Audit Introduction For Applicants

SMETA(Sedex 成員道德貿易審核)審核簡介

Declaration: Below information is for all applicants reference only and it is just a brief of the audit’s introduction which is base on client’s requirements, it is designed for your preparation with regard to the audits. It doesn’t mean you just need to provide below information for the auditors, auditors may require more documents/information according to actual situation during the audit.

聲明：以下的信息是提供給所有申請者的參考，這只是一個簡短的審核的介紹，它是為貴方關于審核的準備而設計，這并不意味著你只需要提供以下信息給審核員，審核員在審計過程中根據實際情況可能需要更多的文件/信息。

1.Audit Type: 審核類型

1)SMETA social audit is a kind of CSR audit.

2)Usually SMETA audits are announced audits. Sometimes the audits may be announced or unannounced or semi-announced depend on client’s specific requirement.

3)The client would make final decision on whether a follow-up audit is needed or not.

4)SMETA report will be uploaded into Sedex Database which could be shared by all Sedex members.

5)No certificate will be issued in SMETA program.

6)Environment and Business Integrity are two supplementary audits which are optional. The end buyer will make decision whether the two sections are needed or not.

7)The factory should provide the original the certificates which are direct related to factory for review.

8)During onsite tour, if necessary, the production-related records would be sample checked.

1) SMETA 社會責任審核是企業社會責任審核的一種。

2) 通常 SMETA 審核是通知審核. 但是有時候審核是否通知須依照客戶的具體要求，有可能是通知審核不預先通知審核或半通知審核。

3) 審核結束后是否需要跟進審核由客戶決定。

4) SMETA 審核報告可上傳至 Sedex 數據庫， 且可以與 Sedex 成員共享。

5) SMETA 審核不出具證書。

6) 環境保護和商業誠信兩部分審核是 SMETA 的補充審核。并非強制性項目。最終買家將決定是否需要覆蓋此兩部分。

7) 審核中，請工廠提供與工廠有直接關系的證書或執照等的原件。

8) 在現場審核中，與生產相關的資料如有需要也會做相應的檢查。

2.Audit Scope 審核范圍 :

1)Initial audit: at least the last 12 month records of working hour and wage should be provided. For new factories operating less than a year, all working hours and wages records since the beginning of operation till the audit day should be review with a minimum of 3 months.

2)Follow up audit: All wages and working hours records since last visit with a minimum of 2 months fresh records would be reviewed.

3)All areas under the same business license of the audited facility will be covered.

1) 首次審核： 需提供至少最近 12 個月的工資工時記錄。如果是營業不足一年的新工廠，則需要提供自從開廠以來至審核當天所有且最少不低于 3 個月的工資工時記錄。

2) 跟進審核：工廠應提供從上次審核后結束至審核當天之間所有的且最低不少于兩個月的工作時間和工資記錄。否則該次重審無效。

3) 原則上同一營業執照下的所有范圍都應該覆蓋。(即使工廠有幾個廠區和不同的生產線。)

3.Audit Contents: 審核內容

1.Employment Freely Chosen 自由選擇雇傭關系

2.Freedom of Association 自由結社和勞資談判的權力

3.Safety and Hygienic Conditions 安全衛生的工作條件

4.Child Labor 不使用童工

5.Wages and Benefits 合理的工資

6.Working Hours 合理的工作時間

7.Discrimination 不歧視

8.Regular Employment 正規的雇傭關系

9.Harsh or Inhumane Treatment 不用苛刻和不人道的方式對待雇員

10.Environment & Business Integrity 環境保護和商業道德(可選擇)

4.Main Audit Method : 審核的主要方法

a.Management staff interview 管理人員訪談

a. b.On-site inspection 現場審核

b. c.Document review 文件審核

c. d.Workers interview 工人訪談

5.Critical Noncompliance of SMETA: SMETA 審核的嚴重不符合項

Child Labor 童工

Involuntary Labor 非自愿勞工 Coercion & Harassment 脅迫與騷擾 Discrimination 歧視

Physical Abuse 體罰

Dangerous Working Conditions that pose immediate threat to workers’ life and safety

惡劣的，高危或安全隱患高的工作環境

Bribery (商業誠信)

6.Criteria: 評分標準

There is no pass or fail grading/scoring system in SMETA audit. The final results would be decided by the end buyer/client.

SMETA 審核沒有采用過與不過的等級或者任何打分系統等。最終的結果將由最終買家或者客戶來決定。