TCCC社会责任审核所需文件（中国）

Document Checklist for TCCC CSR Audit (China)

审核程序包括：审核前会议，现场巡察，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.

请准备以下文件的原件予以审核，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（过去二十四个月），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  24   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（过去二十四个月），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 24 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（含身份证复印件）

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（如适用）等；商业保险记录（如有），如商业保险单，商业保险收据

Social  Insurance   Receipts  (Last  12   months),  Name  List,   Social  Insurance  Local  Policy   (when  applicable),  etc. Commercial insurance records (if any), e.g. Commercial Insurance Policy, Commercial Insurance Receipts

7. 企业规章制度或员工手册（包括但不仅限于针对招聘、歧视、强迫劳动、工时、薪资福利、奖惩制度、健康及安全、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)  

8. 政府有关当地最低工资标准文件  

Local Minimum Wage Standard

9.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)

10. 当地劳动局关于综合计算工时工作制批文，不定时工作制批文（如适用）

Official Comprehensive Working Hour System Approval, Non-fixed Working Hour System Approval (when applicable)

11. 未成年工体检及劳动局登记记录  

Young Workers’ Health Examination and Registration Records

12. 劳务派遣工的入职档案（含身份证复印件），考勤及工资表记录，劳动合同，社会保险收据，参保人员花名册，劳务派遣协议，劳务派遣单位的营业执照，劳务派遣经营许可证

Dispatched  Employees’  Personal  Files  with  ID  Card  Copy,  Attendance  &  Payroll  Records,  Labor  Contracts,  Social Insurance Receipt Name List, Labor Dispatch Agreement, Labour Dispatch Business License and    Business Certificate of Labor Agent

13. 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, Personal Files with ID Card  Copy, Labor Contracts

14. 劳务承揽员工的劳动合同，入职档案（含身份证复印件），考勤及工资表记录，社会保险收据，参保人员花名册，劳务承揽协议

Contracted (outsourced) employees’Labor Contracts, Personal Files with ID Card Copy, Attendance & Payroll Records, Social Insurance Receipt, Name List, Labor Contracted Agreement

15. 聘用退休返聘人员，请提供与其签订的协议

If there are retirees hired to work again, please provide the agreement signed with retiree(s) hired to work again.

16. 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

17. 聘用外籍员工，请提供《外国人就业证》和《外国人就业许可证书》

If foreigner employed, please provided the Foreigner Employment permits and Foreigner Employment License

18. 工会、员工代表委员会文件，集体劳动合同或自由谈判协议（如有）

Union or Worker  Representative   Committee  documents, Collective  Labor   Agreement or Collective  Bargaining Agreements (if any)

19. 建筑竣工验收报告/备案

Construction Completion Acceptance Check Report / Register

20. 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

21. 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

22. 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）内专用机动车辆、锅炉及压力容器（含气瓶，压力表及安全阀）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 Valve) and etc.

23. 特种设备作业人员（如有）操作证，如电梯司机、电梯安全管理员、起重机械司机、场（厂）内专用机动车辆司机、锅炉操作工、压力容器操作工等。

Special  Appliance  Operator  (if  any)  Certificate,  such  as   Lift  Operator / Safety  Administrator,  Lifting  Appliance Operator, Inside Special motor vehicle Driver, Boiler Operator, Compressing Equipment Operator and etc.

24. 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.

25. 主要负责人和安全管理人员培训证书

Training Certificate for The Principal in Charge and Persons for The Management of Work Safety in the Facility

26. （厨房）食品经营许可证（原餐饮服务许可证）及厨工健康证  

(Kitchen’s) Food Operation Permit (The previous Catering Service License) and Cooks’ Health Certificate

27. 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

28. 化学品清单，化学品物质安全资料表，危险化学品事故应急救援预案和演练记录

List of all Chemical, MSDS, Dangerous Chemical Emergency Succor Plan and Drill Record

29. 安全生产教育和培训记录，如：消防安全培训、安全生产规章制度和岗位安全操作规程、安全使用化学品的培训、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

30. 环保文件（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，污染物处理设施闲置、拆除批复，废水/废气监测报告)

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, Approval of Pollutants Treatment  Facilities Left Idle or Dismantled, Monitoring Report of Wastewater / Waste Gas, and etc.

31. 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，危险废物跨市转移批复（如适用）等

Business  License  and  Business  Permit   of  Dangerous  Waste  Collector,  Service  Agreement  and  Dangerous  Wast Disposal Duplicated Form, Approval for The Hazardous Waste Transferred to Other City (if applicable)

32. 辐射设备环境影响评价文件，环评批复，环境竣工验收报告，辐射设备安全许可证或豁免证明

Environmental Impact Assessment (EIA) Documents, EIA Approval, Acceptance Check of Environmental  Protection,Safety Permit or Exemption Certificate of Radioactive Equipments

33. 生产记录（过去十二个月），如生产日报表、收/发料记录、计件记录、品检记录等

Production Records (Last 12 months), such as Daily Production Records, Send / Receiving Materials Records, Piece-rate Records, Quality Control Records, and etc.

34. 建筑平面图

Facility Building Layout

35. 主要生产机器设备清单  

List of main production equipment

36. 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 compan 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)

37. 分包商/供应商清单（如有）

List of Subcontractor/Supplier (if any)

38. 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

39. 有效社会责任管理体系证书（如有），如：SA8000、WRAP、 ICTI、RJC

Valid certificates on Social Management System (if any), such as SA8000, WRAP, ICTI, RJC

40. 其它文件（视乎审核情况所需）

Other documents, subject to actual circumstances during the audit