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1. Subcontractor Part:
1.1. Using contractors to produce Walmart products – Green Light
1.2. Factories use and employ domestic workers - Green Light
2. Standard Posting Section:
2.1. No Chinese version of Wal-Mart Standards posted - Green Light
2.2. Post after changing Wal-Mart standards - Green Light
2.3. Wal-Mart Standards posted without factory management sign-off - Green Light
3. Foreign workers:
3.1. Foreign workers are not clear about the terms of the labor contract, working conditions, etc. - Yellow light
3.2. According to the laws of the host country, foreign workers cannot freely terminate their contracts with their employers - yellow light
3.3. The minimum wage or benefits for foreign workers are insufficient according to the laws of the host country - Orange Light
3.4. Seizing a foreign worker’s passport, residence permit, etc. without consent – Orange Light
4. Review authority section:
4.1. Auditors are prohibited from entering the factory and dormitory areas for audits - red light
4.1.1. The factory does not allow inspections into the factory, a certain factory area, a certain department, dormitory area, etc. for various reasons;
4.1.2. The factory is unable to provide any relevant information, such as personnel information, salary records, attendance records, etc.
4.2. Auditors are prohibited from conducting employee interviews – Red Flag
4.2.1. The factory does not allow interviews with factory staff;
4.2.2. Factory management insists on participating in employee interviews.
4.3. Inappropriate business license, business license in process - yellow light
4.3.1. The factory fails to provide the correct business license or the business scope is inconsistent;
4.3.2. The factory is applying for a business license;
4.3.3. Applying for extension of business license;
4.3.4. The business license is undergoing annual review.
4.4. Collection of relevant documents, incomplete documents - yellow light
4.4.1. The factory has not signed a labor contract with its employees or has not signed all labor contracts;
4.4.2. The labor contract expires;
4.4.3. The labor contract is not signed by the employee;
4.4.4. The employment contract lacks necessary clauses;
4.4.5. The employee has not been provided with a labor contract, etc.;
4.4.6. The factory fails to pay the workers the basic wages as agreed in the contract;
4.4.7. The factory only provides part of the relevant data for the auditor to review;
4.4.8. The factory does not allow auditors to copy materials.
4.5. No business license - orange light
5. Disciplinary measures section:
5.1. Corporal punishment and abuse of employees - Red flag
5.2. Body search by the opposite sex (with physical contact) - Orange light
5.3. Forced strip search of employees - Yellow light
5.4. Sexual harassment – yellow light
5.5. Same-sex body search – green light
5.6. Verbal abuse of employees (observed and learned during the interview) - Green light
6. Discrimination Section:
6.1. Deciding whether to hire an employee based on inappropriate health examination results (e.g., hepatitis B test, illegal pregnancy test) - Yellow Light
6.2. Women must resign or be fired if they become pregnant – Yellow Light
6.2.1. Employees reported that women who had given birth were no longer employed;
6.2.2. The factory requires pregnant women to resign or take leave.
6.3. Employee promotion based on personal relationships is verified to be true - yellow light
6.3.1. Employee promotion and salary plans are based on personal characteristics: such as gender, ethnicity, place of origin, upper age limit, appearance, height, personality and blood type, etc.
6.4. The factory recruits employees based on age, such as requiring employees to be at least 18 years old, etc. - Green Light
7. Child Labor Section:
7.1. Factories employing child labor – Red light
7.1.1. The factory employs two or more workers under the age of 16;
7.1.2. The factory records show that there are two or more child workers but no workers can be found to verify;
7.1.3. Two or more employees state that they are under 16 years old and do not have ID cards, but this does not match the personnel file information;
7.1.4. The factory continues to use child labor after being found to be using child labor during the initial audit.
7.2. Failure to provide regular health checks for underage workers and employees in occupations prone to occupational diseases – Yellow light
7.2.1. Failure to provide regular medical examinations to underage workers;
7.2.2. Failure to provide regular medical examinations to employees whose occupations are prone to occupational diseases.
7.3. Minor workers have no/expired/incomplete relevant certification documents - yellow light
7.3.1. Employment of underage workers without registration with the local labor department.
7.4. Age violation: One or two child workers are found - Orange light
7.4.1. One or two child workers are found in the factory data but no workers can be found to verify;
7.4.2. One or two employees claim to be under 16 years old and fail to provide original ID cards;
7.4.3. In the past 6 months, 1 or 2 employees were under the age of 16 when they entered the factory;
7.4.4. Confirm the order status. If there is an order within these 6 months, it is an age violation. Otherwise, it is considered historical child labor).
7.5. Minors are assigned to work in jobs prohibited by law - Yellow Light
7.5.1. Minors working in prohibited areas as specified by the Ministry of Labor, such as working underground, in toxic and harmful environments, at heights, in high-temperature environments, and engaging in the fourth level of physical labor intensity as specified by the state, such as glue sprayers, paint sprayers, solderers, enameling workers, high-temperature beer machine operators, cutting machines, punching machines, etc.
7.6. Employee’s children present in the production area - orange light
7.6.1. Employees’ children playing in the factory;
7.6.2. Employees bring their children to work;
7.6.3. Children are found in the production area.
7.7. Employee falsification of age information - Orange Light
7.7.1. Workers borrow other people’s ID cards to enter the factory;
7.7.2. Workers use false ID cards to enter the factory.
8. Forced Labor Section:
8.1. Workers are locked in the production workshop or factory area (determining whether workers have freedom of movement) - Red light
8.2. Purchasing products or materials from state-owned entities that use prison labor – Red Light
8.2.1. Direct purchase of products produced by prisoners;
8.2.2. Indirect purchase of products produced by prisoners;
8.2.3. Factories outsource their products to prisons for production;
8.2.4. Purchase raw materials from prisons (or businesses that use prison workers);
8.2.5. Outsourcing products to enterprises that purchase raw materials from prisons for processing;
8.2.6. Outsourcing products to companies that use prison labor for processing.
8.3. Charging inappropriate recruitment fees – Yellow Light
8.3.1. Clearly collect a deposit for entering the factory (including work clothes, factory badges, production tools, work utensils, food expenses, accommodation expenses, etc.;
8.3.2. Workers must pay money to factory staff when seeking employment.
8.4. Inappropriate Physiological Need Restriction – Yellow Light
8.4.1. Workers do not have the freedom to go to the toilet, drink water, or eat (such as having leave permits with time or other unreasonable restrictions);
8.4.2. Limit workers’ time for going to the toilet, drinking water and eating.
8.5. Regular seven-day work week - yellow light
8.5.1. In the past three months, there have been two or more consecutive seven-day periods without a rest day in each month.
8.6. Punishment or dismissal for not working overtime - Yellow light
8.6.1. Workers who are unwilling to work overtime will be punished (such as wage deductions, demerits, dismissal, wage reductions, suspension of work, etc.).
8.7. Withholding of government-issued documents – Orange Light
8.7.1. It is discovered on site that the factory has detained workers’ identity cards, temporary residence permits, education, marriage, family planning, unmarried and other valid certificates.
8.8. Restricting the movement of employees - Yellow Light
8.8.1. Workers are not allowed to return to or leave the dormitory after get off work;
8.8.2. Workers cannot resign if they owe the company money;
8.8.3. Workers who damage the company's property cannot resign or have their resignation not approved before compensation is paid;
8.8.4. Approving workers to resign at a time longer than the legal time;
8.8.5. Employees are not allowed to resign during the contract period (even if they apply in advance);
8.8.6. Restrict workers from going out (dormitory or factory) during non-working hours;
8.8.7. The company pays for the workers’ training and they cannot resign before the end of the contract. However, the labor contract does not contain any provision that prohibits resignation before the end of the contract due to receiving training.
8.9. Factory rules and regulations, labor contracts contain illegal clauses - yellow light
8.9.1. If there are illegal clauses in the contract or factory rules and regulations, such as workers need to pay a deposit to enter the factory.
8.10. Restrictions on workers joining unions – Orange Light
8.10.1. The factory’s rules and regulations and labor contracts show that the factory does not respect employees’ freedom to choose to join a trade union, and interferes with, obstructs or prohibits employees from joining legal organizations.
9. Working hours:
9.1. Violation of Walmart's '7th Day Off' Policy - Yellow Light
9.1.1. The factory fails to provide a 7th day off (not a regular occurrence - not twice or more per month).
9.2. Overtime - Yellow Light
9.2.1. Overtime hours exceed the statutory 36 hours per month;
9.2.2. Overtime work is greater than 3 hours per day.
9.3. Severe overtime work - orange light
9.3.1. Workers work more than 72 hours/six or seven days;
9.3.2. Workers work more than 14 hours in a continuous 24-hour period.
9.4. Minor workers’ working hours exceed the legal limit – yellow light
9.4.1. Arrange underage workers to work night shifts.
9.5. Attendance system has no attendance, no complete attendance to confirm working time - orange light
9.5.1. There is no record of working hours (the factory should provide the clock-in record up to the day before the audit, but it does not have to be a printout, otherwise it will be considered a violation and recorded in the inspection right);
9.5.2. All or part of the overtime hours are not recorded;
9.5.3. Failure to record work during working hours or after get off work (if an employee only misses to punch in at certain times, but the corresponding salary is calculated correctly, this violation will not be considered);
9.5.4. Only attendance records for working hours but no attendance records for leaving get off work;
9.5.5. Punch in for normal work but not for overtime;
9.5.6. The factory has no attendance system at all;
9.5.7. No accurate working time records to confirm wages (the working time of production materials is inconsistent with the attendance records);
9.5.8. Workers continue to work after clocking out;
9.5.9. Manual attendance does not have clear working hours or the employee himself does not sign off on a daily basis;
9.5.10. Supervisors record attendance with an "X" but their records do not match production records or do not contain workers' daily signatures;
9.5.11. The factory did not provide working time records for two or more employees in the sample.
9.6. No recruitment procedures to ensure that the employees they hire comply with legal requirements – Orange Light
9.6.1. The factory has no relevant procedures such as factory entry data registration;
9.6.2. 20% or more of the employees have no personnel files;
9.6.3. 20% or more of the employees’ personnel files do not contain copies of their ID cards;
9.6.4. In the past 6 months, there were employees who were under the age of 16 when they entered the factory and there were no Wal-Mart orders during this period.
9.7. Incomplete personnel information - Yellow light
9.7.1. Some of the employees in the sample do not have personnel files (less than 20%);
9.7.2. The personnel data do not contain copies of ID cards (less than 20% in the sample), no birth and factory entry date registration, no photos, no factory name, no employee signature, and the ID card is expired.
9.8. Discrepancies between personnel files and employee verbal data - Yellow light
9.8.1. The oral information of the workers is inconsistent with the registered information in the archives;
9.8.2. There are inconsistencies in the factory’s data on workers’ ages |
