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1、SMETA 审核所需文件审核所需文件/证件清单证件清单 SMETA Requested Document List (For 2pillar and 4 pillar Audit) No.项目与内容 Items 提供(Available) YESNON/A 请准备以下文件的正本予以审核。请准备以下文件的正本予以审核。Please kindly prepare below original document to review. 工厂概况部分工厂概况部分 Outline of Facility 公司概括简介-人员/产量/产值/(品牌)市场分布 1Factory profile/Employee
2、No.& structure/Production capability/(Brands)Marketing 2公司组织架构图 Organization chart 3厂区/厂房平面图 Factory floor plans 4营业执照 Business license 人事行政管理部分人事行政管理部分 HR and Admin. management 5适用法律及法规 Applicable laws and regulations 6员工手册/厂纪厂规及处罚记录 Employee manual/handbook,Factory rules & regulations/ Disciplinar
3、y practices policy and Records 7宿舍规章制度 Dormitory regulations 8如果厂房、宿舍、仓库是租赁的，请提供相应租赁合同 If the facility was rent, please provide related lease contract 9招工指引/程序 Recruitment policies & procedures 10人事记录/员工入厂登记/花名册(所有员工)Employees personal files/ Employment registration/roster (all employees) 11劳动合同(所有员
4、工) Labor contracts (all employees) 12未成年工人体检 & 健康体检 Young worker health examination & health examination records,(if applicable) 13未成年工名单/登记证/工作安排规定 List of young workers/ registration approval from local labor bureau/regulations on shift arrangement for young workers 14请假单 Leave records 15离职记录 Resi
5、gnation records 16奖惩记录/警告信 Awards & Penalty Records/Warning notification letters 17培训记录, 如消防安全培训记录, 化学品使用和存储的培训等 Training records(i.e fire safety training, chemical handling and storage traing, etc) 18工会组织会议记录/工会代表选举程序及其职责/工人投诉处理程序 及记录 Meeting minutes of union/Selection program and Responsibility of
6、 workers Rep./Complaint& handling record 19工会组织会议记录/工会代表选举程序及其职责/劳资双方就工资福 利问题与工厂的谈判协议(CBA) Meeting minutes of union/Selection program and Responsibility of workers Rep./ Collective Bargaining Agrements(CBA) 20社会责任政策文件/管理程序/内审报告 Social accountability policy/ Management system/ periodic internal audit
7、 records 21劳务派遣单位的营业执照，与劳务派遣单位签订的合同，劳务派遣 工人的人事档案，身份证复印件，工资，考勤记录，劳动合同，社 保缴费凭证等。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.
8、 22对移民工/人事代理机构用工的相关监控文件 (如有) Documents proved workers legal right to work including immingrant & migrants & employment agency staff, if applicable SMETA 审核所需文件审核所需文件/证件清单证件清单 SMETA Requested Document List (For 2pillar and 4 pillar Audit) No.项目与内容 Items 提供(Available) YESNON/A 23如果工厂把保洁，餐厅，保安，装卸等服务承包出
9、去，而这些工人 在工厂区域内工作，请承包商的营业执照和与承包商签订的协议， 承包方工人的人事档案，身份证复印件以及工资，工时记录等。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 contra
10、ctor and the audited factory, the contractor staffs personal file, ID copies, payroll records, attendance records, etc. 24供应商、分包商清单/对供应商、分包商社会责任的监控记录 Supplier/Sub-contractors list/ monitoring records on Suppliers/sub-contractors social responsibilities performance 25家庭工名单/对家庭工社会责任的监控记录, (如有) Homewor
11、kers namelist/ monitoring records on homeworkers proved to be compliant with social responsibilities， if applicable 26安全委员会开会记录和章程 Minutes of joint committees on OHS and disciplinary matters 27公司政策 Facility policies: 商业诚信 Business Integrity 童工 Child labour 强迫劳动 Forced labour 工会和自由结社 Freedom of assoc
12、iation 工资和工时 Wage and hours of work 惩诫 Disciplinary 福利 Benefits and allowances 健康和安全 Health & Safety 环保 Environment 培训 Training 歧视和骚扰 Discrimination and harassment .家庭工，外勤人员以及分包商 Homeworkers, Outworkers and Sub-contractors 28Previous ethical trade audit reports/Corrective Action Logs 以前 的社会责任审核报告/改善
13、行动记录 工时工资福利部分工时工资福利部分 Working hours and wage benefits 工作时间记录(与工资相对应的 12 个月+截止到审核当天的考勤) 29 Time cards/attendant records(12 months attendance records corresponded with payroll records + the attendance records till the audit day) 休假记录(有薪年假/女工产假/婚丧假) 30Leave records(Paid annual leave/Maternity leave/Mar
14、riage& Funeral leave ) 31 综合计时批文/加班批文 (如有) Consolidated working hours permit by local labor bureau/Extended Overtime Hours Waiver， if 32当地政府最低工资文件 Legal/ Local official minimum wage 33 最近 12 个月的工资表(含工人签名）Recent 12 months payroll records with employees signatures 34 记件工生产(台班)记录/计件工资表 Production recor
15、ds of piece rate workers/Piece rate records SMETA 审核所需文件审核所需文件/证件清单证件清单 SMETA Requested Document List (For 2pillar and 4 pillar Audit) No.项目与内容 Items 提供(Available) YESNON/A 最近一年生产运作记录及其它生产相关记录(如：生产日报表，品 管日报表，仓库收发料记录等) Production operation records for 35 last 12 months and the other related records（i
16、.e Daily production records, daily QC report, warehouse material in/out records, etc) 36工资扣除记录 Wage deduction records 社会保险缴付凭证和参保符合性批文/社保登记证/社保购买花名册 Social security insurance 37(injury/retirement/medical/unemployment etc.) payment receipts/ invoice/Approval from local government/Registration certificate/personnel list 健康安全卫生部分健康安全卫生部分
