WCA-D02 WCA Audit Document Checklist-with BP - EnglishChinese - 25 Nov 2014 Iss 05

?????????????WCA?Audit?Document?Checklist‐Business?Practice?(Eng?&?Chi)???

WCA‐D02?(Issue?No.:?05;?Issue?Date:?25?Nov?2014)??

Please?prepare?the?ORIGINAL?documentation?listed?below?for?verification?and?sample?photocopying.?请准备以下文件正本供核查及复印。谢谢！

All?the?following?documents,?unless?the?context?of?the?document?otherwise?requires,?the?singular?includes?the?plural?and?vice?versa.??

所有下述文件除非有特别说明，所有文件都需要提供无论是单份文件或多份文件。 1. Payroll?records?(Recent?12?months) 工资表 (过去十二个月)

? Payroll?register?with?employee?signature?(if?wages?paid?in?cash) 有员工签名工资表（如工资以现金支付） ? Bank?statement?corresponding?to?payroll?register?(if?wages?paid?by?bank?deposit)?相对应工资表的银行存款

证明（如以银行存款支付工资）

2. Time?card/?Attendance?records?(Recent?12?months)?工卡或考勤记录 (过去十二个月)

3. Production?records?(tickets/?sheet)?(Recent?12?months)?(if?applicable)?生产记录 (过去十二个月) (如适用） 4. Personnel?records人事花名册及员工个人档案

5. Young?worker?registration?and?health?examination?(if?applicable)?未成年工体检及劳动局登记记录 6. Employment/?Labor?contracts劳动合同

7. Agency?workers?agreement?(if?any)?中介工人协议（如适用）

8. Foreign?employees?work?permits?and?approval?letter?from?government?(if?applicable)?外籍员工 (如适用) 许可证和

政府批文

9. Collective?bargaining?agreements?(if?any)?集体谈判协议 (如适用）

10. Employees?social?Insurance?receipt,?names?list?and?certificate?of?social?insurance社会保险收据，名单和社会保险

凭证

11. Business?Registration/?License工商营业执照

?2014 Intertek, All Rights Reserved 1

The Intertek Group is the owner of the copyright in the material and intellectual know-how presented. No parts in this material maybe reproduced,

adapted or distributed outside of your company without the written consent of the Intertek Group other than to the extent necessary to view the material.

?????????????WCA?Audit?Document?Checklist‐Business?Practice?(Eng?&?Chi)???

WCA‐D02?(Issue?No.:?05;?Issue?Date:?25?Nov?2014)??

12. Fire?safety?inspection?/?certificates?and?building?/?construction?permits?for?facility?/?dormitory?buildings消防检查报

告或合格证明及建筑/施工许可证 (建筑/施工许可证指“建筑工程竣工验收”或“建筑结构安全鉴定报告＂) 13. Fire?drill?records消防演习记录、急救演习/紧急疏散计划

14. Facility?regulation?or?employee?handbook,?in?regard?to?the?following?areas:?厂规或员工手册, 包括以下几个方面:

? Recruitment?policy招聘政策 ? Disciplinary?procedure纪律处分程序

15. Local?minimum?wage?standard?(if?any)?and/?or?Government?Labor?Law?notice?(if?any)?政府有关当地最低工资规定

文件/政府的劳动法的通知 (如适用）

16. Special?appliance?certificates?such?as?certificate?for?elevator,?boiler特种设备认证证书如电梯，锅炉

17. Permits?for?special?appliance?operations?such?as?lift?operator,?electrician,?and?boiler特种工人上岗证(如:电梯工锅

炉工上岗证, 电工, 锅炉许可证等)

18. Canteen?or?eating?facilities?hygiene?certificate,?cook/?kitchen?staff?health?certificates厨房卫生许可证, 厨工卫生许

可证

19. Facility?building?layout/?evacuation?plan厂房平面图

20. Special?waivers?from?local?government??regarding?working?hours?arrangement?(if?applicable)?从当地政府就工作時

間的特殊批文 (如适用)

21. Health?&?Safety?program?and?training?records健康与安全计划及培训记录 22. Work‐related?accidents/?injury?records工伤事故记录及工伤记录等 23. Environmental?certificates?(if?applicable)?环保证书(如适用)

24. Any?written?policy?or?process?that?governs?company?and?employee?business?practices.?e.g.?business?integrity?&?anti‐

corruption,?fair?competition?(optional?if?Business?Practice?module?is?applicable?in?the?assessment)?and?data?

?2014 Intertek, All Rights Reserved 2

The Intertek Group is the owner of the copyright in the material and intellectual know-how presented. No parts in this material maybe reproduced,

adapted or distributed outside of your company without the written consent of the Intertek Group other than to the extent necessary to view the material.

?????????????WCA?Audit?Document?Checklist‐Business?Practice?(Eng?&?Chi)???

WCA‐D02?(Issue?No.:?05;?Issue?Date:?25?Nov?2014)??

protection?(optional?if?Business?Practice?module?is?applicable?in?the?assessment)?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），资料保护（如商业道德规范是适用于评估）包括（但不限于）以下内容

? Job?Description?(JD)?of?the?assigned?responsible?managers?for?the?management?of?Bribery?at?the?facility.?

?指定负责处理贿赂的管理人员的岗位描述?

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

? Written?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。?

? ?Procedures?for?attempted?bribery企图贿赂程序?

? ?Procedure?on?how?employees?are?protected?from?retaliation. 如何保护员工免遭报复的程序。?? ?Internal/?external?audit?reports?regarding?ethics/?integrity关于诚信道德内部/外部审计报告。?? Employees?declaration?on?conflict?of?interests员工申报利益冲突?

25. Other?documents,?subject?to?actual?circumstances?during?the?audit?and?in?that?specific?regions?facility?is?located

其他文件，根据工厂位于特定区域的实际情况

26. Other?Local?Specific?Documents?(if?applicable),?please?specify: 其他地方的文件（如适用），请注明 a)??b)?c)??

NB?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。 ?2014 Intertek, All Rights Reserved 3

The Intertek Group is the owner of the copyright in the material and intellectual know-how presented. No parts in this material maybe reproduced,

adapted or distributed outside of your company without the written consent of the Intertek Group other than to the extent necessary to view the material.

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