微软供应商社会和环境责任手册（中英文）H02050-MS-Supplier-SEA-Manual-Englsih-Chinese (Simplified)

DevicesComplianceandSustainabilityProductSafety,EnvironmentalCompliance,andResponsibleSourcingMICROSOFTSUPPLIERSOCIALANDENVIRONMENTALACCOUNTABILITYMANUALAuthor: ResponsibleSourcingDocument:H02050Revision:

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Sep12,2019Thison-lineprocedureisa“controlled”documentandauthorizedforuse.Whenprintedfromthiswebsite,thisdocumentisuncontrolled.Beforeusingaprintedcopyofthisdocument,ensurethatitisthesameastheon-lineversion.Distribution:InternalOnlyExternalAllExternalRestricted Ifrestricted,specifyrestrictedtowhom:Microsoft Full-time Employees and MicrosoftapprovedsupplierpartnersandvendorsunderNon-Disclosure or other Information ExchangeAgreementsClassificationasMicrosoft(General)Title:MicrosoftSupplierSEAManualDocumentNo.H02050

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Date:3/26/2021Page1of85DevicesComplianceandSustainabilityProductSafety,EnvironmentalCompliance,andResponsibleSourcingThisdocumentisconsideredconfidentialtoandismaintainedastradesecretbyMicrosoftCorporation.Thisdocumentisdisclosedpursuanttoanon-disclosureagreementand/orotherwrittenagreementbetweentherecipientandMicrosoftCorporation(collectively,the“Agreement(s)”).InformationinthisdocumentisrestrictedtoMicrosoftauthorizedrecipientsonlyandanyreproduction,distribution,orpublicdiscussionofthismaterialissubjecttothelimitsdescribedintheAgreement(s)withMicrosoftCorporation.Microsoftanditssuppliersmayhavepatents,patentapplications,trademarks,copyrights,tradesecretsand/orotherintellectualpropertyrightscoveringsubjectmatterinthisdocument.Microsoft’sfurnishingofthisdocumenttorecipientdoesnotgrantorimplyanylicensetoanypatents,trademarks,copyrights,tradesecretsorotherintellectualpropertyrights,andrecipient’spermitteduseofanysuchintellectualpropertyrights,ifany,issolelygovernedbytheAgreements.©2019MicrosoftCorporation.Allrightsreserved.ClassificationasMicrosoft(General)Title:MicrosoftSupplierSEAManualDocumentNo.H02050

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Date:3/26/2021Page2of85DevicesComplianceandSustainabilityProductSafety,EnvironmentalCompliance,andResponsibleSourcingRecordofRevisionsReleaseDateSectionPageSummaryofChangesAuthor/LetterApprover1)AddedSustainabilityMetricsResponsibleReporting(3.4.3)Sourcingteam/2)UpdatedversiontoJasversionJ8/26/20193.4.322ResponsiblenumberI,O,Q,S,X,ZarenottobeSourcingseniorusedintheOnePDMdirector3)Updatedthetemplate3.1:Specifiedworkersintheauditscope;3.4:AddeddetailedcriteriaforSEAcompliancestatus;3.5.2:RephrasedseriousNCssamples;3.7:Changedauditpaymentpolicy.4.2:Revisedtherequirementof“accesstofactoryandrecord”tomakeitconsistentwithrequirementsofauditscopeinchapter3.1;4.2:AddedMicrosofthastherighttodisclosepreviousSEAandRSCauditresultstoitsthird-partyauditors;4.4:Took“SupplierResponsibilities”3.1;3.4;3.outasaseparatesection.5.2;3.7;4.4.4.1:Addedmorespecificsub-tier2;4.4.1;4.suppliermanagementguideline;ResponsibleI4/24/20194.2;4.5.1;Multiple4.4.2:AddedfablesssupplierSourcing4.6.2;4.6.pagesmanagementguideline;team/SCS3;4.7.1;4.4.5.1:SpecifiedmedicalGeneral7.2;4.7.3;exams/screeningfeeshallberepaidtoManager4.8.3;4.8.workers;7;4.94.5.1:Added"otherformatsofnotificationinaccordancewithapplicablelawsandregulations,whichmustclearlyconveytheconditionsofemploymentinalanguageunderstoodbyworkers;"4.5.1:Addedspecificrequirementonthepenaltyforworkersleavingearly.4.7.1:Addedanewrequirement“Reasonableaccommodationfornursingmothersareinplace”.4.7.2:Specifiedtrainingonanannualbasis;4.7.3:Specifiedthefirstkitsareinspectedonamonthlybasis.ClassificationasMicrosoft(General)Title:MicrosoftSupplierSEAManualDate:3/26/2021DocumentNo.H02050Revision:JPage3of85DevicesComplianceandSustainabilityProductSafety,EnvironmentalCompliance,andResponsibleSourcingReleaseDateSectionPageSummaryofChangesAuthor/LetterApprover4.8.3:Removedthebannedchemicallist.RefertoH00594forbannedchemicallist.4.8.7:Addedanewsectionrequirement:EnergyConsumptionandGreenhouseGasEmissions.4.9:Changed“Conflict-FreeSmelterProgram(CFSP)toResponsibleMineralAssuranceProgram(RMAP)ResponsibleSourcingH.0110/23/20174.4.413Revised4.4.4toMinornon-conformanceteam/SCSGeneralManager1)AddedmorespecificrequirementsResponsiblealigningwithSEAchecklistandSEASourcingauditguidelineforauditors.H9/18/2017AllAllteam/SCS2)AddedNCsmanagementflowchart.General3)IncorporatedRSRMrequirements.Manager4)Updatedthedocumenttemplate.ResponsibleSourcingG.016/2/2015AllAllUpdatedwithnewdocumenttemplateteam/SCSGeneralManagerResponsibleUpdatedsection4.4FreelyChooseSourcingG4/17/2015AllAllteam/SCSEmploymentwithnewFARrequirementGeneralManager1)MergedH00875andH02050Responsible2)MovesomeH00875contenttoSourcingH09365F1/1/2015AllAllteam/SCS3)ChangeddocumentnameGeneral4)AddedrequirementonstudentManagerworkers1)MovemanagementsystemsectionAllaheadofLaborsectionResponsible2)Removedsection“MANAGEMENTSourcingE8/4/2014AllANDREVIEWOFEXISTINGSUPPLIERS”team/SCS3)Added“managementsystem”GeneralrequirementatbeginningofeachManagersectionClassificationasMicrosoft(General)Title:MicrosoftSupplierSEAManualDate:3/26/2021DocumentNo.H02050Revision:JPage4of85DevicesComplianceandSustainabilityProductSafety,EnvironmentalCompliance,andResponsibleSourcingReleaseDateSectionPageSummaryofChangesAuthor/LetterApprover4)Addedrolesandresponsibilitysection5)Added“hiringfee”topicinfreely12chosenemploymentsection6)AddfirstaidrequirementunderInjuryandIllnessreporting137)Include“Occupationalhealth:putunderIndustrialhygiene1)UpdatedthetemplateResponsibleAllAll2)UpdatedVendorCodeofconducttoSourcing5MicrosoftSupplierCodeofConductD11/28/2013team/SCS2013General8.5193)RemovedreferencetoSupplierManagerYearlyAward1)Referencetonewworkercommunityandhealthandsafetyspecs2)Updated“freelychosenResponsibleemployment”sectiontoprovidemoreSourcingclarityandconformtonewEICCcodeC6/26/2012team/SCS3)UpdatedEthicssectiontoprovideGeneralgreaterclarityonanti-corruptionManagerrequirements,protectionofintellectualpropertyandresponsiblesourcingofmineralsResponsibleSourcingB9/28/2010AllAllRedraftofthedocument.team/SCSGeneralManagerResponsibleSourcingA8/30/2004--InitialRelease.team/SCSGeneralManagerClassificationasMicrosoft(General)Title:MicrosoftSupplierSEAManualDocumentNo.H02050

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Date:3/26/2021Page5of85DevicesComplianceandSustainabilityProductSafety,EnvironmentalCompliance,andResponsibleSourcingDOCUMENTCONTROLMICROSOFTSUPPLIERSOCIALANDENVIRONMENTALACCOUNTABILITYMANUALDocumentOwner:ResponsibleSourcingteam Approval:EphiBanaynaldelaCruz,SeniorDirector,ResponsibleSourcingSignature:ElectronicsignaturesonfileinofficeofSeniorDirectorApprovalDate:09/20/19UpdateRequirements:TheSeniorDirectorordesigneeshallmaintainthisprocedure.Thisproceduremustbereviewedandapprovedannually.Thisdocumentanditsrevisionsshallremaincurrentfornomorethanoneyearfromtheapprovaldate.TheSeniorDirectorordesigneemustretainalogofdocumenthistorywiththisprocedure.ReferencesMicrosoftSupplierCodeofConduct(SCC).)ResponsibleBusinessAlliance(RBA)CodeofConduct.UnitedNationsGlobalCompact.ISO14001:InternationalStandardsOrganizationstandardsforEnvironmentalManagementSystems.OHSAS18001:OccupationalHealthandSafetyAssessmentSeriesspecificationforinternationallystandardOccupationalHealthandSafety.SA8000:SocialAccountabilityInternationallaborstandard.AttachmentsMicrosoftSupplierSEAManual:Chinese(Simplified)TheSEAmanualhasbeentranslatedintotheSimplifiedChinese.IfthereisanyinconsistencybetweentheEnglishversionandtheSimplifiedChineseversion,theEnglishversionshallprevail.ClassificationasMicrosoft(General)Title:MicrosoftSupplierSEAManualDocumentNo.H02050

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Date:3/26/2021Page6of85DevicesComplianceandSustainabilityProductSafety,EnvironmentalCompliance,andResponsibleSourcingTableofContentsRECORDOFREVISIONS31.SOCIALANDENVIRONMENTALACCOUNTABILITY(SEA)PROGRAM102.SUPPLIERENGAGEMENTAPPROACHANDSCOPE102.1SEAauditscope102.2AuditAreas112.2.1SocialandEnvironmentalAccountability(SEA)Audit112.2.2RestrictedSubstanceControl(RSC)Audit112.3AuditTypes112.3.1InitialCapabilityAssessment/Audit(ICA)112.3.2SustainingMaintenanceAudit(SMA)112.3.3CorrectiveAction(CA)VerificationAudit122.3.4Investigations&UnannouncedAudits122.4AuditScoringandResult122.5AuditNon-ConformanceCategories122.5.1CriticalNon-Conformance122.5.2SeriousNon-Conformance132.5.3MajorNon-Conformance132.5.4MinorNon-Conformance132.5.5Observation132.6CorrectiveAction(CA)trackingandclosure132.7AuditCost153.SEAREQUIREMENTSSPECIFICATION163.1Purpose163.2AccesstoFactoryandRecords163.3ManagementSystems173.3.1CompanyCommitments173.3.2ManagementAccountabilities173.3.3MonitorLegalandCustomerRequirements173.3.4RiskAssessmentandManagement17ClassificationasMicrosoft(General)Title:MicrosoftSupplierSEAManualDocumentNo.H02050

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Date:3/26/2021Page7of85DevicesComplianceandSustainabilityProductSafety,EnvironmentalCompliance,andResponsibleSourcing3.3.5ImprovementObjectives183.3.6Training183.3.7Communication183.3.8WorkerFeedbackandParticipation183.3.9AuditsandAssessments183.3.10Rootcauseanalysis,CorrectiveandPreventiveActionProcess183.3.11DocumentsandRecords193.4SupplierResponsibilities193.4.1Sub-tierSupplierManagementGuidelines193.4.2FablessSupplierManagementGuidelines203.4.3SustainabilityMetricsReporting213.5Labor213.5.1FreelyChosenEmployment213.5.2ChildLaborAvoidanceandYoungWorkers223.5.3StudentWorkersandInterns233.5.4WorkingHours233.5.5WagesandBenefits243.5.6HumaneTreatment243.5.7Non-Discrimination253.5.8FreedomofAssociation253.5.9ResourcePlanning253.6Ethics263.6.1BusinessIntegrity263.6.2NoImproperAdvantage263.6.3DisclosureofInformation273.6.4ProtectionofIntellectualProperty273.6.5FairBusiness,AdvertisingandCompetition283.6.6CommunicationandWhistleblowing283.6.7ProtectionofIdentity28ClassificationasMicrosoft(General)Title:MicrosoftSupplierSEAManualDocumentNo.H02050

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Date:3/26/2021Page8of85DevicesComplianceandSustainabilityProductSafety,EnvironmentalCompliance,andResponsibleSourcing3.6.8Privacy283.7HealthandSafety283.7.1OccupationalSafety283.7.2EmergencyPreparedness313.7.3OccupationalInjuryandIllness333.7.4IndustrialHygiene333.7.5PhysicallyDemandingWork343.7.6MachineSafeguarding353.7.7Sanitation,Food,Housing,Transportation363.7.8Communication373.8Environment373.8.1EnvironmentalPermitsandReporting373.8.2PollutionPreventionandResourceReduction383.8.3HazardousSubstances383.8.4SolidWaste393.8.5AirEmissions393.8.6Watermanagement403.8.7EnergyConsumptionandGreenhouseGasEmissions403.8.8ProductContent/ManufacturingRestrictions403.9ResponsibleSourcingofRawMaterials(RSRM)413.9.1RSRMPolicy413.9.2RSRMManagementSystem413.9.3IdentifyandAssessRisksintheRawMaterialSupplyChain423.9.4RiskManagementStrategy433.9.5Audit43ClassificationasMicrosoft(General)Title:MicrosoftSupplierSEAManualDocumentNo.H02050

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Date:3/26/2021Page9of85DevicesComplianceandSustainabilityProductSafety,EnvironmentalCompliance,andResponsibleSourcing1.SOCIALANDENVIRONMENTALACCOUNTABILITY(SEA)PROGRAMMicrosoftrequiresallsuppliersdoingbusinesswithMicrosofttoupholdtheenvironmental,healthandsafety,laborandethicalpracticesprescribedintheMicrosoftSupplierCodeofConduct—whichisbasedontheResponsibleBusinessAlliance(RBA)-formerlyknownastheElectronicIndustryCitizenshipCoalition(EICC’s)responsiblesupplychainstandards,andadheretoMicrosoft’sResponsibleSourcingofRawMaterialspolicy.AtthecoreofMicrosoft’smanufacturingsustainabilityeffortsisitsSocialandEnvironmentalAccountability(SEA)Program,establishedin2005,whichensuresthatMicrosofthardwareandpackagingsuppliersconformtoMicrosoft’sSupplierCodeofConductandadditionalrequirementsforworkerlivingconditions,safeworkingpractices,responsiblesourcingofrawmaterials,andenvironmental,healthandsafetyprotection.TheserequirementsareincorporatedintoMicrosoftcontractswithdirectlycontractedsuppliers.MicrosoftalsorequiresoursupplierstoaddresstheissuescoveredinourSEAspecificationswiththeirownupstreamanddownstreamsuppliers—thosewithwhomMicrosoftdoesnotdirectlyengageviacontract.Weapplyrisk-basedapproachesfortheresponsiblemanagementofoursuppliers.Wealsoworkcollaborativelywithoursuppliersonproactiveinitiativestopositivelyimpacttheirworkers,thecommunitiesinwhichtheyoperate,andtheirownbusinesses.2.SUPPLIERENGAGEMENTAPPROACHANDSCOPEMicrosoft’scontractedsuppliersmustgothroughqualificationassessmentstoensuretheymeetSEAstandards.TheseauditsoccurbeforeMicrosoftandsuppliersinitiatebusiness.Afteronboarding,MicrosoftconductsSEAauditsregularlytoassessorvalidatetherisk.2.1SEAauditscopeTheSEAauditcoversallareasunderthesamebusinesslicenseorlegalentity,includingbutnotlimitedto:productionareascommunalareasofficeareasfacilities(equipmentrooms,wastewatertreatment,maintenanceshops,etc.)material,chemicalandwastestorageandprocessingareaswarehouse/distribution/storageroom(s),shippingandreceivingcanteensandkitchensdormitories,hostelsandanyoff-sitehousingofworkers/migrantworkers(ifcompanyorlaboragentowns/rentsaccommodationfortheworkers)securityrooms,andsurroundinglandwithinborderoffactoryproperty.Theauditshouldincludeallworkersonsite,including:Thoseunderthesamebusinesslicense,andThosethataredeployedbyalaboragencyorserviceprovider,suchasdispatchedworkers,securityguardsorcleaningstaff.MicrosoftmayaccepttheRBAValidatedAssessmentProgram(VAP)auditinplaceofanSEAauditunderspecificconditions,suchasforsupplierswithlowSEArisk.WemayalsousetheRBAVAPauditreportasareferenceduringourinitialassessment.ClassificationasMicrosoft(General)Title:MicrosoftSupplierSEAManualDocumentNo.H02050

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Date:3/26/2021Page10of85DevicesComplianceandSustainabilityProductSafety,EnvironmentalCompliance,andResponsibleSourcing2.2AuditAreas2.2.1 SocialandEnvironmentalAccountability(SEA)AuditAnSEAauditverifiesthesupplier’sconformancetoMicrosoft’sSupplierCodeofConductandSEARequirements.TheserequirementsareanextensionofMicrosoftvalues.HealthandSafetyEnvironmentLaborEthics•OccupationalSafety•EnvironmentalPermitsand•FreelyChosenEmployment•BusinessIntegrity•EmergencyPreparednessReporting•ChildLaborAvoidance•NoImproperAdvantage•OccupationalInjuryand•PollutionPreventionand•WorkingHours•DisclosureofInformationIllnessResourceReduction•WagesandBenefits•IntellectualProperty•IndustrialHygiene•HazardousSubstances•HumaneTreatment•FairBusiness,Advertisingand•PhysicallyDemandingWork•WastewaterandSolidWaste•Non-DiscriminationCompetition•MachineSafeguarding•AirEmissions•FreedomofAssociation•ProtectionofIdentityand•Sanitation,Food,Housing•RestrictedSubstanceControlNon-Retaliation•Healthandsafety•WaterManagement•ResponsibleSourcingofCommunication•EnergyConsumptionandMineralsGreenhouseEmissions•PrivacyManagementSystems•Companycommitments•Communication•ManagementAccountabilities•WorkerFeedbackandParticipation•LegalandCustomerRequirements•AuditsandAssessments•RiskAssessmentandRiskManagement•RootCauseAnalysis,CorrectiveandPreventive•ImprovementObjectivesActionProcess•Training•DocumentandRecords•SupplierResponsibilities2.2.2 RestrictedSubstanceControl(RSC)AuditAnRSCauditverifiesthesupplier’sconformanceandcapabilitytoproduceproductsperMicrosoft’sH00594RestrictedSubstancesforHardwareProductsandH00642MicrosoftRestrictedSubstanceControlSystemforHardwareProductsspecifications.Thisauditalsoevaluateswhetherthereareanymanagementsystemgapsorriskareasthatneedtobeaddressedtoensureconformancetothesespecifications.2.3AuditTypes2.3.1 InitialCapabilityAssessment/Audit(ICA)AnICAisafullauditthatcoversallauditrequirements.Itisperformedfornewsuppliersaspartoftheonboardingprocess,andisfocusedonidentifyinggaps,risks,andstrengthsofthesupplier’smanagementsystemwithrespecttoMicrosoft’sSupplierCodeofConductandthisspecificationTheresultsoftheICAdeterminewhetherthesuppliercanenterabusinessrelationshipwithMicrosoft.2.3.2 SustainingMaintenanceAudit(SMA)AnSMAisafullauditthatcoversallauditrequirements.ItisperformedforexistingsupplierstovalidatetheirabilitytocontinuetomeetandconformtoMicrosoft’sSupplierCodeofConductandthisspecification.ClassificationasMicrosoft(General)Title:MicrosoftSupplierSEAManualDocumentNo.H02050

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Date:3/26/2021Page11of85DevicesComplianceandSustainabilityProductSafety,EnvironmentalCompliance,andResponsibleSourcingTheauditfrequencyisdeterminedanddrivenbyriskratings,whichconsiderpastauditresults,supplier’simprovementsovertime,countryrisk,andotherriskfactors.Resultsareusedinsuppliers’performancescorecards,businessreviews,andinfluencesourcingawardsanddecisions.2.3.3 CorrectiveAction(CA)VerificationAuditACAauditisapartialauditandfocusesonthecorrectiveactionstakenbythefacilitytomitigatepreviouslyidentifiedauditnon-conformances.TheCAauditisscheduledaftertherequiredtimelineforcorrectiveactions.2.3.4 Investigations&UnannouncedAuditsInvestigationsandunannouncedauditsareperformedasneededtoaddressspecificconcernsandaretriggeredbyescalatedcomplianceornon-conformanceissues.MicrosoftreservestherighttoauditwithoutnoticeifMicrosoftreceivescredibleandreliableinformationthattheremaybeabreachofcontractualSEAobligations.2.4AuditScoringandResultConformancetoSEAandRSCrequirementsarerequiredtomaintainasupplierrelationshipwithMicrosoft.Suppliersareassignedthefollowingconformancestatus:ConformanceStatusDefinitionAuthorizedMeetsallormostSEAandRSCstandardsandexpectationswithnoopenCritical,SeriousorMajornon-conformancesDeficientconformance.Thefollowingcriteriaaremetbyfacilitiesinprobation:Probational•Nocriticalnonconformance,and•Correctiveactionsforopenseriousand/ormajornon-conformancearewithinclosuretimelineExtremelydeficientconformance.Immediateactionsarerequired.Asupplierfacilitywillreceivenonewbusinessawardsuntilresolution.Anyofthefollowingcriteriamaycauseasupplierfactorytoberestricted:Restricted•Opencriticalnon-conformances,or•CAevidenceforseriousnon-conformancesnotsubmittedwithin30days,or•Critical,seriousormajornon-conformancesnotclosedinaCAaudit,or•ACAauditisnotconfirmedwithintheplannedauditforecastdatesPhase-outAsupplierfacilitythathasbeenrestrictedforover6monthsisrecommendedforphaseoutandmustbere-qualifiedforanyfuturebusiness2.5AuditNon-ConformanceCategories2.5.1 CriticalNon-ConformanceAcriticalnon-conformanceisanon-conformancewithsignificantand/orimmediateimpactandmustbeaddressedimmediately.Criticalnon-conformancesinclude,butarenotlimitedto:childlaborinvoluntarylaborcorporalpunishmentfalsificationofdocumentsbriberyClassificationasMicrosoft(General)Title:MicrosoftSupplierSEAManualDocumentNo.H02050

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Date:3/26/2021Page12of85DevicesComplianceandSustainabilityProductSafety,EnvironmentalCompliance,andResponsibleSourcinghealthandsafetyconditionswhichcancauseimmediatedangertolifeorsevereinjurydenialofaccesstosupplierfacilities2.5.2 SeriousNon-ConformanceAseriousnon-conformanceisanon-conformancewithsignificantimpactandmustbeaddressedwithin30days.Seriousnon-conformancesinclude,butarenotlimitedto:ConfiscationorinvoluntaryholdingoforiginalpersonaldocumentsbythefacilityWorkersbeingrequiredtopayrecruitmentfeesExcessiveworkinghourswithaworkweekexceeding72hoursOver40%ofworkersworkingmorethan12consecutivedayswithout1dayoffWorkersbeingpaidbelowminimumwagerequirementsorovertimewagesnotbeingpaidatapremiumaslegallyrequiredDiscriminationinhiringandpromotionbasedonsex,beingpregnant,religion,age,etc.StudentworkerovertimeWorkersbeingexposedtosignificantsafetyhazardsorhazardousmaterialsriskEnvironmentalpracticesnotmeetingregulatoryrequirements,potentiallycausingseriousorimmediateharmtothecommunity2.5.3 MajorNon-ConformanceAmajornon-conformanceisanon-conformancethatresultsfromasignificantfailureinthesupplier’smanagementsystem,oftencausedbythesupplier’sfailuretoimplementanestablishedprocess/procedureoriftheprocess/procedureisineffectiveandunabletomeetMicrosoft’srequirements.Anon-conformanceinthismajorcategorymaycauseorpotentiallycausesignificantimpacttoMicrosoft.Anumberofminornon-conformanceswhich,whencombined,suggestabreakdownofthesupplier’smanagementsystemmaybeconsideredamajornon-conformance.2.5.4 MinorNon-ConformanceAnumberofnon-conformancesinthisminorcategoryreflectgapsinthesupplier’smanagementsystemorprocesses(e.g.unclearornon-specificdefinitionofproceduralrequirements,etc.),orineffectiveexecutionofamanagementsystem(e.g.inadequateoperatortraining,inaccessibleworkinstructions)thatmaynotcausesignificantimpacttoMicrosoft.Aminornon-conformance,byitself,doesnotindicateasystemicproblemwiththesupplier’smanagementsystem.2.5.5 ObservationAnobservationisnotanon-conformanceagainstMicrosoft’sSupplierCodeofConductorSEARequirementsbutrepresentsarecommendationforcontinuousimprovementinthesupplier’smanagementsystemtohelpimproveoverallconformance.Anobservationcouldbeanidentifiedareathatrequiresfurtherinvestigation.2.6CorrectiveAction(CA)trackingandclosureAttheendofeachaudit,asummaryofauditfindingsisprovidedtoasupplierduringtheclosingmeeting.FinalauditreportswillbesenttothesupplierafterMicrosoft’sreview.ClassificationasMicrosoft(General)Title:MicrosoftSupplierSEAManualDocumentNo.H02050

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Date:3/26/2021Page13of85DevicesComplianceandSustainabilityProductSafety,EnvironmentalCompliance,andResponsibleSourcingSuppliersmustprepareCAplanstoaddressallidentifiednon-conformancesbasedontheNCclosuretimelinesdefinedbelowbasedonseverityofthenon-conformance(NC).SuppliersmustsubmitCAplansonMicrosoft’sAuditManagementSystem(AMS).MicrosoftwillreviewanddeterminewhethertheseCAplansareapproved.NCclosuretimelineisbasedontheseverityofnon-conformancesandcanbeseenbelow.AlltimelinesarecalculatedwithrespecttotheNCissuedate:SeverityCAPlanSubmissionNCClosureTimelineCAAuditScheduleCritical≤24hoursImplementationofcontainment≤7daysactivitieswithin24hoursSerious≤7days≤30days≤30daysMajor≤60days≤90days≤7daysMinor≤90days≤90daysTheSEA&RSCNCmanagementflowchartcanbeseenbelow:SEANCmanagementflowchartCAplansubmission CAevidencesubmissionMicrosoft

OpenCriticalCAplansReviewCAEvidenceYesClosedbyReviewCAplansYesEvidenceNCsApproved?evidenceapproved?review?OpenSerious,NoNoYesMajorandMinorCriticalCriticalNCsCriticalNCs?NCs?CloseNCNoNoYesNoYesSeriousYesScheduleOn-NCS?SerioussiteCAauditNoFactory

SubmitCAplanswithin7daysafterNCsopenSubmitCAplanswithin24hoursafterNCsopen

Re-submitCASubmitCARe-submitCAplanswithinevidencewithinevidence24hour24hoursafterYes48hoursafterafterrejectionYesrejectionNCsopenNoSubmitCANoRe-submitCARe-submitCAevidencewithinplanswithinevidence2days30daysafter4daysafterafterrejectionNCsopenrejectionSubmitCARe-submitCAevidenceevidenceClassificationasMicrosoft(General)Title:MicrosoftSupplierSEAManual Date:3/26/2021DocumentNo.H02050 Revision:J Page14of85DevicesComplianceandSustainabilityProductSafety,EnvironmentalCompliance,andResponsibleSourcingSuppliersneedtoapplyforMicrosoftpre-approvalifCAplanimplementationandclosurerequirealongertimeline.MicrosoftwilldeterminewhethertheCAplansareapprovedornot.ExtensionofNCsCorrectionflowchartContactApplyforMicrosoftextensionofNCsPMReviewtheCAAgreetoSEAplanandextend?completiondateMicrosoft

CAplanssubmissionandreviewCompletetheCAwithinthecompletiondateYes ExtendcompletiondateNoKeepthetargetcompletiondateObservationsdonotrequireCAplans.However,Microsoftencouragessupplierstoshareanyidentifiedactionsornextsteps.2.7AuditCostMicrosoftwillworkwithsupplierstoarrangethirdpartyaudits,investigationandinspectionsofsupplierstoverifywhethersuppliersareinconformancewithMicrosoftSupplierCodeofConduct,SEAandRSCrequirements.AuditfirmsmustbequalifiedandassignedbyMicrosoft.Suppliersshallpaytheauditfirmsdirectlyforthecostofaudits.Theguidelinesforauditor-daycalculationsforfullaudits(ICA/SMA)andCAauditscanbeseeninthetablesbelow.Thecalculationof“auditor-days”neededperauditmayincreaseifdeemednecessary(forexample,duetoidentifiedfactoryrisksand/orthesizeoffactory).Audittype(Fullaudit–TotalpopulationinfacilityICA/SMA)1-10001001-80008000+SEA4auditor-days6auditor-days8auditor-daysRSC2auditor-daysClassificationasMicrosoft(General)Title:MicrosoftSupplierSEAManual Date:3/26/2021DocumentNo.H02050 Revision:J Page15of85DevicesComplianceandSustainabilityProductSafety,EnvironmentalCompliance,andResponsibleSourcingAudittype(CA)TotalnumberofNon-OnsiteAuditor-dayconformances(NCs)C+S+M*NCs>=30,or2auditor-daysTotalNCs>=40SEAC+S+MNCs<301auditor-dayRSC-1auditor-day*:C=Critical;S=Serious;M=Major3.SEAREQUIREMENTSSPECIFICATION3.1PurposeThepurposeofthisspecificationistoprovideMicrosoft’sdirectlycontractedsupplierswitho