Audit Introduction For Applicants
SMETA(Sedex 成員道德貿(mào)易審核)審核簡介
Declaration: Below information is for all applicants reference only and it is just a brief of the audit’s introduction which is base on client’s requirements, it is designed for your preparation with regard to the audits. It doesn’t mean you just need to provide below information for the auditors, auditors may require more documents/information according to actual situation during the audit.
聲明：以下的信息是提供給所有申請者的參考，這只是一個簡短的審核的介紹，它是為貴方關(guān)于審核的準(zhǔn)備而設(shè)計，這并不意味著你只需要提供以下信息給審核員，審核員在審計過程中根據(jù)實際情況可能需要更多的文件/信息。
1.Audit Type: 審核類型
1)SMETA social audit is a kind of CSR audit.
2)Usually SMETA audits are announced audits. Sometimes the audits may be announced or unannounced or semi-announced depend on client’s specific requirement.
3)The client would make final decision on whether a follow-up audit is needed or not.
4)SMETA report will be uploaded into Sedex Database which could be shared by all Sedex members.
5)No certificate will be issued in SMETA program.
6)Environment and Business Integrity are two supplementary audits which are optional. The end buyer will make decision whether the two sections are needed or not.
7)The factory should provide the original the certificates which are direct related to factory for review.
8)During onsite tour, if necessary, the production-related records would be sample checked.
1) SMETA 社會責(zé)任審核是企業(yè)社會責(zé)任審核的一種。
2) 通常 SMETA 審核是通知審核. 但是有時候?qū)徍耸欠裢ㄖ氁勒湛蛻舻木唧w要求，有可能是通知審核⃝不預(yù)先通知審核或半通知審核。
3) 審核結(jié)束后是否需要跟進審核由客戶決定。
4) SMETA 審核報告可上傳至 Sedex 數(shù)據(jù)庫， 且可以與 Sedex 成員共享。
5) SMETA 審核不出具證書。
6) 環(huán)境保護和商業(yè)誠信兩部分審核是 SMETA 的補充審核。并非強制性項目。最終買家將決定 是否需要覆蓋此兩部分。
7) 審核中，請工廠提供與工廠有直接關(guān)系的證書或執(zhí)照等的原件。
8) 在現(xiàn)場審核中，與生產(chǎn)相關(guān)的資料如有需要也會做相應(yīng)的檢查。
2.Audit Scope 審核范圍 :
1)Initial audit: at least the last 12 month records of working hour and wage should be
provided. For new factories operating less than a year, all working hours and wages records since the beginning of operation till the audit day should be review with a minimum of 3 months.
2)Follow up audit: All wages and working hours records since last visit with a minimum of 2 months fresh records would be reviewed.
3)All areas under the same business license of the audited facility will be covered.
1) 首次審核： 需提供至少最近 12 個月的工資工時記錄。如果是營業(yè)不足一年的新工廠，
則需要提供自從開廠以來至審核當(dāng)天所有且最少不低于 3 個月的工資工時記錄。
2) 跟進審核：工廠應(yīng)提供從上次審核后結(jié)束至審核當(dāng)天之間所有的且最低不少于兩個月的工作時間和工資記錄。否則該次重審無效。
3) 原則上同一營業(yè)執(zhí)照下的所有范圍都應(yīng)該覆蓋。(即使工廠有幾個廠區(qū)和不同的生產(chǎn)線。)
3.Audit Contents: 審核內(nèi)容
1.Employment Freely Chosen 自由選擇雇用關(guān)系
2.Freedom of Association 自由結(jié)社和勞資談判的權(quán)力
3.Safety and Hygienic Conditions 安全衛(wèi)生的工作條件
4.Child Labor 不使用童工
5.Wages and Benefits 合理的工資
6.Working Hours 合理的工作時間
7.Discrimination 不歧視
8.Regular Employment 正規(guī)的雇用關(guān)系
9.Harsh or Inhumane Treatment 不用苛刻和不人道的方式對待雇員
10.Environment & Business Integrity 環(huán)境保護和商業(yè)道德(可選擇)
4.Main Audit Method : 審核的主要方法
a.Management staff interview 管理人員訪談
a. b.On-site inspection 現(xiàn)場審核
b. c.Document review 文件審核
c. d.Workers interview 工人訪談
5.Main Documents List : 主要文件清單
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工廠概況部分 |
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1 |
公司概括簡介-人員/產(chǎn)量/產(chǎn)值/(品牌)市場分布 |
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Factory profile/Employee No.& structure/Production capability/(Brands)Marketing |
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2 |
公司組織架構(gòu)圖 Organization chart |
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3 |
廠區(qū)/廠房平面圖 Factory floor plans |
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4 |
營業(yè)執(zhí)照 Business license |
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人事行政管理部分 |
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5 |
員工手冊/廠紀(jì)廠規(guī)及處罰記錄 Employee manual/handbook, Factory rules & regulations/ |
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Disciplinary practices policy and Records |
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6 |
宿舍規(guī)章制度 Dormitory regulations |
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7 |
招工指引/程序 Recruitment policies & procedures |
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8 |
人事記錄/員工入廠登記/花名冊(所有員工)Employees' personal files/ Employment |
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registration/roster (all employees) |
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9 |
勞動合同(所有員工) Labor contracts (all employees) |
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10 |
未成年工人體檢 & 健康體檢 Young worker health examination & health examination |
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records,(if applicable) |
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11 |
未成年工名單/登記證/工作安排規(guī)定 List of young workers/ registration approval from |
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local labor bureau/regulations on shift arrangement for young workers |
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12 |
請假單 Leave records |
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13 |
離職員工工資發(fā)放記錄 Resignation records |
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14 |
獎懲記錄/警告信 Awards & Penalty Records/Warning notification letters |
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15 |
工會組織會議記錄/工會代表選舉程序及其職責(zé)/工人投訴處理程序及記錄 Meeting minutes |
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of union/Selection program and Responsibility of workers’ Rep./Complaint& handling record |
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工時工資福利部分 |
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16 |
工作時間記錄(12 個月) Time cards/attendant records(12 months) |
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17 |
休假記錄(有薪年假/女工產(chǎn)假/婚喪假) |
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Leave records(Paid annual leave/Maternity leave/Marriage& Funeral leave ) |
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18 |
綜合計時批文/加班批文 （如有） Consolidated working hours permit by local labor |
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bureau/Extended Overtime Hours Waiver, if applicable |
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19 |
當(dāng)?shù)卣畹凸べY文件 Legal/ Local official minimum wage document |
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20 |
工資表(12 個月) (含工人簽名） Payroll records with employees' signatures (12 months) |
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21 |
記件工生產(chǎn)(臺班)記錄/計件工資表 Production records of piece rate workers/Piece rate |
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records |
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22 |
工資扣除記錄 Wage deduction records |
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23 |
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 |
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insurance (injury/retirement/medical/unemployment etc.) payment receipts/ invoice/Approval from local government/Registration certificate/personnel list |
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健康安全衛(wèi)生部分 |
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24 |
公司的健康安全政策/規(guī)章制度 Health & safety policy/ Regulations and rules |
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25 |
房屋建筑工程竣工驗收報告/備案表 Certificate of Inspection for Completed Building |
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Construction/ Registration Records |
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26 |
廠房消防驗收合格證/報告 Fire-Fighting Acceptance Inspection Certificate/ Report |
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27 |
安全主任資格證(任命書/培訓(xùn)結(jié)業(yè)證書) Safety officer certificate |
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28 |
保安守則/保安上崗證 Security guard regulation & job description/security guard |
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certificate |
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29 |
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 |
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evacuation plan & procedure (inlcuding pictures) |
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30 |
食堂衛(wèi)生許可證/食堂員工健康證 Sanitation Permit for Kitchen/ Health Certificate of |
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kitchen employee |
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31 |
急救人員資格證書 Trained first aider certificate |
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32 |
醫(yī)護人員執(zhí)業(yè)資格證書 (如有) Qualified certificate of doctor or nurse, if applicable |
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33 |
工傷醫(yī)療事故處理記錄/再發(fā)生防范措施 Accident,injury reports & records/Precaution |
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Measures on Reocurrence |
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34 |
電梯等起重設(shè)備:使用登記證/驗收/年檢合格證(如：電動葫蘆/電動叉車) Register of |
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elevator & lift and annual inspection certificate |
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35 |
鍋爐，壓力容器使用登記證/年檢合格證 Register of pressure vessels & boilers and annual |
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inspection certificate |
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36 |
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 |
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certificate( Valid safety operation certificate of Lift / Forklift vehicle /Qualified Electrician/ Electric welding operator certificate/Operator certificate of boiler) |
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37 |
化學(xué)品清單/化學(xué)危險品倉許可/(儲存物控記錄)/ |
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List of chemical/Approval certificate of chemical warehouse/register & storage record |
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38 |
安全防范應(yīng)急措施/物料安全數(shù)據(jù)表 Chemical Safety Precuation Measures/MSDS (material |
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safety data sheet) of dangerous chemicals |
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39 |
危險廢棄物處理合同/轉(zhuǎn)移記錄 Dangerous chemical waste handling contract/transport |
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records |
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40 |
化學(xué)危險品倉管員上崗培訓(xùn)證書 Qualified certificate for the keeper of dangerous |
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chemicals warehouse |
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41 |
工作場所職業(yè)危害因素(空氣質(zhì)量/噪聲等)評價報告 The hazadous elements (air quality |
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and noise etc.)evaluation report for Workplace |
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42 |
危險崗位員工職業(yè)健康檢查報告 Employees‘ occupational health examination reports/certificates |
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43 |
工會組織會議記錄/工會代表選舉程序及其職責(zé)/勞資雙方就工資福利問題與工廠的談判協(xié)議 |
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(CBA) |
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Meeting minutes of union/Selection program and Responsibility of workers’ Rep./ Collective Bargaining Agrements(CBA) |
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44 |
對移民工/人事代理機構(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 |
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45 |
社會責(zé)任政策文件/管理程序/內(nèi)審報告 Social accountability policy/ Management system/ periodic internal audit records |
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46 |
分包商清單/對分包商社會責(zé)任的監(jiān)控記錄 Sub-contractors list/ monitoring records on sub-contractors' social responsibilities performance |
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47 |
家庭工名單/對家庭工社會責(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 |
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環(huán)境保護部分 |
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48 |
Environment evaluation report 環(huán)境影響評估報告 |
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49 |
Emergency action procedures 環(huán)境緊急預(yù)案 |
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50 |
Environmental System Policy/ Procedure 環(huán)境保護方面的系統(tǒng)文件及程序 |
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商業(yè)道德部分 （如適用） |
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51 |
Business Integrity Policy/Procedure 商業(yè)道德書面方針/程序 |
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52 |
Business Integrity Training Records/Investigation Reports 商業(yè)道德培訓(xùn)/調(diào)查報告 |
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53 |
Agreement on Business Integrity with Suppliers 與供應(yīng)商簽訂的道德貿(mào)易承諾書 |
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6.Critical Noncompliance of SMETA: SMETA 審核的嚴(yán)重不符合項
Child Labor 童工
Involuntary Labor 非自愿勞工 Coercion & Harassment 脅迫與騷擾 Discrimination 岐視
Physical Abuse 體罰
Dangerous Working Conditions that pose immediate threat to workers’ life and safety
惡劣的，高危或安全隱患高的工作環(huán)境，
Bribery (商業(yè)誠信)
7.Criteria: 評分標(biāo)準(zhǔn)
There is no pass or fail grading/scoring system in SMETA audit. The final results would be decided by the end buyer/client.
SMETA 審核沒有采用過與不過的等級或者任何打分系統(tǒng)等。最終的結(jié)果將由最終買家或
者客戶來決定。
