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SMETA驗廠相關細節知識點
1.審核類型
1) SMETA 社會責任審核是企業社會責任審核的一種。
2) 通常 SMETA 審核是通知審核. 但是有時候審核是否通知須依照客戶的具體要求，有可能是通知審核、不預先通知審核或半通知審核。
3) 審核結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 數據庫， 且可以與 Sedex 成員共享。
5) SMETA 審核不出具證書。
6) 環境保護和商業誠信兩部分審核是 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系的證書或執照等的原件。
8) 在現場審核中，與生產相關的資料如有需要也會做相應的檢查。
2. 審核范圍 :
1) 首次審核： 需提供至少最近 12 個月的工資工時記錄。如果是營業不足一年的新工廠，則需要提供自從開廠以來至審核當天所有且最少不低于 3 個月的工資工時記錄。
2) 跟進審核：工廠應提供從上次審核后結束至審核當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) 原則上同一營業執照下的所有范圍都應該覆蓋。(即使工廠有幾個廠區和不同的生產線。)
3. 審核內容
1.Employment Freely Chosen 自由選擇雇用關系
2.Freedom of Association 自由結社和勞資談判的權力
3.Safety and Hygienic Conditions 安全衛生的工作條件
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 正規的雇用關系
9.Harsh or Inhumane Treatment 不用苛刻和不人道的方式對待雇員
10.Environment & Business Integrity 環境保護和商業道德(可選)
4. 審核的主要方法
a.Management staff interview 管理人員訪談
b.On-site inspection 現場審核
b. c.Document review 文件審核
c. d.Workers interview 工人訪談
5.主要文件清單
工廠概況部分 | |
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/廠房平面圖 Factory floor plans |
4 | 營業執照 Business license |
人事行政管理部分 | |
5 | 員工手冊/廠紀廠規及處罰記錄 Employee manual/handbook, Factory rules & regulations/ Disciplinary practices policy and Records |
6 | 宿舍規章制度 Dormitory regulations |
7 | 招工指引/程序 Recruitment policies & procedures |
8 | 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) |
9 | 勞動合同(所有員工) Labor contracts (all employees) |
10 | 未成年工人體檢 & 健康體檢 Young worker health examination & health examination records,(if applicable) |
11 | 未成年工名單/登記證/工作安排規定 List of young workers/ registration approval from local labor bureau/regulations on shift arrangement for young workers |
12 | 請假單 Leave records |
13 | 離職員工工資發放記錄 Resignation records |
14 | 獎懲記錄/警告信 Awards & Penalty Records/Warning notification letters |
15 | 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 |
工時工資福利部分 | |
16 | 工作時間記錄(12個月) Time cards/attendant records(12 months) |
17 | 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 ) |
18 | 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 |
19 | 當地政府最低工資文件 Legal/ Local official minimum wage document |
20 | 工資表(12個月) (含工人簽名） Payroll records with employees' signatures (12 months) |
21 | 記件工生產(臺班)記錄/計件工資表 Production records of piece rate workers/Piece rate records |
22 | 工資扣除記錄 Wage deduction records |
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 insurance (injury/retirement/medical/unemployment etc.) payment receipts/ invoice/Approval from local government/Registration certificate/personnel list |
健康安全衛生部分 | |
24 | 公司的健康安全政策/規章制度 Health & safety policy/ Regulations and rules |
25 | 房屋建筑工程竣工驗收報告/備案表 Certificate of Inspection for Completed Building Construction/ Registration Records |
26 | 廠房消防驗收合格證/報告 Fire-Fighting Acceptance Inspection Certificate/ Report |
27 | 安全主任資格證(任命書/培訓結業證書) Safety officer certificate |
28 | 保安守則/保安上崗證 Security guard regulation & job description/security guard certificate |
29 | 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 (including pictures) |
30 | 食堂衛生許可證/食堂員工健康證 Sanitation Permit for Kitchen/ Health Certificate of kitchen employee |
31 | 急救人員資格證書 Trained first aider certificate |
32 | 醫護人員執業資格證書 (如有) Qualified certificate of doctor or nurse, if applicable |
33 | 工傷醫療事故處理記錄/再發生防范措施 Accident,injury reports & records/Precaution Measures on Reocurrence |
34 | 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 |
35 | 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 |
36 | 特種作業人員(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) |
37 | 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 |
38 | 安全防范應急措施/物料安全數據表 Chemical Safety Precuation Measures/MSDS (material safety data sheet) of dangerous chemicals |
39 | 危險廢棄物處理合同/轉移記錄 Dangerous chemical waste handling contract/transport records |
40 | 化學危險品倉管員上崗培訓證書 Qualified certificate for the keeper of dangerous chemicals warehouse |
41 | 工作場所職業危害因素(空氣質量/噪聲等)評價報告 The hazards elements (air quality and noise etc.)evaluation report for Workplace |
42 | 危險崗位員工職業健康檢查報告 Employees‘ occupational health examination reports/certificates |
43 | 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議 (CBA) Meeting minutes of union/Selection program and Responsibility of workers’ Rep./ Collective Bargaining Agrements(CBA) |
44 | 對移民工/人事代理機構用工的相關監控文件 （如有） Documents proved workers' legal right to work including immigrant & migrants & employment agency staff, if applicable |
45 | 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 |
46 | 分包商清單/對分包商社會責任的監控記錄 Sub-contractors list/ monitoring records on sub-contractors' social responsibilities performance |
47 | 家庭工名單/對家庭工社會責任的監控記錄 （如有） Homeworkers' namelist/ monitoring records on homeworkers proved to be compliant with social responsibilities， if applicable |
環境保護部分 | |
48 | Environment evaluation report 環境影響評估報告 |
49 | Emergency action procedures 環境緊急預案 |
50 | Environmental System Policy/ Procedure 環境保護方面的系統文件及程序 |
商業道德部分 （如適用） | |
51 | Business Integrity Policy/Procedure 商業道德書面方針/程序 |
52 | Business Integrity Training Records/Investigation Reports 商業道德培訓/調查報告 |
53 | Agreement on Business Integrity with Suppliers 與供應商簽訂的道德貿易承諾書 |
6. 審核的嚴重不符合項
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境
Bribery 商業誠信
