1、1,Corporate Social Responsibility Factory Auditing 公司社会责任工厂审计 Communication to Suppliers 供应商培训,January 2013,Amazons Commitment to Responsible Business Practices （亚马逊对负责任的商务行为的承诺）,Amazons compliance efforts are designed to: 亚马逊要求供应商遵循相关准则旨在： Ensure Amazon products are manufactured under acceptable co
2、nditions 确保亚马逊产品在可接受的条件下生产 Establish a shared commitment to responsible and sustainable growth with our business partners 与我们的商务伙伴一起对有责任感的、可持续发展做出共同承诺 Continuously improve factory conditions thereby improving morale, product quality and efficiency 持续改善工厂条件，从而提升产品道德标准，产品质量和效率 Protect brand and reputa
3、tion of all partners within the supply chain保护供应链内保护所有合作伙伴的品牌和信誉Suppliers failure to comply with the Supplier Code of Standards and Responsibilities or to cooperate with Amazon auditors may result in disqualification 供应商没有遵守供应商标准和职责守则或没有配合亚马逊的审计员，有可能导致被取消作为亚马逊供应商的资格,2019/11/15,2,Amazons Compliance E
4、fforts 亚马逊为合规所做的工作 Key Components 主要内容,Supplier Code of Standards and Responsibilities 供应商标准和职责守则 Cornerstone of Amazons compliance efforts 亚马逊合规努力的基石 Specifies basic minimum policies, procedures and working conditions 规则，基本政策、流程和工作条件 Available on web at: 该文件再一下链接可以找到http:/ National or Local Laws an
5、d Regulations 国家及地方法律法规 Along with the Supplier Code of Standards and Responsibilities, Suppliers are expected to comply with ALL national and local laws and regulations. In some instances, the Supplier Code of Standards and Responsibilities will have requirements that go beyond local law requiremen
6、ts. 供应商在遵守供应商标准和职责守则的同时，也必须遵守所有国家和地方的法律法规。 在某些情况下，供应商标准和职责守则的要求比地方法规的要求更严格 A working knowledge of applicable national and local law is essential to maintaining compliance 掌握适用的国家和地方法律法律规对确保合规至关重要Training and Education 培训和教育 Training and education is critical to ensuring all parties understand and me
7、et expectations为保证相关各方理解和遵守相关要求，培训和教育至关重要 Communicate components of the compliance efforts to agents, suppliers and factories与代理商、供应商和工厂就合规努力的各项工作进行沟通,2019/11/15,3,Amazons Compliance Efforts 亚马逊为合规所做的工作 Key Components 主要内容,Active Compliance Management 积极的合规管理 On an on-going basis Amazon will underta
8、ke affirmative steps to ensure the provisions of the Supplier Code of Standards and Responsibilities are being adhered to through audits. 亚马逊会持续地采取积极的措施以确保 供应商标准和职责守则的规定通过审计得到遵守。 Audits will be performed by an independent auditor 审计由独立的审计员完成 Audits will be utilized to assess compliance with the Supp
9、lier Code of Standards and Responsibilities 通过审计来评估对供应商标准和职责守则的遵守情况 Audits include leading compliance audit techniques such as: 审计包括主要的审计技巧如下： Observation of factory conditions 观察工厂条件 Inquiries of factory management and confidential employee interviews 询问工厂管理层，以及秘密的员工访谈 Detailed testing of factory e
10、mployee and payroll records 详尽的工厂员工和工资记录抽查 Unannounced and Semi-Unannounced Audits (notification that audit will occur within a two week window, but not the specific date) 不事先通知的审计或者模糊通知的审计（模糊通知指 仅通知审计会在两周之内发生，但不告知具体时间） Factory Obligations 工厂的义务 In connection with all Amazon audits, factories are ex
11、pected to meet the following obligations: Access, Non-interference, Ethical Behavior, and Transparency 针对所有亚马逊的审计，工厂应履行以下义务：进出入工厂，不干扰，合乎道德的行为，透明。,2019/11/15,4,Amazons Compliance Efforts亚马逊为合规所作的工作 Evidence of CSR Program 参加了CSR的证据,Examples of documentation which demonstrates compliance with Amazons
12、Supplier Code of Standards and Responsibilities: 如果有如下例这些文件，可证明符合亚马逊供应商标准和职责守则 Companys social responsibility policies and procedures 公司的社会责任政策及流程Manual(s) for managers regarding social responsibility and workers rights 提供给经理人的社会责任及工人权利手册Manual(s) for employees regarding social responsibility and wo
13、rkers rights 提供给员工的社会责任及工人权利手册Manual(s) for designated persons responsible for implementing social responsibility code 给实施社会责任体力的相关责任人的手册Process document for identification of environmental, health and safety and ethical risks 相关流程文件定义环境，健康，安全，道德等风险Training schedule for managers regarding social res
14、ponsibility, safety and workers rights 给经理人的培训计划。培训关于社会责任，安全及工人权利Training schedule for employees regarding social responsibility, safety and workers rights 给员工的培训计划。培训关于社会责任，安全及工人权利Copies of bulletin board postings regarding social responsibility, safety and workers rights 如果有关于社会责任，安全及社会责任等的公告，宣传单等
15、，请提供复印件Audit schedule for Company audits and subcontractor audits 公司内审及外包审计的审计汇总报告Audit summary reports for Company audits and subcontractor audits 公司内审及外包审计的审计汇总报告,2019/11/15,5,Amazons Compliance Efforts Amazons Compliance Efforts 亚马逊为合规所作的工作 Compliance Expectations 何为合规,Child Labor童工No person unde
16、r the local minimum working age or under the age of 15 may work in the factory 低于当地最低工作年龄或是15岁以下的人员不得在工厂工作No person under the compulsory school age may work in the factory 低于完成义务教育年龄的人员不得在工厂工作Juvenile employees should not be allowed to work in hazardous job positions 未成年雇员不应被允许在危险的工作岗位工作If required
17、by national or local law, juvenile employees should work restricted hours 如果国家或地方法律有规定，未成年雇员应限时工作Children should not be present in the factory, unless in a nursery located away from the production areas 孩子不得出现在工厂，除非是远离生产区域的托儿所,2019/11/15,6,Amazons Compliance Efforts亚马逊为合规所作的工作 Compliance Expectation
18、s 何为合规,Policies, Procedures, and Record Retention政策、程序和记录保存The factory must maintain written policies and procedures that ensure adherence to all elements of Amazons Supplier Code of Standards and Responsibilities 工厂必须保持书面的政策和程序，确保与亚马逊的供应商标准和职责守则 的所有要点一致The factory must maintain a designated person
19、or representative that is responsible for implementing management systems and programs that oversee compliance with applicable laws as well as Amazons Supplier Code of Standards and Responsibilities 工厂必须始终有一个指定的人员或代表负责管理系统和项目的实施，监督适用法律和亚马逊的供应商标准和职责守则的遵守情况The factory must maintain current copies of a
20、ll applicable laws and regulations related to the provisions of Amazons Supplier Code of Standards and Responsibilities 工厂必须保存与亚马逊的供应商标准和职责守则相关的现行有效的所有适用法律法规,2019/11/15,7,Policies, Procedures, and Record Retention政策、程序和记录保存The factory should have a process for training all employees on applicable la
21、ws and regulations and Amazons Supplier Code of Standards and Responsibilities 工厂应有一个对所有雇员进行适用法律法规和亚马逊的供应商标准和职责守则的培训的程序The factory should have a mechanism to obtain updated information related to all applicable laws and regulations related to the provisions of Amazons Supplier Code of Standards and
22、Responsibilities 工厂应有一个机制，以获得与亚马逊的供应商标准和职责守则的条款相关的适用法律法规的更新信息,2019/11/15,8,Amazons Compliance Efforts亚马逊为合规所作的工作 Compliance Expectations何为合规,Policies, Procedures, and Record Retention政策，流程及记录保留The factory must maintain personnel files for all current and former employees, which should include (i) pr
23、oof of age, (ii) proof of citizenship or work permit (where necessary by law), (iii) medical records (where necessary by law), (iv) executed employment contract (where necessary by law), (v) termination letter (where necessary by law), (vi) record of disciplinary actions, and (vii) authorization for
24、 all voluntary deductions from their pay 工厂必须保留所有在职雇员和离职雇员的人事档案。档案信息应包括： (i) 年龄证明（ii）公民身份证明或工作许可证明（如根据法律规定有必要）（iii）病历卡（如根据法律规定有必要） (iv) 已签署的雇佣合同（如根据法律规定有必要） （v) 合同终止信（如根据法律规定有必要） （vi）纪律处分记录；及 (vii) 雇员自愿从工资里做所有扣款的授权书The factory should (e.g. bulletin boards) communicate rules, regulations including di
25、sciplinary procedures and practices to employees 工厂应与员工就规定和规章，包括处分程序和管理进行沟通,9,Amazons Compliance Efforts亚马逊为合规所作的工作 Compliance Expectations何为合规,Amazons Compliance Efforts亚马逊为合规所作的工作 Compliance Expectations 何为合规,Labor Policy 劳动政策All employees in the factory must be voluntarily employed (no prisoners,
26、 slaves, or indentured servants) 工厂的所有雇员必须都是自愿被雇佣的 （不得使用囚犯，奴隶或者契约仆役）Employees freedom of movement must not be unnecessarily restricted 不得对雇员的行动自由进行不必要的限制Original copies of employees government issued identification or travel documents should not be held by the factory, unless written consent by the
27、employee has been provided and the employee can retrieve the identification or travel documents at any time of day or night 工厂不得持有政府下发的员工的身份证明或旅行证件的原件，除非已取得雇员的书面同意而且员工可以在无论白天或夜晚的任何时候都可以取得其身份证明或旅行证件,2019/11/15,10,Amazons Compliance Efforts亚马逊为合规所作的工作 Compliance Expectations 何为合规,Labor Policy 劳动法Emplo
28、yees should not incur disciplinary payroll deductions 不得从雇员薪资中进行任何处罚性扣除Supervisors should not use physical punishment or other abusive practices 管理人员不得使用体罚或其他虐待行为All employment decisions must be based on ability and qualifications (not on nationality, gender, ethnicity, sexual orientation, religion,
29、 disability, age, political opinion, pregnancy, marital or family status or similar factors) 所有的雇佣决定必须基于雇员能力和资历 (而不是国籍、性别、种族、性取向、宗教信仰、残疾、年龄、政治主张、怀孕、婚姻或家庭状况或类似的因素)Pregnancy or HIV testing may not be conducted as a condition of initial or continued employment 孕检或和艾滋病检查不能成为录用或继续雇佣的条件Contraceptives may
30、be made available to employees, but the employees should never be required to use them 可提供避孕用品给雇员，但任何时候都不得要求雇员使用这些避孕用品,2019/11/15,11,Amazons Compliance Efforts亚马逊为合规所作的工作 Compliance Expectations 何为合规,Wages and Benefits 薪资和福利Employees must be paid at least the minimum wage specified by national and l
31、ocal laws, not including attendance, production or other bonuses 雇员工资不得低于国家和当地法律规定的最低工资标准，该最低工资不包括出勤奖金、产量奖金或其他奖金Piece rate workers must be guaranteed at least the minimum wage specified by national and local laws, not including attendance, production or other bonuses. 计件雇员的工资必须保证不得低于国家和当地法律规定的最低工资标准
32、，该最低工资不包括出勤奖金、产量奖金或其他的奖金Employees must be fully compensated for all overtime hours in accordance with national and local law requirements 必须按照国家和当地法律规定全额支付雇员的加班工资Employees must be paid in a regular and timely manner 必须定期按时向雇员支付薪酬Earned wages must not be withheld for any reasons 不得以任何理由扣留雇员已挣薪酬,12,Am
33、azons Compliance Efforts 马逊为合规所作的工作 Compliance Expectations 何为合规,Wages and Benefits工资几福利The factory should have procedures in place for employees to question wages paid and possible adjustment to their pay 工厂必须有程序以允许雇员对已付薪资及对他们薪资的可能的调整予以质疑The factory must maintain a true, detailed and accurate recor
34、d of hours and wages. Records should, at a minimum, include (i) payroll register, (ii) time records, (iii) piece rate records, if applicable, and (iv) a paystub 工厂必须能保留一份真实、详细和准确的工作时间和薪酬的纪录。记录应至少包括 (i) 薪资发放登记薄；(ii) 工作时间纪录；(iii) 计件纪录（如适用）；及 (iv) 工资单记录The factory must provide paid holidays and vacatio
35、n as required by law 工厂必须按照法律规定，提供有薪假日和休假The factory should provide all benefits required by national and local laws and encourage employees to participate 工厂必须按照国家和当地法律规定，提供所有的福利，并鼓励雇员参与The factory should have documentation to support employees consent to make voluntary deductions from their pay 工厂
36、应有文件表明雇员自愿同意从其薪酬中做抵扣,2019/11/15,13,Working Hours 工作时间The scheduled work hours and breaks should be posted 工作和休息时间表应予以发布The number of regular hours in a week is determined by our Supplier Code of Standards and Responsibilities, national and local laws 每周的固定工作时间应符合国家和当地的法律规定 The scheduled overtime hou
37、rs should be posted 加班时间表应予以发布Overtime hours must not exceed the hours specified by national and local laws 加班时间不得超出国家和当地法律的规定的小时数Employees must have the right to refuse overtime 雇员必须由拒绝加班的权利,2019/11/15,14,Amazons Compliance Efforts亚马逊为合规所作的工作 Compliance Expectations 何为合规,Amazons Compliance Efforts亚
38、马逊为合规所作的工作 Compliance Expectations 何为合规,Working Hours 工作时间Employees must have at least one day off each week 雇员必须每周至少休息一天Work hours must be properly recorded, listing in and out times for every day worked including meal breaks 必须正确记录工作时间，列明上下班进出时间和就餐休息时间Work hours should be recorded by employees the
39、mselves utilizing a systematic (manual time cards; swipe card; time punch) time recording system or process 工作时间应通过使用系统的时间记录系统或机制(比如手工时间卡、刷卡、打卡)由员工自己记录,15,Amazons Compliance Efforts亚马逊为合规所作的工作 Compliance Expectations 何为合规,Work and Dormitory Environment 工作和宿舍环境Harassment in any form should not be per
40、mitted, including monetary fines and posting of name lists of poor performers 不应允许任何形式的骚扰，包括对表现差的雇员进行罚款和把名单予以发布Physical, verbal or mental abuse should not be permitted 不应允许身体、语言或精神上的侮辱或虐待Factory should provide training to employees on health and safety 工厂应为雇员提供健康和安全培训If required by national or local
41、 law, medical care should be available on-site 依照国家或当地法律要求，工厂应提供现场医疗保健服务A first-aid kit with proper medical supplies should be on each floor 每个楼层都应配有有适当医疗物品的急救箱An eyewash station should be easily accessible to employees near chemical handling areas 洗眼池应该设立在化学物品操作区域雇员很容易接近的地方,2019/11/15,16,Amazons Co
42、mpliance Efforts亚马逊为合规所作的工作 Compliance Expectations 何为合规,Work and Dormitory Environment 工作及宿舍环境Employees should be provided all necessary safety equipment (masks, metal mesh gloves for cutters) free of charge 工厂应免费向雇员提供所有必要的安全设备（口罩，切割用金属网手套）Records should be kept of injuries or accidents 应保存工伤和事故记录E
43、mployees must have unrestricted access to restrooms during the workday 雇员在工作日必须可以无限制地进出洗手间The number of restrooms must be appropriate for the number of employees and be separated by gender 厕所数量必须相对雇员数量合适，男女厕所必须分开The restrooms must be sanitary and stocked with necessary supplies, e.g. running water,
44、soap and toilet paper 厕所必须清洁而且配有必要用品，比如自来水，肥皂和厕纸,17,Amazons Compliance Efforts亚马逊为合规所作的工作 Compliance Expectations 何为合规,Work and Dormitory Environment工作及宿舍环境A source of drinking water must be available to employees 工厂必须给雇员提供至少一个饮水源Rest breaks should be provided to employees as required by law 应根据法律要求
45、给雇员提供休息时间If the factory has a cafeteria, it must be sanitary and food must be stored properly 工厂如有餐厅，必须保持餐厅卫生清洁，食物必须合理存放There must be adequate lighting and proper ventilation in the factory 工厂内必须有充足的光源和合理的通风The aisles must be marked and free from obstruction 通道必须清晰标注，而且保持畅通,2019/11/15,18,Amazons Com
46、pliance Efforts亚马逊为合规所作的工作 Compliance Expectations 何为合规,Work and Dormitory Environment工作及宿舍环境All electrical wiring must be safe 所有电路布线必须安全All electrical control panels should be marked 所有电路控制板必须清晰标注All machines should have machine guards, where necessary 所有机器，在必要的地方，必须设有机器保护装置There should be an adeq
47、uate number of fire extinguishers 必须配备足够数量的灭火器The fire extinguishers should be mounted on the walls at the proper height 灭火器应挂在墙上合适高度的地方Employees should be sufficiently trained to use the fire extinguishers 雇员应被充分地培训如何使用灭火器,19,Amazons Compliance Efforts亚马逊为合规所作的工作 Compliance Expectations 何为合规,Work a
48、nd Dormitory Environment工作及宿舍环境The fire extinguishers must be properly charged and routinely checked 灭火器应适当地被充满并定期检查Facilities must have audible fire alarms 所有场所应配备有声火险报警器Emergency exits should be marked per legal regulation with emergency lighting 紧急出口应按法规要求用紧急灯清晰标明Emergency exits should never be l
49、ocked and access should never be blocked in any way 紧急出口不应被锁，紧急出口通道任何时候都不能被堵塞Emergency exit doors should always swing to the outside or be bolted open during working hours to facilitate evacuation 紧急出口的门必须朝外打开或在上班时间内被拴住打开以便疏散Evacuation plans should be posted 疏散计划必须予以公布,2019/11/15,20,Amazons Complian
50、ce Efforts亚马逊为合规所作的工作 Compliance Expectations 何为合规,Work and Dormitory Environment工作及宿舍环境Evacuation drills should be conducted at least twice per year 一年至少要进行两次疏散演习An inventory of hazardous chemicals must be maintained 必须保持有害化学物品的库存管理Material Safety Data Sheet (MSDS) in the local language must be mai
51、ntained for all chemicals used in the factory 对工厂使用的所有化学物品，必须保留材料安全数据表 (Material Safety Data Sheet) ，并 翻译成当地语言All hazardous chemicals must have secondary containment 对所有有害的化学物品，必须使用双重隔离容器Prayer areas should be provided, where culturally appropriate 适应当地传统文化，提供祷告区域 Workers should be provided adequate locked storage space for their belongings 应提供充足的上锁储存间给员工保存个人物品使用 Any dormitories provided for employees are subject to all health and safety requirements 任何提供给雇员使用的宿舍均遵守以上所有的健康和安全要求,
