Kroger SA Checklist-SGS社会责任审核清单

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GPC社会责任审核所需文件(证件)清单3

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11 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
25 厂内建筑消防验收合格证/报告 Fire-Fighting Acceptance Inspection Certificate/ Report
26 安全主任资格证(任命书/培训结业证书) Safety officer certificate
27 保安守则/保安上岗证 Security guard regulation & job description/security guard certificate
6 宿舍规章制度 Dormitory regulations 7 招工指引/程序 Recruitment policies & procedures
8 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)
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
5 员工手册/厂纪厂规及处罚记录 Employee manual/handbook, Factory rules & regulations/ Disciplinary practices policy and Records

sgs社会责任审核文件清单

员工花名册(ADD)
人事记录/员工入厂登记/花名册(所有员工) 所有员工的人事档案（如入厂登记表、身份证复印等）
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未成年员工体检记未成年工体检及劳动未成年工体检证明/劳录及上岗登记证未成年工名单/登记证/工作安排规定局登记记录动部门登记表（如适用）
8
当地劳动局关于综合综合计时批文或延长计算工时工作制批文加班批文或延长加班批文
厂房消防合格证消防演习、消防培训记录和消防设施检查记录消防走火演习/消防逃生程序/急救计划及记录 (含照片）
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消防演习记录（最近灭火和应急疏散预案两个年度演习记录，、演练记录照片）
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工伤记录等
最近 12 个月工伤记录 / 工伤处理程序
工伤事故记录
工伤医疗事故处理记录/再发生防范措施
环保文件(环评登记表或报告/竣工验收报告 /排污许可证/危废回环评报告书(ADD) 收商资质证明/危废转移合同/危废交运联单)
排污许可/环保监测报告
/
27 化学品清单，化学品物质安全资料表，危化学品危险品清单及险化学品事故应急救物料安全资料卡援预案和演练记录
排污许可证, 有害化学危险品仓管员上岗培训证书（危险）废物排放许可证，化学品列表，化学品之物质安全资料表，废物处理程序文件(如适化学危险品仓许可/(储存物控记录)/安全防范用) 应急措施/物料安全数据表/化学品清单
食堂卫生许可证/餐饮许可证 25 厨房餐饮服务许可证及厨工健康证食堂工作人员健康证厨房卫生许可证，食堂卫生许可证/食堂员工健康证厨工健康证、
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环保文件（如建设项目环境影响评价文件（环境影响报告书、环境影响报告表或者环境影响登记表），环评批复，建设项目危险废物处置单位的营业执照和经营许可证，危险废物处理合同，危险废物转移联单等

Kroger社会责任审核评级

Kroger社会责任审核评级评级：绿色：100% - 90%（不容忍零容忍或违反关键行为）“批准”=审计将足够的* 24个月，没有纠正行动计划下一次半宣布的全面再审计在* 24个月（*除高风险国家，必须每年审计）Green:90% - 100% (no Zero Tolerance or Critical violations)“Approved” = audit will suffice for *24 months with no corrective action plan Next semi-unannounced full re-audit in *24 months (*except high risk countries which must be audited EVERY year)黄色：60% < 90%批准条件/ 12个月下半年未宣布全面再审核12个月Yellow:60% - <90%Approved with conditions/ 12 month CAPNext semi-unannounced full re-audit in 12 months橙色：< 60%个关键的违规行为（没有零容忍违规行为）批准条件/ 6个月6个月内未宣布的后续审计/半未满12个月内全部再审核Orange:<60% Critical violations (no Zero Tolerance violations)Approved with conditions/ 6 month CAPUnannounced follow-up audit within 6 months/ Semi-unannounced full re-audit in 12 months红色：< 50%零容忍违反不批准的60天内提交整改计划3个月内未宣布的后续审计/半未满12个月内全部再审核Red:< 50% Zero Tolerance violationNon-Approved 60 day CAP requiredUnannounced follow-up audit within 3 months/ Semi-unannounced fullre-audit in 12 months。

SGS可口可乐（Coca-Cola）TCCC审核责任审核清单

SGS可⼝可乐（Coca-Cola）TCCC审核责任审核清单2.1Employee manual / handbook 员⼯⼿册 / 指南2.2Contract with labor agencies 与劳务派遣公司的合同2.3Worker list including detailed manpower structure of number of direct, indirect, contracted and temporary workers in each department花名册包括详细⼈⼒资源如各部门的直接、⾮直到、派遣和临时⼯⼈的数⽬2.4Arrangement policy for posts and shifts of young workers 未成年⼯岗位班次安排规定2.5Resignation procedure including resign notice period and dismiss and related records 离职程序包括辞职通知时间和解雇和相关记录2.6Factory rules, regulation, process and procedure on disciplinary measures 有关纪律的⼚纪、⼚规、流程和程序2.7Regulations of meals in canteen / accommodation 饭堂 / 宿舍规章制度2.8Worker grievances handling policy / procedure ⼯⼈申诉处理政策 / 程序2.9Handling worker grievance records including worker or worker union ⼯⼈申诉处理记录包括⼯⼈或⼯会2.10Recruitment policy and procedures 招⼯指引和程序2.11Policy to ensure freedom of association / labor union 保障⾃由结社 / ⼯会的政策2.12Records of selection of workers' representatives 员⼯代表选举记录2.13Union-management meetings minutes ⼯会和管理层会议记录Supplier Guiding Principles Audit (Human resources)可⼝可乐公司供应商指导原则审核所需⽂件 (⼈⼒资源) No.Items 项⽬与内容3.1Waiver of comprehensive working hours 综合计时批⽂3.2Time cards of normal and overtime working with at least 12 months 正常和加班⼯作时间记录⾄少12个⽉3.3Working time policy including regular & overtime working, shifts, time in & out, break, leave and rest arrangement for shift⼯作时间政策包括正常和加班⼯作、班次、进出、休息、休假和轮班调休3.4Leaves request application 请假单3.5Production records including daily records and summary of piece manufactured ⽣产记录包括每⽇记录和计件⽣产表3.6Compensation policy with calculation and deduction method for basic salary and overtime premium 薪酬政策规定底薪和加班费的计算和扣减⽅法3.7Payroll records or pay slips covering last 12 months including current months, peak season and low season with all deduction and earnings过去12个⽉⼯资表或⼯资条，包装近期、旺季和淡季，附有全部扣减和收⼊3.8Pay slips with workers' signatures 有⼯⼈签名的⼯资条3.9Bank transaction for worker wages and detail breakdown ⼯资发放的银⾏转帐及清单3.10Wage deduction record ⼯资扣减记录3.11Procedure for piece rate wage calculations 计件⼯资计算程序3.12Local governmental document about minimum wage 当地政府最低⼯资⽂件3.13Proof of worker insurance scheme (social insurance or supplementary commercial insurance)社会保险缴费凭证 (社会保险及补充商业保险)3.14Social insurance scheme waiver from local government 当地政府社会保险豁免参保批⽂3.15Leave policy for workers ⼯⼈请假政策3.16Benefits policy (allowance, paid leaves such as annual leave, marriage leave or maternity leave)福利待遇规定 (津贴，有薪假期如年假或婚产假等)3.17List of allowances 补贴清单Supplier Guiding Principles Audit (Working hours and wages)可⼝可乐公司供应商指导原则审核所需⽂件 (⼯时和⼯资)No.Items 项⽬与内容4.1Special operation certificates for operating lift & forklift vehicle, electrician and welding operator etc 操作电梯与叉车、电⼯和电焊⼯等的特种作业⼈员证书4.2Factory and dormitory building structure safety certificate ⼚房和宿舍建筑结构安全合格证4.3Factory and dormitory building fire safety certificate ⼚房和宿舍消防合格证4.4Security guard certificates (if applicable)保安守则/保安上岗证﹝如适⽤﹞4.5Safety officer certificate 安全主任资格证4.6Register and annual inspection certificate of elevator & lift 电梯和起重设备的登记证和年检合格证4.7Register and annual inspection certificate of pressure vessels and boilers 锅炉和压⼒容器使⽤登记证和年检合格证4.8Pressure vessels and boilers operator certificates 锅炉和压⼒容器上岗证4.9Health and safety training records including operating machine, wearing personal protective equipment and handling chemicals etc.健康与安全培训记录包括操作机器、配戴个⼈防护装备和处理化学品等4.10Fire protection plan, maintenance & testing records for fire protection, fire fighting system, suppression and fire alarm system ⽕警保护计划，⽕警保护、消防系统、⽕灾扑灭和报警系统的保养和测试记录4.11Fire / evacuation drill plans and records 消防 / 疏散演习计划和记录4.12Approval for dangerous chemical warehouse and storage material control records 化学危险品仓许可和储存物控记录4.13Dangerous chemical warehouse operator training certificate 化学危险品仓管员上岗培训证书4.14Material safety data sheet for chemicals 化学品的物料安全数据数据表4.15Emergency evacuation plan, hazard communication program and Emergency Response Team (ERT) organization 紧急疏散预案4.16Procedures / programs for emergency medical treatment 紧急就医程序 / ⽅案4.17Work-related injury and illness records such as log book or nurse’s log 与⼯作有关的损伤及疾病记录如记录本或护⼠⽇志4.18First aider qualification certificate 急救⼈员资格证书4.19Qualified certificates for doctors or nurses in factory 在⼚医护⼈员资格证书4.20Qualitative and quantitative industrial hygiene monitoring reports (noise, chemical and physical)⼯业卫⽣定性和定量的监测报告（噪⾳，化学性和物理性）4.21Worker occupational health records, including medical surveillance testing (e.g. blood tests and hearing testing)⼯⼈职业健康体检纪录，包括医疗监视测试（例: ⾎液测试及听⼒测验）4.22Health check records / certificates for canteen workers ⾷堂员⼯健康检查记录 / 证书4.23Hygiene permit for canteen facilities ⾷堂设施的卫⽣许可证4.24Records of evacuation drills held in dormitory 在宿舍进⾏的疏散演习记录Supplier Guiding Principles Audit (Health and safety)可⼝可乐公司供应商指导原则审核所需⽂件 (健康和安全) No.Items 项⽬与内容5.1Environmental impact assessments 环境评价报告5.2Environmental protection facilities design, installation, commissioning and acceptance report (if applicable)三同时报告 / 环保设施验收报告（如适⽤）5.3Monitoring, inspections and maintenance records for waste water and air as required by environmental permits 由环保许可证要求的废⽓和废⽔的监测、检查和保养记录5.4Material Safety Data Sheet (MSDS) for all hazardous materials on site 在现场所有危废的物料安全数据表﹝MSDS﹞5.5Consignment notes / disposal records (hazardous waste manifests, receipts and invoices)委托记录 / 处理记录﹝危险废物转移联单、收据和发票﹞5.6Waste water discharge permit 排污许可证Supplier Guiding Principles Audit (Environment)可⼝可乐公司供应商指导原则审核所需⽂件 (环境) No.Items 项⽬与内容6.1Procedures for incorporating new or revised legal requirements 纳⼊最新和刚修改的法规要求程序6.2Remediation plan when child labor is found 童⼯补救措施6.3Evidences of paying recruitment fee by company 公司付招聘费⽤的证据6.4Prohibiting human trafficking and forced labor policy 禁⽌⼈⼝贩卖和强迫劳⼯的政策6.5Safeguarding worker privacy policies and procedures 保障⼯⼈私隐的政策和程序6.6Disciplinary procedures and related disciplinary records 惩罚程序和相关惩罚记录6.7Policies and procedures for criminal background checks of security guards 保安刑事背景调查的政策和程序6.8Supervisors and security guards sexual harassment training records 主管和保安的性骚扰培训记录6.9Policies and procedures for outlining when contract labor is used 使⽤劳务派遗⼯的政策和程序6.10Policy for providing basic need wages to workers 给⼯⼈基本⽣活需求⼯资的政策6.11Policies and procedures for managing work hours 管理⼯作时间的政策和程序6.12Evidence of having one day off in seven day period 每7天有1天休息的证据6.13Policies and procedures for safeguarding health and safety of workers and legal compliance 确保⼯⼈健康与安全和符合法规的政府和流程6.14Health and safety risk assessment report 健康与安全风险评估报告6.15Accident investigation report ⼯伤调查报告6.16Health and safety committee list and meeting minutes 健康与安全委员会名单和会议记录6.17Measurement report for emission, water and energy usage 排放、⽔和能量⽤量的测量报告6.18Policies and procedures for workers to file grievances ⼯⼈申诉的政策和程序6.19Management representative list for handling grievances 处理申诉的管理者代表清单6.20Policies for mitigating the impact of workforce reductions 缓和对员⼯数量减少造成影响的程序6.21Employee satisfaction survey 员⼯满意度调查6.22Policy for employment without discrimination 没有歧视的招聘政策6.23Policies and procedures for accommodating religious expression ⾃⼰表达宗教的政策和程序6.24Gender sensitive employee recruitment and retention policies and procedures 关注员⼯性别的招聘和保留政策和程序6.25Gender distribution list for executive positions ⾏政职位的性别分布表6.26Business code of conduct 商业⾏为守则6.27Procedures for investigating and reconciling violations of the code 调查和调解违反守则的程序6.28Procedures for protecting workers for reporting violations of the code 汇报违反守则时保护⼯⼈的程序6.29The Coca-Cola Company business conduct 可⼝可乐公司的商业⾏为守则6.30The Coca-Cola Company Supplier Guiding Principles (applicable for The Coca-Cola Company suppliers)可⼝可乐公司供货商指导原则﹝适⽤于可⼝可乐公司的供货商﹞6.31The Coca-Coal Company Workplace Rights Policy (applicable for entity owned by The Coca-Cola Company)可⼝可乐公司⼯作场所权利政策﹝适⽤于可⼝可乐公司拥有的公司﹞6.32Evidences for requiring subcontractors and labor contractors to comply with law 要求外发商和劳务派遣公司符合法规的证据6.33Facility has an Anti-Corruption policy prohibiting employees from giving something of value to a government employee/official in exchange for a business advantage and has communicated the policy to employees.⼯⼚制定有反腐败政策，禁⽌员⼯向政府雇员赠送有价值物品以换取业务优势，并已向员⼯通报该政策的证据。

SGS审厂内容

人事行政部
ห้องสมุดไป่ตู้
人事管理制度车间管理制度
人事行政部车间
人事管理制度
人事行政部
禁止童工童工定义：16周岁以下。16-18周岁的未成年工。 1 未成年工定义：是指任何满16周岁单不满18周岁的工人。不能安排晚上加班，不能置于危险环境和从事有害工作，每年免费体检验。
禁止歧视 2 不能因为年龄、种族、残疾、性别而歧视；不能因为妇女结婚、怀孕等
四、CECED行为规范和相关法律--SEB的社会责任要求的追要依据
CECED行为规范：来自---欧盟家用电器制造商委员会（European Committee Domestic Equipment Manufacturers ）成立于1951年，SEB集团是16个直接成员之一。 1 全球契约: 1999年1月在达沃斯世界经济论坛年会上，联合国秘书长科菲•安南提出 "全球契约"计划，并于2000年7月在联合国总部正式启动。旨在推动国际普遍遵循的有关社会公益和环境保护的原则。赛博集团于2004年加入 “Global Compact”全球契约
五、强迫劳动
定义： 1 不允许有任何形式的强迫劳动，包括监狱劳工、契约劳工和其他类似劳
工。
强迫劳动的明显表现形式： 1.使用囚犯工或者监狱工。 2.工厂与员工有大额或长期借贷关系，即契约劳工。 2 3.保存了员工相关证件原件或押金，如身份证，培训费，工具费，工衣，工卡费等。 4.员工的行动自由被限制（如2007年的山西黑砖窑事件）或员工不能自由离开工厂，宿舍。
解除劳动合同。要同工同酬，机会均等。
禁止强迫劳动
不能扣押员工身份证、没收个人物品；不能雇佣服刑期犯人、服兵役人
员；不能收取任何形式的押金；工作班次结束时，员工可自由离厂。

Walmart FCCA Checklist-SGS质量验厂审核清单

提供(Available)复印(Copied)YES NO N/A YES NO 0.1工厂自我评估表 Wal-Mart Factory Pre-Audit Questionnaire□ □ □□ □0.2工厂简介 Brief introduction of factory□ □ □◇ □0.3营业执照 Business license□ □ □◇ □0.4公司组织架构图 Organization chart□ □ □□ □0.5(公司)厂区/厂房平面图，必要时包括验证机的所在位置 Factory’s planefigure-factory floor plans, including the area where metal detectorlocated.□ □ □□ □0.6生产工序流程图 Production process chart□ □ □□ □0.7管理系统证书 (质量/环保/社会责任等) Certificate of variousmanagement systems ISO9001/ ISO14001/ ICTI/ GSCP, etc.□ □ □□ □0.8设备清单（生产和检测用）Production and inspection equipment list□ □ □□ □1.1害虫控制程序和记录 Pest control program and records□ □ □□ □1.2物料存储防潮防霉控制程序和记录 Material storage mold/mildew controlprogram and records(WM霉菌预防检查表)□ □ □□ □1.3利器控制程序和记录 Sharp tool control procedure and records□ □ □□ □1.4断针控制程序和记录 Broken needle control procedure and records□ □ □□ □1.5验针机效验记录和测试记录 Metal detector calibration records and testrecords□ □ □□ □1.6环境相关的评估报告，工业废弃物处理记录和排放许可证 Environmentrelated materials， assessment report, industrial waste disposalrecords, emission permit□ □ □□ □1.7设备保养计划和记录 Equipments maintenance schedule and records□ □ □□ □1.8检测设备计量计划,计量作业指导书，内外校报告 Inspection/testequipments calibration schedule，calibration working instructionand reports□ □ □□ □1.9设备(生产机器检验设备/工具/备件)清单 List of machines, tools, spareparts and equipments□ □ □□ □2.1质量手册 Quality manual□ □ □□ □2.2客户投诉程序和处理记录 Complaint handling procedure and records□ □ □□ □2.3召回程序和(模拟)记录 Recalling procedure and simulation records□ □ □□ □2.4品管组织架构图 Organization chart of QMS/QC□ □ □□ □2.5质量管理体系/控制关键人员职责 Role and Responsibility of QCpersonnel□ □ □□ □2.6质量会议记录和实施 Quality meeting records and following□ □ □□ □2.7追溯程序和记录 Traceability procedure and test records□ □ □□ □2.8风险评估程序(物理异物如金属, 玻璃等/化学/电/微生物方面的对产品和人员的危害 ) Risk assessment procedure(physical, chemical, electricaland biological contamination that may damage the product andpersonnel as well)□ □ □□ □2.9风险评估控制记录(生产及产品受物理异物/化学/电/微生物/原料/过程设备/工具等)污染风险的控制程序及记录(可能对产品或人造成伤害) Risk Auditsto identify hazards from chemicals, electrical and other processequipments and tools.□ □ □□ □3.1来料中免检产品的质量保证书或测试报告，包括重金属含量，SVHC等 Qualityguaranty for exempt from inspection of incoming material，includingheavy metal test, SVHC,etc.□ □ □□ □3.2来料验货标准及规格书 IQC standard and specifications□ □ □□ □3.3各种来料检验标准及缺陷分类 Inspection criteria (e.g. sampling plan/AQL/ defective classification)□ □ □□ □3.4来料检查、测试报告 IQC reports□ □ □□ □3.5不合格品控制程序和不良品处理(退货,挑选及让步接收等)记录 Non-conforming control procedure and records for rejected items andconcession when applicable.□ □ □□ □3.6物料库存/周转控制的程序或规定 Procedure/rules of materials rotationcontrol and inventory management warehouse (e.g. FIFO)□ □ □□ □项目与内容 Items No.提供(Available)复印(Copied)YES NO N/A YES NO 项目与内容 ItemsNo.提供(Available)复印(Copied)YES NO N/AYES NO项目与内容 ItemsNo.。

微软SEA社会责任审核清单(整套)

微软 SEA 社会责任审核清单(劳工、商业道德、EHS)
模块 ★总则 If the facility has been subject to any labor regulatory actions where monetary penalties were assessed，or where formal corrective actions were G2.1 Major mandated by the issuing government agency，have the violations been corrected or are they on track for correction? 工厂是否对涉及劳动法的法律法规的行为，设立了处罚并进行评估，或由政府机构正式监督，违规行为是否被强制整改和追踪。 If the facility has been subject to any ethics regulatory actions where monetary penalties were assessed，or where formal corrective actions were G2.2 Major mandated by the issuing government agency，have the violations been corrected or are they on track for correction? 工厂是否对道德监管行为，设立了处罚并进行评估，或由政府机构正式 Compliance with the Law 监督，违规行为是否被强制整改和追踪。 If the facility has been subject to any health & safety regulatory actions where monetary penalties assessed，or where formal corrective actions G2.3 Major mandated by the issuing government agency，have the violations been corrected or are they on track for correction? 工厂影响健康和安全的行为，设立了处罚并进行评估，或由政府机构正式监督，违规行为是否被强制整改和追踪。 If the facility has been subject to any environmental regulatory actions where monetary penalties assessed，or where formal corrective actions G2.4 Major mandated by the issuing government agency，have the violations been corrected or are they on track for correction? 工厂影响环境的行为，设立了处罚并进行评估，或由政府机构正式监督，违规行为是否被强制整改和追踪。 ★01 劳工 The facility does not use any type of forced，prison，indentured，or bonded A1.1 Critical labor. 不使用强迫劳工，包括：抵债劳工、契约劳工、监狱劳工。 Adequate and effective policy and procedures are established against slavery and human trafficking ensuring that any form of forced，bonded or A1 Freely Chosen Employment A1.3 Major A1.2 Major involuntary prison labor is not used. 针对奴隶和贩卖人口建立适当有效的程序，保证不使用强迫、非自愿、监狱劳工。 Do workers have a copy of their signed labor contract? 员工是否持有与工厂签定的劳动合同副本。 The facility/labor agent (if applicable) does not withhold workers’ A1.4 Serious government-issued identification (passports or work permits) upon hire. 工厂/劳动代理(如果可以)不扣押工人的身份证(护照或工作许可证)。

NBCU社会责任验厂整套资料(审核要求+审核清单)

1000NBCUniversal CSSR Audit Document Request List - China审核文件清单 - 中国编号/ID:No. 文件名 Documents Name Check综合性文件 General Documents1 公司营业执照 Business License2 工厂平面图 Site Layout3 产品工艺流程图 Product process flow chart4 吊牌或缝标管控制度及记录 Tag or label control policy and records5 分包商管理政策及相关记录Sub-contractor management policy and relevant records6 土地使用证、房屋产权证（如适用）Land use certificate, property ownership certificate7 租赁合同、厂界内其他工厂营业执照复印件（如适用）leasing contract, business licensecopy of other factories in the same boundary (if applicable) 8 出口许可证（如适用）Export licence (if applicable)9 质量、环境、职业健康安全管理体系证书（如适用）Certificate of ISO9001、ISO14001、OHSAS18001 10 C-TPAT 程序文件 C-TPAT procedure 11 内审记录 Internal audit records环境 Environment12 环境影响评价报告和批复 Environmental Impact Assessment (EIA) and Approval 13 建设项目环保竣工验收 Environmental Protection Check and Acceptance (EPCA) 14 废水、废气等排放源清单 Inventory of All Wastewater and Air Emission Sources 15 污染物排放许可证 Pollution Discharge Permit (PDP)16 年度污染物排放申报登记表 Annual Pollution Discharge Registration (PDR) 17 环保监测报告：废水(2.11)、大气污染物(2.15)和厂界噪音(1.7)Pollutant Monitoring Report, including Wastewater/Air Emission/Boundary Noise) 18 危险废物处置商资质 (2.32) Hazardous Waste Handling License 19 危险废物转移联单 (2.32) Hazardous Waste Transfer Manifests 20 医疗废弃物的转移联单（如适用）(2.37) Medical Waste Manifests21 废弃物分类处理培训记录 (2.12) Training RecordOn Handling and Separating of Wastes 22 危废管理、储存和运输的程序及培训记录 (2.32) Procedures and Training Records of Inventory Management, Storage, and Transportation for Hazardous Waste 23 一般废弃物的处置记录 (2.12) Records of Non-hazardous Waste Disposal 24 排水许可证（如适用）Wastewater Discharge Permit (If applicable)25环境污染治理设施运营资质（如适用）Operation License of Pollution Treatment Facility 26地下水取水许可证和水资源费缴纳凭据（如适用） Water Use Permit and Proof for Contribution of Water Charge 27辐射安全许可证（如适用）Radiation Safety Permit 28突发环境事件应急预案 Emergency response plan systems of environment incident健康和安全 Health and Safety 29 厂长经理、在职安全主管人员的安全培训证书 Certificate of Safety Officer 30 安全和职业健康/劳动卫生竣工验收批复（“三同时”验收报告） Final Approval of Safety/Health Protection Check and Acceptance (SPCA/HPCA)31 安全生产许可证，适用于矿山、建筑施工和危险化学品生产企业 Production Safety Permit32 职业病危害项目申报登记 Occupational Health Hazards Registration2000No. 文件名 Documents NameCheck33 工业卫生监测报告 Industrial Hygiene Monitoring Report34 员工常规体检报告 (1.32) Employee Regular Medical Test35 职业病体检报告和定期体检政策，包括岗中，岗前和岗后 (2.38) Summary Reports of Occupational Health Check-up, including pre, on and post-employment 36 食堂卫生许可证/餐饮服务许可证 Hygiene Permit for Canteen 37 食堂工作人员的健康证 Certification of Food Handlers38 饮用水的检测报告（如适用）Laboratory Safety Test Data on Drinking Water 39 工伤事故记录和事故调查程序Injuries/Accident Monthly/Yearly Records and Accident Investigation Procedures 40 风险评估 Risk Assessments41 急救人员培训证书 First Aider Training Certificate42 急救人员急救技巧以及血液安全的培训记录（如适用）Training Record on First Aid Techniques and Blood Borne Pathogens Safety 43 急救箱检查和维护程序 First Aid Kit Inspection and Maintenance Program 44 洗眼器和紧急喷淋装置的检查记录Maintenance Records for Eye Wash and Emergency Showers45 特种设备使用登记证和年检报告（锅炉、叉车、吊车/电动葫芦、压力容器、电梯等） Special Equipment Registration and Inspection Reports 46 特种设备操作证/特种作业上岗证 Operational License for Special Equipment/Work47 化学品清单及主要化学品使用量或存储量，包括所有使用、储存、处理或生产的化学品 An inventory of Chemical including Consumption or Storage Amount of Major Chemicals 48 剧毒化学品购买凭证（如适用）Proof-of-Purchase of Toxic Chemicals 49 易制毒化学品购买许可证或备案证明（如适用）Purchase Permit or Registration Certificate of Precursor Chemicals 50 危险化学品安全生产许可证、安全使用许可证或经营许可证（如适用） Hazardous Chemical Production/Safety Use/ Business Permit 51 危险化学品运输资质和剧毒化学品运输许可证（如适用） License for Transportation of Hazardous/Toxic chemicals52 设备和生产工艺变化后的培训流程和培训纪录 Training Update Process & Training records53 机器（如电动葫芦等）的常规维护记录 Machine Maintenance Record, e.g. Electrical Hoist54 机器挂牌上锁程序，以及挂牌上锁的培训 LOTO Procedure and LOTO Training Records55 其他作业许可程序及培训记录，比如密闭空间进入、登高等 Work Procedures and Training Records of Entering Confined Space, Work at Height, etc.56 职业危害现状评价报告 Occupational hazard status evaluation report 57 安全现状评价报告Safety status evaluation report58 生产经营单位生产安全事故应急预案备案登记Production and business unit registration of emergency plan for production safety accident59 设施设备安全验收评价报告（如适用）Evaluation report of safety acceptance of facilities and equipment (if applicable)60 竣工验收或房屋安全结构鉴定报告 Construction completion acceptance or building safety inspection report61 个人防护用品购买和发放记录Personal protective equipment purchase and distribution records62 用电安全检查记录 Electrical safety inspection record63健康安全委员会会议记录 Health and safety committee meeting minutes消防 Fire300064 建设项目竣工的消防验收批复/备案证明（包括新、改、扩建项目） Fire Protection Check and Acceptance (FPCA) Approval/Registration65定期消防执法检查记录（公安消防部门，如适用）/消防设施维护保养测试报告Regular On-site Inspection Records from Fire Bureau / Fire equipment maintenance test report66 危险化学品仓库允许存放量（由公安消防部门确定）Maximum Allowable Storage Amount in Hazardous Chemical Warehouse 67 消防演习记录 (1.8)、灭火器使用培训记录 (2.36)Fire/Evacuation Drill, Training records on use of Fire Extinguishers 68 应急预案 Emergency Preparedness Plan69报警设备测试记录 Maintenance Records of Emergency Alarm Systems劳动用工 Labor and Human Right70 员工档案，包括员工身份证号码和进厂时间的汇总记录Records of ID Number and Entry Date of Employees 71 人事招聘和薪资政策 Personnel Recruitment and Compensation Policy 72 保护员工免受歧视和骚扰，以及允许工人自由结社的书面声明/政策Discrimination, Harassment, and Freedom of Association Policies 73 不使用狱工，抵押劳工，禁锢劳工，以及不强迫用工的政策A Policy to Ensure They Do Not Use Involuntary, Prison, Bonded or Indentured Labor74 员工投诉处理流程 Dispute Resolution Procedure75 工厂所在地最低工资标准的文件 Local Government’s Document on Local Minimum Wage76 工厂关于计件工资的政策（如适用）Piece Based Wage Policy (If applicable)77 过去一年的工人的薪资表 Payroll Records at a Minimum of One Year78 过去一年的工人的考勤记录 Time Records at a Minimum of One Year70 过去一年用于发工资的银行对帐单 Bank Statement for Employee’s Salary80 实习生、未成年工使用情况记录 Working Conditions of Intern & Young Labor81 年度培训计划及记录Annual training plan and records82 员工手册、厂规厂纪、宿舍管理制度、安全保Employee manual, Factory rules andregulations, Dormitory rules, Security policies 83 请假记录、离职记录Leave and resignation records84 综合计时批文 /延长加班工时申请批复（如适用）Comprehensive working hours systemapproval / extension of overtime hours application with approval (if applicable) 85 社保缴费凭证或社保批文Social insurance receipt or official waiver issued by the localsocial insurance authority86工会/工人代表选举记录、会议记录Labor union/worker representative election records, meeting minutesNBC 环球供应商行为守则NBC 环球承诺：- 在业务的各个方面执行卓越的标准- 在运营的过程中采取符合伦理和负责任的行为- 尊重人权- 重视环境我们期望NBC 环球所有的产品供应商能做出跟我们同样的承诺。

SGS质量管理体系审核所需文件、证件清单

SGS质量管理审核所需文件/证件清单分类：企业社会责任2010—07-14 15:361.1工厂简介1。

2营业执照1.3公司的组织架构图1。

4(公司)厂区/厂房平面图1。

5生产工序流程图2.1ISO9000证书及最近一年的外审报告2。

2质量手册2。

3程序文件2.4质量计划2。

5文件更改收发记录2。

6员工培训计划2.7员工质量培训记录2.8内部审核计划\记录2。

9订单评审和客户关注程序及记录2.10客户投诉处理记录2.11纠正与预防措施记录,仪器设备清单\内外校记录报告2。

12设备维护计划和记录2。

13CE/EMS/相关的产品测试化验报告2。

14其他相应有效的安全证书3.1开发设计控制程序3。

2设计计划或任务书及审核记录3.3验证和确认记录3.4设计产品检测报告3。

5设计输出（技术文件，物料单,包装,使用说明)3.6设计变更记录4。

1供应商评审程序及记录4.2供应商清单/合格供应商清单4.3采购单\采购合同5.1来料中免检产品的质量保证书5.2来料验货标准及规格书IQC5.3来料检验和测试报告5.4来料收发记录5。

5不良品退货\让步接受记录6.1作业指导书6。

2巡拉记录6.3IPQC检验测试标准\记录6.4不良品处理记录6。

5组装线工具利器（刀片,断针等）收发控制记录6.6金属探测记录7。

1终检检验测试记录标准，记录7。

2终检不良品处理记录7.3包装工段工具利器（刀片,断针等）收发控制记录7。

4终检金属探测记录7。

5发货记录下面总结范文为赠送的资料不需要的朋友,下载后可以编辑删除！祝各位朋友生活愉快！员工年终工作总结【范文一】201x年就快结束，回首201x年的工作，有硕果累累的喜悦，有与同事协同攻关的艰辛，也有遇到困难和挫折时惆怅，时光过得飞快，不知不觉中，充满希望的201x年就伴随着新年伊始即将临近。

可以说，201x年是公司推进行业改革、拓展市场、持续发展的关键年.现就本年度重要工作情况总结如下：一、虚心学习,努力工作(一）在201x年里，我自觉加强学习，虚心求教释惑,不断理清工作思路，总结工作方法，一方面,干中学、学中干，不断掌握方法积累经验.我注重以工作任务为牵引,依托工作岗位学习提高，通过观察、摸索、查阅资料和实践锻炼,较快地完成任务。

ISO9001质量管理体系认证 SGS社会责任部分所需文件清单

SGS
SRS-CN-F-OPS-19-01(V3.0)
社会责任审核所需文件/证件清单
Requested Document List (COC Audit )
NO 工厂概况部分
项目与内容 I tmes
提供(Available) 复印(Copied) YES NO N/A YES NO
公司概括简介- 人员/产量/产值/(品牌)市场分布
for workplace
22 工资扣除/罚款记录 Wage deduction / Penalty 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
23 (in jury / retirement / medical / unemployment etc .) payment
11 registration approval from local labor bureau / regulations
on shift arrangement for young workers
12 请假单 Leave records
13 离职记录 Resignation records
14 奖惩记录/警告信 Awards & Penalty Records / Warning notification letters
records / Precaution Measures on Reocurrence 34 电梯等起重设备: 使用登记证/ 验收/年检合格证 (如:电动葫芦/电动叉车)
Register of elevator & lift and annual inspection certificate 35 锅炉,压力容器使用登记证/年检合格证 Register of pressure vessels &

亚马逊CSR审核文件清单

文件清单 DOCUMENT CHECKLIST
# LABOR DOCUMENTS
1 考勤记录 Attendance Records (_______年_____月到_______年_____月)
2 员工加班申请表(如有) Overtime Application Form (if any)
3 综合计时工作制批文(如有) Comprehensive Working Hours System Approval (if any)
4 工资表 Payroll Records (_______年_____月到_______年_____月)
5 当地政府最低工资标准文件 Local Minimum Wage Notice
6 人事档案, 员工花名册 Personnel Files, Employee Roster
7 招聘政策, 招聘程序文件 Recruitment Policy &Recruitment Procedure
A) 社会保险参保收据(最近三个月); B) 社会保险参保名单(最近一个月); C) 当地社会保险参保计算方法 15
A) Social Insurance Contribution Receipts (Most recent three months); B) Social Insurance Enrollment Name List (Most recent month); C) Local Social Insurance Calculation Formula 16 投诉程序和相关记录 Grievance Procedure and Records
8 员工离职记录(最近 3 个月) Worker Resignation Records (Most recent 3 months) 员工手册,工厂休假政策 (带薪年假，产假，病假等)

SGS审核所需文件

认证供应商审核文件清单(Rev 07)必须审核项一、公司基本信息•营业执照原件（正本/副本均可，需具有年检标志）(温馨提示：副本和复印件是不同概念，接受副本原件，不接受复印件)•营业场所土地证原件或房产证原件或租赁合同原件•主要产品介绍（实物或产品目录或企业宣传手册）•组织人事结构图表及各部门人数(人员花名册或工资表或考勤表)，关键人物的简介（员工信息表或个人简介）可选择审核项二、外贸能力（贸易企业必选）•对外贸易经营者备案登记表原件或出口批准证书原件•原始的财务报表：如损益表、税务申报表（年度）、审计报告（最新年度）等•上年度和本年度的外贸出口收入，出口地区的比例列表•外贸业务员列表：包括专业背景、英语水平、外贸经验年限、获得何资格证书等•出口区域及相关证明文件（复印件即可），如：提单或海关核销单、发票、合同•国外代理商列表及相关的合同•供应商选择原则，评估标准与基本流程，合格供应厂商（包括外协厂）名单以及评定记录•客户投诉程序和处理记录•产品的可追溯性文件及记录•是否有对包装后产品的抽检程序，如果有，提供相应的检验标准和最近三个月的记录三、产品设计开发能力•研发人员列表：包括专业背景、研发经验、工作职位及工作职责•设计开发及更改程序及成功项目的运作记录•设计开发部配备的专用仪器，设备及设计软件清单•专利证书及企业的资格证书原件（如：特殊行业的资格证书）四、体系和产品认证•体系认证证书以及最近的年度审核证明原件，如ISO9000、ISO14000等•产品认证列表及相关代表产品认证证书原件，如CE、CCC、GS、UL、ETL等，ROHS 测试报告五、生产能力和质量管理（生产企业必选）•典型产品生产工艺流程图•主要产品的月度及年度产量统计（最多三种产品）•主要生产设备列表（名称，品牌/产地，数量）•来料检验和完成品检验标准（样板），以及最近三个月检验记录•产品制造过程控制方法（品质控制流程图）•制造车间不合格品控制•企业的发展计划六、财务信用•连续三年的会计师事务所出具的审计报告（如选做第六项，必须提供该审计报告）•公司开户行信息、银行评定的信用等级•针对外销产品，是否有产品保险，如果有，请提供保险合同七、工作环境与节能减排注：建议通过SA8000的企业选择该模块。

OMEGA社会责任验厂2020年新版审核文件清单

OMEGA社会责任验厂2020年新版审核文件清单MEGA验厂从验厂内容上主要可分为“社会责任、反恐、质量”等，通常社会责任审核，为突袭验厂，待通知期为三周，该时间段内任何一天审核员都有可能会来到工厂。

OMEGA验厂过程中主要关注车间现场消防安全、职业健康、文件资料方面，会集中关注不一致的问题。

OMEGA验厂审核员有可能在车间找资料。

OMEGA社会责任验厂审核文件清单：1、Business License/ Certificate of Registration 营业执照副本；2、Factory map/ floor plan (If any) 工厂平面图（如有）；3、Payroll records of past 12 months with employees’ signature 过去12 个月的工资表(含员工签名)；4、Piece rate records of past 12 months (If applicable)计件工人过去12 个月的计件记录（如适用）；5、Attendance records of past 12 months 过去12 个月的考勤记录；6、Official overtime waiver/ Comprehensive Working Hour System permit (If applicable)当地劳动局批发的加班批文或综合工时批文（如适用）；7、Production records of past 12 months and the other related records（i.e. Daily production records, daily QC report, warehouse material in/out records, etc.)过去12 个月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)；8、Social insurance documents (payment receipt, registration certificate, list of participating employees, waiver approved by Social Insurance Department etc.) 社保文件(已购买社会保险的收据，社保登记证,社保参保人员名单，社保局出具的社保批文等）；9、Leave policy and records, including maternity leave, annual leave, work injury leave, sick leave,marriage leave and funeral leave etc.假期政策及记录，包括产假，年假，工伤假, 病假，婚假和丧假等；10、Employee casual leave records 员工事假记录；11、Employee resignation/ termination record 员工辞职/辞退记录；12、Written policies/ procedures, which may include 书面政策/程序:Child Labor Policy 童工政策；Recruitment Procedure 招聘程序；Employee Grievance Procedure and Records 员工申诉程序及记录；Anti‐discrimination Policy 不歧视政策Force Labor Policy 强迫劳工政策；Harassment & Abuse 胁迫与骚扰；Freedom of Association Policy 工会与自由结社政策；Disciplinary Policy and Disciplinary Records 惩诫政策及纪律处罚记录；Health & Safety Policy 健康与安全政策；Environment Policy 环保政策；13、Employee roster, employee personnel files, labor contracts and age proof documents 员工花名册，员工人事档案，劳动合同及个人身份证明复印件；14、Juvenile Workers (age 16-18) registration, health check report and job assignment records (If applicable)未成年工(16-18 周岁)的劳动局备案登记, 体检报告及岗位安排记录(如适用)；15、Employee handbook and factory rules 员工手册及厂纪厂规；16、Health & Safety Representative training record, certificate or equivalent 健康安全负责人培训记录、证书或类似证明文件；17、Employees orientation and health & safety training records, includes but not limited to fire safety,chemical safety, machine safety, electric safety, PPE, occupational disease, etc. 员工入职培训及职业健康安全培训记录，如消防安全、化学品安全、机器设备安全、电气安全、个人防护用品、职业病防治等；18、Completion check and acceptance certificate / registration records for building construction 房屋建筑工程竣工验收报告/ 备案表；19、Fire fighting equipment maintenance and inspection records 消防器材保养及检查记录；20、Fire inspection certificate and report issued by Fire Department or third party consultant firm (If any)当地消防部门或有资质的第三方发放的消防验收证书/记录（如有）；21、Emergency evacuation procedure and fire drill report with photos 紧急疏散程序，消防演习报告及照片；22、Employee work injury and accident records/reports 工伤记录/报告；23、Certificate of trained first aid personnel 急救人员培训证书；24、Certificate and license of in-house doctors and nurses (If applicable)驻厂医护人员的资质证书/执照（如适用）；25、Chemical list and inventory records, Material Safety Data Sheet (MSDS) 化学品清单及仓存记录, 化学品安全技术说明书；26、Hazardous elements (i.e. air quality, noise, etc.) evaluation report for workplace 工作场所职业危害因素(如空气质量, 噪声等)评价报告；27、Occupational health examination report of employees (If applicable)危险岗位工人的职业病体检记录（如适用）；28、Operating instruction for heavy machinery operator (If applicable)重型机器的操作指导书（如适用）；29、Blade policy and record (If applicable)利器管制程序及记录（如适用）；30、Special equipment registration, regular inspection reports and operators’ licenses (e.g. boiler,pressure vessels, elevator, lifting machine, in-house motor vehicle, etc.) (If applicable) 特种设备的登记证, 检测报告及其操作人员的操作证（如：锅炉，压力容器，电梯，起重机械，厂内机动车辆等）（如适用）；31、Special operation licenses (i.e. electrician, welding operation, etc.) 特种作业操作证，(如电工，电焊工等)；32、Inspection records for electrical wiring/ devices 电气线路/装置检查记录；33、Canteen food catering service license (if applicable) 食堂食品经营许可证/餐饮服务许可证（如适用）；34、Kitchen staff health check certificate (If applicable) 厨房员工健康证（如适用）；35、Environment impact evaluation report/ form/ registration and the approval, pollutant discharge permit and monitoring report. 环境影响评估报告书/ 报告表/ 登记表以及批复, 排污许可证及监测报告等；Environment impact evaluation report and Acceptance check & permit for radiation equipment (if any) 辐射设备的环评报告，验收及安全许可证（如适用）；36、Hazardous waste handling contract and transport records 危险废弃物处理合同及转移记录；37、Registration of union, union contract and collective bargaining agreement (If applicable) 工会登记，工会合同及集体谈判协议（如适用）；38、Business license of labor dispatch company, contract signed with labor dispatch company, dispatched workers' personal files, ID copies, payroll and attendance records, labor contracts, social insurance payment evidence, etc. (if applicable) 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（如适用）；39、Machinery repair/ maintenance records 设备维修保养记录；40、Drinking water test report (if applicable) 饮用水测试报告(如适用)；41、Sub-Contractor List 分包商清单；42、Others upon request 其他要求文件。

SMETASAChecklist-ITS社会责任审核清单

SMETASAChecklist-ITS社会责任审核清单审核程序包括：审核前会议，现场巡察，查阅文件，员工面谈及总结会议。

Audit procedures includes: Opening Meeting, Facility Tour, Documents review, Employee Interview and Closing Meeting. 请准备以下文件的原原予以审核，并恳请允许复印样本，谢谢！Please prepare the original documentation listed below for verification and sample photocopying, thanks!1. 工商营业执照（副本）Business Registration (Official Duplicate)2. 工卡或考勤记录（过去十二个月），包括在职与离职人员。

如果是使用电子考勤，审核员可能需要从电脑直接审阅考勤记录，审阅是会在企业职员协助下进行。

Timecards or Attendance Records (Last 12 Months), including active employees and resignation employees. If electronics time card is used, the auditor may need to review the time record directly from the computer, with the assistance from the facility staff.3. 工资表（过去十二个月），包括在职与离职人员。

如果工资是通过银行转账发放，请同时提供银行转账记录。

Payroll Records (Last 12 months), including active employees and resignation employees. If wage paid by Bank Transfer, Bank Transfer record is required accordingly.4. 员工花名册及员工个人档案（含身份证复印件）Employee Roster and Employee Personnel Records (including I.D. card copy)5. 劳动合同Labor Contract6. 社会保险收据（过去十二个月），参保人员花名册，当地参保要求文件或合格证明文件（如适用）等；商业保险记录（如有），如商业保险单，商业保险收据Social Insurance Receipts (Last 12 months), Name List, Social Insurance Local Policy or Qualified Certificate (when applicable), etc. Commercial insurance records (if any), e.g. Commercial Insurance Policy, Commercial Insurance Receipts7. 企业规章制度或员工手册（包括但不仅限于针对招聘、歧视、强迫劳动、工时、薪资福利、奖惩制度、健康及安全、结社自由和集体谈判、环境保护的内容）Enterprise Regulation or Employee Handbook (Including but not limit to, recruitment, discrimination, forced labor, working hours, compensation & benefit, disciplinary procedure, working conditions, health and safety, freedom of association and collective bargaining, environmental protection)8. 政府有关当地最低工资标准文件Local Minimum Wage Standard9.请假记录、离职申请/审批记录（过去十二个月）Leave Application Form, Resignation Application Form with Approval (Last 12 months)10. 当地劳动局关于综合计算工时工作制批文，不定时工作制批文（如适用）Official Comprehensive Working Hour System Approval, Non-fixed Working Hour System Approval (when applicable)11. 未成年工体检及劳动局登记记录Young Workers’ Health Examination and Registration Records12. 劳务派遣工的入职档案（含身份证复印件），考勤及工资表记录，劳动合同，社会保险收据及合格证明（如适用），参保人员花名册，劳务派遣协议，劳务派遣单位的营业执照，劳务派遣经营许可证Dispatched Employees’ Perso nal Files with ID Card Copy, Attendance & Payroll Records, Labor Contracts, Social Insurance Receipt & Certificates (when applicable), Name List, Labor Dispatch Agreement, Labour Dispatch Business License and Business Certificate of Labor Agent13. 如果保安、清洁、食堂等外包，请提供外包服务合同。

SGS_审核HACCP体系审核表

M a x S c o r eM i n o rM a j o rC r i t i c a lProduct Adulteration/ContaminationDoes the plant use or store any of the following?M a x S c o r eM i n o rM a j o rC r i t i c a lPotential Points Points ReceivedPercentageQuality ProgramsM a x S c o r eM i n o rM a j o rC r i t i c a lM a x S c o r eM i n o rM a j o rC r i t i c a lRecall Program ,Product Tracking and Customer CarePotential Points Points ReceivedPercentageGood Manufacturing PracticesM a x S c o r eM i n o rM a j o rC r i t i c a lEmployee PracticesM a x S c o r eM i n o rM a j o rC r i t i c a lM a x S c o r eM i n o rM a j o rC r i t i c a lPotential Points Points ReceivedPercentagePremisesM a x S c o r eM i n o rM a j o rC r i t i c a lEquipmentM a x S c o r eM i n o rM a j o rC r i t i c a lPotential Points Points ReceivedPercentageSanitation StandardsSSOP ’SM a x S c o r eM i n o rM a j o rC r i t i c a lCleaning, Sanitation and Housekeeping ProceduresM a x S c o r eM i n o rM a j o rC r i t i c a lPotential Points Points ReceivedPercentagePest ControlM a x S c o r eM i n o rM a j o rC r i t i c a lAudit Records ReviewedApproximately 90% of the audits that fall into the “Needs Improvement” category do so because of inadequate documentation. Having proper documentation is a very important part of the audit process. On the average 60% of the auditors’ time is spent on record review. The following records will be requested and reviewed during the audit. Please have all records available in one location for the auditors’ review. This will speed up the audit process.HACCP program documentation and applicable records.S.S.O.P.’s Documented cleaning procedures.Metal Detector testing report. (if applicable)Incoming inspection records.Incoming goods analysis results.Finished product Testing.Documented employee GMP rules.Pest Control Program Records.Preventative Maintenance Program.Quality Records.GLP Records. (if applicable)Allergen management program.Training records – HACCP, GMP, SSOPPlant Access/Security– employee screening/Emergency Procedures.Customer Specification Records.Customer Complaint file.Thermometer and temperature recorder calibration checks.Documented Recall program – mock recall resultsTemperature Records on all coolers and freezers.The latest regulatory/third party inspection report。

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E1 Does the factory have a copy of valid laws and regulations on working hours or understand its requirements?
E2
Does the factory have written policy for working hours, rest, vacations and overtime in accordance with local legal requirement?
G3 Does the factory arrange health and safety training for all workers? Does it include fire safety training?
G4 Are accidents or daily injury recorded?
Kroger SGS Social Responsibility Audit Content A list of the questions in the Kroger audit checklist SECTION A. Child Labour / Young Labour(童工及未成年工）
Requirement A1 Does the factory have a copy of valid laws and regulations on child labour OR understand its requirements? A2 Does the factory have effective procedures to verify the age of worker at the time of recruitment? A3 Does the factory keep adequate age documents of workers such as ID copies and personnel records?） A4 Is there any evidence identified that child labour is currently present at the factory? A5 Is there any evidence identified that child labour had been employed in the past at the factory? A6 Have young workers (between legal minimum age and 18) been protected? A7 Are laws or factory policies regarding Child Labour/Young Labour communicated to all employees?
F9 Does the factory provide legally required benefits on paid holidays?
F10 Does the factory provide legally required benefits on social insurance?
F11
Are workers' wages deducted for any reason other than tax, social security?Are these deductions fair, reasonable and legal?
B7 Is there any evidence apparent that security guards are/were used to discipline workers?
Audit result
Pass
Not Pass
SECTION C. Discrimination 歧视
Requirement
E5 Do the workers have at least one day (24 consecutive hours) off in seven days?
E6 Do the hours worked including overtime hours comply with local regulation (daily , weekly, monthly)?
F12 Is the payment frequency legal?
F13 Is there a sufficient system to let workers check/verify their wages?
Audit result
Pass
Not Pass
not pass
SECTION G. Health & Safety
D4 Is there evidence the factory uses physical, verbal, sexual or psychological abuse in workplace?
D5 Do workers have access to appeal in case of infractions/breaking of rules?
Requirement
G1
Does the factory have a copy of current National laws/regulations on health and safety or understand its requirements?
G2 Is a senior management representative for health and safety appointed?
Audit result
Pass
Not Pass
SECTION B. Forced Labour强迫劳工
Requirement
B1 Does the factory have a copy of valid laws and regulations on forced labour or understand its requirements?
E7 Do the workers have over 60 working hours per week unless authorized by local government?
E8 Does the factory provide the legally required meal breaks?
F2 Does the factory have written policy on compensation and benefits and communicate to all workers?
F3 Do all workers’ wages meet local minimum wages?(including trainees / apprentices / workers in probation period)
F6 Are wage slips given to workers and do they understand the wage breakdown?
F7 Does the factory provide legally required benefits on annual leave?
F8 Does the factory provide legally required benefits on maternity leave?
B4 Is any restriction placed on leaving after working hours?
B5 Are overtime works voluntary?
B6 Are workers permitted time-off with doctor's certificate or note when sick or for maternity?
F4 Does the factory maintain complete and consistent payroll records for all workers for at least 12 months?
F5 Are workers paid the legally required overtime rates and wages?
D2 Does the factory have documented,legal and reasonable disciplinary rules?
D3 Does the factory provide an employee handbook with disciplinary policies documented?
Audit result
Pass
Not Pass
SECTION D. Disciplinary Pracoes the factory have a copy of valid laws and regulations on disciplinary practices or understand its requirements?
G5
Does the factory have all legal required permits and approval for health and safety, including high risk equipment and its operators?
E3 Does the factory communicate the policy on working hours, rest and vacations to all workers?
E4 Does the factory maintain complete and consistent working hours records for at least 12 months?