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杭州市余杭区南苑街道东湖南路凤仪家园1#楼146#
  • 作者: Jennifer
  • 来源:
  • 日期: 2013-10-18
  • 浏览次数: 627

文件和资料准备
 
The following documents are supposed to be reviewed in the audit; in any case more documents are required to support compliance please assist in providing for the assessment.
以下为审核所需要审阅之文件;如有需要其它资料或文件,亦请协助提供。

1.General Documents 常规文件

  • Business license, national tax and local tax registration 营业执照、国税和地税登记证
  • Facility floor plan 工厂整体平面图
  • Local waivers 当地政府豁免证明(如加班批文)
  • Government Inspection Reports, e.g. sanitation, fire safety, structural safety, environmental compliance, etc. 政府部门的检查报告(如卫生检查报告、消防检查和验收、楼宇结构安全性检查、环保验收报告等)
  • Training records for employees on factory rules, wages and benefits, discipline, health and safety, etc。 员工培训记录(如入职培训、纪律与安全卫生培训等)
  • Previous ethical trade audit reports/Corrective Action logs.  既往道德贸易审核报告及纠正措施记录
  • Certificates (such as ISO9000,ISO14000,SA8000) 其它相关证书(如ISO9000, ISO14000, SA8000等)

2.Facility Polices & Documentation 工厂政策及其相关文件

 
  • Management Systems and Code Implementation 管理系统和行为规范的执行
  • Social compliance / ethical trade policy or manual 社会责任/道德贸易政策(手册)
  • Applicable laws and regulations 法律法规文件
  • Appointment letter of a senior responsible manager 社会责任专项负责人委派书
  • Communicating and monitoring records on suppliers and/or subcontractors  供应商/外发商沟通和评估记录
  • Free employment 自由就业及反强迫劳工政策
  • Employment contract 劳动合同
  • Personal files 人事档案
  • Employee handbook (terms and conditions of employment)  员工手册
  • Security guard work responsibilities 保安工作职责
  • Dormitory management provisions宿舍管理规定
  • Hiring and terminating records 聘用和辞退员工的记录
  • Freedom of Association and Right to Collective Bargaining 自由结社和集体谈判的权利
  • Meeting minutes of joint committees or unions 工会或员工代表选举和会议记录
  • Collective bargaining agreement 集体谈判协议
  • Grievance Procedure 员工申诉程序
  • Health and Safety 健康和安全
  • Health & Safety policy and procedures健康和安全政策
  • Risk assessment / Site inspections and action plans for reducing / eliminating the risks identified
现场作业风险定期评估报告及减少消除风险所采取的措施报告
  • Completion of construction proof of inspection 厂房竣工验收证明
  • Machinery maintenance records and training records on employee using the equipments (including wearing PPE) 机器设备检验维修记录、员工岗位培训记录(包括如何正确佩戴个人防护用品及岗位操作指南的培训)
  • Evacuation plan, fire drill records,fire equipment maintenance records。
紧急逃生及消防演习记录、消防设备维护检验记录
  • Waste Disposal Permit, toxic (dangerous) waste discharge permission (if applicable)
排污许可证,有害(危险)废物排放许可证(如适用)
  • Hazardous waste history and tracking records (e.g. disposal certificates). 危险废物处理及跟踪记录(如适用)
  • Any prosecutions from relevant authorities and what was the outcome. 政府部门检查违规记录
  • Safety training records and worker training certificates if appropriate e.g. for fork lift truck driving.
特种员工上岗证明(如电动叉车驾照、电工证等)
  • Accident and injury log, first aid procedures and certificates of first aiders 工伤记录;急救程序;急救员证
  • Testing record of drinking water 车间饮用水测试报告
  • Purchase records for all necessary protective equipmentPPE release records
个人防护用品及设备购买收据、发放记录
  • Electrical safety certificates and records of maintenance checks 电力维修记录检查
  • Site insurance for e.g. workplace, employer liability, worker accident, fire.
争对工作场所、雇主责任、工商事故和火灾的保险
  • Any necessary approvals / certificates for using hazardous machinery or chemicals.
使用危险机械或化学药品必要的批准证书
  • Machinery safety certificate 机械安全使用证(争对涉及生命安全、危险性较大的特种设备以及危险物品的容器等)
  • Health and safety management organization chart & certificates健康和安全人员组织结构图及相关证书
  • A list of all the chemicals and solvents used on site; Hazardous chemicals storage, handling and disposal procedures; MSDS; training records for employees engaged in chemical use 
化学品清单;危险化学品储存、使用及废弃处理程序;化学品物质安全资料表;使用化学品人员培训记录
  • Dormitory management regulations 宿舍管理规定
  • Work instructions and training records。 各岗位作业指导书及其员工培训记录(包括转岗培训)
  • Kitchen sanitation permit, kitchen workers’ health certificates, Provision of hygiene food storage and preparation 厨房卫生许可证、厨工健康证、食品储存及制作卫生规定
  • Emergency action procedures 应急程序
  • Child Labor 禁止使用童工规定
  • Hiring policy 招聘政策
  • System to check the age of workers at the point of recruitment。 如何鉴别员工真实年龄的系统程序
  • Personnel files  人事档案
  • Underage workers provisions, child labor policy  发现童工的处理程序、使用未成年工的特殊保护规定
  • A list of young workers and their job roles。 使用未成年工的清单(包括其在工作岗位)
  • Wages and Benefits 工资和福利待遇
  • Payroll records for past 12 months; Piece rate records for the past 12 months (if applicable); Production records. 最近12个月的工资发放记录、12个月周期的计件记录(备查)、生产记录
  • Applications for leave, applications of employees having resigned and their wage payment records
员工请假记录、离职员工申请表及工资支付记录
  • Social insurance receipts or invoice records  社会保险缴费记录
  • Payroll slips 员工工资条
  • Women protection provision  女员工特殊保护规定
  • Working Hours 工作时间及加班政策
  • Time records for the past 12 months time records (including peak and most recent) 
最近12个月的工时记录 (包括旺季及当前月份)
  • Overtime requirements and pay. 加班时间规定和加班费支付方法
  • Discrimination and Harassment 反歧视与骚扰政策
  • Job postings and the list of job requirements 招聘信息简章
  • Policies and requirements for any health checks prior to employment 聘用前的体检要求
  • Interview notes and application forms 面试问卷、员工工作申请表
  • Other contracts or agreements signed with employees 与员工签订的其它合同或协议
  • Regular Employment 雇佣条例
  • Labor contract 员工劳动合同
  • Contract for agent workers (if applicable) 劳务派遣用工合同(如适用)
  • Home workers, Outworkers and Sub-contractors 家庭工,外包工,及分包工政策
  • List of qualified sub-contractors 合格外发商清单
  • Audit report on sub-contractors外发商评估/审核记录
  • Agreement or contract with contracted worker or home workers 外发工、家庭用工协议或合同(如有)
  • No Harsh or Inhumane Treatment 禁止苛刻及非人道待遇
  • Disciplinary and notice letters 奖惩条例、奖惩记录和相关通知单
  • Grievance procedure 员工申诉程序
  • Security guard responsibility codes & surveillance procedures/records 保安守则、监控程序和记录
  • Entitlement to Work and Immigration工作和移民的权利(如适用)
  • Identification documents of agency workers 外劳员工人事资料
  • Immigration rules and regulations if they are employing immigrants / foreign nationals / overseas students 移民法规
  • Records of regular visits to the agency or formal internal audit of the agency’s processes and systems 走访外劳中介机构的记录或者对其进行的审核报告
  • Where agencies used are in a different country e.g. to recruit workers from another country, check what system is in place for the site to check on these agencies’ procedures 外劳中介机构的招聘程序
  • Applicable records relating to any agencies used such as contracts (Service Level Agreement) or invoices 工厂与外劳中介机构签订的协议或票据
  • These workers contracts, pay slips, hours, and where workers are paid by the agency that the site keeps copies of these documents 外劳员工与中介签订的合同、工资单、工时记录、所支付项目等的副本
  • Environment 环境保护
  • Site policies or procedures concerning environmental issues 有关环保问题的书面解决对策或流程
  • Environment management systems and work instructions 环境管理系统架构与工作指示图
  • External certification 外部认证书,如ISO 14001
  • List of chemicals used in the manufacturing process 化学品清单
  • Client requirements and legislation in the destination countries客户的环保要求以及所在国的相关环保立法规定
  • Inspection reports from local government bodies; any official complaints, legal actions or recommendations 政府环境监测报告、过往投诉记录以及所采取的法律行动和建议等记录
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