TUV审核报告样本.docx

1、TUV审核报告样本Report about the Social Responsibility and Environmental Audit forCo. Ltd. Co. Ltd.)Revision Nov 2002 Audit report - For Ref. OnlyAudit ReportPage 2 / 12Table of contents1Brief evaluation2Objectives and basis of the audit3Description of company (auditee)4Audit procedureGeneral audit approac

2、hActivities before the auditReview of company documentation on siteInterview of workers5Details on audit findingsOverview of compliance with requirementsFindings regarding individual requirementsPositive Observations6.Conclusion7.General Note8.AppendixPage3444445566610101112Audit ReportPage 3 / 121

3、Brief evaluationCompany / Auditee: Co. Ltd.( Co. Ltd. ), Fujian, P.R. ChinaNo. of Employee : 2500 (600) Auditees Representative: Mr. LinScope of Application : Manufacturing of Standard Applied : Aral Audit Checklist Type of Audit : 2nd Party AuditDate of Audit : 2005Lead Auditor : Mr.Auditor(s) : Mr

4、.Translator(s)/ : NA Interpreter(s)Language of Audit : MandarinSummary: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 stan

5、dard. 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 2005Date Lead Auditor Auditor(s)Audit ReportPage 4 / 122Objectives and basis of the auditA

6、ral instructed the certification body of TV 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 Accountabili

7、ty and Environmental Practice.The basis of the audit was as follows:-Aral audit checklist-Relevant legal requirements-Suppliers working procedures and instructions3Description of company (auditee)The audit refers to the social accountability and environmental system of the company:Co. Ltd. (Co. Ltd.

8、)XXXXXXXXXXXXXXXXx P.R. ChinaThere 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 othe

9、r 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.4Audit procedureGeneral audit approachWithin the scope of the 2nd party audit, the audit

10、ors 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, b

11、y interview the workers, review of the corresponding documentation, and observation of the individual processes.Activities before the auditBefore the audit, applicable local laws and legal requirements in respect to social accountability and environmental issues and Aral audit checklist have been id

12、entified and studied by the auditors, e.g.Minimum wage statement from local authorityAudit ReportPage 5 / 12National health and safety lawsNational labor lawsNational hygiene lawsNational environmental lawsNational fire lawsReview of company documentation on site1.Business license2.Factory floor pla

13、n3.Organization chart4.Factory rules and regulations/Dormitory rules and regulations5.Employee contract/Personal file/Employee handbook or manual6.Employee training/communication records7.Leave application/Resignation letter/record8.Warning letters/record9.Punch card/time card/attendance record10.Pa

14、yroll records/calculation and production records11.Wage deduction records12.Local official minimum wage document13.Local safety authority inspection report (building safety and fire fighting)14.Insurance Receipts15.Accident/Incident records16.Kitchen/canteen hygiene certificate17.Kitchen/canteen wor

15、kers health certificate/Young worker health examination records18.Special equipment permit/certificate19.Special equipment operator permit/certificateInterview of workersDuring the on-site audit, a sample of workers has been interviewed to gather information regarding compliance with the legal requi

16、rements 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 belo

17、w:Social Accountability RequirementsEvaluation (see legend)1Child Labor22Forced labor13Health and Safety24Discrimination15Disciplinary Practices16Working Hours27Compensation / Remuneration28Management Systems29Environmental issues2Legend: 1: conformity with requirements 2 : improvement possible, acc

18、eptable 3: nonconformity with requirements N.A.: not applicableAudit ReportPage 6 / 12Department / SectionNumber of workers *MaleFemaleSewing1138Punching and packaging211QC1-1Preparation211* Two group interviews (6 persons / group) and 4 individual interviews were conducted in private rooms. Other i

19、nterviews were conducted during on-site audit. Male and female workers were interviewed according to the proportion of gender in factory.5Details on audit findingsOverview of compliance with requirementsFindings regarding individual requirements Child Labor:In China Labor law workers younger than 16

20、 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.Young workers wer

21、e 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 18Audit ReportPage 7 /

22、12year old and his/her body check was conducted more than 6 months. Body check records of workers, for example Ms. He, were not available.Young workers name list was not updated, some workers already left the factory.Age verification was done by checking the following:-Identity card issued by China

23、government-Verification by observation by comparing physical appearance with the ages stated in the above documents.Forced Labor:No finding of lodging any ID or deposit.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

24、any identity papers upon commencing of employment with the company. The company just keeps the photocopies of those documents.It is verified personally by the auditors and also confirmed through individually confidential interviews where no worker complaint about any forced labor.Workers are free to

25、 go home or their dormitory after work. If the workers dont want to work overtime they have to submit leave application.The security guards in the gates are meant for safety and security.Health and Safety:Overall:-Security guards are responsible for fire prevention.-Accident reporting procedure was

26、established and posted on Security room. Factory said no accident happened.-Health and safety training materials should be prepared and training record should be kept.Workshop:-MSDS of thinner, cleaning agent and adhesive materials were not collected.-Chemical containers were not identified probably

27、.-Diesel was stored in open area.-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.Audit ReportPage 8 / 12-Fire drill was conducted on March 2005, no sufficient evidence to prove th

28、is fire drill include dormitory. The evaluation report should be in more details.-Qualification of electric worker, Mr. Yan, was expired on February 2005 and the re-approval was not yet done.-Pressure container was not managed according to the legal requirement.Canteen-Hygiene certificate is issued

29、on 17th June 2004, annual re-approval should be conducted on September 2005.-Body check certificates of canteen workers were available.-Canteen is located next to workshop and warehouse without any physical separation.Clinic and first aid-A clinic was set up in the factory. Factory signed an agreeme

30、nt with a hospital which responsible to take care the health issue of workers.-There are first aid boxes in the workshop and the content will be checked biweekly.Dormitory-Some emergency lamps at dormitory were not functioned properly.Discrimination:During the audit the audit team didnt observe any sign of discrimination on the part of access of training, promotion, termination, recruitment, province origin, gender, sexual orientation, association membership, political affiliation, payment etc.Company ensured equal treatment for all workers in all matt