請準備以下文件的正本予以SMETA驗廠現(xiàn)場審核；此文件清單只列出主要文件并非全部，如有需要審核當日請配合提供審核員所需要其它與審核相關的文件。

 
一、SMETA驗廠審核 - 工廠概況部分 Outline of Facility

1 公司概括簡介-人員/產量/產值/(品牌)市場分布 Factory profile/Employee No.& structure/Production capability/(Brands)Marketing

2 公司組織架構圖 Organization chart

3 廠區(qū)/廠房平面圖 Factory floor plans

4 營業(yè)執(zhí)照 Business license

5 土地使用權/所有權證書 Certificate or document for land right

二、SMETA驗廠審核 - 人事行政管理部分 HR and Admin. management

6 適用法律及法規(guī)Applicable laws and regulations

7 員工手冊/廠紀廠規(guī)及處罰記錄 Employee manual/handbook,Factory rules & regulations/ Disciplinary practices policy and Records

8 宿舍規(guī)章制度 Dormitory regulations

9 如果廠房、宿舍、倉庫是租賃的，請?zhí)峁┫鄳赓U合同 If the facility was rent, please provide related lease contract

10 招工指引/程序 Recruitment policies & procedures

11 人事記錄/員工入廠登記/花名冊(所有員工)Employees' personal files/ Employment registration/roster (all employees)

12 勞動合同(所有員工) Labor contracts (all employees)

13 未成年工人體檢/崗位安排 Young worker health examination/Job arrangement (if applicable),(if applicable)

14 未成年工名單/登記證/工作安排規(guī)定 List of young workers/registration approval from local labor bureau/regulations on shift arrangement for young workers

15 請假單 Leave records

16 離職記錄 Resignation records

17 獎懲記錄/警告信 Awards & Penalty Records/Warning notification letters

18 培訓記錄, 如入職培訓, 健康安全培訓：消防安全培訓記錄, 化學品使用和存儲的培訓等Training records(i.e fire safety training,chemical handling and storage traing, etc)

19 工會組織會議記錄/工會代表選舉程序及其職責/工人投訴處理程序及記錄 Meeting minutes of union/Selection program and Responsibility of workers’ Rep./Complaint& handling record

20 工會組織會議記錄/工會代表選舉程序及其職責/勞資雙方就工資福利問題與工廠的談判協(xié)議(CBA)Meeting minutes of union/Selection program and Responsibility of workers’ Rep./ Collective Bargaining Agrements(CBA)

21 社會責任政策文件/管理程序/內審報告 Social accountability policy/ Management system/ periodic internal audit records

22 勞務派遣單位的營業(yè)執(zhí)照，與勞務派遣單位簽訂的合同，勞務派遣工人的人事檔案，身份證復印件，工資，考勤記錄，勞動合同，社保繳費憑證等。Business license of Labor Dispatch
Company, contract signed with Labor Dispatch Company,dispatched workers' personal file, ID copies, payroll and attendance records, labor contracts, social insurance payment evidence, etc.

23 對移民工/人事代理機構用工的相關監(jiān)控文件 (如有) Documents proved workers' legal right to work including immingrant & migrants & employment agency staff, if applicable

24 如果工廠把保潔，餐廳，保安，裝卸等服務承包出去，而這些工人在工廠區(qū)域內工作，請?zhí)峁┏邪痰臓I業(yè)執(zhí)照和與承包商簽訂的協(xié)議，承包方工人的人事檔案，身份證復印件以及工資，工時記錄等。If the factory subcontracted service like cleaning,canteen, security guards, loading and unloading, and this workers worked inside of audited factory, please provide business license of contractor, the agreement signed between contractor and the audited factory, the contractor staff's personal file, ID copies, payroll records, attendance records,etc.

25 分包商清單/對分包商及供應商的社會責任監(jiān)控記錄 Subcontractors list/ monitoring records on sub-contractors' and suppliers' social responsibilities performance

26 家庭工名單/對家庭工社會責任的監(jiān)控記錄, (如有)Homeworkers' namelist/ monitoring records on homeworkers proved to be compliant with social responsibilities， if
applicable

27 安全委員會開會記錄和章程Minutes of joint committees on OHS and disciplinary matters

28 公司政策Facility policies:
     ? 商業(yè)誠信Business Integrity
     ? 童工Child labour
     ? 強迫勞動Forced labour
     ? 工會和自由結社Freedom of association
     ? 工資和工時Wage and hours of work
     ? 懲誡Disciplinary
     ? 福利Benefits and allowances
     ? 健康和安全Health & Safety
     ? 環(huán)保Environment
     ? 培訓Training
     ? 歧視和騷擾Discrimination and harassment
     ? 家庭工，外勤人員以及分包商Homeworkers, Outworkers and Sub-contractors
     ? 勞工權益 Human Rights
     ? 土地權利 Land Rights
     ? 員工申訴機制 Grievance mechanism

29 Previous ethical trade audit reports/Corrective Action Logs 以前的社會責任審核報告/改善行動記錄

三、SMETA驗廠審核 - 工時工資福利部分 Working hours and wage benefits

30 工作時間記錄(與工資相對應的12個月+截止到審核當天的考勤)Time cards/attendant records(12 months attendance records corresponded with payroll records + the attendance records till the audit day)

31 休假記錄(有薪年假/女工產假/婚喪假)Leave records(Paid annual leave/Maternity leave/Marriage&Funeral leave )

32 綜合計時批文/加班批文 (如有) Consolidated working hours permit by local labor bureau/Extended Overtime Hours Waiver， if applicable

33 當?shù)卣畹凸べY文件 Legal/ Local official minimum wage document

34 最近12個月的工資表(含工人簽名）Recent 12 months' payroll records with employees' signatures

35 記件工生產(臺班)記錄/計件工資表 Production records of piece rate workers/Piece rate records

36 最近一年生產運作記錄及其它生產相關記錄(如：生產日報表，品管日報表，倉庫收發(fā)料記錄等) Production operation records for last 12 months and the other related records（i.e Daily production records, daily QC report, warehouse material in/out records, etc)

37 工資扣除記錄 Wage deduction records

38 社會保險繳付憑證和參保符合性批文/社保登記證/社保購買花名冊Social security insurance (injury/retirement/medical/unemployment etc.) payment receipts/ invoice/Approval from local government/Registration certificate/personnel list

四、SMETA驗廠審核 - 健康安全衛(wèi)生部分 Health and Safety

39 公司的健康安全政策/規(guī)章制度 Health & safety policy/Regulations and rules

40 健康安全風險識別記錄Health and safety risks identified record

41 房屋建筑工程竣工驗收報告/備案表 Certificate of Inspection for Completed Building Construction/ Registration Records

42 廠內建筑消防驗收合格證/報告 Fire-Fighting Acceptance Inspection Certificate/ Report

43 安全主任資格證(任命書/培訓結業(yè)證書) Safety officer certificate

44 保安守則/保安上崗證 Security guard regulation & job description/security guard certificate

45 消防應急預案/程序,消防演習記錄(含照片)Fire drill program & records and fire evacuation plan & procedure (inlcuding pictures)

46 食堂餐飲服務許可證/食堂員工健康證 Catering Service License/Health Certificate of kitchen employee

47 急救人員資格證書 Trained first aider certificate

48 醫(yī)護人員執(zhí)業(yè)資格證書, (如有) Qualified certificate of doctor or nurse， if applicable

49 工傷醫(yī)療事故處理記錄/再發(fā)生防范措施 Accident,injury reports & records/Precaution Measures on Reocurrence

50 電梯等起重設備:使用登記證/驗收/年檢合格證(如：電動葫蘆/電動叉車) Register of elevator & lift and annual inspection certificate

51 鍋爐，壓力容器使用登記證/年檢合格證 Register of pressure vessels & boilers and annual inspection certificate

52 特種作業(yè)人員(叉車/電工/電焊工/司爐工等)資格(操作)證書Specialized safety training certificate( Valid safety operation certificate of Lift / Forklift vehicle /Qualified Electrician/ Electric welding operator certificate/Operator certificate of boiler)

53 化學品清單/化學危險品倉許可/(儲存物控記錄)/List of chemical/Approval certificate of chemical warehouse/register & storage record

54 安全防范應急措施/物料安全數(shù)據(jù)表 Chemical Safety Precuation Measures/MSDS (material safety data sheet) of dangerous chemicals

55 化學危險品倉管員上崗培訓證書 Qualified certificate for the keeper of dangerous chemicals warehouse

56 工作場所職業(yè)危害因素(空氣質量/噪聲等)評價報告 The hazadous elements (air quality and noise etc.)evaluation report for Workplace

57 危險崗位員工職業(yè)健康檢查報告、個體報告Hazardous position employees’occupational health examination summary /individual report (if applicable)

58任何國際認可體系證書或其它社會責任審核報告Any internationally recognised system certifications e.g. ISO 9000,14000, OHSAS 18000, SA8000 (or other social audits).

59 Other documents if in need 其它文件（如必要）

五、SMETA驗廠審核 - 商業(yè)道德部分 （僅適用于4pillar審核）Business practice (Only applicable for 4 pillar audit)

60 商業(yè)道德(反腐敗，反賄賂，反不正當競爭，等)書面方針/程序 Business Integrity(anti-corruption, anti-bribery, anti improper competition, etc) Policy/Procedure

61 商業(yè)道德培訓/調查報告Business Integrity Training Records/Investigation Reports

六、SMETA驗廠審核 - 環(huán)境保護部分Environment

62 環(huán)境影響評估報告書/報告表/登記表以及批復, 排污許可證，監(jiān)測報告，輻射設備(如有)的環(huán)評，驗收及安全許可證等Environment impact evaluation report/form/registration form and approval,Pollutant discharging permit, monitoring report, Radiation equipment (if any) environment impact evaluation report and acceptance check and permit, etc.

63 危險廢棄物處理合同/轉移記錄 Dangerous chemical waste handling contract/transport records

64 緊急預案 Emergency action procedures

65 環(huán)境保護方面的系統(tǒng)文件及程序 Environmental System Policy/Procedure

66 本年度及上一年度自然資源、能源使用/排放數(shù)據(jù)統(tǒng)計 Natural resource/energy resource usage/discharge data of current year and last year