THD验厂咨询-解析家得宝SER关键评级框架及CAPA 模式与合规保障核心
SER Program Overview 社会和环境项目概述
Assessment & Periodic Audits Time Frame 评级和有效期
Grade A 等级: 95% - 100%
Two years from the CAPA closure (if CAPA is required) or most recent audit date (if no CAPA required) 有效期两年,从CAPA关闭日起(如果有CAPA需要关闭)或从上一次审核日期起计算(如果无CAPA)
Grade B 等级: 80% - 94%
One year from CAPA closure 有效期一年,从CAPA关闭日起计算
Grade C 等级: 65% - 79%
Six months from CAPA closure 有效期六个月,从CAPA关闭日起计算
Grade F 等级: Less than 65% or Alert 审核分数小于65%或得到警告
Factory is required to undertake the Transparency and Improvement Program (TIP). New audit required six (6) months from the date of the audit. At that time the factory is expected to achieve a grade C or higher. 工厂必须参加透明与提升计划 (TIP),并在六个月后接受新的审核,审核结果须为等级“C”或更高
NOTE: If factory enters “non-compliance” status for not closing CAPA within required timeline, the re-audit date is calculated based on the original audit date. 如果工厂进入了“不符合”状态则复审日期依据初审日期计算。
Tiered CAPA Verification Program 分级纠正预防项目
Once CAPA plan was approved, THD will conduct verification that the actions were implemented via three level, risk-based “Tiered CAPA” model as follows:届时,如果纠正预防行动计划(CAPA PLAN)被通过, 家得宝(THD)将实施一套三个层次,基于风险的“分级纠正预防”模式。具体如下:
3 Tier System 3 层次系统
• Critical–15 day The Home Depot SER Team Engagement重大风险-纠正预防计划获得批准日起第15天由家得宝社会和环境责任团队负责验证
• High-30 day Service Provider (SP) Engagement高风险–纠正预防计划获得批准日起第30天由审核服务商进行验证
• Medium– 90 day SP Engagement中风险-纠正预防计划获得批准日起第90天由审核服务商进行验证
100% On-Site CAPA Verification Program 纠正预防措施需要100%现场验证
• SP conducted/Supplier Paid (High and Medium)审核服务商针对高、中风险进行纠正预防措施的现场确认/由供应商支付审核费用;
• “30 Day Warning” prior to “Non-Compliance List” (PO Block) 在被列入“不符合供应商名录”前有30天的警示期。
Suppliers need to provide accurate and complete evidence for each point in every finding at least 7 business days before on-site verification and identify the evidence with a specific document/picture name to match the deficiency. If suppliers fully meet this requirement, there may be an opportunity to waive the on-site verification based on risk level and nature of the finding. The THD SER team will make all final decisions on waivers. Evidences submission in advance is encouraged.供应商需要在距现场审核至少7个工作日之前向审核服务商提交准确和完整的整改证据,并且证据包含的文件和图片要有明确的命名匹配每个问题点。如果供应商能够完全满足这个要求,那么将有机会根据风险等级和问题性质取消现场审核。THD SER团队会做是否取消审核的最终决定。鼓励提前提交整改证据。
If a factory has not followed through with completing their CAPA after the initial 30 day extension and then stay 60 days in Non-compliance without correcting the issues, then they will be terminated with an official letter and banned for at least 1 year before applying to be reinstated. 如果在初始的 30天延长期后工厂仍没有彻底完成整改并且进入不符合名录达到60天,那么他们将会被正式邮件通知终止合作并且至少一年后才能重新申请合作。
• Required for all factory assessments resulting in an “F” grade and/or “Critical” findings not resulting in termination 所有审核结果等级为“F”和/或有高危违规问题的工厂都要求参加TIP计划,否则将终止其与家得宝公司的合作关系
• Supplier must play an active role in the process to ensure ownership and engagement 供应商应当积极的参与到TIP计划的整个过程中,以确保其权责和义务
• Goal is “Capacity Building”! 目标:“能力建设”!
• Re-Audit in 6 months 六个月后复审