地平线CoC report.doc

Supplier :Tracking No :Factory :Report Date : Auditor:Page :THE HORIZON GROUP CODE OF CONDUCT AUDITGeneral DetailsSupplier NameSupplier LocationFactory NameFactory and Audit LocationAudit dateStandard Type of audit Products currently or proposed to be suppliedOverall gradingKEYA = Factory is fully compliantB = Minor issues foundC = Major issues foundD = Critical issues foundOverall ResultsGradeTotal Non-compliancesCriticalCode of ConductExecutive SummaryAudited byChecked byApproved byNameDateNameDateNameDateFactory Profile1.Factory Name (Include all names)2.Factory Address3.Factory History4.Factory Owners and Representatives Present5.Products being produced on site6.Factory Area in Square Metres 7.No. of Buildings8.Equipment/ Machines9.Total Number of Employees10.Breakdown of Employees11.Does the factory provide accommodation to workers? (How many rooms)12.Does the accommodation belong to factory or is it rented? 13.What accreditations does the factory have? 1. Terms and ConditionsNo.DescriptionGradingRemarksCPCNCNACode1.There must be no forced, bonded or involuntary labour.W,O2.No workers shall be required to lodge deposit or identity papers with their employer.Example : 200 Yuan as deposit would be lodged and would be given to workers until workers resign, or holding ID paper & passport.W3.Any worker shall be free to leave their employer after a reasonable notice.Example : Critical if factory withholds workers ID document or certain amount of wages etc. M, W4.Any worker shall be entitled to a reasonable period of notice in the event of termination.M, W5.What is the period of notice required by local law and by the workers employment contract?M, D6.Workers must not be subject to bullying, physical or verbal abuse or the threat of such.W, O7.Workers must not be subjected to harassment (sexual or other) nor must they be subjected to other forms of intimidation.W8.Disciplinary processes must comply with local law.M, W9.Disciplinary processes must be clearly defined and communicated to all workers.D, W10.Describe the disciplinary processes used by the factory. M11.All disciplinary action must be recorded. D12.Grievance procedure must allow for all workers to raise concerns with their employer about their employment conditions or about other employees without reprisal. M, W13.These processes must be clearly defined and communicated to all workers.M14.Describe the processes that exist for workers to raise concerns with their employer. M15.All workers must be entitled to join a trade union of their own choosing (subject to local law).M16.All workers shall be entitled to bargain collectively (subject to local law). M17.Employers must demonstrate an open attitude towards trade unions and their organisation activities. (subject to local law). M18.Workers representatives must be allowed access to the workplace to carry out their functions and must not be discriminated against. (Subject to local law). M19.Where local law restricts workers rights to join a trade union and to bargain collectively employers must facilitate other means of independent, free association and bargaining. M20.To every extent possible work performed must be on the basis of a recognized employment relationship established through national law and practice. M, D, W21.Part-time, temporary, fixed-term contracts or home-working arrangements shall not be used to avoid compliance with this code or to avoid obligations to employees under local labour law and practice. This includes workers supplied through agencies. M, W22.Workers must be provided with written and understandable information about their conditions of employment, including rates of pay. D23.Workers shall not be placed under duress to sign their agreement to terms and conditions (or changes). W24.Workers shall not on a regular basis be required to work in excess of 48 hours per week. D, W25.How many hours does a worker do per week on average in this factory? D, W26.All workers must be allowed at least one day off in seven. Critical = More than one month without a rest day.D, W27.How many days off per month does a worker have on average in this factory? D, W28.Worker participation in overtime shall be entirely voluntary. W29.Overtime shall not exceed 12 hours per week. Critical = if overtime exceeds 72 hours per month.D, W30.What is the average overtime per month in this factory? D, W31.Overtime shall be paid at a more favourable rate than the rate of basic hours. 32.What is the overtime pay scale? M, W33.There must be no discrimination during recruitment or employment based on race, caste, national origin, religion, age, disability, gender, marital status, sexual orientation, union membership, ethnic origin or political affiliation. W2. Wages and BenefitsNo.DescriptionGradingRemarksCodeCPCNCNA1.Wages and benefits for basic hours must meet local legal minimum criteria or local norms for industry whichever is the higher. Auditor needs to collect more details and evidence to justify this critical issue i.e. how many workers, or how far below the minimum wages that workers are paid, or in what conditions (e.g. new workers?, needs to work 6 days per week? etc.)M, D, W2.Wages and benefits for basic hours must allow at least enough for the provision of basic needs and some discretionary income.M, W3.What is the local legal minimum wage?M4.What is the minimum wage received by the workers in this factory? M, W5.All workers shall be provided with written, understandable information (pay-slip) relating to their wages for each pay period. D6.Where accommodation is provided, this must be safe, hygienic and not compromise the dignity of the workers. O, W7.Where a charge or deduction is made for accommodation, transport, meals or similar benefit which is provided, this deduction shall not be excessive. M, D8.All deductions shall be clearly indicated on workers pay-slips. D9.Deductions from wages as a disciplinary measure shall not be permitted.W10.Deductions from wages not provided for by national law shall not be permitted without expressed permission of the worker concerned.W3. AgeNo.DescriptionGradingRemarksCodeCPCNCNA1.Children shall not be employed. (A child is any person under age 15 or under age 14 in developing countries or any higher minimum age under local law for leaving school and starting work). D, W2.What is the minimum age for starting work according to local law? D, M3.What age is the youngest worker in the factory? D, M4.A young person shall not be employed at night or in hazardous circumstances. (A young person is any worker who is no longer a child but who is under the age of 18). M, W5.The education, health, physical, mental, spiritual, moral or social development of a young person must not be adversely impacted by the work he or she performs, the number of hours worked or the conditions of work. M, W4. Health and SafetyNo.DescriptionGradingRemarksCodeCPCNCNA1.Responsibility for the implementation of Health and Safety shall be assigned to a senior manager. M, D2.What is the name of this Manager and who does he/ she report to? M, D3.Working Conditions for all employees shall be safe and hygienic. Critical only when there is serious Health & Safety issue i.e. risk of serious injury or death or impact on health, likelihood is possible or certain.O, W4.List all health and safety concerns that were evident in the course of the audit.O5.Emergency procedures must be in place and their efficiency evaluated at an appropriate frequency. O6.Are fire drill (or risk assessment or health and safety training) regularly conducted at an appropriate frequency? M, W7.Risk assessment/ management shall be used as a proactive approach to accident prevention. A review of all risks shall be carried out on a regular and appropriate basis. M, D8.Adequate steps shall be taken to minimize the causes of hazards in the working environment. O9.Workers shall receive health and safety training which is refreshed on a regular basis. M, W, D10.Health and Safety training shall be recorded.D11.All accidents are suitably recorded. D12.Personal Protective Equipment (where relevant) is provided for all workers.Critical only when there is serious health/safety hazard if PPE is not provided i.e. risk of serious injury or death or impact on health, likelihood is possible or certain. O13.Is Personal Protective Equipment worn by the workers at all times? O14.Is there evidence that management actively encourages the use of PPE? O, M15.Sufficient First Aid boxes are available in all locations.O16.First Aid boxes are suitably stocked and easily accessible.O17.What is the ratio of staff trained for First Aid and how are they identified? M18.Workers shall not be assigned to any task for which they have not received the appropriate training. M, W19.Clean toilet facilities must be accessible to all workers. O20.What is the ratio of toilets per workers? M, O21.How often are the toilets cleaned per day? M, D22.Potable drinking water must be accessible to all workers. O23.Provision for the hygienic supply, storage and consumption of food shall be made.M, O24.All factory and accommodation areas must have sufficient fire doors, escape routes and extinguishers. Critical only when there is a serious safety issue.O25.Fire Extinguishers are full and easily accessible. O26.Are Fire Extinguishers properly located? O27.Are Fire Extinguishers maintained and checked for function regularly?28.All escape routes and exits shall be clearly marked, suitably illuminated, kept clear and remain unlocked at all times. Critical only when there is a serious safety hazard. O29.Is the Chemicals Management adequate? O30.Are the MSDS visible and of benefit? O31.Are all electrical installations safe? O5. EnvironmentNo.DescriptionGradingRemarksCodeCPCNCNA1.Suppliers must comply with the local environmental legislation as a minimum. M, D2.Suppliers must document their own environmental aims in a written policy statement. D3.Responsibility for the implementation of environmental policy shall be assigned to a senior manager. M4.What is the name of that senior manager and who does he/she report to? M5.What evidence of environmental activity can be seen in the course of the audit? (in relation to sustainable development, optimum use of raw materials, efficient use of energy, safe-guarding of biodiversity and the minimization of adverse impacts arising from the disposal of products) ONotes Each individual question is evaluated as one of the following:C Fully compliantPC Partly complies, but insufficient NC Nil compliance or very poor NA Not applicableAny evaluation of PC or NC should have a explanatory remarks and details and also to refer back into the Corrective Action Plan on Page 2. The Code in the final column refers to the method of gathering or cross-referencing objective evidence:D Documentary VerificationM Management interviewO Observation during factory tourW Worker interview AVAILABLE DOCUMENTS LIST(Detach during opening meeting. Factory to provide 1 copy of each document for verification unless otherwise noted)NoDocumentYesNoN/ARemarks / Comments1.Legal Registration document2.Local Labour Law3.Customers Code of Conduct Document4.Employment Contracts (5 copies)5.Personnel Files (5 copies)6.Training Records (5 copies)7.Time Cards (20 copies)8.Days-Off/ Leave Records (5 copies)9.Pay-Slips (5 copies) 10.Record of ID cards showing Proof of Age11.Organisation Chart12.Factory Lay-out plan13.Accident Record14.Fire Extinguisher Maintenance record15.Health & Safety Certificates16.Risk Assessment/ Internal Audit Records17.Environmental Policy18.Local Environmental Law19.Stock Control Records20.Sub-contractor Audit Reports21.Sample Checking Records22.Inspection Records23.Corrective Action Plans24.Hygiene Policy25.Jewellery Policy26.Tools Control Policy27.Quality Manual 28.Procedure Manual29.ISO 9000 Certificate (if available)30.Production Line work instructions31.Material Safety Data Sheets (MSDS)32.Equipment calibration/ maintenance record33.Equipment and machinery listEMPLOYEE INTERVIEW 11.Sex2.Age3.How long has the factory employed you?4.Have you lodged any deposit or identity papers with your employer? 5.Are you free to leave your employment anytime? 6.Have you ever experienced physical or verbal abuse during your employment? 7.Have you ever experienced discrimination by factory management? 8.How do you raise any complaints to the factory management? 9.What is your basic salary? 10.What is your average monthly salary including overtime?11.How is your salary paid?12.Does the factory deduct any salary as a result of disciplinary action?13.On average, how many hours do you work per day? 14.What are your basic working hours?15.How many hours of overtime do you do? 16.Is overtime compulsory?17.Do you get paid at a higher rate for overtime? 18.How many days off do you get per month? 19.When was the last time the factory practiced a fire drill? 20.Do you think the working conditions are safe and hygienic? 21.Where do you live? 22.Do you think the living conditions are safe and hygienic? EMPLOYEE INTERVIEW 223.Sex24.Age25.How long has the factory employed you?26.Have you lodged any deposit or identity papers with your employer? 27.Are you free to leave your employment anytime? 28.Have you ever experienced physical or verbal abuse during your employment? 29.Have you ever experienced discrimination by factory management? 30.How do you raise any complaints to the factory management? 31.What is your basic salary? 32.What is your average monthly salary including overtime?33.How is your salary paid?34.Does the factory deduct any salary as a result of disciplinary action?35.On average, how many hours do you work per day? 36.What are your basic working hours?37.How many hours of overtime do you do? 38.Is overtime compulsory?39.Do you get paid at a higher rate for overtime? 40.How many days off do you get per month? 41.When was the last time the factory practiced a fire drill? 42.Do you think the working conditions are safe and hygienic? 43.Where do you live? 44.Do you think the living conditions are safe and hygienic? EMPLOYEE INTERVIEW 345.Sex46.Age47.How long has the factory employed you?48.Have you lodged any deposit or identity papers with your employer? 49.Are you free to leave your employment anytime? 50.Have you ever experienced physical or verbal abuse during your employment? 51.Have you ever experienced discrimination by factory management? 52.How do you raise any complaints to the factory management? 53.What is your basic salary? 54.What is your average monthly salary including overtime?55.How is your salary paid?56.Does the factory deduct any salary as a result of disciplinary action?57.On average, how many hours do you work per day? 58.What are your basic working hours?59.How many hours of overtime do you do? 60.Is overtime compulsory?61.Do you get paid at a higher rate for overtime? 62.How many days off do you get per month? 63.When was the last time the factory practiced a fire drill? 64.Do you think the working conditions are safe and hygienic? 65.Where do you live? 66.Do you think the living conditions are safe and hygienic? EMPLOYEE INTERVIEW 467.Sex68.Age69.How long has the factory employed you?70.Have you lodged any deposit or