• 作者: jennifer
• 来源:
• 日期: 2013-10-18
• 浏览次数: 745次

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。

sedex验厂内容-凯时人生就是博首页

• 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 records，fire 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 equipment；ppe 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) 

• 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