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WCA - Audit Document Checklist-Business Practice (Eng.) WCA-D02 (Issue No.: 08; Issue Date: 29 May 2018)
Please prepare the ORIGINAL documentation listed below for audit/verification.
请准备以下⽂件正本供核查
1.1 applicable) and hazardous waste treatment supplier (If applicable).
被审核⽅，劳动派遣公司（如适⽤），危险废弃物处理商（如适⽤）的营业执照。

1.2 Authorization document of management representative for social compliance management including EHS and labor management
社会责任管理者代表的委任书，包括健康安全环境和劳⼯的管理者代表。

1.3
List of all subcontractors (if applicable)
分包商清单（如适⽤）
2.1
⼚规或员⼯⼿册，包括以下⽅⾯
2.1.1Recruitment policy/procedure
招聘政策
2.1.2Disciplinary policy/procedure and its records
纪律处分程序
2.1.3Related training records of policy/procedure in social management system
社会责任管理体系相关政策程序培训记录
2.2
Employment / Labor contracts
劳动合同
2.3
Union or employee representative committee procedure/records
⼯会和员⼯代表委员会程序/记录。

2.4
Collective bargaining agreement (if applicable)
集体谈判协议（如适⽤）。

2.5 Employee Roster and Personnel records include resignation records, Young worker resignation and health examination (if applicable)
⼈事花名册及个⼈档案包括离职记录，未成年⼯注册及体检记录（如适⽤）。

2.6
Foreign employees work permits and approval letter from government (if applicable)
外籍员⼯许可证和政府批⽂（如适⽤）。

2.7
Agency workers agreement(if applicable)
中介⼯⼈协议（如适⽤）。

2.8
Dispatched employees’ personal files with ID Card Copy, Labor Contract(if applicable)
劳务派遣⼯⼈的个⼈档案，包括⾝份证复印件和劳动合同。

（如适⽤）。

3.1 temporary employees, dispatch employees, etc.
所有⼯⼈过去12个⽉的⼯资记录，包括临时⼯和劳务派遣⼯。

3.1.1Payroll register with employee signature (if wages paid in cash)
有员⼯本⼈签名的⼯资表（现⾦发放）。

3.1.2Bank statement corresponding to payroll register (if wages paid by bank deposit)
银⾏⼯资转账回单（银⾏卡发放）。

3.2 Time card / Attendance records (recent 12 months) of all current employees and former employees including temporary employees, dispatch employees, etc.
所有⼯⼈过去12个⽉的考勤记录，包括临时⼯和劳务派遣⼯。

3.3
Production records (tickets/sheet) (recent 12 months) (if applicable)
⽣产记录(过去12个⽉如适⽤)。

3.4 Local minimum wage standard (if applicable) and/or Government Labor Law notice (if applicable)
当地政府最低⼯资标准⽂件或政府通知书（如适⽤）。

3.5 Special waivers from local government regarding working hours arrangement (if applicable)
当地政府就⼯作时间的特殊批⽂（如适⽤）。

3.6
Wages / Working hour Policy/Procedure and related training records
⼯资⼯时政策程序培训记录。

3.7 Employees’ social insurance receipt, name list and certificate of social insurance of all employees.
社会保险收据，名单和社会保险凭证。

4.1 breaks, etc.)
怀孕⼥⼯保护程序（包括⾮有毒有害和低体⼒劳动强度⼯作，延长休息时间等）。

4.2
Fire safety inspection / certificates and building permit for facility / dormitory buildings ⼚房和宿舍的消防检查报告或合格证明
及建筑/施⼯许可证。

4.3
Rent or lease contract (applicable if facility is rented or leased)
⼚房租赁协议（如果⼚房是租赁使⽤的）。

4.4
Facility building layout/evacuation plan
⼚房平⾯图/疏散图。

4.5 Overall emergency procedure and its records including Fire drill records, emergency drill records for chemical management
应急处置程序和记录，包括消防演习记录，化学品应急演习记录。

4.6
Work-related accident/injury procedure and its records
⼯伤事故记录及⼯伤记录等。

4.7 Occupational hazards factors report (if applicable) and Occupation health examination report (if applicable)
职业危害因素检测报告（如适⽤）和职业病体检报告（如适⽤）。

4.8
List of main production machine types and total number of machines (if applicable)
主要设备清单和所有设备数量（如适⽤）。

4.9 List of all chemicals used and/or stored, corresponding MSDS and any relevant
procedures/records related to chemical use/storage such as hazardous chemical
emergency response plan and records
所有使⽤和储存的化学危险品清单，相应的MSDS程序和记录，和危险化学品应急处理计划和记录。

4.10
Health and safety program and training records
健康安全程序培训记录。

4.11 Canteen or eating facilities hygiene certificate such as Kitchen hygiene permit/license, and cook/kitchen staff health certificate
(厨房)⾷品经营许可证（原餐饮服务许可证）及厨⼯健康证。

4.12 Certificates/Permit/Licenses related to Special appliances and its operator, special operations license (Such as electrician).
特种设备登记检验和特种设备操作⼯、特种作业⼯⼈上岗证(如：电⼯等)。

5.1 training records to all employees.
书⾯的社会责任政策和相关程序及记录，包括所有员⼯的培训记录。

6.1 applicable)
环境管理程序和证书⽐如ISO14001证书（如适⽤）。

6.2 Environmental certificates/Permits and documents (if applicable) such as Environmental Impact Assessment (EIA) related documents, Acceptance check of environmental protection of Construction Projects and etc.
环境证书及许可⽂件（如适⽤），⽐如环境影响评价相关⽂件，环境保护及建设项⽬竣⼯验收报告。

6.3
Hazardous waste disposal records.
危险废弃物处理记录。

7.1 e.g. business integrity & anti-corruption, fair competition (optional if Business Practice
module is applicable in the assessment, not applicable for WCA-Integrity) and data
protection (optional if Business Practice module is applicable in the assessment, not applicable for WCA-Integrity) including (but not limited) to the following:
任何书⾯政策或程序去规范公司和员⼯的商业道德规范。

例如诚信经营，反腐败，公平竞争(如商业道德规范是适⽤于评估，WCA-Integrity/不适⽤），资料保护（如商业道德规范是适⽤于评估, WCA-Integrity不适⽤）包括（但不限于）以下内容：
7.1.1Job Description (JD) of the assigned responsible managers for the management of
Bribery at the Company.
指定负责处理贿赂的管理⼈员的岗位描述。

7.1.2Written ethical/integrity training records
书⾯的道德/诚信培训记录。

7.1.3Written bribery policy and what are included. For instance, objective,
commitment, definitions of company policy on giving and receiving of gifts,
procedure, work instruction, how the policy is externally available.
书⾯贿赂政策和包括什么内容。

例如，⽬标，承诺给予和接受礼品，程序，
⼯作指引，政策是如何外部使⽤。

7.1.4Procedures for attempted bribery
企图贿赂程序
7.1.5Procedure on how employees are protected from retaliation.
如何保护员⼯免遭报复的程序。

7.1.6Internal/ external audit reports regarding ethics/ integrity
关于诚信道德内部/外部审计报告。

7.1.7Employees declaration on conflict of interests
8.1 regions Company is located
其他⽂件，根据⼯⼚位于特定区域的实际情况
Other Local Specific Documents (if applicable), please specify:
8.2
其他地⽅的⽂件（如适⽤），请注明：
8.1.1
8.1.2
8.1.3
The above are suggested general documents which would be requested for review during assessment, auditors have the right to request to review other documents not included in the above list, if auditors have reasonable grounds to believe other unlisted documents are related to the assessment.
注：以上是WCA审计要求的⼀般⽂件，如果审计⼈员有合理理由相信其他⽂件与WCA审计有密切关系，审计⼈员有权要求查阅其他不在上述清单内的⽂件。