社會責任審核所需之文件(中國)

　　Document Checklist for CSR Audit (China)

　　Revision: June 2012

　　WCA審核程序包括：審核前會議，設施巡察，查閱文件，員工面談及總結會議。

　　Audit procedures includes: Opening Meeting, Facility Tour, Documents review, Employee Interview and Closing Meeting.

　　請準備以下文件的正本予以審核，并懇請允許復印樣本，謝謝!

　　Please prepare the original documentation listed below for verification and sample photocopying, thanks!

　　1. 工商營業執照(副本)

　　Business Registration (Official Duplicate)

　　2. 工卡或考勤記錄(過去十二個月)，包括在職與離職人員。 如果是使用電子考勤，審核員可能需要從電腦直接審閱考勤記錄，審閱是會在企業職員協助下進行。

　　Timecards or Attendance Records (Last 12 Months), including active employees and resignation employees. If electronics time card is used, the auditor may need to review the time record directly from the computer, with the assistance from the facility staff.

　　3. WCA認證工資表(過去十二個月) ，包括在職與離職人員。如果工資是通過銀行轉賬發放，請同時提供銀行轉賬記錄。

　　Payroll Records (Last 12 months), including active employees and resignation employees. If wage paid by Bank Transfer, Bank Transfer record is required accordingly.

　　4. 員工花名冊及員工個人檔案(含身份證復印件)

　　Employee Roster and Employee Personnel Records (including I.D. card copy)

　　5. 勞動合同

　　Labor Contract

　　6. 社會保險收據(過去十二個月)，參保人員花名冊，當地參保要求文件或合格證明文件等;商業保險記錄(如有)

　　Social Insurance Receipts (Last 12 months), Name List, Social Insurance Local Policy or Qualified Certificate, etc. Commercial insurance records (if any)

　　7. 建筑工程消防驗收意見書或消防備案記錄

　　Construction Project Fire Safety Acceptance Document/Record

　　8. 滅火和應急疏散預案、演練記錄、工傷記錄等

　　Fire Fighting and Emergency Evacuation Plan, Fire Drill Record, Work Accident Records and Work-related Injury Record

　　9. WCA認證特種設備(如有)注冊登記證(表)及檢驗報告，如電梯、起重機械、場(廠)內專用機動車輛、鍋爐及壓力容器(含氣瓶，壓力表及安全閥)等

　　Special Appliance (if any) Registration Certificate and Inspection Report, such as Lift, Lifting Appliance, Inside Special motor vehicle, Boiler and Compressing Equipment (including Gas Cylinders, Gauge and Safety Valv(e) and etc.

　　10. 特種設備作業人員(如有)操作證，如電梯司機、起重機械司機、場(廠)內專用機動車輛司機、鍋爐操作工、壓力容器操作工等。

　　Special Appliance Operator (if any) Certificate, such as Lift Operator, Lifting Appliance Operator, Inside Special motor vehicle Driver, Boiler Operator, Compressing Equipment Operator and etc.

WCA認證費用

　　11. 特種作業人員(如有)操作證，如電工、焊接工等;

　　Special Operation (if any) License, such as Electrician, Welder and etc.

　　12. 廚房餐飲服務許可證及廚工健康證

　　Kitchen’s Catering Service License and Cooks’ Health Certificate

　　13. WCA認證職業危害因素檢測報告和員工職業健康檢查報告

　　Occupational Hazards Factors Testing Report and Employee Occupational Health Examination Report

　　14. 化學品清單，化學品物質安全資料表，危險化學品事故應急救援預案和演練記錄

　　List of all Chemical, MSDS, Dangerous Chemical Emergency Succor Plan and Drill Record

　　15. 環保文件(如建設項目環境影響評價文件(環境影響報告書、環境影響報告表或者環境影響登記表)，環評批復，建設項目環境竣工驗收報告，排污許可證/排放污染物申報登記表/監測報告，輻射設備(如有)的環評、驗收及安全許可證等)

　　Environmental Documents such as Environmental Impact Assessment (EIA) Documents (Environmental Impact Report,Environmental Impact Report Form or fill out Environmental Impact Registration Form), EIA Approval, Acceptance Check of Environmental Protection of Construction Projects, Pollutant Discharging Permit /Declaration Form of Pollutants Discharged /Monitoring Report, Radiation Safety’s (if any) EIA report, Acceptance Check and Permit, and etc.

　　16. WCA認證危險廢物處置單位的營業執照和經營許可證，危險廢物處理合同，危險廢物轉移聯單等

　　Business License and Business Permit of Dangerous Waste Collector, Service Agreement and Dangerous Waste Disposal Duplicated Form

　　17. 企業規章制度或員工手冊(包括但不僅限于針對招聘、歧視、強迫勞動、工時、薪資福利、獎懲制度、健康及安全、結社自由和集體談判、環境保護的內容)

　　Enterprise Regulation or Employee Handbook (Including but not limit to, recruitment, discrimination, forced labor,working hours, compensation & benefit, disciplinary procedure, working conditions, health and safety, freedom of association and collective bargaining, environmental protection)

　　18. 安全生產教育和培訓記錄，如：消防安全培訓、安全生產規章制度和崗位安全操作規程、安全使用化學品的培訓、職業衛生培訓

　　Work Safety Education and Training records, such as Fire Safety training, Work Safety Rules and Post Safety Operation Procedure, Chemical Safety Training Records, Occupational Health Training

　　19. 政府有關當地最低工資標準文件 Local Minimum Wage Standard

　　20.WCA認證請假記錄、離職申請/審批記錄(過去十二個月)

　　Leave Application Form, Resignation Application Form with Approval (Last 12 months)

　　21. 生產記錄(過去十二個月)，如生產日報表、計件記錄、品檢記錄等

　　Production Records (Last 12 months), such as Daily Production Records, Piece-rate Records, Quality Control Records,and etc.

　　22. 未成年工體檢及勞動局登記記錄

　　Young Workers’ Health Examination and Registration Records

　　23. 勞務派遣工的入職檔案(含身份證復印件)，考勤及工資表記錄，勞動合同，社會保險收據及合格證明，與勞務派遣單位簽訂的合同及勞務派遣單位的營業執照

　　Dispatched Employees’ Personal Files with ID Card Copy, Attendance & Payroll Records, Labor Contracts, Social Insurance Receipt & Certificates, Contract signed with Labor Agent and the Business License of Labor Agent

　　24. WCA認證審核建筑平面圖

　　Facility Building Layout

　　25. 主要生產機器設備清單

　　List of main production equipment

　　26. 公司社會責任體系方針或程序文件(包括勞動用工、工作條件、環境保護)和管理組織架構圖，商業道德文件(包括反腐敗、反賄賂、信息保密、反不正當競爭)(如有)

　　Written policy or process on company Social responsibility System (including labor and employment, working condition, environmental protection) and Management organizational chart; written policy on business practices (including Business Integrity, Anti-corruption, Data Secrecy, Anti-unfair competition) (If any)

　　27. 當地勞動局關于綜合計算工時工作制批文或延長加班批文

　　Official Comprehensive Working Hour System Approval or Waiver for Overtime Extension

　　28. 聘用實習生，請提供實習生名單，學校、企業和實習生的三方實習協議

　　If Intern employed, please provide the list of Intern, Tripartite Agreement signed by the School, the Facility and the Students

　　29. WCA認證審核聘用外籍員工，請提供《外國人就業證》和《外國人就業許可證書》

　　If foreigner employed, please provided the Foreigner Employment permits and Foreigner Employment License

　　30. 分包商/供應商清單(如有)

　　List of Subcontractor/Supplier (if any)

　　31. 如果保安、清潔、食堂等外包，請提供外包服務合同。

　　If security, clearing, cooking are subcontracted, please provide Service Contract

　　32. 如果廠房是租賃的，請提供廠房租賃合同

　　If facility rent or leased, please provide the Rent or Lease Contract

　　33. 集體勞動合同或自由談判協議(如有)

　　Collective Labor Agreement or Collective Bargaining Agreements (if any)

　　34. 有效社會責任管理體系證書(如有)， 如：SA8000、WRAP、 ICTI、RJC

　　Valid certificates on Social Management System (if any), such as SA8000, WRAP, ICTI, RJC

　　35. 其它文件(視乎審核情況所需)

　　Other documents, subject to actual circumstances during the audit

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