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1、提供(Available) 扫描 (Scanned) YES NO N/AYES NO 1 公司概括简介-人员/产量/产值/(品牌)市场分布 Factory profile/Employee 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 5土地使用权/所有权证书 Certificate or document for land right 6适用法律及法规Applicab
2、le laws and regulations 7 员工手册/厂纪厂规及处罚记录 Employee manual/handbook,Factory rules & regulations/ Disciplinary practices policy and Records 8宿舍规章制度 Dormitory regulations 9 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 10招工指引/程序 Recruitment policies & procedure
3、s 11 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) 12劳动合同(所有员工) Labor contracts (all employees) 13 未成年工人体检/岗位安排 Young worker health examination /Job arrangement (if applicable),(if applicable) 14 未成年工名单/登记证/工作安排规定 List of young workers/ registration ap
4、proval from local labor bureau/regulations on shift arrangement for young workers 15请假单 Leave records 16离职记录 Resignation records 17 奖惩记录/警告信 Awards & Penalty Records/Warning notification letters 18 培训记录, 如入职培训, 健康安全培训：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 handlin
5、g and storage traing, etc) 19 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 workers Rep./Complaint& handling record 20 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./
6、Collective Bargaining Agrements(CBA) 21 社会责任政策文件/管理程序/内审报告 Social accountability policy/ Management system/ periodic internal audit records 22 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, d
7、ispatched workers personal file, ID copies, payroll and attendance records, labor contracts, social insurance payment evidence, etc. 23 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 25 May 2017 Refer to
8、 SAS-CN-F-OPS-19-01 (V8.0) 备注(Remarks) 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. 此文件清单只列出主要文件并非全部，如有需要审核当日请配合提供审核员所需要其它与审核相关的文件。此文件清单只列出主要文件并非全部，如有需要审核当日请配合提供审核员所需要其它与审核相关的文件。 工厂概况部分 Outline of Facility工厂概况部分 Outline of Facility SMETA审核所需文件审核所需文件/证件清单证件清单
9、 项目与内容 ItemsNo. SMETA Requested Document List (For 2pillar and 4 pillar Audit) 人事行政管理部分 HR and Admin. management人事行政管理部分 HR and Admin. management 提供(Available) 扫描 (Scanned) YES NO N/AYES NO 25 May 2017 Refer to SAS-CN-F-OPS-19-01 (V8.0) 备注(Remarks) SMETA审核所需文件审核所需文件/证件清单证件清单 项目与内容 ItemsNo. SMETA Req
10、uested Document List (For 2pillar and 4 pillar Audit) 24 如果工厂把保洁，餐厅，保安，装卸等服务承包出去，而这些工 人在工厂区域内工作，请提供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,
11、please provide business license of contractor, the agreement signed between contractor and the audited factory, the contractor staffs personal file, ID copies, payroll records, attendance records, etc. 25 分包商清单/对分包商及供应商的社会责任监控记录 Sub- contractors list/ monitoring records on sub-contractors and suppli
12、ers social responsibilities performance 26 家庭工名单/对家庭工社会责任的监控记录, (如有) Homeworkers namelist/ monitoring records on homeworkers proved to be compliant with social responsibilities， if applicable 27 安全委员会开会记录和章程Minutes of joint committees on OHS and disciplinary matters 28 公司政策Facility policies: 商业诚信Bus
13、iness Integrity 童工Child labour 强迫劳动Forced labour 工会和自由结社Freedom of association 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 劳工权益 Human Ri
14、ghts 土地权利 Land Rights 员工申诉机制 Grievance mechanism 29 Previous ethical trade audit reports/Corrective Action Logs 以前 的社会责任审核报告/改善行动记录 30 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) Time cards/attendant records(12 months attendance records corresponded with payroll records + the attendance records till the audit da
15、y) 31 休假记录(有薪年假/女工产假/婚丧假) Leave records(Paid annual leave/Maternity leave/Marriage& Funeral leave ) 32 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 applicable 33 当地政府最低工资文件 Legal/ Local official minimum wage document 34 最近12个月的工资表(含工人签名）Recent 12 months payroll records with employees signatures 35 记件工生产(台班)记录/计件工资表 Production records of piece rate workers/Piece rate records 工时工资福利部分 Working hours and wage benefits工时工资福利部分 Working hours and wage benefits 提供(Avai
