WCA驗廠介紹，WCA驗廠審核清單-商業實踐（雙語）

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WCA - Audit Document Checklist-Business Practice (Bilingual)
WCA – 審核文件清單-商業實踐（雙語）
Please prepare the ORIGINAL documentation listed below for audit/verification.
請準備以下文件正本供核查
1. General Information（基本信息）
1.1 Business Registration/License including business license of facility, labor agency (If applicable) and hazardous waste treatment supplier (If applicable).
1.1被審核方，勞動派遣公司（如適用），危險廢棄物處理商（如適用）的營業執照。
1.2 Authorization document of management representative for social compliance management including EHS and labor management
1.2社會責任管理者代表的委任書，包括健康安全環境和勞工的管理者代表。
1.3 List of all subcontractors (if applicable)
1.3分包商清單（如適用）。
1.4 List of all External Service Provider (If applicable)
1.4 所有外部服務提供商列表（如適用）。
2. Labor
2.（勞動用工）
2.1 Facility regulation or employee handbook, in regard to the following areas
2.1 廠規或員工手冊，包括以下方面。
2.1.1 Recruitment policy/procedure
2.1.1招聘政策。
2.1.2 Disciplinary policy/procedure and its records
2.1.2 紀律處分程序。
2.1.3 Related training records of policy/procedure in social management system
2.1.3 社會責任管理體系相關政策程序培訓記錄。
2.2 Employment / Labor contracts or Equivalent job description in the absence of contractual law.
2.2 勞動合同或在沒有合同法的情況下同等的工作描述。
2.3 Union or employee representative committee procedure/records
2.3 工會或員工代表委員會程序/記錄。
2.4 Collective bargaining agreement (if applicable)
2.4 集體談判協議（如適用）。
2.5 Employee Roster and Personnel records include resignation records, Young worker resignation and health examination (if applicable)
2.5 人事花名冊及個人檔案包括離職記錄，未成年工登記及體檢記錄（如適用）。
2.6 Foreign employees work permits and approval letter from government (if applicable)
2.6 外籍員工許可證和政府批文（如適用）。
2.7 Agency workers agreement (if applicable)
2.7 中介工人協議（如適用）。
2.8 Records related to Recruitment fee including records of workers’ recruitment fee, records of factory’s reimbursement to recruitment fee charged to workers (If applicable).
2.8 與招聘費有關的記錄，包括工人招聘費記錄、工廠向工人收取的招聘費報銷記錄（如適用）。
2.9 Dispatched employees’ personal files with ID Card Copy, Labor Contract or equivalent job description in the absence of contractual law
2.9 勞務派遣工人的個人檔案，包括身份證復印件和勞動合同或在沒有合同法的情況下同等的工作描述。
3. Wages & Hour
3. （工資和工時）
3.1 Payroll records (recent 12 months) of all current and former employees including temporary employees, dispatch employees, etc.
3.1 所有工人過去 12 個月的工資記錄，包括臨時工和勞務派遣工。
3.1.1 Payroll register with employee signature (if wages paid in cash)
3.1.1 有員工本人簽名的工資表（現金發放）。
3.1.2 Bank statement corresponding to payroll register (if wages paid by bank deposit)
3.1.2 銀行工資轉賬回單（銀行卡發放）。
3.2 Time card / Attendance records (recent 12 months) of all current employees and former employees including temporary employees, dispatch employees, etc.
3.2 所有工人過去 12 個月的考勤記錄，包括臨時工和勞務派遣工。
3.3 Production records (tickets/sheet) (recent 12 months) (if applicable)
3.3 生產記錄(過去 12 個月，如適用)。
3.4 Local minimum wage standard (if applicable) and/or Government Labor Law notice (if applicable)
3.4 當地政府最低工資標準文件或政府通知書（如適用）。
3.5 Special waivers from local government regarding working hours arrangement (if applicable)
3.5 當地政府就工作時間的特殊批文（如適用）。
3.6 Wages / Working hour Policy/Procedure and related training records
3.6 工資工時政策程序及培訓記錄。
3.7 Employees’ social insurance receipt (Last 12 months), name list and certificate of social insurance (if applicable) of all employees.
3.7社會保險收據 (過去十二個月)，參保人員花名冊和社會保險合格證明文件（如適用）。
4. Health & Safety (NOT Applicable for WCA Human Rights Audit)
4. 健康安全（不適用于 WCA 人權審核）
4.1 Procedure for protecting pregnant women (e.g. non-hazardous or lighter work, extended breaks, etc.)
4.1 懷孕女工保護程序（包括非有毒有害和低體力勞動強度工作，延長休息時間等）。
4.2 Fire safety inspection / certificates and building permit for facility / dormitory buildings
4.2 廠房和宿舍的消防驗收合格證明或消防備案及建筑竣工驗收報告或備案。
4.3 Rent or lease contract (applicable if facility is rented or leased)
4.3 廠房租賃協議（如果廠房是租賃使用的）。
4.4 Facility building layout/evacuation plan
4.4 廠房平面圖/疏散圖。
4.5 Overall emergency procedure and its records including Fire drill records, emergency drill records for chemical management
4.5 應急處置程序和記錄，包括消防演習記錄，化學品應急演習記錄。
4.6 Certificate & Training Records of legal required Fire Fighting team.
4.6 企業消防隊的證書或培訓記錄（如法規有要求）。
4.7 Work-related accident/injury procedure and its records
4.7 工傷事故程序及工傷記錄等。
4.8 Occupational hazards factors report (if applicable) and Occupation health examination report (if applicable)
4.8 職業危害因素檢測報告（如適用）和職業病體檢報告（如適用）。
4.9 List of main production machine types and total number of machines (if applicable)
4.9 主要設備清單和所有設備數量（如適用）。
4.10 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
4.10所有使用和儲存的化學危險品清單，相應的 MSDS 程序和記錄，和危險化學品應急處理計劃和記錄。
4.11 Health and safety program and training records

4.11 健康安全程序及培訓記錄。

4.12 Canteen or eating facilities hygiene certificate such as Kitchen hygiene permit/license, and cook/kitchen staff health certificate
4.12(廚房)食品經營許可證（原餐飲服務許可證）及廚工健康證。
4.13 Certificates/Permit/Licenses related to Special appliances and its operator, special operations license (Such as electrician).
4.13特種設備登記檢驗和特種設備操作工、特種作業工人上崗證(如：電工等)。
5. Management system
5. （管理體系）
5.1 Written social compliance policy and relevant procedures and records, and related training records to all employees.
5.1書面的社會責任政策和相關程序及記錄，包括所有員工的培訓記錄。
6. Environment (NOT Applicable for WCA Human Rights Audit)
6. 環境保護（不適用于 WCA 人權審核）
6.1 Environmental management program/procedure and certificate such as ISO 14000 (If applicable)
6.1 環境管理程序和證書比如ISO14001證書（如適用）。
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, pollution emission permit, permit for removal/idle of pollution treatment facility and etc.
6.2 環境證書及許可文件（如適用），比如環境影響評價相關文件（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/登記，環境保護及建設項目竣工驗收報告，排污許可證、污染處理設施拆除/閑置許可。
6.3 Non-hazardous/Hazardous waste disposal records, Testing records for waste water and waste air (if applicable).
6.3 無害/有害廢物處置記錄、廢水和廢氣測試記錄（如適用），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，危險廢物跨省轉移批復（如適用）等。
7. Business Practice (Only Applicable for WCA- BP Audit)
7. 商業實踐 (僅適用于 WCA-BP 審核）
7.1 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:
7.1 任何書面政策或程序去規范公司和員工的商業道德規范。例如誠信經營和反腐敗，公平競爭 (適用于 WCA-BP 審核），資料保護（適用于 WCA-BP 審核），包括（但不限于）以下內容：
7.1.1 Job Description (JD) of the assigned responsible managers for the management of Bribery at the Company.
7.1.1 指定負責處理賄賂的管理人員的崗位描述。
7.1.2 Written ethical/integrity training records
7.1.2 書面的道德/誠信培訓記錄。
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.
7.1.3書面賄賂政策和包括什么內容。例如，目標，承諾給予和接受禮品，程序，工作指引，政策是如何外部使用。
7.1.4 Procedures for attempted bribery
7.1.4 企圖賄賂處理程序
7.1.5 Procedure on how employees are protected from retaliation.
7.1.5如何保護員工免遭報復的程序。
7.1.6 Internal/ external audit reports regarding ethics/ integrity
7.1.6 關于誠信道德內部/外部審核報告。
7.1.7 Employees declaration on conflict of interests
7.1.7 員工申報利益沖突
8. Other
8. (其他)
8.1 Other documents, subject to actual circumstances during the audit and in that specific regions Company is located
8.1 其他文件，根據工廠位于特定區域的實際情況
8.2 Other Local Specific Documents (if applicable), please specify:
8.2 其他地方的文件（如適用），請注明：
8.1.1 Records of Paid Leave and Wage Payment, including Annual Leave, Maternity Leave, Paternity Leave, Marriage Leave, Sick Leave, etc. (Last 12 months)
8.1.1 有薪假休假記錄及工資發放記錄，包括年假、產假、陪產假、婚假、病假等（過去十二個月）
8.1.2 If there are retirees hired to work again, please provide the agreement signed with retiree(s) hired to work again.
8.1.2 聘用退休返聘人員，請提供與其簽訂的協議
8.1.3 If Intern employed, please provide the list of Intern, Tripartite Agreement signed by the School, the Facility and the Students
8.1.3 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
8.1.4 If security, clearing, cooking are subcontracted, please provide Service Contract, Personal Files with ID Card Copy, Labor Contracts
8.1.4 如果保安、清潔、食堂等外包，請提供外包服務合同。
8.1.5 Training Certificate(s)/Records for First Aider(s)
8.1.5 急救員證書或培訓記錄
8.1.5 Training Record / Certificate of Safety Production Knowledge and Management Skill for the Principal in Charge; Training Records / Certificates of Safety Production Knowledge and Management Skill for Persons Responsible for the Management of Work Safety in the Facility
8.1.5主要負責人安全生產知識和管理能力培訓記錄/證書；安全管理人員安全生產知識和管理能力培訓記錄/證書
8.1.6 Environmental Impact Assessment (EIA) Documents, EIA Approval, Acceptance Check of Environmental Protection, Safety Permit or Exemption Certificate of Radioactive Equipment (if applicable)
8.1.6 輻射設備環境影響評價文件，環評批復，環境竣工驗收報告，輻射設備安全許可證或豁免證明（如適用）
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 審核要求的一般文件，如果審核人員有合理理由相信其他文件與 WCA 審核有密切關系，審核人員有權要求查閱其他不在上述清單內的文件。

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