Audit Introduction For Applicants
SMETA(Sedex 成员道德贸易审核)审核简介
Declaration: Below information is for all applicants reference only and it is just a brief of the audit’s introduction which is base on client’s requirements, it is designed for your preparation with regard to the audits. It doesn’t mean you just need to provide below information for the auditors, auditors may require more documents/information according to actual situation during the audit.
声明：以下的信息是提供给所有申请者的参考，这只是一个简短的审核的介绍，它是为贵方关于审核的准备而设计，这并不意味着你只需要提供以下信息给审核员，审核员在审计过程中根据实际情况可能需要更多的文件/信息。
1.Audit Type: 审核类型
1)SMETA social audit is a kind of CSR audit.
2)Usually SMETA audits are announced audits. Sometimes the audits may be announced or unannounced or semi-announced depend on client’s specific requirement.
3)The client would make final decision on whether a follow-up audit is needed or not.
4)SMETA report will be uploaded into Sedex Database which could be shared by all Sedex members.
5)No certificate will be issued in SMETA program.
6)Environment and Business Integrity are two supplementary audits which are optional. The end buyer will make decision whether the two sections are needed or not.
7)The factory should provide the original the certificates which are direct related to factory for review.
8)During onsite tour, if necessary, the production-related records would be sample checked.
1) SMETA 社会责任审核是企业社会责任审核的一种。
2) 通常 SMETA 审核是通知审核. 但是有时候审核是否通知须依照客户的具体要求，有可能是通知审核⃝不预先通知审核或半通知审核。
3) 审核结束后是否需要跟进审核由客户决定。
4) SMETA 审核报告可上传至 Sedex 数据库， 且可以与 Sedex 成员共享。
5) SMETA 审核不出具证书。
6) 环境保护和商业诚信两部分审核是 SMETA 的补充审核。并非强制性项目。最终买家将决定 是否需要覆盖此两部分。
7) 审核中，请工厂提供与工厂有直接关系的证书或执照等的原件。
8) 在现场审核中，与生产相关的资料如有需要也会做相应的检查。
2.Audit Scope 审核范围 :
1)Initial audit: at least the last 12 month records of working hour and wage should be
provided. For new factories operating less than a year, all working hours and wages records since the beginning of operation till the audit day should be review with a minimum of 3 months.
2)Follow up audit: All wages and working hours records since last visit with a minimum of 2 months fresh records would be reviewed.
3)All areas under the same business license of the audited facility will be covered.
1) 首次审核： 需提供至少最近 12 个月的工资工时记录。如果是营业不足一年的新工厂，
则需要提供自从开厂以来至审核当天所有且最少不低于 3 个月的工资工时记录。
2) 跟进审核：工厂应提供从上次审核后结束至审核当天之间所有的且最低不少于两个月的工作时间和工资记录。否则该次重审无效。
3) 原则上同一营业执照下的所有范围都应该覆盖。(即使工厂有几个厂区和不同的生产线。)
3.Audit Contents: 审核内容
1.Employment Freely Chosen 自由选择雇用关系
2.Freedom of Association 自由结社和劳资谈判的权力
3.Safety and Hygienic Conditions 安全卫生的工作条件
4.Child Labor 不使用童工
5.Wages and Benefits 合理的工资
6.Working Hours 合理的工作时间
7.Discrimination 不歧视
8.Regular Employment 正规的雇用关系
9.Harsh or Inhumane Treatment 不用苛刻和不人道的方式对待雇员
10.Environment & Business Integrity 环境保护和商业道德(可选择)
4.Main Audit Method : 审核的主要方法
a.Management staff interview 管理人员访谈
a. b.On-site inspection 现场审核
b. c.Document review 文件审核
c. d.Workers interview 工人访谈
5.Main Documents List : 主要文件清单
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工厂概况部分 |
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1 |
公司概括简介-人员/产量/产值/(品牌)市场分布 |
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Factory profile/Employee No.& structure/Production capability/(Brands)Marketing |
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2 |
公司组织架构图 Organization chart |
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3 |
厂区/厂房平面图 Factory floor plans |
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4 |
营业执照 Business license |
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人事行政管理部分 |
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5 |
员工手册/厂纪厂规及处罚记录 Employee manual/handbook, Factory rules & regulations/ |
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Disciplinary practices policy and Records |
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6 |
宿舍规章制度 Dormitory regulations |
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7 |
招工指引/程序 Recruitment policies & procedures |
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8 |
人事记录/员工入厂登记/花名册(所有员工)Employees' personal files/ Employment |
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registration/roster (all employees) |
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9 |
劳动合同(所有员工) Labor contracts (all employees) |
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10 |
未成年工人体检 & 健康体检 Young worker health examination & health examination |
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records,(if applicable) |
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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 |
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local labor bureau/regulations on shift arrangement for young workers |
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12 |
请假单 Leave records |
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13 |
离职员工工资发放记录 Resignation records |
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14 |
奖惩记录/警告信 Awards & Penalty Records/Warning notification letters |
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15 |
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 |
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of union/Selection program and Responsibility of workers’ Rep./Complaint& handling record |
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工时工资福利部分 |
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16 |
工作时间记录(12 个月) Time cards/attendant records(12 months) |
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17 |
休假记录(有薪年假/女工产假/婚丧假) |
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Leave records(Paid annual leave/Maternity leave/Marriage& Funeral leave ) |
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18 |
综合计时批文/加班批文 （如有） Consolidated working hours permit by local labor |
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bureau/Extended Overtime Hours Waiver, if applicable |
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19 |
当地政府最低工资文件 Legal/ Local official minimum wage document |
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20 |
工资表(12 个月) (含工人签名） Payroll records with employees' signatures (12 months) |
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21 |
记件工生产(台班)记录/计件工资表 Production records of piece rate workers/Piece rate |
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records |
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22 |
工资扣除记录 Wage deduction records |
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23 |
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 |
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insurance (injury/retirement/medical/unemployment etc.) payment receipts/ invoice/Approval from local government/Registration certificate/personnel list |
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健康安全卫生部分 |
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24 |
公司的健康安全政策/规章制度 Health & safety policy/ Regulations and rules |
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25 |
房屋建筑工程竣工验收报告/备案表 Certificate of Inspection for Completed Building |
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Construction/ Registration Records |
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26 |
厂房消防验收合格证/报告 Fire-Fighting Acceptance Inspection Certificate/ Report |
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27 |
安全主任资格证(任命书/培训结业证书) Safety officer certificate |
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28 |
保安守则/保安上岗证 Security guard regulation & job description/security guard |
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certificate |
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29 |
消防应急预案/程序,消防演习记录(含照片)Fire drill program & records and fire |
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evacuation plan & procedure (inlcuding pictures) |
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30 |
食堂卫生许可证/食堂员工健康证 Sanitation Permit for Kitchen/ Health Certificate of |
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kitchen employee |
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31 |
急救人员资格证书 Trained first aider certificate |
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32 |
医护人员执业资格证书 (如有) Qualified certificate of doctor or nurse, if applicable |
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33 |
工伤医疗事故处理记录/再发生防范措施 Accident,injury reports & records/Precaution |
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Measures on Reocurrence |
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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 |
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elevator & lift and annual inspection certificate |
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35 |
锅炉，压力容器使用登记证/年检合格证 Register of pressure vessels & boilers and annual |
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inspection certificate |
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36 |
特种作业人员(叉车/电工/电焊工/司炉工等)资格(操作)证书 Specialized safety training |
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certificate( Valid safety operation certificate of Lift / Forklift vehicle /Qualified Electrician/ Electric welding operator certificate/Operator certificate of boiler) |
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37 |
化学品清单/化学危险品仓许可/(储存物控记录)/ |
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List of chemical/Approval certificate of chemical warehouse/register & storage record |
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38 |
安全防范应急措施/物料安全数据表 Chemical Safety Precuation Measures/MSDS (material |
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safety data sheet) of dangerous chemicals |
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39 |
危险废弃物处理合同/转移记录 Dangerous chemical waste handling contract/transport |
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records |
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40 |
化学危险品仓管员上岗培训证书 Qualified certificate for the keeper of dangerous |
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chemicals warehouse |
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41 |
工作场所职业危害因素(空气质量/噪声等)评价报告 The hazadous elements (air quality |
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and noise etc.)evaluation report for Workplace |
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42 |
危险岗位员工职业健康检查报告 Employees‘ occupational health examination reports/certificates |
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43 |
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 |
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(CBA) |
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Meeting minutes of union/Selection program and Responsibility of workers’ Rep./ Collective Bargaining Agrements(CBA) |
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44 |
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 |
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45 |
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 |
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46 |
分包商清单/对分包商社会责任的监控记录 Sub-contractors list/ monitoring records on sub-contractors' social responsibilities performance |
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47 |
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 |
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环境保护部分 |
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48 |
Environment evaluation report 环境影响评估报告 |
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49 |
Emergency action procedures 环境紧急预案 |
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50 |
Environmental System Policy/ Procedure 环境保护方面的系统文件及程序 |
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商业道德部分 （如适用） |
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51 |
Business Integrity Policy/Procedure 商业道德书面方针/程序 |
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52 |
Business Integrity Training Records/Investigation Reports 商业道德培训/调查报告 |
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53 |
Agreement on Business Integrity with Suppliers 与供应商签订的道德贸易承诺书 |
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6.Critical Noncompliance of SMETA: SMETA 审核的严重不符合项
Child Labor 童工
Involuntary Labor 非自愿劳工 Coercion & Harassment 胁迫与骚扰 Discrimination 岐视
Physical Abuse 体罚
Dangerous Working Conditions that pose immediate threat to workers’ life and safety
恶劣的，高危或安全隐患高的工作环境，
Bribery (商业诚信)
7.Criteria: 评分标准
There is no pass or fail grading/scoring system in SMETA audit. The final results would be decided by the end buyer/client.
SMETA 审核没有采用过与不过的等级或者任何打分系统等。最终的结果将由最终买家或
者客户来决定。
