Code of Conduct
Assessment Checklist
Client:
Vendor:
Factory Name/address):
Type of audit:
q 1st party audit
q 2nd party audit
q 3rd party audit
q Announced audit
q Unannounced audit
q Initial audit
q 1st follow up
q2nd follow up
References:
Job Number:
Auditors:
Date of audit:
Signed by Lead auditor:
content
I. Factory Information
II.Auditor Team
III.Auditee Representative
IV.Assessment Checklist
1)Child Labor
2)Forced Labor
3)Health & Safety
4)Freedom of Association
5)Discrimination
6)Disciplinary Practices
7)Working Hours
8)Compensation
9)Environment
I: FACTORY INFORMATION
Factory Name
Address
Contact Person
Tel
Fax
E-mail
Factory Operations
Products Manufactured
Production Capacity
Qty Per year
Manufacturing FloorsS.Q. Meters
Dormitory AreaS.Q. Meters
Kitchen and CanteenS.Q. Meters
Production Process Flow
Equipment used
Employees Details
MaleFemaleSun-total
Supervisors/Managers
Administration Staff
Quality Control Staff
Engineering Staff
Workers
Sub-total
II.AUDITOR TEAM
Auditor nameAuditing companyRole in the teamAudit
date
III.AUDITEE REPRESENTATIVES
NamePosition/Department
IV. Assessment Checklist
1. Child Labor
Item noRequirementYes/No/NAComments
1.1Does the factory have a copy of valid laws and regulations on child labor OR understand its requirements?
What is the legal Youngest age of workers?
工厂是否有关于童工的法律文本复印本。
法定最小年龄多少？
1.2Does the factory have a copy of valid regulations and laws on young worker protection OR understand its requirements? 工厂是否有关于未成年工的法律文本复印本
1.3Does the factory have effective procedures to verify the age of worker at the time of recruitment? 有无核对工人年龄的程序。
1.4Does the factory keep adequate age documents of workers such as ID copies and personnel records? 有无工人的年龄资料。
1.5Is separate register maintained for child labor/ young workers? 童工和未成年工是否分开登记。
1.6Is any evidence identified that child labor was employed at the factory?
1.7Does the youngest age of workers at the factory Comply with local legal requirements?
1.8Does the factory have effective remediation programs existing for child labor (where appropriate)?
1.9Is child remediation program monitored by the labor ministry / UNICEF / ILO (where appropriate)?
1.10Are suspected young worker age records such as age certificate, local records or certificate from surgeon verified?
1.11Are children or young workers engaged in hazardous work? 童工/未成年工是否安排在危险岗位？
1.12Are children or young workers employed at night shift? 童工/未成年工是否安排有夜班？
1.13Does the factory implement any work experience/ apprenticeship scheme for school age children?
1.14Are above findings confirmed through interview with workers?
Section Rating: Child Labor
Nonconform: q High q Medium q Low q Conform
Legal/Code Non-conformance :
Corrective Actions confirmed by factory / Agent :
Responsibility Deadlines
Good Practice:
Remark:
2. Forced Labor
Item noRequirementYes/No/NAComments
2.1Does the factory have a copy of valid laws and regulations on forced labor or understand its requirements? 关于强迫劳动的法律文本
2.2Are all workers present voluntarily at the factory? 员工是否自愿上班
2.3Are workers free to leave after working hours?
Is any restriction placed?
2.4Are workers permitted time-off with doctor’s certificate when sick or for maternity?,
2.5Is any evidence of physical or verbal abuse identified? Whether use of force observed, at least for overtime work? 有无体罚？折骂？
2.6Do all workers sign employment contracts with the factory? Is it unfair or illegal? 是否都有合同。
2.7Is any evidence identified that security guards were used to coerce workers ? 保安员打人吗？有用武力吗？
2.8Are workers not required to lodge deposits or original documents such as ID papers, training certificate, etc.? 有押金？押身份证？
2.9Is any physical method impeding freedom of workers such as surveillance camera, locked exit during working hours or perimeter fences, etc? 工作时有闭路电视等监督吗？
2.10Is any evidence identified on the use of forced labor / prison labor?
Section Rating: Forced Labor
Nonconform: q High q Medium q Low q
Conform
Legal/Code Non-conformance :
Corrective Actions confirmed by factory / Agent :
Responsibility Deadlines
Good Practice:
Remark:
3. Health and Safety
Item noRequirementYes/No/NAComments
3.1
Does the factory have a copy of valid laws and regulation on health and safety or understand its requirements? 法律文本？
3.2Is written health and safety policy posted and signed by top management? 有无健康安全政策贴在现场？
3.3Is safety committee established with members representing the various shifts, functions and levels? 有无安全委员会？该委员会应有不同班次，不同岗位，不同层次的人员参加。
3.4Is a senior management representative for health & safety appointed? If yes please specify the title. 有无健康安全代表？
3.5Does the factory arrange health and safety training for new workers? 有无健康安全培训？
3.6Are training and awareness programs on health and safety arranged regularly for all workers?
3.7Are accidents reported and recorded? 有无事故记录？
3.8Does the factory keep injury / illness records such as daily injury and illness log, injury statistics, illnesses report or any other safety statistics?
3.9Are corrective actions taken to prevent recurrence of work related accidents?
3.10Does the factory have valid fire inspection certificates issued by local fire service authority? 消防验收报告？
3.11Does the factory have adequate number of fire extinguishers at each factory floor?
3.12Are all fire extinguishers inspected and tested regularly and ready to use at all times? 消防器材是否定期检查？
3.13Is an effective fire extinguishing system i.e. fire hydrant/fire hose or sprinkler installed at each factory floor and maintained properly?
3.14Are all fire extinguishing systems inspected and maintained properly?
3.15Is fire and hazard early warning system such as smoke detector installed and regularly tested?
3.16Are fire drills conducted regularly at least once a year? When and how? 消防演习？
3.17Are fire exits and escape routes adequate at each factory floor?
3.18Is any fire exit and escape route blocked or locked? Is any slide door used at the factory?
3.19Are exits and fire exits identified with sign or indicator lamps?
3.20Are adequate emergency lights installed at each factory floor?
3.21Is the factory no more than 5 minutes away by fire engine from nearest fire station? 最近的消防站离厂区在5分钟内能到吗？
3.22Did any fire accident take place in the past 12 months at the factory? 12个月内发生过火灾吗？
3.23Does the factory have valid inspection certificates for boilers, elevators, pressure vessels and other equipment per local regulation? 锅炉、电梯、压力容器证书？
3.24Are the operators of above-mentioned equipment trained and qualified per local regulation? 锅炉、电梯、压力容器操作员证书？
3.25Are adequate guarding or devices installed for moving/rotating parts of machine, pulleys and belts or any other dangerous parts of machines? 设备安全保护装置合适吗？
3.26Is any instruction emphasized to prohibit loose clothing, jewellery or long hair near moving machinery? 有无设备操作规程？员工保护指引：如不带首饰，长发应盘起来等等。
3.27Are all electricians, welding operators and forklift drivers etc. trained and qualified per local regulations? 电工，叉车工、电焊工证书？
3.28Is electrical safety procedures implemented effectively to ensure safety precautions such as grounding, discharging, and testing to be taken?
用电指引？
3.29Are all the electrical wires installed in fully acceptable condition and adequately protected?
3.30Are electrical installations are checked periodically and repairs carried out by competent electrician?
3.31Is hot work permit procedure implemented for welding, cutting and open flame operation at the factory? 热操作规程？
3.32Are all site buildings maintained in good condition in both physical surface and structure?
3.33Are dangerous/hazardous substances used or stored at the factory? 化学品存放安全？
3.34Are these substances safely and securely stored?
3.35Are administration and engineering controls (reduced shift hours, ventilation fans and exhaust fans) introduced to reduce personal exposure?
3.36Are personal protective equipment (PPE) such as goggles, glasses, gloves, earplug / muff, boots, or protective clothing provided at factory cost and in fully acceptable condition? PPE
3.37Is air quality test done if hazardous fumes existed? 空气测试？
3.38Does the factory have a suitable working environment in respect of ventilation, temperature, lighting, cleanliness, and tidiness (overcrowding)?
3.39Does the factory arrange regular health examination for workers exposed to hazardous environment? 危害工位员工是否定期体检？
3.40Are there adequate evidences confirming that the workers’ health is not affected by hazardous factors?
3.41Does the factory have any occupational health inspection certificate issued by local government authority?
3.42Are adequate first aid kits located at each factory floor and marked with signs? 急救设备？
3.43Are adequate workers trained on first aid? How many trained first aiders at the factory? 急救人员？
3.44Is an in-house clinic/first aid station established with competent doctor/first aider employed at the factory? 急救站？
3.45Is a nearby medical centre/hospital/clinic available to factory?
3.46Is potable water accessible and adequate at each factory floor?
3.47Are lavatory facilities accessible, clean and reasonable in number at each factory floor? Does it meet local requirements?
3.48Toilets are private and segregated, for men and women?
3.49Are washbasins and water taps available? Adequate?
3.50Are the factory kitchen and canteen clean and hygienic with adequate facilities?
3.51Are kitchen and canteen subject to local government licensing? If yes, does the factory have such a permit or license?
3.52Are adequate evidences identified that workers working in kitchen are suitable to food service? Such as health examination.
3.53Is there any food safety program established to ensure all the food and stuffs purchased from reliable sources?
3.54Is any pest control program established and implemented effectively?
3.55What is the average dormitory space per worker? How many workers per room? Does it meet with local norms and standards?
3.56Is there adequate living space for each worker and meet the requirements of relevant local regulations?
3.57Are recreation areas available at the factory?
3.58Are kitchen, laundry facilities available in dormitory?
3.59Is there an adequate supply of sanitary drinking water available to workers at adequate distance at dormitory?
3.60Are there adequate toilets with hand basins available to workers at adequate distance at dormitory?
3.61Are there adequate bathrooms available to workers at dormitory?
3.62Are sanitary areas clean and hygienic with available washing facilities?
3.63 Are the dormitory clean, safe and well lit?
3.64Are workers free to exit & re-enter dormitory freely? Are any curfew hours set?
3.65Are adequate security measures provided to protect workers at dormitory?
3.66Do the dormitory buildings appear structurally sound and in acceptable repair?
3.67 Are dormitory exits unblocked and unlocked for emergency evacuation?
3.68 Are written dormitory rules posted? (if yes please attach copy)
3.69 Are fire emergency evacuation plans posted at dormitory and understood by all workers?
3.70Is any worker’s dormitory located in the building of production and/or warehouse?
Code of Conduct
Assessment Checklist
Section Rating: Health & Safety
Nonconform: q High q Medium q Low q Conform
Legal/Code Non-conformance :
Corrective Actions confirmed by factory / Agent :
Responsibility Deadlines
Good Practice:
Remark:
4. Freedom of Association
Item noRequirementYes/No/NAComments
4.1Does the factory have a copy of valid laws and regulations on trade union and freedom of association or understand its requirements? 法律文本？
4.2Is workers’ right to form and join free trade unions and workers’ associations acknowledged by the management and workers?
4.3Are trade unions or workers’ associations formed at the factory?
4.4 Do workers elect their own representatives / spokesperson? If yes, please specify their title.
4.5 Do worker representatives have access to members at workplace?
4.6 Is any evidence identified on disparate treatment between union/non-union workers?
4.7 If restricted by law or if there is no formal workers union / association, does the factory facilitate parallel means such as worker committee?
4.8For non-unionised factory, are fair and effective mechanisms to ventilate and resolve grievances of workers in place?
4.9Does the factory provide workers to choose a representative from their own group to facilitate communication with senior manager?
4.10 Does the factory encourage workers to formally join and carry out activities like complaints & resolutions of workers’ grievances, health & safety related activities, worker – management activities on productivity, etc.?
Does interviews with , workers & amp; representative confirm the above findings ?
Section Rating: Freedom of Association Nonconform: o High o Medium o Low q Conform Legal/Code Non-conformance :
Corrective Actions confirmed by factory / Agent :
Responsibility Deadlines
Good Practice:
Remark:
5. Discrimination
Item noRequirementYes/No/NAComments
5.1Does the factory have a copy of valid laws and regulations on non-discrimination or understand its requirements? 法律文本？
5.2Is any evidence identified on discrimination in employment, promotion, compensation, welfare, dismissal and retirement, etc.?
5.3Do employment reflect local ethnic/religious breakdown – no domination by one group?
5.4Does employment records show any evidence of discrimination – patterns of dismissal?
5.5Do workers have access to and familiarity with procedures for filing complaints about discrimination?
5.6Is equal salary for equal work for male and female workers implemented at the factory?
5.7Is there any existence of sexual harassment, especially of young female workers?
5.8Is any evidence identified on discrimination through interview with workers, individual and collective?
Section Rating: Discrimination
Nonconform: q High q Medium q Low q Conform
Legal/Code Non-conformance :
Corrective Actions confirmed by factory / Agent :
Responsibility Deadlines
Good Practice:
Remark:
6.Discipinary Practices
Item noRequirementYes/No/NAComments
6.1Does the factory have a copy of valid laws and regulations on disciplinary practices or understand its requirements? 法律文本？
6.2Does the factory have documented disciplinary rules and communicate to all workers? 厂规有告诉员工吗？
6.3Are the disciplinary rules fair, reasonable and legal or validated by local government authority?
6.4Does any evidence exist for mental / physical coercion? 有无精神/肉体上的压迫？
6.5Is any evidence of deductions from pay for non-fulfilling production target or sickness?
6.6Are the worker’s disciplinary actions recorded?
6.7Do workers have access to appeal in case of infractions / breaking of rules.
6.8Are the fines used for workers‘ benefits? 罚款是否用于员工福利？
6.9Is the factory free of any citation, penalty from violation of laws and regulations in past 12 months? 12个月内发生过罢工吗？
6.10Do interviews with workers confirm above findings?
Section Rating: Disciplinary Practice
Nonconform: o High o Medium o Low q Conform
Legal/Code Non-conformance :
Corrective Actions confirmed by factory / Agent :
Responsibility Deadlines
Good Practice:
Remark:
7.Working Hours
Item noRequirementYes/No/NAComments
7.1Does the factory have a copy of valid laws and regulations on working hours or understand its requirements?
What are the local legal working hours per week?
关于工时的法律文本？
7.2Does the factory have written policy on working hours, rest and vacations and communicate to all workers? 关于工时的工厂内部规定？
7.3Does the working hours policy meet local laws and regulations?
7.4Is the working hours of individual workers recorded by time card or attendance record?
7.5What is the factory’s regular working hours per per/week/ month? Does it meet local legal requirements?
7.6What is the maximum working hours of individual workers per day/week/month? Does it meet local legal requirements?
7.7What is the average working hours of individual workers per day/week/month? Does it meet local legal requirements?
7.8What are the average overtime hours of individual workers per day/week/month? Does it meet local legal requirements?
7.9Do workers have reasonable time for meal breaks and rest break?
7.10Does the factory have any valid written approval or permit on extra overtime hours from local labor authority? 有无地方政府关于延长工时的批文？
7.11Do workers work overtime voluntarily? Do they have the right to refuse overtime?
Section Rating: Working Hours
Nonconform: q High q Medium q Low q Conform
Legal/Code Non-conformance :
Corrective Actions confirmed by factory / Agent :
Responsibility Deadlines
Good Practice:
Remark:
8.Compensation
Item noRequirementYes/No /NAComments regulations on compensation and benefits or understand its requirements? 福利待遇的法律文本？
8.2Does the factory have written policy on compensation and benefits and communicate to all workers? 福利待遇的工厂内部规定。
8.3Does the compensation and benefits policy meet local laws and regulations on working hours?
8.4What is the paid minimum wages at the factory?
Do all workers’ wages meet local minimum wages?(including trainees / apprentices / workers in probation period)
8.5Is compensation calculation method communicated to all workers and understood by them clearly? 员工理解相关规定吗？
8.6Are fair and legal rates paid for overtime?
8.7Are all compensation paid to workers themselves in cash/cheque/direct to bank or any other method convenient to workers?
8.8Do workers receive correctly calculated wages per local legal requirements?
8.9Are wage slips given to workers and are they understood (rates, totals, deductions, benefits) ? 有无工资单给员工？
8.10Is there a sufficient system to let workers check/ verify their wages?
8.11Are workers’ wages deducted for any reason other than tax, social security?
8.12Are these deductions fair, reasonable and legal?
8.13Is the payment frequency reasonable? Does the factory withhold workers’ wages for any reason?
8.14Is extra work to fulfil production target demanded without payment? Is rework paid? 是否存在为完成任务而加班且无加班费？返工有工资吗？
8.15Is any evidence identified on payment in kind, e.g. food or products?
8.16Are all workers provided social insurance per local legal requirements?
Section Rating: Compensation
Nonconform: o High o Medium o Low q Conform
Legal/Code Non-conformance :
Corrective Actions confirmed by factory / Agent :
Responsibility Deadlines
Good Practice:
Remark:
9. Environment
Item noRequirementYes/No /NAComments
9.1Does factory operate an Environmental Management System? 有无环保管理体系？
9.2Does this include waste water treatment? 该体系是否涵盖污水处理？
9.3Does this include hazardous waste treatment? 涵盖危险品处理？
9.4Does this include air pollutant treatment? 涵盖废气处理？
Section Rating: Environment
Nonconform: q High q Medium q Low q Conform
Legal/Code Non-conformance :
Corrective Actions confirmed by factory / Agent :
Responsibility Deadlines
Good Practice:
Remark:
| 