THD验厂咨询-解析家得宝供应商难题之记录与工时及社保等关键问题与解决之道

Major Issues in Tier CAPA 主要问题
1. CAPA Plan sample sharing 纠正预防计划案例分享
2. Inconsistent / Insufficient records and wage issues 记录不一致/不完整与工资问题
3. Working hour issues 工时问题
4. Social insurance issues 社保问题
5. Safety exit sign and evacuation sign issues安全出口标识和疏散方向指示标识的问题
6. No regular inspection for special equipment 未进行特种设备检验
7. No special equipment operator certificate / No special operation certificate 没有特种设备作业人员证 / 特种作业操作证
8. No occupational health checks 未提供职业病体检
9. No completed building construction acceptance check report没有建筑工程竣工验收文件
10. No environmental check and acceptance report 没有环保竣工验收报告
11. Hazardous waste not disposed by qualified contractor 未使用符合资质的回收商进行危险废物处理
Inconsistent / Insufficient Records and Wage Issues 记录不一致/记录不完整与工资问题
 This is a Medium Risk issue and requested to be verified at the 90th day’s verification from the CAPA plan approved day. 此为中风险问题点，需要在纠正预防计划获得批准日起算第90天进行现场的验证审核。
 Before on-site verification audit, factory needs to provide solid evidence as below. 在现场验证审核前，工厂需提供以下证据证明已改善到位或正在按计划进行逐步改善:
 One production worker’s payroll and corresponding time records of the month after the initial audit date 1名生产工人在初次审核后一个月的完整工时及工资记录
 System /Plan / Measures and corrective evidences on how to ensure the consistency of time records and production records 一份关于如何确保考勤记录与生产记录一致性的书面制度/计划/具体措施以及对应的改善证据
 System /Plan / Measures and corrective evidences on how to ensure wage is paid in accordance with legal requirements 一份关于如何确保按法律要求支付工人工资的书面制度/计划/具体措施以及对应的改善证据
 System /Plan / Measures and corrective evidences on how to ensure time records and payrolls will be kept at least 12 month. 一份关于 如何确保考勤记录与生产记录保存至少12个月的书面制度/计划/具体措施以及对应的改善证据
Working hour Issues 工时问题
1) Overtime in excess of legal requirement 加班时数超出法定标准
2) Working hours in excess of 60 hours per week 周工作时间超出家得宝要求的每周60小时
3) Working hours in excess of the Comprehensive Working Hour System limit 工作时间超出综合计时制的规定
4) More than 6 days of consecutive working 连续工作超过6天
 This is a Medium Risk issue and requested to be verified at the 90th day’s verification from the CAPA plan approved day. 此为中风险问题点，需要在纠正预防计划获得批准日起算第90天进行现场
的验证审核。
 A CAPA plan should meet the SMART principle (Specific, Measureable, Attainable, Relevant and Timebound) 提交的改善计划需遵循具体、可衡量、可实现、具有相关性和及时性的原则。
 THD understands the difficulties and challenges our suppliers/factories are facing today and we require to take continuous improvement actions to reduce excessive working hours gradually. 
CAPA is considered to be closed as long as one of listed situations is met: 家得宝非常了解工厂在工时减少方面所遇到的困难与挑战, 希望工厂持续的改善工时超时问题。符合以下两种情形中的任何一种，不符合项就可以关闭：
a. Factory already met local legal/THD requirements on working hours after taking correctionactions. 经持续改善，工厂已经符合当地法规和家得宝的要求;
b. Although still cannot meet local legal/THD requirement, factory can prove that corrective andpreventive actions have been taken based on accepted CAPA plan虽然工厂目前尚未完全符当地法规/家得宝的要求， 但是在初次审核结束后，工厂已经按照改善计划采取了一些改善行动， 并且可以提供相应的证据证明这些改善行动的实施 。
Social Insurance Issues 社保问题
The factory should ensure ALL employees have been covered by employment injury insurance. In case that some employees do not take part in the social insurance scheme, the factory should provide commercial injury insurance to them. For the rest 4 types of insurances, basic medical insurance, endowment insurance, unemployment insurance and maternity insurance, production employees should be covered, not necessarily 100%.工厂必须为所有员工提供工伤保险。假如部分员工没有参加社保，工厂应为这部分员工提供商业保险(工伤险)。至于其余四个社保险种，养老险，失业险，基础医疗险及生育险，工厂须确保覆盖到一部分生产工人，不一定要100%.
This is a Medium Risk issue and requested to be verified at the 90th day’s verification from the CAPA plan approved day. 此为中风险问题点，需要在纠正预防计划获得批准日起算第90天进行现场的验证审核。
Before on-site verification, factory needs to provide solid evidence as below. 在现场验证审核前，工厂需提供以下证据:
 Employee register 工厂员工花名册
 Log/roster/name list of insured employees confirmed by the local social insurance bureau社保申报表 / 社保局确认的参保花名册
 Pay slip of social insurances fee for the latest payment period 最近一个月的社保缴费收据
 The contract of commercial injury insurance and the pay slip (If the factory provides commercial injury insurance to ensure 100% employees are covered by injury insurance.) 商业保险合同及付款收据 (假如工厂通过商业保险确保工伤险覆盖100%员工)
Above sample is for China factories only, for other countries please refer to local law. 以上例子只针对中国工厂，对于其他国家工厂请参照当地法律。
Safety Exit Sign and Evacuation Sign Issues安全出口标识和疏散方向指示标识的问题
 This is a Medium Risk issue and requested to be verified at the 90th day’s verification from the CAPA plan approved day. 此为中风险问题点，需要在纠正预防计划获得批准日起算第90天进行现场的验证审核。
 Lighted or Illuminated sign for safety exit is required 须要在安全出口设置发光的安全出口标识；
 Evacuation signs should be installed along evacuation routes and meet below requirements 疏散标识应沿疏散通道设置并满足以下要求：
 Evacuation signs should indicate the direction of safety exits 疏散标识应指向安全出口方向
 Wall-mounted evacuation signs should be installed below 1 meter on the wall 墙挂式疏散标识须要安装在墙面上1米以下的位置
 Wall-mounted evacuation signs should be lighted or illuminated;墙挂式疏散标识可以是带电式发光式或由发光材质所制
Above sample is for China factories only, for other countries please refer to local law. 以上例子只针对中国工厂，对于其他国家工厂请参照当地法律。
No regular Inspection for Special Equipment 未进行特种设备检验
 This is a Medium Risk issue and requested to be verified at the 90th day’s verification from the CAPA plan approved day. 此为中风险问题点，需要在纠正预防计划获得批准日起算第90天进行现场的验证审核。
 Before on-site verification visit, factory needs to provide solid evidence as below. 在现场验证审核前，工厂需提供以下证据:
 The safety inspection report 完整的安全检验报告
 If the safety inspection report can not be obtained prior to the audit, the factory needs to provide the pay slip for the safety inspection. 假如工厂在审核前仍未能取得报告，需要提供缴付检验费的收据作为证明
No Special Equipment Operator Certificate / Special Operation Certificate 无特种设备作业人员证 / 特种作业操作证
 This is a Medium Risk issue and requested to be verified at the 90th day’s verification from the CAPA plan approved day. 此为中风险问题点，需要在纠正预防计划获得批准日起算第90天进行现场的验证审核。
 Before on-site verification audit, factory needs to provide solid evidence as below. 在现场验证审核前，工厂需提供以下证据:
 The Special Equipment Operator Certificate (e.g. pressure vessel operator, cargo lift operator, forklift driver, etc.) / The Special Operation Certificate (e.g. electrician, welder, etc.) 特种设备作业人员证(如: 压力容器操作员，货梯司机，叉车司机等) / 特种作业操作证(如: 电工，焊工)
 If the certificate can not be obtained prior to the audit, the factory needs to provide the pay slip as evidence. 假如工厂在审核前仍未能取得相关的操作人员资格证，需要提供付款收据作为证明。
No Occupational Health Checks 未提供职业病体检
 This is a Medium Risk issue and requested to be verified at the 90th day’s verification from the CAPA plan approved day. 此为中风险问题点，需要在纠正预防计划获得批准日起算第90天进行现场的验证审核。
 Before on-site verification audit, factory needs to provide solid evidence as below. 在现场验证审核前，工厂需提供以下证据:
 The name list of employees who need to do occupational health examinations 需要做职业病体检的人员名单
 One employee’s occupational health check report 1名员工完整的检查报告
 The summary report of the results of all employees 所有参加职业病体检员工的体检结果总结报告
 If the report(s) can not be obtained prior to the audit, the factory needs to provide the contract signed with the qualified medical health institution and the pay slip as evidence. 假如工厂在审核前仍未能取得报告，需要提供与具备职业病健康检查资格的医疗卫生机构签订的服务合同及付款收据作为证明。
No Completed Building Construction Acceptance Check 未通过建筑工程竣工验收
 This is a Medium Risk issue and requested to be verified at the 90th day’s verification from the CAPA plan approved day. 此为中风险问题点，需要在纠正预防计划获得批准日起算第90天进行现场的验证审核。
 Before on-site verification audit, factory needs to provide one of the following documents as evidence. 在现场验证审核前，工厂需提供以下其中之一的文件:
 Acceptance report of construction project completion 建筑工程竣工验收报告
 Registration for construction project completion 建筑工程竣工验收备案
 A valid and acceptable inspection report issued by a qualified third party covering whole buildings 由具备检测鉴定资质的第三方机构出具的有效检测鉴定报告
 If none of the documents listed above can be obtained prior to the audit, the factory needs to provide other evidence to prove that the application is in process. 假如工厂在审核前仍未能取得相关上述的文件之一，需要提供证据证明相关文件正在申请中。
Above sample is for China factories only, for other countries please refer to local law. 以上例子只针对中国工厂，对于其他国家工厂请参照当地法律。
No Environmental Check and Acceptance Report 没有环保竣工验收报告
 This is a Medium Risk issue and requested to be verified at the 90th day’s verification from the CAPA plan approved day. 此为中风险问题点，需要在纠正预防计划获得批准日起算第90天进行现场的验证审核。
 Before on-site verification audit, factory needs to provide one of the following documents as evidence. 在现场验证审核前，工厂需提供以下其中之一的文件:
 The approval document for on-site inspection and acceptance of completed environmental protection facilities 建设项目竣工环境保护验收文件
 The document issued by the local administrative department of environmental protection or the information on the website of the local government to prove that the factory is applying for the approval 
document for on-site inspection and acceptance of completed environmental protection facilities 由当地环境保护行政主管部门出具的文件或相关政府网站上查询的验收公示信息截屏，证明工厂正在申请环保验收。
 If none of the documents listed above can be obtained prior to the audit, the factory needs to provide other evidences to prove that the application is in process. 假如工厂在审核前仍未能取得相关上述的文件之一，需要提供证据证明相关文件正在申请中。
Note: In some cases, factories are apt to confuse it with the Approval of Environment Impact Assessment (EIA) 
注意: 工厂容易把这个问题与环评批复文件混淆
Above sample is for China factories only, for other countries please refer to local law. 以上例子只针对中国工厂，对于其他国家工厂请参照当地法律。
Hazardous Waste Not Disposed by Qualified Contractor 未使用符合资质的回收商进行危险废物处理
 This is a Medium Risk issue and requested to be verified at the 90th day’s verification from the CAPA plan approved day. 此为中风险问题点，需要在纠正预防计划获得批准日起算第90天进行现场的验证审核。
 Before on-site verification audit, factory needs to provide evidence as below. 在现场验证审核前，工厂需提供以下证据:
 The hazardous waste entrust disposal contract with a qualified contractor 与有资质回收商签订的合同
 The hazardous waste operation license of the contractor 回收商的危废经营许可证
 Relevant transfer manifest of the hazardous wastes 危废转移联单
 If the factory can not provide the transfer manifest of the hazardous wastes as the contractwas just signed, the factory needs to provide a statement to demonstrate the quantity of the hazardous waste and the estimated date for disposal. 如果工厂由于刚与回收商签订服务合同，目前无法提供危废转移联单，工厂需提供一份书面声明，说明目前危险废物的数量以及预计何时进行处理。
Above sample is for China factories only, for other countries please refer to local law. 以上例子只针对中国工厂，对于其他国家工厂请参照当地法律。