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SMETA 4P审核文件清单

发布时间：2022-04-24 浏览量：次

1、Floor plan / Production Process Flow Chart

厂区平面图 / 生产工艺流程图

2、Business license

营业执照

3、Name list of all employees

雇员花名册 (全厂雇员名册包括正式员工/非全日制工/派遣工/承包商工人/劳务工/外

劳等，12 个月内离职工人名册)

（包括高级管理人员及普通雇员：销售人员，服务经理，采购人员，物流人员，船

务人员，财务人员等）

4、Payroll records of past 12 months (Signed Payroll Record / Bank Transfer Record

for Full-time Employees / Part-time Employees / Dispatch workers / Service

workers/ contract workers/Migrant workers, Piece Rate Record)

最近 12 个月工资记录(在册员工/离职员工/非全日制工/派遣工/劳务工/承包商工人

（如保安，清洁工，厨工等）/外劳签名工资表或银行转帐凭证，计件记录)

5、Attendance records related to above payroll and attendance record of recent

unpaid month

对应以上工资表的 12 月工时记录以及最近未发薪月的工时记录

6、Comprehensive Working Hour System Approval and related attendance records

综合计时批文及相关工时记录 (12 个月内有效批文对应的所有工时记录均应提供)

7、Payment receipt of social insurance schemes & income tax / Registration form

最近 12 个月社会保险和个人所得税之缴费凭证，收据 / 人员申报单

8、Records of paid annual leave

有薪年假记录

9、Factory regulations (Recruitment, Reward, Disciplinary, Wage, Hour, Benefit etc.)

厂规或员工手册（招聘，奖惩，考评，工资，工时，福利制度等）

10 、Personnel files with ID Copy for all types of worker

工人入职登记表附身份证复印件 (体检表-如有)

11 、Labor contracts of employee (Dispatch agreements), labor service contracts

雇员劳动合同 (劳务派遣协议), 劳务协议

12 、Leave applications

员工请假表（最近 12 个月）

13、Law & regulation summary and update (including Labor, H&S, Environment and

Business Ethics)

法律法规汇总与更新 (包括劳工，健康安全，环保和商业道德)

14 、Health examination / registration of juvenile workers

未成年工体检证明/劳动部门登记表

15 、Trade Union / Worker organization

工会委员名单，章程，会议记录 (或其他员工组织，未建立工会则不需提供)

16 、Grievance procedure and record

申诉投诉程序和记录

17、Disciplinary Procedure and record

纪律处分程序和记录

18 、Occupational disease hazard factors tests

车间职业健康危害因素监测报告

19 、Temperature monitoring & control record

车间温度监控记录

20、O-chart of safety committee, safety procedures, emergency preparedness

安全委员会架构图，工厂安全制度，紧急事故处置预案 (灭火和应急疏散预案，危

险化学品事故应急预案)

21、Safety training record - Principal responsible person and safety production

management personnel

主要负责人和安全生产管理人员安全培训记录

22 、First aid responder certificates BUREAU VERITAS Consumer Products Services

Inspection, Audit & Assessment

SMETA 4 Pillar DOCUMENT LIST

SMETA 4P 审核文件清单Updated in Feb 2019

"BUREAU VERITAS PROPRIETARY- copyright Bureau Veritas [2004] - DO NOT DISCLOSE OUTSIDE YOUR ORGANISATION WITHOUT

BUREAU VERITAS PRIOR WRITTEN CONSENT".

急救员证书

23、Fire drill records / Dangerous Chemical spill response drill records

消防演习记录（最近两个年度演习记录照片-厂房/宿舍）危险化学品事故应急演习

记录

24、Production building and dormitory (1) Fire acceptance check report / filling record;

Inspection for Completed Building Construction Projects; (3) Planning permit of

temporary construction; (4) Property ownership certificate or lease contract

厂房/宿舍等 (1) 建筑物消防验收合格证/备案 (2) 建筑工程竣工验收报告 / 合格证明

(3) 临时建筑规划许可证 (4) 房产证或租赁合同

25 、Injury records / Injury procedure

工伤记录 / 工伤处理程序

26 、SDS / Inventory for hazardous substances / chemicals

化学品危险品清单及物料安全资料卡

27 、Safety training records (Fire safety, Job safety, Machinery, PPE, Chemical)

安全培训记录 (消防安全/岗位安全/机器设备/个体防护装备/化学品使用等)

28 、Occupational health examination records

职业病危害健康检查/体检报告

29 、Drinking water test report 饮用水测试报告

30 、PPE instruction & qualification / Fire safety equipment type approval certificate

个人防护装备的产品说明书和认证，消防设备型式认可证书等

31、Special Operation Certificate / Special Equipment Operator Certificate

特种作业操作证 / 特种设备作业人员证（电工/焊工/锅炉工/压力容器操作/厂内机动

车操作工/起重机作业工等）

32、Registration / Safety Inspection documents for Special equipment

特种设备档案 (电梯/锅炉/压力容器/压力管道/厂内机动车/起重机等使用许可证或定

期安检报告)

33、Machinery maintenance program and record

机器设备维护保养程序/记录

34 、Electric wiring maintenance record

电气线路维护记录

35、Food catering license / Food operation license for the canteen in factory

食堂餐饮服务许可证 / 食品经营许可证

36、Health Certificate of food handler/ Radiation work permit

食堂厨工健康证 / 放射工作人员证

37、Environmental documents

环保文件(环评登记表或报告表或报告书/环评批复/竣工验收报告/排污许可证/危废

回收商资质证明/危废转移合同/危废交运联单/辐射安全许可证等)

38、Subcontractor information and Subcontracting Management Procedure/records

外发商/分包商信息 (厂名/电话/地址/联系人/工序) 外发商管理程序及记录

39Production records

生产记录（生产日报表, 仓库收发记录, 质量检查记录等）

40、Work permit, Work-type residence permits, Contract, Personnel file for Migrant

worker / Employment agent license & contract

外籍劳工的工作许可和工作居留，合同及人事档案，与中介公司的资质以及合同

41 、Time recording system / CCTV system & record

考勤系统/闭路电视监控系统

42 、Policy and commitment on respecting Human Rights

尊重人权的政策和承诺

43、Social compliance Procedures

社会责任符合性程序文件（禁止使用童工，保护未成年工，反骚扰歧视，禁止强迫

劳工，尊重自由结社和集体协商，健康安全环保等）

44 、Designated personnel for Social Compliance

人权/社会责任管理负责人任命书

45 、Social compliance internal audit BUREAU VERITAS Consumer Products Services

Inspection, Audit & Assessment

SMETA 4 Pillar DOCUMENT LIST

SMETA 4P 审核文件清单Updated in Feb 2019

"BUREAU VERITAS PROPRIETARY- copyright Bureau Veritas [2004] - DO NOT DISCLOSE OUTSIDE YOUR ORGANISATION WITHOUT

BUREAU VERITAS PRIOR WRITTEN CONSENT".

社会责任内审记录

46 、International recognized system certifications

体系管理相关证书（如 ISO9001, ISO14001, ISO45001）

47 、Labour Agency’s certificate/contract

劳务派遣机构的资质/工厂与派遣机构的协议（如适用）

48 、Land use license or policy

土地使用证书或政策

49 Sedex Self-Assessment Questionnaire (SAQ) Sedex 自我评估问卷

50 、Client’s Environment Requirement/Policy (if any) 客户关于环保的政策(如果有)

51、Environment procedures/polices of the factory (Energy usage, water usage, water

discharge, waste, and emissions to air), reduce energy plan

工厂关于环保的程序/制度(能源和水的使用，废水，固废和废气)，节能减排计划

52 、Appointment document of designated personnel responsible for Environment

工厂环保负责人的任命文件

53、Energy and water usage records (i.e. monthly energy and water fee receipt)

能源和水使用记录：如每月能源(电力，燃煤，柴油，天然气等)月度台帐，水资源

消耗清单（如自来水，地表水，地下水，雨水，回用水）

54、SOP for sewage treatment facility/air emission control facility, and operation

records

污水/废气处理设施的操作规程及运行记录

55 、Communication/(or)Training plan and records of Environment

关于环保的沟通/(或者)培训计划及记录

56 、Client’s Integrity Requirement/Policy 客户关于廉政/商业道德的政策

57、Business Ethics procedures/polices of the factory (offer/receive bribery, gifts and

entertainment, conflict of interests, facilitation payments, etc)

工厂廉政/商业道德的程序/制度（行贿/受贿，礼物及娱乐，利益冲突，通融费等）

58 、Appointment document of designated personnel responsible for Business Ethics

工厂商业道德负责人的任命文件

59、Communication/(or)Training plan and records of related high risk business ethics

personnel

工厂相关高风险人员的商业道德的沟通/(或者)培训计划及记录

60、Communication/(or)Training plan and records of all relevant parties (i.e. Business

partners)

与相关方的商业道德的沟通/(或者)培训计划及记录（如合作商）

61、Factory’s fine/prosecutions records for unethical actions by local law enforcement

authority in past 12 months

工厂在过去 12 个月内因不道德商业行为被处罚/起诉的记录

62 、Reporting/dealing procedure/records of unethical business actions

不道德商业行为的报告/处理程序及记录

SMETA 4P审核文件清单

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