TUV审核报告样本Word格式文档下载.docx
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TUV审核报告样本Word格式文档下载.docx
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Overviewofcompliancewithrequirements
Findingsregardingindividualrequirements
PositiveObservations
6.Conclusion
7.GeneralNote
8.Appendix
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1Briefevaluation
Company/Auditee:
Co.Ltd.(Co.Ltd.)
Fujian,P.R.China
No.ofEmployee:
2500(~600)Auditee´
sRepresentative:
Mr.Lin
ScopeofApplication:
ManufacturingofStandardApplied:
AralAuditChecklistTypeofAudit:
2ndPartyAudit
DateofAudit:
2005
LeadAuditor:
Mr.
Auditor(s):
Translator(s)/:
NAInterpreter(s)
LanguageofAudit:
Mandarin
Summary:
WithinthescopeoftheSocialResponsibilityandEnvironmentalAudit,onbehalfofAral,thecompanyhasprovedthatithasintroducedasocialaccountabilityandenvironmentalsysteminaccordancewiththeabove-mentionedstandard.Therequirementsofthestandardarepartlyfulfilled.ThenecessarycorrectiveactionswillbeinstructedbyAralwiththecompanydirectly.
Thefollowingpagescontainmoredetailedinformation.
26thMay2005
DateLeadAuditorAuditor(s)
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AralinstructedthecertificationbodyofTÜ
VRheinlandtoconductSocialAccountabilityandEnvironmentalAuditinordertoverify,withinthe2ndpartyrole,whethertherequirementsofAralpolicyarefulfilled.TheobjectivewastheexistingsupplierevaluationregardingtoitsSocialAccountabilityandEnvironmentalPractice.
Thebasisoftheauditwasasfollows:
-Aralauditchecklist
-Relevantlegalrequirements
-Supplier’sworkingproceduresandinstructions
Theauditreferstothesocialaccountabilityandenvironmentalsystemofthecompany:
Co.Ltd.(Co.Ltd.)
XXXXXXXXXXXXXXXXxP.R.China
TherearefivefactoriesunderXXXCo.Ltd.Thisauditonlyassessedoneofthefactories,XXXCo.Ltd.,whichhandlesordersfor.xxxAuditteamrequestedtovisitallfivefactories.However,XXXCo.Ltd.didnotarrangeauditteamtoconducton-siteevaluationofotherfactoriesastheysaidotherfactoriesdidnothandleVega3orders.
XXXCo.Ltd.wasassessedinJuly2004.Theauditteamverifiedthatcorrectiveactionsfromthepreviousaudit.Someissuesarestillopened.
Withinthescopeofthe2ndpartyaudit,theauditorsobservedprocessesinthevariousdepartmentsofthecompanyinordertogainanunderstandingoftheoveralloperation.Theauditorsverifiedtheprocessesinthecompanyforconformitywiththelegalrequirementsandthecustomercriteria.Thisverificationwasperformedonasamplingbasis,byinterviewtheworkers,reviewofthecorrespondingdocumentation,andobservationoftheindividualprocesses.
Beforetheaudit,applicablelocallawsandlegalrequirementsinrespecttosocialaccountabilityandenvironmentalissuesandAralauditchecklisthavebeenidentifiedandstudiedbytheauditors,e.g.
•Minimumwagestatementfromlocalauthority
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•Nationalhealthandsafetylaws
•Nationallaborlaws
•Nationalhygienelaws
•Nationalenvironmentallaws
•Nationalfirelaws
1.Businesslicense
2.Factoryfloorplan
3.Organizationchart
4.Factoryrulesandregulations/Dormitoryrulesandregulations
5.Employeecontract/Personalfile/Employeehandbookormanual
6.Employeetraining/communicationrecords
7.Leaveapplication/Resignationletter/record
8.Warningletters/record
9.Punchcard/timecard/attendancerecord
10.Payrollrecords/calculationandproductionrecords
11.Wagedeductionrecords
12.Localofficialminimumwagedocument
13.Localsafetyauthorityinspectionreport(buildingsafetyandfirefighting)
14.InsuranceReceipts
15.Accident/Incidentrecords
16.Kitchen/canteenhygienecertificate
17.Kitchen/canteenworker’shealthcertificate/Youngworkerhealthexaminationrecords
18.Specialequipmentpermit/certificate
19.Specialequipmentoperatorpermit/certificate
Duringtheon-siteaudit,asampleofworkershasbeeninterviewedtogatherinformationregardingcompliancewiththelegalrequirementsandtheSocialAccountabilityandEnvironmentalPractice.Thesamplewasselectedtorepresentthecompositionofthetotalworkforce,e.g.inregardtogender,age,ethnicgroup,paygradeandfieldofwork.Acombinationofindividualandgroupinterviewwasused.Anoverviewisgivenbelow:
SocialAccountabilityRequirements
Evaluation(seelegend)
1
ChildLabor
2
Forcedlabor
HealthandSafety
Discrimination
DisciplinaryPractices
WorkingHours
7
Compensation/Remuneration
8
ManagementSystems
9
Environmentalissues
Legend:
1:
conformitywithrequirements2:
improvementpossible,acceptable3:
nonconformitywithrequirementsN.A.:
notapplicable
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Department/Section
Numberofworkers**
Male
Female
Sewing
Punchingandpackaging
QC
---
Preparation
**Twogroupinterviews(6persons/group)and4individualinterviewswereconductedinprivaterooms.Otherinterviewswereconductedduringon-siteaudit.Maleandfemaleworkerswereinterviewedaccordingtotheproportionofgenderinfactory.
FindingsregardingindividualrequirementsChildLabor:
∙InChinaLaborlawworkersyoungerthan16yearsoldaredefinedaschildlabor.
Thereisnoproceduretodescribetherecruitmentactivity.Butintherecruitmentadvertisement,childrenunder16yearsoldwillnotberecruited.Duringtheaudittheauditteamvisitedthefactoryworkingareaandnochildwasfoundworking.
∙Youngworkerswerefoundworkinginthefactory.Theseyoungworkerswereregisteredtolocaladministrationdepartment.Bodycheckfornewyoungworkerswasarranged.Accordingto‘ProtectofYoungLaborRegulation’,bodycheckshouldbearrangedtoyoungworkersonceshe/hereachestheageof18
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yearoldandhis/herbodycheckwasconductedmorethan6months.Bodycheckrecordsofworkers,forexampleMs.He,werenotavailable.
∙Youngworkersnamelistwasnotupdated,someworkersalreadyleftthefactory.
∙Ageverificationwasdonebycheckingthefollowing:
-IdentitycardissuedbyChinagovernment
-Verificationbyobservationbycomparingphysicalappearancewiththeagesstatedintheabovedocuments.
ForcedLabor:
∙NofindingoflodginganyIDordeposit.
∙Nosignofforcedlaborcouldbedetectedbytheauditteamduringtheauditinthefactory.Theworkersarenotrequiredtolodgeanyidentitypapersuponcommencingofemploymentwiththecompany.Thecompanyjustkeepsthephotocopiesofthosedocuments.
∙Itisverifiedpersonallybytheauditorsandalsoconfirmedthroughindividuallyconfidentialinterviewswherenoworkercomplaintaboutanyforcedlabor.
∙Workersarefreetogohomeortheirdormitoryafterwork.Iftheworkersdon’twanttoworkovertimetheyhavetosubmitleaveapplication.
∙Thesecurityguardsinthegatesaremeantforsafetyandsecurity.
HealthandSafety:
∙Overall:
-Securityguardsareresponsibleforfireprevention.
-AccidentreportingprocedurewasestablishedandpostedonSecurityroom.Factorysaidnoaccidenthappened.
-Healthandsafetytrainingmaterialsshouldbepreparedandtrainingrecordshouldbekept.
∙Workshop:
-MSDSofthinner,cleaningagentandadhesivematerialswerenotcollected.
-Chemicalcontainerswerenotidentifiedprobably.
-Dieselwasstoredinopenarea.
-Evacuationroutesareidentifiedonamapalsoonthefloor.Locationoffireextinguishersandhydrantboxeswerenotshowninthefloorplanofdormitoryandcanteen.
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-FiredrillwasconductedonMarch2005,nosufficientevidencetoprovethisfiredrillincludedormitory.Theevaluationreportshouldbeinmoredetails.
-Qualificationofelectricworker,Mr.Yan,wasexpiredonFebruary2005andthere-approvalwasnotyetdone.
-Pressurecontainerwasnotmanagedaccordingtothelegalrequirement.
∙Canteen
-Hygienecertificateisissuedon17thJune2004,annualre-approvalshouldbeconductedonSeptember2005.
-Bodycheckcertificatesofcanteenworkerswereavailable.
-Canteenislocatednexttoworkshopandwarehousewithoutanyphysicalseparation.
∙Clinicandfirstaid
-Aclinicwassetupinthefactory.Factorysignedanagreementwithahospitalwhichresponsibletotakecarethehealthissueofworkers.
-Therearefirstaidboxesintheworkshopandthecontentwillbecheckedbiweekly.
∙Dormitory
-Someemergencylampsatdormitorywerenotfunctionedproperly.
Discrimination:
∙Duringtheaudittheauditteamdidn’tobserveanysignofdiscriminationonthepartofaccessoftraining,promotion,termination,recruitment,provinceorigin,gender,sexualorientation,associationmembership,politicalaffiliation,paymentetc.
∙Companyensuredequaltreatmentforallworkersinallmatt
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