SMETA 文件清單（ SGS審核SMETA所需文件證件清單）OK

RBS-CN-F-OPS-19-05(V1.0)SMETA審核所需文件/證件清單SMETARequestedDocumentList(For2pillarand4pillarAudit)提供(Available)掃描No.項目與內(nèi)容Items(Scanned)備注(Remarks)YESNON/AYESNO請準(zhǔn)備以下文件的正本予以審核。Pleasekindlypreparebeloworiginaldocumenttoreview.此文件清單只列出主要文件并非全部，如有需要審核當(dāng)日請配合提供審核員所需要其它與審核相關(guān)的文件。工廠概況部分OutlineofFacility公司概括簡介-人員/產(chǎn)量/產(chǎn)值/(品牌)市場分布1Factoryprofile/EmployeeNo.&structure/Production□□□□□capability/(Brands)Marketing2公司組織架構(gòu)圖Organizationchart□□□□□3廠區(qū)/廠房平面圖Factoryfloorplans□□□□□4營業(yè)執(zhí)照Businesslicense□□□□□5土地使用權(quán)/所有權(quán)證書Certificateordocumentforlandright□□□□□人事行政管理部分HRandAdmin.management6適用法律及法規(guī)Applicablelawsandregulations□□□□□員工手冊/廠紀(jì)廠規(guī)及處罰記錄Employee7manual/handbook,Factoryrules®ulations/Disciplinary□□□□□practicespolicyandRecords8宿舍規(guī)章制度Dormitoryregulations□□□□□9如果廠房、宿舍、倉庫是租賃的，請?zhí)峁┫鄳?yīng)租賃合同Ifthe□□□□□facilitywasrent,pleaseproviderelatedleasecontract10招工指引/程序Recruitmentpolicies&procedures□□□□□11人事記錄/員工入廠登記/花名冊(所有員工)Employees'personal□□□□□files/Employmentregistration/roster(allemployees)12勞動合同(所有員工)Laborcontracts(allemployees)□□□□□13未成年工人體檢/崗位安排Youngworkerhealthexamination□□□□□/Jobarrangement(ifapplicable),(ifapplicable)未成年工名單/登記證/工作安排規(guī)定Listofyoungworkers/14registrationapprovalfromlocallaborbureau/regulationsonshift□□□□□arrangementforyoungworkers15請假單Leaverecords□□□□□16離職記錄Resignationrecords□□□□□17獎懲記錄/警告信Awards&PenaltyRecords/Warning□□□□□notificationletters培訓(xùn)記錄,如入職培訓(xùn),健康安全培訓(xùn)：消防安全培訓(xùn)記錄,化學(xué)18品使用和存儲的培訓(xùn)等Trainingrecords(i.efiresafetytraining,□□□□□chemicalhandlingandstoragetraing,etc)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19序及記錄Meetingminutesofunion/Selectionprogramand□□□□□Responsibilityofworkers’Rep./Complaint&handlingrecord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20福利問題與工廠的談判協(xié)議(CBA)□□□□□Meetingminutesofunion/SelectionprogramandResponsibilityofworkers’Rep./CollectiveBargainingAgrements(CBA)21社會責(zé)任政策文件/管理程序/內(nèi)審報告Socialaccountability□□□□□policy/Managementsystem/periodicinternalauditrecords勞務(wù)派遣單位的營業(yè)執(zhí)照，與勞務(wù)派遣單位簽訂的合同，勞務(wù)派遣工人的人事檔案，身份證復(fù)印件，工資，考勤記錄，勞動合同，社保繳費憑證等。BusinesslicenseofLaborDispatch22Company,contractsignedwithLaborDispatchCompany,□□□□□dispatchedworkers'personalfile,IDcopies,payrollandattendancerecords,laborcontracts,socialinsurancepaymentevidence,etc.對移民工/人事代理機構(gòu)用工的相關(guān)監(jiān)控文件(如有)Documents23provedworkers'legalrighttoworkincludingimmingrant&□□□□□migrants&employmentagencystaff,ifapplicableRBS-CN-F-OPS-19-05(V1.0)SMETA審核所需文件/證件清單SMETARequestedDocumentList(For2pillarand4pillarAudit)提供(Available)掃描No.項目與內(nèi)容Items(Scanned)備注(Remarks)YESNON/AYESNO如果工廠把保潔，餐廳，保安，裝卸等服務(wù)承包出去，而這些工人在工廠區(qū)域內(nèi)工作，請?zhí)峁┏邪痰臓I業(yè)執(zhí)照和與承包商簽訂的協(xié)議，承包方工人的人事檔案，身份證復(fù)印件以及工資，工時記錄等。Ifthefactorysubcontractedservicelikecleaning,24canteen,securityguards,loadingandunloading,andthis□□□□□workersworkedinsideofauditedfactory,pleaseprovidebusinesslicenseofcontractor,theagreementsignedbetweencontractorandtheauditedfactory,thecontractorstaff'spersonalfile,IDcopies,payrollrecords,attendancerecords,etc.分包商清單/對分包商及供應(yīng)商的社會責(zé)任監(jiān)控記錄Sub-25contractorslist/monitoringrecordsonsub-contractors'and□□□□□suppliers'socialresponsibilitiesperformance家庭工名單/對家庭工社會責(zé)任的監(jiān)控記錄,(如有)26Homeworkers'namelist/monitoringrecordsonhomeworkers□□□□□provedtobecompliantwithsocialresponsibilities，ifapplicable27安全委員會開會記錄和章程MinutesofjointcommitteesonOHS□□□□□anddisciplinarymatters公司政策Facilitypolicies:?商業(yè)誠信BusinessIntegrity?童工Childlabour?強迫勞動Forcedlabour?工會和自由結(jié)社Freedomofassociation?工資和工時Wageandhoursofwork?懲誡Disciplinary?福利Benefitsandallowances28?健康和安全Health&Safety□□□□□?環(huán)保Environment?培訓(xùn)Training?歧視和騷擾Discriminationandharassment?.家庭工，外勤人員以及分包商Homeworkers,OutworkersandSub-contractors?勞工權(quán)益HumanRights?土地權(quán)利LandRights?員工申訴機制Grievancemechanism29Previousethicaltradeauditreports/CorrectiveActionLogs以前□□□□□的社會責(zé)任審核報告/改善行動記錄工時工資福利部分Workinghoursandwagebenefits工作時間記錄(與工資相對應(yīng)的12個月+截止到審核當(dāng)天的考勤)30Timecards/attendantrecords(12monthsattendancerecords□□□□□correspondedwithpayrollrecords+theattendancerecordstilltheauditday)休假記錄(有薪年假/女工產(chǎn)假/婚喪假)31Leaverecords(Paidannualleave/Maternityleave/Marriage&□□□Funeralleave)綜合計時批文/加班批文(如有)Consolidatedworkinghours32permitbylocallaborbureau/ExtendedOvertimeHours□□□□□Waiver，ifapplicable33當(dāng)?shù)卣畹凸べY文件Legal/Localofficialminimumwage□□□□□document34最近12個月的工資表(含工人簽名）Recent12months'payroll□□□□□recordswithemployees'signatures35記件工生產(chǎn)(臺班)記錄/計件工資表Productionrecordsofpiece□□□□□rateworkers/PieceraterecordsRBS-CN-F-OPS-19-05(V1.0)SMETA審核所需文件/證件清單SMETARequestedDocumentList(For2pillarand4pillarAudit)提供(Available)掃描No.項目與內(nèi)容Items(Scanned)備注(Remarks)YESNON/AYESNO最近一年生產(chǎn)運作記錄及其它生產(chǎn)相關(guān)記錄(如：生產(chǎn)日報表，品管日報表，倉庫收發(fā)料記錄等)Productionoperationrecordsfor36last12monthsandtheotherrelatedrecords（i.eDaily□□□□□productionrecords,dailyQCreport,warehousematerialin/outrecords,etc)37工資扣除記錄Wagedeductionrecords□□□□□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Socialsecurityinsurance38(injury/retirement/medical/unemploymentetc.)payment□□□□□receipts/invoice/Approvalfromlocalgovernment/Registrationcertificate/personnellist健康安全衛(wèi)生部分HealthandSafety39公司的健康安全政策/規(guī)章制度Health&safetypolicy/□□□□□Regulationsandrules40健康安全風(fēng)險識別記錄Healthandsafetyrisksidentifiedrecord□□□□□41房屋建筑工程竣工驗收報告/備案表CertificateofInspectionfor□□□□□CompletedBuildingConstruction/RegistrationRecords42廠內(nèi)建筑消防驗收合格證/報告Fire-FightingAcceptance□□□□□InspectionCertificate/Report43安全主任資格證(任命書/培訓(xùn)結(jié)業(yè)證書)Safetyofficercertificate□□□□□44保安守則/保安上崗證Securityguardregulation&jobdescription/securityguardcertificate□□□□□45消防應(yīng)急預(yù)案/程序,消防演習(xí)記錄(含照片)Firedrillprogram&recordsandfireevacuationplan&procedure(inlcuding□□□□□pictures)46食堂餐飲服務(wù)許可證/食堂員工健康證CateringServiceLicense/□□□□□HealthCertificateofkitchenemployee47急救人員資格證書Trainedfirstaidercertificate□□□□□48醫(yī)護人員執(zhí)業(yè)資格證書,(如有)Qualifiedcertificateofdoctoror□□□□□nurse，ifapplicable49工傷醫(yī)療事故處理記錄/再發(fā)生防范措施Accident,injuryreports&□□□□□records/PrecautionMeasuresonReocurrence50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)Registerofelevator&liftandannualinspectioncertificate51鍋爐，壓力容器使用登記證/年檢合格證Registerofpressure□□□□□vessels&boilersandannualinspectioncertificate特種作業(yè)人員(叉車/電工/電焊工/司爐工等)資格(操作)證書52Specializedsafetytrainingcertificate(Validsafetyoperation□□□□□certificateofLift/Forkliftvehicle/QualifiedElectrician/Electricweldingoperatorcertificate/Operatorcertificateofboiler)化學(xué)品清單/化學(xué)危險品倉許可/(儲存物控記錄)/53Listofchemical/Approvalcertificateofchemical□□□□□warehouse/register&storagerecord安全防范應(yīng)急措施/物料安全數(shù)據(jù)表ChemicalSafetyPrecuation54Measures/MSDS(materialsafetydatasheet)ofdangerous□□□□□chemicals化學(xué)危險品倉管員上崗培訓(xùn)證書Qualifiedcertificateforthe55keeperofdangerouschemicalswarehouse□□□□□工作場所職業(yè)危害因素(空氣質(zhì)量/噪聲等)評價報告The56hazadouselements(airqualityandnoiseetc.)evaluationreport□□□□□forWorkplace危險崗位員工職業(yè)健康檢查報告、個體報告Hazardousposition57employees’occupationalhealthexaminationsummary/□□□□□individualreport(ifapplicable)RBS-CN-F-OPS-19-05(V1.0)SMETA審核所需文件/證件清單SMETARequestedDocumentList(For2pillarand4pillarAudit)提供(Available)掃描No.項目與內(nèi)容Items(Scanned)備注(Remarks)YESNON/AYESNO任何國際認可體系證書或其它社會責(zé)任審核報告Any58internationallyrecognisedsystemcertificationse.g.ISO9000,□□□□□14000,OHSAS18000,SA8000(orothersocialaudits).59Otherdocumentsifinneed其它文件（如必要）□□□□□環(huán)境保護部分Environment環(huán)境影響評估報告書/報告表/登記表以及批復(fù),排污許可證，