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