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序号No条款Term审核发现的问题点Theproblemsexsitingintheaduit根本原因Rootcause11.4Factoryhasplannedthecapacity,however,itwasnotreasonalbeandcausemonthlyovertimewasexceededto36hours.NomeetBSCIrequirement.工厂的产能计划不合理，导致月加班超过36小时。由于PMC主管没有足够的“生产计划管理知识”，导致部分生产排单不合理，进而工厂产生员工不合理的加班。AsnoenoughproductionmanagementknowledgeforPMCsupervisor,thenitwascausedsomeunreasonableproductionplanswereraised,andthencausesomeunreasonableovertimeswerearranged.BSCICAP改善对策BSCICAPCorrectiveAction序号No条款Term审核发现的问题点Theproblemsexsitingintheaduit根本原因RootcauseBSCICAP改善对策BSCICAPCorrectiveAction22.1Therewasoneworkerrepresentativeinfactory,however,hewasnotawarenessofBSCIcodeofconduct,Noevidencetoshowthatthiswokerrepresentativewasvotedbyemployees.NomeetBSCIrequirement.工厂有一名员工代表，但他不了解BSCI行为守则的基本内容；也没有证据显示这名员工代表是由员工选举产生。1.SAI-002《员工培训工作指引》策划不全面，无明确效果确认的方式；1.Theguidetrainingforstaff(SAP-002)isnotcomprehensiveandnowaytoconfirmtheeffectoftraining.2.公司管理层不了解员工代表选举的方法及程序2.Themanagerswerenotfamiliarwiththeemployeerepresentativeelectionmethodandprocedure.序号No条款Term审核发现的问题点Theproblemsexsitingintheaduit根本原因RootcauseBSCICAP改善对策BSCICAPCorrectiveAction32.4TheindividualinterviewedworkerswerenotawarenessofBSCICodeofConduct,althoughtheemployeestrainingrecordincludedtoBSCIknowledge.NomeetBSCIrequirement.被访谈的个别员工不了解BSCI行为守则的基本内容，尽管工厂提供的培训记录里包括了BSCI行为守则的要求。SAI-002《员工培训工作指引》策划不全面，无明确效果确认的方式。Theguidetrainingforstaffisnotcomprehensive,nowaytoconfirmtheeffectoftraning.序号No条款Term审核发现的问题点Theproblemsexsitingintheaduit根本原因RootcauseBSCICAP改善对策BSCICAPCorrectiveAction42.5Althoughtheauditeehasagrievancepolicy,norecordsofthecasespresentedarekept.Allopendoorgrievancesarehandledverbally,anditwasnotpossibletoverifywhethertheproceduressetoutforopendoorpolicyisimplementedduetothislackofrecords.NomeetBSCIrequirement.尽管工厂建立了投诉政策，但是并没有保存投诉记录。所有的投诉都是口头处理的，由于缺乏记录没有办法验证投诉程序是否有效实施。SAI-024《员工申诉处理作业指引》策划不全面，无规定员工投诉处理方式及投诉记录保存期限Theemployeecomplainthandlingoperationguideplanning(SAI-024)isnotcomprehensive，norequirementsaboutthewaystohandlethecomplaintsforstaffandtheretentiontimeofcomplaintsrecord.序号No条款Term审核发现的问题点Theproblemsexsitingintheaduit根本原因RootcauseBSCICAP改善对策BSCICAPCorrectiveAction55.5Basedonsitedocumentsevaluationandworkerinterview,itwasnotedthatfactoryemployedtotal35employees,factorydidnotpurchasesocialassuranceforemployees,nomeettherequirementsofRegulationsofGuangdongProvinceonsocialinsurance.however,factoryhaspurchasedthecommercialinsuranceforoccupationalinjury.).工厂没有为现有的35名员工购买社会保险，不符合《广东省社会保险条例》的要求。但是工厂针对工伤为员工购买了商业意外保险。因大部分员工在户籍所在地有购买农村社会保险，不愿意在就业所在地重复购买保险。Mostofthestaffhavealradyboughttheruralsocialinsuranceintheplaceofdomicile,sotheyarenotwillingtobuythesocialassuranceintheplacewheretheyworokagain.序号No条款Term审核发现的问题点Theproblemsexsitingintheaduit根本原因RootcauseBSCICAP改善对策BSCICAPCorrectiveAction66.2Throughdocumentsreviewandworkersinterview,itwasnotedthatfromNov-2015toOct-2016,themonthlyovertimehoursof5outof5randomlysampledemployeesexceededto36hours,themonthlymaximumwasupto82hours.(BSCIQuestionnaire6.2).NomeettherequirementsofChinaLaborLaw.通过文件审核和工人访谈，5名抽样的工人从2015年11月至2016年10月的月加班时间超过36小时，最多达到80小时，不符合劳动法的要求。1.由于工厂2015年11月至2016年10月份订单较多，且客户交期紧，导致工厂需要安排员工超时加班来完成订单，以确保产品准时交货；1.AstherearelotsoforderandthedeliverytimeislimitfromNov-2015toOct-2016,sothemonthlyovertimehoursexceededto36hourstomakesurewecandeliverallthegoodstoourcustomersontime.2.由于PMC主管没有足够的“生产计划管理知识”，导致部分生产排单不合理，进而工厂产生个别员工不合理的加班。2.AsnoenoughproductionmanagementknowledgeforPMCsupervisor,thenitwascausedsomeunreasonableproductionplanswereraised,andthencausesomeunreasonableovertimeswerearranged.序号No条款Term审核发现的问题点Theproblemsexsitingintheaduit根本原因RootcauseBSCICAP改善对策BSCICAPCorrectiveAction77.1Baseddocumentreviewandworkersinterview,itwasnotedthatworkersandtheirrepresentativesdidnotinvolveintheestablishmentofoccupationalhealthandsafetyprocedures.NomeetBSCIrequirement.基于现场管理者访谈及员工代表访谈发现，员工代表没有参与确立职业健康安全程序。不符合BSCI的要求。SAP-003《健康与安全管理程序》文件策划不全面，无规定员工代表参与确立职业健康安全程序。healthandsafetyprocedures(SAP-003)isnotcomprehensiveandnoregulationsfortheworkerrepresentativetotakepartintheOccupationalhealthandsafetyprogram.87.3Factorydidn'ttaketheOccupationalHazardsAspectsInspectionforworkingenvironment.Threeoffivesampledworkerswasnottakentheoccupationalandhealthbodycheckingwhowereonpunchingandpolishingstation.NomeetrequirementofOccupationalDiseasePreventionLawofthePeopleRepublicChina.工厂没有检测车间的职业危害因素，抽查的三名冲压工及打磨的员工没有参加职业健康体检。SAP-003《健康与安全管理程序》策划不全面，无规定职业危害因素检测周期与负责人，以及对应接触有毒有害岗位人员的职业病体检周期。序号No条款Term审核发现的问题点Theproblemsexsitingintheaduit根本原因RootcauseBSCICAP改善对策BSCICAPCorrectiveAction97.4Baseddocumentreviewandworkersinterview,itwasnotedthatworkersandtheirrepresentativeswerenotconsultedduringriskassessment,developmentandimplementationoftheOHSsystems.基于现场文件评审及工人访谈得知，工人及他们的员工代表没有参与风险评估、开发和执行职业健康安全体系。SAP-003《健康与安全管理程序》策划不全面，没有规定工人及员工代表参与风险评估、开发和执行职业健康安全体系。healthandsafetyprocedures(SAP-003)isnotcomprehensiveandnoregulationsforthestaffandstaffrepresentativetotakepartintheriskassessmentandthedevelopmentandimplementofoccupationalhealthandsafetysystem.107.5Base