WCA验厂2020年最新审核文件清单完整版

WCA验厂审核文件清单：请准备好以下文件正本和复印

WCA验厂文件1. General Information（基本信息）

1.1Business Registration/License including business license of facility, labor agency (If 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。

1.2Authorization 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。

1.3List of all subcontractors (if applicable)
分包商清单（如适用）

WCA验厂文件2. Labor（劳动用工）

2.1Facility regulation or employee handbook, in regard to the following areas
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

2.2Employment / Labor contracts
劳动合同

2.3Union or employee representative committee procedure/records
工会和员工代表委员会程序/记录。

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

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）。

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）。

Agency workers agreement
中介工人协议（如适用）。

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

WCA验厂文件3. Wages & Hour（工资和工时）

Payroll records (recent 12 months) of all current and former employees including 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。

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

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

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。

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

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）。

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）。

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

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。

WCA验厂文件4. Health & Safety（健康安全）

Procedure for protecting pregnant women (e.g. non-hazardous or lighter work, extended 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）。

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。

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）。

Facility building layout/evacuation plan
厂房平面图。

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。

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

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）。

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）。

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。

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

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。

Certificates/Permit/Licenses related to Special appliances and its operator, special operations license (Such as electrician).
特种工人上岗证(如： 电工等)。

WCA验厂文件5. Management system（管理体系）

Written social compliance policy and relevant procedures and records, and related 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。

WCA验厂文件6. Environment（环境保护）
Environmental management program/procedure and certificate such as ISO 14000 (If applicable)
环境管理程序和证书比如 ISO14001 证书（如适用）。

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。

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

WCA验厂文件7. Business Practice(Only Applicable for WCA- BP Audit)
商业道德（仅适用于 WCA-BP 审核）
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 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：

7.1.1 Job 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。

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

7.1.3 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。

7.1.4 Procedures for attempted bribery
企图贿赂程序

7.1.5 Procedure on how employees are protected from retaliation.
如何保护员工免遭报复的程序。

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

7.1.7 Employees declaration on conflict of interests
员工申报利益冲突

WCA验厂文件8. Other
Other documents, subject to actual circumstances during the audit and in that specific 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:
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验厂审核要求的一般文件，如果审计人员有合理理由相信其他文件与WCA验厂审核有密切关系，审核人员有权要求查阅其他不在上述清单内的文件。