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WAL*MART/Wal-Mart Factory Inspection Latest Factory Inspection Document Preparation Checklist
Reminder: The original documents of items#1, #7, #8,
#11, #12, and #9,#14~#16 (if applicable) , the
certificate/ license and training records of #17 
(if applicable) etc. need to be presented at the time of
Note: On the day of the audit, the auditor must be provided with the following #1, #7, #8, #11, #12, and #9,
Original copies of the documents for #14~#16 (if applicable), and the certification/training records mentioned in #17 and #18 (if applicable).
1. Business License
2. Factory floor plan
3. Organization Chart
4. Factory rules and regulations
5. Dormitory rules and regulations
6. Employee handbook
7. Individual Labor Contract is required; Group labor
contract is allowed as long as the government's written
document provided and has clear
Traceability. (Individual labor contracts are required, and clear collective contracts approved by the government are acceptable)
8. Personnel file
ID copy
Application with joining date (personnel file information - including date of entry into the factory)
Leave application
Resignation letter / record
Rewards and punishment record
9. Health examination report and registration for
workers between 16 to 18 years
old.(16-18 years old minor workers' physical examination report and work permit/registration)
10. Local official minimum wage document (local government document on minimum wage)
11. Payroll records and production records for past 12
months: (salary/production records for the most recent year)
(a) Time card / attendance record
(b) Piece rate worker production record/ Piece rate
Piecework production records and piecework wages calculation record
(c) Payroll computation (manual, computer, etc.)
(Salary calculation records - manual or computer)
(d) Pay slip /wage sheet with workers' signatures
(Salary slip/payroll with worker's signature)
(e) Wages deduction / fines record
12. Insurance – Official Statement issued by Local
Government and Insurance Receipt (Insurance – Receipt for approval and insurance purchase provided by local government departments)
13 Trade union representative election procedure, work
union responsibilities and work union meeting minutes
(Union representative election procedures, union duties, union organization meeting minutes)
14 Kitchen / canteen hygiene certificate (Kitchen / restaurant hygiene certificate)
15 Kitchen / canteen worker's health certificate
(Health certificate for kitchen/restaurant staff)
16 Discharge permit (for sewage, waste water, air
emission, open burning etc.)
17 Factory safety records - Factory safety management records Factory safety management records; Building structure safety license (factory building structure safety license);
Building fire safety floor plan, fire evacuation floor
plan (factory fire plan, emergency escape plan);
EHS task force/Safety committee organization and/or
procedure (structure chart of the environmental health and safety organization/work safety committee and/or work procedures or working procedures);
Accident / incident / illness record (accident / accident record / sick leave record);
Special equipment permit / certificate (Special equipment permit / certificate);
Operator's license for special type of work (forklift,
elevator, electrician, etc) (Operation certificate for special workers);
Hazardous inventory / waste inventory
(Hazardous Materials Inventory/Waste Inventory);
MSDS – Material Safety Data Sheet
18 Training record (factory training record)
A. Emergency evacuation and fire fighting training
(Fire training and exercise records)
A. Machinery safety training
B. Chemical safety training (chemical safety training records)
C. Medical and first aid training (health/medical training records)
D. Others (if applicable) (other training records if applicable) 2010 Wal-Mart Factory Audit Ethics Standards Wal-Mart Ethical Purchasing through Social Responsibility Program
? Promote a positive shift in the supply-side base
?Ensure Walmart's ethical sourcing commitment
?Become a pioneer in developing effective social and ethical standards programs
?Protect the company’s reputation and brand
Evaluation Color Code
Green
- No/Minor Violations
- Review within 2 years
Yellow
- Medium risk violation
- Review within 1 year
Orange
- High risk violations
- Review within 180 days
- Fourth Orange:
Factories that accumulate four orange lights within two years will be placed in red light - frozen status for one year.
Red
- Very serious violations – child labor, forced/prison labor, corporal punishment, potentially life-threatening working conditions, illegal transportation
- No longer cooperate
Orange – Age
- 1 to 2 child laborers found
- The factory should correct this violation within 30 days
RED Ratings
Red – Failed (see above)
Red – Access Denied Red light – Access denied – Unannounced audit – Regardless of the factory’s condition, its management must allow Walmart’s factory auditors to enter the factory to further confirm whether the factory is unacceptable for audit – If the audit cannot be rescheduled:
Suppliers will be advised to cancel current orders and cannot accept new orders until the factory re-audits.
Red – Disapproved Red Light – Frozen – 4 Orange Light audits within 2 years from the last audit date – 4 consecutive or cumulative Orange Lights cancel all orders and only accept products that have been shipped. No new orders can be accepted within 1 year from the last audit date
??Note: After a factory receives 2-3 orange lights, the supplier may decide not to place orders with this factory anymore Subcontractor Facilities and Disclosure
If the subcontractor factory is producing the following products, it will be required to undergo an ethical standards audit
- Finished product – the product has undergone substantial transformation
- Parts suppliers with Walmart logos are responsible for informing all subcontractors that produce Walmart products. If Walmart finds that a factory that produces its products uses a subcontractor factory that has not received a valid ES audit, the factory will automatically receive an orange audit result. Walmart factory audit focuses on wage and benefits compliance
- Legally required minimum wage, overtime pay, clear wage system and working hours
- Factories should strive to achieve a work week standard of no more than 60 hours
- 7 days off 1 day recruitment
- No/Irregular recruitment procedures/Incomplete employee files Requirements for Walmart suppliers—more forward-looking!
Cooperation with factories is more forward-looking
- Improve the violations before the factory reaches 2/3 orange lights, or plan to transfer production
- Inform your factory of the seriousness of not allowing auditors to enter the factory for audit
- With the help of ES team
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