GOTS认证咨询-GOTS产品供应链上不同阶段的检查与认证责任要求

GOTS SECTION 2.2.2
GOTS 第 2.2.2 节
“Certification shall be based on an on-site annual inspection cycle, including possible additional unannounced inspections based on a risk assessment of the operations.”
“认证应基于每年一次的定期现场检查，包括其它有可能基于操作风险评估开展的飞行检查。”
INTERPRETATION
释义
• The inspection and certification obligation for the different stages in the supply chain of GOTS Goods can be summarised as follows:
• GOTS 产品供应链上不同阶段的检查与认证责任归纳如下：
a. Processors and manufacturers of GOTS Goods:
a. GOTS产品加工商和制造商：
Certification based on an annual on-site inspection is obligatory. 
基于年度现场检查的认证是强制性的。
b. Subcontractors (in the field of processing and manufacturing) of GOTS Goods:
b. GOTS产品分包商（加工和制造领域）：
Certification based on on-site inspection is obligatory.
基于现场检查的认证是强制性的。
c. Chemical Formulators (supplier):
c. 化学品配制商（供应商）：
An on-site inspection is obligatory. For further information, please refer to interpretation of GOTS Sections 4.2.4 and 4.2.5.
现场检查是强制性的。了解更多信息，请参考GOTS第4.2.4节和第4.2.5节的释义。
d. Chemical Subcontractors (toll manufacturing):
d. 化学品分包商（代工生产）：
An on-site inspection is obligatory. For further information, please refer to interpretation of GOTS Sections 4.2.4 and 4.2.5. 
现场检查是强制性的。了解更多信息，请参考GOTS第4.2.4节和第4.2.5节的释义。
e. Traders (B2B) of GOTS Goods:
e. GOTS产品贸易商（B2B）：
Certification based on an annual on-site inspection is obligatory. (Exemptions in the following section). 
基于年度现场检查的认证是强制性的。（下一节中的豁免规定）。
GENERAL GUIDANCE ON CERTIFICATION
一般性通用认证指南
• Approved Certifiers that have contracted more than 10 GOTS Certified Entities shall conduct a minimum of 2% unannounced on-site inspections (or 1 inspection; whichever is greater) of certified facilities per year, chosen randomly and/or chosen taking into account the risk or threat to the organic integrity of the production or products and the risk for non-compliances related to GOTS Human Rights and Social Criteria in the facilities. 
• 被授权认证机构一旦有10个以上签订合同的GOTS被认证实体，则每年应随机抽取并（或）根据生产或产品有机完整性的《风险与社会责任准则》方面不符合的风险抽取至少2%的被认证场所
（或1次，以较高次数为准）实施现场的飞行检查。
• The on-site inspection protocol with regard to environmental criteria shall, at the very minimum, undertake the following, as applicable to the inspected facility:
• 关于环境准则的现场检查协定至少应执行以下内容（只要适用于被检查场所）：
a. Assessment of the processing system by means of visits to processing and storage units which may also include visits to non-certified, third-party areas such as warehouses, fulfilment centres etc., if there is a reason for doing so, based on the risk assessment of Approved Certifiers
a. 通过访问加工和存储场所来评估加工系统，必要时，基于被授权认证机构的风险评估有理由需要可包括访问未通过认证的第三方场所仓库、交付中心等。
b. Review of records and accounts in order to verify the flow of goods (Volume Reconciliation (input/output/stock/production loss) and the tracing back
b. 评审记录和账目以核查产品流动情况（物料衡算）（投入/产出/库存/生产损失）并追溯
c. Inspection of the chemical inputs (dyes and auxiliaries) and accessories used and assessment of their compliance with the applicable criteria of the GOTS
c. 检查使用的化学品投入物（染料和助剂）和辅料，评估其是否符合GOTS的相应准则；
d. Identification of areas of risk for product integrity
d. 识别与有机完整性有关的风险区域
e. Inspection of the wastewater (pre-)treatment system of wet processors
e. 检查湿加工单位的污水（预）处理系统
f. Verification of the operator's risk assessment of contamination and residue testing policy potentially including sample drawing for residue testing either as random sampling or in case of suspicion of contamination or noncompliance
f. 核查操作者的污染风险评估和残留检测计划，可能包括随机的或怀疑有污染或不符合时用于残留检测的取样
g. Verification that changes to the standards and to related requirements have been effectively implemented and
g. 核查标准和相关要求中有变化的部分是否得到有效的执行
h. Verification that corrective actions have been taken. 
h. 核查已经执行的纠正措施。
• The on-site inspection protocol with regard to GOTS Human Rights and Social Criteria shall, at the very minimum, undertake the following, as applicable to the inspected facility:
• 关于GOTS人权和社会准则的现场检查协定至少应执行以下内容（只要适用于被检查场所）：
a. Inspection of processing and storage units, toilet facilities, rest areas and other sites of the company with access for workers
a. 检查加工和储存单位，盥洗设施、休息区和公司内工人活动的其它场所
b. Interview with management and confidential interviews with workers and workers’ representatives
b. 访问管理者，秘密访谈工人和工人代表
c. Review of personnel files, such as a list of workers employed, workers’ contracts, payrolls, shift and working time protocols, age verification, social insurance documents
c. 审查人事文件，如被雇佣工人的花名册、工人合同、工资单、班次及工作时间规定、年龄验证、社会保险文件
d. Verification that corrective actions have been taken
d. 核查已执行的纠正措施
• Where verifiable results (audit reports) from the following internationally recognised social compliance schemes are available for the inspected facility, these should be screened and considered to the widest extent possible for the GOTS verification procedures:
• 对于 GOTS 核查程序而言，若被检查场所有来源于以下国际公认的社会责任符合性标准的结论（审核报告）可供核查，则应该对这些结论进行审查且最大程度地视为可接受：
a. Fair Wear Foundation (FWF)
a. 《公平服装基金会（FWF）》
b. Social Accountability 8000 (SA 8000)
b. 《社会责任标准8000（SA8000）》
c. Worldwide Responsible Accredited Production (WRAP)
c. 《国际社会责任认证组织（WRAP）》
d. amfori BSCI
d. 全球对外贸易协会的BSCI
e. SMETA-Sedex report not older than 1 year
e. SMETA-Sedex报告不超过1年
• Audit reports available need to be checked on their scope and quality in order to decide to which extent they can be used:
• 需对现有审核报告涉及的范围和内容质量进行核查，以决定能够被使用的程度：
a. Is all relevant site data given (name, address, contact person, ownership, workforce, production process, production capacity, subcontractors included)?
a. 是否提供了所有相关场所的数据（包括名称、地址、联系人、所有权、劳力、生产过程、生产能力、分包单位）？
b. Does it refer to all Human Rights and Social Criteria included in GOTS?
b. 是否涵盖了GOTS中的《所有人权与社会责任准则》？
c. Is it based on sources of information that correspond to those covered by the above minimum on-site inspection protocol?
c. 是否基于上述最低要求的现场检查协定所对应的信息资源？
• Where such verifiable audit reports are available based on an on-site inspection in the period of one year before the GOTS inspection takes place and indicate compliance with the applicable GOTS Human Rights and Social Criteria, a significant reduction of the audit time in these areas is considered reasonable. In general, Approved Certifiers need to ensure that sufficient audit time to verify compliance with both environmental and social criteria is planned for the on-site inspection considering size, the number of workers, location, processing steps and related risk potential for non-compliance of the applicable criteria. While it is reasonable that, e.g. in a complex wet processing unit in a developed country, considerably more audit time is spent verifying compliance with the environmental criteria, it is expected in a large garment manufacturing unit located in a developing country and not recently verified by another recognised social compliance scheme that considerably more audit time is spent verifying compliance with GOTS Human Rights and Social Criteria. 
• 这种可供核查的审核报告若是基于现场的检查且时间上距该 GOTS 检查不超过一年，并且有符合相关 GOTS人权和社会准则的内容，大幅减少这些领域的审核时间则被视为合理。一般而言， 被授权认证机构需确保留有充足的审核时间核查环境准则和社会责任准则，审核时间是基于被审核单位的规模、工人数量、地点、加工步骤及有关不符合的潜在风险来计划。例如：对于一个发展中国家的复杂的湿加工单位，其环境准则的审核可合理考虑给予较多的审核时间；对于一个发展中国家的大型服装制造单位，若近期未经过其它公认的社会符合性标准的核查，其最低社会责任标准符合性的审核则可预算较多审核时间。
• Where verifiable audit reports are available under ISO 14001 or EMAS based on an on-site inspection in the period of one year before the GOTS inspection, these should be considered to the widest possible extent towards compliance with GOTS environmental criteria. In specific, the Sedex Members Ethical Trade Audit (SMETA) Best Practice Guidance (Section 6.5.3) should be used as a framework to establish audit length and the number of individual interviews performed for inspections in developing countries where no verifiable results from any of the mentioned internationally recognised social compliance schemes are available.
• 如果在GOTS检查前一年的现场检查基础上，根据ISO 14001或EMAS标准可获得可核实的审核报告，则应该尽最大可能考虑这些报告是否符合GOTS环境准则。尤其对于发展中国家的检查，若无任何上述国际公认的社会符合性标准的审核结果可供审查，则应该将《Sedex 会员道德贸易审计（SMETA）最佳惯例指南》（第6.5.3 节）作为确定员工访谈所需的审核时间和访谈人数的框架。
• Considering seasonal business and related specific challenges and high-risk situations for compliance with the Human Rights and Social Criteria in the ginning sector, GOTS inspections of ginning mills are to be planned and carried out during peak working season and during working hours when the mills are operating. Approved certification bodies ensure that every inspection carried out for ginning will be informed to GOTS Quality Assurance. 
They shall ensure that GOTS personnel can accompany any audits carried out during the ginning season and otherwise.
• 考虑到轧棉业的业务季节性及相关的特定挑战以及在符合人权与社会责任准则方面的高风险，轧棉厂的GOTS检查时间应安排在旺季，在工厂工作期间进行检查。被授权认证机构确保每次针对轧棉开展检查时，均通知质量保证部。它们应确保GOTS在轧棉期间以及其它时候开展任何审核时GOTS人员均可陪同。
FURTHER GUIDANCE
附加指导
• For the definition of Developing Countries, reference is the World Economic Outlook reports by the IMF, published twice a year.
• 关于发展中国家的定义，参考国际货币基金组织（IMF）每两年发布一次的《世界经济展望报告》。