WCA - Audit Document Checklist-Business Practice (Bilingual)
Please prepare the ORIGINAL documentation listed below for audit/verification.
1. General Information
1.1 Business Registration/License including business license of facility, labor agency (If applicable) and hazardous waste treatment supplier (If applicable).
1.2 Authorization document of management representative for social compliance management including EHS and labor management
1.3 List of all subcontractors (if applicable)
1.4 List of all External Service Provider (If applicable)
2. Labor
2.1 Facility regulation or employee handbook, in regard to the following areas
2.1.1 Recruitment policy/procedure
2.1.2 Disciplinary policy/procedure and its records
2.1.3 Related training records of policy/procedure in social management system
2.2 Employment / Labor contracts or Equivalent job description in the absence of contractual law.
2.3 Union or employee representative committee procedure/records
2.4 Collective bargaining agreement (if applicable)
2.5 Employee Roster and Personnel records include resignation records, Young worker resignation and health examination (if applicable)
2.6 Foreign employees work permits and approval letter from government (if applicable)
2.7 Agency workers agreement (if applicable)
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).
2.9 Dispatched employees’ personal files with ID Card Copy, Labor Contract or equivalent job description in the absence of contractual law
3. Wages & Hour
3.1 Payroll records (recent 12 months) of all current and former employees including temporary employees, dispatch employees, etc.
3.1.1 Payroll register with employee signature (if wages paid in cash)
3.1.2 Bank statement corresponding to payroll register (if wages paid by bank deposit)
3.2 Time card / Attendance records (recent 12 months) of all current employees and former employees including temporary employees, dispatch employees, etc.
3.3 Production records (tickets/sheet) (recent 12 months) (if applicable)
3.4 Local minimum wage standard (if applicable) and/or Government Labor Law notice (if applicable)
3.5 Special waivers from local government regarding working hours arrangement (if applicable)
3.6 Wages / Working hour Policy/Procedure and related training records
3.7 Employees’ social insurance receipt (Last 12 months), name list and certificate of social insurance (if applicable) of all employees.
4. Health & Safety (NOT Applicable for WCA Human Rights Audit)
4.1 Procedure for protecting pregnant women (e.g. non-hazardous or lighter work, extended breaks, etc.)
4.2 Fire safety inspection / certificates and building permit for facility / dormitory buildings
4.3 Rent or lease contract (applicable if facility is rented or leased)
4.4 Facility building layout/evacuation plan
4.5 Overall emergency procedure and its records including Fire drill records, emergency drill records for chemical management
4.6 Certificate & Training Records of legal required Fire Fighting team.
4.7 Work-related accident/injury procedure and its records
4.8 Occupational hazards factors report (if applicable) and Occupation health examination report (if applicable)
4.9 List of main production machine types and total number of machines (if applicable)
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
4.11 Health and safety program and training records
4.12 Canteen or eating facilities hygiene certificate such as Kitchen hygiene permit/license, and cook/kitchen staff health certificate
4.13 Certificates/Permit/Licenses related to Special appliances and its operator, special operations license (Such as electrician).
5. Management system
5.1 Written social compliance policy and relevant procedures and records, and related training records to all employees.
6. Environment (NOT Applicable for WCA Human Rights Audit)
6.1 Environmental management program/procedure and certificate such as ISO 14000 (If applicable)
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.
6.3 Non-hazardous/Hazardous waste disposal records, Testing records for waste water and waste air (if applicable).
7. Business Practice (Only Applicable for WCA- BP Audit)
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:
7.1.1 Job Description (JD) of the assigned responsible managers for the management of Bribery at the Company.
7.1.2 Written ethical/integrity training records
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.
7.1.4 Procedures for attempted bribery
7.1.5 Procedure on how employees are protected from retaliation.
7.1.6 Internal/ external audit reports regarding ethics/ integrity
7.1.7 Employees declaration on conflict of interests
8. Other
8.1 Other documents, subject to actual circumstances during the audit and in that specific regions Company is located
8.2 Other Local Specific Documents (if applicable), please specify:
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)
8.1.2 If there are retirees hired to work again, please provide the agreement signed with retiree(s) hired to work again.
8.1.3 If Intern employed, please provide the list of Intern, Tripartite Agreement signed by the School, the Facility and the Students
8.1.4 If security, clearing, cooking are subcontracted, please provide Service Contract, Personal Files with ID Card Copy, Labor Contracts
8.1.5 Training Certificate(s)/Records for First Aider(s)
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
8.1.6 Environmental Impact Assessment (EIA) Documents, EIA Approval, Acceptance Check of Environmental Protection, Safety Permit or Exemption Certificate of Radioactive Equipment (if applicable)
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.