審核常見問題和改善方案

1、 Level Works Ltd582 Market Street, San Francisco, CA 94104 www.level-WCA審核常見問題 解釋和改善方案Oct 17 2012 www.level-Training Objective 培訓(xùn)目標(biāo) Introduce Dollar General WCA audit criteria and audit focuses ; 了解 Dollar General WCA 審核標(biāo)準(zhǔn)和審核重點(diǎn); Review common audit violations and share the challenges to most of the

2、factories; 分享審核中發(fā)現(xiàn)的常見問題點(diǎn)和探討 工廠所面臨的挑戰(zhàn); Based on some case study and discussions, you will be provided with ideas on how to take actions of remediation;我 們 會(huì)以案例分析的形式探 討 切 實(shí) 可行的 問題 解決方案; Data analysis and Sharing with respect to wages/working hours data which Level Works has collected; 分享 Level Works在社

3、會(huì) 責(zé)任審核過程中收集到的審核信息和發(fā)展趨勢(shì); Q&A session; 問題解答環(huán)節(jié)即時(shí)解答你的提問 . www.level-Dollar General WCA審核標(biāo)準(zhǔn) Dollar General WCA Audit Criteria Labor 勞工權(quán)益 Wages and Hours 工資和工作時(shí)間 Health and Safety 健康安全 Management System 管理體系 Environmental 環(huán)境保護(hù) www.level- WCA 審核標(biāo)準(zhǔn) 勞工權(quán)益 WCA Audit Criteria WCA Audit Criteria -Labor Child

4、 Labor 童工No child labor should be employed 工廠不得雇傭 16周歲以下 的員工 Policies/procedures are in place to verify the age of applicants before employment. 工廠應(yīng)建立相關(guān)招聘程序Forced Labor 強(qiáng)迫勞工 All work is conducted on a voluntary basis, and not under threat of any penalty or sanction. 自愿工作 The use of forced or compuls

5、ory labor in any form, including prison labor, is prohibited. 禁止使用監(jiān)獄勞工Discrimination 歧視 There is no discrimination in hiring, compensation, promotion, termination based on race, caste, national origin, religion, disability, gender, marital status, sexual orientation, union membership or political af

6、filiation. 不得在招聘,薪酬,晉升和解除雇傭關(guān)系時(shí)存在歧視 www.level- WCA 審核標(biāo)準(zhǔn) 勞工權(quán)益 WCA Audit Criteria WCA Audit Criteria -Labor Discipline, Harassment or Abuse 虐待和騷擾 Physical abuse or discipline, the threat of physical abuse, sexual or other harassment and verbal abuses or other forms of intimidation should be prohibited.

7、禁止任何形式的虐待和騷擾 Disciplinary practices are fair and non-arbitrary.合理的紀(jì)律措施 Freedom of Association 自由結(jié)社 Employees have the right to join or form labor unions of their own choosing and to bargain collectively.保障員工自由結(jié)社和集體談 判的權(quán)利Labor Contracts 勞動(dòng)合同 Employment terms and conditions are complying with legal re

8、quirements.勞動(dòng)合同條款符合法律要求 www.level-WCA 審核標(biāo)準(zhǔn) 工資和工時(shí)WCA Audit Criteria WCA Audit Criteria Wages and HoursWorking Hours 工作時(shí)間Complying with industry benchmark.周工作時(shí)間不得超過 91小時(shí),日 工作時(shí)間和月工作時(shí)間符合法律要求 Employees get at least one day of rest in seven.保證員工 7天休息 1天 Wages and Benefits 工資 Wages, overtime premium, benef

9、its should be complied with legal minimum and/ or industry benchmark standards.基本工資,加班費(fèi)和 福利符合法律要求No unauthorized deductions are made. 不得非法克扣工資WCA 審核標(biāo)準(zhǔn) 健康安全WCA Audit CriteriaWCA Audit Criteria Health & Safety General Work Facility總體工作環(huán)境,健康安全狀況 To assess the general health and safety conditions of

10、 the facility. 評(píng)估工廠總體工作環(huán) 境,健康安全狀況Emergency Preparedness 緊急事故預(yù)防 To assess fire fighting equipment and the installation of the facility.消防設(shè)備配備情況 To assess if emergency exits and aisles are free from obstruction.緊急疏散通道和逃生 出口,消防演習(xí)等Occupational Injury 職業(yè)傷害預(yù)防 To assess facilitys program and policy in prev

11、enting and dealing with occupational injuries. 工傷事故預(yù)防和急救培訓(xùn)Machine Safety 機(jī)器安全 Machines are registered in accordance to the local law.機(jī)器設(shè)備登記和年檢 All dangerous parts of the machines are properly safeguarded and maintained. 機(jī)器設(shè) 備防護(hù) Personal protective equipment (PPE are provided and employees are proper

12、ly trained. 個(gè)人防護(hù)用品 www.level-WCA 審核標(biāo)準(zhǔn) 健康安全WCA Audit CriteriaWCA Audit Criteria Health & Safety Safety Hazards 職業(yè)危害 Special appliances such as boilers are properly registered and certificates are kept. 特種設(shè)備的使用和事故預(yù)防 Training on personal protective equipment (PPE is given to employees. 個(gè)人 防護(hù)用品的使用和培

13、訓(xùn)Chemical and Hazardous Materials 化學(xué)品和危險(xiǎn)物質(zhì) All chemical and hazardous materials are stored, labeled and disposed properly according to procedures.化學(xué)品的儲(chǔ)存和使用 Proper personal protective equipment (PPE are provided and used properly.個(gè)人防護(hù)用品的使用和培訓(xùn)Dormitory and Canteen 宿舍和飯?zhí)?Dormitory is separated from pro

14、duction facility. 宿舍三合一 Sufficient space is provided to each resident.人均居住面積 To assess general health and safety condition in dormitory. Eating and cooking facilities are clean and hygiene. 衛(wèi)生狀況 www.level- www.level-WCA 審核標(biāo)準(zhǔn) 管理體系WCA Audit Criteria WCA Audit Criteria Management System The workplace s

15、hould have clearly defined policy and procedure for the implementation of the Management System in order to achieve the fair labor practices and conditions. The policy and procedure should be effectively and efficiently communicated within the workplace. 工廠應(yīng)建立書面的社會(huì)責(zé)任管理體系www.level- WCA 審核標(biāo)準(zhǔn) 環(huán)境保護(hù) WCA

16、Audit Criteria WCA Audit Criteria -Environmental To assess the facilitys general environmentalperformance with respect to the legal requirements, and the effectiveness of facilitys environmental management system. Includes the waste disposal and air emission.評(píng)估工廠環(huán)境保護(hù)守法狀況,污染物的排放及節(jié)能減排 www.level-WCA 審核

17、標(biāo)準(zhǔn) -零容忍度問題 WCA Audit Criteria WCA Audit Criteria ZT issuesAny of the below violations will result in the factory being blacklisted, all outstanding purchase orders will be cancelled, and no product will ship from the factory. 如企 業(yè)證實(shí)違反以下項(xiàng)目將會(huì)列入黑名單,一切向該供應(yīng)商 之采購(gòu)訂單亦會(huì)立即取消,生產(chǎn)中產(chǎn)品亦不能付運(yùn)。 Use of Child Labor (wo

18、rkers must be at least sixteen years of age 僱用童工 -Dollar General在各地工廠的工人年 齡應(yīng)不少於16歲 Use of Forced Labor (all types of forced labor to include prison, bonded, and indentured 僱用囚工或強(qiáng)制勞工 定義包括使用囚工、抵債工或契約工的現(xiàn)象。Physical or sexual abuse or harassment of any type 勞工受 到騷擾及虐待 定義包括性騷擾或精神上、肉體上、 言語(yǔ)上虐待、騷擾及侮辱及/或欺凌。 w

19、ww.level-WCA 審核標(biāo)準(zhǔn) -零容忍度問題 WCA Audit Criteria WCA Audit Criteria ZT Issues Dollar General acknowledges there are challenges in complying with some of the requirements of Chinese law. We have many years of experience working with China factories and our policy is that you must show the true records du

20、ring this audit. We will work with you on a continuous improvement plan if you show the true records. If you present falsified records you will get no more orders from Dollar General. Dollar General 在中國(guó) 跟本地企業(yè)已有多年的合作經(jīng)驗(yàn)。我們了解到供 應(yīng)商在符合中國(guó)法律時(shí)會(huì)遇到挑戰(zhàn)。但我們堅(jiān)持 供應(yīng)商必須在審核時(shí)提交真實(shí)完整的文件及紀(jì)錄 。在真實(shí)透明的前提下,我們會(huì)按照審核結(jié)果和 貴司一同持續(xù)改善存

21、在的問題;如證實(shí)供應(yīng)商所 提交之文件為偽造文件,我司會(huì)立即暫停新訂單 。 www.level-WCA 審核標(biāo)準(zhǔn) -零容忍度問題 WCA Audit Criteria WCA Audit Criteria ZT Issues Dollar General does not allow anyone to give benefits or money to the auditors as they perform their duties in your factory. The auditors have strict instructions to report any violations

22、of that policy. Dollar General 不允許任何人給與審核 人員任何形式的報(bào)酬或金錢。我們的 審核員亦嚴(yán)格執(zhí)行指引,將任何觸犯 廉潔守則的個(gè)案向客戶匯報(bào)。 www.level-WCA 審核標(biāo)準(zhǔn) -審核評(píng)分WCA Audit Criteria WCA Audit Criteria Score & RatingHigh Performance (scoring 85 100. Meet expectations. 合格,滿足要求 Medium Performance (scoring 71 84. Further improvement needed. 不合格,需要

23、改善 Low Performance (scoring 51 70. Significant action required. 不合格,需要重大改善 Very Low Performance (scoring 0 50. Urgent action required. Effective 1 September, factories that score in the Red, Very Low Performance (0-50, on the Workplace Conditions Assessment (WCA audit will no longer be allowed to pr

24、oduce product for Dollar General. The vendor will be given the opportunity to move the purchase orders to a qualified factory. If after ten business days the vendor cannot move the orders to a qualified factory, the PO(s will be cancelled.不合格 ,終止生產(chǎn) www.level- Questions ! 請(qǐng)?zhí)岢瞿愕膯栴}! www.level- Dollar G

25、eneral acknowledges there are challenges in complying with some of the requirements of Chinese law. We have many years of experience working with China factories and our policy is that you must show the true records during this audit. We will work with you on a continuous improvement plan if you sho

26、w the true records. If you present falsified records you will get no more orders from Dollar General. Dollar General 在中國(guó) 跟本地企業(yè)已有多年的合作經(jīng)驗(yàn)。我們了解到供 應(yīng)商在符合中國(guó)法律時(shí)會(huì)遇到挑戰(zhàn)。但我們堅(jiān)持 供應(yīng)商必須在審核時(shí)提交真實(shí)完整的文件及紀(jì)錄 。在真實(shí)透明的前提下,我們會(huì)按照審核結(jié)果和 貴司一同持續(xù)改善存在的問題;如證實(shí)供應(yīng)商所 提交之文件為偽造文件,我司會(huì)立即暫停新訂單 。透明度的重要性 客戶的期望The Importance of Transparency Th

27、e Importance of Transparency Client Expectation www.level-“Inconsistent records” is the third most commonly raised finding, although there is a big variance depending on the audit type (56.75% of Initial audits have such a finding versus 23.64% during Follow-ups. Based on DG audits performed in 2011

28、 and 2012. 透明度問題是第三大審核發(fā)現(xiàn)點(diǎn) (基于 2011和2012 DG審核透明度的重要性 現(xiàn)實(shí)狀況The Importance of Transparency The Importance of Transparency Real Data www.level- Text透明度的重要性 現(xiàn)實(shí)狀況The Importance of Transparency The Importance of Transparency Real Data Transparency of DG factories per province透明度問題點(diǎn)發(fā)現(xiàn)的比例 www.level-Almost 60%

29、 of the audited factories was caught with falsified records issue during the initial audit (excluding access denied. 60%的工廠在初次審核中存在透明度問題透明度的重要性 現(xiàn)實(shí)狀況The Importance of Transparency The Importance of Transparency Real Data www.level- Directly result in audit failure; 直接導(dǎo)致審核不 合格; Affect client relations

30、hip, goodwill and lost of business; 影響同客戶的關(guān)系及業(yè)務(wù)損失; Shipment delayed and lost of profit margins; 導(dǎo) 致貨期延誤和利潤(rùn)損失; Audit fee wasted; 浪費(fèi)審核費(fèi)用; Time and energy wasted; 浪費(fèi)時(shí)間和精力;透明度的重要性 影響 (工廠The Importance of Transparency The Importance of Transparency Factory Impact www.level-Fail on transparency will impac

31、t your audit score and performance significantly. 缺乏透明度將嚴(yán)重影響審核分?jǐn)?shù)透明度的重要性 影響(工廠The Importance of Transparency The Importance of Transparency Factory Impact www.level-Inaccurate wages, working hours data from audit; 由工廠 審核得到的工資,工時(shí)和福利等相關(guān)信息不真實(shí); Lost risk-management purpose of audit; 失去審核的風(fēng) 險(xiǎn)管理效益; Effecti

32、ve remediation actions cannot be started promptly; 整改措施不能有效開展; Audit fee wasted; 浪費(fèi)審核費(fèi)用; Time and energy wasted;浪費(fèi)時(shí)間和精力; Additional cost for factory replacement; 增加尋找替換工 廠的費(fèi)用。透明度的重要性 影響 (客戶The Importance of Transparency The Importance of Transparency Client Impact www.level- Facing different clients

33、 and their audit standards have big variances; factory choose falsified records in order to pass audit for gaining business; 工廠同時(shí)面對(duì)不同客 戶,他們的要求存在顯著差異;迫于無(wú)賴只能提供不 同的虛假記錄以應(yīng)對(duì)審核; A big percentage of factories have working hours and wages violations; they use falsified records to hide; 大多 數(shù)工廠存在工時(shí),工資違規(guī)現(xiàn)象;試圖使

34、用假資料隱 瞞這些違規(guī); Factory does not have accurate time recording system in place or incomplete system; such as piece rate; 工廠實(shí)際 運(yùn)作沒有工作時(shí)間記錄或記錄不完整,比如計(jì)件方式 等等;為了應(yīng)付審核使用虛假資料;Do not understand client expectations and worrying the impact if real records are provided; 不了解客戶透明度 的要求,害怕提供真實(shí)記錄后審核不合格; 透明度的重要性 工廠面臨的挑戰(zhàn)Th

35、e Importance Transparency The Importance Transparency Factory Challenges Are you facing the same challenges? Lets discuss.你是否也面臨以上挑戰(zhàn)?說(shuō)出來(lái)讓我們一起討論 www.level- Establish a better management system and time recording system; 不斷完善工廠的管理體系;完 整準(zhǔn)確的記錄工人的工作時(shí)間和工資; Enhance production efficiency to reduce working h

36、ours and production costs; 提高生產(chǎn)效率,控制 和減少工作時(shí)間, 降低生產(chǎn)成本; A better production plan to balance factory capacity and orders; 制定更好的生產(chǎn)計(jì)劃;平衡產(chǎn)能和訂 單量; Be honest to client and promise continuous improvement; 向客戶如實(shí)提供真實(shí)的工時(shí)工資記 錄并承諾持續(xù)改進(jìn)違規(guī)項(xiàng)目; For DG, failure of transparency is much more serious than wages and workin

37、g hours violations; 對(duì)于 Dollar General,沒有透明度比工時(shí)、工資的違規(guī) 嚴(yán)重得多。透明度的重要性 改善方案 (工廠The Importance of Transparency The Importance of Transparency Factory Remediation www.level- Some transparent factories manage to achieve a score between 85 and 89 and pass. 有很大部分工廠提供真實(shí)記錄也能通過 WCA 審核透明度的重要性 改善方案 (工廠The Importan

38、ce of Transparency The Importance of Transparency Factory Remediation 透明度的重要性 改善方案 (客戶The Importance of TransparencyThe Importance of Transparency Messages to client A. Make transparency/honesty” as a key initiative 把 “ 透明 /誠(chéng) 實(shí) ” 作為關(guān)鍵項(xiàng) ;B. Be open to know the truth about wage and working hour practi

39、ces 對(duì)真實(shí)的工資 , 工時(shí)秉持開放的態(tài)度 ;C. Do NOT terminate factories for wage and working hour practices if they are willing to make realistic improvements 如果工廠愿意逐步改進(jìn) , 不要因?yàn)楣べY , 工時(shí)問題而終止與 透明工廠的商務(wù)關(guān)系 ;D. Keep all the findings confidential. Most factories will not provide the real records to the third party auditor if

40、 that third party audits company also represent other customer with different requirements 對(duì)來(lái)自于工廠的數(shù)據(jù)嚴(yán)格保密 . 如果同一家第三方公司同時(shí)代表了其他工廠不信任的買 方客戶對(duì)其進(jìn)行評(píng)審 , 工廠通常不愿意向該第三方公司提 供真實(shí)記錄 ; www.level-文件記錄保存Record KeepingRecord Keeping -Is this a big issue? It is a big issue! Based on audits performed by LW on behalf of D

41、G during 2011 and 2012; record keeping is the second commonly found violations. 記錄保存問題是 DG 審核中第二大常見問題。 www.level- www.level-文件記錄保存 你用什么方式記錄員工考勤?Record Keeping Record Keeping What Kinds of Attendance System in Your Factory? www.level-文件記錄保存 哪一種考勤記錄方式可以接受?Record Keeping Record Keeping What Kinds of At

42、tendance System is Acceptable? Attendance records must accurately indicate all working hours;考勤記錄 必須能準(zhǔn)確反映員工所有的上班時(shí) 間; Electronic attendance records and timecards are recommended; 推薦使 用電子考勤和考勤卡; If using manual attendance records, the detailed in and out time and OT hours must be recorded properly; 如果

43、工廠使用手工考勤, 必須紀(jì)錄員工詳細(xì)的上下班時(shí)間和 加班時(shí)間; All employees must have attendance including all piece rate and temporary workers; 所有的員工 必須 有考勤,包括計(jì)件和臨時(shí)員工www.level- 文件記錄保存 你遇到過一下問題嗎?Record Keeping Record Keeping Do you Ever Encountered Below Situations? Workers are paid on piece rate and feel time records not needed

44、? 采用計(jì)件工資,員工覺得考 勤沒有必要;不愿意打卡? No time recording system at all, what should wedo? 工廠根本沒有建立考勤系統(tǒng),我該怎么辦? Some workers always forget to swipe their time records? 工廠總體上有完善的考勤 系統(tǒng),但總有一部分員工上班忘記打卡; Due to unstable production, factory working schedules are irregular, how should we recordworking hours? 由于訂單不穩(wěn)定,員工

45、實(shí)際的上 班時(shí)間不規(guī)則;工廠該怎么記錄員工的工作時(shí)間? Warehouse staff temporarily working on weekends, for example, 1 or 2 hours receiving thematerials, should we also recording the hours? 倉(cāng)庫(kù)管理人員臨時(shí)工作安排,比如,休息日臨時(shí)收貨一兩個(gè)小時(shí)等等;我們需要記錄嗎? www.level- 文件記錄保存 自由討論?Record Keeping Record Keeping Free Discussions?What is the biggest challen

46、ge on record keeping in your factory?你覺得工廠文件記錄保存最大的挑戰(zhàn)是 什么? www.level- Lets have a break!茶歇 China Wages and Working Hours Trends -Complianceon Wages & Working Hours 工 資 , 工 時(shí) 的合 規(guī) 率20112012 (to date 至今 Source: Level Works Internal data (2500-3000 per year in China 數(shù)據(jù)來(lái)源:達(dá)標(biāo)公司內(nèi)部數(shù)據(jù) (每年 2500-3000個(gè)審核在中

47、國(guó) www.level-評(píng)審結(jié)果 (所有工廠 透明而且合規(guī) 透明有加班工資問題 透明有工時(shí)問題 透明有基本工資和加班工資問題 透明有工時(shí)和加班工資問題 透明有工時(shí) , 基本工資和加班工資問題 China Wages and Working Hours Trends -Complianceon Wages & Working Hours 工 資 , 工 時(shí) 的合 規(guī) 率By Province (12 MonthsSource: Level Works Internal data (2500-3000 per year in China 數(shù)據(jù)來(lái)源:達(dá)標(biāo)公司內(nèi)部數(shù)據(jù) (每年 2500-300

48、0個(gè)審核在中國(guó) www.level-評(píng)審結(jié)果 (所有工廠 透明而且合規(guī) 透明有加班工資問題 透明有工時(shí)問題 透明有基本工資和加班工資問題 透明有工時(shí)和加班工資問題 透明有工時(shí) , 基本工資和加班工資問題 China Wages and Working Hours Trends -Wage Trends工資趨勢(shì) Source: Level Works Internal data (2500-3000 per year in China數(shù)據(jù)來(lái)源:達(dá)標(biāo)公司內(nèi)部數(shù)據(jù) (每年 2500-3000個(gè)審核在中國(guó)R M Bwww.level- Hourly Wages (24 Months小時(shí)工資 (24個(gè)月

49、 China Wages and Working Hours Trends -Percentage ofFactories above/below Minimum Wage 高于 /低于最低工 資標(biāo) 準(zhǔn)百分比 Source: Level Works Internal data (2500-3000 per year in China數(shù)據(jù)來(lái)源:達(dá)標(biāo)公司內(nèi)部數(shù)據(jù) (每年 2500-3000個(gè)審核在中國(guó)www.level- China Wages and Working Hours Trends -Percentage ofWorkers Paid above Hourly Min Wage 實(shí)際 支付工 資 高于法定小 時(shí) 工 資 的百分比Source: Level Works Internal data (2500-3000 per year in China數(shù)據(jù)來(lái)源:達(dá)標(biāo)公司內(nèi)部數(shù)據(jù) (每年 2500-3000個(gè)審核在中國(guó)20406080100120Percent