• 作者: jennifer
  • 来源:
  • 日期: 2013-10-18
  • 浏览次数: 772

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.


  • 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)
  • 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
  • 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 recordsfire equipment maintenance records.
  • waste disposal permit, toxic (dangerous) waste discharge permission (if applicable)
  • 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.
  • 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
  • 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.
  • any necessary approvals / certificates for using hazardous machinery or chemicals.
  • 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 
  • 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
  • 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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