TUV审核报告样本

Report about the Social Responsibility and Environmental Audit for Co. Ltd. Co. Ltd.) Revision Nov 2002    Audit report - For Ref. Only   Audit Report   Page 2 / 12 Table of contents 1 Brief evaluation 2 Objectives and basis of the audit 3 Description of company (auditee) 4 Audit procedure General audit approach Activities before the audit Review of company documentation on site Interview of workers 5 Details on audit findings Overview of compliance with requirements Findings regarding individual requirements Positive Observations 6. Conclusion 7. General Note 8. Appendix   Page 3 4 4 4 4 4 5 5 6 6 6 10 10 11 12             Audit Report   Page 3 / 12 1 Brief evaluation Company / Auditee: Co. Ltd.( Co. Ltd. ) , Fujian, P.R. China No. of Employee : 2500 (~600) Auditee′s Representative: Mr. Lin Scope of Application : Manufacturing of Standard Applied : Aral Audit Checklist Type of Audit : 2nd Party Audit Date of Audit : 2005 Lead Auditor : Mr. Auditor(s) : Mr. Translator(s)/ : NA Interpreter(s) Language of Audit : Mandarin Summary: Within the scope of the Social Responsibility and Environmental Audit, on behalf of Aral, the company has proved that it has introduced a social accountability and environmental system in accordance with the above- mentioned standard. The requirements of the standard are partly fulfilled. The necessary corrective actions will be instructed by Aral with the company directly. The following pages contain more detailed information. 26th May 2005 Date Lead Auditor Auditor(s)         Audit Report   Page 4 / 12 2 Objectives and basis of the audit Aral instructed the certification body of TüV Rheinland to conduct Social Accountability and Environmental Audit in order to verify, within the 2nd party role, whether the requirements of Aral policy are fulfilled. The objective was the existing supplier evaluation regarding to its Social Accountability and Environmental Practice. The basis of the audit was as follows: l Aral audit checklist l Relevant legal requirements l Supplier’s working procedures and instructions 3 Description of company (auditee) The audit refers to the social accountability and environmental system of the company: Co. Ltd. (Co. Ltd.) XXXXXXXXXXXXXXXXx P.R. China There are five factories under XXX Co. Ltd. This audit only assessed one of the factories, XXX Co. Ltd., which handles orders for. xxx Audit team requested to visit all five factories. However, XXX Co. Ltd. did not arrange audit team to conduct on-site evaluation of other factories as they said other factories did not handle Vega 3 orders. XXX Co. Ltd. was assessed in July 2004. The audit team verified that corrective actions from the previous audit. Some issues are still opened. 4 Audit procedure General audit approach Within the scope of the 2nd party audit, the auditors observed processes in the various departments of the company in order to gain an understanding of the overall operation. The auditors verified the processes in the company for conformity with the legal requirements and the customer criteria. This verification was performed on a sampling basis, by interview the workers, review of the corresponding documentation, and observation of the individual processes. Activities before the audit Before the audit, applicable local laws and legal requirements in respect to social accountability and environmental issues and Aral audit checklist have been identified and studied by the auditors, e.g. l Minimum wage statement from local authority         Audit Report   Page 5 / 12 l National health and safety laws l National labor laws l National hygiene laws l National environmental laws l National fire laws Review of company documentation on site 1. Business license 2. Factory floor plan 3. Organization chart 4. Factory rules and regulations/Dormitory rules and regulations 5. Employee contract/Personal file/Employee handbook or manual 6. Employee training/communication records 7. Leave application/Resignation letter/record 8. Warning letters/record 9. Punch card/time card/attendance record 10. Payroll records/calculation and production records 11. Wage deduction records 12. Local official minimum wage document 13. Local safety authority inspection report (building safety and fire fighting) 14. Insurance Receipts 15. Accident/Incident records 16. Kitchen/canteen hygiene certificate 17. Kitchen/canteen worker’s health certificate/Young worker health examination records 18. Special equipment permit/certificate 19. Special equipment operator permit/certificate Interview of workers During the on-site audit, a sample of workers has been interviewed to gather information regarding compliance with the legal requirements and the Social Accountability and Environmental Practice. The sample was selected to represent the composition of the total workforce, e.g. in regard to gender, age, ethnic group, pay grade and field of work. A combination of individual and group interview was used. An overview is given below:         Audit Report   Page 6 / 12   Department / Section Number of workers ** Male Female   Sewing 11 3 8 Punching and packaging 2 1 1 QC 1 --- 1 Preparation 2 1 1 ** Two group interviews (6 persons / group) and 4 individual interviews were conducted in private rooms. Other interviews were conducted during on-site audit. Male and female workers were interviewed according to the proportion of gender in factory. 5 Details on audit findings Overview of compliance with requirements Findings regarding individual requirements Child Labor: l In China Labor law workers younger than 16 years old are defined as child labor. There is no procedure to describe the recruitment activity. But in the recruitment advertisement, children under 16 years old will not be recruited. During the audit the audit team visited the factory working area and no child was found working. l Young workers were found working in the factory. These young workers were registered to local administration department. Body check for new young workers was arranged. According to ‘Protect of Young Labor Regulation’, body check should be arranged to young workers once she/he reaches the age of 18                   Audit Report   Page 7 / 12 year old and his/her body check was conducted more than 6 months. Body check records of workers, for example Ms. He, were not available. l Young workers name list was not updated, some workers already left the factory. l Age verification was done by checking the following: l Identity card issued by China government l Verification by observation by comparing physical appearance with the ages stated in the above documents. Forced Labor: l No finding of lodging any ID or deposit. l No sign of forced labor could be detected by the audit team during the audit in the factory. The workers are not required to lodge any identity papers upon commencing of employment with the company. The company just keeps the photocopies of those documents. l It is verified personally by the auditors and also confirmed through individually confidential interviews where no worker complaint about any forced labor. l Workers are free to go home or their dormitory after work. If the workers don’t want to work overtime they have to submit leave application. l The security guards in the gates are meant for safety and security. Health and Safety: l Overall: l Security guards are responsible for fire prevention. l Accident reporting procedure was established and posted on Security room. Factory said no accident happened. l Health and safety training materials should be prepared and training record should be kept. l Workshop: l MSDS of thinner, cleaning agent and adhesive materials were not collected. l Chemical containers were not identified probably. l Diesel was stored in open area. l Evacuation routes are identified on a map also on the floor. Location of fire extinguishers and hydrant boxes were not shown in the floor plan of dormitory and canteen.