社会责任审核所需之文件（我国）
document Checklist for CSR Audit (China)
Revision: June 2012
WCA审核程序包括：审核前会议，设施巡察，查阅文件，员工面谈及总结会议。
Audit procedures includes: Opening Meeting, Facility Tour, documents review, Employee Interview and
Closing Meeting.
请准备以下文件的正本予以审核，并恳请允许复印样本，谢谢！
Please prepare the original documentation listed below for verification and sample photocopying,
thanks!
1.工商营业执照（副本）
Business Registration (Official Duplicate)
2.工卡或考勤记录（过去十二个月），包括在职与离职人员。 如果是使用电子考勤，审核员可能需要从电脑直接
审阅考勤记录，审阅是会在企业职员协助下进行。
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.工资表（过去十二个月） ，包括在职与离职人员。如果工资是通过银行转账发放，请同时提供银行转账记录。
Payroll Records (Last 12 months), including active employees and resignation employees. If wage
paid by Bank Transfer, Bank Transfer record is required
accordingly.
4.员工花名册及员工个人档案（含个人信息证复印件）
Employee Roster and Employee Personnel Records (including I.D. card copy)
5.劳动合同
Labor Contract
6.社会保险收据（过去十二个月），参保人员花名册，当地参保要求文件或合格证明文件等；商业保险记录（如
有）
Social Insurance Receipts (Last 12 months), Name List, Social Insurance Local Policy or Qualified
Certificate, etc. Commercial insurance records (if any)
7.建筑工程消防验收意见书或消防备案记录
Construction Project Fire Safety Acceptance document/Record
8.灭火和应急疏散预案、演练记录、工伤记录等
Fire Fighting and Emergency Evacuation Plan, Fire Drill Record, Work Accident Records and Work-
related Injury Record
9.特种设备（如有）注册登记证（表）及检验报告，如电梯、起重机械、场（厂）内机动车辆、锅炉及压力容器
（含气瓶，压力表及阀）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.设备作业人员（如有）操作证，如电梯司机、起重机械司机、场（厂）内机动车辆司机、锅炉操作工、压力容
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.
11.特种作业人员（如有）操作证，如电工、焊接工等;
Special Operation (if any) License, such as Electrician, Welder and etc.
12.厨房餐饮服务许可证及厨工健康证
Kitchen’s Catering Service License and Cooks’ Health Certificate
13.职业危害因素检测报告和员工职业健康检查报告
Occupational Hazards Factors Testing Report and Employee Occupational Health Examination Report
14.化学品清单，化学品物质资料表，危险化学品事故应紧急的救护援预案和演练记录
List of all Chemical, MSDS, Dangerous Chemical Emergency Succor Plan and Drill Record
15.环境保护文件（如建设项目环境影响评价文件（环境影响报告书、环境影响报告表或者环境影响登记表），环
评批复，建设项目环境竣工验收报告，排污许可证/排放污染物申报登
记表/监测报告，辐射设备（如有）的环评、验收及许可证等)
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.危险废物处置单位的营业执照和经营许可证，危险废物处理合同，危险废物转移联单等
Business License and Business Permit of Dangerous Waste Collector, Service Agreement and Dangerous
Waste Disposal Duplicated Form
17.企业规章制度或员工手册（包括但不限于针对招聘、歧视、强迫劳动、工时、薪资福利、奖惩制度、健康、结
社自由和集体谈判、环境保护的内容）
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.生产教育和培训记录，如：消防培训、生产规章制度和岗位操作规程、使用化学品的培训、职业卫生培训
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.有关当地工资标准文件 Local Minimum Wage Standard
20.请假记录、离职申请/审批记录（过去十二个月）
Leave Application Form, Resignation Application Form with Approval (Last 12 months)
21.生产记录（过去十二个月），如生产日报表、计件记录、品检记录等
Production Records (Last 12 months), such as Daily Production Records, Piece-rate Records, Quality
Control Records,and etc.
22.未成年工体检及劳动局登记记录
Young Workers’ Health Examination and Registration Records
23.劳务派遣工的入职档案（含个人信息的证复印件），考勤及工资表记录，劳动合同，社会保险收据及合格证明
，与劳务派遣单位签订的合同及劳务派遣单位的营业执照
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.建筑平面图
Facility Building Layout
25.主要生产机器设备清单
List of main production equipment
26.公司社会责任体系方针或程序文件（包括劳动用工、工作条件、环境保护）和管理组织架构图，商业道德文件
（包括反腐败、反贿赂、信息保密、反不正当竞争）(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.当地劳动局关于综合计算工时工作制批文或延加班批文
Official Comprehensive Working Hour System Approval or Waiver for Overtime Extension
28.聘用实习生，请提供实习生名单，学校、企业和实习生的三方实习协议
If Intern employed, please provide the list of Intern, Tripartite Agreement signed by the School,
the Facility and the Students
29.聘用外籍员工，请提供《外国人就业证》和《外国人就业许可证》
If foreigner employed, please provided the Foreigner Employment permits and Foreigner Employment
License
30.分包商/供应商清单（如有）
List of Subcontractor/Supplier (if any)
31.如果保安、清洁、食堂等外包，请提供外包服务合同。
If security, clearing, cooking are subcontracted, please provide Service Contract
32.如果厂房是租赁的，请提供厂房租赁合同
If facility rent or leased, please provide the Rent or Lease Contract
33.集体劳动合同或自由谈判协议（如有）
Collective Labor Agreement or Collective Bargaining Agreements (if any)
34.社会责任管理体系证（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（视乎审核情况所需）
Other documents, subject to actual circumstances during the audit
