Corrective Action Plan Instructions

This document contains the instructions you will need to complete your corrective action plan. There
are four main sections of this document:

Guidance on Completing Corrective Action Plans

Step by Step Instructions for updating your Factory Action Plan in Box
Instructions for Accessing Box in China
Instructions on accessing and updating Factory Action Plans using Box in Chinese
Instruction for setting up a Free Box account
Guidance on Completing Corrective Action Plans
Creation and implementation of a Corrective Action Plan (CAP) is an important step in the continual
improvement cycle and is a process taken to remediate causes of issues noted during an audit.
The CAP is used to correct an existing non-conformance issue and to eliminate the recurrence of non-
conformance issues.

A corrective action plan must include the following for each proposed action:
1. Root cause analysis to identify the cause for any non-conformance
2. Detailed description of proposed corrective action
3. Accountable person to remediate the non-conformance
4. Due date to complete the remedial action

ROOT CAUSE ANALYSIS

“Root cause analysis” is a method used to identify underlying cause of a non-conformance issue. Root
cause analysis should be used to correct the existing non-conformance or to prevent the problem from
re-occurring. There are many methods for conducting root cause analysis. Additional Root Cause analysis
guidance is available upon request.

Here is an example of an issue and the result of root cause analysis:

Issue: Workers are not wearing the required Personal Protective Equipment (PPE)
Result of Root Cause Analysis: Management’s training schedule did not appropriately cover all workers
and supervisors, the factory’s health and safety trainer does not have any formal
training/education on PPE or conducting effective training and no one ever evaluates machine safety
to determine if hazards can be sufficiently controlled without PPE before beginning production.

CORRECTIVE ACTION
Corrective actions should focus on fixing the root causes as identified rather than fixing any symptoms.
This way the corrections will be more sustainable. Here is an example of an issue and a poor and a
sustainable corrective action:

Issue: Sewing workers do not use the finger and eye guards on the machines. When asked about it, they
say they think that it makes them slower and since they work on piece rate or get productivity
bonus, they don’t want to use them despite the risk of losing an eye or hurting a finger.

Poor Corrective Action: Factory will enforce use of machine guards

Sustainable Corrective Action: The factory will develop a policy supported from the top management
that safety is a priority. Management will provide the workers with information on eye and finger
injuries that have occurred in the industry. The supervisors will create a measure
of performance (e.g. supervisors will count each day the number of workers not using the guards) and
teams that have high compliance with policy will receive a small bonus or other incentive.

REMEDIATION PROGRESS REVIEW

Sumerra’s Facility Improvement team will be reviewing your Factory Action Plan and providing feedback.
Evidence of implementation should be provided for each action that is considered completed in order for
Sumerra to review and comment on the progress. Some examples of acceptable supporting
documentation include photos, policies, attendance logs, extract of wage records, training materials,
procedures etc.

For the example noted above regarding machine guards, some evidence examples would include a copy
of the policy, a copy of training materials provided to workers, a copy of the performance log, photos of
proper use of guards, and evidence of payment of bonus/incentive to teams achieving the performance
goals.

Some things to keep in mind when providing Sumerra with evidence of implementation:
• If evidence is provided in a foreign language (e.g. a policy document in Spanish, or a sign in
Chinese), you must provide a brief explanation of the evidence in English. It is not necessary to
provide a complete translation. Any evidence submitted in a foreign language that is not
accompanied by an English explanation will not be accepted by Sumerra.
• Each piece of supporting evidence needs to be linked to the CAP it relates to. You can name the
files so they reflect the specific CAPs they address, embed files in the Excel Factory Action Plan
spreadsheet, or take other steps to ensure that Sumerra can clearly understand how each file
relates to each CAP.

FAQs

Should we send the signed copy of the CAP back to Sumerra?

That is not necessary. The PDF version of the CAP signed during the closing meeting is not part of the
remediation progress review. The provided excel corrective action plan form should be completed and
send it to Sumerra along with supporting documents.

When will Sumerra provide the remediation progress review?

This differs depending on which Sumerra program you participate in. For ESEP audits, these occur at 45
and 90 days. For Popsockets, these occur at 30, 60, 90, and 120 days. For FJATA these occur at 10 and
45 days. Please note that the review period countdown starts on the date you receive the full audit
report. If you do complete your Factory Action Plan by the due date provided, the review is
forfeited, and another review will not be conducted until the next review date. For example, if the
30-day submittal is due on July 1 and is received on July 2, the review will not be provided until the
60- day review date is reached and the 30-day review is forfeited.

How do we know the status on each action item in the CAP form?
Sumerra rates the implementation of corrective actions on the remediation progress reports as follows.
Additional detail regarding the required documentation is also provided along with this determination.
Determination Rating

CAP evidence indicates that the issue is fully corrected CORRECTED

CAP evidence indicates the issue is not fully corrected PARTIALLY

CORRECTED
CAP evidence inadequate to determine if issue is partially or fully NOT CORRECTED
corrected

Can Sumerra extend the remediation progress review deadlines?

Generally, no. Sumerra provides additional support on the CAP at an additional expense. Please check
with Sumerra for further information on paid CAP services.
Using Box to update your Factory Action Plan
Sumerra uses Box to exchange and share information and files. Box is a web-based software application
that allows you to securely access and update files relating to the Sumerra audit process. The first time
you use Box, you will be prompted to create an account. Creating an account is easy and free and
should not take more than five minutes. See the instructions below on how to create a free account.

If you already have a Box account, be sure to log in FIRST, before clicking the links Sumerra has provided.
You may need to check if your company uses Box and confirm if you have an account. When accessing
files in Box, you will be prompted to login. When logging in, you will see a screen asking if you are part of
Sumerra. Click “Not a part of Sumerra to proceed.

Step by Step Instructions for updating your Factory Action Plan in Box
1. Locate the link to your unique Box folder. Sumerra provided this link when
communicating the final audit report. The picture below shows an example of the link
embedded in the final audit report email. Sumerra will grant access to everyone who is
listed as a contact at your company. If others at your company need access to the Box
folder, please contact Sumerra.
2. Click this link to access your Box folder. This folder is unique to this audit. Your Box folder
has subfolders for each review period. The picture below shows how these folders will
appear in your Box folder (note: depending on the program under which your factory was
audited, these number and names of these folders may differ from this example).

3. Select the folder for the first CAP review period (45 Days for ESEP, 30 Days for Popsockets,
10 Days for FJATA); inside this folder there is an excel spreadsheet (the “Factory Action
Plan” spreadsheet). The example below shows a spreadsheet for the ESEP Program
4. Update this excel spreadsheet with information on the CAPs for each non-conformance.
To update the spreadsheet, click “download” in the top right. This will download the file.
Do not rename the file.

5. Update the spreadsheet with information on your corrective action plans.

6. When you are done, you will need to upload the spreadsheet and any supporting evidence
to Box.
7. Use the link provided in your results email to navigate to the CAP folder. Open the
subfolder for the earliest CAP review period (45 days for ESEP, 30 days for Popsockets, 10
days for FJATA). Click “upload” in the top right to upload the updated Factory Action Plan
Spreadsheet. Do not rename the file. The picture below shows where the “upload”
button” is.
8. Upload any supporting evidence (e.g. photos, updated policies) in this folder. When
saving supporting evidence, be sure to clearly indicate which CAP item relates to each
piece of supporting evidence by including the CAP “item #” in the file name. If providing
evidence in a language other than English, include in the Factory Action Plan a brief
explanation or summary of the evidence in English. Evidence that is not summarized in
English will not be accepted.
9. Depending on the audit program, you will have 45 days (ESEP), 30 days (Popsockets), or 10
days (FJATA) from the date the final audit report is sent to update the Factory Action Plan
spreadsheet and save evidence in the Box folder. The due date for completing your CAPs
is included in the final report communication email that Sumerra provides. All CAP
reports and evidence must be submitted through a provided BOX folder that you will be
given access to. CAP reports and evidence will not be accepted through email. You do
not need to notify Summera once you have saved your Factory Action Plan and any
evidence in this Box folder.
10. At the end of the first CAP remediation period, Sumerra reviews your Factory Action plan
and any supporting evidence. Sumerra updates your Factory Action Plan to indicate if the
CAPs are acceptable or if further action is needed.
11. Once Sumerra’s review is complete, you will receive an email letting you know that your
Factory Plan is updated to reflect Sumerra’s review and any further action needed to close
the CAPs. Sumerra’s review is included in the same Factory Action Plan spreadsheet and is
saved to Box in the CAP folder for that review period.
12. Repeat steps 1-5 for each subsequent review period until the final review period is over or
all CAP issues have been closed (whichever comes first).
13. Following each CAP review period, you will receive an email notification that your Factory
Plan has been updated with Sumerra’s feedback and any remaining actions required to
close any CAP items. Sumerra’s review is included in the same Factory Action Plan
spreadsheet and is saved to Box in the relevant CAP review folder.
14. For PAID CAP processes: if you have paid for an extra CAP review, you will receive an email
letting you know that your Factory Plan has been updated with Sumerra’s feedback and
any remaining actions required to close any CAP items. Sumerra’s review is included in
the same Factory Action Plan spreadsheet and is saved to Box in the “Paid CAP” folder.
Instructions for Accessing Box in China
在中国访问 Box 的说明

You may experience difficulties accessing Box from mainland China. To access Box from mainland China,
you will need to manually update the link that Sumerra provides.
从中国大陆访问 Box 可能会遇到困难。 要从中国大陆访问 Box，您需要手动更新 Sumerra 的链
接。

The URL should be modified as follows:

该 URL 应该修改如下：

Replace the “.com”

替换“.com”

https://sumerra.box.com/s/vdvikyp704brkb5dnpzk9bu23bcvbcth

with “cn.net”
用“cn.net”

https://sumerra.boxcn.net/s/vdvikyp704brkb5dnpzk9bu23bcvbcth

Instructions on accessing and updating Factory Action Plans using Box in

Chinese
使用 Box 存取和更新工厂行动计划的说明

Sumerra uses Box to exchange and share information and files. Box is a web-based software application
that allows you to securely access and update files relating to the Sumerra audit process. The first time
you use Box, you will be prompted to create an account. Creating an account is easy and free, and
should not take more than five minutes.

Sumerra 使用 Box 交换和共享信息和文件。 Box 是一款基于网络的软件应用程序，可让您安全地

存取和更新与 Sumerra 审核流程相关的文件。 第一次使用 Box 时，系统会提示您创建一个帐户。
创建一个账户非常简单且免费，不应超过五分钟。

1. Locate the link to your unique Box folder. Sumerra provided this link when
communicating the final audit report. The picture below shows an example of the link
embedded in the final audit report email. Sumerra will grant access to everyone who is
listed as a contact at your company. If others at your company need access to the Box
folder, please contact Sumerra.

找到唯一的 Box 文件夹的链接。 在传达最终审核报告时，Sumerra 提供了此链接。

下图显示了嵌入最终审计报告电子邮件中的链接示例。 Sumerra 将授予访问被列为
 您公司联系人的所有人的权限。 如果贵公司的其他人需要存取 Box 文件夹，请联系
Sumerra。

2. Click this link to access your Box folder. This folder is unique to this audit. Your Box folder
has subfolders for each review period. The picture below shows how these folders will
appear in your Box folder (note: depending on the program under which your factory was
audited, these number and names of these folders may differ from this example).

点击此链接存取您的 Box 文件夹。 此文件夹对此审核是唯一的。 您的 Box 文件夹在

每个审查期都有子文件夹, 下面的图片显示了这些文件夹在 Box 文件夹中的外观。
（注意：根据工厂审核程序的不同，这些文件夹的编号和名称可能与此示例不
同）。
3. Select the folder for the first CAP review period (45 Days for ESEP, 30 Days for Popsockets,
10 Days for FJATA); inside this folder there is an excel spreadsheet (the “Factory Action
Plan” spreadsheet). The example below shows a spreadsheet for the ESEP Program

选择第一个 CAP 审核期的文件夹（ESEP 45 天，Popsockets 30 天，FJATA 10 天）; 在

这个文件夹中有一个 Excel 电子表格（“工厂纠正行动计划”电子表格）。 下面的例子
显示了 ESEP 纠正行动计划的电子表格。

4. Update this Excel spreadsheet with information on the CAPs for each non-conformance.
To update the spreadsheet, click “download” in the top right. This will download the file.
Do not rename the file.

更新此 Excel 电子表格，其中包含每个不合格项目的 CAP 信息。 要更新电子表格，

请点击右上角的“下载”。 这将下载该文件。 不要重命名文件。
5. Update the spreadsheet with information on your corrective action plans.
使用纠正措施计划信息更新电子表格。

6. When you are done, you will need to upload the spreadsheet and any supporting evidence
to Box.
完成后，您需要将电子表格和任何支持证据上传到 Box。

7. Use the link provided in your results email to navigate to the CAP folder. Open the
subfolder for the earliest CAP review period (45 days for ESEP, 30 days for Popsockets, 10
days for FJATA). Click “upload” in the top right to upload the updated Factory Action Plan
Spreadsheet. Do not rename the file. The picture below shows where the “upload”
button” is.

使用审核结果电子邮件中提供的链接导航到 CAP 文件夹。 打开最早的 CAP 审核周期

的子文件夹（ESEP 为 45 天，Popsockets 为 30 天，FJATA 为 10 天）。。 点击右上角
的“上传”，上传更新后的工厂行动计划电子表格。 不要重命名文件。 下面的图片显
示了“上传”按钮的位置。
8. Upload any supporting evidence (e.g. photos, updated policies) in this folder. When
saving supporting evidence, be sure to clearly indicate which CAP item relates to each
piece of supporting evidence by including the CAP “item #” in the file name. If providing
evidence in a language other than English, include in the Factory Action Plan a brief
explanation or summary of the evidence in English. Evidence that is not summarized in
English will not be accepted.

上传此文件夹中的任何证据（例如照片，更新的政策）。 在保存支持性证据时，请
务必在文件名中包含 CAP “item＃”，以清楚地指出哪个 CAP 项目与每条支持性证据
相关。 如果以英语以外的语言提供证据，请在工厂行动计划中以英文包含简短的证
据摘要或摘要。 没有用英语汇总的证据将不被接受。

9. Depending on the audit program, you will have 45 days (ESEP), 30 days (Popsockets), or 10
days (FJATA) from the date the final audit report is sent to update the Factory Action Plan
spreadsheet and save evidence in the Box folder. The due date for completing your CAPs
is included in the final report communication email that Sumerra provides. All CAP
reports and evidence must be submitted through a provided BOX folder that you will be
given access to. CAP reports and evidence will not be accepted through email. You do
not need to notify Summera once you have saved your Factory Action Plan and any
evidence in this Box folder.

根据审核计划，从发送最终审核报告之日起，您将有 45 天（ESEP），30 天
（Popsockets）或 10 天（FJATA），以更新工厂行动计划电子表格并将证据保存
在 盒子文件夹。Sumerra 提供的最终报告通讯电子邮件中包含完成 CAP 的截止日
期。 所有 CAP 报告和证据必须通过提供的 BOX 文件夹提交，您将可以访问该文件
 夹。 CAP 报告和证据不会通过电子邮件被接受。 一旦您保存了您的工厂行动计划和
此 Box 文件夹中的任何证据，您就不需要通知 Summera。

10. At the end of the first CAP remediation period, Sumerra reviews your Factory Action plan
and any supporting evidence. Sumerra updates your Factory Action Plan to indicate if the
CAPs are acceptable or if further action is needed.

在第一个 CAP 整治期结束时，Sumerra 会审查您的工厂行动计划和任何支持证据。

Sumerra 更新您的工厂行动计划，以指示是否可以接受 CAP 或是否需要采取进一步
行动。

11. Once Sumerra’s review is complete, you will receive an email letting you know that your
Factory Plan is updated to reflect Sumerra’s review and any further action needed to close
the CAPs. Sumerra’s review is included in the same Factory Action Plan spreadsheet and is
saved to Box in the CAP folder for that review period.

Sumerra 的审查完成后，您将收到一封电子邮件，通知您您的工厂计划已更新，以
反映 Sumerra 的审查以及关闭 CAP 所需采取的任何进一步措施。 Sumerra 的审阅
包含在同一工厂行动计划电子表格中，并在该审阅期间保存到 CAP 文件夹的 Box
中。

12. Repeat steps 1-5 for each subsequent review period until the final review period is over or
all CAP issues have been closed (whichever comes first).

对每个后续审核周期重复步骤 1-5，直到最终审核周期结束或所有 CAP 问题已解决

（以先到者为准）。

13. Following each CAP review period, you will receive an email notification that your Factory
Plan has been updated with Sumerra’s feedback and any remaining actions required to
close any CAP items. Sumerra’s review is included in the same Factory Action Plan
spreadsheet and is saved to Box in the relevant CAP review folder.

在每个 CAP 审查期之后，您将收到一封电子邮件通知，说明您的工厂计划已更新，

其中包含 Sumerra 的反馈以及关闭所有 CAP 项目所需的所有剩余操作。 Sumerra
的审阅包含在同一工厂行动计划电子表格中，并保存到相关 CAP 审阅文件夹中的
Box 中。

14. For PAID CAP processes: if you have paid for an extra CAP review, you will receive an email
letting you know that your Factory Plan has been updated with Sumerra’s feedback and
any remaining actions required to close any CAP items. Sumerra’s review is included in
the same Factory Action Plan spreadsheet and is saved to Box in the “Paid CAP” folder.
 对于已付费 CAP 流程：如果您为额外的 CAP 审查付费，您将收到一封电子邮件，通
知您您的工厂计划已更新，其中包含 Sumerra 的反馈以及关闭所有 CAP 项目所需的
所有剩余操作。 Sumerra 的评论包含在同一工厂行动计划电子表格中，并保存到“付
费 CAP”文件夹中的 Box 中。

Step by step instruction for setting up an Individual free account on Box

Step 1: Please open the box site thru below link to register your account
https://www.box.com/pricing/business
https://www.boxcn.net/pricing/business (for China)
Below page will shown

Step 2: If you are looking for free account, please select Individual plan (if not chose your plan as per
your requirement). Once you click on the Individual plan, you will see two more option, Individual and
Personal Pro – Click on Sign Up for Individual

Step 3: Fill the below information and select Continue

Note: If reCAPTCHA option is not available, please try different internet browser or check your IT team.

Step 4: Box will ask again to upgrade for different plan, but continue with Box Individual and Submit

Step 5: After submitting the registration details, you will see the below screen and you will receive a
confirmation email to verify your login details.
Note: If you are not able to access our CAP folder despite having correct login details and you are getting
error like below image, please make sure to select Not a part of Sumerra while accessing the folder thru
given link.