Kroger SA Checklist-SGS社会责任审核清单
GPC社会责任审核所需文件(证件)清单3
□□□ □□□ □□□ □□□ □□□ □□□
11 未成年工名单/登记证/工作安排规定 List of young workers/ registration approval from local labor bureau/regulations on shift arrangement for young workers
25 厂内建筑消防验收合格证/报告 Fire-Fighting Acceptance Inspection Certificate/ Report
26 安全主任资格证(任命书/培训结业证书) Safety officer certificate
27 保安守则/保安上岗证 Security guard regulation & job description/security guard certificate
6 宿舍规章制度 Dormitory regulations 7 招工指引/程序 Recruitment policies & procedures
8 人事记录/员工入厂登记/花名册(所有员工)Employees' personal files/ Employment registration/roster (all employees)
2 公司组织架构图 Organization chart 3 厂区/厂房平面图 Factory floor plans
4 营业执照 Business license 人事行政管理部分
5 员工手册/厂纪厂规及处罚记录 Employee manual/handbook, Factory rules & regulations/ Disciplinary practices policy and Records
sgs社会责任审核文件清单
员工花名册(ADD)
人事记录/员工入厂登记/花名册(所有员工) 所有员工的人事档 案（如入厂登记表 、身份证复印等）
7
未成年员工体检记 未成年工体检及劳动 未成年工体检证明/劳 录及上岗登记证 未成年工名单/登记证/工作安排规定 局登记记录 动部门登记表 （如适用）
8
当地劳动局关于综合 综合计时批文或延长 计算工时工作制批文 加班批文 或延长加班批文
厂房消防合格证 消防演习、消防培 训记录和消防设施 检查记录 消防走火演习/消防逃生程序/急救计划及记录 (含照片）
17
消防演习记录（最近 灭火和应急疏散预案 两个年度演习记录， 、演练记录 照片）
18
工伤记录等
最近 12 个月工伤记 录 / 工伤处理程序
工伤事故记录
工伤医疗事故处理记录/再发生防范措施
环保文件(环评登记表 或报告/竣工验收报告 /排污许可证/危废回 环评报告书(ADD) 收商资质证明/危废转 移合同/危废交运联 单)
排污许可/环保监测报告
/
27 化学品清单，化学品 物质安全资料表，危 化学品危险品清单及 险化学品事故应急救 物料安全资料卡 援预案和演练记录
排污许可证, 有害 化学危险品仓管员上岗培训证书 （危险）废物排放 许可证，化学品列 表，化学品之物质 安全资料表，废物 处理程序文件(如适 化学危险品仓许可/(储存物控记录)/安全防范 用) 应急措施/物料安全数据表/化学品清单
食堂卫生许可证/餐饮 许可证 25 厨房餐饮服务许可证 及厨工健康证 食堂工作人员健康证 厨房卫生许可证， 食堂卫生许可证/食堂员工健康证 厨工健康证、
26
环保文件（如建设项 目环境影响评价文件 （环境影响报告书、 环境影响报告表或者 环境影响登记表）， 环评批复，建设项目 危险废物处置单位的 营业执照和经营许可 证，危险废物处理合 同，危险废物转移联 单等
Kroger社会责任审核评级
Kroger社会责任审核评级评级：绿色：100% - 90%（不容忍零容忍或违反关键行为）“批准”=审计将足够的* 24个月，没有纠正行动计划下一次半宣布的全面再审计在* 24个月（*除高风险国家，必须每年审计）Green:90% - 100% (no Zero Tolerance or Critical violations)“Approved” = audit will suffice for *24 months with no corrective action plan Next semi-unannounced full re-audit in *24 months (*except high risk countries which must be audited EVERY year)黄色：60% < 90%批准条件/ 12个月下半年未宣布全面再审核12个月Yellow:60% - <90%Approved with conditions/ 12 month CAPNext semi-unannounced full re-audit in 12 months橙色：< 60%个关键的违规行为（没有零容忍违规行为）批准条件/ 6个月6个月内未宣布的后续审计/半未满12个月内全部再审核Orange:<60% Critical violations (no Zero Tolerance violations)Approved with conditions/ 6 month CAPUnannounced follow-up audit within 6 months/ Semi-unannounced full re-audit in 12 months红色：< 50%零容忍违反不批准的60天内提交整改计划3个月内未宣布的后续审计/半未满12个月内全部再审核Red:< 50% Zero Tolerance violationNon-Approved 60 day CAP requiredUnannounced follow-up audit within 3 months/ Semi-unannounced fullre-audit in 12 months。
SGS可口可乐（Coca-Cola）TCCC审核责任审核清单
SGS可⼝可乐（Coca-Cola）TCCC审核责任审核清单2.1Employee manual / handbook 员⼯⼿册 / 指南2.2Contract with labor agencies 与劳务派遣公司的合同2.3Worker list including detailed manpower structure of number of direct, indirect, contracted and temporary workers in each department花名册包括详细⼈⼒资源如各部门的直接、⾮直到、派遣和临时⼯⼈的数⽬2.4Arrangement policy for posts and shifts of young workers 未成年⼯岗位班次安排规定2.5Resignation procedure including resign notice period and dismiss and related records 离职程序包括辞职通知时间和解雇和相关记录2.6Factory rules, regulation, process and procedure on disciplinary measures 有关纪律的⼚纪、⼚规、流程和程序2.7Regulations of meals in canteen / accommodation 饭堂 / 宿舍规章制度2.8Worker grievances handling policy / procedure ⼯⼈申诉处理政策 / 程序2.9Handling worker grievance records including worker or worker union ⼯⼈申诉处理记录包括⼯⼈或⼯会2.10Recruitment policy and procedures 招⼯指引和程序2.11Policy to ensure freedom of association / labor union 保障⾃由结社 / ⼯会的政策2.12Records of selection of workers' representatives 员⼯代表选举记录2.13Union-management meetings minutes ⼯会和管理层会议记录Supplier Guiding Principles Audit (Human resources)可⼝可乐公司供应商指导原则审核所需⽂件 (⼈⼒资源) No.Items 项⽬与内容3.1Waiver of comprehensive working hours 综合计时批⽂3.2Time cards of normal and overtime working with at least 12 months 正常和加班⼯作时间记录⾄少12个⽉3.3Working time policy including regular & overtime working, shifts, time in & out, break, leave and rest arrangement for shift⼯作时间政策包括正常和加班⼯作、班次、进出、休息、休假和轮班调休3.4Leaves request application 请假单3.5Production records including daily records and summary of piece manufactured ⽣产记录包括每⽇记录和计件⽣产表3.6Compensation policy with calculation and deduction method for basic salary and overtime premium 薪酬政策规定底薪和加班费的计算和扣减⽅法3.7Payroll records or pay slips covering last 12 months including current months, peak season and low season with all deduction and earnings过去12个⽉⼯资表或⼯资条，包装近期、旺季和淡季，附有全部扣减和收⼊3.8Pay slips with workers' signatures 有⼯⼈签名的⼯资条3.9Bank transaction for worker wages and detail breakdown ⼯资发放的银⾏转帐及清单3.10Wage deduction record ⼯资扣减记录3.11Procedure for piece rate wage calculations 计件⼯资计算程序3.12Local governmental document about minimum wage 当地政府最低⼯资⽂件3.13Proof of worker insurance scheme (social insurance or supplementary commercial insurance)社会保险缴费凭证 (社会保险及补充商业保险)3.14Social insurance scheme waiver from local government 当地政府社会保险豁免参保批⽂3.15Leave policy for workers ⼯⼈请假政策3.16Benefits policy (allowance, paid leaves such as annual leave, marriage leave or maternity leave)福利待遇规定 (津贴，有薪假期如年假或婚产假等)3.17List of allowances 补贴清单Supplier Guiding Principles Audit (Working hours and wages)可⼝可乐公司供应商指导原则审核所需⽂件 (⼯时和⼯资)No.Items 项⽬与内容4.1Special operation certificates for operating lift & forklift vehicle, electrician and welding operator etc 操作电梯与叉车、电⼯和电焊⼯等的特种作业⼈员证书4.2Factory and dormitory building structure safety certificate ⼚房和宿舍建筑结构安全合格证4.3Factory and dormitory building fire safety certificate ⼚房和宿舍消防合格证4.4Security guard certificates (if applicable)保安守则/保安上岗证﹝如适⽤﹞4.5Safety officer certificate 安全主任资格证4.6Register and annual inspection certificate of elevator & lift 电梯和起重设备的登记证和年检合格证4.7Register and annual inspection certificate of pressure vessels and boilers 锅炉和压⼒容器使⽤登记证和年检合格证4.8Pressure vessels and boilers operator certificates 锅炉和压⼒容器上岗证4.9Health and safety training records including operating machine, wearing personal protective equipment and handling chemicals etc.健康与安全培训记录包括操作机器、配戴个⼈防护装备和处理化学品等4.10Fire protection plan, maintenance & testing records for fire protection, fire fighting system, suppression and fire alarm system ⽕警保护计划，⽕警保护、消防系统、⽕灾扑灭和报警系统的保养和测试记录4.11Fire / evacuation drill plans and records 消防 / 疏散演习计划和记录4.12Approval for dangerous chemical warehouse and storage material control records 化学危险品仓许可和储存物控记录4.13Dangerous chemical warehouse operator training certificate 化学危险品仓管员上岗培训证书4.14Material safety data sheet for chemicals 化学品的物料安全数据数据表4.15Emergency evacuation plan, hazard communication program and Emergency Response Team (ERT) organization 紧急疏散预案4.16Procedures / programs for emergency medical treatment 紧急就医程序 / ⽅案4.17Work-related injury and illness records such as log book or nurse’s log 与⼯作有关的损伤及疾病记录如记录本或护⼠⽇志4.18First aider qualification certificate 急救⼈员资格证书4.19Qualified certificates for doctors or nurses in factory 在⼚医护⼈员资格证书4.20Qualitative and quantitative industrial hygiene monitoring reports (noise, chemical and physical)⼯业卫⽣定性和定量的监测报告（噪⾳，化学性和物理性）4.21Worker occupational health records, including medical surveillance testing (e.g. blood tests and hearing testing)⼯⼈职业健康体检纪录，包括医疗监视测试（例: ⾎液测试及听⼒测验）4.22Health check records / certificates for canteen workers ⾷堂员⼯健康检查记录 / 证书4.23Hygiene permit for canteen facilities ⾷堂设施的卫⽣许可证4.24Records of evacuation drills held in dormitory 在宿舍进⾏的疏散演习记录Supplier Guiding Principles Audit (Health and safety)可⼝可乐公司供应商指导原则审核所需⽂件 (健康和安全) No.Items 项⽬与内容5.1Environmental impact assessments 环境评价报告5.2Environmental protection facilities design, installation, commissioning and acceptance report (if applicable)三同时报告 / 环保设施验收报告（如适⽤）5.3Monitoring, inspections and maintenance records for waste water and air as required by environmental permits 由环保许可证要求的废⽓和废⽔的监测、检查和保养记录5.4Material Safety Data Sheet (MSDS) for all hazardous materials on site 在现场所有危废的物料安全数据表﹝MSDS﹞5.5Consignment notes / disposal records (hazardous waste manifests, receipts and invoices)委托记录 / 处理记录﹝危险废物转移联单、收据和发票﹞5.6Waste water discharge permit 排污许可证Supplier Guiding Principles Audit (Environment)可⼝可乐公司供应商指导原则审核所需⽂件 (环境) No.Items 项⽬与内容6.1Procedures for incorporating new or revised legal requirements 纳⼊最新和刚修改的法规要求程序6.2Remediation plan when child labor is found 童⼯补救措施6.3Evidences of paying recruitment fee by company 公司付招聘费⽤的证据6.4Prohibiting human trafficking and forced labor policy 禁⽌⼈⼝贩卖和强迫劳⼯的政策6.5Safeguarding worker privacy policies and procedures 保障⼯⼈私隐的政策和程序6.6Disciplinary procedures and related disciplinary records 惩罚程序和相关惩罚记录6.7Policies and procedures for criminal background checks of security guards 保安刑事背景调查的政策和程序6.8Supervisors and security guards sexual harassment training records 主管和保安的性骚扰培训记录6.9Policies and procedures for outlining when contract labor is used 使⽤劳务派遗⼯的政策和程序6.10Policy for providing basic need wages to workers 给⼯⼈基本⽣活需求⼯资的政策6.11Policies and procedures for managing work hours 管理⼯作时间的政策和程序6.12Evidence of having one day off in seven day period 每7天有1天休息的证据6.13Policies and procedures for safeguarding health and safety of workers and legal compliance 确保⼯⼈健康与安全和符合法规的政府和流程6.14Health and safety risk assessment report 健康与安全风险评估报告6.15Accident investigation report ⼯伤调查报告6.16Health and safety committee list and meeting minutes 健康与安全委员会名单和会议记录6.17Measurement report for emission, water and energy usage 排放、⽔和能量⽤量的测量报告6.18Policies and procedures for workers to file grievances ⼯⼈申诉的政策和程序6.19Management representative list for handling grievances 处理申诉的管理者代表清单6.20Policies for mitigating the impact of workforce reductions 缓和对员⼯数量减少造成影响的程序6.21Employee satisfaction survey 员⼯满意度调查6.22Policy for employment without discrimination 没有歧视的招聘政策6.23Policies and procedures for accommodating religious expression ⾃⼰表达宗教的政策和程序6.24Gender sensitive employee recruitment and retention policies and procedures 关注员⼯性别的招聘和保留政策和程序6.25Gender distribution list for executive positions ⾏政职位的性别分布表6.26Business code of conduct 商业⾏为守则6.27Procedures for investigating and reconciling violations of the code 调查和调解违反守则的程序6.28Procedures for protecting workers for reporting violations of the code 汇报违反守则时保护⼯⼈的程序6.29The Coca-Cola Company business conduct 可⼝可乐公司的商业⾏为守则6.30The Coca-Cola Company Supplier Guiding Principles (applicable for The Coca-Cola Company suppliers)可⼝可乐公司供货商指导原则﹝适⽤于可⼝可乐公司的供货商﹞6.31The Coca-Coal Company Workplace Rights Policy (applicable for entity owned by The Coca-Cola Company)可⼝可乐公司⼯作场所权利政策﹝适⽤于可⼝可乐公司拥有的公司﹞6.32Evidences for requiring subcontractors and labor contractors to comply with law 要求外发商和劳务派遣公司符合法规的证据6.33Facility has an Anti-Corruption policy prohibiting employees from giving something of value to a government employee/official in exchange for a business advantage and has communicated the policy to employees.⼯⼚制定有反腐败政策，禁⽌员⼯向政府雇员赠送有价值物品以换取业务优势，并已向员⼯通报该政策的证据。
SGS审厂内容
人事行政部
ห้องสมุดไป่ตู้
人事管理制度 车间管理制度
人事行政部 车间
人事管理制度
人事行政部
禁止童工 童工定义：16周岁以下。16-18周岁的未成年工。 1 未成年工定义：是指任何满16周岁单不满18周岁的工人。 不能安排晚上加班，不能置于危险环境和从事有害工作，每年免费体检 验。
禁止歧视 2 不能因为年龄、种族、残疾、性别而歧视；不能因为妇女结婚、怀孕等
四、CECED行为规范和相关法律--SEB的社会责任要求的追要依据
CECED行为规范： 来自---欧盟家用电器制造商委员会（European Committee Domestic Equipment Manufacturers ）成立于1951年，SEB集团是16个直接成员 之一。 1 全球契约: 1999年1月在达沃斯世界经济论坛年会上，联合国秘书长科菲•安南提出 "全球契约"计划，并于2000年7月在联合国总部正式启动。旨在推动国 际普遍遵循的有关社会公益和环境保护的原则。赛博集团于2004年加入 “Global Compact”全球契约
五、强迫劳动
定义： 1 不允许有任何形式的强迫劳动，包括监狱劳工、契约劳工和其他类似劳
工。
强迫劳动的明显表现形式： 1.使用囚犯工或者监狱工。 2.工厂与员工有大额或长期借贷关系，即契约劳工。 2 3.保存了员工相关证件原件或押金，如身份证，培训费，工具费，工 衣，工卡费等。 4.员工的行动自由被限制（如2007年的山西黑砖窑事件）或员工不能自 由离开工厂，宿舍。
解除劳动合同。要同工同酬，机会均等。
禁止强迫劳动
不能扣押员工身份证、没收个人物品；不能雇佣服刑期犯人、服兵役人
员；不能收取任何形式的押金；工作班次结束时，员工可自由离厂。
Walmart FCCA Checklist-SGS质量验厂审核清单
提供(Available)复印(Copied)YES NO N/A YES NO 0.1工厂自我评估表 Wal-Mart Factory Pre-Audit Questionnaire□ □ □□ □0.2工厂简介 Brief introduction of factory□ □ □◇ □0.3营业执照 Business license□ □ □◇ □0.4公司组织架构图 Organization chart□ □ □□ □0.5(公司)厂区/厂房平面图，必要时包括验证机的所在位置 Factory’s planefigure-factory floor plans, including the area where metal detectorlocated.□ □ □□ □0.6生产工序流程图 Production process chart□ □ □□ □0.7管理系统证书 (质量/环保/社会责任等) Certificate of variousmanagement systems ISO9001/ ISO14001/ ICTI/ GSCP, etc.□ □ □□ □0.8设备清单（生产和检测用）Production and inspection equipment list□ □ □□ □1.1害虫控制程序和记录 Pest control program and records□ □ □□ □1.2物料存储防潮防霉控制程序和记录 Material storage mold/mildew controlprogram and records(WM霉菌预防检查表)□ □ □□ □1.3利器控制程序和记录 Sharp tool control procedure and records□ □ □□ □1.4断针控制程序和记录 Broken needle control procedure and records□ □ □□ □1.5验针机效验记录和测试记录 Metal detector calibration records and testrecords□ □ □□ □1.6环境相关的评估报告，工业废弃物处理记录和排放许可证 Environmentrelated materials， assessment report, industrial waste disposalrecords, emission permit□ □ □□ □1.7设备保养计划和记录 Equipments maintenance schedule and records□ □ □□ □1.8检测设备计量计划,计量作业指导书，内外校报告 Inspection/testequipments calibration schedule，calibration working instructionand reports□ □ □□ □1.9设备(生产机器检验设备/工具/备件)清单 List of machines, tools, spareparts and equipments□ □ □□ □2.1质量手册 Quality manual□ □ □□ □2.2客户投诉程序和处理记录 Complaint handling procedure and records□ □ □□ □2.3召回程序和(模拟)记录 Recalling procedure and simulation records□ □ □□ □2.4品管组织架构图 Organization chart of QMS/QC□ □ □□ □2.5质量管理体系/控制关键人员职责 Role and Responsibility of QCpersonnel□ □ □□ □2.6质量会议记录和实施 Quality meeting records and following□ □ □□ □2.7追溯程序和记录 Traceability procedure and test records□ □ □□ □2.8风险评估程序(物理异物如金属, 玻璃等/化学/电/微生物方面的对产品和人员的危害 ) Risk assessment procedure(physical, chemical, electricaland biological contamination that may damage the product andpersonnel as well)□ □ □□ □2.9风险评估控制记录(生产及产品受物理异物/化学/电/微生物/原料/过程设备/工具等)污染风险的控制程序及记录(可能对产品或人造成伤害) Risk Auditsto identify hazards from chemicals, electrical and other processequipments and tools.□ □ □□ □3.1来料中免检产品的质量保证书或测试报告，包括重金属含量，SVHC等 Qualityguaranty for exempt from inspection of incoming material，includingheavy metal test, SVHC,etc.□ □ □□ □3.2来料验货标准及规格书 IQC standard and specifications□ □ □□ □3.3各种来料检验标准及缺陷分类 Inspection criteria (e.g. sampling plan/AQL/ defective classification)□ □ □□ □3.4来料检查、测试报告 IQC reports□ □ □□ □3.5不合格品控制程序和不良品处理(退货,挑选及让步接收等)记录 Non-conforming control procedure and records for rejected items andconcession when applicable.□ □ □□ □3.6物料库存/周转控制的程序或规定 Procedure/rules of materials rotationcontrol and inventory management warehouse (e.g. FIFO)□ □ □□ □项目与内容 Items No.提供(Available)复印(Copied)YES NO N/A YES NO 项目与内容 ItemsNo.提供(Available)复印(Copied)YES NO N/AYES NO项目与内容 ItemsNo.。
微软SEA社会责任审核清单(整套)
模块 ★总则 If the facility has been subject to any labor regulatory actions where monetary penalties were assessed，or where formal corrective actions were G2.1 Major mandated by the issuing government agency，have the violations been corrected or are they on track for correction? 工厂是否对涉及劳动法的法律法规的行为，设立了处罚并进行评估，或 由政府机构正式监督，违规行为是否被强制整改和追踪。 If the facility has been subject to any ethics regulatory actions where monetary penalties were assessed，or where formal corrective actions were G2.2 Major mandated by the issuing government agency，have the violations been corrected or are they on track for correction? 工厂是否对道德监管行为，设立了处罚并进行评估，或由政府机构正式 Compliance with the Law 监督，违规行为是否被强制整改和追踪。 If the facility has been subject to any health & safety regulatory actions where monetary penalties assessed，or where formal corrective actions G2.3 Major mandated by the issuing government agency，have the violations been corrected or are they on track for correction? 工厂影响健康和安全的行为，设立了处罚并进行评估，或由政府机构正 式监督，违规行为是否被强制整改和追踪。 If the facility has been subject to any environmental regulatory actions where monetary penalties assessed，or where formal corrective actions G2.4 Major mandated by the issuing government agency，have the violations been corrected or are they on track for correction? 工厂影响环境的行为， 设立了处罚并进行评估， 或由政府机构正式监督， 违规行为是否被强制整改和追踪。 ★01 劳工 The facility does not use any type of forced，prison，indentured，or bonded A1.1 Critical labor. 不使用强迫劳工，包括：抵债劳工、契约劳工、监狱劳工。 Adequate and effective policy and procedures are established against slavery and human trafficking ensuring that any form of forced，bonded or A1 Freely Chosen Employment A1.3 Major A1.2 Major involuntary prison labor is not used. 针对奴隶和贩卖人口建立适当有效的程序，保证不使用强迫、非自愿、 监狱劳工。 Do workers have a copy of their signed labor contract? 员工是否持有与工厂签定的劳动合同副本。 The facility/labor agent (if applicable) does not withhold workers’ A1.4 Serious government-issued identification (passports or work permits) upon hire. 工厂/劳动代理(如果可以)不扣押工人的身份证(护照或工作许可证)。
NBCU社会责任验厂整套资料(审核要求+审核清单)
1000NBCUniversal CSSR Audit Document Request List - China审核文件清单 - 中国 编号/ID:No. 文件名 Documents Name Check综合性文件 General Documents1 公司营业执照 Business License2 工厂平面图 Site Layout3 产品工艺流程图 Product process flow chart4 吊牌或缝标管控制度及记录 Tag or label control policy and records5 分包商管理政策及相关记录Sub-contractor management policy and relevant records6 土地使用证、房屋产权证（如适用）Land use certificate, property ownership certificate7 租赁合同、厂界内其他工厂营业执照复印件（如适用）leasing contract, business licensecopy of other factories in the same boundary (if applicable) 8 出口许可证（如适用）Export licence (if applicable)9 质量、环境、职业健康安全管理体系证书（如适用）Certificate of ISO9001、ISO14001、OHSAS18001 10 C-TPAT 程序文件 C-TPAT procedure 11 内审记录 Internal audit records环境 Environment12 环境影响评价报告和批复 Environmental Impact Assessment (EIA) and Approval 13 建设项目环保竣工验收 Environmental Protection Check and Acceptance (EPCA) 14 废水、废气等排放源清单 Inventory of All Wastewater and Air Emission Sources 15 污染物排放许可证 Pollution Discharge Permit (PDP)16 年度污染物排放申报登记表 Annual Pollution Discharge Registration (PDR) 17 环保监测报告：废水(2.11)、大气污染物(2.15)和厂界噪音(1.7)Pollutant Monitoring Report, including Wastewater/Air Emission/Boundary Noise) 18 危险废物处置商资质 (2.32) Hazardous Waste Handling License 19 危险废物转移联单 (2.32) Hazardous Waste Transfer Manifests 20 医疗废弃物的转移联单（如适用）(2.37) Medical Waste Manifests21 废弃物分类处理培训记录 (2.12) Training RecordOn Handling and Separating of Wastes 22 危废管理、储存和运输的程序 及培训记录 (2.32) Procedures and Training Records of Inventory Management, Storage, and Transportation for Hazardous Waste 23 一般废弃物的处置记录 (2.12) Records of Non-hazardous Waste Disposal 24 排水许可证（如适用）Wastewater Discharge Permit (If applicable)25环境污染治理设施运营资质（如适用）Operation License of Pollution Treatment Facility 26地下水取水许可证和水资源费缴纳凭据（如适用） Water Use Permit and Proof for Contribution of Water Charge 27辐射安全许可证（如适用）Radiation Safety Permit 28突发环境事件应急预案 Emergency response plan systems of environment incident健康和安全 Health and Safety 29 厂长经理、在职安全主管人员的安全培训证书 Certificate of Safety Officer 30 安全和职业健康/劳动卫生竣工验收批复（“三同时”验收报告） Final Approval of Safety/Health Protection Check and Acceptance (SPCA/HPCA)31 安全生产许可证，适用于矿山、建筑施工和危险化学品生产企业 Production Safety Permit32 职业病危害项目申报登记 Occupational Health Hazards Registration2000No. 文件名 Documents NameCheck33 工业卫生监测报告 Industrial Hygiene Monitoring Report34 员工常规体检报告 (1.32) Employee Regular Medical Test35 职业病体检报告和定期体检政策，包括岗中，岗前和岗后 (2.38) Summary Reports of Occupational Health Check-up, including pre, on and post-employment 36 食堂卫生许可证/餐饮服务许可证 Hygiene Permit for Canteen 37 食堂工作人员的健康证 Certification of Food Handlers38 饮用水的检测报告（如适用）Laboratory Safety Test Data on Drinking Water 39 工伤事故记录和事故调查程序Injuries/Accident Monthly/Yearly Records and Accident Investigation Procedures 40 风险评估 Risk Assessments41 急救人员培训证书 First Aider Training Certificate42 急救人员急救技巧以及血液安全的培训记录（如适用）Training Record on First Aid Techniques and Blood Borne Pathogens Safety 43 急救箱检查和维护程序 First Aid Kit Inspection and Maintenance Program 44 洗眼器和紧急喷淋装置的检查记录Maintenance Records for Eye Wash and Emergency Showers45 特种设备使用登记证和年检报告（锅炉、叉车、吊车/电动葫芦、压力容器、电梯等） Special Equipment Registration and Inspection Reports 46 特种设备操作证/特种作业上岗证 Operational License for Special Equipment/Work47 化学品清单及主要化学品使用量或存储量，包括所有使用、储存、处理或生产的化学品 An inventory of Chemical including Consumption or Storage Amount of Major Chemicals 48 剧毒化学品购买凭证（如适用）Proof-of-Purchase of Toxic Chemicals 49 易制毒化学品购买许可证或备案证明（如适用）Purchase Permit or Registration Certificate of Precursor Chemicals 50 危险化学品安全生产许可证、安全使用许可证或经营许可证（如适用） Hazardous Chemical Production/Safety Use/ Business Permit 51 危险化学品运输资质和剧毒化学品运输许可证（如适用） License for Transportation of Hazardous/Toxic chemicals52 设备和生产工艺变化后的培训流程和培训纪录 Training Update Process & Training records53 机器（如电动葫芦等）的常规维护记录 Machine Maintenance Record, e.g. Electrical Hoist54 机器挂牌上锁程序，以及挂牌上锁的培训 LOTO Procedure and LOTO Training Records55 其他作业许可程序及培训记录，比如密闭空间进入、登高等 Work Procedures and Training Records of Entering Confined Space, Work at Height, etc.56 职业危害现状评价报告 Occupational hazard status evaluation report 57 安全现状评价报告Safety status evaluation report58 生产经营单位生产安全事故应急预案备案登记Production and business unit registration of emergency plan for production safety accident59 设施设备安全验收评价报告（如适用）Evaluation report of safety acceptance of facilities and equipment (if applicable)60 竣工验收或房屋安全结构鉴定报告 Construction completion acceptance or building safety inspection report61 个人防护用品购买和发放记录Personal protective equipment purchase and distribution records62 用电安全检查记录 Electrical safety inspection record63健康安全委员会会议记录 Health and safety committee meeting minutes消防 Fire300064 建设项目竣工的消防验收批复/备案证明（包括新、改、扩建项目） Fire Protection Check and Acceptance (FPCA) Approval/Registration65定期消防执法检查记录（公安消防部门，如适用）/消防设施维护保养测试报告Regular On-site Inspection Records from Fire Bureau / Fire equipment maintenance test report66 危险化学品仓库允许存放量（由公安消防部门确定）Maximum Allowable Storage Amount in Hazardous Chemical Warehouse 67 消防演习记录 (1.8)、灭火器使用培训记录 (2.36)Fire/Evacuation Drill, Training records on use of Fire Extinguishers 68 应急预案 Emergency Preparedness Plan69报警设备测试记录 Maintenance Records of Emergency Alarm Systems劳动用工 Labor and Human Right70 员工档案，包括员工身份证号码和进厂时间的汇总记录Records of ID Number and Entry Date of Employees 71 人事招聘和薪资政策 Personnel Recruitment and Compensation Policy 72 保护员工免受歧视和骚扰，以及允许工人自由结社的书面声明/政策Discrimination, Harassment, and Freedom of Association Policies 73 不使用狱工，抵押劳工，禁锢劳工，以及不强迫用工的政策A Policy to Ensure They Do Not Use Involuntary, Prison, Bonded or Indentured Labor74 员工投诉处理流程 Dispute Resolution Procedure75 工厂所在地最低工资标准的文件 Local Government’s Document on Local Minimum Wage76 工厂关于计件工资的政策（如适用）Piece Based Wage Policy (If applicable)77 过去一年的工人的薪资表 Payroll Records at a Minimum of One Year78 过去一年的工人的考勤记录 Time Records at a Minimum of One Year70 过去一年用于发工资的银行对帐单 Bank Statement for Employee’s Salary80 实习生、未成年工使用情况记录 Working Conditions of Intern & Young Labor81 年度培训计划及记录Annual training plan and records82 员工手册、厂规厂纪、宿舍管理制度、安全保Employee manual, Factory rules andregulations, Dormitory rules, Security policies 83 请假记录、离职记录Leave and resignation records84 综合计时批文 /延长加班工时申请批复（如适用）Comprehensive working hours systemapproval / extension of overtime hours application with approval (if applicable) 85 社保缴费凭证或社保批文Social insurance receipt or official waiver issued by the localsocial insurance authority86工会/工人代表选举记录、会议记录Labor union/worker representative election records, meeting minutesNBC 环球供应商行为守则NBC 环球承诺：- 在业务的各个方面执行卓越的标准- 在运营的过程中采取符合伦理和负责任的行为- 尊重人权- 重视环境我们期望NBC 环球所有的产品供应商能做出跟我们同样的承诺。
- 1、下载文档前请自行甄别文档内容的完整性，平台不提供额外的编辑、内容补充、找答案等附加服务。
- 2、"仅部分预览"的文档,不可在线预览部分如存在完整性等问题,可反馈申请退款(可完整预览的文档不适用该条件!)。
- 3、如文档侵犯您的权益，请联系客服反馈,我们会尽快为您处理(人工客服工作时间：9:00-18:30)。
E1 Does the factory have a copy of valid laws and regulations on working hours or understand its requirements?
E2
Does the factory have written policy for working hours, rest, vacations and overtime in accordance with local legal requirement?
G3 Does the factory arrange health and safety training for all workers? Does it include fire safety training?
G4 Are accidents or daily injury recorded?
Kroger SGS Social Responsibility Audit Content A list of the questions in the Kroger audit checklist SECTION A. Child Labour / Young Labour(童工及未成年工）
Requirement A1 Does the factory have a copy of valid laws and regulations on child labour OR understand its requirements? A2 Does the factory have effective procedures to verify the age of worker at the time of recruitment? A3 Does the factory keep adequate age documents of workers such as ID copies and personnel records?） A4 Is there any evidence identified that child labour is currently present at the factory? A5 Is there any evidence identified that child labour had been employed in the past at the factory? A6 Have young workers (between legal minimum age and 18) been protected? A7 Are laws or factory policies regarding Child Labour/Young Labour communicated to all employees?
F9 Does the factory provide legally required benefits on paid holidays?
F10 Does the factory provide legally required benefits on social insurance?
F11
Are workers' wages deducted for any reason other than tax, social security?Are these deductions fair, reasonable and legal?
B7 Is there any evidence apparent that security guards are/were used to discipline workers?
Audit result
Pass
Not Pass
SECTION C. Discrimination 歧视
Requirement
E5 Do the workers have at least one day (24 consecutive hours) off in seven days?
E6 Do the hours worked including overtime hours comply with local regulation (daily , weekly, monthly)?
F12 Is the payment frequency legal?
F13 Is there a sufficient system to let workers check/verify their wages?
Audit result
Pass
Not Pass
not pass
SECTION G. Health & Safety
D4 Is there evidence the factory uses physical, verbal, sexual or psychological abuse in workplace?
D5 Do workers have access to appeal in case of infractions/breaking of rules?
Requirement
G1
Does the factory have a copy of current National laws/regulations on health and safety or understand its requirements?
G2 Is a senior management representative for health and safety appointed?
Audit result
Pass
Not Pass
SECTION B. Forced Labour强迫劳工
Requirement
B1 Does the factory have a copy of valid laws and regulations on forced labour or understand its requirements?
E7 Do the workers have over 60 working hours per week unless authorized by local government?
E8 Does the factory provide the legally required meal breaks?
F2 Does the factory have written policy on compensation and benefits and communicate to all workers?
F3 Do all workers’ wages meet local minimum wages?(including trainees / apprentices / workers in probation period)
F6 Are wage slips given to workers and do they understand the wage breakdown?
F7 Does the factory provide legally required benefits on annual leave?
F8 Does the factory provide legally required benefits on maternity leave?
B4 Is any restriction placed on leaving after working hours?
B5 Are overtime works voluntary?
B6 Are workers permitted time-off with doctor's certificate or note when sick or for maternity?
F4 Does the factory maintain complete and consistent payroll records for all workers for at least 12 months?
F5 Are workers paid the legally required overtime rates and wages?
D2 Does the factory have documented,legal and reasonable disciplinary rules?
D3 Does the factory provide an employee handbook with disciplinary policies documented?
Audit result
Pass
Not Pass
SECTION D. Disciplinary Pracoes the factory have a copy of valid laws and regulations on disciplinary practices or understand its requirements?
G5
Does the factory have all legal required permits and approval for health and safety, including high risk equipment and its operators?
E3 Does the factory communicate the policy on working hours, rest and vacations to all workers?
E4 Does the factory maintain complete and consistent working hours records for at least 12 months?