社会责任审核报告模板.doc

精品文档IntroductionThe * (Assessment type) for * (Facility name) was conducted on * (date) on an announced/unannounced basis as per the clients directive. Upon arrival, the auditor was greeted by * (Facility management names and title). After exchanging name cards, an opening meeting was held with * to introduce the assessment procedures. The management was receptive about the assessment procedures and a full access of assessment was granted immediately. The management team showed cooperative attitude during the assessment and the whole process was conducted smoothly. Child LaborA walkthrough of the facility was conducted during the assessment. It was found that most of the employees appear mature. The young looking employees were selected for private interviews in order to verify their ages. All interviewed employees reported to be elder than the legal working age of 18. Employee Documentation Employees interviewed stated that they had to provide their personal identification cards when they were employed. Age documents are maintained in the form of photocopied national identification cards which contain the employees names, dates of birth and personal pictures. As per the employees testimonies and the facility management, the original age documentation is maintained by employees themselves. Age documents for all employees were requested and provided. 100% of employees age documents were reviewed. It appears that the facility has a system in place to ensure no child labor is hired.The management team was requested to provide the labor contracts for review. It was found that the labor contracts had been signed with all employees. Meanwhile, all the interviewed employees stated that they would sign labor contracts with facility when they were employed and a copy of the contract is provided to them as well.Involuntary LaborA total of # employees were selected from different workshop for private interviews. Voluntary employment was reported by all interviewees and overtime was conducted on a voluntary basis as well. The interviewees did not report any daily production quota. Employees are free to leave the work place after regular hours. The employees stated that they possess their own identification cards and could easily obtain permission to go home when they are sick or for personal reasons. Employees are hired through out-door advertisement rather than outsource agency. As per the employees testimonies, no deposit is required upon hire. Moreover, interviewees stated that they are free to take restroom and drinking water breaks.Abuse of LaborEmployees interviewed stated that they are treated with dignity and respect by the facility management. No abuse practice was observed on the day of the assessment. There are not instances or reports of physical, psychological or verbal abuse during the current assessment. Discriminationl What are the hiring practices in this facility? Could this be confirmed by EE reports?l Who reported the hiring criteria?l What exams and/or tests are required as part of the interview process?l Are the medical exams or tests used as a condition of hire? Is there evidence of pregnancy testing? l What did female or other minority EEs report regarding discrimination practices in the facility?l Are female EEs terminated in the job after they get married or pregnant? l Are EEs from different ethnic or cultural background treated equally in the facility?l Are the salaries equally paid regardless of gender?A total of 15 employees from different sections were selected for private interviews. None of the employees interviewed reported any kind of discrimination based on race, color, gender, religion, political beliefs, marital status and sexual preferences.As per the employees testimonies, the facility has an equal-opportunity policy regarding hiring, compensation, benefits, advancement, discipline, termination and other employment practices.Freedom of Association & Collective Bargainingl Is there a union associated with the facility?l What is the name of the union?l Are all EEs at the facility members of the union?l Are EEs free to unionize or not unionize?l Is there a collective bargaining agreement (CBA) in place?l Is the CBA published and available for EEs to view?l Was the CBA available for the assessor to review?l What is the valid period of the collective contract?l Does management persuade EEs to not unionize?Wages and HoursA full payroll assessment was conducted. The payroll registers and time records for March to May 2006 were requested and provided for review. The records for * were taken as a primary sample for the assessment. The number of employees reported on the payroll is #, including # hourly rate employees and # piece rate employees. There are # employees present on the day of the assessment. All of them are paid on monthly basis around 20th of each month. Wages are given in the form of cash. As per the employees testimonies, pay slips are issued to them when wages are given.The payroll registers provided are itemized as the employees: staff number, name, days of attendance, total working hours, piece (or hourly) rate wages, average hourly wage, minimum hourly wage, working hours on weekdays and compensation, overtime hours on weekdays and compensation, overtime on rest days and compensation, overtime of official holidays and compensation, net wage and signature. As per the payroll registers, when overtime is conducted, it is correctly calculated at 150%, 200% and 300% of the normal wages for overtime on weekdays, rest days and official holidays. The normal wages show on the payroll range from RMB403 to RMB984, higher than the local minimum wage of RMB400. And the average normal wage is RMB660, the average overtime compensation is RMB 481, therefore, the average total wage is RMB1141. No benefit is given to the employees and no deduction is taken from their pay. Working HoursThe reported standard work hours are from 8:00am to 5:00pm, Monday to Friday, which are 8 hours per day and 40 hours per week. The regular hours are complying with the local regulations. Employees are provided with one hour of lunch break from 12:00am to 1:00pm every work day. The swiping card system is utilized at the facility to record all working hours. As per the employees testimonies, the work hours are recorded by employees themselves. The provided time records are adequate and accurate, which are consistent with the employees statements. As per the employees testimonies, overtime on weekdays was from 7:00pm to 9:00pm, 3 times per week on the average; overtime on Saturday was conducted 8 hours per time and 4 times per month; no Sunday work has ever been arranged. The overtime was reflected in time records and appears to be consistent with employees testimonies. The average number of overtime is # hours. Benefit and Deductionsl What benefits do EEs receive as reported by EEs and verified by documentation?l Are benefits equally provided to all EEs?l How often do EEs receive the benefits?l Are EEs registered in the social security program?l Are EEs entitled to medical service?l Were the social security payments provided for review?l Are all EEs register in the social security payments?l Are EEs enrolled in the pension fund?l Are EEs deducted for pension fund?l Did the management provided with the pension fund payments towards the proper agency?l For what month the payments were provided for?l Are all applicable EEs included in the payments?l Do EEs receive vacation or annual leave as mandated by law?l Do EEs receive tools, uniforms, and supplies free of charge?l Are EEs receiving transportation or stipends?l Are EEs provided with housing? If so, what is the cost?l What deductions are taken from the EEs wages and why?l Are the deductions in compliance with the law?l Are EEs charged for food or water?Home WorkersSubcontractorsExample one: The facility has obtained all necessary licenses, such as a business license, national tax license, and land tax license. The licenses appear current and valid. As per the statement of the management, no subcontractor is utilized at the facility. Given the numbers of employees hired and machinery, it appears that the entire clients products can be finished in house. Moreover, the interviewees did not report the use of subcontractors.Trans-shipment & Quota sections N/A.Example Two: As per the statement of the management, subcontracting facilities are utilized for the processes of Weaving and Stitching. Moreover, the utilization of subcontractors has not been authorized by the client.Hereunder is the brief information of the subcontracting facilities:Subcontractor Name: Hong Jun Wool Weaving FactoryPlant Specialty: Weaving & StitchingAddress: Huangkeng Industrial Distric, Shilong County, Liaobu town, Dongguan, Guangdong, ChinaPhone: 86-769-3283068Fax: 86-769-3283068Health and SafetyGeneral state of the facility Describe its size, sturdiness and overall appearance.A full health and safety walk through was conducted during the current assessment. The facility was found to be in acceptable condition with adequate shelter, ventilation, heat and illumination. It appears that the facility is well prepared in an event of an emergency evacuation. There are sufficient exits on each floor. All exits are marked, accessible and open. Evacuation plot plan which indicates the possible escape routes and the location of the fire extinguishers is posted on each floor. All aisles are unblocked and wide enough to allow easy access to the emergency exits. Emergency lighting is available for aisles. Moreover, emergency yellow lines are marked on all aisles. Sufficient number of fire equipment is installed on each work floor. Fire extinguishers are found to be visible, marked and mounted. Moreover, they are found to be regularly checked. Employees are trained on fire fighting procedures. Moreover, as per the provided records, fire evacuation drills have been conducted once per half year. The latest fire evacuation drill was conducted on #. The machinery was found to be well maintained with all necessary safety equipment. Pulley guards are installed in rotation parts. A maintenance program is found to be in place. All control panels viewed are marked, covered and unblocked. All switches are labeled according to their functions.Sufficient number of first aid kit is found to be provided on each work floor as well as the warehouses. They are found accessible and fully stocked with supplies. Potable water is provided to all employees free of charge. The number of restrooms at the facility is sufficient and all are provided with basic supplies. Moreover, the restrooms are separated by gender and visibly marked. Chemicals like thinner and paints are used during production. All chemical containers are found to be well covered and labeled. Material Safe Disposal Sheets (MSDS) for chemicals used are maintained at the facility. Chemical containers in large volume are provided with secondary containment. Employees in contact with chemicals are provided with adequate protective equipments like glove and mask. Sewage discharge permit is maintained as well.SecurityThe facility is surrounded by concrete walls, which are about 2.5 meters in height. There are 11 security guards hired at the facility and the facility is guarded 24 hours a day, 7 days a week in 3 shifts. Upon arrival, the assessors were asked about the purpose of the visit and requested to register on the log book maintained at the front gate of the facility. Only after the permission of the management was obtained were the visitors permitted to enter the facility. There was no report from employees regarding abuses from the security guards. The facility does not appear to pat-down its employees when they leave the facility. Hence, security does not pose a concern currently.HOUSINGl What is the general state of the housing units?l How many EEs are housed in the dormitories?l How many EEs share a room?l Is there sufficient space?l Are there personal storage areas?l Do EEs have privacy?l What are bathroom facilities like?l Are curfews enforced?l Is safety equipment available (e.g., fire extinguishers, first aid kits, emergency exits)?l Is there a secondary exit?CONCLUSIONAt the end of the assessment, a closing meeting was held with *. The current assessment findings and related recommendations were explained to the management team in detail. The management team appeared to accept all the findings and the recommendations, and signed the CAP. Based on the current findings, the facility was graded as “* (Grade)” for future sourcing.SPECIFIC AREAS TO BE ADDRESSED IMMEDIATELYJust put the summary words for the current concerns.Example:“Youth restriction, time records keeping, health and safety”NARRATIVE SUMMARYThe * (Assessment type) of * (Facility name) was conducted on * (date), 2006 on an announced/unannounced basis. Upon arrival, the assessors were greeted by * (Facility management names and title). After exchanging name cards, an opening meeting was held with Mr. Wu and Ms. Lu to introduce the assessment processes. A full access of assessment was granted immediately. The management team showed cooperative during the assessment and the whole process was conducted smoothly.CHILD LABOR/EMPLOYEE DOCUMENTSWhat was the apparent age of the employees when entering the facility?After interviewing the employees what where their stated ages?What documentation did employees state they had to provide when they were first employed?What documentation was used for identification, and how was it kept?Example:A walkthrough of the facility was conducted during the assessment. It was found that most of the employees appear mature. The young looking employees were selected for private interviews in order to verify their ages. All interviewed employees reported to be elder than the legal working age of 16. Age documents are maintained at the facility in the form of photocopied national identification cards which list the employees names and dates of birth. A total number of 113 juvenile employees were detected during the current assessment. All juvenile employees are covered with physical examination before being hired. The work registration certificates of these juveniles were also provided for review. In addition, the management team was requested to provide the labor contracts for review. It was found that the labor contracts had been signed with all the employees at the facility. Meanwhile, all the interviewed employees stated that they would sign a labor contract with facility after being hired and a copy of the contract was kept by them.Prison LaborThe interviewed employees did not report any daily production quota. Employees are free to leave the facility after the working hours. Moreover, overtime is worked by them on a voluntary basis. The employees stated that they possess their own identification cards and could easily obtain permission to go home when they are sick or for personal reasons. No prison labor was reported by the employees interviewed. Therefore, there is no concern apparent regarding prison Labor during the assessment.QUOTA / TRANSSHIPMENT / SUBCONTRACTINGExample (No subcontractor utilized):As per the statement of the management, no subcontractor is utilized at the facility. During the walkthrough of the facility, the inspectors found no sign of transshipment. The inspectors checked trash bags and package boxes. No apparent fraudulent labels were found. Also all package boxes correctly state that the goods are “Made in China.” Therefore, no concern is apparent regarding subcontracting this time.Example (Subcontractor disclosed):As per the statement of the management, subcontracting facilities are utilized for the processes of Weaving and Stitching. However, the utilization of subcontractors has not been authorized by the client.Hereunder is the brief information of the subcontracting facilities:Subcontractor Name: Hong Jun Wool Weaving FactoryPlant Specialty: Weaving & StitchingAddress: Huangkeng Industrial Distric, Shilong County, Liaobu town, Dongguan, Guangdong, ChinaPhone: 86-769-3283068Fax: 86-769-3283068Example (With OPA):As per the statement of the management team, the products made at the facility will be transshipped to Hong Kong for sale. The Outward Processing Arrangement (OPA) was provided for review which confirms the statement of the management team. In addition, a search was conducted for evidence of falsification or transshipment at the facility. As a result of the search, no evidence of falsification or transshipment was found. The employees interviewed did not report any use of subcontractors. Moreover, after reviewing the production capacity of the facility, it was apparent that there are sufficient machines and employees for the production reported by the management team. Therefore, there is no concern apparent during the current assessment.Legal Issues & Licenses (Sub-contracting, Trans-shipment & Quota)Example: The facility has obtained all necessary licenses, such as a business license, national tax license, and land tax license. The licenses appear current and valid. It does not appear that licenses are a concern at the facility at this time.As per the statement of the management, no subcontractor is utilized at the facility. Given the numbers of employees hired and machinery, it appears that the entire clients products can be finished in house.Trans-shipment & Quota