The document summarizes the results of a supplier workplace accountability assessment conducted at Shenzhen Xin Yue Tang Plastic & Hardware co.,limited in Shenzhen, China. The assessment found issues with the facility not providing social insurance to all workers, workers' monthly overtime exceeding legal limits, and the facility not having well-developed management systems to control working hours and environmental impacts. The facility was given ratings of Amber and Yellow and required to submit corrective action plans to address the issues.

1. Supplier Workplace Accountability (SWA) Assessment
Facility:
Shenzhen Xin Yue Tang Plastic & Hardware co.,limited
Address:
No 60. Jixiang 1st Road, PingXi community, PingDi
Street,
LongGang District ,
Shenzhen, 518117 China
Company ID: CMPY-061817
Primary Contact: Xiaoping Ding
Phone Number: 13751163587
Email: 962532976@qq.com
Facility Information
Report No.: 2014-01-A00620
Assessment
Type:
Comprehensive
Report Issue
Date:
04-Mar-2014
Monitoring Firm: SGS
Auditor(s): Ashley Yin, Bruce Shen
Assessment Information
Yellow 94%OVERALL ASSESSMENT SCORE:
Start Time, Man Day 1: NA.
End Time, Man Day 1: NA.
Start Time, Man Day 2: Start time: 9:20 am
End Time, Man Day 2: End time: 16:30 pm
End Date:17-Jan-2014 17-Jan-2014Start Date:
Green 100%
Yellow 90-99%
Amber 70-89%
Red 69% or below
Overall Rating and Score Range
NEXT STEPS: Upon receipt of this SWA Assessment, the facility will develop and implement a Corrective and
Preventative Action (CAPA) plan for any identified areas of non-compliance or concerns. The CAPA will include
immediate corrective actions taken, a root cause analysis, steps to avoid recurrence, identified responsible parties,
and target dates each step will be completed. CAPA will be verified during the next onsite assessment.
Page 1 of 4Report No: 2014-01-A00620
PLEASE NOTE: In some instances, this SWA Assessment, or any portion thereof, may be translated into a local language for reference purposes only. If so translated, the English version shall be
considered the official version for any required actions. In the event of a conflict or inconsistency between a translated version and the English version, the English version will control.

2. Human Rights
Employment Status•
Migrant Labor•
Recruitment Firms•
Home Workers•
Involuntary Labor•
Prison Labor•
Freedom of Association•
Non-Discrimination•
Employee Discipline•
Harassment and Abuse•
Underage Labor/Young Workers•
Compensation and Benefits•
Working Hours and Rest Days•
Workplace Environment
Health and Safety Training•
Fire Safety Equipment and Training•
Safe Working Conditions•
Safe Work Practices•
Building Integrity•
Emergency Preparedness•
Personal Protective Equipment•
Machine Safety•
Medical Care•
Chemical and Hazardous Materials Safety•
Restrooms/Toilet Facilities•
Facility Provided Housing/Dormitory•
Canteen/Cafeteria Services•
Environmental Management
Energy Use and Greenhouse Gas
Management
•
Water Management•
Wastewater and Effluents Management•
Waste Management•
Air Emissions Waste•
Hazardous Substance Management•
Soil/GroundWater Pollution Prevention•
Business Integrity
Compliance with and Knowledge of Local and
National Laws
•
Bribery, Corruption, Extortion and
Embezzlement
•
Documentation and Recordkeeping•
Management Systems
Management Accountability and Responsibility•
Policies, Procedures, Communication and
Training
•
Monitoring and Governance•
International Verification•
Grievance Mechanism•
The Scope of the Supplier Workplace Accountability (SWA)
Comprehensive Assessment includes the following elements:
Page 2 of 4Report No: 2014-01-A00620

3. Green
Non-compliance corrected during onsite assessment.
Management System Gaps to be addressed to ensure sustainable corrections are maintained
Yellow Corrective and Preventative Action Plan Required
Amber Prompt Attention Required, Corrective and Preventative Action Plan (CAPA) to be submitted
Red Immediate Action Required, Corrective and Preventative Action Plan (CAPA) to be submitted
Rating Type Action Required based on Rating Type per Each Finding
Human Rights - Wages and Benefits:
Findings:
The facility did not provide social insurance to all workers as per legal requirement.
2013 12 99
25 4
Law or Customer Expectation:
China Labor Law,
Article 72, The sources of social insurance funds shall be determined according to the categories of insurance, and an
overall pooling of insurance funds from the society shall be introduced step by step. The employing unit and laborers
must participate in social insurance and pay social insurance premiums in accordance with the law.
Article 73, Laborers shall, in accordance with the law, enjoy social insurance benefits under the following
circumstances:
1) retirement;
2) illness or injury;
3) disability caused by work-related injury or occupational disease;
4) unemployment; and
5) child-bearing.
A
Supplier Workplace Accountability Assessment
Non-Compliance Details
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4. Human Rights - Working Hours:
Findings:
Workers’ monthly overtime hours exceeded legal requirement. Through sampling review of the provided attendance
records from Jan 1, 2013 to Jan 17, 2014 (the audit day), the monthly overtime hours of about 90% workers had
exceeded 36 hours per month in all the reviewed months except Feb 2013, ranging from 38 to 84 hours per month
with the maximum up to 84 hours in Aug 2013.
2013 1 1 2014 1 17 36
2013 2 38 84 84 2013 8
Law or Customer Expectation:
China Labor Law, Article 41
The employing unit may extend working hours due to the requirements of its production or business after consultation
with the trade union and laborers, but the extended working hour for a day shall generally not exceed one hour; if
such extension is called for due to special reasons, the extended hours shall not exceed three hours a day under the
condition that the health of laborers is guaranteed. However, the total extension in a month shall not exceed thirty six
hours.
A
Business Integrity - Management Systems and Grievance Mechanisms:
Findings:
The facility did not have well developed Working Hour Control Management System to control working hours fully in
compliance with legal requirement.
Law or Customer Expectation:
Customer Best Practice: The facility should have a Working Hour
Control Management System (to determine, monitor, control overtime hours) that includes each of the following
elements: - Written Policies & Procedures - Communication & Training (understood by workers) - Monitoring &
Governance (internal verification)
Y
Environment - Environmental Management System:
Findings:
The facility did not have well developed Environmental Management System (EMS) according to ISO14001 standards.
ISO14001
Law or Customer Expectation:
Customer Best Practice: The facility should have an
Environmental Management System (EMS) that includes each of the following elements - Written Policies &
Procedures - Communication & Training (understood by workers) - Monitoring & Governance (internal verification)
Y
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