán)重問(wèn)題2～6個(gè)。