4
2 3
Skills Definition
1. Nike's Lean Story
1. Lean 2.0 (Lean Operating 2. Lean 2.0 (Lean Engagement Model,
System) Assessments, Standard
Templates/Forms)
Target: 75% completion
3. Lean Benefits Capture
1. Lean Philosophy
1 Extensive record of application &
Description Can talk about it but has little or no
practical experince applying the skill
1. Understands that Lean started in
Understand and be able to tell Nike's journey from 1998 to present. the Nike footwear factories in 1998
Can tie Lean to the Nike Maxims. and knows the key milestones in
Nike's history.
1. Has been Instructed on the Lean
Be versed in the different components of the Nike Lean Engagement
Engagement Model and read the
Model and be able to teach them, including our Lean assessment.
Lean Playbook.
Global Lean has standardized key tools and templates for when
coaches engage in the business. All levels applying lean should know
2. Has been instructed on the
what the templates are, where they are located, when to use them,
standard templates for Lean and
and be able to explain their intent and how to use them.
where they are located.
Global Lean has a process to capture direct and indirect benefits 1. Understands the process to
quarterly. All coaches are required to understand how to capture and capture benefits quarterly and has
be versed in the execution and instruction for others to be coached been instructed on the process to
on. capture benefits.
1. Employee has attended the Lean
1. Employee is able to explain the
The purpose of this skill is to provide and develop an understanding of fundamentals training or equivalent
purpose about the Lean Concepts
key principles behind Continuous Improvement in order to prepare and can talk about: A3 thinking,
and link them with specific examples
Lean practitioners and coaches on their journey PDCA, Voice of customer, and
in everyday life.
Continuous improvement.
Can apply with help with limited Can consistently apply the skill
results over an extended time period
experience putting the skill to use in without help with a growing track
with ability to teach & develop
the path of the work record of results achieved
capability in others
1. Can present the story, strategy,
1. Teaches the Nike story, strategy,
and North Star on their own.
1. Can tell the story, key Lean and North Star on own.
milestones, and knows the mission, 2. Knows the 11 Maxims and can tie
2. Knows the 11 Maxims and can tie
vision, and strategy for Global Lean. to lean. (Site training/event where
to lean. (Site events where presented
they presented the story)
story)
1. Can explain the different steps in 1. Teaches the different steps in the
1. Can explain the different steps in
the Engagement model. Engagement model.
the Engagement model and explain
the key principles in each step.
2. Followed engagement model in an 2. Enforces & applies model for all
actual lean effort with help. (provide Lean engagements. (provide
2.Applies engagement model for all
supporting documentation) supporting documentation)
Lean engagements (provide
supporting documentation)
3. Applies standard templates and 3. Teaches how to use the standard
forms with help for all Lean templates and forms Enforces and
3. Applies standard templates and
engagements. (Provide supporting uses templates for all Lean
forms for all Lean engagements.
documentation) engagements. (Provide supporting
(Provide supporting documentation)
documentation)
4. Provides feedback on issues/
4. Develops and improves Lean
opportunities to improve on 4. Develops and improves Lean
templates.
templates templates to drive best practices.
5. Has led or co-led a Lean
5. Has participated in a Lean 5. Led and instructed coaches in the
Assessment and scoring event.
Assessment with a Lean Master. Lean assessment and scoring process.
1. Enters in SCORE event benefits for
1. Understands the process and 1. Teaches the purpose of metrics
all projects. (Provide supporting
purpose of capturing benefits. and benefits capture
documentation)
2. Enters in SCORE event benefits 2. Drives benefit capturing from for
2. Builds partnership with Finance
with help. (Provide supporting all engagements of self and team.
teams to quantify and validate
documentation) (Provide supporting documentation)
benefits from efforts.
1. Employee has a clear link with the
Lean philosophy and has adopted
1. Employee has a clear link with the
them as their method of doing work
Lean philosophy and has adopted
them as their method of doing work
2. Employee can connect Lean with
everyday application.
2. Employee can show examples of
the concepts in their work.
3. Employee can translate this story
to any group or audience
 1. With Help, the employee can give 1. Employee, in their workspace, can 1. Employee can teach and, in any
examples of give examples of environment, site examples of
Have a solid foundation of the essential principles of Lean and how 1. Employee has been trained on the a. Muda, Mura, Muri a. Muda, Mura, Muri a. Muda, Mura, Muri
2. Essentials (Customer, 8 Wastes, SIPOC, Lean is a solid frame work focusing on the customer, creating value, essentials and can talk about them. b. 8 Wastes b. 8 Wastes b. 8 Wastes
Continuous Improvement) identifying waste, clear inputs to create the best outputs for the (The types of waste, Customer and c. Value/Non-Value c. Value/Non-Value c. Value/Non-Value
customer, and to relentlessly improve the process. Value, SIPOC, 5s) d. Voice of the customer d. Voice of the customer d. Voice of the customer
e. Inputs/Output e. Inputs/Output e. Inputs/Output
f. 5s f. 5s f. 5s

1. Employee has been trained on A3 1. Employee can apply, with help, A3,
thinking and PDCA. PDCA, Improvement Kata, and
DMAIC.
2. Employee can describe what A3
thinking is and the steps of PDCA 2. Understands the key
1 Employee teaches the concepts in
3. Understands what Improvement characteristics and can tell when and 1. Employee can successfully apply
training or mentoring sessions.
Kata is and how it utilizes PDCA for where to use this thinking. A3 thinking and Kata/PDCA in their
A3 Thinking and PDCA are the most important principles at Nike to continuous improvement. lean engagements.
2. Has 2 site examples of the use of
drive continuous improvement and a standard way of applying Lean. 4. Understand the DMAIC concept 3. Write a Reflection summary of the
3. A3 Problem Solving (PDCA Thinking & A3/PDCA/Improvement Kata from
Improvement Kata and DMAIC are also critical in driving continuous and potential benefits use of A3/PDCA/Improvement Kata. 2. Provide supporting documentation
Continuous Improvement Process different events to use as a training
improvement. To solve problems, there is a need to have a standard of the use of A3/PDCA/Kata in a Lean
Methodology) reference and to show aptitude in
set of tools for Work flow analysis, data collection, identifying root 1. Employee has been exposed to 1. Employee had helped in using the Effort.
these methods.
cause and evaluating variation tools for problem solving and root utilizing 4 of 5 techniques with a
cause analysis: Master coach: 3. Has been a participant in an
3. Is a DMAIC resource for Nike and
a. 5 Whys a. 5 Whys DMAIC engagement.
can teach and facilitate as needed.
b. Fishbone (5Ms) b. Fishbone (5Ms)
c. Failure Mode & Effect Analysis c. Failure Mode & Effect Analysis
(FMEA) (FMEA)
d. Problem Solving Storyboards d. Problem Solving Storyboards
e. TAKT time analysis e. TAKT time analysis

1. Employee can teach about the

1. Employee has been exposed to
tools for problem solving and root
cause analysis:
To solve problems, there is a need to have a standard set of tools for a. 5 Whys
4. Problem Solving (CI Process
Work flow analysis, data collection, identifying root cause and b. Fishbone (5Ms)
Improvement Techniques & Practices)
evaluating variation c. Failure Mode & Effect Analysis
(FMEA)
d. Problem Solving Storyboards
e. TAKT time analysis
1. Employee had helped in using the
utilizing 4 of 5 techniques with a
Master coach:
a. 5 Whys
b. Fishbone (5Ms)
c. Failure Mode & Effect Analysis
(FMEA)
d. Problem Solving Storyboards
e. TAKT time analysis
techniques:
1. Employee had helped in using the
a. 5 Whys
utilizing 4 of 5 techniques with a
b. Fishbone (5Ms)
Master coach:
c. Failure Mode & Effect Analysis
a. 5 Whys
(FMEA)
b. Fishbone (5Ms)
d. Problem Solving Storyboards
c. Failure Mode & Effect Analysis
e. TAKT time analysis
(FMEA)
2. Can site 3 examples of from
d. Problem Solving Storyboards
different functional areas.
e. TAKT time analysis
3. Will act as a Master resource to
teach or facilitate as needed.

1. Employee has implemented 1. Employee has implemented

standard work in across the leadership standard work in across
1. Employee can site 3 examples of organization and same standards in the organization and same standards
1. Employee has attended the Lean standard work and the benefits of use across multiple teams, geos, etc. in use across multiple teams, geos,
Standardization and Standard Work reduces variation and makes
fundamentals training and can talk standard work. and has 3 examples in their Lean etc. and has 3 examples in their Lean
4a. Standard Work problems visible. Standard work is a must have in a Lean Coach's
about standard work applications as 2. Employee has worked with their binder. binder.
toolkit
a benefit. mentor to implement standard work 2. Employee can lead cross functional 2. Employee can lead leaders and
in their workspace. teams to build standards for their cross functional teams to build
workspace on their own. standards for their workspace on
their own.

2. Lean Fundamentals
(Training)

Target: 75% completion

 1. Employee can train others and
1. Employee has attended the Lean 1. Employee can facilitate a mapping
work as a facilitator in a VSM
Value Stream Mapping is a tool that allows the people to develop and fundamentals training or equivalent 1. Employee has been trained on how session with a single process.
workshop, teaching and leading the
share a common vision of the value stream by mapping it in a visual and can talk about a process map and to map through Global Lean training, 2. Employee can facilitate a cross
exercise.
4b. Value Stream Mapping way. It establishes a continuous improvement mindset through value stream map. 2. He/she has created a process map functional VSM mapping session.
2. He/she can easily create a VSM for
(Material/Data Flow) incremental improvements (future states) that relentlessly seeks to 2. Employee can describe the key of a specific process and a VSM of 3. Employee can show an example of
any discipline. (Mfg. & Office)
2. Lean Fundamentals eliminate waste and continually creates value for the consumer, differences between the two. their work and reviewed it with a a completed process map and a
3. He/she has 3 completed examples
(Training) customers, and shareholders 3. Employee has been exposed to Lean Coach/Master. completed VSM and be able to
of VSMs being used in the
value stream maps @ Nike. explain the maps in detail.
organization.
Target: 75% completion

1. Employee can teach others in the

4c. Quality at the Source (Jidoka)
1. Employee has attended the Lean
fundamentals or equivalent.
2. Employee can explain the concept
of built in quality (Jidoka),
Driving the principles of quality first time and not passing on defects is
3. Employee can describe the
critical to manufacturing and office environments. Our goal would to
differences between: Andon,
stop the process and address the problem where it occurs, not after.
containing problems at the source,
and preventing or eliminating
problem before sending on the
product.
concept of built in quality (Jidoka).
1. Employee can site 3 examples of 1. Employee can facilitate a kaizen
Quality at the source in work and the effort on built in quality.
2. Employee has implemented and
benefits of first time quality.
can teach on the 4 quality
2. Employee has implemented 3 of 4
countermeasures: Andon, containing
2. Has supported kaizen efforts for 2 quality countermeasures: Andon,
problem @ source, repair, or Prevent
of 4 countermeasures to address containing problem @ source, repair,
or Eliminate problem, siting real
built in quality: Andon, containing or Prevent or Eliminate problem
examples in the work or previous
problem @ source, repair, or Prevent
kaizen efforts.
or Eliminate problem 3. Quality solutions can be seen and
are visible for review in the work
3. Employee can successfully
area.
translate and apply jidoka in any
environment.

1. Employee can site 2 examples of

4d. Visual Management (Visual
Workplace)
visual management that would be
applicable and useful in their work.
1. Employee has attended the lean 2. Employee has implemented, with
fundamentals training or equivalent. help, visual management in their
workspace. Can explain the benefits
2. Employee can describe the and operationalize visual
Making the current state visible and through visual cues, charts,
purpose and value of visual management.
taping, etc.
management.
3. Can explain the different SCORE
3. Employee can provide examples of steps. Executed SCORE event with
good and bad visual management. help. (provide supporting
documentation)
4. Read "A Team Leader's Guide to
Lean Kaizen Event"
1. Employee can instruct teams on
the use of and benefits of a visual
workplace.
1.In the lean Binder, Employee can
2. Employee can successfully
provide 2 examples of visual
translate and apply visual
management that they have
management in any area.
implemented, in the different work
areas.
3.In the lean Binder, Employee can
provide an examples of visual
2. Visit area where implemented to
management that they have
show how visual management is
implemented, showing how the
affecting daily operations
customer is using to drive daily
operations and strategic plans
(obeya).

1 Employee has attended the lean
fundamentals training or equivalent. the flow of product and information product and information a cross
2. Employee understands the
benefits of continuous flow and
The ability to visualize the process flow (information and product) and connections between handoffs from
5. Continuous Flow
identify countermeasures to emliminate waste in the process. a product and information
perspective.
3. Employee understands the
importance of SIPOC to drive
continuous flow.
1. Employee can instruct coaches and
1. Employee can show and provide a
teams the importance, benefit, and
1. Employee, with help, can describe Lean Binder example of the flow of
impacts of flow.
in their area. Including supplier, functional process. Including
2. Employee can successfully
inputs, outputs, and customer. supplier, inputs, outputs, and
translate and help teams build and
(utilizing VSM from 4b is applicable) customer. (utilizing VSM from 4b is
understand flow in a cross functional
applicable)
process, making problems in flow
2. Employee, with help, can show an
visible to build countermeasures to
example of a process, the 2. Employee can show a lean Binder
improve.
breakdowns, rework, and problems example of a cross functional
in a process preventing continuous process, the breakdowns, rework,
3. In the Lean binder, employee can
flow (utilizing VSM from 4b is and problems in a process preventing
provide 2 examples of connecting
applicable ) continuous flow (utilizing VSM from
improving flow in a cross functional
4b is applicable)
process.

1. Employee has, with help, identified

6. Metrics & Data (Data Collection &
Business Results)
BMGI:DataCollection Module
1. Employee has attended the lean
and collected process data (discrete
fundamentals training or equivalent.
and continuous) to understand a 1.Employee can show and provide
business problem in their area. examples in the lean binder of 1. Employee can instruct others and
2.Employee understands the
preliminary data captured to grasp teams of the importance, benefit,
importance of data collection and
2. Employee has, with help, applied 3 the situation using 3 of the following and the mechanics of data capture.
differences between discrete and
of 6 analysis tools for a specific methods: The Employee can also instruct teams
continuous data, business metrics
business problem and analysis. a. TAKT time analysis on the different tools:
and process metrics
a.TAKT time analysis b. Histograms a.TAKT time analysis
The ability to capture data to make problems visible and how to drive b.Histograms c. Pareto Charts b.Histograms
3. Employee is exposed to the
meaningful metrics to measure improvement made to a process c.Pareto Charts d. Check Sheets c.Pareto Charts
following analysis tools:
d.Check Sheets e. Control Charts d.Check Sheets
>TAKT time analysis
e.Control Charts f. Statistical & Concentration e.Control Charts
>Histograms
f.Statistical & Concentration Diagrams f.Statistical & Concentration
>Pareto Charts
Diagrams Diagrams
>Check Sheets
2. Employee can site examples of the
>Control Charts
3. Of the analysis tools, the employee analysis tools in both manufacturing
>Statistical & Concentration
can describe the use of each of the and transactional environments.
Diagrams
data capture/analysis tools and
benefits of each.

1. Successfully Co-facilitated SCORE 1. Successfully facilitate SCORE event

1. Successfully facilitate SCORE event
event and can teach the use and SCORE to
team and coaches.
2. Capture SCORE document and
Show proficiency in using Nike's standard framework for Kaizens by 2. Capture SCORE document and
Kaizen Event Final Summary in Lean
running SCORE events. 1.Completed BMGI SCORE training Kaizen Event Final Summary in Lean 2. Capture SCORE document and
Binder
Binder Kaizen Event Final Summary in Lean
Lean 2.0 has a defined framework to follow when applying Lean at 2. Has been instructed on the SCORE Binder
1. SCORE (Kaizen Execution) 3. Confidently explains the individual
Nike. Lean Assessment, Leadership Engagement, Roadmap methodology. Understands SCORE is 3. Can explain the different SCORE
steps and drives efforts utilizing
Development, Execution (SCORE), & Sustain the Gains. Driving Lean the framework for Lean kaizen efforts steps. Executed SCORE event with 3. Teaches the individual steps and
SCORE.
2.0 all coaches are required to be versed in engagement model and at Nike. help. (provide supporting drives efforts utilizing SCORE.
apply in all engagements. documentation)
4. Can provide examples of SCORE
4. Can provide examples of SCORE
events (provide supporting
4. Read "A Team Leader's Guide to events. (Provide supporting
documentation)
Lean Kaizen Event" documentation)

1. Completed Global Lean
Fundamentals training.
2. Can identify and describe
2. Grasping the Current State (Gemba, differences in the 8 wastes
Applying the tools to understand the current state and what the
Nemawashi, Observations, 8 Wastes, (DOWNTIME).
problem we are trying to solve.
SWOTT) 3. Can describe what a SWOTT
analysis is and why it is used.
4. Can describe the activity of
Nemawashi and why it is used.
1. Completed Global Lean
Fundamentals training.
2. Can explain the different data
3. Data gathering and analysis (TAKT,
Applying the various data and analysis tools in a real engagement to tools: Paretos, Histograms, Time
Paretos, Fishbone, Histograms, Time
show proficiency and successful use of them Studies.
studies, etc.)
3. Can explain what TAKT time is and TAKT time or TAKT time of a process
how it is important for measuring any improvement project
process.
1. Completed Global Lean
Fundamentals training.
2. Can explain why we need to
Applying the various data and analysis tools in a real engagement to
4. Root Cause Analysis & Problem Solving identify the root cause of a problem. cause will improve the problem.
show proficiency and successful use of them
3. Can explain the "5 Whys" and a
"Fishbone (Ishikawa) Tools to identify Fishbone tools on a business
root causes.
1. Completed Global Lean
Fundamentals training.
Applying the various data and analysis tools in a real engagement to
5. Tools -Standardized Work 2. Can explain the benefits of
show proficiency and successful use of them
standardized work and how it ties to
build stability and reduce variation.
3. Stability & Executing Kaizen
Methodology (Application)
Target: 75% completion of
each task
1. Can identify and describe the 8
wastes in your area.
2. With help, conduct a SWOTT
analysis to understand the current
state of an area or business problem.
Provide documentation of the
outcome and reflection of outcome.
3. With help, conduct several
nemawashi interviews on a specific
problem. (Questions provided by
coach or mentor). Reflect on benefit
of interviews.
1. Has inventoried the data and
analysis tools used in their work.
2. Can show examples of a pareto,
histogram and time study in their
work or from a project.
3. With help, has calculated their
4. Has read "Understanding
Variation: The key to success."
1. On own, choose a personal or
team problem and apply 5 Whys and
fishbone to reach the root cause.
Understand current environment and and fishbone exercises to identify
validate that addressing the root
2. With help, use the 5 whys and
problem. Provide resolution and
reflection in reach the root cause.
1. Can provide business examples of
where standard work & standard
work templates are used in Nike.
2. On Own, create standard work for
a personal or a task in your work.
Discuss with Lean Mentor for
guidance if needed.
1. Identify and provide examples of 8
wastes in an area other than your
own and discuss with your mentor
for validation.
2. Conduct a SWOTT analysis on a
business problem or area. Provide
documentation and outcome of the
SWOTT analysis.
3. Conduct a series of nemawashi
surveys for a specific business
problem. Provide the questions, why
you asked those and answers to the
questions. Indicate if there were any
trends or differences from their
comments?
1. In their Lean Binder, provide Lean
examples of the application of
calculating and using a pareto,
histogram, and time study (run chart)
when grasping the situation and
stabilization phases of a SCORE
engagement.
2. Has calculated TAKT time for a
business process to drive the pace of
the customer demand.
3. Can site an example of applying a
run charge and moving average data
tools to show signals and trends.
1. On own, facilitate team in 5 whys
root causes. Validate root cause with
the process executors. Identify
solutions based on the root cause.
Validate that solutions will improve
the business problem.
1. For a business problem, facilitate
and help team build standard work
instructions for their key processes.
Provide standard work examples in
your Lean Journal.
1. Identify and provide examples of 8
wastes in any environment and
instruct other how to see the wastes.
2. Can instruct or co-facilitate a
SWOTT analysis on a business
problem or area. Provide
documentation and outcome of the
SWOTT analysis.
3.Instructs and co-facilitates others in
nemawashi to build their skills.
Provides the questions, explains why
the questions were asked. Provides a
log of what and which coach they
helped in the training.
1. Identify and provide examples of
using the data and analysis tools for
visual management and daily metrics
to monitor our business health.
2. Can instruct and facilitate teams to
understand what data is important
and how to use them to monitor
business health.
3. Mentors Lean Specialists and
Coaches on data analysis. Provides
support and ad hoc instruction as
needed.
1. On own, facilitate cross functional
team in 5 whys and fishbone
exercises to identify root causes.
Validate root cause with the process
executors. Identify solutions based
on the root cause. Validate that
solutions will improve the business
problem.
2. Mentor and co-facilitate Lean
Specialists and Lean Coaches on root
cause analysis & problem as needed.
1. For a business unit, facilitate and
help Leaders build leadership
standard work instructions for their
driving the key drivers in their
business and lean journey. Provide
standard work examples in your Lean
Journal.

3. Stability & Executing Kaizen 6. Tools - 5s
Methodology (Application)
Target: 75% completion of
each task
7. Tools - Mapping (VSM, Process,
Spaghetti)
8. Tools - Quality at the source (Jidoka,
Andon, Kanban, Poke Yoke)
9. Tools - Visual Management
1. Completed Global Lean
Fundamentals training.
Applying the various data and analysis tools in a real engagement to
2. Can identify and explain the 5s
show proficiency and successful use of them
steps.
1. Completed Global Lean
Fundamentals training.
2. Can describe the differences and
benefits between a flow
Applying the various data and analysis tools in a real engagement to
chart/spaghetti diagram, process
show proficiency and successful use of them
map with data, & Value Stream Map.
3. Can explain why a process map or
VSM is a critical tool for process
improvement
1. Completed Global Lean
Fundamentals training.
2. Be able to explain the importance
Applying the various data and analysis tools in a real engagement to
of Quality at the source and how
show proficiency and successful use of them
Jidoka, Andon, support Poka-Yoke
support stopping and responding to
every abnormality.
1. Completed Global Lean
Fundamentals training.
2. Able to explain the benefits of cadence. Check 3 months and 6
Applying the various data and analysis tools in a real engagement to visual management.
show proficiency and successful use of them 3. Can provide personal and team
examples visual management and
how it makes problems more visible. team based on a business need or
1. For a business problem requiring
stability and consistency, be able to
apply the 5s in an office and
1. For a business problem, apply the
1. In their area or in a personal manufacturing environment.
5s with a team, and capture the
setting, identify the problem, apply 2. Instruct or co-conduct 5s effort
benefit (or not) from the exercise.
the 5s steps, and capture the benefit with a Lean Coach or Specialist to
2. Provide pictures and results of the
(or not) from the exercise. grow their learning of 5s. Instruct on
5s effort.
2. Discuss with your mentor and the benefits, risks, etc. of using 5s.
3. Revisit the area 30 days later to
provide reflection and pictures of the Provide summary of the 5s effort in
evaluate if the 5s effort was
effort. your Lean Binder.
sustainable.
3. Revisit the area 30 days later to
evaluate if the 5s effort was
sustainable.
1. For a cross functional process or 1. For either manufacturing or
1. Has created, with help, a process
entire distribution/manufacturing transactional problem, run a mapping
map (swim lanes), and a Value
process, create a comprehensive session with a team to build a VSM of
stream map of a simple process.
value stream map or process map. their process.
2. Reviewed process map and VSM
2. Review with Lean Master and get 2. Review and provided feedback on
with a Lean Master for feedback and
signoff of completeness for business a Lean Coach or Specialist's maps for
reflection.
problem. completeness and accuracy.
2. Provide examples of final process
3. Capture an example in your Lean 3. Approved to train Lean Coaches
map and VSM in their Lean Journals.
Journal. and Specialists on mapping.
1. Can cite business or personal
examples of Jidoka, Andon, and Poke 1. In your Lean Journal, provide
Yoke to drive quality at the source. 1. In your Lean Journal, provide examples of applying all three tools:
2. Understands the concept of examples of applying two of three Andon, Poke Yoke, and Kanban to
Kanban and can provide business tools: Andon, Poke Yoke, and Kanban business processes. Site benefits
examples of kanban. to a business problem. Site benefits from the use of quality tools.
3. With help, implement a solution to from the use of quality tools. 2. Instruct Lean Specialists and Lean
improve quality at the source 2. Review with Lean Master for Coaches on the different concepts.
(Andon, Poke Yoke, Kanban). Provide signoff of tool implementation Co-facilitate tools to build coach's
summary of the effectiveness of the effectiveness. understanding and implementation
solution to improve quality. of the Jidoka at Nike.
1. With help, deploy visual 1. In your lean journal, provide
management tools with a business examples of applying visual
team and make it a part of their work management at the strategic level
1. Design and deploy visual
to review and update on a regular (Obeya room).
management with a business
2. Provide daily visual management
department to drive their daily work
months to check sustainability. implementations that are used to
and strategy. Make it a part of their
2. On own, implement or improve drive regularly occurring team
work to review and update on a
some visual management on your meeting.
regular cadence. Check 3 months and
3. Instruct Lean Specialists and Lean
6 months to check sustainability.
problem. Give examples 3 and 6 Coaches on visual management and
months post implementation to show co-lead efforts to drive visual
sustainability. management initiatives.

10. Sustainability -Metrics and
Performance Mgmt.
11. Replication
M1. Total Productive Maintenance (TPM)
M2. System and Cell Design
M4. Rate of Operation & Operational
Availability & Overall Equipment
Effectiveness
M5. Breakdown Analysis
M6. Toyota's 7 rules of warehousing
M7. Work Balance/Skilling, and Work
Combination Chart
1. Flow Fundamentals
2. Point of Use Concept
4. Creating Flow
3. Balancing and Leveling
M1. Mizumashi (Water Spider)
1. Completed Global Lean
Fundamentals training.
2. Be able to explain the differences
Applying the various data and analysis tools in a real engagement to between internal and external
show proficiency and successful use of them metrics and how they help manage
performance against the business
strategies.
1. Completed Global Lean
Fundamentals training.
The process of repeating the process improvements from one process
2. Be explain the SCORE step to
to another similar process or area to benefit from the existing process
sustain and replicate solution to
changes.
similar areas that can leverage the
new process steps.
The ability to be able to visualize the process flow (information and
product) and identify countermeasures so there isn't any waste in the Refer to Continuous Flow in Lean Fundamentals
process.
Develop the people to implement a replenishment system that will
1. Employee was trained in Point of cycle time as well as the Kanban
provide an efficient and ergonomic feed to the working station
Use Training.
(storage and human operation) according to real consumption
1. Employee was trained in flow
concepts, balancing and leveling to
To improve flow, balance the work or leveling the work to meet reduce waiting in the process.
customer requirements. Understands how smaller lot sizes,
pacing boxes, and buffer stock can be
used to improve flow.
The ability to improve the process of internal horizontal moves of
products (raw, packaging, semi-finished, and finished goods) as well
as technical materials, residuals from one place to another. The
targeted waste= to be removed are inventory, transport, motion, and
waiting.
1. With help, review your
1. In your lean journal, provide an
department's metrics and
example where you have influenced
performance management tools.
changes in performance metrics in a
Provide analysis and give 1. Provide two examples of cross
department or facility level. Indicate
recommendations of metrics to tie to functional engagements where you
any internal metrics to monitor the
daily work and strategic goals. have implemented metrics and
daily operations.
2. On own, for your current performance tools to monitor the
2. Instruct and assist Lean Specialists
engagement, identify and implement health and benefit of the process.
and Coaches to build their Visual
metrics and data requirements to
Management and data to cause
gauge process efficiency and
process health.
performance.
1. Identify examples of replication 1. Facilitate Lean event that will be
1. Facilitate a cross functional
applied at Nike. replicated. Build replication
replication event. Identify differences
2. With help, facilitate a replication documentation and preparation
from original and implement process
event. Provide example in Lean requirements.
for new area. Provide documentation
Journal of effort, changes, and 2. Co-Lead Lean Specialist or Lean
in Lean Journal.
results. Coach to build their replication skills.
1. Employee knows the Point of Use
1. Employee has led /done different
concepts. He/She is able to identify 1. Employee has led /done different
groups in different areas related to
the difference between tack time and groups in different areas related to
point of Use implementation. He/she
point of Use implementation. He/she
can teach the concepts, solve
concept. He/She has already can coach workgroups towards a
detailed questions, and coach
participated in two working groups successful operation. Document in
workgroups towards a successful
regarding Point of Use Lean binder.
operation. Document in Lean binder.
implementation
1. With help, led teams with a level 1.On own, has led, in a large cross
1. On own, has led teams and applied
and balancing solution to smooth functional department or Org team
two of three flow tactics to smooth
flow. Used one of the three concepts. and applied all three flow tactics to
flow. Provide summary and tactic in
Provide summary and tactic in Lean smooth flow. Provide summary and
Lean Binder.
Binder tactic in Lean Binder.

M2. Milk Run
1. Hoshin (Strategy Deployment)
2. Story Telling, Facilitation, &
Presentation Skills
3. Communication Skills (Written &
Verbal)
5. Influencing Change & Lean
Leadership
The exact number of suppliers, each of which defines the available
volume and weight, and the time window for collection from the
respective suppliers and the time window for delivery to the
customer.[1] With consistent planning, capacity increases to an
average of 90% can be achieved
Understands and can apply the fundamentals of strategy deployment 1. Has read "Getting The Right Things
in our organization: Leadership Direction, Catch ball, Prioritization, Done" by Pascal Dennis. Can describe
Cascading priorities, periodic reflections, and metrics the key points o the book.
1. Understands how story telling,
The ability to inspire and get teams to be actively involved in the
facilitation skills/exercises, and
problem and solution. As a coach, you will need to translate Lean
variety of presentation methods can
concepts in a form that resonates with the audience, facilitate/coach
increase engagement and alignment
teams to reach workshop directives.
for the audience.
1. Understands the importance of
presenting in an compelling and
relevant way to get an actionable
result. Provide an example of a
successful communication.
2. Understands the need to reach
The ability to communication at different levels of the organization to
your audience and tailor the
inform, engage, and keep connected for the duration of the
communication in a form that they audience(s) where they are at any
engagement.
can relate to. Provide an example of given point and time.
a communication presented in the
voice of the customer.
3. Understands the importance of
gathering data and clearly/simply
presenting to an audience.
1. Has been instructed on the Nike
strategy development process to
future cast, prioritize, and align team
strategy upstream and downstream
connections.
2. With help, in the own department,
apply the strategy skills on another
group or department
1. Provide examples of successful
story telling, facilitation
skills/exercises, and presentation
methods that increased engagement
and alignment for the audience.
Meet with mentor or Lean Master to
discuss why these characteristics
helped audience buy-in.
1. Ability to succinctly write,
articulate and present a position or
concept that is compelling, relevant
and actionable.
2. Have a clear understanding of your
audience and be able to tailor your
content, tone of delivery and
overarching style to meet the
3. Ability to take a large amount of
disjunction data or content and
frame it to have a clear start, middle
and end that reflects what you want
to share as much as what the
audience wants to receive.
1. Has applied the strategy
deployment process for department
1. Has applied the strategy
or organization . Ensure alignment
deployment process for a single or
with leadership, catch ball, and
cross functional team . Ensure
communication to teams. Metrics
alignment with leadership, catch ball,
created to gauge health.
and communication to teams.
2. Capture strategy, team strategy in
Metrics created to gauge health.
lean binder
2. Capture strategy, team strategy in
3. Can coach or teach strategy
lean binder
deployment to lean coaches or
specialists.
1. Provide an example in your Lean
Journal of successful story telling,
1. Provide an example in your Lean facilitation skills/exercises, and
Journal of successful story telling, presentation methods that increased
facilitation skills/exercises, and engagement and alignment for senior
presentation methods that increased leadership audience. Provide 4 box
engagement and alignment for a reflection.
cross functional audience. 2. Mentor and advise Lean specialists
& coaches on effective
communication.
1. Provide an example of articulating
a position or concept to leadership
1. Provide two examples of that is compelling, relevant and
articulating a position or concept actionable.
that is compelling, relevant and 2. Provide an example of tailoring
actionable. your content, tone of delivery and
2. Provide an example of tailoring overarching style to meet a senior
your content, tone of delivery and leadership audience with a successful
overarching style to meet the outcome. .
audience(s). 3. Provide a example of take a large
3. Provide a example of taking a large amount of disjunction data or
amount of disjunction data or content and frame it to have a clear
content and frame it to have a clear start, middle and end in a simple and
start, middle and end that reflects concise message for a leadership
what you want to share as much as audience with a successful outcome.
what the audience wants to receive. 4. Mentor and advise Lean specialists
and Lean Managers on their
communication skills.
 1. Can provide an example where you
have built trust with a department or
1. Read the Speed of Trust. Can 1. Can site examples of building trust organization, accepted and respected
1. Can provide an example where you
identify the 4 cores of credibility, the in the different waves. as a leader in the org, and was able
have built trust with a business team,
Trust is a key tenet for driving change. As coaches, we need to be able different waves of trust, and the 13 2. In the presence of your mentor, to drive change in process and
4. Building Mutual Trust & Respect been accepted and trusted as a
to understand how to build trust for ourselves and others behaviors to build relationship trust. show that you can quickly build trust strategy.
5. Influencing Change & Lean leader in the team, and was able to
2. Understands how our behaviors with business teams for SCORE or 2. Acting mentor for Lean Specialists
Leadership drive change.
can impact the trust account. improvement efforts. and Coaches in building and building
their influence and respect with
business teams

1. Can site examples in your

5. Interpersonal & Collaboration
(Emotional Intelligence, Corporate
Savyiness, etc.)
1. Completed Insights Training.
Understands their colors and how to
tailor approaches to leaders, peers,
To succeed in a network driven company, understanding yourself and
and working teams
the point of view of others will help build more trust so you can be
2. Understands the importance of
more influential.
networking and building relationships
to becoming more savvy in navigating
Nike.
1. Based on the insights training, can
communication using Insights to best
describe your insight colors, and
interact with leaders and teams.
provide examples of changing your 1. Can site examples of building
2. Can site examples of using
approach in interacting with business relationships with leaders and teams
Emotional intelligence to decide how
partners based on your and their using the different interpersonal
best to interact with leaders and
colors. skills.
teams.
2. Has attended Emotional 2. 360 Reviews feedback indicating
3. Is seen by peers and business
Intelligence training. Understand that the individual is a respected and
partners as respected resource at
their personal assessment and their desired Lean Leader at Nike.
Nike with experience and
strengths/weaknesses
connections throughout the
organization.

1. For a full engagement with a

6. Project Management Skills
1. Attend PM Fundamentals training.
To influence change, you need to be able to manage the change. Once
Understands the competencies and
you have the team engaged in a new way of thinking, you need to
available PM tools to drive a
make sure they meet their objectives to make it stick.
successful project.
department or organization, provide
an example where the following
activities were completed.
1. With help, can create the following 1. For a full engagement, provide an a. Scope
project activities: example where the following b. Schedule
a. Scope activities were completed. c. Budget
b. Schedule a. Scope d. Risk Management
c. Budget b. Schedule e. Root Cause Analysis
d. Risk Management c. Budget f. Process Adherence
e. Root Cause Analysis d. Risk Management 2. Provides guidance and mentoring
f. Process Adherence e. Root Cause Analysis to the Lean Specialists/Lean coaches
g. PM Technologies f. Process Adherence on PM fundamentals
2. Acts as a metnor and resource to
the Lean Specialists/Lean Coaches as
a lean reference in this area if PM
resource is not available.

1. On Own, provide an example

7. Transition Management
1. Attend TM Fundamentals training. 1. With help, can show a basic level
2. Understand the importance of
To influence change, you need to be able to manage the change. Business Acumen, Facilitating
Understanding and applying the tools to help teams move from the Change, Organizational
old to the new world will help drive change. Development, Learning &
Development, and Marketing &
Communications in Managing Change Communications
1. On Own, can show an intermediate
level application of transition
application of transition management
management in SCORE events -
in SCORE events -Business Acumen,
Business Acumen, Facilitating
Facilitating Change, Organizational
Change, Organizational
Development, Learning &
Development, Learning &
Development, Marketing &
Development, Marketing &
Communications
showing an expert level application
of transition management in a full
Lean engagement. Can show
execution of Business Acumen,
Facilitating Change, Organizational
Development, Learning &
Development, Marketing &
Communications
2. Acts as a mentor and resource to
the Lean Specialists/Lean Coaches as
a lean reference in this area if TM
resource is not available.

1. Providing Feedback
1. Provide feedback with leaders of
1. As a mentee, be teamed up with a
your Lean engagements. Be willing to
Mentor to discuss their lean
A critical trait of a Lean coach is to be strong and respected to provide 1. Individual understands the 1. As a Coach for a business team, provide information that may be
activities. Reflect on work and
honest and constructive feedback so the individual can improve with importance feedback to develop and build team's Lean skills by providing against the current process.
request/receive feedback. Seek to
the help of the coach. challenge existing behaviors. constructive feedback. 2. Act as a mentor to the Lean
understand the intent of the
community and provide feeedback to
questions asked by mentor
improve their skills.

1. Act as the Coach for the business 1.Provide an example of an

1. Be assigned a Coaching Kata
Lean Coaches, as in the name should be strong listeners and be able in an engagement. Execute coaching engagement where you acted as a
1. Become trained in the Coaching mentor. Meet on a regular
2. Coaching Kata (Developing Others) collaborate with then individual to best develop their skills. Coaching kata cycles. Meet on a regular basis. Coach for a Business Leader. Provide
Kata methology. occurrence to understand the
Kata is the methodology to develop our team and business partners 2. Consult with your Mentor to feedback of the process and result of
6. Coaching & Mentoring relationship between the two parties.
extend the Coaching kata. this engagement.

1. Give an example building SMART

1. Create your own SMART goals Leadership metrics for their lean
1. Help your business partner to
To drive accountability and be more qualitative, we must be able to 1. Understand behavioral metrics to based on your Lean development journey.
3. Measuring Behavior identify SMART goals for the leader,
create SMART goals for our development plans. gauge individual development. plan. Capture regularly and consult 2. Act as a mentor help develop the
team and for the overall problem,
with your Mentor. Lean community, by assist
individuals.

1. With help, educate the team 1. On own, apply three learning

1. Become familiar of the standard
Do make the feedback stick, we need to have some methods to help utilizing one or more teaching tools. methods in a mid sized full 1. Provide examples of where you
4. Teaching and Learning Methods teaching and learning tools to
instruct and spark conversation for the individual to learn. Provide summary and reflection of engagement. Capture event have used 3 or more techniques.
develop teams.
this activity. reflection

1. Just in Time (JIT)

2. Pull systems (A/B type systems)
3. Safety Stock
7. Creating Pull (Future) 4. Kanban Future Assessment Criteria
5 Extending Single Piece Flow (Material
Vendors, Suppliers, Retailers etc.)
6. Value Demand vs. Failure Demand

1. Proven track record of coaching

1. Leadership Coaching
1. Has been trainined in the Lean
Leadership module. Can describe the
To drive a successful lean organization requires coaching the leaders
key characteristics of a Lean Leader
to be able to think in a different way. The coach will need to work
and the role of a coach to
with the leader to change their current thinking.
guide/challenge/support the leader
in their journey.
1. Is coaching a team or department
1. Has observed the interations
leader to become a Lean Leader for
between Lean Master and leader.
their department. Has regular
Reflects with Lean Master on
meetings and attends their staff
conversations to strengthen
meetings for opportunities to build
understanding.
the lean leader skills.
and building leader's lean skills. Can
site examples of leader behaviors to
consistenly empower teams, ask the
right questions, embed leader
standard work in their daily routines.
2. Provide coaching opportunities for
Lean specialists and coaches to see
and understand the differences
between coaching teams and
leaders.

2. Leadership Standard Work
2. Resource & Talent Management
8. Leading a
Transformation
3. Program Management
4. Branding and Marketing
5. Benefits Communication
6. Strategy Creation
1. Is coaching an organization leader
on leader standard work. Can site
examples of daily activities like
1. Is coaching a team or department
1.Has been trained in the lean 1. Has observed a Nike example the walking the floor, asking probing
leader on leader standard work for
leadership module. Can describe the standard work for a lean leader. questions, visual management and
Leadership standard work is a tool to simplify the key behaviors and their department. Can site examples
standard work activities that a Leader Reflects with Lean Master on metrics, etc
activities needed to exhibit and drive a lean organization. of daily activities like walking the
should do to enable a lean culture in conversations to strengthen 2. Provide coaching opportunities for
floor, asking probing questions, visual
his/her department. understanding. Lean specialists and coaches to see
management and metrics, etc.
and understand the differences
between coaching teams and
leaders.
1. Has created a resource plan for a
transformation of an organization.
1. Has created a resource plan for a Indicates the lean resource
transformation of a team or requirements and development
1. Is a particpant with the
For leading a transformation the coach will need to manage resources department. Indicates the lean opportunities to properly resource
Deployment leader in estimating
transforming the teams, and helping the resources grow N/A resource requirements and for the transformation
resources. Understand the criteria
professionally and individually. development opportunities to 2. Provide coaching opportunities for
used to build resource plan.
properly resource for the Lean specialists and coaches to see
transformation and understand the differences
between coaching teams and
leaders.
1. Level 4 for Project Management
2. Can show examples of cost,
1. Level 3 for Project Management timelines, risk, and implementation
With a transformation, there are multiple moving parts. The coach 2. Can show examples of cost, plan for a large Lean transformation.
will need to be able to manage multiple projects simultaneously to N/A 1. Level 2 of Project Management timelines, risk, and implementation 3. Provide coaching opportunities for
successfully transform the organization plan for a mid level Lean Lean specialists and coaches to see
transformation. and understand the differences
between coaching teams and
leaders.
1. Can provide examples of branding
and marketing artifacts of an
Transforming at Nike requires proper communications, branding, and 1. Can show examples of branding 1. Can provide examples of branding organizational transformation.
marketing to energize the leaders and teams to the lean journey. The and marketing a lean initiative and and marketing artifacts of an team or 2. Provide coaching opportunities for
N/A
individual will need to be able to build compelling stories and the positive impact/engagement of department transformation. Lean specialists and coaches to see
branding of the initiatives. teams and leaders. and understand the differences
between coaching teams and
leaders.
1. Level 3 of Lean Benefits Capture .
1. Level 2 of Lean Benefits Capture to 1. Level 2 of Lean Benefits Capture to 1. Level 2 of Lean Benefits Capture to
Providing benefits from existing lean
Benefits communications is critical to keep the engagement of leaders understand what is being captured understand what is being captured understand what is being captured
initiatives.
and teams that the initiatives are impacting strategically. and how to measure soft and hard and how to measure soft and hard and how to measure soft and hard
2. Support deployment leader in
benefits. benefits. benefits.
capturing benefits for engagement.
1. Level 4 of Hoshin (Strategy
1. Level 2 of Hoshin (Strategy Deployment)
1. Level 3 of Hoshin (Strategy
1. Level 1 of Hoshin (Strategy Deployment) 2. Can provide an example of
Deployment)
For a transformation, the individual will need to create and deploy Deployment) 2. Participant of strategy creation communications for an
2. Can provide benefit
strategy. Will need to be able to be the architect of transformation. 2. Understands the key components session with Deployment leader. organizational lean engagement.
communications examples for an
of building a strategy. Understand and reflect on process 3. Able to mentor and coach
engagement.
and result. specialists and coaches in the
creation of a transformation strategy.
 1. Has conducted a lean assessment 1. Has conducted a lean assessment
1. Understands the intent and 1. With help, participates and with a department or team based on with a department or team based on
Can conduct and rate teams/organizations on their lean journey as a
method for a Lean assessment. conducts a lean assessment. Can specific guidelines to ensure specific guidelines to ensure
7. Lean Assessment mechanism to introduce the competitive advantages of Lean and to
2. Observes a Lean assessment and explain, the purpose, result, and consistency of the score with other consistency of the score with other
expand their lean journey.
assessment interviews. standard approach. assessments. Provide a score and assessments. Provide a score and
action plan for team. action plan for team.

Secondary Assessment Based on Interviews and Lean Journal, Assess based on competency (1 to 10)
Criteria

Creates exciting and positive working environment with strong

projection of confidence for making improvements. Projects genuine
Passion/Enthusiasm Comptency Level: 2 Comptency Level: 5 Comptency Level: 7 Comptency Level: 8
personal commitments to business, quality, and process
improvement. Strong bias for results, persistent, and action oriented.

Works effectively across trational organizational boundaries of

function , rank, and other differences. Promotes cross functional
Empowerment efforts, Trusts others. Encourages risk taking and empowerment Comptency Level: 2 Comptency Level: 5 Comptency Level: 7 Comptency Level: 9
A. Nike Fit / Deployment behavior. Motivates using both stretch and reward to ensure rapid
accomplishment of key objectives.
Criteria
Doesn’t hesitate to "push back" when he/she disagrees with direction.
"in face" of champions if necessary. Willingness to face difficult issues.
Confident/Tough "take a stand" become personally involved in. Works well under Comptency Level: 1 Comptency Level: 5 Comptency Level: 7 Comptency Level: 9
pressure. Always keeps the objective in sight. not sidetracked by
minor setbacks.

Has developed an effecti multifunctional network for getting things

Respected by Organization done. Can be trusted to do the right thing/make good decisions given Comptency Level: 3 Comptency Level: 5 Comptency Level: 7 Comptency Level: 8
information available.

Experience and Expertise in business functions in areas that are

Business Knowledge on Area of Focus relevant to our engagements. Has a commanding knowledge of Comptency Level: 1 Comptency Level: 3 Comptency Level: 5 Comptency Level: 5
specific areas to bring in area specific concepts and best practices.
B. Functional Experience
 CULTURE OF SAFEY MATURITY ASSESSMENT SCORECARD
Max Maturity Score
FACTORY NAME: PT Changshin Indonesia Critical Enablers Maturity Assessment 4
FACTORY CODE: JJ

NAME OF ASSESSOR: Tria, Zauzan, Lista, Suryani, Diah OVERALL ASSESSMENT RESULTS TOTAL SCORE 74.07%
Objectives: Creating a Safety Culture:
- Evaluate strengths and opportunities for location's Culture of Safety
- Prioritize focus areas and resources
CONTACT NAMES: Tria Agustina - Identify needs for support
Leadership Safety Management Risk Assessment Workforce Planning Skilled Workforce

- Communication of expectations for Culture of Safety

- Enable consultants to help identify and support issues
DATES OF ASSESSMENT: May, 15-20 2023 73% 78% 70% 82% 70%

Summary:
Strengths:
LAST UPDATE: May, 15-20 2023 Strengths: Strategy driven by Corporate, Headquarters support for Culture of Safety, leadership engagement safety activities through shopfloor activities and communication process. safety documentation are regularly reviewed, internal audit and safety
performance evaluation (KPI), safety into performance evaluation. Resourcing of HSE team and development of HSE team members
Top opportunities:
Resource to support works (skill level) to strengthen deployment of safety culture, need to incresing completion for minor and major finding, programs of related Department are aligned with safety culture.

CULTURE OF SAFETY ATTRIBUTE CULTURE OF SAFETY ACTIVTY ASSESSMENT COMMENTARY, Also include A-D-R Approach SUPPORTING DOCUMENTATION REVIEWED SCORE TOTAL POSSIBLE

- HSE audit by 3rd party (SLCP, government, ISO

45001)
- Compliance programs are in place, need to increase consistency improvement of minor non-compliance - Internal audit report by bi-annually
finding during self assessment. - Bi-annually management review
- The programs has been run periodically, but it needs review and deeper analysis so that improvements - Regular fire assessment by internal or external
Safety compliance program in place continue to be carried out continuously. - HSE activities (training, measurement, etc)
4 5

- Regularly conduct biannual integrated internal audit (ISO 14001, OHSAS 18001, SMK3 and SLCP), annual audit - HSE Committee Organization
to material vendor, monthly HSE inspection and review safety performance through daily activities (DOR) - HSE Monthly inspection
- HSE Weekly report
- Regulation update

C
R
I Factory or Factory Group does have a formal safety policy statement (Deployment) :
T - Senior management or HoD involves to create the Factory vision, HS vision and HS goal.
I Factory or Factory Group has a written and formal safety policy statement
- Deploy our HS goals by leadership, mid-level and employees. - CS Vision
C that includes the principles & objectives as outlined by the ILO Safety
A - Develop HSE policy with employee representatives - HS Goal 5 5
Management System Model
L - HS goal implementation by Policy Deployment board, Accident meeting, HSE committee, Leadership meeting - HSE Policy
Critical Enablers (NSC and Management Review)
E
N - Socialize HS Goal through training, posting RSM board, magazine, campaign, etc.
A
B
L
E
R Factory has a competent person to oversee the HSE/Culture of Safety
S Program. A Competent Person who is reponsible for developing
corporate/factory CoS annual plan and budget and resource requirements - Factory has Dedicated HS leader in managemnt level and compotent HS team to oversease the HSE / Culture
to implement a long term strategy. - HS organizational structure
of Safety program
- Occupational Safety and Health Expert
- Has HS long term & annual plan to control and monitoring HS program
Certificate
- Has HS budget plan to support HS activity 5 5
- HS annual & long term plan
- Upgrading skill for HSE member based on training need analysis
- HS budget plan
- Has Certified HS competent person
- HS training lead analysis
- Has Succession plan based on criteria

Safety is fully integrated in the Hoshin Kanri process (strategy

development and policy deployment process)
- CS Vision
- Factory has HS startegy goal that integrated in the Hoshin Kanri process. - Annual Policy
- Factory has annual safety KPI that singed by leadership - PD KPI 4 5
- Has detail budget to support safety activity implementation - HS long term & annual plan
- HS KPI review by DOR, PD, Accident meeting (if any case), HSE committee, Leadership meeting, etc - Implement ISO 45001 management system

18 5
Safety mission/vision

- Chang Shin Vision 2023

- Chang Shin Group RSM Summit 2022
Factory has safety integration as part of the corporate mission & vision (e.g HS vision, budgets, resources and - JJ Annual Policy 2022 8 10
organizational structure) - HS long term & annual Plan
- HS Budgets
- HS organizational structure

Multi-year safety strategy/priorities

1. Management commitment visibly demonstrated thru positive behaviors, HS investment and time to achieve
HS goals.
-HS Long term & annual plan and MoM
a. 3-5 year strategic plan based on HS vision.
-2022 HS KPI target
b. HS strategy is completely integrated into the business processes of the organization.
-HS organization
c. Post HS goals on each workshop
-HS budget tracking
2. Strong HS Leadership Organization (Have a dedicated HS senior leadership, 8 Safety Representative at
-AM-PM Machine 6 10
workshop)
- Risk Assessment Procedure
3. All levels of employees are aware of HS standards & requirements
- NEI and safe machine procedure
4. Review HSE Inspection & Audit Internal
- Communication regarding safe machine
5. Review KPI monitoring on Daily Operational Review & Policy Deployment
requirement for new machine
6. HS budget allocation is provided
7. Safe machine based machine procurement

Safety is fully integrated in the Hoshin Kanri process

- CS Vision
- Annual Policy
- Factory has HS startegy goal that integrated in the Hoshin Kanri process. - PD KPI
- Factory has annual safety KPI that singed by leadership - HS long term & annual plan
- Has detail budget to support safety activity implementation - Implement ISO 45001 management system 7 10
- HS KPI review by DOR, PD, Accident meeting (if any case), HSE committee, Leadership meeting, etc -HS activity report (WSF, competition, campaign
- Factory has NEI procedure for assessment new technology & recognition)
- NEI Procedure
L
- Result of NEI (last NEI for OPC machine)
E
A
D
E
R
S Leader standard work (safety)
H
I Leadership 1. Safety point include on the leader standard work. Leaders do daily review meeting to share, escalate and
1. Leader Standard Worksheet for TL, GL, VSM”
P Engagement and define the countermeasure.
2. Detail of Jobdesc for Supporting area
Accountability 2. Interactive communication on :
A 3. PD Meeting report
C a. Managements and workers participation in HSE committee meeting. 7 10
T 4. Safety Talk by Leader
b. Police Deployment Meeting
I 5. Safety Gemba by Management
V e. National steering committee
6. HS Campaign by Leader
I 3. Factory needs to implement LSW for leadership and Korean coach after TL/GL and VSM
T
I
E
S Leader visibility/engagement with workers

- Summary of near miss findings

- Summary of suggestion and grievence related
safety
1. Employees can freely express HS concerns, questions or issues by various media (Suggestion / Near Miss /
- Leaders are supported in HSE agenda : near
VoE / Safety Gemba/Kaizen).
miss follow up, internal memo related HS,
2. HS training deliver by WSF.
campaign.
3. Evidence of management's positive involvement throughout the company (Safety induction
- HSE committee meeting report 8 10
for visitor & Introduce our safety culture to employee's family)
- Safety gemba report
4. Need to increase of near miss follow up
- HS campaign
5. Safety talk by leader in workplace
- WSF curiculum and report
6. Identify HS issue and improved
- HS Issue by case complete with action plan
- EWB survey result on 2022 as indicators of
Leader visibility and engagement.

Leadership review process for safety system

1. Safety review in :
a. Leader standard work
b. Policy Deployment
- LSW, DOR, PD KPI.
c. Safety gemba (P2K3)
- Management Review
2. Active participation with others (Factories, government, etc.) on HS activities, i.e Best practice sharing with
- CSG RSM Summit 8 10
government and other factories
- EWB survey result on 2022 as behaviors and
3. Evidence of CSR documents of local community and school
attitudes towards safety
4. Biannual Management Review
5. Annual CSG SMS Summit
6. Factory conducts an EWB survey of employees related HS

Safety included in performance evaluation

1. Aligned CS vision with performance evaluation; performance evaluation is continuously improved ”Form Performance Evaluation”
2. Safety included in performance evaluation for all level '- PE Procedure 7 10
3. Performance Evaluation of Employee as one of Promotion Requirements - PE Form
4. The process of Performance Evaluation is formal and documented - Safety point include to performance evaluation

51 70

- HSE audit by 3rd party (SLCP, government, ISO

45001)
- Compliance programs are in place, need to increase consistency improvement of minor non-compliance - Internal audit report by bi-annually
finding during self assessment. - Bi-annually management review
- The programs has been run periodically, but it needs review and deeper analysis so that improvements - Regular fire assessment by internal or external
continue to be carried out continuously. - HSE activities (training, measurement, etc)
- Regularly conduct biannual integrated internal audit (ISO 14001, OHSAS 18001, SMK3 and SLCP), annual audit - HSE Committee Organization
Safety compliance program in place
to material vendor, monthly HSE inspection and review safety performance through daily activities (DOR) - HSE Monthly inspection 8 10
- Culture of safety program well implemented - HSE Weekly report
- Covid-19 prevention well implemented - Regulation update (Update on January 2022)
- Certified Industrial hygien expert (HIMU, IH level 1) - CoSMA self-assessment by quarterly
- Certified machine safety expert (CMSE) - Covid-19 prevention procedure & activity
- Conduct WSF training (above 1%) - HIMU, IH level 1 & CMSE certification
- WSF achievement (above 1%)
- Risk Assessment Machine by 3rd party

Safety Management
System and Metrics 1. Factory fully tracks leading indicators (nearmiss), lagging indicator (labor accident), Job Hazard Analysis and
preventive actions are taken to reduce risks.
- HS KPI on PD and DOR.
Safety metrics / KPI's/ Data Management Systems 2. Collect HS data on centralized system. Performance data is easily accessible to all personnel. Review : Daily 8 10
- Management review
Operational Review (DOR), Policy Deployment board, Accident meeting, HSE committee.
3. Biannual Management Review

1. Written procedure and documented of job hazard analysis

- JHA procedure
2. JHA Training Target in PD/DOR KPI By Line
Job Hazard Analysis' are completed - JHA training material 8 10
3. JHA activities by Safety team and WSF.
- JHA report and training
4. JHA sheet used in every hazard identification activity.

SWS
1. Safety is incorporated in all jobs activities in the company (including SWS, SOP with content related to safety,
AM cheklist
TPM activities).
SOP
Safety is included in standard work 2. Training Gold which is included in the training curriculum (there is SWS material). 7 10
Job Description
3. Involving employees in making standard work (SWS) and reviewed by HS team.
Safety Kaizen report
P 4. Peer Coaching Program for HS Team
Report of Peer Coaching Activity
R
O 31 40
C
E 1. Procedure for risk assessments and job hazard analysis, and risks control.
S -Risk assessment procedure
2. Hazard identify and risks assessment process in place
- Safe machine matrix.
S Comprehensive Risk Assessment and Analysis
3. Deployment to all employees
- Risk assessment machine 6 10
4. Implement risk assessment and analysis for facility (machine risk assessment, when have layout changes,
- HIRA by Process
A remediation of risks) and priority to make countermeasure for improvement
- JHA by process
C HS analysis point in cooperate to Hoshin Kanri Process
T
I
V
I
T 1. HS’s concerns are defined in aspect impact identification procedure base on OHSAS 18001 and “Design,
-Management of Change Procedure
I Engineering and Management of Change” guideline
-MoC report
Risk Assessment process for evaluating major facility changes 2. Update facility risks following changes to facility but not consistently applied. need consistency of 7 10
E management of change implementation
-New equipments procedure
S -New equipments introduction
3. Continuous Improving & control program together with Risk Assessment & Risk Control procedure

Has system related machine risk assessment process :

1. Machine safety procedure to purchase a new machine/equipment and for current machines -Machine Risk Assessment schedule and it's
2. Implement machine risk assessment process improvement
Machine risk assessment process 3. Have inventory list of machines & assessment category risk by level for all machines '-Machine safety strategy
7 10

4. Review assessment result, analysis and priority to make action plan - Safe machine matrix
5. Continous improvement for machine risk assessment process
Risk Assessment and
Remediation

1. Risk remediation process is applied facility and includes worker input and feedback - Hazard Identification and Risk Assessment
2. Daily check and tracking report for remediation risks - Objective, Target, Plan related to HS
3. Risks assessment and analysis to make improvement plan & tracking - Improvement HS cases, ex : accident, fire
Remediation of risks 4. Factory had periodic review HS performance data : sharing performance data through Daily Operational incident
8 10

Review (DOR), weekly policy meeting, monthly leadership meeting -Management Action Plan (OTP Sheet)
5. Hazard Identification by all level of employess and Near Miss reporting.
 Risk Assessment and
Remediation

Process to correct hazards identified by hazards and unsafe behaviors in place (nearmiss, sugesstion system) -Nearmiss process (including report and follow
Near-miss finding report from line employees and tracking weekly base up)
All near-miss and safety issues with corrective action tracking records on IT system - Suggestion System
Process to correct hazards and unsafe behaviors identified by workers Kaizen policy including safety suggestions by all employee levels -MoM HSE Meeting 8 10
HSE committee meeting regularly discuss HSE issues -Report issue by case
HSE meeting with related departemen (if any case) - CAR of nearmiss by priotizing
- Grievence system related safety

Industry trend analysis and benchmarking process in place.

-Communication and Consultation Procedure.
Benchmarking footwear factories, government and vendors/suppliers but not consistent
Industry trend analysis and benchmarking '-Benchmarking document 6 10
Lessons learned from others factories and improvement
- Benchmarking list by issue (internal issue)
No detail writen procedure related benchmark and it's analysis

42 60
Process for recruiting/hiring inclusive of safety based the safety senstivity
of position.
- Recruitment Flow Chart
HRMAT DEPENDENT - Recruitment Procedure
Recruiting/hiring procedure in place
-Interviewer certificate
Job descriptions exist for all positions with clear description of R&R & required skills and competencies
- Provide Job des for HS person
Using safety points in JD and list of interview to determine positions for hiring individuals
-Provide Job des for all level (safety included) 9 10
Clear requirement for hiring safety positions (at least have safety qualifications)
- List of interview related safety
Job vacancy information at Disnaker, all of HR board in each Plant, LinkedIn
- Job vacancy posting (Safety point include to
Had certified for HR recruitment staff by third party
qualification)

Safety Training and Development Plan

SCORE IS HRMAT DEPENDENT

- Gold training curriculum and schedule.
Had HRD Center System with internal trainers - WSF/ HS Agent training Curriculum.
Had Safety Training and Development Plan for all employees (long term & short term) - List of WSF trainer & facilitator
Had clear and separate Job specific training onsite plan for critical jobs -WSF trainer & facilitator certification
Provided special safety technical knowledge, risks assessment for safety specialists by Third Party then they will -Leadership training curiculum and schedule
train their peers - Example of post test and achievement of 9 10
Training is consistently conducted and documented training report (Gold, WSF & LAT)
WSF program in place - Specific trainer for Safety part (certified safety
Had certificate for WSF Trainer knowledge by third party) : First Aider Training,
Learning through peer coaching by fellow HSE team Fire Fighter training, HIMU, CMSE
- Document of training external by 3rd party

Workforce Planning Appropriate resources to support work

(HSE Organization) - Culture of Safety Long Term Plan CY 20-CY 23 &
Manpower Planning”
' RSM Organitation Structure
Had strong HS Organization in place: Have a dedicated Safety Coordinator and 9 safety officer with each
- IDP
specialist
- HS Certified: AK3U, HIMU, First Aider,
Team members are engage in safety activities throughout safety training onsite, kaizen in Lean Internalization 8 10
Firefighters, certified machinery safety expert, K3
activity.
contractor, etc.
Documented survey and analysis for improvement
- Succession plan HS team

Retention and HSE team member career development (combined old

activities with training) Linked to HR organization activities

HRMAT DEPENDENT - Career Development Plan

Factory has procedure to manage career development & performance evaluation system for employees
- Career Development Structure
Factory has educational program to support employees also training need analysis for career development
- Promotion Procedure
plan
- Night school curicullum and report activity. 8 10
Factory has promotion
- Retention Program
HSE has job rotation program & Peer Coaching
- Promotion list from within (all departemen)
Training according to job requirements by third party
P
E
O
P
L Succession planning for HSE organization
E
SCORE IS HRMAT DEPENDENT - Manpower Planning.
D Factory has Succession planning procedure in place - Promotion Procedure
E
V Clear criteria for successors of the key jobs and Procedures exist to identify and develop high potential - Succession Plan and Procedure 7 10
E employees - Management Review
L Top management review HS performance and strong discuss, support the Culture of Safety program.
O - "Workforce Plan"
P
M
E
N 41 50
T HSE Skills/Competencies within the Organization
A
C
T - Certificate for Occupational Health & Safety
I Expert.
V Provided HSE competencies for all HSE members in the HSE Organization and all HSE Committee members of - HS Organization
I each workshop. - Manpower Plan
T
I Clear HS role and responsibility are defined for HS leaders, manager and supervisors to developing & - R&R for HS leader, manager.
E monitoring behavior based on PD KPI. - MoM HS/CoSMA LC Sharing.
S Sharing HS Best Practices with other organizations (National, Region, within Nike supply chain factories) - Certification of safety sensitive job like first 7 10
Team members check related HS in production area aider, pressure vessel, General Health & Safety,
Safety point include to am cheklist machine safety expert, and etc.
Safety point include to LSW - AM cheklist with safety point
HSE meeting for monitoring based safety metrics (weekly) - LSW with safety point
- HSE Report meeting
- WSF Activity

Safety Problem solving

Safety Gemba Report.

Nearmiss Procedure or flow chart
Safety problem solving process based on PDCA method
Nearmiss issues & it's follow up
Provided safety problem solving for safety managers, safety committee members
Suggestion System 7 10
TM ideas are reported to TL/GL and safety committee members of each workshop, there is a communication
PDCA based on safety issue
feedback & focuses the number of problems solved

Skilled and Capable Safety Committee

Workforce
(Team Members)
Formal training is provided to committee members on hazard identify, problem solving/investigation, safety
rules/regulations
Safety Committee member including worker and management cooperation addresses safety and health topics - HSE Committee Organisation Chart 7 10
both production and non production related - HSE Committee Meeting Minute
HS Expert Certificate (AK3 Umum)
Monthly base meeting (including shopfloor inspection) and discuss issues and sharing performance

Safety awareness activities (not training related) Safety campaign

Safety Talk
Annual revise HS policy and announcement, posted at all bulletin board, RSM boards at each workshop, csi Women Health Activity
mobile HSE Month Activity
HS voice through Safety Talk or announcer in each Plant CSR related safety to local community
Safety Campaign Result of 5S Audit 7 10
HS Reward Result of HSE Inspection
CSR related safety Result of Accident Case Tracking
HS event activity Result of traffic accident tracking
Result of safety survey from worker
Safety recognition/discipline

Culture Change Program reward & Warning

Policy in place that recognizes workers for excellent safety performance and standardized disciplinary Letter unappropriate with safety.
procedures for safety violations. '-Safety recognition procedure 7 10
Examples of safety recognition and safety discipline that follows policy keep on file -Safety dicipline procedure
Near Miss reward for employee -Safety recognition activity
-Safety dicipline activity

35 50

TOTAL 200 270

 Culture of Activity
Safety Attribute
Factory has a competent person to oversee the
HSE/Culture of Safety Program as a senior leader
in strategic level. A Competent Person* who is
PEOPLE
reponsible for developing corporate/factory CoS
annual plan and budget and resource
requirements to implement a long term strategy.
Factory or Factory Group does not Factory or factory group has a
have a formal safety policy
Factory or Factory Group has a written and formal statement
safety policy statement that includes the
principles & objectives as outlined by the ILO
Safety Management System Model*
Safety is fully integrated in the Hoshin Kanri
LEADERSHIP process or the factory has a business integrated
safety management system that aligns with the
ILO Safety Management System Model* or
OHSAS 18001
PROCESS Safety compliance program in place
1 2
Organization has no skilled or Factory has a headcount plan
competent HSE person for a person responsible for
responsible for overseeing the overseeing the HSE/Culture of
HSE/Culture of Safety Program Safety Program, but the person
responsible for safety has
limited experience in HSE.
written safety policy statement
but is not aligned with the ILO
Safety Management System
approach
Safety in not considered in the Safety has just recently been
Hoshin Kanri Process or only included in the Hoshin process,
included ad hoc after safety issues and the process for including
arise. safety is being developed
There is no safety management
system
No Safety compliance program in Not all compliance areas are
place OR covered by the compliance
program.
Limited safety compliance
programs in place. Programs may Functional programs are up to
be out of date. date (i.e LO/TO, Hearing
Conservation, HAZ COM, etc.)
Factory is not monitoring
regulations. Little to no self- There is a formal self-
assessment or corporate audit assessment and/or corporate
program. audit program and only minor
compliance findings were
discovered.
Maturity Level
3 4 5
Factory has a competent person to YES!
oversee the HSE/Culture of Safety Factory or Factory Group does have a competent person* to strategically oversee
Program. A Competent Person* who is the safety program in Senior Leadership Level
reponsible for developing
corporate/factory Culture of Safety
annual plan and budget and resource Input Maturity Level 5
requirements to implement a long term
strategy.
Factory has a written and formal safety
policy statement which is aligned with
ILO Safety Management System Model. YES!
Leadership commitment is present, but Factory or Factory Group does have a formal safety policy statement which is
policy is not affectively communicated committed by the leadership and broadly communicated in the organization
throughout the organization.
Input Maturity Level 5
Safety is fully integrated in the Hoshin Safety is fully integrated in the Hoshin Safety is fully integrated in the Hoshin Kanri
Kanri process or the factory has a Kanri process and Safety Goals and process and there is a history of delivering
business integrated a safety Objectives focus on continuous value to the business. Metrics are owned by
management system that aligns with improvement. Hoshin process defines the business and could include: Risks,
the ILO Safety Management System specific metrics and KPI's. (i.e. Risk downtime, production efficiency, quick
Model* or OHSAS 18001 reduction, adaptability to new change over, integration of new technology,
technology and product change over, behavior based metrics.
production delays due to safety are
predicted and prevented)
Compliance programs cover all Compliance programs include Compliance programs are reviewed during
applicable CLS and local laws. continuous improvement as a key the Hoshin Kanri process, performance
metric for peformance. standards go above and beyond legal and
Minor non-compliance findings during CLS requirements, and factory consistently
formal self assessment and/or corporate Some behavior based activitites are meets performance metrics.
audit program are used to identify gaps included in compliance programs.
in program. Compliance program include behavior based
Factory actively monitors changes to activities.
existing regulations and incorporates
pending legislation in compliance There is an internal system for continuoulsy
programs. monitoring compliance and non-compliance,
and corrective action is priortized and
Factory is consistently meeting countermeasures implemented timely.
continuous improvement compliance
targets
Max Maturity Level
(Input Lowest score above)
 Maturity Assessment Scoring

Culture of Safety Activity 0 3 5 7 10 Maturity Score

Attribute
(Input)

Safety mission/vision
No Safety mission/vision or
Safety Mission is written, but
general direction known, not
documented, little senior level
awareness
Written mission/vision, senior
level awareness. May be some
what out of date, or not clearly
defined.
Documented, clear safety
mission/vision, reviewed annually,
signed by senior management/senior
management ownership, posted in
facilities.
8
Safety is integrated as part of the Safety is integrated as part of the
Corporate Mission and Vision Corporate Mission and Vision, and visibly
drives business decisions, including safety
strategy, budgets, resources, and
organizational structure

Multi-year safety strategy/priorities
No written safety strategy,
reacting to issues and incidents
Random objectives or goals,
primarily associated with
compliance
High level safety goals and Long term and annual safety strategy is Safety Goals and Objectives Execution of safety strategy delivers value
objectives through Hoshin Konrideveloped as part of the Hoshin Konri consistently exceeded. to the business. Metrics are owned by the
process or strategy deployment process or strategy deployment process. Leadership has defined how the business and could include: Risks,
process. Focused priorities forThis includes documented safety strategy delivers business downtime, production efficiency, quick
current year. goals/objectives, KPI's, budget and value through specific metrics and change over, integration of new
resourcing KPI's. (i.e. Risk reduction, technology

6
Not a clear HSE Organization but adaptability to new technology
No HSE Organizational Strategy Individuals in place to support HS Sr management is engage in driving and product change over,
successful execution of the strategy and production delays due to safety
Budget and resourcing limited for Budget and resourcing provided engagement is well documented are predicted and prevented)
safety activities but not clearly linked to safety
objectives. Some examples of Clear HSE Organizational Structure, with
success in executing objectives. senior level individual responsible for
HSE strategy

Safety is fully integrated in the
Hoshin Kanri process
Safety in not considered in the
Hoshin Kanri Process or only
included ad hoc after safety issues
arise.
There is no safety management
Safety has just recently been
included in the Hoshin process,
and the process for including
safety is being developed
Safety is fully integrated in the Hoshin
Kanri process or the factory has a
business integrated a safety
management system that aligns with
the ILO Safety Management System
Model* or OHSAS 18001
Safety is fully integrated in the
Hoshin Kanri process and Safety
Goals and Objectives focus on
continuous improvement. Hosin
process defines specific metrics
and KPI's. (i.e. Risk reduction,
Safety is fully integrated in the Hoshin
Kanri process and there is a history of
delivering value to the business. Metrics
are owned by the business and could
include: Risks, downtime, production
efficiency, quick change over, integration

7
system adaptability to new technology of new technology, behavior based
and product change over, metrics.
production delays due to safety
are predicted and prevented)

Leadership
Engagement
and Leader standard work (safety) No leader standard work (safety) Leader safety standard work is Leader safety standard work is Leader standard work drives safe Leader standard work drives safe behaviors
Accountability

Leaders generally aware of safety
issues, but not documented
evidence of leader safety standard
work. Leader safety activities may
be adhoc and inconsistent.
identified -- examples include:
safety topics as part of meetings,
gemba walks, reviews. May not
be fully implemented. Most
leaders included.
identified for all levels of leadership.
Includes safety topics as part of
meetings, gemba walks, reviews.
Evidence of implementation.
7
behaviors and attitudes within the and attitudes within the entire
factory, and is observed on the organization, from worker to supervisor to
factory floor GM to Executive
Factory uses EWB results are used as
indicators of Leader visibility and
engagement.

Leader visibility/engagement with Limited or no leader visibility or Leadership engagement is Genuine collaboration between leaders Engage leaders drive worker Safety issues are routinely and consistenly
workers engagement on safety issues. observed in several areas , but not and workers is consistently observed behavior as evidenced by a safety identified and resolved collaboratively by
consistent. Leaders follow up and documented, including leadership escalation process that involves workers and management throughout the

8
Leaders inconsistently react to and react when safety issues accountability for follow up on safety both workers and leaders, is facility and improvements are
safety issues. occur. issues identified by workers, injuries, effectively implemented, and documented.
incidents, and trends several examples are
Leaders directive in their approach A process is in place for workers documented. Factory uses EWB results (or similar)as
to safety and workers do what to identify, report and escalate indicators of Leader visibility and
they are told safety issues, but the practice is engagement.
inconsistent

Leadership review process for safety No leadership review process for Leadership is aware and updated A periodic review of the culture of Senior Leadership sets internal The culture of safety is immediately visible

system safety system or
Limited leadership awareness on
safety system and components.
on safety system. Annual review
may be conducted of safety
system; may not include all
components.
safety is conducted with senior
leadership is documented, with
actionable outcomes.
metrics and KPI's to measure the
culture of safety systems and
worker and leadership behaviors
and attitudes.
8
throughout the factory, evidenced by
worker and leadership behaviors and
attitudes towards safety (EWB).
Leadership continuously monitors safety
processes, and improvements are
documented.

Safety included in performance Safety not included in annual Safety included in performance of Safety is included and documented in Safety is included and EWB is used as a tool to assess leader

7
evaluation performance evaluation most factory workers. performance evaluation of all levels, documented in performance safety performance, and is included in
Documented. May not included including management. The process is evaluation of all levels, and performance evaluation of management
Safety included in performance of specific behaviors. formal and documented. specific safety behaviors and and senior leaders.
few workers. Inconsistent. Very attitudes of the factory are used
high level -- may not be detailed. May not include behaviors and attitudes as metrics to assess peformance.
May not be formal and
documented.
 Culture of Safety Activity 0 3 5 7 10 Maturity Score
Attribute
(Input)
Process for recruiting/hiring inclusive of safety Safety not considered in Recruiting activities occur on a Candidate screening and selection are Job descriptions exist for all Candidate screening is based job descriptions as well as
based the safety senstivity of position. recruiting/hiring reactive basis to meet functional based on the minimum skill level and positions (operators, T/L&G/L, staff, safety best practices learned from past experience,
department's short-term needs. safety knowledge requirements management) with clear description which help to identify the most suitable candidates.
contained in job descriptions for of roles and responsibilities,
Job descriptions are developed majority of positions. required skills and competencies. Evidence of safety evaluation is documented.
and managed by individual
functional departments, not a Factory provides training to HR staff Safety sensitive positions require
central HR function. Limited safety responsible for recruiting and selection certification and/or have safety

9
inclusion in job descriptions. processes. qualifications.

Only for critical safety positions

have safety in the job description.

Safety Training and Development Plan
No safety/training development Limited training conducted, 1 to 2 A formal training curriculum exists and Training is consistently conducted There is a formal learning system with designated
plans safety training topics. Conduct a meets legal requirement Include some and documented. Learning through trainers, mentoring programs and external learning
new hire orientation and general specific training for job hazards. peer coaching is part of the training opportunities (university courses) paid by the company.
Team member has no knowledge safety training., but no long term Evidence of training is documented. curriculum.
of applicable safety standards strategy. Inconsistent
related to their job. No process in documentation of training. Team members are knowledgeable of All team members are
place to verify knowledge or high risk safety standards. There may knowledgeable of applicable safety All team members are knowledgeable of applicable
awareness. Team members not be minor knowledge gaps. standards. safety standards and have the skills and knowledge to
knowledgeable of applicable train their peers.
safety standards related to their Formal process (ie, test, performance Non-technical safety training is

jobs. Informal process in place to
verify knowledge or awareness.
Team Leader and Group leader
may have awareness.
9
review) in place to verify knowledge or included in the curriculum, and WSF program is consistently applied in whole factory.
awareness. includes how to participate in safety Training effectiveness is periodically assessed.
initiaves, problem solving, general
WSF Program is in plan. WSF Trainers health, and behavior observations.
are certificated. Trainings for facilitators
are in progress. WSF Program is in place. Facilitators
have yearly training session plans
based on prioritised HSE topics.

Appropriate human resources to support work** No HSE staff to support work or ad No evaluation of HSE staff needs, Hoshin Kanri process is in place to CoS resources in place and Resources are in place. Retention and succession plans
hoc support through another but a full time HSE person is on evaluate CoS staffing needs, but onboarded. Little track record of are in place. Turnover, when they occur, does not
Workforce Planning Strategy level, program management level, department staff. there may be some gaps in turnover. create a gap in the Culture of Safety program.
(HSE Organization) Production line level headcount .
Team members are engage in safety A long track record of team members engagement in
activites throughout the factory. safety kaizens and worker initiated improvements.

Retention and HSE team member career No retention or career Career development
development Linked to HR organization activities development plan for HSE team opportunities are very limited for
members HSE team members and
management staff, even for
workers with high potential.
There are isolated examples of
workers promoted from within.
Career development opportunities are
available for limited categories of HSE
Team members, such as high potential
employees.
Management training and career
development programs exist, is and
there are a few examples of workers
8
Career development opportunities Factory has a formal procedure to manage career
are available for all HSE team development for HSE Team members, which is linked to
members, including operators, a performance evaluation system.
T/L&G/L, staff and management.
Job rotation, mentoring, on-the-job training and off-job
Factory has a formal educational training are widely used to support career
program to support operator career development.
development, such as night school.

8
promoted from within. A large proportion of managers, T/L&G/L, and HSE staff
Sevaral examples of managers and are promoted from within. Many of them are promoted
T/L&G/L are promoted from the from the worker level.
worker level through career
development programs.

Succession planning for HSE organization
No succession plan for HSE team
members
Limited succession plans for team Succession planning is conducted by
members. Critical HSE team factory leadership and functional
members not identified. managers (not an HR function), but
there is no standard procedure or
documentation.
HR partners with leadership and HR plays a leading role in factory-wide succession
managers during Hoshin Kanri planning, including key CoS staff positions. HR assesses
process to identify an inventory of talent supply from internal and external sources.
key jobs that support the Culture of
Safety program . CoS individuals with high potential are identified and HR

7
partners with leadership and managers to create
There exist clear criteria for individual career plans.
successors of the key CoS jobs.
Procedures exist to identify and
develop high potential employees.
 Comprehensive Risk Assessment and Analysis**
Guidance for facility/operational risks
https://www.dir.ca.gov/dosh/etools/09-031/
HazAssessCheck.pdf
Guidance for external risks to the Factory
http://www.fema.gov/media-library-data/20130726-1530-
20490-5739/fema433.pdf
Risk Assessment process for evaluating major facility
changes, including changes to manufacturing process that
requires building structural enhancements.
http://www.iitk.ac.in/nicee/wcee/article/2826.pdf
Machine risk assessment process
Remediation of risks***
Risk Assessment
and Remediation
Process to correct hazards*** and unsafe behaviors
identified by workers
Industry trend analysis and benchmarking
No comprehensive risk
assessment in place
Risks identified ad hoc or
retroactively after and incident.
No inclusion of risk analysis into
strategy and annual objectives
No risk assessment process to
address changes
No machine risk assessment
process
No remediation of risks identified Some documented process in
Risk are not prioritized and
remediation is ad hoc.
No process to correct hazards and Little to no documentation of
unsafe behaviors identified by
workers
No process in place to receive
worker safety suggestions.
No benchmarking and evaluation Limited benchmarking and
industry trends
Facility risk assessment exists.
May have significant gaps, but
major risks identified
Assessments may be out of date
or incomplete.
Risk analysis is disjointed from
strategy and annual objectives
When facility changes occurs, risk Process in place to update facility risks
assessments are inconsistently
completed.
Limited machine risk assessments Machine risk process in place,
conducted. Not consistent
process.
place to remediate risks,
inconsistent remediation of risks.
hazards identified by workers.
Limited evidence of hazards
corrected.
Ad hoc worker safety suggestions
process.
evaluation industry trends. May
be adhoc and inconsistent.
Comprehensive facility risk assessment Buisness continuity and Business continuity and Contingency plans
covers anticipated risks to facility with contingency plans are in place are in place and fully resourced
few gaps but not resourced in case of an
emergengy Risk assesssments and analys are done
Assessments are up to date and continuously and part of the safety culture.
reviewed at least annually. Annual risk analysis identifies
6
program gaps, and is fully
Process in place to incorporate risk embedded into the Hoshin Kanri Documentation verifies that risk anaylsis
analysis into Hoshin Kanri process, process. has consistently been integrated in Hoshin
including strategy development and Kanri for multiple years.
annual objectives.
Process in place and consistently Process in place, and documentation of all
following changes to facility. applied. facility changes that impacts risk, including
updated engineering drawings, are
7
Documentation of change is available for review.
inconsistent.
Machine risk assessment process Machine risk assessment process in place,
inconsistent completion of risk in place, completed for most completed for all machine types in factory
assessments. machine types in factory and up- and up-to-date.
to-date.
7
Plan to complete remaining risk All machines are in compliance with Nike's
assessment is in place, and on target for Targets for machine related machine safety standards and Zero
completion. incidents are established. machine related injuries have occurred
within the past 3 years
Process in place to remediate Risk remediation process is There is a formal system to track risks and
unacceptable risks, all risks remediated applied factility wide and includes remediation. The system is used to
to an acceptable level. The process is worker input and feedback. identify trends and areas of improvement.
implemented in high risk areas, but not Worker input is documented in
consistently throughout the faciltiy. Kaizen activities.
Process to correct hazards identified by Process to correct hazards Workers identify hazards and unsafe
workers. identified by hazards and unsafe behaviors AND are involved in the
behaviors. corrective action / remediation.
Process includes prioritizing,
remediation plan, completion dates and Consistent documentation, follow Positive EWB results validate worker safety
measuring progress. up and completion. behavior shift.
8
Significant gaps in documentation, A formal safety suggestion
follow up, and completion process and feed back loop to
workers who provided the input.
Process in place for worker safety Process is documented and
suggestions, but inconsistently used. consistently applied.
Process in place to evaluate external Process in place, benchmarking Process in place, benchmarking and
risks and industry trends -- inconsistent and industry trends identified. industry trends identified.
implementation.
6
Benchmarking places factory in Benchmarking places factory in the upper
the upper 75 percentile against 90 percentile against peers.
peers.
Industry trend analysis is reviewed as part
of the Hoshin process.
Culture of Safety: Levels of Maturity
Leadership sees safety as a
BURDEN and something we
have to do to keep regulators
off our backs
Organization SAFETY STRATEGY
is not defined or understood
SAFETY PROCESSES are not well
documented
Workers are completely
DISENGAGED
WHO CARES as long as we
don’t get caught attitude
LEADERSHIP TALKS a lot about
safety, but after a while, things
usually return to how they
were
Organization safety strategy is
more comprehensive and
understood by some workers
Process supporting CoS are
DOCUMENTED, but may be
outdated
Workers become ENGAGED in
safety after an incident occurs
Safety is IMPORTANT, we will
do what it takes to make sure
that never happens again
Leadership UNDERSTANDS
basic Culture of Safety
principles and the value
proposition
HSE organizational strategy is
developed and understood by
most workers, and aligned with
Business strategy
“We have systems in place to
manage hazards.” SUCCESSFUL
RESULTS due to consistent
implementation across the
organization
CoS processes documented and
CHECKED on a regular basis
“We don’t tolerate unsafe work
or bad attitude about safety”
Leaders view Culture of Safety
as BUSINESS PRIORITY
HSE organizational strategy is
defined and seamlessly aligned
with BUSINESS PLANNING cycle
CoS process performance is
measured , documented, and
characterized by a continuous
improvement mindset
Safety success is due to
IMPLEMENTATION AND
TRACKING of consistent and
predictable safety sub-
processes
Workers are engaged in
improving safety by joining
safety committees, corrective
action planning, etc.
“It is my safety program. We
work on the problems we still
find”
Maturity
eaders view Culture of Safety
BUSINESS PRIORITY
SE organizational strategy is
efined and seamlessly aligned
ith BUSINESS PLANNING cycle
oS process performance is
easured , documented, and
haracterized by a continuous
mprovement mindset
afety success is due to
MPLEMENTATION AND
RACKING of consistent and
edictable safety sub-
ocesses
orkers are engaged in
mproving safety by joining
fety committees, corrective
tion planning, etc.
t is my safety program. We
ork on the problems we still
nd”
There is no separation between
leadership and safety. Every
leader views safety as a ROUTINE
BUSINESS PRIORITY and looks to
continuously improve
Organizational safety strategy is
well formed, communicated, and
understood by all workers
Safety processes are visible and
continually improved through
quantitative and qualitative
measures, with consistent year
over year success
Safety process are standardized
and documented.
Workers are engaged and
consulted, and make decisions on
safety activities
“Safety is how we do business
around here”
Critical Enablers

Leadership

People
Process
 RATINGS GUIDE
ADR
10 5 1
Approach:
•What structures and processes
have been developed to achieve One standard approach Beginnings of a standard No evidence that an approach has
the intent and why were they recognized as the Lean Best approach; missing some key been considered; reactive attitude to
chosen? Practice. elements of the Best Practice. needs or problems.
•How does this method align with
Lean Best Practice?
Deployment:

•How have those structures and

processes been put into practice? Approach is applied to all areas
Approach is applied in some
in all opportunities; well
•What is the depth and breadth of established as normal areas and starting to become Little use of the approach.
their implementation? part of normal operations.
operations.
•To what extent have they been
integrated as part of normal
operations?
Results:
•Are outcomes of the approach
captured and shared? Results widely shared. Results logged and subject to
Proactive system for review periodic review. Occasional
No data / Anecdotal
drives improvement action. improvement action taken.
Positive trends in all areas. Positive trends in some areas.
 Results widely shared. Results logged and subject to
•Are outcomes checked against Proactive system for review periodic review. Occasional
No data / Anecdotal
expected outcomes and reviewed drives improvement action. improvement action taken.
for trends? Positive trends in all areas. Positive trends in some areas.
•Do unsatisfactory results trigger
action?

•There is no longer a separation between “Lean” and “Leadership.” Every leader utilizes Lean Thinking to run and improve their business.
Maturity Level 5 •Every leader has a master-level Lean coach. The primary role of Lean resources is coaching managers in the line of work.
10 The Legend •A well managed portfolio of projects covers every aspect of the business; kaizen activity is ongoing.
91-100%
R •A standardized, rapid improvement method is continuously practiced by managers who are coached by Lean Masters
•The status of virtually every process is immediately visible; the primary method for delivering results is the continuous monitoring and improvement of all processes.
A •Leaders understand Lean; view Lean as the means to improve processes and deliver results
T Maturity Level 4 •Full-time, dedicated Lean resources support all aspects of the organization
I 7 Record Holder
76-90%
•A well managed portfolio of projects is tied directly to strategy and focuses on process improvement
•A standardized, rapid improvement method is consistently led by Lean Coaches
N •Managers consistently deliver results by focusing on process performance and reacting to problems in immediately.
G •Leaders understand some basic Lean principles but treat Lean as a separate activity.
S Maturity Level 3 •Dedicated Lean resources are part time project managers
5 Olympian •A method to plan projects exists, but not clearly tied to strategy or process improvement.
51-75% •Organization beginning to define improvement methods, but skills and deployment depend on person
G •Results checked on a daily basis, but causes for those results are anecdotal.
U •Leaders understand Lean as “good” but don’t have personal responsibility
Maturity Level 2
I 3 Participant
•Projects launched in reaction to “pain points, roadblocks.”
D 21-50% •Methods not more detailed than “PDCA.”
•Management by reviewing retrospective, IT generated reports in weekly or monthly meetings.
E Maturity Level 1 •Leaders unaware of Lean
Spectator •Prevalent fire fighting
0 0-20%
•Success depends on heroics.
•Lack of structure & standards
 Lean Maturity Model
75-90
Advanced
51-75 Leaders understand Lean;
Basics in Place view Lean as the means to
improve processes and deli
results
21-50 Leaders understand some Full-time, dedicated Lean
resources support all aspec
Beginning basic Lean principles but treat
Lean as a separate activity. of the organization
Dedicated Lean resources are A well managed portfolio o
part time project managers projects is tied directly to
Leaders understand Lean A method to plan projects strategy and focuses on
as “good” but don’t have exists, but not clearly tied to process improvement
personal responsibility strategy or process A standardized, rapid
Projects launched in improvement. improvement method is
reaction to “pain points, Organization beginning to consistently led by Lean
0-20 roadblocks.” define improvement methods, Coaches
Methods not more Managers consistently deliv
Ad hoc detailed than “PDCA.”
but skills and deployment
depend on person results by focusing on proc
Leaders unaware of Management by reviewing Results checked on a daily performance and reacting t
Lean retrospective, IT basis, but causes for those problems in immediately.
Prevalent fire fighting generated reports in results are anecdotal.
Success depends on weekly or monthly
heroics. meetings.
Lack of structure &
standards
 91-100
High Performance

75-90 There is no longer a separation

between “Lean” and
Advanced “Leadership.” Every leader
utilizes Lean Thinking to run and
improve their business.
ers understand Lean; Every leader has a master-level
Lean as the means to Lean coach. The primary role of
ove processes and deliver Lean resources is coaching
ts managers in the line of work.
time, dedicated Lean A well managed portfolio of
urces support all aspects projects covers every aspect of
e organization the business; kaizen activity is
ll managed portfolio of ongoing.
ects is tied directly to A standardized, rapid
egy and focuses on improvement method is
ess improvement continuously practiced by
ndardized, rapid managers who are coached by
ovement method is Lean Masters
istently led by Lean The status of virtually every
hes process is immediately visible;
agers consistently deliver the primary method for
ts by focusing on process delivering results is the
ormance and reacting to continuous monitoring and
lems in immediately. improvement of all processes.
 Activity Level Five
The assessment proves the condition, behavior and/or actions
described in this category indicate the following:
• Virtually all activities and behaviors are fully and effectively
HS LEADERSHIP implemented, and risks are minimized as much as possible
• Virtually all actions and behaviors are fully integrated into all factory
operations
Organizational • Management and performance exceeds local and international laws,
Leadership regulations and best practices
• There is minimal room for improvement
(HSL1) • The factory engages globally with stakeholders, NGOs.
Governments and other interested parties
• There is an effective continuous improvement program in place that
is actively improving the system
HS goals are fully understood by all levels and departments within the
organization
Management and worker’s HS goals are identical
Incentives only increase positive HS behaviors, dis-incentives are only
used to decrease negative HS behaviors
Workers respect HS management, and HS management respect workers
Collaboration between workers and management consistently and
constantly occurs
Questions
How has the leadership of the organization inspired, built, and continued
to uphold a penetrating culture which nurtures positive HS behaviors and
practices?
What is the leadership's view of effective organizational leadership?
How to Assess
What practical measures have the leaders taken to conform to that view?
Is the factory management viewed as positively leading the HS programs?
Level Three
The assessment proves the condition, behavior and/or actions
described in this category indicate the following:
• General compliance is achieved, most activities and behaviors are
fully and effectively implemented, and risks are minimized
• Most actions and behaviors are mostly integrated into factory
operations
• Local and International regulations, requirements and best
practices are mostly followed
• There is minor room for improvement
• The factory engages with key industry or local stakeholders
• There is an effective continuous improvement program in place
that is actively improving the system
HS goals are mostly understood by all levels within the organization, and
across all departments
Management and worker’s HS goals are similar but not exact
Incentives usually increase positive HS behaviors, dis-incentives
generally are used to decrease negative HS behaviors
Workers respect HS management, and HS management respect workers
Collaboration between workers and management generally occurs
Things to look for
Understanding of Organizational Leadership, and a culture which upholds
that leadership.
Understanding of Organizational Leadership, and a culture which upholds
that leadership.
Programs, goals, knowledge or other measures that instill the culture of
positive HS behaviors.
Attitudes, programs, and opinions of positive HS management.
Level One
The assessment proves the condition, behavior
and/or actions described in this category indicate
the following:
• Basic compliance is achieved, and that all major
risks are reduced to an acceptable level
• Actions and behaviors are managed separately
from factory operations
• Local regulations, requirements and practices are
mostly followed
• There is significant room for improvement
• The factory focuses on their issues
• There is an effective continuous improvement
program in place that is actively improving the
system
HS goals are in place, but they are not still being
trained across the larger organization
Management and worker’s HS goals are not consistent
Incentives and dis-incentives are used that confuse
positive HS behaviors
Respect between workers and management needs
improvement
Collaboration may occur, but it is not consistent
How
Interview management and workers to determine if the
HS leadership upholds a positive culture.
Interview management to determine if the Leadership
View is appropriate and effective.
Look for programs, goals, knowledge, etc. that show
that the factory is taking practical steps to have
appropriate HS leadership.
Observe and interview workers to determine attitudes
towards HS management.
 Activity Level Five
The assessment proves the condition, behavior and/or actions
described in this category indicate the following:
• Virtually all activities and behaviors are fully and effectively
implemented, and risks are minimized as much as possible
HS LEADERSHIP • Virtually all actions and behaviors are fully integrated into all factory
operations
Commitment to • Management and performance exceeds local and international laws,
regulations and best practices
HS Goals (HSL2)
• There is minimal room for improvement
• The factory engages globally with stakeholders, NGOs.
Governments and other interested parties
• There is an effective continuous improvement program in place that
is actively improving the system
Goals are fully understood by all levels within the organization
Management and worker’s commitment to goals is identical
The organization has demonstrated its commitment to HS goals internally
and publicly
All of management’s practices align with the stated ideals
Management’s practices positively reflect strong HS ideals
Ample resources are provided for HS
HS is driven by multiple layers of resource dedication
The appropriate balance of financial, time, energy, and focus are devoted
to HS
HS standards and requirements for leadership are comparable throughout
all employee levels
All levels of employees are aware of the HS standards and requirements
Standards are communicated consistently throughout all employee levels. Standards are communicated throughout some employee levels
Questions
How has leadership of the organization visibly demonstrated its
commitment to HS goals to other management, employees, stockholders
(if applicable), and the public?
Are management practices aligned with the stated ideals of management
(i.e. walk the talk)?
How to Assess
Does the organization provide the appropriate resources (financial, time,
energy, focus) to HS?
Are HS standards and requirements for leadership comparable to those for Understanding of Organizational Leadership, and the standards and
other employee levels? requirements for leadership.
Level Three
The assessment proves the condition, behavior and/or actions
described in this category indicate the following:
• General compliance is achieved, most activities and behaviors are
fully and effectively implemented, and risks are minimized
• Most actions and behaviors are mostly integrated into factory
operations
• Local and International regulations, requirements and best
practices are mostly followed
• There is minor room for improvement
• The factory engages with key industry or local stakeholders
• There is an effective continuous improvement program in place
that is actively improving the system
HS goals are mostly understood by all levels within the organization
Management and worker’s commitment to goals is evolving, but not yet
fully aligned
The organization has demonstrated its commitment to HS goals internally
but not publicly
Management’s practices mostly align with the stated ideals
Management’s practices positively reflect HS ideals
Some resources are provided for HS
HS is supported by dedicated resources
Some resources—financial, time, energy, and focus—are lacking
HS standards and requirements for leadership are comparable
throughout some employee levels
Some levels of employees are aware of the HS standards and
requirements
Things to look for
Understanding of Organizational Leadership, and a culture which upholds
that leadership.
Understanding of Organizational Leadership, and a culture which upholds
that leadership.
Programs, goals, knowledge or other measures that instill the culture of
positive HS behaviors receive the necessary resources to make them
successful.
Level One
The assessment proves the condition, behavior
and/or actions described in this category indicate
the following:
• Basic compliance is achieved, and that all major
risks are reduced to an acceptable level
• Actions and behaviors are managed separately
from factory operations
• Local regulations, requirements and practices are
mostly followed
• There is significant room for improvement
• The factory focuses on their issues
• There is an effective continuous improvement
program in place that is actively improving the
system
There are goals, but they are not understood
throughout the organization
There is an imbalance in the commitment to the goals
by management and workers
The organization has not demonstrated its
commitment to HS goals internally or externally
There are recorded ideals but they don’t align with the
practices
Management’s practices somewhat reflect the HS
ideals
Limited or no resources are provided for HS
HS resource dedication is limited
Resource allocation is minimal in scope or committed
in an unorganized fashion
There are HS standards and requirements for
leadership but they are inconsistent across employee
levels
Some employees are aware of the HS standards and
requirements but it is very inconsistent
Standards are inadequately communicated throughout
employee levels
How
Interview management and workers to determine if the
HS leadership upholds a positive culture.
Interview management to determine if the Leadership
ideals and practices match.
Look for programs, goals, knowledge, etc. and review
the resources that make them possible.
Interview management and workers to see how
standards compare across the various employee
levels.
 Activity Level Five
The assessment proves the condition, behavior and/or actions
described in this category indicate the following:
• Virtually all activities and behaviors are fully and effectively
HS LEADERSHIP implemented, and risks are minimized as much as possible
• Virtually all actions and behaviors are fully integrated into all factory
operations
Corporate • Management and performance exceeds local and international laws,
regulations and best practices
Climate/Culture • There is minimal room for improvement
(HSL3) • The factory engages globally with stakeholders, NGOs.
Governments and other interested parties
• There is an effective continuous improvement program in place that
is actively improving the system
The organizational structure is designed so that the management style
directly contributes to the corporate culture/climate, inter-company
relations, cooperation, and mutual respect.
The management leads in a style that positively reflects throughout the
organization
Workers virtually always think/feel that their relationship with management
is positive for the organization
Communication, as directed by corporate culture, is fluid and transparent
Records of communications are available to all who request
Employees and HS Management always have the ability to suggest
improvements, and those meaningful suggestions are consistently
implemented
Leadership is encouraged throughout by the organization culture
Workers have the ability to become leaders among their peers
Workers are given opportunities to fill leadership roles regardless of their
position
Questions
Does the management style contribute to the corporate culture/climate,
inter-company relations, cooperation, and mutual respect?
How does the organization approach relationships between the workforce
and management, including contractors?
How to Assess
Is there a fluidity/transparency of communication within the corporate
culture?
Can employees freely express HS concerns, questions or issues they may
have at their work process?
Does the organization culture encourage leadership at all employee
levels?
Level Three
The assessment proves the condition, behavior and/or actions
described in this category indicate the following:
• General compliance is achieved, most activities and behaviors are
fully and effectively implemented, and risks are minimized
• Most actions and behaviors are mostly integrated into factory
operations
• Local and International regulations, requirements and best
practices are mostly followed
• There is minor room for improvement
• The factory engages with key industry or local stakeholders
• There is an effective continuous improvement program in place
that is actively improving the system
The organization structure is designed so that the management style can
contribute to the corporate culture/climate, inter-company relations,
cooperation, and mutual respect
The management style positively reflects throughout most of the
organization
Workers typically think/feel that their relationship with management is
positive for the organization
Communication, as directed by corporate culture, is generally fluid and
transparent
Communication is not consistently recorded, and therefore is not always
available for review.
Employees and HS Management generally have the ability to suggest
improvements and only some of those suggestions are implemented
Leadership is encouraged unevenly by the organization culture
Not all workers have the ability to become leaders among their peers
Workers are not consistently given opportunities to fill leadership roles
regardless of their position
Things to look for
Evidence of management's positive involvement throughout the
company.
How the organization promotes interaction between workforce and
management. Documentation should reflect frequent communication that
positively promotes organizational goals.
Communication records throughout the corporation.
Policies/processes that empower employees to express HS concerns,
questions, or issues.
Examples of workers of all levels positively impacting the HS program.
Level One
The assessment proves the condition, behavior
and/or actions described in this category indicate
the following:
• Basic compliance is achieved, and that all major
risks are reduced to an acceptable level
• Actions and behaviors are managed separately
from factory operations
• Local regulations, requirements and practices are
mostly followed
• There is significant room for improvement
• The factory focuses on their issues
• There is an effective continuous improvement
program in place that is actively improving the
system
The organization structure allows for limited
management style to contribute to the corporate
culture/climate, inter-company relations, cooperation,
and mutual respect
The management style positively reflects in select
segments of the organization
Workers generally think/feel that their relationship with
management is positive for the organization
Communication, as directed by corporate culture, is
striving to be fluid and transparent
Communication is not consistently recorded, and
therefore is not always available for review.
Employees and Management sometimes have the
authority to suggest improvements, but not all
legitimate suggestions are implemented
Leadership is seldom encouraged by the organization
culture
Workers do not have the ability to become leaders
among their peers
Workers are not given opportunities to fill leadership
roles regardless of their position
How
Review corporate mission statement and goals, as
well as, the organization chart to identify where
management contributes positively.
Discuss with management and workers how they form
working relationships.
Interview management and workers to discuss how
communication occurs throughout the corporation.
Interview workers to determine how they express their
concerns, etc.
Discuss with management and workers how
leadership is incentivized and expressed.
 Activity Level Five
The assessment proves the condition, behavior and/or actions
described in this category indicate the following:
HS LEADERSHIP • Virtually all activities and behaviors are fully and effectively
implemented, and risks are minimized as much as possible
• Virtually all actions and behaviors are fully integrated into all factory
Corporate operations
• Management and performance exceeds local and international laws,
Citizenship &
regulations and best practices
Responsibility • There is minimal room for improvement
• The factory engages globally with stakeholders, NGOs.
(HSL4)
Governments and other interested parties
• There is an effective continuous improvement program in place that
is actively improving the system
HS goals incorporate corporate citizenship
Documented HS communication with outside parties
Workers are widely aware of industry HS practices
Information is shared with other like organizations (regular and ongoing
basis)
The organization values participation with other organizations
The organization actively participates in forums, meetings, and/or summits
Outside influences include adoption or sharing of industry best practices
Walkthroughs and criticism have been shared with similar organizations
There are multiple ways in which social responsibility is demonstrated
There are multiple was in which management has demonstrated and
encouraged social responsibility
Employees and HS management always have the ability to suggest
improvements
Meaningful suggestions, internally/externally are implemented
Questions
How, as a corporate citizen, does the organization move to interact with
and contribute to the local, regional, national, and global communities,
especially as related to HS issues?
What are the resulting corporate social partnerships?
How to Assess
Does the organization value participation with other organizations
(factories, collaboration groups, stakeholder meetings, government
participation, etc.) as it relates to HS?
How is a sense of social responsibility demonstrated by management and
encouraged throughout the organization?
Level Three
The assessment proves the condition, behavior and/or actions
described in this category indicate the following:
• General compliance is achieved, most activities and behaviors are
fully and effectively implemented, and risks are minimized
• Most actions and behaviors are mostly integrated into factory
operations
• Local and International regulations, requirements and best
practices are mostly followed
• There is minor room for improvement
• The factory engages with key industry or local stakeholders
• There is an effective continuous improvement program in place
that is actively improving the system
HS goals are defined but do not address corporate citizenship
Some HS communication with outside parties is documented
Workers are aware of some industry HS practices
Some HS communication occurs with other like organizations (periodic,
irregular or expanding process)
The organization is comfortable participating with other organizations
The organization has participated in a forum, meeting, or summit
Outside influences have begun to have effect with regard to adopting
best practices
Similar organizations are consulted but have not been used for critiques
Social responsibility is demonstrated in the factory
Social responsibility is encouraged by management
Employees and HS management have the ability to suggest
improvements
Meaningful suggestions, internally/externally are not always implemented
Things to look for
Records of minutes from meetings with these groups.
List of corporate social partnerships, fellow companies the factory works
with on HS projects.
Membership in HS organizations, photos and documents from meetings.
Evidence of posted CSR documents, training records from code of
conduct trainings.
Level One
The assessment proves the condition, behavior
and/or actions described in this category indicate
the following:
• Basic compliance is achieved, and that all major
risks are reduced to an acceptable level
• Actions and behaviors are managed separately
from factory operations
• Local regulations, requirements and practices are
mostly followed
• There is significant room for improvement
• The factory focuses on their issues
• There is an effective continuous improvement
program in place that is actively improving the
system
HS goals are defined but they don’t address corporate
citizenship and they are not understood throughout the
organization
HS communication with outside parties is not
documented
Only some workers are unaware of industry HS
practices
Some HS communication has occurred with other
organizations (one time or rare process)
The organization is open to participation with other
organizations
The organization has not participated in a forum,
meeting, or summit
Outside influences have minimal effect with regard to
adopting best practices
The organization has yet to contact outside
organizations
Social responsibility is lacking in the factory
Social responsibility is not expressly encouraged by
management
Employees and HS management do not consistently
have the ability to suggest improvements
Meaningful suggestions, internally/externally are not
implemented
How
Interview management to determine what relationship
it has with HS in the outside community.
Discuss with management the results of their outside
relationships.
Discuss with management the value it places on
participation with organizations and how they
communicate that throughout the factory.
Interview management and workers to discuss the role
of social responsibility in the organization.
 Activity Level Five
The assessment proves the condition, behavior and/or actions
described in this category indicate the following:
• Virtually all activities and behaviors are fully and effectively
INTEGRATED HS implemented, and risks are minimized as much as possible
MANAGEMENT SYSTEM • Virtually all actions and behaviors are fully integrated into all factory
operations
• Management and performance exceeds local and international laws,
How Management regulations and best practices
• There is minimal room for improvement
Leads (IHSMS 1)
• The factory engages globally with stakeholders, NGOs.
Governments and other interested parties
• There is an effective continuous improvement program in place that
is actively improving the system
HS goals and objectives are clearly defined and fully understood by all
levels within the organization
Management and workers share identical goals and objectives
HS goals and objectives are easily accessible by management and
workers
HS performance is measured and documented throughout all levels of the
organization
Management and workers contribute appropriately to the performance
measurement process
Senior Management is actively participating in the HS programs
Senior Management leads the HS programs by giving input and
recognition of HS successes
Senior Management champions the efforts and successes by the HS team Senior Management supports the efforts of the HS team—recognizing
—recognizing that they are key indicator of organizational excellence that they are an indicator of organizational excellence
HS is led by effective leaders throughout the organization
Line Supervisors and Managers continually strive to increase their HS
knowledge authority, and resources
Workers think/feel that supervisors and management are effective
The organizational structure has set management with a chart that
highlights key HS personnel
Management structure promotes appropriate HS communication
HS management beliefs are defined and put into practice by management
Questions
Does the factory have a clearly stated HS policy with defined goals and
objectives?
Does the factory have an HS performance measurement system?
Is the HS system reviewed at least annually?
Is Senior Management actively participating in the HS programs?
How to Assess Does Management recognize HS performance as a key indicator of
organizational excellence?
Do line Supervisors and Managers have appropriate HS knowledge
authority and resources?
Level Three
The assessment proves the condition, behavior and/or actions
described in this category indicate the following:
• General compliance is achieved, most activities and behaviors are
fully and effectively implemented, and risks are minimized
• Most actions and behaviors are mostly integrated into factory
operations
• Local and International regulations, requirements and best
practices are mostly followed
• There is minor room for improvement
• The factory engages with key industry or local stakeholders
• There is an effective continuous improvement program in place
that is actively improving the system
HS goals and objectives are clearly defined and mostly understood by all
levels within the organization
Management and worker’s share similar goals and objectives
HS goals and objectives are accessible to management and workers
HS performance is measured and documented throughout most of the
levels of the organization
Management and workers contribute to the performance measurement
process
Senior Management participates in the HS programs
Senior Management gives some input and recognition to HS successes
HS leaders are mostly effective
Line Supervisors and Managers are good, but do not always strive to
increase their HS knowledge, authority, and resources
Workers generally think that HS is effective
The organizational structure has set management but the is incomplete
with regards to highlighting key HS personnel
Management structure is good, but does not always promote appropriate
HS communication
HS management beliefs are defined by management, but they do not
completely reflect what is put into practice
Things to look for
Documented HS policy with goals and objectives defined.
Documented and defined HS performance measurement system.
Review process listed in HS system documentation, look for evidence of
previous year's HS system review.
Senior Management is included in the process and signs off on HS
programs.
Same as above.
HS training and background for Supervisors and Managers as well as
access to resources.
Level One
The assessment proves the condition, behavior
and/or actions described in this category indicate
the following:
• Basic compliance is achieved, and that all major
risks are reduced to an acceptable level
• Actions and behaviors are managed separately
from factory operations
• Local regulations, requirements and practices are
mostly followed
• There is significant room for improvement
• The factory focuses on their issues
• There is an effective continuous improvement
program in place that is actively improving the
system
There are HS goals and objectives, but they are not
understood throughout the organization
Management and worker’s goals and objectives are
not consistent
HS goals and objectives are not easily accessible to
management and workers
HS performance is measured and documented,
although not consistently throughout the organization
Management and workers disproportionally contribute
to the performance measurement process
Senior Management is aware of the HS programs but
has very limited participation
Senior Management gives some input but does little to
recognize the successes of the HS performance
Senior Management supports some of the efforts of
the HS team but does not see it as a key indicator of
organizational excellence
HS leaders are not always effective
Line Supervisors and Managers is not striving to
increase their HS knowledge, authority, and resources
Workers sometimes think that HS is effective
The organizational structure does not correctly
represent management or highlight key HS personnel
Management structure is not striving to promote HS
communication
HS management has communicated its beliefs but has
not successfully put them into practice
How
Discuss policy, goals and objectives with management
and look for documentation / shop floor displays.
Discuss the system with management and observe
documentation on file.
Same as above.
Same as above.
Discuss with management key indicators, specifically
HS performance.
Interview supervisors and managers to discuss their
HS knowledge and resources.
How to Assess

Is there a set management structure and is there an organizational chart
highlighting key HS personnel?
Does the factory Management structure allow for appropriate HS
communication?
What specific ways does management translate their HS management
beliefs into practice?
HS personnel called out in the organizational chart.
HS communication documented at all levels of the organization.
Evidence of HS management championing HS beliefs--strong HS policies
that are guided by HS management.
Interview management to discuss the organizational
chart.
Review HS communication documents and discuss
with management how the overall management
structure promotes HS communication.
Discuss with management how they turn their beliefs
into practice.
 Activity Level Five
The assessment proves the condition, behavior and/or actions
described in this category indicate the following:
INTEGRATED HS
• Virtually all activities and behaviors are fully and effectively
MANAGEMENT SYSTEM
implemented, and risks are minimized as much as possible
• Virtually all actions and behaviors are fully integrated into all factory
operations
Assessments,
• Management and performance exceeds local and international laws,
Audits, Continuous regulations and best practices
• There is minimal room for improvement
Improvements
• The factory engages globally with stakeholders, NGOs.
(IHSMS 2) Governments and other interested parties
• There is an effective continuous improvement program in place that
is actively improving the system
Internal and external assessments objectively evaluate compliance with
policies and procedures
Internal and external audits are led by effective leaders who strive to
increase compliance with policies and procedures
HS assessments are conducted at all levels of the organization
All assessments are used to create action plans
Workers are confident that corrective actions will reduce the risks in their
work
Corrective actions are followed through and completed in a timely manner
Employees and management have complete confidence in the abilities of
the assessment team
Assessment team members are effective—they are experienced with
technical and management competencies that cover the full scope of the
assessments
Questions
Does the HS management assessment objectively evaluate (audit and
assess) compliance with policies and procedures?
Describe both the internal & external audit & assessment process.
Are assessments conducted at all levels of the organization?
Do assessments and audits attempt to discover and create action plans
How to Assess that address not only issues but also causal factors and root causes?
When audits/assessments are conducted, do the audit results get
analyzed and systemic corrective action items applied to the organization,
as a whole?
Are action plans set in place for improvement and are these plans followed
through for actual improvements?
Do the members of the assessment team have the necessary experience
and technical and management competencies?
Level Three
The assessment proves the condition, behavior and/or actions
described in this category indicate the following:
• General compliance is achieved, most activities and behaviors are
fully and effectively implemented, and risks are minimized
• Most actions and behaviors are mostly integrated into factory
operations
• Local and International regulations, requirements and best
practices are mostly followed
• There is minor room for improvement
• The factory engages with key industry or local stakeholders
• There is an effective continuous improvement program in place
that is actively improving the system
Internal and external assessments objectively evaluate compliance with
most policies and procedures
Internal and external audits are led by mostly effective leaders, but they
don’t necessarily strive to increase compliance with policies and
procedures
HS assessments are conducted at most levels of the organization
Corrective action plans are developed in most cases following audits
Workers are mostly confident that corrective actions will reduce risks
Corrective actions are followed through but not always completed in a
timely manner
Employees and management are confident in the abilities of the
assessment team
Assessment team members are mostly effective—they are experienced
with technical and management competencies that cover much of the
scope of the assessments
Things to look for
An internal HS management assessment program.
Written internal and external audit process.
Documentation from assessments includes review of all levels of the
organization.
Documented corrective action plans that review issues and perform root
cause analysis.
Documented analysis of audit results along with evidence that results
lead to improvements throughout the whole organization.
Corrective action plans are documented including keeping record of the
improvement process.
Training and background for the assessment team is appropriate for the
assessment process.
Level One
The assessment proves the condition, behavior
and/or actions described in this category indicate
the following:
• Basic compliance is achieved, and that all major
risks are reduced to an acceptable level
• Actions and behaviors are managed separately
from factory operations
• Local regulations, requirements and practices are
mostly followed
• There is significant room for improvement
• The factory focuses on their issues
• There is an effective continuous improvement
program in place that is actively improving the
system
Internal and external assessments objectively evaluate
compliance some policies and procedures
Internal and external audits are completed by persons
who don’t always strive to increase compliance with
policies and procedures
HS assessments are completed but not at all levels of
the organization
Assessments do not always result in action plans
Workers are not confident that corrective actions will
reduce risks
Corrective actions are not always followed through and
often not completed in a timely manner
Employees and management are not always confident
in the abilities of the assessment team
Assessment team members are fairly effective—they
are experience with much of the technical and
management competencies but not always capable of
covering the scope of the assessments
How
Review policies and procedures concerning internal
HS compliance assessments.
Interview management to discuss the processes
behind internal and external audits.
Review old assessments for completeness concerning
all levels of the organization.
Interview management to discuss the corrective action
process, how they account for root cause analysis and
how they document all of it.
Discuss with management how findings are used to
create factory wide improvements.
Review the corrective action plans for a timeline that
includes the start and end time of the improvements.
Interview assessment team members to discuss their
assessment knowledge and practices.
 Activity Level Five
The assessment proves the condition, behavior and/or actions
described in this category indicate the following:
INTEGRATED HS • Virtually all activities and behaviors are fully and effectively
implemented, and risks are minimized as much as possible
MANAGEMENT SYSTEM
• Virtually all actions and behaviors are fully integrated into all factory
Hazard operations
• Management and performance exceeds local and international laws,
Recognition & Risk regulations and best practices
Reduction • There is minimal room for improvement
• The factory engages globally with stakeholders, NGOs.
(IHSMS 3) Governments and other interested parties
• There is an effective continuous improvement program in place that
is actively improving the system
There is an effective, timely, and interactive process for recognizing,
evaluating, and controlling workplace hazards and risks
The policy involves workers and management in a genuine partnership
There is a robust written policy, past records, or other documentation of
the process
There is an established hazard analysis procedure that is documented and
supported by records
There are active internal audit programs or other work that results in
hazard identification
There is an effective, timely, and interactive risk recognition and reduction
program
There is a hazard control inventory, written programs and other
documentation of the process
Questions
Does the factory have a policy in place for on-going recognition, evaluation
Documented risk assessments and job hazard analyses.
and control or elimination of workplace hazards and risks?
Does the factory conduct internal audits that result in hazard identification? Internal audit records and risk assessments.
Is there an established hazard analysis procedure to identify existing and
How to Assess potential hazards?
Does the risk recognition and reduction program include the development
of a hazard control inventory, establishment of a hazard analysis
procedure to identify existing and potential hazards, the implementation of
the procedure, and the design and implementation risk control measures?
Is there a HS hazard control inventory?
Level Three
The assessment proves the condition, behavior and/or actions
described in this category indicate the following:
• General compliance is achieved, most activities and behaviors are
fully and effectively implemented, and risks are minimized
• Most actions and behaviors are mostly integrated into factory
operations
• Local and International regulations, requirements and best
practices are mostly followed
• There is minor room for improvement
• The factory engages with key industry or local stakeholders
• There is an effective continuous improvement program in place
that is actively improving the system
There is a generally effective, timely interactive process
The policy generally involves workers and management
Although there is a written policy, past records or other documentation of
the process, they are not always complete
The hazard analysis procedure is not completely documented or
supported by records
The internal audit programs or other hazard identification work is not
consistent
There is a generally effective, timely, interactive process
Written programs and other documentation are not always complete,
accurate or detailed
Things to look for
Hazard analysis procedure outlines roles and responsibilities for
identifying hazards.
Completed hazard analysis procedures result in a hazard control
inventory with documented procedures for risk control.
Same as above.
Level One
The assessment proves the condition, behavior
and/or actions described in this category indicate
the following:
• Basic compliance is achieved, and that all major
risks are reduced to an acceptable level
• Actions and behaviors are managed separately
from factory operations
• Local regulations, requirements and practices are
mostly followed
• There is significant room for improvement
• The factory focuses on their issues
• There is an effective continuous improvement
program in place that is actively improving the
system
The process is not yet very effective
The process does not include management and
workers
The written policy, records, or documentation of the
process is very incomplete, inaccurate or not detailed
The hazard analysis procedure is incomplete,
inaccurate or not detailed
There are few or no active internal audit or other
hazard identification programs
The process is not very effective
Written programs and other documentation is very
incomplete, inaccurate, or lacking detail.
How
Discuss with management and workers how they
continue to stay on top of eliminating risks from the
workplace.
Interview management about internal audits and
hazard identification.
Discuss with management the hazard analysis
procedure and observe past analyses.
Discuss with management how hazards are
inventoried and then controlled.
Same as above.
 Activity Level Five
The assessment proves the condition, behavior and/or actions
described in this category indicate the following:
INTEGRATED HS • Virtually all activities and behaviors are fully and effectively
implemented, and risks are minimized as much as possible
MANAGEMENT SYSTEM
• Virtually all actions and behaviors are fully integrated into all factory
Design, operations
• Management and performance exceeds local and international laws,
Engineering and regulations and best practices
Management of • There is minimal room for improvement
• The factory engages globally with stakeholders, NGOs.
Change (IHSMS 4) Governments and other interested parties
• There is an effective continuous improvement program in place that
is actively improving the system
There is an effective, timely, and interactive process for identifying hazards
in the planning stages of development
HS considerations are always taken in conjunction with the design efforts
and processes
Workplace design appropriately operates so that HS concerns ensure
optimum physical and psychological compatibility between the employee
and the process
The process—for tracking new development to ensure risk mitigation is
successful—is effective
New development is improved where necessary to meet HS needs
There is an effective, timely, interactive program for updating safety
information, procedures and practices
The process includes a documented authorization process
Employees are always informed of changes and updates
HS changes and updates are fully understood by all employees within the
organization
Myriad methods are used to inform workers of changes and updates
including verbal and written training
Questions
Are HS hazards identified in the planning stages of development (new
machines, process, layout, etc.)?
How does the organization address HS through design efforts and
processes?
Do workplace designs reflect optimum physical and psychological
compatibility between the employee and the process, methods of
operation, equipment, materials and machinery?
Does the factory track new development to ensure that the planned risk
How to Assess mitigation applications are effective and, when necessary, improve those
conditions?
Is there a program used when changing or modifying processes that
includes safety information, procedures and practices?
Describe the authorization and documentation system used by
management to approve and track changes, including those made to
materials, chemicals, technology, equipment, procedures, personnel or
facilities.
Are the employees affected by the change informed, updated and trained?
Level Three
The assessment proves the condition, behavior and/or actions
described in this category indicate the following:
• General compliance is achieved, most activities and behaviors are
fully and effectively implemented, and risks are minimized
• Most actions and behaviors are mostly integrated into factory
operations
• Local and International regulations, requirements and best
practices are mostly followed
• There is minor room for improvement
• The factory engages with key industry or local stakeholders
• There is an effective continuous improvement program in place
that is actively improving the system
There is a mostly effective, timely, and interactive process
HS considerations are taken in conjunction with the design effort and
processes
Workplace design often operates so that HS concern ensure optimum
physical and psychological compatibility
The process is mostly effective
New development is often improved where necessary
There is a generally effective, timely, interactive program for updating
safety information, procedures and practices
The documented authorization process is not always complete, accurate
or detailed
Most employees are informed of changes and updates
HS changes and updates are mostly understood by all employees within
the organization
Multiple methods fairly consistently to inform workers of changes and
updates often include verbal or written training
Things to look for
HS hazard analysis accompanied with new layouts of machinery.
HS controls are integrated into design and layout rather than added as
additional protection after the fact.
Workplace design does not inherently increase risk or bodily stress on
the worker.
The design process includes a review procedure.
Documented change/modification procedures that include safety
information.
Authorization and documentation system documents.
Publication of changes posted in the work areas and documented training
records.
Level One
The assessment proves the condition, behavior
and/or actions described in this category indicate
the following:
• Basic compliance is achieved, and that all major
risks are reduced to an acceptable level
• Actions and behaviors are managed separately
from factory operations
• Local regulations, requirements and practices are
mostly followed
• There is significant room for improvement
• The factory focuses on their issues
• There is an effective continuous improvement
program in place that is actively improving the
system
The process is not yet very effective
HS considerations are not often made in conjunction
with the design effort and processes
Workplace design does not always operate so that HS
concerns ensure optimum physical and psychological
compatibility
The process is not very effective
New development is not often improved where
necessary
The program for updating safety information,
procedures, and practices is not very effective
The documentation of the authorization process is
incomplete, inaccurate or not detailed
Employees are not always informed of changes and
updates
HS changes and updates are not understood
throughout the organization
Workers are inconsistently informed of changes and
updates
How
Interview management to discuss the role HS has in
the planning process for development.
Same as above. Look at design/layout of workstations
and associated hazard controls.
Observe workers in their workplace to assess
compatibility with the work process.
Have management walk through the design, feedback,
and review process for risk mitigation in development.
Discuss policy and activities with management and
look for documentation.
Same as above.
Same as above.
 Activity Level Five
The assessment proves the condition, behavior and/or actions
described in this category indicate the following:
INTEGRATED HS • Virtually all activities and behaviors are fully and effectively
implemented, and risks are minimized as much as possible
MANAGEMENT SYSTEM
• Virtually all actions and behaviors are fully integrated into all factory
operations
• Management and performance exceeds local and international laws,
Operation of HS regulations and best practices
Programs • There is minimal room for improvement
• The factory engages globally with stakeholders, NGOs.
(IHSMS 5) Governments and other interested parties
• There is an effective continuous improvement program in place that
is actively improving the system
Where applicable laws, regulations and standards are understood by all
levels of the organization
Required laws are explained and posted
Internal processes often exceed local laws and industry norms
There is an effective and timely update process
There is a written procedure and documentation that support the process
All persons on-site are given the same protections and held accountable
Non-employed personnel are given safety briefings and expected to take
the same precautions as employees
Questions
Are all local and nationals governmental laws, regulations and standards
followed?
Are all general international and industry rules, regulations and standards
followed?
How to Assess What is the process the factory uses to ensure that local, national,
international and industry laws are tracked so that changes can be made
to keep the factory legal?
How does the factory ensure that all on-site contractors, vendors, and
other on-site people keep safe and healthy?
Level Three
The assessment proves the condition, behavior and/or actions
described in this category indicate the following:
• General compliance is achieved, most activities and behaviors are
fully and effectively implemented, and risks are minimized
• Most actions and behaviors are mostly integrated into factory
operations
• Local and International regulations, requirements and best
practices are mostly followed
• There is minor room for improvement
• The factory engages with key industry or local stakeholders
• There is an effective continuous improvement program in place
that is actively improving the system
Laws, regulations and standards are mostly understood by all levels of
the organization
Required laws are posted and often explained
There is a generally effective and timely update process
The written procedure and documentation is not usually updated
All persons on-site are given the same protections but not always held
accountable for violations
Non-employed personnel are given safety briefings but aren’t held
accountable for failing to take precautions
Things to look for
Laws, regulations and standards are posted and kept on file.
Same as above.
Same as above.
Contractor policies include pre-screening and communication of HS
expectations. Evidence that contractors are not putting employees in
danger.
Level One
The assessment proves the condition, behavior
and/or actions described in this category indicate
the following:
• Basic compliance is achieved, and that all major
risks are reduced to an acceptable level
• Actions and behaviors are managed separately
from factory operations
• Local regulations, requirements and practices are
mostly followed
• There is significant room for improvement
• The factory focuses on their issues
• There is an effective continuous improvement
program in place that is actively improving the
system
Laws, regulations and standards are followed but not
understood by all levels of the organization
Most required laws are posted
The process is not very effective
The written procedure and documentation is
incomplete
On-site personnel are not always given the same
protections of held accountable for violations
Non-employed personnel are not always given safety
briefings
How
Interview management to determine how they stay
current on laws, etc. Look to see if appropriate laws
are posted.
Same as above.
Same as above.
Interview management and workers to discuss the
conduct of contractors concerning the work
environment.
 Activity Level Five
The assessment proves the condition, behavior and/or actions
described in this category indicate the following:
INTEGRATED HS
• Virtually all activities and behaviors are fully and effectively
MANAGEMENT SYSTEM
implemented, and risks are minimized as much as possible
• Virtually all actions and behaviors are fully integrated into all factory
operations
Worker
• Management and performance exceeds local and international laws,
Participation and regulations and best practices
• There is minimal room for improvement
Empowerment
• The factory engages globally with stakeholders, NGOs.
(IHSMS 6) Governments and other interested parties
• There is an effective continuous improvement program in place that
is actively improving the system
Workers understand all HS programs and expectations
Employees throughout the organization are empowered and involved in all
phases of HS management
Management respects the workers’ input into HS management
Collaboration between workers and management consistently and
constantly occurs
Subcontractors are always given the same education and resources as
factory employees to ensure they are working safely
There are multiple ways in which employees are motivated and rewarded
for positive HS behaviors
Incentives only increase positive HS behaviors, dis-incentives are only
used to decrease negative HS behaviors
Employees always have the authority to do their work safely
Questions
Do employees (including temporary and/or subcontractors) feel
empowered and involved in all phases of HS Management?
How does management facilitate a cooperative environment with the
employees?
Are subcontractors working in a safe and healthy manner, similar to
factory employees?
How to Assess Are all subcontractors educated on HS programs, rules and expectations?
Do employees view management as a positive force in the building of the
HS programs?
Do managers give clear direction to employees in the factory regarding HS
programs and expectations?
Are employees properly motivated to perform their HS duties at a high
level?
What reward mechanisms are in place to ensure motivation towards safe
work behaviors?
Level Three
The assessment proves the condition, behavior and/or actions
described in this category indicate the following:
• General compliance is achieved, most activities and behaviors are
fully and effectively implemented, and risks are minimized
• Most actions and behaviors are mostly integrated into factory
operations
• Local and International regulations, requirements and best
practices are mostly followed
• There is minor room for improvement
• The factory engages with key industry or local stakeholders
• There is an effective continuous improvement program in place
that is actively improving the system
Workers understand most HS programs and expectations
Most employees throughout the organization are empowered and
involved in all phases of HS management
Management respects the workers’ input into HS management
Collaboration between workers and management is fairly consistent
Subcontractors are often given the same education and resources as
factory employees to ensure they are working safely
There are few ways in which employees are motivated and rewarded for
positive HS behaviors
Incentives usually increase positive HS behaviors, dis-incentives
generally are used to decrease negative HS behaviors
Employees generally have the authority to do their work safely
Things to look for
Employee time is spent on problem solving and creation of HS program
improvement.
Management positively engages employees and is open to their input
rather than just a dictatorial style.
Contractor policies include pre-screening and communication of HS
expectations. Evidence that contractors are not putting employees in
danger.
Same as above.
Evidence of employees positively responding to HS management.
Clear HS programs and expectations in training docs, policies and
procedures.
Incentives appropriately motivate employee HS duties.
Same as above.
Level One
The assessment proves the condition, behavior
and/or actions described in this category indicate
the following:
• Basic compliance is achieved, and that all major
risks are reduced to an acceptable level
• Actions and behaviors are managed separately
from factory operations
• Local regulations, requirements and practices are
mostly followed
• There is significant room for improvement
• The factory focuses on their issues
• There is an effective continuous improvement
program in place that is actively improving the
system
Workers do not always understand HS programs and
expectations
Some employees throughout the organization are
empowered and involved in some phases of HS
management
Management’s respect of the workers’ input into HS
management needs improvement
Collaboration between workers and management is
inconsistent
Subcontractors are given some education and
resources to ensure they work safely
Employees are not significantly motivated or rewarded
for positive HS behaviors
Incentives and dis-incentives are used that confuse
positive HS behaviors
Employees do not consistently have the authority to do
their work safely
How
Interview employees regarding examples of HS
management involvement.
Interview employees and management to discuss how
communication creates a cooperative environment.
Interview management and workers to discuss the
conduct of contractors in the work environment.
Interview management to discuss how subcontractors
are educated on internal HS programs.
Discuss with employees their confidence in
management's ability to develop and lead the HS
program.
Interview employees and look for appropriate
documentation.
Interview employees and look for appropriate
documentation of incentives.
Same as above.
 Activity Level Five
The assessment proves the condition, behavior and/or actions
described in this category indicate the following:
INTEGRATED HS
• Virtually all activities and behaviors are fully and effectively
MANAGEMENT SYSTEM
implemented, and risks are minimized as much as possible
• Virtually all actions and behaviors are fully integrated into all factory
operations
Health and Safety
• Management and performance exceeds local and international laws,
Training and regulations and best practices
• There is minimal room for improvement
Education
• The factory engages globally with stakeholders, NGOs.
(IHSMS 7) Governments and other interested parties
• There is an effective continuous improvement program in place that
is actively improving the system
Safe performance of work duties is fully understood by all levels of
employees within the organization
General safety standards, guidelines and rules are fully understood by all
levels within the organization
There is an effective, timely, and interactive New Employee training
program
Employees work in a manner that is protected from the hazards
associated with their job
There is an effective, timely, and interactive HS continuing education
program
Continuing education programs include all employees within the
organization
Periodic evaluations are performed timely and effectively to ensure that
training and educational services are working
Management progressively evaluates workers as it continually strives to
increase HS effectiveness
Questions
Do all employees clearly understand their work duties, and how to perform
those duties safely?
Do all employees clearly understand the general safety standards,
guidelines and rules of the factory?
How are employees educated in the HS rules and operations?
Do new employees fully understand how they are to work so that they are
protected from the hazards associated with their job prior to starting at that
job?
How to Assess
Describe the New Employee training program.
Is on-going education provided to all employees to continually improve
their HS understanding and participation?
Describe the continuing education program.
Are periodic evaluations conducted to ensure that the training and
educational services provided are working and that employees are not
only trained but that the competencies have been developed and
improved?
Level Three
The assessment proves the condition, behavior and/or actions
described in this category indicate the following:
• General compliance is achieved, most activities and behaviors are
fully and effectively implemented, and risks are minimized
• Most actions and behaviors are mostly integrated into factory
operations
• Local and International regulations, requirements and best
practices are mostly followed
• There is minor room for improvement
• The factory engages with key industry or local stakeholders
• There is an effective continuous improvement program in place
that is actively improving the system
Safe performance of work duties is mostly understood by all levels of
employees within the organization
General safety standards, guidelines and rules are mostly understood by
all levels within the organization
There is a generally effective, timely, and interactive New Employee
training program
Employees work in a manner that is protected from the hazards
associated with their job
There is a generally effective, timely, and interactive HS continuing
education program
Continuing education programs include almost all employees within the
organization
Periodic evaluations are mostly performed timely and effectively to
ensure that training and educational services are working
Management evaluates workers, but is not necessarily striving to
increase HS effectiveness
Things to look for
Evidence that employees are working safely and in accordance to safety
policies.
Same as above.
HS rules and operations training records outline what employees learn
and how frequently.
Same as above.
New Employee training program is documented and covers the
appropriate information.
Documentation of continuous training programs.
Continuing education program is documented and covers the appropriate
information.
Documentation of continuous training programs includes a review
process. Workers who fail to show competency receive additional
training.
Level One
The assessment proves the condition, behavior
and/or actions described in this category indicate
the following:
• Basic compliance is achieved, and that all major
risks are reduced to an acceptable level
• Actions and behaviors are managed separately
from factory operations
• Local regulations, requirements and practices are
mostly followed
• There is significant room for improvement
• The factory focuses on their issues
• There is an effective continuous improvement
program in place that is actively improving the
system
Safe work duty exists, but is not understood
throughout the organization
General safety standards, guidelines and rules exists,
but is not understood by all levels within the
organization
The New Employee training program is ineffective
Employees do not always work in a manner that is
protected from the hazards associated with their job
The HS continuing education program is ineffective
Continuing education is inconsistently offered to
employees within the organization
Periodic evaluations are not performed in a timely or
effective manner
Management is not striving to increase HS
effectiveness
How
Observe workers as they complete their work duties.
Same as above, and interview workers re. the rules
and guidelines of the factory.
Interview employees about HS rules and operations
and look for documentation.
Same as above, and observe the working of new
employees.
Interview management and employees about New
Employee training.
Interview management and employees about
continuous education of workers.
Same as above.
Interview management and workers about the
evaluation process of the continuing education
program. Look for appropriate documentation.
 Activity Level Five
The assessment proves the condition, behavior and/or actions
described in this category indicate the following:
INTEGRATED HS
• Virtually all activities and behaviors are fully and effectively
MANAGEMENT SYSTEM
implemented, and risks are minimized as much as possible
• Virtually all actions and behaviors are fully integrated into all factory
operations
Impact of HS on
• Management and performance exceeds local and international laws,
Workforce On and regulations and best practices
• There is minimal room for improvement
Off the Job
• The factory engages globally with stakeholders, NGOs.
(IHSMS 8) Governments and other interested parties
• There is an effective continuous improvement program in place that
is actively improving the system
There is an effective, timely, interactive process for monitoring and
protecting employee health and safety
The negative HS factors have been identified and they have been
successful in mitigating those factors
There is an effective, timely, interactive process for monitoring and
positively impacting HS activities outside of the factory
The negative external HS impacts have been identified and they have
been successful in mitigating those factors
Questions
Does the factory positively impact employee's health and safety while
working in the factory?
How to Assess Describe how the factory measures and monitors on-site HS impact.
Does the factory positively impact HS activities outside the factory?
Describe how the factory measures and monitors off-site HS impact.
Level Three
The assessment proves the condition, behavior and/or actions
described in this category indicate the following:
• General compliance is achieved, most activities and behaviors are
fully and effectively implemented, and risks are minimized
• Most actions and behaviors are mostly integrated into factory
operations
• Local and International regulations, requirements and best
practices are mostly followed
• There is minor room for improvement
• The factory engages with key industry or local stakeholders
• There is an effective continuous improvement program in place
that is actively improving the system
There is a generally effective, timely, interactive process for monitoring
and protecting employee health and safety
The negative HS factors have been identified but the mitigating work is
not always successful, or the HS factors that are identified are not correct
but the work in mitigating those factors have been successful
There is a generally effective, timely, interactive process for monitoring
and protecting impacting HS activities outside of the factory
The negative external HS factors have been identified but the mitigating
work is not always successful, or the HS factors that are identified are not
correct but the work in mitigating those factors have been successful
Things to look for
Injury and illness and occupational health records show that workers are
not in greater danger/suffering negative health consequences working at
the facility.
Same as above.
Health and environmental surveys done outside the factory.
Same as above.
Level One
The assessment proves the condition, behavior
and/or actions described in this category indicate
the following:
• Basic compliance is achieved, and that all major
risks are reduced to an acceptable level
• Actions and behaviors are managed separately
from factory operations
• Local regulations, requirements and practices are
mostly followed
• There is significant room for improvement
• The factory focuses on their issues
• There is an effective continuous improvement
program in place that is actively improving the
system
The process is not very effective
The negative HS factors have not been identified
and/or they have not been successful in mitigating
those factors
The process is not very effective
The negative HS factors have not been identified
and/or they have not been successful in mitigating
those factors
How
Review occupational health and injury/illness reports.
Same as above.
Interview management to discuss how they assess
and monitor their external impacts.
Same as above.
 Activity Level Five
The assessment proves the condition, behavior and/or actions
described in this category indicate the following:
HS PERFORMANCE • Virtually all activities and behaviors are fully and effectively
MEASUREMENTS AND implemented, and risks are minimized as much as possible
VALUE • Virtually all actions and behaviors are fully integrated into all factory
operations
• Management and performance exceeds local and international laws,
Systemic use of
regulations and best practices
Key HS Indicators • There is minimal room for improvement
• The factory engages globally with stakeholders, NGOs.
(PM 1)
Governments and other interested parties
• There is an effective continuous improvement program in place that
is actively improving the system
Leading indicators are fully understood and used for preventing risk
Management has developed processes that involve the workers for
assessing leading indicators
Preventative action is taken to reduce risk as a response to a review of
leading indicators in all cases
The factory fully tracks leading indicators
A variety of leading indicators are used to increase success
Workers and supervisors respect HS management
Employees have the authority and capacity to identify and report
risks/incidents and are expected to do so
A variety of lagging indicators are used and reviewed
Risks identified by lagging indicators are always incorporated into
corrective action plans
Employees have the authority to question risks that have not been
improved
Questions
What leading indicator activities does the factory do to reduce exposures
and risks?
Does the factory track leading indicator activity-based performances?
How to Assess Does the factory conduct periodic assessments to ensure that the leading
indicators are appropriate and are reducing risks and/or incidents?
What lagging indicators does the factory track?
Does the factory analyze and assess the lagging indicators to discover
trends, issues, or learn other information that can guide activities and
programs to prevent similar incidents?
Level Three
The assessment proves the condition, behavior and/or actions
described in this category indicate the following:
• General compliance is achieved, most activities and behaviors are
fully and effectively implemented, and risks are minimized
• Most actions and behaviors are mostly integrated into factory
operations
• Local and International regulations, requirements and best
practices are mostly followed
• There is minor room for improvement
• The factory engages with key industry or local stakeholders
• There is an effective continuous improvement program in place
that is actively improving the system
Leading indicators are understood and used as a tool for identifying risk
Management does not have a process for including workers in assessing
leading indicators, but workers are informally involved in parts of the
process
Preventative action is taken in response to a review of leading indicators
in some cases
The factory tracks some leading indicators
Only a few leading indicators are used
Workers and supervisors respect HS management
Employees have some ability to identify and report risks/incidents
Only a few lagging indicators are used and reviewed
Risks are used in most instances as parts of corrective action plans
Employees have some ability to question risks that have not been
improved
Things to look for
Leading Indicators: are measures that can be used as predictors of safety
performance. They can be used to foretell the type of safety performance
that can be expected, based on chosen parameters.
Same as above.
Documented assessment process includes reviewing leading indicators
and how they are applied to reduce risks.
Lagging Indicators: are after-the-fact measures for safety performance.
Same as above, documented reviews track trends.
Level One
The assessment proves the condition, behavior
and/or actions described in this category indicate
the following:
• Basic compliance is achieved, and that all major
risks are reduced to an acceptable level
• Actions and behaviors are managed separately
from factory operations
• Local regulations, requirements and practices are
mostly followed
• There is significant room for improvement
• The factory focuses on their issues
• There is an effective continuous improvement
program in place that is actively improving the
system
Leading indicators are understood but not fully used
for identifying and preventing risk
Workers are not involved in management’s process for
using leading indicators
Preventative action is not always taken in response to
a review of leading indicators
The factory tracks few leading indicators
The factory does not use a variety of indicators—they
rely on one or two
Respect for HS management is not uniformly shared
by workers and management
Some employees lack an understanding/ability to
identify and report risks/incidents
The factory does not use a variety of lagging indicators
—they rely on one or two
Corrective action plans are not always generated for
tracking risk remediation
Employees lack the ability to question risks that have
not been improved or understand that they should
question risks that need improvement
How
Interview management about how they use leading
indicators and look for appropriate documentation.
Same as above.
Interview management about how they review leading
indicators and look for appropriate documentation.
Interview management about how they use lagging
indicators and look for appropriate documentation.
Same as above.
 Activity Level Five
The assessment proves the condition, behavior and/or actions
described in this category indicate the following:
HS PERFORMANCE
• Virtually all activities and behaviors are fully and effectively
MEASUREMENTS AND
implemented, and risks are minimized as much as possible
VALUE • Virtually all actions and behaviors are fully integrated into all factory
operations
• Management and performance exceeds local and international laws,
Using HS regulations and best practices
• There is minimal room for improvement
Performance Data • The factory engages globally with stakeholders, NGOs.
(PM 2) Governments and other interested parties
• There is an effective continuous improvement program in place that
is actively improving the system
The organization collects the appropriate performance data and uses it to
make improvements
The HS data is collected systematically, and is proper and accurate
The collected data is housed in an appropriate database taking advantage
of a single repository and modern storage method
The database contains all HS information and is both searchable and
understood
Management and workers have full confidence in the accuracy and
timeliness of the data
The reporting system mechanism and recordkeeping systems in place
always ensure collected information is done so properly
Data collected by management and workers is done so in accordance with Data collected by management and workers is mostly done in
the reporting mechanism accordance with the reporting mechanism
Analysis of data results in effectively applied continuous improvement
plans that include Improvements, education and training
Regularly scheduled reviews of performance measurements (at minimum
once a year) are documented
Management/employees are responsible for the informal on-going review
of programs and data
Review results are utilized in the updating of programs and data collection
Performance data is easily accessible to all personnel throughout the
organization
Data access is maintained in a manner that keeps the information safe
and accessible in a timely manner
In addition to being in a central storage place, performance data is posted
in multiple layers throughout the organization
The organization performs regular performance comparisons with multiple The organization performs performance comparisons with some other
organizations
Management and employees follow an effective process that defines the
methods of performance comparisons
The results of the comparisons are documented and used to record
improvements and corrective actions
Questions
What data is collected?
Is the HS data that is collected accurate, proper, and correct?
How to Assess
Level Three
The assessment proves the condition, behavior and/or actions
described in this category indicate the following:
• General compliance is achieved, most activities and behaviors are
fully and effectively implemented, and risks are minimized
• Most actions and behaviors are mostly integrated into factory
operations
• Local and International regulations, requirements and best
practices are mostly followed
• There is minor room for improvement
• The factory engages with key industry or local stakeholders
• There is an effective continuous improvement program in place
that is actively improving the system
The organization collects the appropriate performance data and often
uses it to make improvements
The data that is collected is proper and accurate
The collected data is housed in a safe manner but not necessarily in a
single repository or modern storage method
A database is used for housing some of the HS information—stored data
is searchable and understood
Management and workers have confidence in the accuracy of the data—
most of it is current
The reporting system mechanism and recordkeeping systems in place
almost always ensure collected information is done so properly
Analysis of data results in adequately applied continuous improvement
plans that include improvements, education and training
Formal reviews of performance measurements have been performed—
they do not occur on a regularly scheduled basis
Management has not defined responsibility for the on-going review of
programs and data
Review results are regularly used to update programs but some gaps still Review results have been used to update programs
exist
Performance data is accessible to all personnel throughout the
organization
Data access is maintained in a manner that keeps the information safe
and accessible but not in a timely manner
Performance data is only available in limited locations within the location
organizations
Management and employees adequately follow a process that defines
the methods of performance comparisons
The results of the comparisons are partially documented and often used
to record improvements and corrective actions
Things to look for
Collected performance data.
Collected HS data from indicators reflects observations of the factory.
Level One
The assessment proves the condition, behavior
and/or actions described in this category indicate
the following:
• Basic compliance is achieved, and that all major
risks are reduced to an acceptable level
• Actions and behaviors are managed separately
from factory operations
• Local regulations, requirements and practices are
mostly followed
• There is significant room for improvement
• The factory focuses on their issues
• There is an effective continuous improvement
program in place that is actively improving the
system
The organization partially collects the appropriate
performance data and often uses it to make
improvements
The data that is collected is accurate but incomplete
The collected data is housed in an unsecure manner
A database is used for housing some of the HS
information—it is understood but not searchable
Management and workers have confidence in the
accuracy of the data—some of it is out of date
Stored data, while accurate, is not always formatted in
the same way
The reporting system mechanism and record keeping
systems in place are not used consistently
Analysis of data results in partially applied continuous
improvement plans that may include improvements,
education and training
A formal review of performance measurements has
been performed—its results were not recorded and it
has not been repeated
Management loosely performs on-going review of
programs and data—reviews are not recorded
but are not done consistently
Performance data is accessible only to some
personnel in the organization
Data access is maintained in a manner that keeps the
information safe
Performance data is only available in one location
within the location
The organization performs irregular performance
comparisons with another organization
Management and employees partially follow a process
that defines the methods of performance comparisons
How
Interview management and look for collected data.
Review documented HS data.

Is the collected data housed in appropriate locations/databases?
Are there reporting system mechanisms and recordkeeping systems in
place to properly collect information in the performance measure scheme?
Is the data collected used to generate meaningful information and
continuous improvement?
Are the performance measures properly analyzed to ensure they are
How to Assess working as intended and appropriately?
What methods, internal or external, are being used to analyze the
performance data and programs?
Is performance data easily obtainable by personnel at all levels of the
organization?
Does the organization compare its results with like organizations to ensure
that they are working in a proper manner, learning from these comparisons
where appropriate?
How often does the organization compare its data and programs with like
organizations?
To whom does the organization compare its data and programs with?
Interview management about HS data storage and
HS data is stored in a searchable database.
review the appropriate locations/database.
Same as above. Documented HS reporting mechanism outlines how Interview management to discuss HS data reporting
records are collected and maintained. mechanism.
An analysis process is used to determine how collected data can result in Same as above. Review the role the data plays in the
continuous improvement. continuous improvement process.
Interview management about the performance
Documented analysis of performance measures. measure analysis process and look for appropriate
documentation.
Performance data and program analysis documentation and process. Same as above.
Discuss with workers and management how
Who has access to performance data and how they can access it.
performance data is accessed.
Performance data is shared with similar organizations via documented Interview management about how they share data with
reports and data tables. other organizations.
The data comparison process includes a schedule for how often the data
Same as above.
is shared and reviewed.
Data and program information sources are listed in the documentation. Same as above.
 Activity Level Five
The assessment proves the condition, behavior and/or actions
described in this category indicate the following:
• Virtually all activities and behaviors are fully and effectively
HS PERFORMANCE
implemented, and risks are minimized as much as possible
MEASUREMENTS AND
• Virtually all actions and behaviors are fully integrated into all factory
VALUE
operations
Effect on Triple • Management and performance exceeds local and international laws,
regulations and best practices
Bottom Line • There is minimal room for improvement
(PM 3) • The factory engages globally with stakeholders, NGOs.
Governments and other interested parties
• There is an effective continuous improvement program in place that
is actively improving the system
The factory has accurately identified how it impacts the local community
The factory has taken the necessary steps to reduce community impacts
The factory actively reaches out to the local community by donating HS
resources
The factory monitors and documents its environmental impacts
Steps taken to reduce the impact on the local community are documented
Outreach with the community occurs on multiple levels and is documented
All HS costs are documented and tracked for assessments and
recordkeeping purposes
Tracked expenditures fully reflect the factory’s HS program
Tracked HS costs are assessed to ensure that they are appropriate for the
required work that is being done
Expense areas identified as insufficient are addressed
Workers/management are empowered to speak up when expenses are
insufficient
Management always tracks HS costs over time to determine increases
and decreases in expenses
Changes in expenses are always accompanied by analysis to determine
what led to the change
Negative changes to HS performance are always addressed
Questions
Does the organization realize that they impact the greater community, and
are they doing things to improve the lives of the local community
members?
What is the factory doing to improve the local community?
Does the factory attempt to measure their impact on the environment?
Are there set performance measures to capture community impact?
How to Assess
Level Three
The assessment proves the condition, behavior and/or actions
described in this category indicate the following:
• General compliance is achieved, most activities and behaviors are
fully and effectively implemented, and risks are minimized
• Most actions and behaviors are mostly integrated into factory
operations
• Local and International regulations, requirements and best
practices are mostly followed
• There is minor room for improvement
• The factory engages with key industry or local stakeholders
• There is an effective continuous improvement program in place
that is actively improving the system
The factory has fairly accurately identified how it impacts the local
community
The factory has taken some steps necessary for reducing community
impact
The factory reaches out to the local community via donated HS resources
from time to time
The factory has adequately identified and documented its environmental
impacts—ongoing monitoring is limited or nonexistent
Some steps are taken to reduce the impact on the local, but effective
documentation process is still in progress
Community outreach does not occur on multiple levels
Most HS costs are documented and tracked for assessments and
recordkeeping
Tracked expenditures partially reflect the factory’s HS program
Tracked HS costs are often assessed to ensure that they are appropriate
for the required work that is being done
Expense areas identified as insufficient are partially addressed
Workers/management are empowered to speak up when HS expenses
are insufficient
Management partially tracks HS costs over time to determine increases
and decreases in expenses
Changes in expenses are frequently accompanied by analysis to
determine what sparked the change
Negative changes to HS performance are often addressed
Things to look for
Examples of community involvement include correspondence, out-reach,
charitable givings, etc.
Same as above.
Performance measures include data associated with external impacts.
Same as above.
Level One
The assessment proves the condition, behavior
and/or actions described in this category indicate
the following:
• Basic compliance is achieved, and that all major
risks are reduced to an acceptable level
• Actions and behaviors are managed separately
from factory operations
• Local regulations, requirements and practices are
mostly followed
• There is significant room for improvement
• The factory focuses on their issues
• There is an effective continuous improvement
program in place that is actively improving the
system
The factory awareness is irregular or in the early
stages, making it difficult to accurately assess impacts
it is responsible for
The factory has identified steps to take for reducing
community impact but has not taken them
The factory has minimal outreach to the local
community
The factory has informally identified its environmental
impacts but does not document or monitor them
Some steps are taken to reduce the impact on the
local with little to no documentation
Community outreach is very limited
Some HS costs are documented and tracked for
assessments and recordkeeping
Tracked expenditures don’t reflect the factory’s overall
HS program
Tracked HS costs are seldom assessed to ensure that
they are appropriate for the required work that is being
done
Expense areas identified as insufficient are
inconsistently addressed
When workers/management are aware of insufficient
HS expenses, they lack a systematic process to speak
up
Management infrequently tracks HS costs over time to
determine increases and decreases in expenses
Changes in expenses are inconsistently accompanied
by analysis to determine the cause of the change
Negative changes to HS performance are irregularly
addressed
How
Interview management to discuss its impact on the
greater community and how they try to influence that
impact in a positive manner.
Same as above.
Interview management to discuss how they measure
their external environmental. Impacts and review
appropriate documentation.
Same as above.
How to Assess Does the factory track the costs associated with HS work within the Documented cost tracking of HS work, training programs, audit costs, Interview management to determine how they track
factory? safety controls, etc. the costs associated with HS work.
Does the factory assess the HS costs to ensure that they are appropriate Same as above. Includes a review process to determine the efficacy of
Same as above.
for the work that is required and being done? the HS costs.
Are the HS costs tracked through time and assessed to determine if costs Documented cost tracking includes plotting the costs and then review
Same as above.
go up or down, and why that is occurring? where changes occur.
When HS costs change, and/or when performance change, does the
factory conduct an analysis to determine why these changes have taken Past analysis documents that were used to determine the cause of Interview management regarding analysis of
place and if resource spends have negatively (or positively) affected HS changes in resource spending. performance changes.
performance?
 Activity Level Five
The assessment proves the condition, behavior and/or actions
HS PERFORMANCE described in this category indicate the following:
MEASUREMENTS AND • Virtually all activities and behaviors are fully and effectively
VALUE implemented, and risks are minimized as much as possible
• Virtually all actions and behaviors are fully integrated into all factory
operations
Demonstration of • Management and performance exceeds local and international laws,
regulations and best practices
Continuous HS • There is minimal room for improvement
Performance • The factory engages globally with stakeholders, NGOs.
Governments and other interested parties
(PM 4) • There is an effective continuous improvement program in place that
is actively improving the system
Documented data reflects continuous improvement throughout all levels of
HS programs
Data tracking is based on a solid foundation of diverse inputs
Management and employees support continuous improvement throughout
the organization
The organization has a well-documented process that is supported by
myriad data gathered from regularly scheduled reviews
External/internal ratings and scores show a consistent upward trend
Questions
Is HS performance tracked through time to ensure that there is continual
HS performance improvements and an excellence that is sustained
How to Assess through time?
What process does the factory use to ensure its continuous improvement
efforts?
Level Three
The assessment proves the condition, behavior and/or actions
described in this category indicate the following:
• General compliance is achieved, most activities and behaviors are
fully and effectively implemented, and risks are minimized
• Most actions and behaviors are mostly integrated into factory
operations
• Local and International regulations, requirements and best
practices are mostly followed
• There is minor room for improvement
• The factory engages with key industry or local stakeholders
• There is an effective continuous improvement program in place
that is actively improving the system
Continuous improvement has been incorporated in the HS performance
evaluations of some parts of the organization
Data collected does not ensure complete system and program
improvements
Management and employees are aware of continuous improvement in
the organization
The continuous improvement process is supported by some data
gathered from reviews and assessments
Negative results from ratings and scores are not always addressed in a
timely fashion —therefore the trend is not always upward
Things to look for
Documented tracking of HS performance includes an analysis plotted
against time to evaluate efficacy of the program.
The continuous improvement process includes regular quality review of
the improvements.
Level One
The assessment proves the condition, behavior
and/or actions described in this category indicate
the following:
• Basic compliance is achieved, and that all major
risks are reduced to an acceptable level
• Actions and behaviors are managed separately
from factory operations
• Local regulations, requirements and practices are
mostly followed
• There is significant room for improvement
• The factory focuses on their issues
• There is an effective continuous improvement
program in place that is actively improving the
system
Continuous improvement has not expanded
throughout the HS program and therefore does not
ensure it will be sustained through time
Data collected does not ensure complete system and
program improvements
Management and employees are not fully aware of the
role continuous improvement can play in the
organization
The process to support information gathering to
ensure that continuous improvement is effective is
incomplete
Performance indicators are not regularly reviewed to
verify ensure the completion of continuous efforts—not
possible to determine a trend
How
Interview management about the process and look for
appropriate documents.
Same as above.
 Activity Level Five
The assessment proves the condition, behavior and/or actions
INTEGRATION OF HS AND described in this category indicate the following:
BUSINESS • Virtually all activities and behaviors are fully and effectively
PERFORMANCE implemented, and risks are minimized as much as possible
• Virtually all actions and behaviors are fully integrated into all factory
operations
Integration of HS • Management and performance exceeds local and international laws,
regulations and best practices
and Business
• There is minimal room for improvement
Strategies • The factory engages globally with stakeholders, NGOs.
Governments and other interested parties
(HSBP 1)
• There is an effective continuous improvement program in place that
is actively improving the system
HS is fully integrated throughout all levels of the organization
Workers and Management openly discuss HS processes in conjunction
with other business processes
The business method for HS problem solving is identical to the approach
taken with other business problems
Accountability for all HS successes and failures is identical to
accountability in the other areas of the business
Incentives and dis-incentives are successfully used for accountability
HS and business objectives are fully understood throughout all levels of
the organization
HS and business objectives align with the organization’s financial,
regulatory, legal, media/public image, humanistic and workforce goals
HS is a priority and therefore its alignment is considered when developing
the overall organization goals
Questions
Is HS completely integrated into the business processes of the
organization?
Is the approach to HS problems identical in nature to the organizational
approach to business problems?
How to Assess
Is accountability for both functions complementary and seamless?
Do the HS and business objectives and strategies align with and meet the
organization's financial, regulatory, legal, media/public image, humanistic
and workforce goals?
How does HS align with the overall organization goals?
Level Three
The assessment proves the condition, behavior and/or actions
described in this category indicate the following:
• General compliance is achieved, most activities and behaviors are
fully and effectively implemented, and risks are minimized
• Most actions and behaviors are mostly integrated into factory
operations
• Local and International regulations, requirements and best
practices are mostly followed
• There is minor room for improvement
• The factory engages with key industry or local stakeholders
• There is an effective continuous improvement program in place
that is actively improving the system
HS is integrated throughout most levels of the organization
Workers and management openly discuss HS processes in conjunction
with other business processes
The business method for HS problem solving strongly resembles the
approach taken with other business problems but produces dissimilar
results
Accountability for HS successes and failures is similar to accountability in
other areas of the business—but lack the same support
Incentives and dis-incentives usually result in the positive or negative
results they are intended for
HS and business objectives are mostly understood throughout the
organization
HS and business objectives mostly align with the organization’s other
goals
HS is a priority but is not always considered when developing the
organization goals
Things to look for
HS members and policies are included in business processes throughout
the organization.
HS problems are handled with the same review process as other
business problems--i.e.. committees, review panels, etc.
Documented business processes detailing accountability and
responsibility.
How HS and business objectives and strategies affect the goals of the
factory.
Same as above.
Level One
The assessment proves the condition, behavior
and/or actions described in this category indicate
the following:
• Basic compliance is achieved, and that all major
risks are reduced to an acceptable level
• Actions and behaviors are managed separately
from factory operations
• Local regulations, requirements and practices are
mostly followed
• There is significant room for improvement
• The factory focuses on their issues
• There is an effective continuous improvement
program in place that is actively improving the
system
HS is integrated with segments of the business
process but not throughout the organization
The HS processes are discussed but not in
conjunction with other business processes
HS problem solving is a focus of the business but its
methods and approach do not reflect those used for
other business problems
Accountability for HS success and failures exists but it
does not reflect those used in other areas of the
business
Incentives and dis-incentives confuse positive HS
behavior
HS and business objectives are defined but they are
not understood throughout the organization
HS and business objectives are not consistent with the
organization’s other goals
HS is not considered as a priority when developing the
overall organization goals
How
Interview management about the business process
and how HS is considered as a when performing other
business processes.
Interview management about the approach to problem
solving throughout the organization focusing on the
similarities/differences between HS and the other
areas.
Review business processes.
Discuss with management their goals. Gauge the level
of how those goals are compatible with the HS and
business objectives and strategies.
Same as above.
 Activity Level Five
The assessment proves the condition, behavior and/or actions
HS BUSINESS
described in this category indicate the following:
PERFORMANCE
• Virtually all activities and behaviors are fully and effectively
(LINKAGE BETWEEN HS &
implemented, and risks are minimized as much as possible
BP )
• Virtually all actions and behaviors are fully integrated into all factory
operations
• Management and performance exceeds local and international laws,
Sustainable HS
regulations and best practices
and Business • There is minimal room for improvement
• The factory engages globally with stakeholders, NGOs.
Performance
Governments and other interested parties
(HSBP 2) • There is an effective continuous improvement program in place that
is actively improving the system
HS & business compatibility is a high priority
HS performance is reviewed in order to evaluate its compatibility with the
business performance
HS performance is measured and those results are used to evaluate the
success/failure of implemented programs
Successes are rewarded while failures are improved upon
HS performance is seen as a competitive advantage by the business and
its customers
The organizational structure encourages interactivity between HS and
other operational functions
There is regular interaction between HS and the other operational
functions
Workers throughout the organization have the opportunity to interact with
the HS process
The HS function is thoroughly integrated in the organization to the point
that it addresses changes in other functions within the organization
Updates to the HS function mimic changes in other functions within the
organization
Questions
Does HS & the business continually improve their compatibility?
Do the performance measures in place provide feedback on
success/failure of implemented programs?
How to Assess How does HS performance contribute to competitive advantage and
sustainability?
Does the structure of the organization provide interactivity between HS
and other operational functions?
Does the HS function address changes in other functions within the
organization?
Level Three
The assessment proves the condition, behavior and/or actions
described in this category indicate the following:
• General compliance is achieved, most activities and behaviors are
fully and effectively implemented, and risks are minimized
• Most actions and behaviors are mostly integrated into factory
operations
• Local and International regulations, requirements and best
practices are mostly followed
• There is minor room for improvement
• The factory engages with key industry or local stakeholders
• There is an effective continuous improvement program in place
that is actively improving the system
HS & business compatibility is a priority but they are not in line with one
another
HS performance is reviewed for compatibility with the business
performance but not regularly
HS performance is measured but the results are not always used to
evaluate the success/failure of implemented programs
Successes and failures are not always recognized and responded to
HS performance is not recognized as a competitive advantage by the
customers
The organizational structure encourages some interaction between HS
and other operational functions
There is interaction between HS and other operational functions
Workers throughout the organization have the opportunity to interact with
the HS process
The HS function is integrated throughout the organization to the point that
it addresses some changes in other functions within the organization
Updates to the HS function mimic most changes in other functions within
the organization
Things to look for
Schedules and minutes of meetings between HS and the other business
groups.
Review the performance measures used by the factory.
Methods management and sales use to demonstrate the value of their
HS performance.
Organization chart, schedules and minutes of meetings between different
operational functions.
Review change records.
Level One
The assessment proves the condition, behavior
and/or actions described in this category indicate
the following:
• Basic compliance is achieved, and that all major
risks are reduced to an acceptable level
• Actions and behaviors are managed separately
from factory operations
• Local regulations, requirements and practices are
mostly followed
• There is significant room for improvement
• The factory focuses on their issues
• There is an effective continuous improvement
program in place that is actively improving the
system
Compatibility of HS & business performance is not a
priority
HS performance is not reviewed for compatibility with
the business performance
HS performance is not always measured or used to
provide feedback on success/failure of implemented
programs
Successes and failures of implemented programs are
not immediately recognized or responded to
HS performance is not recognized as a competitive
advantage by the organization or its customers
The organizational structure allows for interaction
between HS and other operational functions—but little
happens.
There is little interaction between HS and other
operational functions
Workers throughout the organization have little
opportunity to interact with the HS process
The HS function is not integrated throughout the
organization
Updates to the HS function mimic some changes in
other functions within the organization
How
Discuss with management how they integrate HS with
the rest of the business. Review appropriate
documents.
Ask for the performance assessments.
Interview management/sales representatives to
discuss HS performance as a competitive advantage.
Review appropriate docs and speak to management.
Review records of changes and compare the
timeliness of organizational changes and HS changes.
 Activity Level Five
The assessment proves the condition, behavior and/or actions
described in this category indicate the following:
CONTINUOUS • Virtually all activities and behaviors are fully and effectively
IMPROVEMENT implemented, and risks are minimized as much as possible
• Virtually all actions and behaviors are fully integrated into all factory
operations
Factors that • Management and performance exceeds local and international laws,
regulations and best practices
impede or facilitate • There is minimal room for improvement
success • The factory engages globally with stakeholders, NGOs.
Governments and other interested parties
(CI 1) • There is an effective continuous improvement program in place that
is actively improving the system
The perceived internal pressures are the actual main pressures.
The perceived external pressures are the actual main pressures.
There are frequent and regular discussions, assessments, analysis or
other work done to determine pressures
Management and Employees have the same perceptions on the main HS
pressures
Management and workers are both involved in this analysis
The negative HS factors have been identified and they have been largely
successful in mitigating those factors
There are robust, active programs, discussions or other work that are
trying to mitigate all negative HS factors
There is an effective, timely, interactive process throughout the
organization
The process effectively includes management and workers in a way that
exhibits regular process improvement
There are minutes, notes, SOPs or other documentation of the process
that are shared and used for wider process development and prevention of
future issues
Questions
Do regular assessments occur that determine pressures places on the
organization (internal and external) which could negatively impact the HS
programs?
When negative factors are identified that may impact HS programs, does
How to Assess the organization actively work to remove or mitigate the impacts of those
factors?
What process is used to assess the negative HS pressures?
Level Three
The assessment proves the condition, behavior and/or actions
described in this category indicate the following:
• General compliance is achieved, most activities and behaviors are
fully and effectively implemented, and risks are minimized
• Most actions and behaviors are mostly integrated into factory
operations
• Local and International regulations, requirements and best
practices are mostly followed
• There is minor room for improvement
• The factory engages with key industry or local stakeholders
• There is an effective continuous improvement program in place
that is actively improving the system
The perceived internal pressures are typically the main pressures
The perceived external pressures are typically the main pressures
There are discussions, assessments, analysis or other work done to
determine pressures but this is not frequent
Management and Employees have most of the same perceptions on the
main HS pressures but not all
Management and workers are usually both involved in this analysis
The negative HS factors have been identified but the mitigating work is
not always successful, or the HS factors that are identified are not correct
but the work in mitigating those factors have been successful
The programs, discussions or other work that are trying to mitigate all
negative HS factors is not consistent
There is a generally effective, timely, interactive process
The process generally includes management and workers and results in
actual progress
Minutes, notes, SOPs or other documentation of the process are largely
complete, accurate and detailed
Things to look for
Schedules and results of assessments.
Review assessment results and corrective action plans.
Documented process for HS improvements and review.
Level One
The assessment proves the condition, behavior
and/or actions described in this category indicate
the following:
• Basic compliance is achieved, and that all major
risks are reduced to an acceptable level
• Actions and behaviors are managed separately
from factory operations
• Local regulations, requirements and practices are
mostly followed
• There is significant room for improvement
• The factory focuses on their issues
• There is an effective continuous improvement
program in place that is actively improving the
system
The perceived internal pressures are not always the
actual main pressures.
The perceived external pressures are not always the
actual main pressures.
There discussions, assessments, analysis or other
work done to determine pressures are infrequent or
still ad hoc
Management and Employees still may have different
perceptions on the main HS pressures
Management and workers are not always involved in
this analysis
The negative HS factors have not been fully identified
and/or they have not been fully successful in mitigating
those factors
There are a few active programs, discussions or other
work that are trying to mitigate all identified negative
HS factors
The process is still new and effectiveness has yet to
be determined
The process includes management and workers, but
roles and trust are still being developed
The minutes, notes, SOPs or other documentation of
the process are still in need of a consistent format
How
Interview management about the assessment process
and review appropriate documents.
Review the appropriate documents.
Interview management regarding reviewing negative
HS pressures and review the process documents.
 Activity Level Five
The assessment proves the condition, behavior and/or actions
described in this category indicate the following:
CONTINUOUS • Virtually all activities and behaviors are fully and effectively
implemented, and risks are minimized as much as possible
IMPROVEMENT
• Virtually all actions and behaviors are fully integrated into all factory
operations
• Management and performance exceeds local and international laws,
Sharing of Best regulations and best practices
Practices • There is minimal room for improvement
• The factory engages globally with stakeholders, NGOs.
(CI 2) Governments and other interested parties
• There is an effective continuous improvement program in place that
is actively improving the system
Mistakes were clearly identified early in the process
The management team involved in mistakes had a chance to learn from
these mistakes
The workers involved in mistakes had a chance to learn from these
mistakes
Ineffective projects were analyzed to learn how to improve both that
project and other projects
The projects considered mistakes are quickly changed or modified to
move towards success, or are dropped if success was not possible
The positives from previous mistakes are clear
Mistake-driven celebrations occur with each occurrence
Management and Workers are equally celebrated
Mistake-driven celebrations occur frequently
The process is completely effective
Management and Workers are equally involved in this process
This process occurs frequently, and whenever needed
Level Three
The assessment proves the condition, behavior and/or actions
described in this category indicate the following:
• General compliance is achieved, most activities and behaviors are
fully and effectively implemented, and risks are minimized
• Most actions and behaviors are mostly integrated into factory
operations
• Local and International regulations, requirements and best
practices are mostly followed
• There is minor room for improvement
• The factory engages with key industry or local stakeholders
• There is an effective continuous improvement program in place
that is actively improving the system
Mistakes are typically identified but not always quickly or early
The management team involved in mistakes usually learn from those
mistakes
The workers involved in mistakes now often have a chance to learn from
those mistakes
Ineffective projects are usually analyzed to learn how to improve both that
project and other projects
The projects considered mistakes are regularly changed or modified to
move towards success, or often dropped if success was not possible
The mistakes usually turn into positives
Mistake-driven celebrations occur with most occurrences
Management and Workers are often equally celebrated
Mistake-driven celebrations occur infrequently
The process is mostly effective
Management and Workers are not always equally involved in this
process
This process occurs regularly, but not always as frequently as needed
Level One
The assessment proves the condition, behavior
and/or actions described in this category indicate
the following:
• Basic compliance is achieved, and that all major
risks are reduced to an acceptable level
• Actions and behaviors are managed separately
from factory operations
• Local regulations, requirements and practices are
mostly followed
• There is significant room for improvement
• The factory focuses on their issues
• There is an effective continuous improvement
program in place that is actively improving the
system
Mistakes are still not always identified
The management team involved in mistakes do not
always learn from those mistakes
The workers involved in mistakes do not always have
a chance to learn from those mistakes
Ineffective projects are sometimes not analyzed to
learn how to improve both that project and other
projects
The projects considered mistakes are not quickly
changed or modified to move towards success, or are
not dropped if success was not possible
The mistakes sometimes turn into positives
Mistake-driven celebrations do not occur with each
occurrence
Management and Workers are not equally celebrated
Mistake-driven celebrations do not occur
The process is generally not effective
Management and Workers are not both involved in this
process
This process occurs infrequently relative to the need
 Questions
Are mistakes treated as learning opportunities?
How to Assess
Describe some mistakes and how they have been turned into positives.
Are mistake-driven improvements celebrated within the organization so
that other mistakes are not hidden, but are used as improvement
opportunities?
What is the process for taking negatives and turning them into positives?
Things to look for How
Mistakes: Activities, actions, events, or other work that was conducted
that did not result in an outcome that was expected, or that did not result
in positive change; these occurred because of a lack of knowledge,
experience, or other accidental events rather than intentionally doing this Interview management and employees to discuss how
wrong. mistakes are viewed and reviewed.
Learning Opportunity: A chance to provide teaching or other growth
chances Positives: Activities, actions, events, or other work that was
effective in mitigating risks or good changes
Positives: Activities, actions, events, or other work that was effective in
Ask management and workers to describe examples.
mitigating risks or good changes
Evidence that workers and management feel as comfortable discussing Interview management and employees to discuss how
failures as they do discussing successes. mistakes are viewed and reviewed.
Documented review process that includes analysis to turn failures into
Same as above. Review appropriate documents.
successes.
HRMAT HRMAT User Guide

Activity Level Five Level Three Level One

HR partners with factory leadership to ensure HR recruiting Factory regularly creates company-wide recruiting plan. HR Recruiting activities occur on a reactive basis to meet
strategy and plans are aligned with factory's strategic plan takes lead in developing and executing the plan. Recruiting functional department's short-term needs. There is no
and workforce plan. activities not only address the short-term needs, but also company-wide recruiting plan.
Functional managers have the HR expertise to effectively supports factory's business plan.
identify recruitment needs.
RECRUITING AND
HIRING
HR partners with factory leadership to build a positive Factory makes proactive efforts in operator recruitment. The Factory is able to recruit adequate amount of operators
company image that creates attraction for job candidates. recruiting activities consistently attract a big quantity of to meet production needs.
Attracting and Factory's reputation is consistently enhanced through
public activities, such as branding, donation and
candidates so that the factory is able to select the most
qualified operators.
Recruiting partnership with local NGOs.

(RH1) Factory makes long-term investments to attract and recruit Factory has strategies, plans and channels to attract and Factory does not have focused strategies or plans to
high potential employees, such as partnership with recruit high potential employees. Sufficient amount of recruit high potential employees*.
universities and internship programs. candidates are available for screening and selection.

Questions Things to look for How

How is the recruiting plan formed and how do you Recruiting plan. HR's ownership of the plan. CHRO interview.
manage it?

What recruiting efforts have you made to attract Effective recruiting activities. CHRO interview.
How to Assess operators? What is the result?

What strategies and channels do you use to Dedicated strategies, plans and channels. CHRO interview.
attract/recruit high potential employees? What is the
result?

High potential employee: Someone who has the ability, engagement and aspiration to rise to and succeed in a more senior and critical role. Examples are: university graduates,
engineers and managers.

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Activity Level Five
Candidate screening is based job descriptions as well as
best practices learnt from past experience, which help to
identify the most suitable candidates.
RECRUITING AND
HIRING
Both HR and the functional managers are well equipped to
Selection & conduct interview and selection.
Hiring
HR partners with managers in interview and selection
(RH2) processes. For some positions, the peers are also involved
in interview process for candidates applying for the same
position or job function, so as to gain a more
comprehensive evaluation of the candidates.
Questions
What training does HR team provide for factory
managers regarding selection/interview? What
training has HR team received for developing their
expertise and competencies?
Is there a procedure for conducting interviews and
skills tests at your factory?
How to Assess
What is the selection criteria for candidates at
different levels?
How does HR function in interviewing and selection
process for candidates at different levels?
Are employee peers involved in interview/selection
process?
September 1, 2011
HRMAT User Guide
Level Three Level One
Factory has effective procedures and practices for conducting Factory clearly communicates that hiring decisions are
interviews and skills tests for different levels of employees. not made on the basis of gender, race, religion, age,
Candidate screening and selection are based on the minimum disability, sexual orientation, pregnancy, marital status,
requirements contained in job descriptions for majority of nationality, political opinion, trade union affiliation,
positions. social or ethnic origin or any other status protected by
country law.
Factory provides training to HR staff responsible for recruiting There is limited trainings provided to HR staff to
and selection processes. enhance their capabilities in interviewing and selection.
Functional managers take charge of interview and selection. HR function plays an administrative role in candidate
HR provides direct support in candidate screening and skills selection process, such as screening application forms
testing. and conducting reference checks.
Things to look for How
Training materials/curriculums; training records Review documents.
Interview related HR staff.
Skill test samples, interview guidelines and records Review documents.
Interview related HR staff.
Alignment between job description and screening criteria Review documents.
Interview related HR staff.
The leading role of a strong HR team, manager Review documents.
involvement Interview related HR staff.
Level of employee involvement HR staff and employee interview.
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Activity Level Five Level Three Level One

Factory has procedures to develop and manage job
descriptions. They include descriptions on how to use job
descriptions (e.g., during recruitment, performance
evaluation, and training needs identification), how to keep
them updated, and who owns the updating process.
HR function plays a leading role in job description Job descriptions are developed and managed by
development. individual functional departments. There is no owner to
Functional managers are competent to develop and manage manage job descriptions from a factory-wide
job descriptions. perspective.

RECRUITING AND
HIRING
Job descriptions exist for all positions (operators, T/L&G/L, Job descriptions exist for all the key positions (e.g. T/L&G/L* Job descriptions exist for some but not all positions.
staff, management) with clear description of roles and and management), with clear description of roles and
Job Description responsibilities, required skills and competencies. Job
descriptions are regularly reviewed and updated.
responsibilities, required skills and competencies.

Development Employees are involved in these processes.

(RH3)
Job descriptions are used in employee development, such Job descriptions are used in recruiting process to convey clear Job descriptions are not fully developed, and do not
as performance evaluation and training needs expectations and requirements for target candidates. Job clearly describe the required skills and competencies.
identification. descriptions are specific enough to describe the requirements
of skills and competencies for the position.

Questions Things to look for How

What role does HR function play in managing job Procedures for managing job descriptions. Review documents.
descriptions? Interview related HR staff.
What does a standard job description look like at your Job description with clear description of roles and Review documents.
factory? Are job descriptions regularly reviewed and responsibilities, required skill, competencies, and lean Interview related HR staff.
updated? capability.

How to Assess Is there clear understanding of the roles of job Level of understanding Workers and staff interview.
descriptions across the factory?
How are employees engaged in job description Level of employee engagement Workers and staff interview.
definition and review process?
How do you use job description in recruitment, The alignment between job descriptions, Review documents.
selection, performance evaluation and employee recruitment/selection criteria, and performance Interview related HR staff.
development? evaluation mechanics.

T/L&G/L (Team Leaders and Group Leaders): The shop-floor middle management who directly supervises operators.

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Activity Level Five Level Three Level One

Employee feedback is obtained and analyzed to
continuously improve the design and execution of the different orientation programs to meet the needs of different
orientation curriculum.
RECRUITING AND
HIRING
Factory has procedures for managing and tracking
Orientation new employees through probation by assigning
mentors, forming new employees club, or regular
(RH4) communication and follow-up. Issues found are
immediately addressed. HR regularly leads self-
assessment of the procedures and practices of
managing new employee orientation and assimilation
programs and seeks continuous improvement.
Orientation is conducted for all new employees. Factory use
new employees (operators, staff and management).
Standardized orientation curriculum, evaluation criteria and
class schedules exist. Employee orientation includes follow-up
sessions or testing to ensure comprehension by the new
employees.
Post the company-wide orientation, factory offers extended
orientation* to all its new employees (operators, staff and
management) to equip them with competency for their specific
jobs.
Orientation is conducted for most new employees and
communicates individual terms and conditions of
employment that are compliant with Nike Code of
Conduct and local law.
Factory makes some efforts to provide extended
orientation* for new employees. But these efforts are
not systematic.

Questions Things to look for How

Is orientation conducted for all new employees? What Orientation covers 100% of new employees. Different
are the subjects covered in the orientations of
different levels?
How does the factory ensure effectiveness of the
How to Assess orientation?
What are the extended orientation programs offered
to different employees?
Do you have procedures to manage/keep track of
new employees through probation?
Review documents.
types of orientation to meet the needs of different levels Interview related HR staff.
of employees.
Efforts made in follow-ups, testing, etc Interview related HR staff.
Efforts in extended orientation by each department Interview related HR staff.
Evidence of new employee tracking/management Review documents.
through probation; issues found are addressed and Interview related HR staff.
resolved.

Extended orientation: Structured programs to equip new employees with job competency, including skill training, operation safety, 5S and quality requirement.

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Activity Level Five Level Three Level One

Factory regularly plans its training activities to meet its
strategic goals. The master training plans and the
departmental plans are clearly linked with the business
EMPLOYEE plans.
DEVELOPMENT HR supports the functional managers to develop and
execute their departmental training plan.
Factory regularly plans it training activities to improve
employee performance.
Each functional manager regularly develops and updates
departmental training plan.
HR drives a factory-wide master training plan. HR has visibility
to all the departmental training plans.
Factory plans its training activity to meet operational
requirements, such as compliance and new worker
orientation.
Factory has training plans, but they are driven by
different departments and are not integrated.

Training Plan Training plans are based on need analysis. Needs analysis Training plans are based on need analysis. Procedure is in Factory conducts some training needs analysis. But it
(ED1) considers both internal and external factors, e.g., place to regularly assess training needs. Multiple factors are is reactive and inconsistent.
competency gap, business expansion, and new initiatives considered in the need analysis, including competency gaps
from customers. identified in performance evaluation results.

Questions Things to look for How

What training plans does factory have? How does it
supports the business plan?
How to Assess How do HR department and functional managers
conduct training needs analysis? Which factors are
considered?
Training plans Review documents.
The alignment between training plan and factory business plan Interview CHRO, HR/Training dept. manager.
Training needs analysis documents. Review documents.
Multiple factors are considered in completing the training Interview HR/Training dept. manager.
needs analysis. Interview two functional managers

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Activity Level Five Level Three Level One

Factory offers development programs to all levels of Factory has structured training programs for most levels of Factory has a set of training programs to meet basic
employees, from operators to senior leadership. employees, from operators, T/L&G/L, staff to managers. training needs.

EMPLOYEE Factory has a large variety of training programs to meet
DEVELOPMENT different employee development needs. Examples are:
classroom courses, experiential learning, mentoring, night
school, outside seminars and continuous-education
programs.
Training
Programs (ED2) JI Training method is the major training method on the
shop-floor. A large majority of T/L&G/L are competent JI
trainers and embrace JI training.
To best suit different training objectives, various training
methods are used, such as instructor-led training, coaching,
and experiential learning*.
HR and other functions forms a dedicated team to drive JI
training deployment. Factory has procedures to motivate, grow
and manage internal JI trainers.
The training sessions are mainly instructor-led,
classroom activities.
Factory uses Job Instruction (JI) Training*, but there is
limited T/L&G/L involvement.

Questions Things to look for How

What kinds of training programs does the factory
have?
How does the design of the programs address the
How to Assess various training needs?
How is JI training deployed? Who/Which department
is driving the JI deployment?
How many JI trainers does the factory have? How
does factory motivate, grow and manage them?
Variety of training programs Review training curriculums and materials
Interview HR/Training manager.
The link between training program design and training Interview HR/Training manager.
needs
A systematic method and a team to drive JI deployment Interview CHRO, key JI stakeholders.
Review deployment documents.
A system to motivate, grow and manage internal JI Interview HR/Training manager, and JI trainers
trainers.

* Experiential learning: The process of making meaning from direct experience. An example is going to the zoo and learning through observation and interaction with the zoo
environment, as opposed to reading about animals from a book. Thus, one makes discoveries and experiments with knowledge firsthand, instead of hearing or reading about others'
experiences.

*Job Instruction (JI) Training: Step by step on the job training method in which a trainer (1) prepares a trainee with an overview of the job, its purpose, and the results desired, (2)
demonstrates the task or the skill to the trainee, (3) allows the trainee to mimic the demonstration on his or her own, and (4) follows up to provide feedback and help.

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HRMAT
Activity Level Five
HR function has a dedicated team in charge of training
from a company perspective.
Annual budget for training initiatives is proportionate to
factory size, and reflects strategic priorities of employee
development.
EMPLOYEE
DEVELOPMENT Factory has an effective trainer pool. Trainer
certification program exists to ensure all trainers are
qualified and highly skilled. The trainer pool system is
Training part of the talent development program.
Resources (ED3) Factory engages external resources/consultancy for
additional training programs. Factory's training
capabilities are continuously improved through
internal and external efforts.
Questions
What percentage is the training budget to total HR
operational budget?
How many internal trainers are there in the factory? How
are these trainers managed, trained / retrained, certified,
and motivated?
How to Assess Is there an off-line training facility? What are the functions
of this off-line training facility?
Does the factory engage with any external training?
What are the types of training needs that the factory
cannot address within its internal expertise? How
does the factory approach external training
providers?
September 1, 2011
Level Three
HR function has a dedicated person in charge of training.
Procedures exist to allocate annual budget dedicated to
training activities, including internal and external training.
Factory has developed a trainer pool to maintain internal
trainers. Factory has a process to acknowledge the
trainers' efforts. Factory provides opportunities to
develop their training skills.
Factory has adequate training facilities, such as an off-
line training space for operator skill-training and
classrooms of proper size and set-up for various training
activities. The training facilities are well managed and
frequently utilized.
Things to look for
Training budget allocation
A system to organize, regulate, motivate, and grow internal
trainers.
A training facility that accommodates various employee
training.
Process of engaging external training provider.
External training provider evidence.
Training Needs Analysis documents.
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Level One
Training activities are conducted by individual
departments. Factory has no dedicated person to
consolidate its training resources.
Factory has many internal trainers, but there is no
centralized procedure to maintain or recognize
them. Factory provides little opportunities for
trainer to upgrade their capability.
Factory has some facilities dedicated to training,
but the space and set-up are inadequate to
support the training needs.
How
Interview CHRO.
Review documents.
Interview HR/Training manager, and internal trainers.
Visit training facility. Interview HR/Training manager
on-site.
Review documents.
Interview HR/Training manager.
HRMAT HRMAT User Guide

Activity Level Five Level Three Level One

Factory evaluates trainees' reaction, their learning,
and when applicable, their performance
EMPLOYEE improvement.
DEVELOPMENT The evaluation involves the department in charge of
the training as well as the trainees' functional
managers.
Training Factory regularly evaluates the effectiveness of its
Evaluation training activities and training system. It makes
significant efforts to continuously improve both the
(ED4) training activities and the system.
All training activities include evaluation. For technical training,
factory uses testing to measure trainee learning. For soft-skill
training, factory surveys trainee reaction.
Factory consistently analyzes and communicates the
evaluation results to drive improvement.
Based on results of the training evaluation, factory
makes improvements to all aspects of its training
activities, such as content, design, and trainer skill.
Factory sometimes uses trainee surveys or tests to
measure the trainees reaction or learning.
But evaluation is not regularly conducted. Factory does
not consistently analyze or communicate the
evaluation result.
Existing training are conducted with stable quality, but
factory shows little evidence of continuous
improvement.

Questions Things to look for How

How does factory carry out evaluation of its training Training evaluation documents Interview HR/Training manager
activities? Process of training evaluation Review documents

How to Assess How is the evaluation result analyzed and Process to utilize training evaluation results Same as above
communicated?
How did you improve the training system based on Process to evaluate training system Same as above
the evaluation results in the last 12 month? Example of improvements on training system

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Activity Level Five Level Three Level One

Factory has effective performance evaluation systems to
support its business needs. The systems and activities
reinforce the values of equal opportunity and transparency.
PERFORMANCE
MANAGEMENT
Factory has procedure to guide regular performance Factory has some performance evaluation activities,
evaluation for employees at all levels. but they are not conducted regularly or systematically.
For operators, factory has a KPI-driven performance
evaluation*, considering factors such as productivity, quality,
skill level and seniority. The operator evaluation is linked with
incentives and is aligned with lean principles.
For non-operators, factory conducts regular performance
review*.

Evaluation Factory's performance evaluation systems are widely The goal, principle and procedure of performance evaluation Factory makes little effort to communicated the
System accepted and embraced by its employees. system are clearly defined and fully communicated to all
employees.
performance evaluation system to its employees.

(PM1)
HR function regularly leads self-assessment of the
evaluation activities and systems, and drives continuous
improvement.
HR function plays a leading role in managing a factory-wide HR function is not managing a factory-wide
performance evaluation system. performance evaluation system.
Functional managers are equipped to conduct performance
evaluation effectively.

Questions Things to look for How

What is your performance evaluation system? What is HR's A systematic evaluation system. Document review.
role in this system? HR takes a leading role. CHRO interview.
What is the frequency of performance evaluation? What Appropriate frequency and procedure of evaluation activities. CHRO interview.
are the procedures?
What are the goal , principles of performance evaluation in clear goal and principles are set. CHRO interview.
your factory? How do you communicate them to Employees understand, accept and embrace.
How to Assess employees?

What efforts has HR made to equip functional managers Functional managers are equipped with capacities. Document review.
with capabilities in performance evaluation?
What are the key issues found in performance evaluation in Performance evaluation is continuously improved. CHRO interview. Document review.
the past 12 months? How are they addressed?

*KPI driven performance evaluation: A performance evaluation system that is mainly driven by quantifiable KPIs other than individualized goals.
*Performance review: Individual discussion between employee and supervisor regarding his or her past performance and future goals.

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Activity Level Five Level Three Level One

Evaluation standards are fair, fact-based, and performance
oriented. They reflect factory's core values and convey
PERFORMANCE clear expectations for employee development.
MANAGEMENT The standards effectively differentiate employee
performance levels.
Factory has developed a set of standards and structured tools
to evaluate employee performance. The standards include
both quantitative and qualitative measurements (e.g. job-
description-based KPI, core competencies, attitude, and
potential.).
Factory has some standards to evaluate employee
performance, but they are neither clear nor well-
structured.

Evaluation
Activities Evaluation results clearly state the future goals and gaps
for employees to overcome. They encourage, not
Evaluation results are carefully analyzed and fully
communicated to employees. Evaluation results serve as key
Factory has made little effort to analyze, communicate
or utilize the evaluation results.
(PM2) discourage, employees to grow towards desired
performance.
reference for other HR decisions, such as promotion, salary
appraisal, career development and trainings.

Questions Things to look for How

What standards and tools do you use in performance clear evaluation standards and structured tools Document review.
evaluation for different types of employees?
Please give an example how do you develop job-description-based and comprehensive thinking HR/manager interview
evaluation standards for a specific position or
How to Assess employee?
How are evaluation results communicated to two way communication CHRO interview.
employees? Document review.
How do you use the evaluation results to make Two way communication between employee and Manger interview and employee interview.
decisions? manager. Evaluation results are analyzed and utilized. Document review.

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Activity Level Five Level Three Level One

Factory has a formal procedure to manage career
development for all employees, which is linked to
performance evaluation system.
PERFORMANCE Job rotation, mentoring, on-the-job training and off-job
MANAGEMENT training are widely used to support career development.
Career development opportunities are available for all Career development opportunities are available for
categories of employees, including operators, T/L&G/L, staff limited categories of employees, such as high potential
and management. employees.
Factory effectively communicates job vacancies to internal
candidates, and provides fair opportunities for them to
compete with external candidates.

Career
A large proportion of managers, T/L&G/L, engineers and A large portion of managers and T/L&G/L are promoted from Most managers and engineers are recruited externally.
Development staff are promoted from within. Many of them are promoted the worker level through career development programs.
(PM3) from the worker level. Factory has educational programs to support operator career
development, such as night school.

Questions Things to look for How

What types of career development opportunities are Various career development opportunities that support CHRO and employee interview.
available in your factory? How do you use it to career development of employees at all levels.
support career development of employees at
How to Assess different levels?
Please give examples of managers, engineers or staff The effective execution of career development CHRO interview. Document review.
that are promoted from within via the career programs.
development program.

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Activity Level Five
Factory has short- and long-term workforce plans at
operator, staff and management levels. The workforce
plans support factory business goals.
Forecasted innovation, flexible workforce, labor market
trends, relocation and industry growth are incorporated into
workforce planning. The workforce plan is linked to other
HR plans, such as recruiting, training and succession
WORKFORCE PLANNING planning.
Workforce Factory is self-governing.
It periodically assesses workforce planning, production
Planning* planning and working hour management practices on the
shop floor. Management proactively addresses and
(WP1) prevents issues (excessive overtime, grievances related to
production targets, etc.).
HR partners with production planning, industrial
engineering, NOS and skills training departments to
continually update workforce plans based on current and
future skill requirements.
Questions
How are the workforce plans integrated with other factory
operations, such as recruiting, training, production
planning?
Are there written procedures to manage and review
working hours and production schedules? What action was
taken to prevent issues in the past 12 months?
How to Assess
What were the unusual business circumstances that
interfered with the production schedule in the past 12
months? How did the factory deal with them?
Does the factory update workforce plans based on current
and future skills requirement? Which departments are
involved?
*Workforce planning: The process for ensuring that a corporation has suitable employees to ensure future business success. "Suitable employees" refers to the right amount of
employees with the right skill and competency at operator, staff and management levels.
*Unusual business circumstance: Events which do not occur on a regular basis but interfere with production and cause delays, such as material delay, power shortage and quality
issues.
September 1, 2011
Level Three
HR regularly creates and updates workforce plans to identify
gaps and surpluses between the current and projected
workforce at operator, staff and management levels.
Workforce plan is based on forecasted demand, available
workforce data, such as turnover, retirement and seasonal HR
constraints.
Production workforce plan is integrated with industrial
engineering, capacity planning and production planning
systems. It supports effective working hour management,
factoring in absences, leaves and unusual business
circumstances*.
HR partners with managers to identify gaps in operator skills,
which is integrated and updated in production workforce
plans .
Things to look for
Integration of workforce plan into factory operation
Documented procedures to check if factory periodically
reviews practices on the shop floor.
Documented conclusion after a periodical review.
A pre-determined strategy/backup plan to deal with unusual
business circumstances
Updated workforce plans
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Level One
Factory has a headcount plan for worker, staff and
management level. HR routinely updates its headcount
plan to reflect changing business needs.
Production headcount plan supports management of
working hours. Factory has policies and procedure to
ensure compliance with labor law and code of conduct
related to working hours.
Current skill requirements are identified and
documented, but they are rarely used in production
workforce plans.
How
Interview HR staff, production planning staff
Review documents
Interview with HR staff
Interview with HR, production staff
Review practices under unusual business
circumstances
Look for documentation
HRMAT
Activity Level Five
Multi-skill training plan is linked to HR and production
planning processes.
Multi-skill workforce has given factory a competitive edge in production.
meeting its future business needs, such as product and
process innovation, and multiple supply chain models.
WORKFORCE PLANNING All appropriate operators are trained and are capable of
performing multiple operations.
HR policies create incentive to multi-skill training and job
Multi-Skill rotation.
HR drives the standardization of multi-skill training and job
Workforce rotation systems, including their planning, execution and
evaluation process.
(WP2)
Skills development evaluation is regularly performed and
documented.
Procedures exist to ensure the effective utilization of the
multi-skilled workforce.
Questions
How do the HR policies and procedures support or
encourage multi-skill training and job rotation?
How is HR engaged in the standardization of multi-skill
training and job rotation system?
What is the current and target levels of the multi-skilled
workers in the production department? Is there a plan to
achieve the target of multi-skilled workers?
How to Assess
How does the factory evaluate and track employee skill
levels?
How do HR and production planning departments make
use of the skill level data?
How does the factory effectively utilizes current
multi-skill workforce?
*Relief team: A team who replaces or relieves other workers when production has bottlenecks.
September 1, 2011
Level Three
Multi-skill training plan and relief team* strategy is in place to
ensure coverage of absenteeism and provide flexibility in
Multi-skill training and job rotation are routine for operators.
HR has policies and procedures to support multi-skill training
and job rotation.
Factory invests in sufficient resources to support multi-skill
training, including training facilities and qualified trainers.
Procedures are in place to objectively evaluate and
systematically track operators skill levels.
Skill level data is used by HR and production planning in
workforce planning, recruiting, training, production planning
and new model/style introduction.
Things to look for
Documented procedures and process
HR's role in the standardization
Line manager goals and plans on coverage of multi-skill
training among appropriate operators and positions.
Documented skill level criteria
Procedures and evaluation report
Tracking information of all multi-skilled workers
Employee skill data used in workforce planning, recruiting,
production planning, etc
Best practices
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Level One
Factory has policy to manage operators absenteeism
and minimize adverse impacts to production
There is some multi-skill training and job rotation for
operators, but they are not routine practices.
Multi-skill training is mostly conducted by production
departments with limited cross-department support.
Skill level criteria is defined and documented for key
roles and processes.
Skill levels are measured or tracked in some important
positions.
How
Interview HR staff and 1-2 production managers
Review documentation
Interview HR manager
Interview HR staff and 1-2 production managers
Review documentation
Look for documentation
Interview HR staff
Review examples
Interview with HR and production planning staff
Interview HR, manager and multi-skilled workers
HRMAT
Activity Level Five
HR plays a leading role in factory-wide succession
planning. HR regularly and objectively analyzes
demand for successors and assesses talent supply
from internal and external sources. HR partners with
WORKFORCE PLANNING leadership and managers to create individual career
plans for high potential employees.
Succession Factory provides development opportunities to
support the career plan execution, such as job
Planning* rotation, project assignments and training. HR
(WP3) regularly assesses the competencies and satisfaction
of the high potential employees and drives
improvement. HR conducts strategic recruitment not
only to fill short-term but also long-term needs.
Questions
What are the key jobs in the factory? How were they
identified?
What processes and procedures does the factory have for
succession planning?
What percent of key jobs have identified potential
successors?
How to Assess What career planning and development opportunities has
the factory provided to high potential employees in the last
12 months?
What were the turnover and satisfaction levels of high
potential employees in the last year? What did the factory
do to reduce the turnover and increase the satisfaction
level?
*Succession planning: The process of ensuring a suitable supply of successors for current and future key jobs as defined by business strategy.
*Key job: The positions with great importance to factory management and development, including key management and technical positions.
September 1, 2011
HRMAT User Guide
Level Three Level One
HR plays an active role in succession planning. HR Succession planning is conducted by factory
partners with leadership and managers to identify an leadership and functional managers, but there is
inventory of key jobs* based on business plans. There no standard procedure or documentation.
exist clear criteria for successors of the key jobs.
Procedures exist to identify and develop high potential
employees.
Factory leadership and functional managers effectively Managers are held accountable to develop high
develops high potential employees. potential employees in their departments.
HR regularly measures managers' efforts and
effectiveness in developing their high potential
employees.
Things to look for How
Key job inventory Review documentation
Evidence of an effective identification process
Processes and procedures for succession planning Interview CHRO
Review documentation
Succession plans Review documentation
Efforts in career planning and plan execution Interview at least 3 candidates from different levels or
functional departments
Efforts to improve satisfaction and reduce turnover Interview CHRO
Review documentation
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HRMAT
Activity Level Five
HR regularly creates factory-wide communication plans to
support factory strategic plan.
Plan is based on analysis of target audience,
communication objectives, intended message, channels
and frequency.
COMMUNICATION
Procedures are in place to solicit employee input in
developing factory policies and policy changes. Factory
Communication seeks to drive consensus before the policy takes effect.
System Employees are inspired and empowered to help the factory
succeed.
(C1)
Factory is self-governing. HR function regularly leads self-
assessment of the communication activities and system
and drives continuous improvement.
Questions
How are employees engaged in policy deployment?
How are the HR policies, procedures and updates
communicated to employees?
Are there procedures to engage employee representatives
How to Assess in policy changes? What are some examples of past policy
changes and how were the employees engaged?
What methods are developed to evaluate communication
activities and systems? What are the results?
September 1, 2011
HRMAT User Guide
Level Three Level One
HR regularly creates factory-wide communication plans, which Factory has some communication activities, but there
include regular and ad-hoc activities. Plan exits to share the is no procedure to conduct regular planning. The
factory's mission and strategy and to engage employees in communication efforts are reactive.
policy deployment. Plan is developed to support HR goals and
corporate values.
Factory policy and procedure updates are easily accessible to Procedures exist to communicate factory policies and
all employees through multiple channels. In case of policy procedures to all employees.
changes, factory proactively collects employee feedback and Procedure exists to provide timely updates on hours of
makes revisions when necessary before the policy changes
are implemented.
work, compensation, benefits, employment rules and
regulations.
Measurements are established to evaluate the coverage, Important communication practices are recorded.
effectiveness and employee satisfaction of communication
activities.
Things to look for How
Procedures and practices to engage employees in policy Interview CHRO
deployment Review document
Procedures and practices to communicate HR information Review document
Example of policy changes in the past Interview CHRO, Trade Union/Worker Committee, and
Worker committee's participation in policy discussion 1-2 employees who were engaged in policy changes
Measurements and evaluation results Interview CHRO
Review documents
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HRMAT
Activity Level Five
Factory proactively seeks employee feedback, using
tools such as Employee Satisfaction Survey. Learning
from employees drives factory operation
improvement.
COMMUNICATION Senior management regularly interacts with
employees to stay in touch with their needs and
Two-Way concerns.
Factory has effective programs to develop communication
skills of leaders, managers and supervisors.
Communication
(C2) Factory promotes constructive relationships with employee
groups. Polices and procedures are in place to manage
and develop these groups in alignment with the HR and
communication strategy.
Questions
How many two-way communication channels are there in
the factory? Which one is more frequently used by
employees? Why?
How and how often do operators interact with management
(supervisor and senior management)?
In the last 12 months, how did management and HR
How to Assess proactively reach out and listen to employees' feedback?
What training or programs are developed to improve
communication skills of managers and supervisors? How
does the factory evaluate their effectiveness?
Are there employee representative groups in factory? Policy and procedures of employee representative
Why were they established and how are they groups
developed?
Employee representative group (or working group): A group comprised of employee and/or management representatives, and has a clear purpose and structure. Examples are
ESH committee, Kaizen committee, worker committee and trade union.
September 1, 2011
Level Three
Factory has multiple channels for employee-management
communication. Metrics indicates that these channels are
trusted and frequently used trusted by employees.
Factory invests resources in developing all managers' and
supervisors’ communications skills through training and
coaching.
Employee representative groups* are established to improve
two-way communication between employees and
management. Polices or procedures are in place to manage
these groups.
Things to look for
HR & employees feedback on two-way communication
Communication between operators and management,
including line supervisors and senior manager
Examples of management and HR reaching out to listen to
employee feedbacks
Programs to develop communication skills of the managerial
employees
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Level One
Factory has employee-management communication
channels, but these channels are not frequently
utilized.
Employees have access to receive feedback about
their concerns or grievances.
Some managers or supervisors have received trainings
on communication skills.
Employee committees or groups are established in
compliance with legal requirements
How
Interview with HR staff and employees
Interview with operators
Observe interaction between manager and workers
Review documents related to the activity
Review documentation of communication programs;
Interview at least one manager, one supervisors about
the execution of programs
Review documents
Interview with chairman of key employee
representative groups, such as trade union
HRMAT HRMAT User Guide

Activity Level Five Level Three Level One

Factory has a dedicated CHRO, who is an integrated
member of factory senior leadership team.
CHRO serves as a strategist and an enabling partner in
factory's strategic planning and other relevant decision-
making situations such as business expansion,
STRATEGIC HR organizational changes and financial planning.
HR-Business
HR has its annual plan and 3-5 year strategic plan, which
Integration are clearly linked to factory business plans.
The HR plans are developed in collaboration with factory
(SHR1) leadership.
The HR plans are consistently executed.
Financial requirements for HR strategic initiatives are
included in the factory's budget.
Factory has a CHRO* who is a member of factory senior HR is not consistently consulted by factory senior
leadership team. leadership for business planning.
CHRO is involved in factory's business planning, including
annual plan and 3-5 year strategic plan.
CHRO consistently contributes in relevant decision-
making situations such as relocation and business
expansion
HR has an annual plan with established goals. The goals HR has no strategic plan nor annual plan. The HR
address the HRM needs identified in factory business goals and resources are focused on personnel
planning. Evidence demonstrates effective execution of the transactions, not on HRM objectives.
plans and goals.
Procedure exists to generate and communicate the budgetary
needs for HR key initiatives to the factory leadership.

Questions Things to look for How

Does the factory have a CHRO? What are his/her roles and CHRO roles and responsibilities Interview CHRO
responsibilities?

Does the factory have an HR strategic plan and Process and result of HR planning Review document. Interview CHRO
How to Assess performance goals? How are they established? What are
the results of execution?

How does the factory support the financial requirements of Process of gaining financial support for the HR initiatives Interview CHRO. Review document.
the HR strategic initiatives?

*Chief Human Resource Officer (CHRO): An senior officer who oversees all HR operations for the factory location. HR operations accounts for 50% or more of his or her
responsibility. Factory may use similar job titles such as HR Director, HR VP and Chief People Officer.

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Activity Level Five Level Three Level One

Factory has a comprehensive HR organization that is Factory has an HR organization that manages both personnel Staff is in place with HR responsibility. HR is primarily
proportionate to its size. processes* and HRM processes* for employees at all levels. focused on personnel transactions.

HR staff competency is periodically assessed, gaps are HR staffing level and competencies are clearly defined. Actual HR staff has training opportunities, but the focus is on
identified and robust actions are taken to close the gaps. staffing and competency level match the plan. personnel transactions, not HRM processes.
STRATEGIC HR HR training program is routinely evaluated and updated. HR staff has sufficient development opportunities to improve
All functional managers are equipped with necessary HR their professional skills in both personnel and HRM processes.
expertise.
HR Organization Factory engages external consultants or organizations to
& Resources supplement internal HR expertise when necessary. In such
cases, factory seeks a sustainable solution.
(SHR2)
Factory uses its HRIS to support its HR strategic plan and Factory has the IT infrastructure (Human Resource Information HR has an IT system, but its function mainly supports
to continuously improve HRM processes. System or HRIS) to effectively support both personnel and personnel processes not HRM processes.
HRM processes.

Questions Things to look for How

How does the HR organizational structure support the HR organizational chart and job descriptions Documentation review
entire organization? Interview CHRO

Does the actual staffing and competency level of the HR HR job descriptions and competency evaluations Documentation review
organization match the plan? Interview CHRO
What trainings have the HR staff received in the last year? HR staff training plans and training assessment reports Documentation review
How to Assess How has it supported HR meeting its competency needs? Interview CHRO

What are the HR operations that can be supported by the Sufficiency of HR system infrastructure Interview related HR staff
IT system? Review HR IT system

What are the projects/functions in which the factory Case examples Interview CHRO and review case documentations
acquired external consultants? Why?

*Personnel processes: Transactional processes such as hiring and termination, payroll and compensation, records administration and adherence with labor law.
*HRM processes: Processes required to meet strategic business needs, such as recruiting and selection systems, training and employee development, communication and
employee engagement, workforce analysis and strategic planning, performance management, talent retention

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Activity Level Five Level Three Level One

Factory uses workforce data to support strategic planning.
HR continuously improve its data capture and analysis
methods to meet changing needs of the workforce and the
business.
STRATEGIC HR
Workforce Data*
Factory use workforce data to identify HR issues and root Factory makes HR related decisions mostly based on
causes. experience, instead of research and data analysis.
HR routinely captures those workforce data that impact factory HR tracks basic, tangible workforce data, such as
operations. It seeks to objectively measure the intangible turnover, absenteeism and training hours.
workforce factors, such as employee satisfaction and
resignation reasons.
HR regularly analyzes the data and communicate the issues to
factory leadership.

Analysis
Factory leadership incorporates HR data analysis in the Factory leaders are informed on a timely basis about the HR Factory is aware of its HR issues, but has not taken
(SHR3) strategic planning process and key business decisions, issues. Factory has consistently taken effective strategies and effective measures to address them.
such as HR policy formation, expansion, and actions to address the issues, such as recruiting, training,
reorganization. succession planning and restructuring.

Questions Things to look for How

What workforce data do you capture? How do you analyze HR data that are captured Document review
and communicate the results? Data analysis reports

How do you capture the intangible HR factors, such as Tools to measure the intangible factors. Document review
employee satisfaction? How do you ensure the reliability of Objective, statistically valid employee satisfaction survey Interview related HR staff
the data and its analysis?
How to Assess What are the top 2 HR issues in the last 12 months? How Data analysis to identify issue and root causes. Interview senior leadership.
do you identify the root causes? How has the factory Effective countermeasures deployed Documentation review
addressed these issues? What are the results?

How is the workforce data analysis used in strategic Examples of senior leadership incorporating the analysis in Interview senior leadership.
plans and business decisions? strategic planning and decision making. Documentation review

*Workforce data: Qualitative or quantitative attributes that indicates the status of factory workforce (employees at all levels), such as quantity, age, years of service, turnover,
absenteeism, productivity, grievances, reasons of resignation and satisfaction rate.

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Activity Level Five Level Three Level One

The factory's corporate values are embraced by people at Most employees identify with the corporate values and integrity Factory has a corporate value statement, such as Core
all levels, from senior leaders to operators, thus generating level of the factory. Values.
a strong sense of pride. The corporate values aligns with the spirit of mutual trust and Factory has a documented Code of Ethics.
STRATEGIC HR Senior management demonstrates commitment to the respect and with Nike values. Most employees are aware of these statements.
values through their daily leadership practices.
Values and
HR works closely with senior leadership to continuously HR proactively and effectively promotes the corporate values HR communicates the corporate values and ethical
Ethics evolve and strengthen its corporate values in support of the and the ethical standards. standards in its daily operations through channels such
factory's strategic direction. HR policies and activities reinforce the corporate values, and as orientation and newsletter.
(SHR4) the value of diversity and equal opportunity. HR policies and activities are consistent with Code of
Ethics and the value of non-discrimination.

Questions Things to look for How

What are the factory's corporate values? How does Consistency between the formal definition of core values and Interview GM/President and employees at various
the factory leadership demonstrate the core values in the leadership behavior. levels.
their behavior?
How to Assess What programs and/or activities did the factory Evidence of participation or leadership from the HR team. Interview CHRO
deploy to promote its values in the last 12 months?
Are the core values reflected in HR policies, programs Examples of core values being embodied in HR practices Interview CHRO
and activities?

*Corporate values: Beliefs about what kinds of goals members of a corporation should pursue and ideas about the appropriate standards of behavior members should use to
achieve these goals.

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HRMAT
Activity Level Five
Factory regularly uses internal and external assessments
as well as informal channels to evaluate the effectiveness
of its HRM practices. Factory consistently achieves major
improvements for the problems discovered in the
STRATEGIC HR assessments.
Continuous
Improvement Factory's HRM practices are frequently benchmarked by
other manufacturers, including those from other industries.
(SHR5) Factory has taken an industrial leader position in HRM by
sharing in conferences, industry journals, or through other
benchmarking activities.
Questions
What are the HR metrics captured regularly?
How does the factory conduct self-assessment?
How to Assess What are the critical HR issues identified in the past 12
months? How are they identified and addressed?
Please give examples of the factory taking an industrial
leader position.
*HR metrics: Metrics that measures the effectiveness of factory HR practices. Examples include: number of work injury, average OT hours, percent of recruitment plan achieved,
employee satisfaction with training, turnover in key jobs, managers' satisfaction rate with HR services and HR cost per sales dollar.
September 1, 2011
HRMAT User Guide
Level Three Level One
Factory is committed to continuous improvement. Factory has some basic HR metrics, but it mostly focus
It routinely uses HR metrics to capture the effectiveness of its on personnel instead of HRM practices.
HRM practices. It regularly conducts self-audit to affirm the Factory does not regularly analyzed the metrics and
factory's HRM practices are consistent with the factory's addressed the critical problems.
policies and guidelines. Critical problems are identified and
addressed in a timely manner using PDCA approach.
Factory's HRM practices are benchmarked by other Factory's HRM practices are not benchmarked by other
manufacturers in the sporting goods industry. Factory openly manufacturers.
shares its HRM practices in conferences, workshops and
benchmarking activities in the sporting goods industry.
Things to look for How
HR metrics used in the factory Documentation review
Standards, process and result of self-audit CHRO interview and documentation review
Specific cases of continuous improvement CHRO interview and case review
Specific cases that demonstrate leadership CHRO interview and case review
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