TUV审核报告样本.docx

TUV审核报告样本.docx

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TUV审核报告样本

ReportabouttheSocialResponsibilityandEnvironmentalAuditfor

Co.Ltd.Co.Ltd.）

RevisionNov2002Auditreport-ForRef.Only

AuditReport

Page2/12

Tableofcontents

1Briefevaluation

2Objectivesandbasisoftheaudit

3Descriptionofcompany（auditee）

4Auditprocedure

Generalauditapproach

Activitiesbeforetheaudit

Reviewofcompanydocumentationonsite

Interviewofworkers

5Detailsonauditfindings

Overviewofcompliancewithrequirements

Findingsregardingindividualrequirements

PositiveObservations

6.Conclusion

7.GeneralNote

8.Appendix

Page

3

4

4

4

4

4

5

5

6

6

6

10

10

11

12

AuditReport

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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）:

Mr.

Translator（s）/:

NAInterpreter（s）

LanguageofAudit:

Mandarin

Summary:

WithinthescopeoftheSocialResponsibilityandEnvironmentalAudit,onbehalfofAral,thecompanyhasprovedthatithasintroducedasocialaccountabilityandenvironmentalsysteminaccordancewiththeabove-mentionedstandard.Therequirementsofthestandardarepartlyfulfilled.ThenecessarycorrectiveactionswillbeinstructedbyAralwiththecompanydirectly.

Thefollowingpagescontainmoredetailedinformation.

26thMay2005

DateLeadAuditorAuditor（s）

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2Objectivesandbasisoftheaudit

AralinstructedthecertificationbodyofTÜVRheinlandtoconductSocialAccountabilityandEnvironmentalAuditinordertoverify,withinthe2ndpartyrole,whethertherequirementsofAralpolicyarefulfilled.TheobjectivewastheexistingsupplierevaluationregardingtoitsSocialAccountabilityandEnvironmentalPractice.

Thebasisoftheauditwasasfollows:

-Aralauditchecklist

-Relevantlegalrequirements

-Supplier’sworkingproceduresandinstructions

3Descriptionofcompany（auditee）

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.

4Auditprocedure

Generalauditapproach

Withinthescopeofthe2ndpartyaudit,theauditorsobservedprocessesinthevariousdepartmentsofthecompanyinordertogainanunderstandingoftheoveralloperation.Theauditorsverifiedtheprocessesinthecompanyforconformitywiththelegalrequirementsandthecustomercriteria.Thisverificationwasperformedonasamplingbasis,byinterviewtheworkers,reviewofthecorrespondingdocumentation,andobservationoftheindividualprocesses.

Activitiesbeforetheaudit

Beforetheaudit,applicablelocallawsandlegalrequirementsinrespecttosocialaccountabilityandenvironmentalissuesandAralauditchecklisthavebeenidentifiedandstudiedbytheauditors,e.g.

•Minimumwagestatementfromlocalauthority

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•Nationalhealthandsafetylaws

•Nationallaborlaws

•Nationalhygienelaws

•Nationalenvironmentallaws

•Nationalfirelaws

Reviewofcompanydocumentationonsite

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

Interviewofworkers

Duringtheon-siteaudit,asampleofworkershasbeeninterviewedtogatherinformationregardingcompliancewiththelegalrequirementsandtheSocialAccountabilityandEnvironmentalPractice.Thesamplewasselectedtorepresentthecompositionofthetotalworkforce,e.g.inregardtogender,age,ethnicgroup,paygradeandfieldofwork.Acombinationofindividualandgroupinterviewwasused.Anoverviewisgivenbelow:

SocialAccountabilityRequirements

Evaluation（seelegend）

1

ChildLabor

2

2

Forcedlabor

1

3

HealthandSafety

2

4

Discrimination

1

5

DisciplinaryPractices

1

6

WorkingHours

2

7

Compensation/Remuneration

2

8

ManagementSystems

2

9

Environmentalissues

2

Legend:

1:

conformitywithrequirements2:

improvementpossible,acceptable3:

nonconformitywithrequirementsN.A.:

notapplicable

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Department/Section

Numberofworkers**

Male

Female

Sewing

11

3

8

Punchingandpackaging

2

1

1

QC

1

---

1

Preparation

2

1

1

**Twogroupinterviews（6persons/group）and4individualinterviewswereconductedinprivaterooms.Otherinterviewswereconductedduringon-siteaudit.Maleandfemaleworkerswereinterviewedaccordingtotheproportionofgenderinfactory.

5Detailsonauditfindings

Overviewofcompliancewithrequirements

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