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1、Category类别MS Elements管理体系要素Line Items (AssessingPoints)条款(评估要点)Line ItemSummary条款摘要1.Foundation体系基础Commitment方针政策或承诺1.1 Supplier shalldevelop a companystatement affirming itscommitment to highstandards of social andenvironmentalresponsibility, ethicalconduct, and continuousimprovement. Suppliershall。
2、 post thisstatement in theprimary local languageat all of itsfacilities.工厂应编制公司声明，证明其高于标准履行社会和环境职责、道德操守和持续改善的承诺。工厂应以当地官方语言编写该声明，并将其张贴在所有工厂内Commitment方针政策或承诺Endorsement ofcommitment方针政策或承诺的签署Communicationon commitment方针政策或承诺的沟通和传达1.2 Supplier shall havea Corporate SocialResponsibility (CSR) orSustain。
3、abilityrepresentative thatreports directly toexecutive managementand has theresponsibility andauthority to managesocial andenvironmentalcompliance requirementsfor the business.工厂应拥有公司代表，负责确保实施和定期审核管理体系。供应商应拥有EHS管理者代表，可直接向行政管理层报告，承担并拥有管理企业的社会和环境合规要求的责任EHS managerEHS管理者代表1.3 Strategic leadership,Respo。
4、nsibility at seniorlevel最高管理者战略性的指示及其职责Topmanagementssupport最高层管理的支持1.4 Cross-functionalcommittee跨部门委员会Cross-functionalcommittee跨部门委员会1.5 Integrity, Transparencyand Communication完整性、透明度和沟通EHS informationintegrityEHS信息的完整性1.Foundation体系基础Commitment方针政策或承诺Certificate认证证书1.6 Facility hascommitted to al。
5、ign itsmanagement system witha recognized social andenvironmental system.工厂已承诺使其管理体系通过相关认可的EHS体系认证EHSaccreditationEHS体系认证2. Plan计划Tracking ofLegal andCustomerRequirements andAssessmentof Risks法律法规、客户要求的追踪及风险评估2.1 Supplier shallimplement a system toidentify and monitorlaws, regulations andcustomer re。
6、quirementsthat apply to thefacility.工厂应系统地识别和追踪适用法律法规及客户的要求Law andrequirementidentification法律法规识别1.Foundation体系基础People for lawand requirementidentification法律法规识别的负责人员2.2 Supplier shallimplement an ongoingprocess to evaluate EHSRisks and theirsignificance tofacility operations.工厂应持续地评估EHS风险并在实践运作中对风。
7、险进行管控Risk assessmentprocess风险评估流程Usage of riskassessment result风险评估结果的应用2. Plan计划Tracking ofLegal andCustomerRequirements andAssessmentof Risks法律法规、客户要求的追踪及风险评估2.1 Supplier shallimplement a system toidentify and monitorlaws, regulations andcustomer requirementsthat apply to thefacility.工厂应系统地识别和追踪适用。
8、法律法规及客户的要求People for riskassessment风险评估的负责人员Communicationon riskassessment result风险评估的沟通和传达Objectivesand Strategy目标、战略2.3 Supplier shall havea process to defineobjectives and target工厂应建立目标指标管理程序Objective settingprocess建立管控目标2. Plan计划Tracking ofLegal andCustomerRequirements andAssessmentof Risks法律法规、。
9、客户要求的追踪及风险评估2.2 Supplier shallimplement an ongoingprocess to evaluate EHSRisks and theirsignificance tofacility operations.工厂应持续地评估EHS风险并在实践运作中对风险进行管控People involves inobjective settingprocess负责建立目标的人员2.4 Supplier shall havewritten performanceobjectives, targets.工厂应建立书面的改善目标、指标Content andquality of 。
10、objective目标的内容和质量Communicationon objective目标的沟通和传达2. Plan计划Objectivesand Strategy目标、战略2.3 Supplier shall havea process to defineobjectives and target工厂应建立目标指标管理程序2.5 Supplier shall havea strategy andimplementation plansfor achieving itsobjectives and targets.工厂为达成目标指标应制定战略及管理实施计划Implementationplan f。
11、or objective目标的实施计划Regular review onimplementationplan管理方案的定期评审3. Do实施ConsistentImplementation持续实施3.1 Supplier shallestablish anorganizationalstructure asappropriate to ensureimplementation of itsEHS commitments andconformance with legaland Code requirements工厂应建立组织机构以确保EHS方针政策的实施及符合法律法规和客户要求Organiza。
12、tion toimplement EHScommitment推行EHS体系的组织2. Plan计划Objectivesand Strategy目标、战略Budget for EHS推行EHS体系的预算3.2 Supplier shallimplement process andphysical controls tocontrol identifiedrisks and comply withlegal and customerrequirements.工厂应执行适当的程序和控制措施以控制已识别的风险和符合法律法规和客户要求Operationalcontrol and itseffective。
13、ness运行控制和效果Training forresponsiblepeople foroperational control运行控制负责人员的培训3. Do实施ConsistentImplementation持续实施3.1 Supplier shallestablish anorganizationalstructure asappropriate to ensureimplementation of itsEHS commitments andconformance with legaland Code requirements工厂应建立组织机构以确保EHS方针政策的实施及符合法律法规和客。
14、户要求3.3 Suppliers shallestablish a process tocommunicate and providetraining on itspolicies, practices andperformance internallyand externally.工厂应建立程序，以向内外部提供关于其政策、实践和表现的培训和沟通Communicationfor operationalcontrol运行控制的沟通和传达Training on EHSpolicy, standardand practiceEHS政策、标准和实践的培训3. Do实施ConsistentImpleme。
15、ntation持续实施3.4 Suppliers shallensure theparticipation ofworkers and externalstakeholders in thedevelopment andimplementation ofworkplace policies,programs andprocedures.工厂应确保员工和外部相关方参与EHS管理项目Workers andexternalengagement inEHS management员工和外部相关方参与3.5 Suppliers shallmaintain the documentsand records 。
16、needed toensure compliance withlegal and customerrequirements.工厂应保留文件和记录，以确保遵守法律法规和客户要求Documentmaintenance forEHS managementEHS文件管理3. Do实施ConsistentImplementation持续实施Recordmaintenance forEHS managementEHS记录管理4.Check检查和监督MonitorImplementation & ReviewResult实施监控和评估结果4.1 Suppliers shallmonitor theeffec。
17、tiveness ofprocedural and physicalcontrols to ensuretheir ongoingeffectiveness.工厂应对运行控制措施的实施效果进行监督Monitor theeffectiveness ofoperational control运行控制效果的监督4.2 Supplier shallimplement a process forinternal regulatorycompliance and codeconformance audits andassessments.工厂应建立程序实施内审，以评估其法律法规客户准则的符合状况Evalu。
18、ate the lawcompliance法律法规要求的审核3. Do实施ConsistentImplementation持续实施3.5 Suppliers shallmaintain the documentsand records needed toensure compliance withlegal and customerrequirements.工厂应保留文件和记录，以确保遵守法律法规和客户要求Evaluate internaland externalrequirementcompliance内部和外部要求的合规性审核Evaluate directsupplierscomplian。
19、ce直接供应商的审核Training forresponsiblepeople for theevaluation审核员的培训4.Check检查和监督MonitorImplementation & ReviewResult实施监控和评估结果4.2 Supplier shallimplement a process forinternal regulatorycompliance and codeconformance audits andassessments.工厂应建立程序实施内审，以评估其法律法规客户准则的符合状况4.3 Supplier shallimplement processes 。
20、tosolicit and analyzefeedback from workersand externalstakeholders on thefacilitys EHSpolicies, practices andperformance.工厂应征求并分析员工和外部相关方关于工厂EHS政策、实践和表现的回馈信息Evaluate throughcollecting internaland externalfeedback收集员工及外部信息4.4 Supplier shallimplement a process toreport audit andassessment findings and。
21、improvement actionsboth internally andexternally工厂应建立程序，以向内外部报告审核评估的发现点和整改计划Communicationon monitoring andevaluation result审核和评估结果的沟通和传达4.Check检查和监督MonitorImplementation & ReviewResult实施监控和评估结果5.Adjust调整NonconformanceManagement纠正预防管理5.1 Supplier shallimplement a process toaddress noncompliancesand n。
22、onconformancesidentified by internaland external audits andassessments, grievancereports, accidentinvestigations andother means.工厂应制定程序，以管控内外部审核或评估、投诉报告、事故调查等方式识别出来的不合规项目CAP process fornonconformance纠正预防管理Communicationon CAP整改行动计划的沟通和传达ManagementReview管理评审5.2 Supplier managementshall conduct regular。
23、reviews of thesuitability andeffectiveness of itsmanagement system andsupporting processes.工厂应定期对EHS管理系统的适宜性、有效性和支援流程进行管理评审Process ofmanagementreview管理评审的实施5.3 Supplier shalldocument its managementreview meetings,including anyidentified improvementactions.工厂应保留管理评审会议的文件记录，包括识别出来的改善行动报告Documentmainte。
24、nance ofmanagementreview管理评审的文件管理5.4 The supplier shallcommunicated theresults of themanagement review asappropriate internallyand externally.工厂应向内外部沟通和传达管理评审的结果Communicationon the result ofmanagementreview管理评审输出的沟通和传达5.Adjust调整5.5 Supplier shall usethe results of theManagement Review toimprove the 。
25、suitabilityand effectiveness ofits EHS managementsystem.工厂应参考管理评审的结果来改善EHS系统的适宜性和有效性Usage of theoutput frommanagementreview管理评审输出的应用6.ChangeManagement变更管理ChangeManagement变更管理6.1 Change Management变更管理Changemanagement变更管理Maturity Percentage系统成熟度符合率Improvement Areas改善空间YesNo5.Adjust调整ManagementReview管理。
26、评审Maturity Level系统成熟度水平Minimum Expectation最低期望Sustained Performance持续的表现1.1.1 A -Statement withcommitment to regulatorycompliance is in place.工厂的EHS方针政策或承诺应包括：符合法律法规适用要求的承诺EHS (Social andEnvironment Responsibility)社会及环境保护责任Yes1.1.1 B - All of Minimumplus:Commitment to meet customerrequirements, inte。
27、rnalcompany standards and otherapplicable requirements andto achieve continualimprovement工厂的EHS方针政策或承诺应包括：符合客户的适用要求的承诺符合公司既定政策、标准及程序要求的承诺符合其他适用要求的承诺对持续改进的承诺Yes1.1.2 A - Statement issigned by the facilitymanager.EHS方针政策或承诺由工厂经理（最高管理层）的签署Yes1.1.2 B - Statement issigned by the companyPresident/CEO.EHS方。
28、针政策或承诺由公司(集团)董事/CEO的签署No1.1.3 A - The commitmentstatement is prominentlyposted throughout thefacility in the language(s)understood by employees.EHS方针政策或承诺以员工当地的语言在厂区显著的地方进行张贴Yes1.1.3 B - All of Minimumplus:Employees are trained onthe policy statement in newemployee (onboarding)training.员工的入职培训（新员工培训。
29、）已包括EHS方针政策或承诺的内容 Yes1.2.1 A - Management levelis designated asresponsible forimplementation of thecompanys policycommitments.工厂已委任EHS管理体系管理者代表(管理层级别的)负责推行及实施EHS方针政策或承诺andThe designated managementhas formally definedresponsibilities andaccountability.被委任的EHS管理者代表有正式、书面地定义其作用、职责和权限Yes1.2.1 B - All of。
30、 Minimumplus:The designated managementhas staff and budget forimplementation of thecompanys policycommitments.EHS管理者代表已足够的人力资源(人员）和经费预算以推行、实施工厂EHS方针政策或承诺 Yes1.3.1 A - Top managementprovides strategicleadership for thedevelopment and operationof social and environmentalresponsibilities, andprovides w。
31、rittenendorsement of keycommitment and approves thepolicies.工厂最高层管理应为EHS的运作及发展给予战略性的指示或指引，包括为主要的政策或承诺给予书面的认可和批准Yes1.3.1 B - All of Minimumplus:Top management commitmentis communicated internally.高层管理的指示或承诺已进行内部沟通及传达andTop management reviews thestrategic direction ofsocial and environmentalresponsibi。
32、lities.高层管理应评审EHS项目管理运作及发展的策略性方向No1.4.1 A - The facility hasorganized cross-functionalcommittee responsible tooversee and manage socialand environmentalresponsibilities from ahigh level.工厂已建立一个跨部门委员会以更高层级负责监督及管理工厂的EHS体系运行No1.4.1 B - All of “Minimum” plus:The committee has clearprocedure to stipulate。
33、 itsoperation and is proved operating.该委员会应建立清晰的程序以规范其运作，并被证其正在有效地运行No1.5.1 A - The facility has theprocess to review and ensure theinformation disclosure is inaccurate and transparentmanners.工厂已制定程序，以管控及确保公开信息的符合准确、透明的原则Yes1.5.1 B - All of “Minimum”plus:The facility has ethicalofficer responsible f。
34、orassurance of internalintegrity and transparency.工厂已指定执行人员负责管控及确保内部沟通信息的准确性、完整性和透明性。YesN/A N/A2.1.1 A - The facility obtainscurrent versions of applicablelaws, regulations and customerrequirements.工厂已收集当前版本的适用法律法规及客户要求Yes2.1.1 B - All of Minimum plus:The facility has a formalprocedure to review new。
35、 andupdated laws, regulations andcustomer requirements on ascheduled basis and wheneverthere are significant changes tosite operations.工厂已建立一套正式的程序，以便在下列情况下更新法律法规法律法规和客户要求 定期更新（规定更新频率） 工厂的经营运作产生重大改变时Yes2.1.2 A - Specific individualsand/or departments are assignedresponsibility for trackingregulation。
36、s and customerrequirements.工厂已委派指定的人员和/或部门负责收集和追踪法律法规及客户的要求Yes2.1.2 B - All of Minimum plus:Responsibilities are defined in theposition plans of responsibleindividuals.这一职责内容已被列入指定负责人员的岗位职责中andThe responsible person(s) candescribe how the tracking systemworks and their responsibilities.负责的人员能讲述其职责及如。
37、何进行法律法规及客户要求收集和追踪Yes2.2.1 A - The facility hasimplemented a process toidentify and analyzepotential risks (gaps inbusiness processes) thatcould lead to noncompliancewith labor, ethics,environmental andoccupational health &safety requirements工厂已制定一套程序，包括识别、分析可能导致不符合环境及健康安全方面要求的潜在风险（影响工厂运行控制的差距）Yes2.2。
38、.1 B - All of Minimum plus:The process is repeated on aregular schedule or wheneverthere are major changes to laws,customer requirements or infacility operations风险识别及分析流程应定期进行，或在法律法规、客户要求及工厂运作中有重大变更时进行Yes2.2.2 A - The facility assessmentprocess includes a way to rankand prioritize noncompliance risk。
39、s工厂风险评估的程序应包括划分潜在不合规风险等级的方法Yes2.2.2 B - All of Minimum plus:The facility has ranked orprioritized its risks.工厂已划分潜在不合规项目的风险等级andThe facility has used the results todevelop improvement objectivesand put in place controls toaddress the highest priority gapsin business processes.工厂有参考风险评估的结果来制定改善目标，且对于。
40、重大风险等级的项目有制定相应的管理方案实施管控Yes2.2.3 A - Responsibilityfor performing riskassessment has beenassigned to specificindividuals or departments.工厂已委派指定的人员或部门负责实施EHS风险评估Yes2.2.3 B - All of Minimum plus:Responsible persons have thetraining and experience needed toconduct quality assessments负责人员已接受培训或具备所需的经验以执行。
41、高质量的风险评估andThe responsible person(s) canexplain the risk evaluation processand their roles andresponsibilities.负责人员应该能清楚讲述风险评估的流程及他们的角色和职责Yes2.2.4 A - Results of theassessment process arecommunicated to affectedindividuals and departmentsin the facility.工厂已将EHS风险评估的结果传达给相关（涉及到的）人员和部门Yes2.2.4 B - All。
42、 of Minimum plus:The assessment results areregularly communicated to facilityemployees and managers.风险评估的结果已定期跟员工及各级管理人员进行沟通和传达Yes2.3.1 A - The facility hasimplemented a process toestablish improvementobjectives and targets.工厂已制定一套程序，以建立EHS改善的目标、指标Yes2.3.1 B - All of Minimumplus:The process uses the。
43、results of the facilityrisk assessment process andtracking of customer andlegal requirements asinput.风险评估的结果、法律法规要求及客户要求应该作为建立EHS改善目标、指标流程中的输入andThe process is performed atleast annually.落实EHS目标、指标程序应至少每年进行一次Yes2.3.2 A - The facility hasresponsible person(s) tolead the setting ofimprovement objectiv。
44、es andtargets.工厂已指定负责人员负责主导建立EHS改善的目标、指标Yes2.3.2 B - All of Minimum plus:All operational and functionalorganizations participate in theobjective setting process.目标指标涉及的相关所有运营、职能部门已参与目标指标建立的过程andSenior management approves theobjectives chosen forimplementation.高级管理者已批准所选取实施改善目标、指标的管理方案Yes2.4.1 A - Th。
45、e facility hasestablished improvementobjectives and targets thataddress the highestpriority risks andregulatory impacts.工厂已制定EHS改善的目标和指标以管控重大EHS风险或可能产生重大法律违规风险andThe facilitys improvementobjectives and targets areSMART (Specific,Measurable, Achievable,Relevant, and Time bound).工厂制定EHS改善的目标、指标应符合SMAR。
46、T原则（明确性、衡量性、可实现性、相关性和时限性）Yes2.4.1 B - All of Minimum plus:The facilitys improvementobjectives and targets are provedis achievable and continuousimprovement.工厂制定改善的目标、指标被证实符合可实现性和符合持续改善的要求No2.4.2 A - Objectives andtargets are communicated toaffected individuals andfunctions at the facility.工厂已将EHS改善的。
47、目标、指标向相关（涉及到的）人员及部门进行沟通和传达Yes2.4.2 B -All of Minimum plus:Objectives and targets areprominently posted in the facilityand included in annual training foremployees.目标、指标已在显著的地方张贴且已纳入员工年度培训内容Yes2.5.1 A - Implementationplans are in place forImprovement objectives andtargets.工厂已为EHS改善的目标指标建立相应的管理方案及实施计划。
48、Yes2.5.1 B - All of Minimum plus:Detailed implementation planshave been implemented thatinclude owners, resourcerequirements (budget and staff),milestones and KPIs or othermeans to measure successfulimplementation.详细的管理方案实施计划已被实施，包括：方案的负责人所需的资源（经费预算及人力资源）阶段性指标的跟踪及衡量、调整KPI或其它衡量达成的指标Yes2.5.2 A - Perfo。
49、rmanceagainst plan is reviewed ona regular basis.工厂已对EHS改善的目标、指标的管理方案实施状况定期进行评审 No2.5.2 B - All of Minimum plus:Implementation plan timelinesand/or goals are adjusted, asneeded, as part of the reviewprocess.在目标、指标评审流程中，已根据需要对管理方案实施计划的时间表或目标做相应的调整No3.1.1 A - Implementationresponsibilities areassigned responsibleindividuals for all socialand environmentalresponsibility programs.工厂已委派给指定的负责人员负责落实EHS所有的管理项目Yes3.1.1 B - All of 。
