審核程序包括：審核前會議，設(shè)施巡察，查閱文件，員工面談及總結(jié)會議。

Audit procedures includes: Opening Meeting, Facility Tour, Documents review, Employee Interview and Closing Meeting.

1. 工商營業(yè)執(zhí)照 （副本）

Business Registration (Official Duplicate)

2. 工卡或考勤記錄 （過去十二個月），包括在職與離職人員。如果是使用電子考勤，審核員可能需要從電腦直接審閱考勤記錄，審閱是會在企業(yè)職員協(xié)助下進(jìn)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. 工資表 （過去十二個月） ，包括在職與離職人員。如果工資是通過銀行轉(zhuǎn)賬發(fā)放，請同時提供銀行轉(zhuǎn)賬記錄。Payroll Records (Last 12 months), including active employees and resignation employees. If wage paid by Bank Transfer, Bank Transfer record is required accordingly.

4. 員工花名冊及員工個人檔案（含身份證復(fù)印件）

Employee Roster and Employee Personnel Records (including I.D. card copy)

5. 勞動合同 Labor Contract

6. 社會保險收據(jù)（過去十二個月），參保人員花名冊，當(dāng)?shù)貐⒈Ｒ笪募蚝细褡C明文件等；商業(yè)保險記錄（如有）

Social Insurance Receipts (Last 12 months), Name List, Social Insurance Local Policy or Qualified Certificate, etc. Commercial insurance records (if any)

7. 建筑工程消防驗收意見書或消防備案記錄 Construction Project Fire Safety Acceptance Document/Record

8. 滅火和應(yīng)急疏散預(yù)案、演練記錄、工傷記錄等

Fire Fighting and Emergency Evacuation Plan, Fire Drill Record, Work Accident Records and Work-related Injury Record

9. 特種設(shè)備（如有）注冊登記證（表）及檢驗報告，如電梯、起重機械、場（廠）內(nèi)專用機動車輛、鍋爐及壓力容器（含氣瓶，壓力表及安全閥）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.

10. 特種設(shè)備作業(yè)人員（如有）操作證，如電梯司機、起重機械司機、場（廠）內(nèi)專用機動車輛司機、鍋爐操作工、壓力容器操作工等。

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. 特種作業(yè)人員（如有）操作證，如電工、焊接工等;

Special Operation (if any) License, such as Electrician, Welder and etc.

12. 廚房餐飲服務(wù)許可證及廚工健康證

Kitchen’s Catering Service License and Cooks’ Health Certificate

13. 職業(yè)危害因素檢測報告和員工職業(yè)健康檢查報告

Occupational Hazards Factors Testing Report and Employee Occupational Health Examination Report

14. 化學(xué)品清單，化學(xué)品物質(zhì)安全資料表，危險化學(xué)品事故應(yīng)急救援預(yù)案和演練記錄

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

15. 環(huán)保文件（如建設(shè)項目環(huán)境影響評價文件（環(huán)境影響報告書、環(huán)境影響報告表或者環(huán)境影響登記表），環(huán)評批復(fù)，建設(shè)項目環(huán)境竣工驗收報告，排污許可證/排放污染物申報登記表/監(jiān)測報告，輻射設(shè)備（如有）的環(huán)評、驗收及安全許可證等)

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. 危險廢物處置單位的營業(yè)執(zhí)照和經(jīng)營許可證，危險廢物處理合同，危險廢物轉(zhuǎn)移聯(lián)單等

Business License and Business Permit of Dangerous Waste Collector, Service Agreement and Dangerous Waste  Disposal Duplicated Form

17. 企業(yè)規(guī)章制度或員工手冊（包括但不僅限于針對招聘、歧視、強迫勞動、工時、薪資福利、獎懲制度、健康及安全、結(jié)社自由和集體談判、環(huán)境保護(hù)的內(nèi)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. 安全生產(chǎn)教育和培訓(xùn)記錄，如：消防安全培訓(xùn)、安全生產(chǎn)規(guī)章制度和崗位安全操作規(guī)程、安全使用化學(xué)品的培訓(xùn)、職業(yè)衛(wèi)生培訓(xùn)

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. 政府有關(guān)當(dāng)?shù)刈畹凸べY標(biāo)準(zhǔn)文件 Local Minimum Wage Standard

20.請假記錄、離職申請/審批記錄（過去十二個月）

Leave Application Form, Resignation Application Form with Approval (Last 12 months)

21. 生產(chǎn)記錄（過去十二個月），如生產(chǎn)日報表、計件記錄、品檢記錄等

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

22. 未成年工體檢及勞動局登記記錄

Young Workers’ Health Examination and Registration Records

23. 勞務(wù)派遣工的入職檔案（含身份證復(fù)印件），考勤及工資表記錄，勞動合同，社會保險收據(jù)及合格證明，與勞務(wù)派遣單位簽訂的合同及勞務(wù)派遣單位的營業(yè)執(zhí)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. 建筑平面圖

Facility Building Layout

25. 主要生產(chǎn)機器設(shè)備清單

List of main production equipment

26. 公司社會責(zé)任體系方針或程序文件（包括勞動用工、工作條件、環(huán)境保護(hù)）和管理組織架構(gòu)圖; SMETA 4 Pillar Audit包括: 商業(yè)道德文件（包括反腐敗、反賄賂、信息保密、反不正當(dāng)競爭）

Written policy or process on company Social responsibility System (including labor and employment, working  condition, environmental protection) and Management organizational chart;

SMETA 4 Pillar Audit including: written policy on business practices (including Business Integrity, Anti-corruption, Data Secrecy, Anti-unfair competition)

27. 當(dāng)?shù)貏趧泳株P(guān)于綜合計算工時工作制批文或延長加班批文

Official Comprehensive Working Hour System Approval or Waiver for Overtime Extension

28. 聘用實習(xí)生，請?zhí)峁嵙?xí)生名單，學(xué)校、企業(yè)和實習(xí)生的三方實習(xí)協(xié)議

If Intern employed, please provide the list of Intern, Tripartite Agreement signed by the School, the Facility and the Students

29. 聘用外籍員工，請?zhí)峁锻鈬司蜆I(yè)證》和《外國人就業(yè)許可證書》

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

30. 分包商/供應(yīng)商清單（如有） List of Subcontractor/Supplier (if any)

31. 如果保安、清潔、食堂等外包，請?zhí)峁┩獍?wù)合同。以及服務(wù)承包方員工的檔案（含身份證復(fù)印件），考勤記錄及工資表，勞動合同，社會保險收據(jù)及合格證明等

If security, clearing, cooking are subcontracted, please provide Service Contract; please provide the service employees’ Personnel Records (including I.D. card copy), timecards or attendance records, payroll records, labor contract, social insurance receipts and qualified certificate, etc.

32. 如果廠房是租賃的，請?zhí)峁S房租賃合同 If facility rent or leased, please provide the Rent or Lease Contract

33. 集體勞動合同或自由談判協(xié)議（如有） Collective Labor Agreement or Collective Bargaining Agreements (if any)

34. 有效社會責(zé)任管理體系證書（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（視乎審核情況所需） Other documents, subject to actual circumstances during the audit

（來源：K哥聊出海）