-
RBA
审核准则释义指引
(2018
年
6.0
版
)-
中英文对照
在负责
任商业
(RBA)
工作的组织
正在努力提高全球供应
链中的可持续发展和社会责任。
< br>
这些公司承认确保安全的工作条件，
工人受到尊重和有尊严，
并且在生产制造时承担
环保责
任。验证审计流程
(VAP)
是一种协作审计方法，目的是减轻
供应链公司因多次
提请社会审计而造成的负担。根据
RBA
行为准则及有关法律法规，
就劳工、道德、
健
康、
安全和环保实务实行优质、
一致
和有成本效益的标准行业评估，
这一业界需要已
由
VAP
满足。
如需了解
VAP
的更多信息，请联系：
RBA
邮箱
:
vap@
RBA
地址：
Suite
330, 1737 King Street, Alexandria VA 22314, USA
RBA
网站：
? 2017
负责任商业联盟。
保留所有权利。
未经负责任商业联盟明确
书面授权，
不得以
任何方式或以任何形式
(
例如电子或机械方式，包括但不限于影印、录音录像或其
他
目前已知或将来可能出现的任何信息存储或检索系统
)
复制或传
播这些材料的任
何内容。根据《美国版权法》和相关版权法律，任何未获授权而对这些版
权作品进
行复制或分发均属违法，可能受到民事或刑事处罚。
【一般注意事项】
本附录概述了当前
VAP
操作手册
(
以下简称手册
)
中描述的
RBA<
/p>
行为准则规定或
AC
关于对现场观察，<
/p>
文件审查，
管理知识和理解以及工作人员的认识和理解要求。
这些
在本附录中被称为符合性要求。
审计师
必须符合所有的符合性要求才能达到该
AC
的
< br>符合性。
附录还提供了额外的澄清，定义，细节和例子
。这些被称为额外协助。额外的协助是
对符合性要求的指导和帮助，
但是它们本身不构成符合性的要求。
此外，
本附录提供
了对每个
AC
评级不合格的指导。
◆
AC
：审核标准
Audit Criteria
以下说明适用于本文中的所有条款：
◎当
RBA
行为准则，
当地法律，
参与者政策或集体谈判协议
(CBA)
存在差异时，
RBA
Organizations working with and in the
Responsible Business Alliance (RBA)
are working to improve sustainability
and social responsibility within the
global supply chain.
These companies recognize a mutual
responsibility to ensure working conditions are
safe, workers are
treated with respect
and dignity, and that manufacturing practices are
environmentally responsible. The
Validated Audit Program (V
AP) is a
collaborative approach to auditing
to
reduce the burden on supply chain companies from
multiple requests for social audits. The
V
AP meets
the need for a
high quality, consistent and cost-effective
standard industry assessment for labor, ethics,
health, safety and environmental
practices based on the RBA code of conduct, laws,
and regulations.
For more
information about the Validated Audit Program
(VAP) , please contact:
?
RBA Email: vap@
?
RBA
Address: Suite 330, 1737 King Street, Alexandria
VA 22314, USA
?
RBA Website:
?
2017
Responsible
Business
Alliance.
All
Rights
Reserved.
No
part
of
these
materials
may
be
reproduced
or transmitted in any form or by any means,
electronic or mechanical, including but not
limited to photocopy, recording or any
other information storage or retrieval system
known now or in
the future, without the
express written permission of the Responsible
Business Alliance, Incorporated.
The
unauthorized
reproduction
or
distribution
of
this
copyrighted
work
is
illegal
and
may
result
in
civil or criminal penalties under the
U.S. Copyright Act and applicable copyright laws.
【
GENERAL
NOTES
】
This
Appendix
outlines
requirements
or
AC
for
site
observation,
document
review,
management
knowledge
and
understanding
and
worker
awareness
and
understanding
for
each
of
the
RBA
code
provisions as described in the most
current V
AP OM. These are termed
Conformance Requirements in
this
Appendix.
All
of
the
Conformance
Requirements
must
be
met
for
the
Auditors
to
conclude
Conformance for
that AC.
The appendix provides also
additional clarification, definitions, details and
examples. These are termed
Additional
Assistance.
Additional
assistance
is
guidance
and
assistance
to
the
Conformance
Requirements but
do not form in themselves a requirement of
conformance. Additionally, this Appendix
provides guidance for rating non-
conformance for each of the AC.
The following notes apply for all
provisions herein:
◎
When
there is a discrepancy between the RBA
code
, local law, a participant?s
policies or a Collective
1
/ 128
RBA
审核准则释义指引
(2018
年
6.0
版
)-
中英文对照
将符合
RBA
行为准则的规定定义为满足最严格的要求
(
即使其符合
RBA
行为准则
规定和法律要求
)
。
◆
CBA
：集体谈判协议
Collective
Bargaining Agreement
◎除非特定条款另有规定，否则法律不合
格是
”
重大级不合格项
”
(Major)(
例如，
A3.1
< br>受审计方的工人周工时低于
60
小时
/
周，但大于
40
％的工人高于当
地法律
)
或有另
一个发现对该条款具有
较高的不合格评级。
◎为了评级，要素被定义为任何列出的一致性要求。
◎受审计方与工人之间的所有沟通都必须使用工人能够理解的语言来完成，
除非规定
另有说明。如果情况并非如此，那么相关方面至少是
”
重大级不合格项
”
(Major)<
/p>
。
◎所有的
A
C
都适用于所有工人，
包括在工厂工作
/
从事生产
/
在仓库工作的临时工人、
流动工人、学生工和合同工、直接和间接雇佣的工人，以及其他任何类型的工人
/
员工，但
AC
特别注
明仅适用于部分群体时除外。
◎除非另有说明，否则提及符合
性或不符合性的工人百分比是基于定义的样品。
◎根据
ISO
的要求，过程不需要书面形式
(
除非特别说明，
AC
必须记录
)
，但所有过
程必须以一致
的方式可验证地执行
◎本节中的
“<
/p>
供应商
”
是指
“
下一级主要供应商
”
。这与
“
供应商
”
不同，后者可
以是工厂
的任何供应商。
Bargaining
Agreement,
the
RBA
defines
conformance
to
the
RBA
code
as
meeting
the
strictest
requirements (even
if it meets RBA code provisions and legal
requirements) .
◎
A legal
non-conformance is a Major non-conformance unless
otherwise stated in a specific provision
(e.g. A3.1 if situation of Auditee is
below 60h/
w but above local law for
≤40% of the workers
) or there
is another finding which has a higher
non-conformance rating for that provision
◎
For the purpose of rating,
an element is defined as any listed Conformance
Requirement.
◎
All
communications from Auditee to workers must be
done in a language the worker can understand
unless otherwise stated in the
provisions. If this is not the case, then the
relevant aspect is at minimum
a ?Major?
non
-conformance.
◎
All
AC
apply
to
all
workers,
including
temporary,
migrant,
student
and
contract,
directly
and
indirectly employed
workers that work in the factory/on production/in
warehouse and any other type
of
worker/employee unless the AC specifically states
a narrower focus group.
◎
Unless otherwise noted,
references to percentage of workers in conformance
or non-conformance are
based upon the
defined sample.
◎
A
process
is
not
required
to
be
in
writing
as
per
ISO
(unless
the
AC
states
specifically
it
must
be
documented) , however all processes
must be verifiably implemented in a consistent way
◎
“Supplier” in this section
shall mean “Next Tier Major Supplier”. This is
different to ?supplier” which
can be
any supplier to the facility.
2 / 128
RBA
审核准则释义指引
(2018
年
6.0
版<
/p>
)-
中英文对照
A
、劳工
A1)
自由选择就业
被迫、受束缚
(
包括债务束缚
)<
/p>
或受契约约束的劳工；非自愿或剥削性的监禁劳工；受
奴役或被贩
卖的人口均不应使用。这包括以威胁、暴力、胁迫、诱拐或劳工或服务欺
诈等手段运输、
窝藏、招聘、转移或接收易受伤害的人。对于工人在工厂自由行动及
进入或离开公司提供
的场所，不应设立不合理的限制。
作为雇佣流程的一部分，
在工人离开原籍国之前，
必须以工人的
母语向工人提供书面
的雇佣协议，
其中包括对雇佣条款和条件的
说明；
并且工人离开了他的祖国到达接受
国时，
不得替换或更改已签署的就业协议，
除非这些变化均符合当地法律和提供相同<
/p>
或更好的条件。
所有工作均须出于自愿，
工人应可以自由地随时离职或终止劳动合同。
雇主和代理不
得持有或以其他方式毁坏、
隐藏、
没收或拒绝员工获得他们的身份证或移民文档，
例
< br>如，政府签发的身份证、护照或工作许可，但法律规定可以持有工作许可时除外。不
应要求工人为其受雇而向雇主或代理支付招聘费或其他相关费用。
如果发现工人支付<
/p>
过任何此类费用，应将费用退还给工人。
A1.1
不使用任何类型的被迫、非
自愿或剥削性的监禁劳工、受契约约束或受束缚
(
包
括债务束缚
)
、拐卖或奴役的劳工。
★【符合性要求】：
【场所访察】：不适用
【记录审查】：
1.
自愿工作
1)
人事档案和工作时间记录
/
工资没有显示任何形式的非自愿
劳工
2.
费用
1)
所有费用和处罚都向工人披露
2)
费用记录得到保存并向工人披露
3)
在任何情况下都不允许收费
4) <
/p>
任何费用都必须在发现后的
90
天内退还
给工人
3.
贷款
1)
个人贷款的最高还款额为工人每月总基本工资的
10
％，
包括最多六
(6)
个月的利
< br>息
2)
教育贷款还款额不超
过基本工资总额一年的
10
％；任何教育贷款的贷款期限不
A
、
Labor
A1) Freely Chosen
Employment
Forced, bonded (including
debt bondage) or indentured labor; involuntary or
exploitative prison labor;
slavery or
trafficking of persons shall not to be used. This
includes transporting, harboring, recruiting,
transferring
or
receiving
persons
by
means
of
threat,
force,
coercion,
abduction
or
fraud
for
labor
or
services. There shall be no
unreas
onable restrictions on workers?
freedom of movement in the facility in
addition to unreasonable restrictions
on entering or exiting company-provided
facilities.
As part of the
hiring process, workers must be provided with a
written employment agreement in their
native language that contains a
description of terms and conditions of employment
prior to the worker
departing from his
or her country of origin and there shall be no
substitution or change (s) allowed in the
employment
agreement
upon
arrival
in
the
receiving
country
unless
these
changes
are
made
to
meet
local law and provide equal or better
terms.
All
work
must
be
voluntary
and
workers
shall
be
free
to
leave
work
at
any
time
or
terminate
their
employment.
Employers
and
agents
may
not
hold
or
otherwise
destroy,
conceal,
confiscate
or
deny
access
by
employees
to
employees?
identity
or
immigration
documents,
such
as
government
-issued
identification, passports or work
permits, unless such holdings are required by law.
Workers shall not be
required to
p
ay employers? or agents? recruitment
fees or other related fees for their employment.
If any
such fees are found to have been
paid by workers, such fees shall be repaid to the
worker.
A1.1
Any
type
of
forced,
involuntary
or
exploitative
prison,
indentured,
bonded
(including
debt
bondage) , trafficked or slave labor is
not used
★【
Conformance
Requirements
】
:
【
Site
Observations
】
: Not
applicable
【
Record
Review
】
:
1.
Voluntary work
1) Personnel files and
working hour record/wages do not show any form of
non-voluntary labor
2. Fees
1) All Fees and penalties are disclosed
to the workers
2) Records on Fees are
maintained and disclosed to the worker
3) Fees are not permitted under any
circumstances
4) Any Fees are required
to be returned to the worker within 90 days of
discovery
3. Loans
1)
Personal loans have a repayment maximum
of 10 percent of the worker?s monthly gross base
wage,
including interest, for no more
than 6 monthly installments.
2)
Education loan repayments do not exceed 10% of one
year of gross base wages. Any education
3 / 128
RBA
审核准则释义指引
(2018
年
< br>6.0
版
)-
中英文对照
得超过一
(1)
年
★【额外协助】：
【场所访察】：无
【记录审查】：
1.
志愿工作
1)
非自愿工作的例子：缺乏工人同意工作，非法保留工资或福利，通过任何形式
的奴役
(
例如签证、住房、工作交换培训
)<
/p>
，使用保安
(
武装或非武装的
)
保留劳动力
2.
费用
1)
除了附录
13
所列的可接受费用外，
所
检查的工资单，
工资和其他记录显示没有
违禁费用，过度费用，
重大债务和
/
或重大贷款
3.
附录
13
中规定的费用
1)
如果费用未在
附录
13
中具体列出，
或者不符合任何
示例类别，
则外国劳务工不
应被要求支付任何
< br>“
当地工人不需要支付
”
的费用
★【评级】：情况一：对于未在
90
天内退还禁止收取的招聘和录用费，或者未在发
现时酌定尽快退
还的情况进行评级。
频数
/
占月基本工资的份量
(
比重
)
≤
1%
、或
3
名或更少工人
(
以较
多者为准
)
>1%
至
5%
、
或多于
3
名但少于
7
名工人
>5%
至
40%
、或多于
7
名工人
>40%
loan cannot be longer than 1 year per
loan.
★【
Additional
assistance
】
:
【
Site
Observations
】
: No
【
Record
Review
】
:
1.
V
oluntary work
1) examples
of non-
voluntary work: Lack of workers?
consent to work, unlawful retention of wages or
benefits, work through any form of
servitude (e.g. negotiation of visa, housing, work
in exchange for
training) , security
guards (armed or unarmed) keep workforce under
retention
2. Fees
1)
Payroll, wage and other records reviewed show no
prohibited fees, excessive fees, significant debt,
and/or significant loans except those
acceptable fees listed in Appendix 13
3. Fees are defined in Appendix 13. If
a fee is not specifically listed in Appendix 13 or
does not fit any of
the example
categories, foreign migrant workers shall not be
required to pay anything that a ?Local
worker would not be required to pay.
★
【
Rating
】
:Scenario 1-Prohibited recruitment and
hiring fees that were paid and not reimbursed
within
90 days, or as soon as
practicable upon discovery.
>100%-150%
(>1
月
-
1.5
月
基本工资
)
重大
重大
优先
优先
>150%
(>1.5
月基本
< br>工资
)
优先
优先
优先
优先
Frequency/Severity in monthly
gross base wages
≤1% or 3
workers or fewer
(whichever is greater)
>1%-5% or more than 3
workers but less than 7 workers
>5%-40% or more than 7
workers
>40%
≤100%
(≤1
月基本
工资
)
轻微
重大
重大
优先
≤100%
(≤1 month gross
base salary)
minor
major
major
priority
>100%-150%
(>1
month-1.5
month gross base
salary)
major
major
priority
priority
>150%
(>1.5 month
gross base
salary)
priority
priority
priority
priority
★【评级】情况二：除了未在
90
天内退还禁止收取的招聘和录用费，或者未在发现时
酌定尽快退还的情况之外，对于所发现的其他情况：
优先
一
(1
)
个或一
(1)
个以上的以下事实：<
/p>
1.
对未给予合理通知而离职的罚金
>
三
(3)
个
月的基本工资
2.
工人提供了合理通知，但不能自愿离职或受到其他方式的处罚
3.
在
A1.3
、
A1.4
或
A1.5
规定为优先级不符合项的情况
4.
存在非自愿劳动力
(
除上述情况或主要不符合情况
外
)
重大
一
(1)
个或一
(1)
个以上的以下事实：
★【<
/p>
Rating
】
:Scenario
2-For findings other than prohibited recruitment
and hiring fees paid were not
reimbursed within 90 days, or as soon
as practicable upon discovery:
One or
more of the following is true:
1.
Penalty to leave without reasonable notice is >3
months of gross base wages
2. Workers
restricted from
voluntary employment
termination or penalized in other ways
when giving
reasonable
notice.
3. A Priority item in A1.3,
A1.4 or A1.5
4. Non-voluntary labor is
present (other than scenarios above or Major
nonconformance)
One or more
of the following is true:
4
/ 128
RBA
审核准则释义指引
(2018
年
6.0
版
)-
中英文对照
1.
离职通知期限长于更加严格的一
(1)
个月
或法律要求
2.
对未给予合理通知而离职的罚金
>
一
< br>(1)
个月基本工资的
60%(
大约
2-3
周工资
)
3.
在过去的十二
(12)
个月里出现了历史性的非自愿劳工
(
情况已经被整
改和系统没有更新
)
轻微
不适用
远程核查
不适用
不适用
否
1. Termination notice period more than
the stricter of 1 month or law
2.
Penalty to leave without reasonable notice is >60%
of 1 month of gross base wages (about 2-3 weeks)
3. Historic non-voluntary
labor was present in last 12 months (situation was
removed AND system was
not updated)
Not applicable
Not applicable
Remote
Verification Acceptable: NO
NOTE: A1
provisions are linked as per the below diagram.
1) if A1.1 is
priority
，
A1.2 is major
2) if A1.3 is
priority
，
A1.1 is priority
3) if A1.4 is
priority
，
A1.1 is priority
4) if A1.5 is
priority
，
A1.1 is priority
A1.2 Adequate and effective
policy and procedures are established ensuring
that any form of forced,
bonded,
involuntary prison, trafficked or slave labor is
not used.
★【
Conformance
Requirements
】
:
【
Site
Observations
】
: Not
Applicable
【
Record
Review
】
:
1.
Policies
1) Adequate and effective
policies and procedures are in place
a)
To ensure that no forced, bonded, involuntary or
exploitative prison, trafficked or slave labor is
used
b) Stating that workers
are not required to pay fees, Excessive Fees,
deposits or incur debt as part of
the
employment
c) Stating that when
employment has been terminated voluntarily or
involuntarily, worker will be
paid
appropriate amounts for all hours worked.
2) An implemented procedure to
determine the specific amount of any fees and
expenses paid by each
individual
foreign worker prior to commencement of work.
2. Monitoring
1) Method of
monitoring of conformance with policy, monitoring
reports and corrective actions are
available for review
★【额外协助】：
【场所访察】：无
【记录审查】：
1.
政策
1)
这适用于直接和间接的就业人员
★【
Additional
assistance
】
:
【
Site
Observations
】
: No
【
Record
Review
】
:
1.
Policies
1) This is applicable for
direct and indirect employment workers.
的监禁劳工、拐卖或奴役劳工。
★【符合性要求】：
【场所访察】：不适用
【记录审查】：
1.
政策
1)
制定了充分且有效的政策和程序
a)
确保不使用强迫、抵债、非自愿或剥削性监狱劳工，被贩运或奴隶劳工
< br>
b)
说明工人不需要支付费用，超额费用，存款或作
为就业一部分而发生的债务
c)
说
明自愿或非自愿终止就业时，工人将支付所有工时的适当数额的薪酬
2)
实施一个程序，确定每个外籍工人在开始工作前支付的任
何费用和开支的具体
数额
2.
监测
1)
监测与政策一致性的方法，监测报告和纠正措施可供审查
注：
A1
各条款之间的关系规定如下：
1)
如果
A1.1
是优先级不符合项，则<
/p>
A1.2
是严重级不符合项
2)
如
果
A1.3
是优先级不符合项，则
A1
.1
也是优先级不符合项
3)
如果
A1.4
是优先级不符合项，则
A1.1
也是优先级不符合项
4)
如果
A1.5
< br>是优先级不符合项，则
A1.1
也是优先级不符合项
A1.2
制定
充分且有效的政策和程序，确保不使用任何形式的被迫、非自愿或剥削性
5 / 128
RBA
审核准则释义
指引
(2018
年
6.0
版
)-
中英文对照
2)
政策和程序的范围是在招聘、雇用和雇用期间
3)
说明工人不需要直接或通过工资扣除而支付一次性或分期付款
2.
任何与工作人员就业条件有关的不合格情况，均应在其他
地方的适当小节内报告
(
例如，如果
工资延迟、不支付福利，则在
A4
中报告
)
★【评级】：
优先
重大
不适用
一
(
1)
个或一
(1)
个以上的以下事实：
1.
没有政策或程序
(
必须包括招聘和雇佣实务、
终止雇佣关系和其他费
用
/
保证金
/
债务
)
2.
未监控计划的效果
3.
未向分包商和劳工代理商有效传达禁止拐卖或奴役劳工的规定
4.
没有受审计方与劳工代理商和分包商的合同
5.
在
A1.1
中的任何优先级不符合项情况
轻微
一
(1
)
个或一
(1)
个以上的以下事实：<
/p>
1.
针对招聘和雇佣实务实施了政策
和程序，
但就直接招聘的工人或通过
劳工代理商
/
分包商招聘的工人而言，其中一个部分
(
例如，培训或传
达、监控、纠正
)
缺失
2.
对计划的效果进
行了监控，但对所发现的情况未实施
/
没有纠正行动
不适用
远程核查
不适用
否
2) Scope of policies and
procedures is during recruiting, hiring and
employment.
3) Stating that workers are
not required to pay either as one-time or
installment payments, collected
directly or through wage deductions.
2. Any non-conformance that is related
to worker employment conditions should still be
reported within
their appropriate
subsection elsewhere (e.g. if wages are delayed,
benefits not paid, then report in A4).
★【
Rating
】
:
Not Applicable
One or more
of the following is true:
1. No policy
or procedure (must include recruitment and hiring
practices, termination and other fees /
deposits / debt)
2. No monitoring of program
effectiveness
3. Trafficked or slave
labor prohibition requirements are not in
contracts with Labor Agents and
Contractors
4. No contracts
are in place between the Auditee and Labor Agents
and Contractors
5. Any priority in A1.1
One or more of the following is true:
1.
Policy
and
procedures
are
in
place
for
recruitment
but
one
of
the
implementation
components
is
missing (e.g.,
monitoring, correction) in either direct workers
or those employed by Labor Agents and
Contractors
2.
Monitoring
of
program
effectiveness
is
in
place
but
corrective
actions
on
findings
are
open/not
in
place
Not Applicable
Remote
Verification Acceptable: NO
A1.3 Terms of contract are provided in
writing and in their native language prior to
employment (in case
of migrant workers,
before they leave their home country/region and no
substitution or change (s)
was made in
the employment agreement upon arrival in the
receiving country unless these changes
are
made to
meet
local law
and provide equal or better
terms) of the key employment terms and
conditions
via
employment
letter/agreement/contract
and
explained
verbally
in
their
native
language so workers
understand what the contract states.
★【
Conformance
Requirements
】
:
【
Site
Observations
】
: Not
Applicable
【
Record
Review
】
:
1. Local
workers
1)
Workers
are
informed
prior
to
employment
of
the
key
employment
terms
and
conditions
either
verbally or in writing via contract in
their native language.
2) Contracts
state that workers can resign without penalty
A1.3
在雇佣之前，根据法律要求，通过雇佣函
/
协议
/
合同以书面形式并使用工人
所操
的语言，向工人提供
(
如果是流动
工人，则在他们离开他们的原籍国
/
地区之前
< br>)
主要的雇佣条款与条件，并以他们的母语进行口头解释，使其理解合同的内容；
工人离开了他的祖国到达接受国时，
不得替换或更改已签署的就
业协议，
除非这
些变化均符合当地法律和提供相同或更好的条件
。
★【符合性要求】：
【场所访察】：不适用
【记录审查】：
1.
当地工人
1)
工人在雇佣之前，用员工使用的母语以口头或书面方式，通过合同告知主要的
雇佣条
件
2)
合同规定工人可以不受惩罚地辞职
6 / 128
RBA
审核准则释义
指引
(2018
年
6.0
版
)-
中英文对照
2.
流动工人
1)
工人在离开他们的母国开始就业前，用员工使用的母语以
口头或书面方式，通
过合同告知主要就业条件和条款
2)
合同规定工人可以不受惩罚地辞职
3)
在到达接收国时，就业协议中不得有替代或改变，除非这
些更改符合当地法律
并提供平等或更好的条件
4)
合同遵守国际劳工组织
(ILO
)
关于流动工人的公约
3.
用工人能理解的语言对工人的就业条件的关键部分进行口头解释：
1)
工作性质
2)
工作时间、休息日和假日
3)
休假权利
4)
福利
(
住房、交通、制服，
……
)
5)
工人将缴纳哪些费用和数额
6)
工资和工资扣除
(
包括社会保险的所有组成部分
)
以及如何计算这些工资和工资
7)
提供其他的非法定要求的福利
(
养老金
、保险，
……
)
2. Migrant workers:
1)
Workers are informed prior to employment and
leaving their home country of the key employment
terms and conditions either verbally or
in writing via contract in their native language.
2) Contracts state that workers can
resign without penalty
3) No
substitution or change (s) allowed in the
employment agreement upon arrival in the receiving
country unless these changes are made
to meet local law and provide equal or better
terms
4) Contracts comply with ILO
conventions on Migrant Workers
3.
Verbal explanation to workers of the key
components of the employment conditions in a
language they
can understand:
1) Nature of work
2) Working
hours, Days off and holidays
3) Leave
entitlements
4) Benefits (housing,
transportation, uniforms, ...)
5) What fees the worker will be charged
and the amount (s)
6)
Wages
and
wage
deductions
(including
all
components
of
social
insurance)
and
how
these
are
calculated.
7) Other non-legally required benefits
provided (pension, insurances, ...)
★【额外协助】：
【场所访察】：无
【记录审查】：
1.
当地工人
1)
合同
=
雇佣信
/
< br>协议
/
合同
2)
惩罚
=
没有惩罚、罚款、暴力或扣发工资的威胁
3)
任何合同变更都要申报，并与工人进行良好的沟通
/
谈判
4)
根据法律和
/
或客户要求定义工人组
(
例如学生、实习生、派遣工等
)
2.
流动工人
1)
合同
=
雇佣信
/
协议
/
合同
2)
惩罚
< br>=
遣返威胁、惩罚威胁、罚款、暴力或扣发工资
3)
任何合同变更都要申报，并与工人进行良好的沟通
/
谈判
3.
对这一发现出现优先级不符合项，那么
A1.1
也要判定为优先级不符合项
★【
Additional
assistance
】
:
【
Site
Observations
】
: No
【
Record
Review
】
:
1. Local
workers
1) Contract = employment letter
/ agreement / contract
2) Penalty = no
threat of punishment, fines, violence, or
withholding wages)
3)
Any
contract
changes
are
declared
and
follow
good
practice
communication/negotiation
with
worker
4)
Defined
worker
groups
(e.g.
student,
intern,
dispatch,
etc.)
in
compliance
with
legal
and/or
customer requirements
2.
Migrant workers:
1) Contract =
employment letter/agreement /contract
2) Penalty = threat of repatriation,
threat of punishment, fines, violence, or
withholding wages) .
3)
Any
contract
changes
are
declared
and
follow
good
practice
communication/negotiation
with
worker
3. A
priority rating on this finding also requires a
priority rating for A1.1
★【评级】：
优先
一
(1
)
个或一
(1)
个以上的以下事实：<
/p>
1.
改换了合同条件，
条件大大变差
(
例如，
降低
工资，
生产工厂不同，未
披露住房、食品等的费用，等等
)
★【
Rati
ng
】
:
One or more
of the following is true:
1. Contract
substitution for materially worse conditions (e.g.
lower wages, different production facility,
undisclosed fees for housing, food,
etc.)
7 / 128 <
/p>
RBA
审核准则释义指引
(2018
年
6.0
版
)-<
/p>
中英文对照
2.
未在雇佣之前
(
如果是流动工人则在离家之前
)
沟通合同或条件
3.
合同使用了限制工人自愿终止其雇佣的文句
重大
一
(1
)
个或一
(1)
个以上的以下事实：<
/p>
1.
没有签署合同，
或合同未以母语拟定，
或在出发前不提供合同
(
适用流
动工人
)
，<
/p>
但在开始工作之前已就合同条件
(
在流动
工人离家之前
)
作过
沟通
2.
沟通过的合同或合同条件不完整
(
缺少一个或多个要素
)
3.
受审计公司和劳工代理商
/
承包商之间未签署合同
4.
定义的工人小组组合
(
例如：学生、实习工、派遣工人，等等
)
超出法
律
/
客户的限制，且超幅
>5%
轻微
一
(1)
个或一
(1)
个
以上的以下事实：
1.
已提供合同
，但合同不完整
(
例如，条款或条件缺失
)
2.
定义的工人小组组合<
/p>
(
例如：学生、实习工、派遣工人，等等
)
超出法
律的限制，且超幅
>1%
但
≤5%
不适用
远程核查
A1.4
在录用时，雇主
/
劳工代理商
或承包商
(
如果适用
)
不扣留工人持有的、由政府签
发的身份证和个人证明文件的原件。
★【符合性要求】：
【场所访察】：
1.
工人可说明个人证明文件的存放位置
2.
工人维持对其身份证件的管有或控制
【记录审查】：
1.
政策
1)
已实施充分且有效的政策和程序，规定不得保管或保存任何政府颁发的身份证
明或个人身
份证明文件原件
2.
工人拥有
1)
工人档案中没有工人的个人身份证明文件原件
★【额外协助】：
【场所访察】：无
【记录审查】：
1.
政策
/
程序
1)
如果获准，受审计公司可请求提供证明文件原件的副本
2.
工人拥有
1)
工人个人证明文件的原件
(
例如：护照；工作签证
/
许可证；公民身份
、居住证、
1.
法规没有要求劳动合同
否
One or more of
the following is true:
1. Contracts are
provided but are incomplete (e.g. missing terms or
conditions)
2. Defined
worker group mix (e.g. student, intern, dispatch,
etc.)
exceeds legal limits by >1% but
≤5%.
1. Contracts are not
legally required.
Remote Verification
Acceptable: NO
A1.4 Upon
hiring, the w
orker?s government issued
identification and personal documentation
originals
are not held by
employer/Labor Agent or Contractor (if applicable)
★【
Conformance
Requirements
】
:
【
Site
Observations
】
:
1. Workers can demonstrate where
personal documents are kept.
2. Workers
maintain possession or control over their identity
documents.
【
Record
Review
】
:
1.
Policy
1)
Adequate
and
effective
policies
and
procedures
is
in
place
stating
no
government
issued
identification or personal documents
originals are held or stored.
2. Worker
possession
1) Worker files contain no
workers' personal documentation originals
★【
Additional
assistance
】
:
【
Site
Observations
】
: No
【
Record
Review
】
:
1.
Policy/Procedures
1) Auditee may
request, where permitted, copies of the original
documents) .
2. Worker possession
1) Workers' personal documentation
originals: e.g. passport; work visa/permit;
citizenship, residence,
1. No contract
or contract not in native language or contract not
delivered prior to departure (in case of
migrant
workers)
BUT
conditions
were
communicated
before
work
began
(before
leaving
home
in
case of
migrant worker)
2. Contract
or conditions communicated were incomplete
(missing one or more elements)
3. Defined worker group mix (e.g.
student, intern, dispatch, etc.) exceeds legal
limits by >5%
2. No contract or
conditions communicated prior to employment
(before leaving home in case of migrant
worker)
3.
Contracts contain language to limit the workers?
ability to
voluntarily terminate their
employment
One or more of the following
is true:
8 / 128
RBA
审核准则释义指引
(2018
年
6.0
版
)-
中英文对照
身份证明、社会保障
/
保险卡
/
证明文件；出生证；银行证明
文件；等等
)
2)
在某些国家
/
地区，当地法律要求雇主保管外国工人
的个人证明文件。在这些情
况下：
a)
所制定的程序应规定只能保管法律要求保管的个人证明文件
b)
不得以任何方式篡改或损坏个人证明文件
c)
如果工人提出请求，他们必须能在
12
小时内拿到这些证明文件
d)
在任何情况下，保管政府颁发的身份证明、护照或工作许可证均不应收费
3.
对这一发现出现优先级不符合项，那么
A1.1
也要判定为优先级不符合项
★【评级】：
优先
重大
1.
任何个人证明文件原件被损坏、隐藏、没收、非自愿保管
或在提出请
求时不予发还
一
(1)
个或一
(1)
个
以上的以下事实：
1.
保管了个人证明文件的原件
2. <
/p>
在法律要求保管证明文件原件的情况下，未制定有保管证明文件和
/
或工人拿回自己证明文件的政策
3.
外籍员工
/
外来务工人员以及在公司
/
劳工代理商
/
承包商提供的宿舍
居住的任何工人，
>5%
的工人未获得自己可随时使用的安全的个人储
物柜<
/p>
轻微
一
(1)
个或一
(1)
个以上的以下事实：
1.
在法律
要求保管证明文件原件的情况下，
制定有安全保管的政策和程
序
，但工人无法在
12
小时内拿到自己的文件
2.
在公司
/
劳工代理商
/
承包商提供的宿舍居住的任何工人，
≤5%
的工人
未获得自己可随时使用的安全
的个人储物柜
不适用
远程核查
A1.5
对工人的活动及基本的自由活动范围无任何不合理的限制。
★【符合性要求】：
【场所访察】：
1.
如果工人居住在场所
(
宿舍
)
，
宿舍的通行权是开放的，
或者无任
何不合理的程序限
制或不适当的安全保卫限制，这适用于工人休息期间及他们离开厂区的
自由
2.
在必要时工人活动自由，享有基本的自由活动范围
3.
工人不在工作时，可自由地离开受审计公司的场所或宿舍
4.
无任何限制制度，如限制洗手间的使用
不适用
否
identification, social insurance
cards/documents; birth certificate; bank
documents; ...) .
2) In some countries,
the local law requires
employers to
hold foreign workers? personal documents.
In those cases:
a)
Procedures are in place for safe keeping of only
those personal documents required by law.
b) Personal documents must not be
tampered with or damaged in any way.
c)
Worker must have access to those documents within
12 hours of requesting them.
d) In no
case shall there be a fee for the safe keeping of
government-issued identification, passports
or work permits.
3. A
priority rating on this finding also requires a
priority rating for A1.1
★【
R
ating
】
:
1. Any
original personal documents are destroyed,
concealed, confiscated, involuntarily held or
access is
denied when requested.
One or more of the following is true:
1. Original personal documents are kept
2. There is no policy for
document safekeeping and/or worker access to their
documents when the law
requires holding
original documents
3.
For
workers
in
any
form
of
company/agent/contractor
provided
living
accommodations,
access
to
personal secure storage
is inhibited in >5% of cases.
One or
more of the following is true:
1. When
the law requires holding original-documents, a
safe keeping policy and procedures are in place
but workers cannot access their
documents within 12 hours.
2.
For
workers
in
any
form
of
company/agent/contractor
provided
living
accommodations,
access
to
personal secure storage
is inhibited in ≤5% of cases.
Not Applicable
Remote
Verification Acceptable: NO
A1.5 There are no unreasonable
restrictions on the movement of workers and their
access to basic
liberties.
★【
Conformance
Requirements
】
:
【
Site
Observations
】
:
1. If workers reside on site
(dormitory) , access to the dormitory is open or
there are no unreasonable
restrictions
through
procedure
or
undue
security
guard
r
estrictions,
on
worker?s
ability
to
leave
the
facility including during workers' rest
time.
2. Workers move freely when
needed to access basic liberties.
3.
Workers are free to leave the Auditee location or
dormitory when not engaged in work.
4.
There are no systems for restriction in place such
as toilet passes.
9 / 128 <
/p>
RBA
审核准则释义指引
(2018
年
6.0
版
)-<
/p>
中英文对照
【记录审查】：
1.
政策
1)
存在有关活动自由的充分且有效的政策
/
程序
< br>
2.
记录
1)
进入和离开记录
(
如适用
)
表明无活动限制
★【额外协助】：
【场所访察】：
1.
进入和离开场所的自由不适用于监狱劳动
【记录审查】：
1.
记录
1)
进入和离开记录，例如：使用洗手间、喝水、出外就医、进出工厂
/
宿舍
2.
对这一发现出现优先
级不符合项，那么
A1.1
也要判定为优先级不符合项
★【评级】：
优先
一
(1
)
个或一
(1)
个以上的以下事实：<
/p>
1.
让工人处于健康或安全风险的任
何情形
(
例如：
将工人锁在工厂或宿舍
中
)
2.
以威胁解雇、向当局报告或类似严重威胁来限制工人的活动
重大
轻微
1.
虽然已实施了政策，
但仍通过威
胁或罚款
(
但不是威胁解雇、
向当局报
告或类似严重威胁
)
来限制工人的活动
一
(1)
个
或一
(1)
个以上的以下事实：
1.
未实施任何关于活动自由的政策或程序，但不对活动自由
加以限制
2.
使用了任何非胁迫性
的限制制度
/
程序
(
< br>如：洗手间的使用
)
不适用
远程核查
A2)
未成年工人
在任何制造阶段均不使用童工。
“
儿童
”
是指任何不满
15
岁，或不满义务
教育完成年
龄，
或不满该国家
/
地区的最小就业年龄
(
以这三个年龄中最大者
为准
)
的任何人。
支持
使用符合所有法律和法规的、合法的工作场所学习计划。
不满
18
岁的工人
(
未成年工人
)
不得从事可能危及其健康或安全的工作
，包括夜班和
加班。
参加者应根据相
关法律和法规适当地维护学生记录、
对具有教育职责的合作伙伴进行
严格的尽职调查以及保护学生权利，
确保对学生工进行适当管理。
< br>参加者应向所有学
A2) Young Workers
Child labor is not to be used in any
stage of manufacturing. The term “child” refers to
any person under
the
age
of
15,
or
under
the
age
for
completing
compulsory
education,
or
under
the
minimum
age
for
employment in the country, whichever is
greatest. The use of legitimate workplace learning
programs,
which comply with all laws
and regulations, is supported.
Workers under the age of 18 (Young
Workers) shall not perform work that is likely to
jeopardize their
health or safety of
young workers, including night shifts and
overtime.
Participant shall
ensure proper management of student workers
through proper maintenance of student
不适用
否
【
Record
Review
】
:
1.
Policy
1) Adequate and effective
policies and procedures on freedom of movement are
in place.
2. Records
1)
Entry and leave records (if applicable) show no
restriction in movement.
★【
Additional
assistance
】
:
【
Site
Observations
】
:
1. Freedom to enter and leave site does
not apply to prison labor
【
Record
Review
】
:
1.
Records
1) Entry and leave records e.g.
toilets, drinking water, external medical
facilities, factory/dormitory
exit and
entry.
2. A priority rating on this
finding also requires a priority rating for A1.1 <
/p>
★【
Rating
】
:
One or more of the following is
true:
1. Any situation that is putting
workers at a health or safety risk (e.g. locking
in factory or dorm) .
2.
Workers
are
restricted
from
movement
through
threat
of
firing,
reporting
to
authorities or
similarly
severe threat.
1. Workers
are restricted from movement through threat or
penalty (but not a threat of firing, reporting to
authorities or similarly severe threat)
, even if a policy is in place.
One or
more of the following is true:
1. No
policy or procedures are in place on freedom of
movement but there are no restrictions on freedom
of movement.
2. Non-coercive
restrictions systems/procedures are used (e.g.
toilet passes)
Not
Applicable
Remote Verification
Acceptable: NO
10 / 128
RBA
审核准则释
义指引
(2018
年
6.0
版
)-
中英文对照
生工提供适当的支持和培训。
如当地法律未作规定，
学生工、
实习工和学徒工的工资
应至少达到履行同等或
类似任务的入门级工人的工资水平。
records,
rigorous due diligence of educational partners,
and protection of students? rights in accordance
with
applicable
law
and
regulations.
Participant
shall
provide
appropriate
support
and
training
to
all
student workers. In the
absence of local law, the wage rate for student
workers, interns and apprentices
shall
be at least the same wage rate as other entry-
level workers performing equal or similar tasks.
A2.1
工人年龄不低于最小年龄。
★【符合性要求】：
【场所访察】：
1.
现场无疑似不到年龄的工人。
【记录审查】：
1.
记录
1)
人事档案样本显示，所有工人都超过最小年龄或超过公司政策规定的最小年龄
(
以这两个年龄中较大者为准
)
★【额外协助】：
【场所访察】：无
【记录审查】：
1.
记录
1)
工人花名册显示，所有工人都超过最小年龄或超过公司政策规定的最小年龄
(
以
这两个年龄中较大者为准
)
2.
审计师需确保样本包含各类工人
/
员工
★【评级】：
优先
重大
1.
工厂目前有或者过去六
(6)<
/p>
个月内有经确认尚不到年龄的工人
一<
/p>
(1)
个或一
(1)
个以上的以下事实：
1.
未实施政策或进行政策培训，但无不到年龄的工人
2.
二
(2)
个或更多最低要求缺失或者失效
轻微
不适用
远程核查
1.
一
(1)
个最低要求缺失或者失效，
或者任一
(1)
< br>个管理体系要素没有充分
的文件化或被禁止
/
排除
不适用
否
A2.1 Workers
are not below the minimum age.
★【
Conformance
Requirements
】
:
【
Site
Observations
】
:
1. No workers on site appear to be
under the minimum age.
【
Record
Review
】
:
1.
Records
1) Personnel file sample shows
all workers are above minimum age or above company
policy
minimum age (whichever is
greater)
★【
Additional
assistance
】
:
【
Site
Observations
】
: No
【
Record
Review
】
:
1.
Records
1) The worker roster shows all
workers are above minimum age or above company
policy minimum
age (whichever is
greater)
2. Auditors need
to ensure that sample covers all types of
workers/employees.
★【
Rating<
/p>
】
:
1. Confirmed
underage workers are present at the facility or
were present at the facility in the last six
months
One or more of the
following is true:
1. No policy or
training on policy in place but no underage
workers present
2. Two or more of the
minimum requirement elements is missing or
ineffective
1.
One
of
the
minimum
requirement
elements
is
missing
or
ineffective,
or
a
system
element
is
not
adequately documented or
is prohibited
Not Applicable
Remote Verification Acceptable: NO
A2.2 An adequate and
effective policy and process is established to
ensure that workers below the legal
minimum working age are not hired
either directly or indirectly via labor
agencies/contractors.
★【
Conformance
Requirements
】
:
【
Site
Observations
】
: Not
Applicable
【
Record
Review
】
:
1.
Policy
A2.2
制定一个充分且有效的政策和流程，以
确保不直接亦不通过劳工代理商
/
承包商
雇佣未达法定最小工作年龄的工人。
★【符合性要求】：
【场所访察】：不适用
【记录审查】：
1.
政策
11
/ 128
RBA
审核准则释义指引
(2018
年
6.0
版
)-
中英文对照
1)
有一个充分且有效的禁用童工政策
/
程序<
/p>
2)
有一个充分的流程，用于核实年
龄证明文件是否可靠；年龄核查必须包括目测
核查，即对官方证明文件进行照片识别
3)
有一个可靠的
ID
核查系统，来控制员工进入工厂
4)
童工年龄达到法律要求后，受审计公司不得拒绝其工作申请
2.
未成年人救助
1)
建立一个程序，帮助找到在受审计公司工作的不满年龄童
工、旨在为童工提供
福利
★【额外协助】：
【场所访察】：无
【记录审查】：
1.
政策
1)
必须检查并交叉比对，至少核实两种官方认可的
ID(identification<
/p>
，身份
)*
2)
有一个可靠的
ID
核查系统，例如指纹卡或包含所有人照片
的
ID
卡，能够防止不
满年龄的工人使
用他人
ID
进入工厂
3)
验证和交叉比对的
ID
类型：
a)
对图片
ID
与工人脸部进行匹配
b)
通过互联网资源或当地政府办公室等可获得的第三方资源进行核查
c)
出生证明书
d)
政府颁发的个人身份证明卡
e)
驾照
f)
选民登记卡
g)
“
加盖官方印章的
”
学校证书的副本
h)
当地政府代表的书面陈述
i)
外国工作许可证或其他政府认可的证明文件
2.
未成年人救助包括
1)
体检和必要时的适当行动
2)
完成义务教育
3)
维护童工收入，直到满足法律规定的工作资格
4)
如存在合法的不到年龄的工人，不应当解雇他们，亦不应
当对他们处以罚金，
而是应当尽力将他们调到适当的学徒工岗位，视需要限制他们的工作
时间和工作类
型，以满足教育需要
1) Adequate and effective child labor
prohibition policies and procedures are in place
2) There is an adequate process in
place to verify the reliability of age documents.
Age verification
must include visual
verification of a government recognized
photographic identification document.
3) There is a reliable ID verification
system to control the workers' access into the
facility
4)
Auditee
does
not
refuse
the
worker's
job
application
after
the
“child”
worker's
age
meets
legal
requirements.
2. Underage
assistance
1) There is a procedure to
assist underage children found working for the
Auditee that is designed to
provide for
the welfare of the child
★【
Additional
assistance
】
:
【
Site
Observations
】
: No
【
Record
Review
】
:
1.
Policy
1) Inspect and cross-reference
to verify the validity at least two types of
official ID*
2) Reliable ID
verification system to control the workers' access
into the facility e.g. finger printing or
ID
card
with
owner's
photograph
to
prevent
under-
age
workers
entering
the
facility
by
using
another
person's ID
3) ID types for
verification and cross-reference
a)
Matching photographic ID to worker?s
face
b)
Verification
through
third-party
resources
where
available,
such
as
Internet
resources
or
local
government offices
c) Birth certificate
d)
Government-issued personal identification card
e)
Driver?s
license
f) V
oting
registration card
g)
“Official stamped” copy of a school
certificate
h) Affidavit
from local government representative
i)
Foreign national work permit or other government
recognized document.
2. Underage
assistance includes
1) Health exam and
appropriate action if necessary
2)
Completion of compulsory schooling
3)
Maintaining the child's income until legally
eligible to work
4) When they exist,
and are acceptable by law, to move underage
workers into proper apprenticeship
positions, restricting their hours and
type of work to accommodate educational needs, as
required, rather
than discharging or
fining of these workers.
★【评级】：
优先
1.
童工或者未成年工人直接或间接通过劳工代理商
/
承包商雇佣<
/p>
★【
Rating
】
:
1. Child or underage
workers are hired directly or indirectly through a
labor agent/contractor
12 /
128
RBA
审核准则释义指引
(2
018
年
6.0
版
)-
中英文对照
重大
1.
无正式的政策和流程，且无年龄证明文件
2.
如果是
A2.1
出现
“
优先级不符合项
”
的情况，则不充分的流程默认为
“
重大级不
符合项
”
轻微
不适用
远程核查
1.
有正式的政策，但流程不完整或缺少年龄证明文件
不适用
否
1. No formal policy and
process in place AND no proof-of-age documentation
2. If A2.1 Priority then default Major
Nonconformance for inadequate process
1. Formal policy in place, however, the
process is incomplete or proof-of-age
documentation is missing
Not Applicable
Remote Verification Acceptable: NO
A2.3 Workers under the age
of 18 are not allowed to perform work that is
likely to jeopardize the health
or
safety of these young workers, including night
work or overtime.
★【符合性要求】：
【场所访察】：
1.
没有不满
18
岁的工人在从事具有危险性的工作
【记录审查】：
1.
政策
1)
制定了充分且有效的未成年工人政策和程序
2)
有明确界定且已执行的实施机制：
a)
在法律要求时进行健康检查
b)
明确的风险评估
c)
对工作时间及日工作时间段的限制
d)
找出未成年工人并将他们分配到不危险的岗位
e)
未成年工人不可从事夜班或加班工作
2.
记录
1)
在人事档案、医疗文件和工作时间记录中反映该实施机制
★【额外协助】：
【场所访察】：无
【记录审查】：
1.
政策
1)
青年工人的夜间工作，
可由当地法律明确界定，
但通常指晚上<
/p>
22:00
至早上
07:00
之间的至少
7
小时的连续工作时间
2)
在青年工人的
“
优先级不符合项
”
和
“
重大级不符合
”
等的发现中，需要
立即进行
遏制
/
整改
< br>(
即重新分配，只是白天工作，而不是终止工作
)
2.
记录
1)
分析
100
％的青年工人的工作时间、加班时间和休息日，必须在
A2
进行说明
★【评级】：
优先
一
(1
)
个或一
(1)
个以上的以下事实：<
/p>
★【
Conformance
Requirements
】
:
【
Site
Observations
】
:
1. No workers under 18 are performing
jobs that are hazardous.
【
Record
Review
】
:
1.
Policy
1) Adequate and effective young
worker policies and procedures are in place
2) Implementation mechanisms are
clearly defined and implemented including:
a) Health checks if required by law
b) Clear risk evaluation
c)
Restriction on hours worked and time of day worked
d) Identification and assignment of
young workers to nonhazardous positions
e) Young workers are not allowed night
work or overtime
2. Records
1) The implementation mechanisms are
reflected in personnel files, medical files and
work time
records.
★【
Additional
assistance
】
:
【
Site
Observations
】
: No
【
Record
Review
】
:
1.
Policy
1) Night work: Night work for
young workers may be defined specifically by local
law though
generally means any
consecutive period of at least 7 hours between 10
PM and 7 AM
2) Immediate containment,
(i.e. re-assignment, putting o
n to day
shift only …not termination
) is
required in Priority and Major findings
regarding young workers
2. Records
1) The analysis 100% of Young Worker
working hours, overtime, days of rest are to be
noted here in
A2.
★【
< br>Rating
】
:
One
or more of the following is true:
A2.3<
/p>
不满
18
岁的工人不得从事可能危害健康
和安全的工作，包括夜班或加班。
13 / 128