請(qǐng)準(zhǔn)備以下文件的正本予以SMETA驗(yàn)廠現(xiàn)場(chǎng)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(dāng)日請(qǐng)配合提供審核員所需要其它與審核相關(guān)的文件。

 
一、SMETA驗(yàn)廠審核 - 工廠概況部分 Outline of Facility

1 公司概括簡(jiǎn)介-人員/產(chǎn)量/產(chǎn)值/(品牌)市場(chǎng)分布 Factory profile/Employee No.& structure/Production capability/(Brands)Marketing

2 公司組織架構(gòu)圖 Organization chart

3 廠區(qū)/廠房平面圖 Factory floor plans

4 營(yíng)業(yè)執(zhí)照 Business license

5 土地使用權(quán)/所有權(quán)證書(shū) Certificate or document for land right

二、SMETA驗(yàn)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(cè)/廠紀(jì)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(cāng)庫(kù)是租賃的，請(qǐng)?zhí)峁┫鄳?yīng)租賃合同 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(cè)(所有員工)Employees' personal files/ Employment registration/roster (all employees)

12 勞動(dòng)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(qǐng)假單 Leave records

16 離職記錄 Resignation records

17 獎(jiǎng)懲記錄/警告信 Awards & Penalty Records/Warning notification letters

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

19 工會(huì)組織會(huì)議記錄/工會(huì)代表選舉程序及其職責(zé)/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(huì)組織會(huì)議記錄/工會(huì)代表選舉程序及其職責(zé)/勞資雙方就工資福利問(wèn)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(huì)責(zé)任政策文件/管理程序/內(nèi)審報(bào)告 Social accountability policy/ Management system/ periodic internal audit records

22 勞務(wù)派遣單位的營(yíng)業(yè)執(zhí)照，與勞務(wù)派遣單位簽訂的合同，勞務(wù)派遣工人的人事檔案，身份證復(fù)印件，工資，考勤記錄，勞動(dòng)合同，社保繳費(fèi)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(duì)移民工/人事代理機(jī)構(gòu)用工的相關(guān)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(wù)承包出去，而這些工人在工廠區(qū)域內(nèi)工作，請(qǐng)?zhí)峁┏邪痰臓I(yíng)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(fù)印件以及工資，工時(shí)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(duì)分包商及供應(yīng)商的社會(huì)責(zé)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(duì)家庭工社會(huì)責(zé)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(huì)開(kāi)會(huì)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(chéng)信Business Integrity
     ? 童工Child labour
     ? 強(qiáng)迫勞動(dòng)Forced labour
     ? 工會(huì)和自由結(jié)社Freedom of association
     ? 工資和工時(shí)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(xùn)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(quán)益 Human Rights
     ? 土地權(quán)利 Land Rights
     ? 員工申訴機(jī)制 Grievance mechanism

29 Previous ethical trade audit reports/Corrective Action Logs 以前的社會(huì)責(zé)任審核報(bào)告/改善行動(dòng)記錄

三、SMETA驗(yàn)廠審核 - 工時(shí)工資福利部分 Working hours and wage benefits

30 工作時(shí)間記錄(與工資相對(duì)應(yīng)的12個(gè)月+截止到審核當(dāng)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(chǎn)假/婚喪假)Leave records(Paid annual leave/Maternity leave/Marriage&Funeral leave )

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

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

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

35 記件工生產(chǎn)(臺(tái)班)記錄/計(jì)件工資表 Production records of piece rate workers/Piece rate records

36 最近一年生產(chǎn)運(yùn)作記錄及其它生產(chǎn)相關(guān)記錄(如：生產(chǎn)日?qǐng)?bào)表，品管日?qǐng)?bào)表，倉(cāng)庫(kù)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(huì)保險(xiǎn)繳付憑證和參保符合性批文/社保登記證/社保購(gòu)買(mǎi)花名冊(cè)Social security insurance (injury/retirement/medical/unemployment etc.) payment receipts/ invoice/Approval from local government/Registration certificate/personnel list

四、SMETA驗(yàn)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(fēng)險(xiǎn)識(shí)別記錄Health and safety risks identified record

41 房屋建筑工程竣工驗(yàn)收?qǐng)?bào)告/備案表 Certificate of Inspection for Completed Building Construction/ Registration Records

42 廠內(nèi)建筑消防驗(yàn)收合格證/報(bào)告 Fire-Fighting Acceptance Inspection Certificate/ Report

43 安全主任資格證(任命書(shū)/培訓(xùn)結(jié)業(yè)證書(shū)) 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(yīng)急預(yù)案/程序,消防演習(xí)記錄(含照片)Fire drill program & records and fire evacuation plan & procedure (inlcuding pictures)

46 食堂餐飲服務(wù)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(shū) Trained first aider certificate

48 醫(yī)護(hù)人員執(zhí)業(yè)資格證書(shū), (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(shè)備:使用登記證/驗(yàn)收/年檢合格證(如：電動(dòng)葫蘆/電動(dòng)叉車(chē)) 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(chē)/電工/電焊工/司爐工等)資格(操作)證書(shū)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(xué)品清單/化學(xué)危險(xiǎn)品倉(cāng)許可/(儲(chǔ)存物控記錄)/List of chemical/Approval certificate of chemical warehouse/register & storage record

54 安全防范應(yīng)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(xué)危險(xiǎn)品倉(cāng)管員上崗培訓(xùn)證書(shū) Qualified certificate for the keeper of dangerous chemicals warehouse

56 工作場(chǎng)所職業(yè)危害因素(空氣質(zhì)量/噪聲等)評(píng)價(jià)報(bào)告 The hazadous elements (air quality and noise etc.)evaluation report for Workplace

57 危險(xiǎn)崗位員工職業(yè)健康檢查報(bào)告、個(gè)體報(bào)告Hazardous position employees’occupational health examination summary /individual report (if applicable)

58任何國(guó)際認(rèn)可體系證書(shū)或其它社會(huì)責(zé)任審核報(bào)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(yàn)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(dāng)競(jìng)爭(zhēng)，等)書(shū)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(xùn)/調(diào)查報(bào)告Business Integrity Training Records/Investigation Reports

六、SMETA驗(yàn)廠審核 - 環(huán)境保護(hù)部分Environment

62 環(huán)境影響評(píng)估報(bào)告書(shū)/報(bào)告表/登記表以及批復(fù), 排污許可證，監(jiān)測(cè)報(bào)告，輻射設(shè)備(如有)的環(huán)評(píng)，驗(yàn)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(xiǎn)廢棄物處理合同/轉(zhuǎn)移記錄 Dangerous chemical waste handling contract/transport records

64 緊急預(yù)案 Emergency action procedures

65 環(huán)境保護(hù)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(jì) Natural resource/energy resource usage/discharge data of current year and last year