斯比特咨询管理
speedesc.com
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Client
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Vendor
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Factory
(Name/address)
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Type of audit
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q 1st party audit q 2nd party audit q 3rd party audit
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q Announced audit q Unannounced audit
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q Initial audit q 1st follow up q2nd follow up
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References
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Job Number
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Auditors
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Date of audit
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Signed by Lead auditor
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Factory Name
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Address
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Contact Person
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Tel
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Fax
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E-mail
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Factory Operations
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Products Manufactured
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Production Capacity
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Qty Per year
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Manufacturing Floors
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S.Q. Meters
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Dormitory Area
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S.Q. Meters
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Kitchen and Canteen
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S.Q. Meters
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Production Process Flow
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Equipment used
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Employees Details
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Male
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Female
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Sun-total
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Supervisors/Managers
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Administration Staff
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Quality Control Staff
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Engineering Staff
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Workers
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Sub-total
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Auditor name
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Auditing company
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Role in the team
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Audit date
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Name
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Position/Department
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Item no
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Requirement
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Yes/No/NA
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Comments
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1.1
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Does the factory have a copy of valid laws and regulations on child labor OR understand its requirements?
What is the legal Youngest age of workers?
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工厂是否有关于童工的法律文本复印本。
法定最小年龄多少？
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1.2
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Does the factory have a copy of valid regulations and laws on young worker protection OR understand its requirements?
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工厂是否有关于未成年工的法律文本复印本
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1.3
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Does the factory have effective procedures to verify the age of worker at the time of recruitment?
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有无核对工人年龄的程序。
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1.4
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Does the factory keep adequate age documents of workers such as ID copies and personnel records?
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有无工人的年龄资料。
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1.5
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Is separate register maintained for child labor / young workers?
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童工和未成年工是否分开登记。
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1.6
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Is any evidence identified that child labor was employed at the factory?
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1.7
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Does the youngest age of workers at the factory Comply with local legal requirements?
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1.8
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Does the factory have effective remediation programs existing for child labor (where appropriate)?
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1.9
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Is child remediation program monitored by the labor ministry / UNICEF / ILO (where appropriate)?
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1.10
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Are suspected young worker age records such as age certificate, local records or certificate from surgeon verified?
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1.11
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Are children or young workers engaged in hazardous work?
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童工/未成年工是否安排在危险岗位？
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1.12
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Are children or young workers employed at night shift?
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童工/未成年工是否安排有夜班？
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1.13
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Does the factory implement any work experience/ apprenticeship scheme for school age children?
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1.14
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Are above findings confirmed through interview with workers?
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Section Rating: Child Labor
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Nonconform: q High q Medium q Low
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q Conform
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Legal/Code Non-conformance :
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Corrective Actions confirmed by factory / Agent :
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Responsibility
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Deadlines
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Good Practice:
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Remark:
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Item no
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Requirement
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Yes/No/NA
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Comments
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2.1
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Does the factory have a copy of valid laws and regulations on forced labor or understand its requirements?
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关于强迫劳动的法律文本
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2.2
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Are all workers present voluntarily at the factory?
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员工是否自愿上班
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2.3
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Are workers free to leave after working hours? Is any restriction placed?
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2.4
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Are workers permitted time-off with doctor’s certificate when sick or for maternity?
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2.5
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Is any evidence of physical or verbal abuse identified? Whether use of force observed, at least for overtime work?
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有无体罚？折骂？
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2.6
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Do all workers sign employment contracts with the factory? Is it unfair or illegal?
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是否都有合同。
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2.7
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Is any evidence identified that security guards were used to coerce workers ?
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保安员打人吗？有用武力吗？
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2.8
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Are workers not required to lodge deposits or original documents such as ID papers, training certificate, etc.?
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有押金？押身份证？
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2.9
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Is any physical method impeding freedom of workers such as surveillance camera, locked exit during working hours or perimeter fences, etc?
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工作时有闭路电视等监督吗？
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2.10
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Is any evidence identified on the use of forced labor / prison labor?
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Section Rating: Forced Labor
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Nonconform: q High q Medium q Low
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q Conform
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Legal/Code Non-conformance :
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Corrective Actions confirmed by factory / Agent :
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Responsibility
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Deadlines
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Good Practice:
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Remark:
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Item no
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Requirement
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Yes/No/NA
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Comments
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3.1
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Does the factory have a copy of valid laws and regulation on health and safety or understand its requirements?
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法律文本？
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3.2
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Is written health and safety policy posted and signed by top management?
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有无健康安全政策贴在现场？
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3.3
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Is safety committee established with members representing the various shifts, functions and levels?
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有无安全委员会？该委员会应有不同班次，不同岗位，不同层次的人员参加。
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3.4
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Is a senior management representative for health & safety appointed? If yes please specify the title.
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有无健康安全代表？
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3.5
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Does the factory arrange health and safety training for new workers?
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有无健康安全培训？
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3.6
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Are training and awareness programs on health and safety arranged regularly for all workers?
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3.7
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Are accidents reported and recorded?
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有无事故记录？
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3.8
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Does the factory keep injury / illness records such as daily injury and illness log, injury statistics, illnesses report or any other safety statistics?
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3.9
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Are corrective actions taken to prevent recurrence of work related accidents?
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3.10
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Does the factory have valid fire inspection certificates issued by local fire service authority?
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消防验收报告？
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3.11
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Does the factory have adequate number of fire extinguishers at each factory floor?
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3.12
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Are all fire extinguishers inspected and tested regularly and ready to use at all times?
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消防器材是否定期检查？
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3.13
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Is an effective fire extinguishing system i.e. fire hydrant/fire hose or sprinkler installed at each factory floor and maintained properly?
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3.14
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Are all fire extinguishing systems inspected and maintained properly?
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3.15
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Is fire and hazard early warning system such as smoke detector installed and regularly tested?
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3.16
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Are fire drills conducted regularly at least once a year? When and how?
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消防演习？
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3.17
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Are fire exits and escape routes adequate at each factory floor?
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3.18
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Is any fire exit and escape route blocked or locked? Is any slide door used at the factory?
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3.19
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Are exits and fire exits identified with sign or indicator lamps?
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3.20
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Are adequate emergency lights installed at each factory floor?
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3.21
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Is the factory no more than 5 minutes away by fire engine from nearest fire station?
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最近的消防站离厂区在5分钟内能到吗？
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3.22
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Did any fire accident take place in the past 12 months at the factory?
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12个月内发生过火灾吗？
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3.23
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Does the factory have valid inspection certificates for boilers, elevators, pressure vessels and other equipment per local regulation?
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锅炉、电梯、压力容器证书？
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3.24
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Are the operators of above-mentioned equipment trained and qualified per local regulation?
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锅炉、电梯、压力容器操作员证书？
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3.25
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Are adequate guarding or devices installed for moving/rotating parts of machine, pulleys and belts or any other dangerous parts of machines?
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设备安全保护装置合适吗？
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3.26
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Is any instruction emphasized to prohibit loose clothing, jewellery or long hair near moving machinery?
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有无设备操作规程？员工保护指引：如不带首饰，长发应盘起来等等。
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3.27
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Are all electricians, welding operators and forklift drivers etc. trained and qualified per local regulations?
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电工，叉车工、电焊工证书？
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3.28
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Is electrical safety procedures implemented effectively to ensure safety precautions such as grounding, discharging, and testing to be taken?
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用电指引？
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3.29
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Are all the electrical wires installed in fully acceptable condition and adequately protected?
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3.30
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Are electrical installations are checked periodically and repairs carried out by competent electrician?
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3.31
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Is hot work permit procedure implemented for welding, cutting and open flame operation at the factory?
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热操作规程？
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3.32
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Are all site buildings maintained in good condition in both physical surface and structure?
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3.33
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Are dangerous/hazardous substances used or stored at the factory?
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化学品存放安全？
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3.34
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Are these substances safely and securely stored?
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3.35
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Are administration and engineering controls (reduced shift hours, ventilation fans and exhaust fans) introduced to reduce personal exposure?
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3.36
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Are personal protective equipment (PPE) such as goggles, glasses, gloves, earplug / muff, boots, or protective clothing provided at factory cost and in fully acceptable condition?
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PPE
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3.37
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Is air quality test done if hazardous fumes existed?
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空气测试？
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3.38
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Does the factory have a suitable working environment in respect of ventilation, temperature, lighting, cleanliness, and tidiness (overcrowding)?
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3.39
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Does the factory arrange regular health examination for workers exposed to hazardous environment?
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危害工位员工是否定期体检？
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3.40
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Are there adequate evidences confirming that the workers’ health is not affected by hazardous factors?
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3.41
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Does the factory have any occupational health inspection certificate issued by local government authority?
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3.42
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Are adequate first aid kits located at each factory floor and marked with signs?
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急救设备？
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3.43
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Are adequate workers trained on first aid? How many trained first aiders at the factory?
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急救人员？
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3.44
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Is an in-house clinic/first aid station established with competent doctor/first aider employed at the factory?
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急救站？
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3.45
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Is a nearby medical centre/hospital/clinic available to factory?
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3.46
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Is potable water accessible and adequate at each factory floor?
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3.47
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Are lavatory facilities accessible, clean and reasonable in number at each factory floor? Does it meet local requirements?
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3.48
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Toilets are private and segregated for men and women?
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3.49
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Are washbasins and water taps available? Adequate?
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3.50
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Are the factory kitchen and canteen clean and hygienic with adequate facilities?
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3.51
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Are kitchen and canteen subject to local government licensing? If yes, does the factory have such a permit or license?
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3.52
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Are adequate evidences identified that workers working in kitchen are suitable to food service? Such as health examination.
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3.53
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Is there any food safety program established to ensure all the food and stuffs purchased from reliable sources?
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3.54
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Is any pest control program established and implemented effectively?
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3.55
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What is the average dormitory space per worker? How many workers per room? Does it meet with local norms and standards?
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3.56
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Is there adequate living space for each worker and meet the requirements of relevant local regulations?
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3.57
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Are recreation areas available at the factory?
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3.58
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Are kitchen, laundry facilities available in dormitory?
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3.59
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Is there an adequate supply of sanitary drinking water available to workers at adequate distance at dormitory?
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3.60
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Are there adequate toilets with hand basins available to workers at adequate distance at dormitory?
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3.61
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Are there adequate bathrooms available to workers at dormitory?
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3.62
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Are sanitary areas clean and hygienic with available washing facilities?
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3.63
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Are the dormitory clean, safe and well lit?
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3.64
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Are workers free to exit & re-enter dormitory freely? Are any curfew hours set?
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3.65
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Are adequate security measures provided to protect workers at dormitory?
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3.66
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Do the dormitory buildings appear structurally sound and in acceptable repair?
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3.67
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Are dormitory exits unblocked and unlocked for emergency evacuation?
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3.68
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Are written dormitory rules posted? (if yes please attach copy)
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3.69
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Are fire emergency evacuation plans posted at dormitory and understood by all workers?
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3.70
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Is any worker’s dormitory located in the building of production and/or warehouse?
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Section Rating: Health & Safety
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Nonconform: q High q Medium q Low
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q Conform
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Legal/Code Non-conformance :
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Corrective Actions confirmed by factory / Agent :
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Responsibility
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Deadlines
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Good Practice:
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Remark:
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Item no
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Requirement
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Yes/No/NA
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Comments
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4.1
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Does the factory have a copy of valid laws and regulations on trade union and freedom of association or understand its requirements?
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法律文本？
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4.2
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Is workers’ right to form and join free trade unions and workers’ associations acknowledged by the management and workers?
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4.3
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Are trade unions or workers’ associations formed at the factory?
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4.4
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Do workers elect their own representatives / spokesperson? If yes, please specify their title.
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4.5
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Do worker representatives have access to members at workplace?
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4.6
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Is any evidence identified on disparate treatment between union/non-union workers?
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, , 4.7
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If restricted by law or if there is no formal workers union / association, does the factory facilitate parallel means such as worker committee?
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4.8
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For non-unionised factory, are fair and effective mechanisms to ventilate and resolve grievances of workers in place?
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4.9
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Does the factory provide workers to choose a representative from their own group to facilitate communication with senior manager?
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4.10, , , ,
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Does the factory encourage workers to formally join and carry out activities like complaints & resolutions of workers’ grievances, health & safety related activities, worker – management activities on productivity, etc.?
Does interviews with, , workers &, , amp; representative confirm the above findings ?
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Section Rating: Freedom of Association
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Nonconform: o High o Medium o Low
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q Conform
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Legal/Code Non-conformance :
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Corrective Actions confirmed by factory / Agent :
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Responsibility
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Deadlines
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Good Practice:
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Remark:
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Item no
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Requirement
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Yes/No/NA
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Comments
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5.1
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Does the factory have a copy of valid laws and regulations on non-discrimination or understand its requirements?
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法律文本？
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5.2
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Is any evidence identified on discrimination in employment, promotion, compensation, welfare, dismissal and retirement, etc.?
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5.3
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Do employment reflect local ethnic/religious breakdown – no domination by one group?
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5.4
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Does employment records show any evidence of discrimination – patterns of dismissal?
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5.5
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Do workers have access to and familiarity with procedures for filing complaints about discrimination?
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5.6
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Is equal salary for equal work for male and female workers implemented at the factory?
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5.7
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Is there any existence of sexual harassment, especially of young female workers?
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5.8
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Is any evidence identified on discrimination through interview with workers, individual and collective?
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Section Rating: Discrimination
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Nonconform: q High q Medium q Low
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q Conform
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Legal/Code Non-conformance :
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Corrective Actions confirmed by factory / Agent :
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Responsibility
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Deadlines
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Good Practice:
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Remark:
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Item no
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Requirement
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Yes/No/NA
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Comments
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6.1
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Does the factory have a copy of valid laws and regulations on disciplinary practices or understand its requirements?
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法律文本？
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6.2
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Does the factory have documented disciplinary rules and communicate to all workers?
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厂规有告诉员工吗？
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6.3
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Are the disciplinary rules fair, reasonable and legal or validated by local government authority?
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6.4
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Does any evidence exist for mental / physical coercion?
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有无精神/肉体上的压迫？
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6.5
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Is any evidence of deductions from pay for non-fulfilling production target or sickness?
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6.6
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Are the worker’s disciplinary actions recorded?
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6.7
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Do workers have access to appeal in case of infractions / breaking of rules.
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6.8
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Are the fines used for workers‘ benefits?
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罚款是否用于员工福利？
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6.9
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Is the factory free of any citation, penalty from violation of laws and regulations in past 12 months?
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12个月内发生过罢工吗？
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6.10
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Do interviews with workers confirm above findings?
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Section Rating: Disciplinary Practice
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Nonconform: o High o Medium o Low
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q Conform
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Legal/Code Non-conformance :
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Corrective Actions confirmed by factory / Agent :
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Responsibility
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Deadlines
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Good Practice:
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Remark:
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Item no
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Requirement
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Yes/No/NA
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Comments
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7.1
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Does the factory have a copy of valid laws and regulations on working hours or understand its requirements?
What are the local legal working hours per week?
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关于工时的法律文本？
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7.2
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Does the factory have written policy on working hours, rest and vacations and communicate to all workers?
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关于工时的工厂内部规定？
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7.3
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Does the working hours policy meet local laws and regulations?
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7.4
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Is the working hours of individual workers recorded by time card or attendance record?
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7.5
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What is the factory’s regular working hours per per/week/ month? Does it meet local legal requirements?
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7.6
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What is the maximum working hours of individual workers per day/week/month? Does it meet local legal requirements?
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7.7
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What is the average working hours of individual workers per day/week/month? Does it meet local legal requirements?
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7.8
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What are the average overtime hours of individual workers per day/week/month? Does it meet local legal requirements?
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7.9
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Do workers have reasonable time for meal breaks and rest break?
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7.10
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Does the factory have any valid written approval or permit on extra overtime hours from local labor authority?
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有无地方政府关于延长工时的批文？
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7.11
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Do workers work overtime voluntarily? Do they have the right to refuse overtime?
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Section Rating: Working Hours
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Nonconform: q High q Medium q Low
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q Conform
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|
Legal/Code Non-conformance :
|
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Corrective Actions confirmed by factory / Agent :
|
Responsibility
|
Deadlines
|
|
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|
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Good Practice:
|
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Remark:
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Item no
|
Requirement
|
Yes/No /NA
|
Comments
|
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8.1
|
Does the factory have a copy of valid laws and regulations on compensation and benefits or understand its requirements?
|
|
福利待遇的法律文本？
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8.2
|
Does the factory have written policy on compensation and benefits and communicate to all workers?
|
|
福利待遇的工厂内部规定。
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8.3
|
Does the compensation and benefits policy meet local laws and regulations on working hours?
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8.4
|
What is the paid minimum wages at the factory? Do all workers’ wages meet local minimum wages?(including trainees / apprentices / workers in probation period)
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8.5
|
Is compensation calculation method communicated to all workers and understood by them clearly?
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|
员工理解相关规定吗？
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8.6
|
Are fair and legal rates paid for overtime?
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8.7
|
Are all compensation paid to workers themselves in cash/cheque/direct to bank or any other method convenient to workers?
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8.8
|
Do workers receive correctly calculated wages per local legal requirements?
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8.9
|
Are wage slips given to workers and are they understood (rates, totals, deductions, benefits) ?
|
|
有无工资单给员工？
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8.10
|
Is there a sufficient system to let workers check/ verify their wages?
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8.11
|
Are workers’ wages deducted for any reason other than tax, social security?
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8.12
|
Are these deductions fair, reasonable and legal?
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8.13
|
Is the payment frequency reasonable? Does the factory withhold workers’ wages for any reason?
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8.14
|
Is extra work to fulfil production target demanded without payment? Is rework paid?
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|
是否存在为完成任务而加班且无加班费？
返工有工资吗？
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8.15
|
Is any evidence identified on payment in kind, e.g. food or products?
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|
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8.16
|
Are all workers provided social insurance per local legal requirements?
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Section Rating: Compensation
|
|||
|
Nonconform: o High o Medium o Low
|
q Conform
|
||
|
Legal/Code Non-conformance :
|
|||
|
Corrective Actions confirmed by factory / Agent :
|
Responsibility
|
Deadlines
|
|
|
|
|
|
|
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Good Practice:
|
|||
|
Remark:
|
|||
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|
Item no
|
Requirement
|
Yes/No /NA
|
Comments
|
|
9.1
|
Does factory operate an Environmental Management System?
|
|
有无环保管理体系？
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9.2
|
Does this include waste water treatment?
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|
该体系是否涵盖污水处理？
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9.3
|
Does this include hazardous waste treatment?
|
|
涵盖危险品处理？
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9.4
|
Does this include air pollutant treatment?
|
|
涵盖废气处理？
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Section Rating: Environment
|
|||
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Nonconform: q High q Medium q Low
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q Conform
|
||
|
Legal/Code Non-conformance :
|
|||
|
Corrective Actions confirmed by factory / Agent :
|
Responsibility
|
Deadlines
|
|
|
|
|
|
|
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Good Practice:
|
|||
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Remark:
|
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| 社会责任认证 | ||||||
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