Sedex驗廠輔導
  • 作者: Jennifer
  • 來源:
  • 日期: 2013-10-18
  • 瀏覽次數: 728

文件和資料準備
 
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.
以下為審核所需要審閱之文件;如有需要其它資料或文件,亦請協助提供。

1.General Documents 常規文件

  • Business license, national tax and local tax registration 營業執照、國稅和地稅登記證
  • Facility floor plan 工廠整體平面圖
  • Local waivers 當地政府豁免證明(如加班批文)
  • Government Inspection Reports, e.g. sanitation, fire safety, structural safety, environmental compliance, etc. 政府部門的檢查報告(如衛生檢查報告、消防檢查和驗收、樓宇結構安全性檢查、環保驗收報告等)
  • Training records for employees on factory rules, wages and benefits, discipline, health and safety, etc. 員工培訓記錄(如入職培訓、紀律與安全衛生培訓等)
  • Previous ethical trade audit reports/Corrective Action logs.  既往道德貿易審核報告及糾正措施記錄
  • Certificates (such as ISO9000,ISO14000,SA8000) 其它相關證書(如ISO9000, ISO14000, SA8000等)

2.Facility Polices & Documentation 工廠政策及其相關文件

 
  • Management Systems and Code Implementation 管理系統和行為規范的執行
  • Social compliance / ethical trade policy or manual 社會責任/道德貿易政策(手冊)
  • Applicable laws and regulations 法律法規文件
  • Appointment letter of a senior responsible manager 社會責任專項負責人委派書
  • Communicating and monitoring records on suppliers and/or subcontractors  供應商/外發商溝通和評估記錄
  • Free employment 自由就業及反強迫勞工政策
  • Employment contract 勞動合同
  • Personal files 人事檔案
  • Employee handbook (terms and conditions of employment)  員工手冊
  • Security guard work responsibilities 保安工作職責
  • Dormitory management provisions宿舍管理規定
  • Hiring and terminating records 聘用和辭退員工的記錄
  • Freedom of Association and Right to Collective Bargaining 自由結社和集體談判的權利
  • Meeting minutes of joint committees or unions 工會或員工代表選舉和會議記錄
  • Collective bargaining agreement 集體談判協議
  • Grievance Procedure 員工申訴程序
  • 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
現場作業風險定期評估報告及減少消除風險所采取的措施報告
  • Completion of construction proof of inspection 廠房竣工驗收證明
  • Machinery maintenance records and training records on employee using the equipments (including wearing PPE) 機器設備檢驗維修記錄、員工崗位培訓記錄(包括如何正確佩戴個人防護用品及崗位操作指南的培訓)
  • Evacuation plan, fire drill records,fire equipment maintenance records.
緊急逃生及消防演習記錄、消防設備維護檢驗記錄
  • Waste Disposal Permit, toxic (dangerous) waste discharge permission (if applicable)
排污許可證,有害(危險)廢物排放許可證(如適用)
  • Hazardous waste history and tracking records (e.g. disposal certificates). 危險廢物處理及跟蹤記錄(如適用)
  • Any prosecutions from relevant authorities and what was the outcome. 政府部門檢查違規記錄
  • Safety training records and worker training certificates if appropriate e.g. for fork lift truck driving.
特種員工上崗證明(如電動叉車駕照、電工證等)
  • Accident and injury log, first aid procedures and certificates of first aiders 工傷記錄;急救程序;急救員證
  • Testing record of drinking water 車間飲用水測試報告
  • Purchase records for all necessary protective equipment;PPE release records
個人防護用品及設備購買收據、發放記錄
  • Electrical safety certificates and records of maintenance checks 電力維修記錄檢查
  • Site insurance for e.g. workplace, employer liability, worker accident, fire.
爭對工作場所、雇主責任、工商事故和火災的保險
  • Any necessary approvals / certificates for using hazardous machinery or chemicals.
使用危險機械或化學藥品必要的批準證書
  • Machinery safety certificate 機械安全使用證(爭對涉及生命安全、危險性較大的特種設備以及危險物品的容器等)
  • Health and safety management organization chart & certificates健康和安全人員組織結構圖及相關證書
  • 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 
化學品清單;危險化學品儲存、使用及廢棄處理程序;化學品物質安全資料表;使用化學品人員培訓記錄
  • Dormitory management regulations 宿舍管理規定
  • Work instructions and training records. 各崗位作業指導書及其員工培訓記錄(包括轉崗培訓)
  • Kitchen sanitation permit, kitchen workers’ health certificates, Provision of hygiene food storage and preparation 廚房衛生許可證、廚工健康證、食品儲存及制作衛生規定
  • Emergency action procedures 應急程序
  • Child Labor 禁止使用童工規定
  • Hiring policy 招聘政策
  • System to check the age of workers at the point of recruitment. 如何鑒別員工真實年齡的系統程序
  • Personnel files  人事檔案
  • Underage workers provisions, child labor policy  發現童工的處理程序、使用未成年工的特殊保護規定
  • A list of young workers and their job roles. 使用未成年工的清單(包括其在工作崗位)
  • Wages and Benefits 工資和福利待遇
  • Payroll records for past 12 months; Piece rate records for the past 12 months (if applicable); Production records. 最近12個月的工資發放記錄、12個月周期的計件記錄(備查)、生產記錄
  • Applications for leave, applications of employees having resigned and their wage payment records
員工請假記錄、離職員工申請表及工資支付記錄
  • Social insurance receipts or invoice records  社會保險繳費記錄
  • Payroll slips 員工工資條
  • Women protection provision  女員工特殊保護規定
  • Working Hours 工作時間及加班政策
  • Time records for the past 12 months time records (including peak and most recent) 
最近12個月的工時記錄 (包括旺季及當前月份)
  • Overtime requirements and pay. 加班時間規定和加班費支付方法
  • Discrimination and Harassment 反歧視與騷擾政策
  • Job postings and the list of job requirements 招聘信息簡章
  • Policies and requirements for any health checks prior to employment 聘用前的體檢要求
  • Interview notes and application forms 面試問卷、員工工作申請表
  • Other contracts or agreements signed with employees 與員工簽訂的其它合同或協議
  • Regular Employment 雇傭條例
  • Labor contract 員工勞動合同
  • Contract for agent workers (if applicable) 勞務派遣用工合同(如適用)
  • Home workers, Outworkers and Sub-contractors 家庭工,外包工,及分包工政策
  • List of qualified sub-contractors 合格外發商清單
  • Audit report on sub-contractors外發商評估/審核記錄
  • Agreement or contract with contracted worker or home workers 外發工、家庭用工協議或合同(如有)
  • No Harsh or Inhumane Treatment 禁止苛刻及非人道待遇
  • Disciplinary and notice letters 獎懲條例、獎懲記錄和相關通知單
  • Grievance procedure 員工申訴程序
  • Security guard responsibility codes & surveillance procedures/records 保安守則、監控程序和記錄
  • Entitlement to Work and Immigration工作和移民的權利(如適用)
  • Identification documents of agency workers 外勞員工人事資料
  • Immigration rules and regulations if they are employing immigrants / foreign nationals / overseas students 移民法規
  • Records of regular visits to the agency or formal internal audit of the agency’s processes and systems 走訪外勞中介機構的記錄或者對其進行的審核報告
  • 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 外勞中介機構的招聘程序
  • Applicable records relating to any agencies used such as contracts (Service Level Agreement) or invoices 工廠與外勞中介機構簽訂的協議或票據
  • These workers contracts, pay slips, hours, and where workers are paid by the agency that the site keeps copies of these documents 外勞員工與中介簽訂的合同、工資單、工時記錄、所支付項目等的副本
  • Environment 環境保護
  • Site policies or procedures concerning environmental issues 有關環保問題的書面解決對策或流程
  • Environment management systems and work instructions 環境管理系統架構與工作指示圖
  • External certification 外部認證書,如ISO 14001
  • List of chemicals used in the manufacturing process 化學品清單
  • Client requirements and legislation in the destination countries客戶的環保要求以及所在國的相關環保立法規定
  • Inspection reports from local government bodies; any official complaints, legal actions or recommendations 政府環境監測報告、過往投訴記錄以及所采取的法律行動和建議等記錄

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