HP 进行EHS审核的工厂公司自检项目表.pdf

Supply Chain Operations Social and Environmental Responsibility Program http:/ http:/ HP Supplier Self-Assessment Part 2 Part D:Health and Safety/Environmental Management System Part B:Health and Safety Part C:Environment Introduction:Completion of the HP Supplier Self-Assessment is required under the Supplier Social and Environmental Responsibility Agreement.The self-assessment enables the supplier and HP to assess the suppliers performance with respect to the HP Supplier Code of Conduct(also known as the“Electronic Industry Code of Conduct”).It also is a means for HP to provide recommendations for those areas identified as opportunities for improvement.HP encourages its suppliers to accurately identify any areas in which their operations do not conform to the requirements of HPs Supplier Code of Conduct.As indicated in HPs Supplier Code of Conduct,HP expects to work collaboratively with its suppliers to achieve these standards.The self-assessment is based on the sections of the Electronic Industry Code of Conduct and is divided into two questionnaires:1)Part A:Labor and Part E:Code of Conduct and Ethics 2)Part B:Health and Safety and Part C:Environmental Note:Part D:Management System is included as a subset in each questionnaire Including preparation time,each questionnaire can take up to 1 hours to complete.Preparation time includes gathering resources,locating and copying requested documents,and communicating with colleagues.Please note that each facility manufacturing products for HP is required to fill out a set of the self-assessment questionnaires.For more information about HPs Supply Chain Social and Environmental Responsibility Program can be found on HPs web site at:http:/ Supplier Contact Information:Date:Company Name:Contact Name:Position/Title:Telephone Number:Fax Number:Email:Facility Address:HP Commodity Manager/Account Manager:Part D:Health&Safety/Environmental Management System HPs Supplier Code of Conduct states that“participants shall adopt or establish a management system whose scope is related to the content of this Code.The management system shall be designed to ensure(a)compliance with applicable laws,regulations and customer requirements related to the participants operations and products;(b)conformance with this Code;and(c)identification and mitigation of operational risks related to this Code.It should also facilitate continual improvement.”General:Page 1 of 26 4/12/2005 Supply Chain Operations Social and Environmental Responsibility Program http:/ http:/ Compliance with Laws HPs Supplier Code of Conduct states that“a business,in all of its activities,must operate in full compliance with the laws,rules and regulations of the countries in which it operates.”1.Has the company been cited for violations resulting in monetary penalties and/or formal corrective actions mandated by a government authority or a court in the past 3 years?Environmental:Yes No Health&Safety:Yes No 1.1 If“Yes,”indicate the nature of the violation(s)and actions taken to remedy the situation.Check all that apply:Env.OHS Government or regulatory agency required the company or facility to pay a monetary penalty because of citation or violation(s).Government or regulatory agency required shutdown of an operation or entire site because of citation or violation(s).Company official(s)were fined or imprisoned because of citation or violations.Government or regulatory agency required change(s)in procedures as a corrective action.Government or regulatory agency required change in or installation of physical controls(e.g.emission control equipment)as a corrective action.Company was responsible for determining corrective actions to be taken Government or regulatory agency determined corrective actions to be taken.Corrective actions are currently in progress.Corrective actions have been completed.As a result of regulatory violations,the company was/is banned from doing business with a government entity.Other.Please describe:_.Page 2 of 26 4/12/2005 Management System Applicability and Third-Party Certification 2.1 The facilitys management system applies to:Check all that apply.Environment Health&Safety no management system in place 2.2 Is the facilitys environmental management system registered to ISO 14001?Yes No 2.2.1 If“Yes,”please list the certificate number,date of issue,and registrar,and attach a copy of the certificate and latest registration audit.label your attachment“ISO 14001”2.3 Is the facilitys occupational health and safety management system registered to OHSAS 18001 Supply Chain Operations Social and Environmental Responsibility Program http:/ http:/ (or equivalent)?Yes No 2.3.1 If“Yes,”please list the certificate number,date of issue,and registrar,and attach a copy of the certificate and latest registration auditlabel your attachment“OHSAS 18001”Page 3 of 26 4/12/2005 Supplier Management HPs Supplier Code of Conduct states that:”it is also expected that each Participant shall require its first tier suppliers to acknowledge and implement the Code.”3.Does the company/facility require its suppliers to be in compliance with environmental,health and safety laws and regulations?Environmental:Yes No Health&Safety:Yes No 3.1 If“Yes,”please indicate how the requirement to comply with laws and regulations is communicated to your suppliers and assured by your management.Check all that apply:Env.OHS The requirement is part of the company/facilitys policy or standard which is available to suppliers The company/facility sends to suppliers a written notification of the requirement The compliance requirement is incorporated into a written agreement which is signed by all of the company/facilitys suppliers We learn of compliance problems with our suppliers when they or third parties notify the company/facility or our management.We actively verify the compliance status of our suppliers or have a process to assure our suppliers compliance with laws and regulations.Other.Please describe:_ 4.Does the facility communicate information about its environmental and/or health&safety performance,practices and expectations to its suppliers?Environment:Yes No Health&Safety:Yes No 4.1 If“Yes,”please indicate the means of communication.Check all that apply:Env.OHS Correspondence to supplier management.Contract terms and conditions.Presentations to suppliers.Training for suppliers.Company extranet.Other.Please describe:_Supply Chain Operations Social and Environmental Responsibility Program http:/ http:/ Page 4 of 26 4/12/2005 D1 Company Commitment HPs Supplier Code of Conduct states that HPs suppliers must have:“Corporate social and environmental responsibility statements affirming Participants commitment to compliance and continual improvement.”1.1 Does the company/facility have a policy/commitment statement affirming the companys commitment to compliance and continuous improvement in the following areas?Environmental:Yes No Health&Safety:Yes No If“Yes,”please attach your policy/commitment statement(s).label your attachment“D1.1”1.2 Indicate the scope of the policy/commitment statement and how it is implemented by checking all that apply:Env.OHS The policy/commitment statement is signed by company executive management.The policy/commitment statement is signed by the highest level manager at the facility.It is a company-wide policy/commitment statement that applies to all facilities regardless of the country in which they are located The policy/commitment statement applies only to sites in a specific country or geographic region The policy/commitment statement applies only to this facility The policy/commitment statement is publicly available on the company/facility website The policy/commitment statement is reviewed annually by management and revised as needed.Other.Please describe:_1.4 Is the policy/commitment statement made available to the company/facilitys workers?Environment:Yes No Health&Safety:Yes No If“Yes,”please indicate how the policy/commitment statement is made available to workers.Check all that apply:Env.OHS Policy/commitment statements are available via means accessible to all workers(i.e.internal website,common area bulletin boards,etc.)in their native language(s)Policy/commitment statements are included in handouts provided to all workers(i.e.worker handbook,worker orientation training materials,program awareness documents,etc.)in their native language(s)Other.Please describe:_Supply Chain Operations Social and Environmental Responsibility Program http:/ http:/ Page 5 of 26 4/12/2005 D2 Management Accountability and Responsibility HPs Supplier Code of Conduct states that HPs suppliers must have a:“Clearly identified company representative(s)responsible for ensuring implementation and periodic review of the status of the management systems.”2.1 Is a management representative of the company assigned responsibility for implementing programs to ensure compliance with laws and regulations and the requirements of the HP Supplier Code of Conduct?Environment:Yes No Health&Safety:Yes No 2.1.1 If Yes,please provide contact information below.Name of environmental management representative:Position/Title:Telephone Number:Fax Number:Address:Email:Name of occupational health and safety management representative:Position/Title:Telephone Number:Fax Number:Address:Email:Supply Chain Operations Social and Environmental Responsibility Program http:/ http:/ 2.2 Management System Review.Does the company perform a periodic,top-level assessment of the status of environmental and health&safety programs,including:progress toward meeting improvement objectives,results of audits,and completion of corrective actions,in order to identify improvement opportunities?Environment:Yes No Health&Safety:Yes No 2.2.1 If Yes,please indicate how the review is performed,including the review frequency and date of the last review.Check all that apply:Env.OHS Reviews are conducted by the environmental and/or health&safety staff only.Reviews are conducted by the environmental and/or health&safety staff and site management Reviews are conducted by the site management only Reviews are conducted by an outside consultant Reviews are conducted on an as needed basis Reviews are conducted at least annually The review includes an assessment of the sites progress in meeting its objectives and targets The facility establishes specific management system improvement actions as a result of the review,as needed Other.Please describe:_ Page 6 of 26 4/12/2005 B3 Legal and Customer Requirements HPs Supplier Code of Conduct states that HPs suppliers must have an:“Identification,monitoring and understanding of applicable laws,regulations and customer requirements.”3.1 Does the facility have a system to track laws and regulations and customer requirements that apply to the operations of the facility?Environment:Yes No Health&Safety:Yes No If“Yes”,please indicate how laws and regulations are tracked.Check all that apply:Env.OHS Facility subscribes to electronic or hardcopy services that provide periodic updates Facility uses a consulting service to track regulations and provide periodic reports describing the impact on the facilitys operations Facility actively reviews new laws/regulations on at least a quarterly basis The facility obtains information from industry associations The facility obtains information from regulators during site audits/inspections/visits Other.Please describe:_Supply Chain Operations Social and Environmental Responsibility Program http:/ http:/ Page 7 of 26 4/12/2005 D4 Risk Assessment and Risk Management HPs Supplier Code of Conduct states that HPs suppliers must have a:“Process to identify the environmental,health and safety and labor practice risks associated with Participants operations.Determination of the relative significance for each risk and implementation of appropriate procedural and physical controls to ensure regulatory compliance and control the identified risks.”4.1 Does the facility have a risk assessment process to identify and evaluate the relative significance of the environmental and health and safety risks of the facilitys operations and activities?Environment:Yes No Health&Safety:Yes No 4.1.1 If“Yes”,please indicate how environmental and health&safety aspects,impacts and risks are identified and evaluated.Check all that apply:Env.OHS A risk assessment was performed once A risk assessment is performed at least every two years The risk assessment is updated whenever there are changes in site operations that could impact risk levels The facility has a formal assessment process,including a documented approach and findings Applicable legal and customer requirements are part of the determination of risk The assessment process determines the relative magnitude or significance for each identified risk Risks are prioritized by significance Risks are used as the basis for setting improvement objectives and targets Risks are used as the basis for establishing operational controls The risk assessment is performed by facility or company professionals who are expert in the subject they are assessing The risk assessment is performed by an external consultant Other.Please describe:_4.2 Has the facility established procedural and physical controls to manage the identified environmental and health&safety risks and ensure regulatory compliance?Environment:Yes No Health&Safety:Yes No 4.2.1 If“Yes”,please indicate how the company uses procedural and physical controls to manage the identified environmental,and health&safety risks to ensure regulatory compliance.Check all that apply:Env.OHS Prioritized results of the risk assessment are used to determine the need for Supply Chain Operations Social and Environmental Responsibility Program http:/ http:/ procedural and/or physical controls.Procedural controls(work procedures and processes)are implemented to address environmental and health&safety risks Physical controls(environmental control equipment,exhaust ventilation,etc.)are installed to address environmental and health&safety risks The company/facility did not identify the need for any procedural controls The company/facility did not identify the need for any physical controls The company/facility evaluates the effectiveness of controls to verify compliance with regulations.The facility does not have a process for evaluating procedural or physicals controls for effectiveness.Other.Please describe:_ Page 8 of 26 4/12/2005 D5 Performance Objectives with Implementation Plan and Measures HPs Supplier Code of Conduct states that HPs suppliers must have:“Written performance objectives,targets and implementation plans including a periodic assessment of Participants performance against those objectives.”5.1 Does the facility have written performance objectives and targets with implementation plans for achieving them?Environment:Yes No Health&Safety:Yes No 5.1.1 Please indicate how the company establishes performance objectives and implementation plans for environment an