运营实操,SMETA验厂审核所需的文件清单

经营实际操作,SMETA验厂审核需要的文件明细具体内容

经营实际操作,SMETA验厂审核需要的文件明细文章正文

审核程序流程包括：审核前大会，设备巡察，查看文件，职工谈话及汇总大会。

Audit procedures includes: Opening Meeting, Facility Tour, Documents review, Employee Interview and Closing Meeting.

1. 工商执照 （团本）

Business Registration (Official Duplicate)

2. 工卡或考勤管理记录 （以往十二个月），包括在职人员与辞职工作人员。如果是应用电子器件考勤管理，审核员很有可能必须从电脑上立即审查考勤管理记录，审查是会在公司员工帮助下开展。

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. 工资条 （以往十二个月） ，包括在职人员与辞职工作人员。假如薪水是根据银行转帐派发，请与此同时给予银行转帐记录。Payroll Records (Last 12 months), including active employees and resignation employees. If wage paid by Bank Transfer, Bank Transfer record is required accordingly.

4. 员工档案表及职工人事档案（含身份证扫描件）

Employee Roster and Employee Personnel Records (including I.D. card copy)

5. 劳动合同书 Labor Contract

6. 社保收条（以往十二个月），社保缴纳员工花名册，本地社保缴纳规定文件或达标证实文件等；商业险记录（若有）

Social Insurance Receipts (Last 12 months), Name List, Social Insurance Local Policy or Qualified Certificate, etc. Commercial insurance records (if any)

7. 工程建筑消防工程验收意向书或消防备案记录 Construction Project Fire Safety Acceptance Document/Record

8. 救火和紧急消防疏散应急预案、演习记录、工伤事故记录等

Fire Fighting and Emergency Evacuation Plan, Fire Drill Record, Work Accident Records and Work-related Injury Record

9. 特种设备安全（若有）申请注册登记证书（表）及检测报告，如电梯轿厢、起重设备、场（厂）内常用机动车、加热炉及高压容器（含氧气瓶，气压表及阀门）等

Special Appliance (if any) Registration Certificate and Inspection Report, such as Lift, Lifting Appliance, Inside Special motor vehicle, Boiler and Compressing Equipment (including Gas Cylinders, Gauge and Safety Valve) and etc.

10. 特种设备安全工作工作人员（若有）作业证，如电梯司机、起重设备驾驶员、场（厂）内常用机动车驾驶员、加热炉作业员、高压容器作业员等。

Special Appliance Operator (if any) Certificate, such as Lift Operator, Lifting Appliance Operator, Inside Special motor vehicle Driver, Boiler Operator, Compressing Equipment Operator and etc.

11. 特殊工种（若有）作业证，如电焊工、焊接工等;

Special Operation (if any) License, such as Electrician, Welder and etc.

12. 餐厅厨房餐饮经营许可证书及厨工办理健康证

Kitchen’s Catering Service License and Cooks’ Health Certificate

13. 职业危害因素检验报告和职工职业健康检查汇报

Occupational Hazards Factors Testing Report and Employee Occupational Health Examination Report

14. 化工品明细，化工品化学物质安全资料表，危化品安全事故应急救援预案和演习记录

List of all Chemical, MSDS, Dangerous Chemical Emergency Succor Plan and Drill Record

15. 环境保护文件（如项目建设环境影响评价文件（环境危害报告、环境危害报告书或是环境危害申请表），环评批复，项目建设自然环境竣工验收报告，环评审批/排出污染物质审报申请表/检测汇报，辐射源机器设备（若有）的环境评价、工程验收及安全生产许可证等)

Environmental Documents such as Environmental Impact Assessment (EIA) Documents (Environmental Impact Report, Environmental Impact Report Form or fill out Environmental Impact Registration Form), EIA Approval, Acceptance Check of Environmental Protection of Construction Projects, Pollutant Discharging Permit /Declaration Form of Pollutants Discharged /Monitoring Report, Radiation Safety’s (if any) EIA report, Acceptance Check and Permit, and etc.

16. 危险废弃物处理企业的工商执照和许可证办理，危险废物处理合同书，危险废弃物迁移单联等

Business License and Business Permit of Dangerous Waste Collector, Service Agreement and Dangerous Waste Disposal Duplicated Form

17. 公司规章制度或员工手册（包括但不但仅限于对于招骋、岐视、逼迫工作、施工时间、薪酬福利、奖罚制度、身心健康及安全性、结社自由和团体交涉、生态环境保护的內容）

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)

18. 生产安全文化教育和学习培训记录，如：消防知识培训、生产安全管理制度和职位操作规程、安全性应用化学药品的学习培训、职业安全卫生学习培训

Work Safety Education and Training records, such as Fire Safety training, Work Safety Rules and Post Safety Operation Procedure, Chemical Safety Training Records, Occupational Health Training

19. 政府部门相关本地最低工资文件 Local Minimum Wage Standard

20.休假记录、离职申请书/审核记录（以往十二个月）

Leave Application Form, Resignation Application Form with Approval (Last 12 months)

21. 生产制造记录（以往十二个月），如生产制造日表格、计件工资记录、品检员记录等

Production Records (Last 12 months), such as Daily Production Records, Piece-rate Records, Quality Control Records, and etc.

22. 童工常规体检及劳动部门备案记录

Young Workers’ Health Examination and Registration Records

23. 派遣工的新员工入职档案资料（含身份证扫描件），考勤管理及工资条记录，劳动合同书，社保收条及达标证实，与劳动派遣企业签署的合同书及劳动派遣企业的企业营业执照

Dispatched Employees’ Personal Files with ID Card Copy, Attendance & Payroll Records, Labor Contracts, Social Insurance Receipt & Certificates, Contract signed with Labor Agent and the Business License of Labor Agent

24. 建筑施工图

Facility Building Layout

25. 关键生产机器设备清单

List of main production equipment

26. 公司社会责任管理体系战略方针或体系文件（包括工作用人、工作中标准、生态环境保护）和管理方法组织架构图; SMETA 4 Pillar Audit包括: 商业伦理文档（包括反腐、反行贿、保密信息、不正当竞争法）

Written policy or process on company Social responsibility System (including labor and employment, working condition, environmental protection) and Management organizational chart;

SMETA 4 Pillar Audit including: written policy on business practices (including Business Integrity, Anti-corruption, Data Secrecy, Anti-unfair competition)

27. 本地劳动部门有关综合性测算施工时间工时制度批文或增加加班加点批文

Official Comprehensive Working Hour System Approval or Waiver for Overtime Extension

28. 聘请实习生，请提供实习生名册，院校、公司和实习生的三方实习协议

If Intern employed, please provide the list of Intern, Tripartite Agreement signed by the School, the Facility and the Students

29. 聘请外籍职工，请提供《外国人就业证》和《外国人就业许可证书》

If foreigner employed, please provided the Foreigner Employment permits and Foreigner Employment License

30. 承包商/经销商明细（若有） List of Subcontractor/Supplier (if any)

31. 假如保安人员、清理、餐厅等业务外包，请提供服务外包合同书。及其服务项目承包单位职工的档案资料（含身份证扫描件），考勤表及工资条，劳动合同书，社保收条及合格证实等

If security, clearing, cooking are subcontracted, please provide Service Contract; please provide the service employees’ Personnel Records (including I.D. card copy), timecards or attendance records, payroll records, labor contract, social insurance receipts and qualified certificate, etc.

32. 假如工业厂房是租用的，请提供厂房租赁合同 If facility rent or leased, please provide the Rent or Lease Contract

33. 团体劳动合同书或随意交涉协议书（若有） Collective Labor Agreement or Collective Bargaining Agreements (if any)

34. 合理企业社会责任体系管理资格证书（若有）， 如：SA8000、WRAP、 ICTI、RJC

Valid certificates on Social Management System (if any), such as SA8000, WRAP, ICTI, RJC

35. 其他文档（似乎审核情况所需） Other documents, subject to actual circumstances during the audit