Apple SR Audit Checklist
Documentation Checklist - LHR
Non-Discrimination反歧視
1、Human resources non-discrimination policies/人力資源反歧視政策
2、Recruitment procedure resignation procedure & buation
including promotion procedure/招聘程序, 離職程序和績效評定程序含晉升程序
3、Female workers (Pregnant femal workers) protection
procedure/女工(孕婦)保護(hù)程序
4、Current job advertisements and posting/近的招聘廣告和招聘宣傳資料
5、Employment application bs/求職申請表
6、Employee hiring records/員工花名冊
7、Personnel medical files/員工醫(yī)療記錄,包括，1. 普通健康體檢記錄；2. 未成年工體檢記錄；3.
入職前/上崗前體檢相關(guān)制度及體檢記錄
8、Personnel termination records/員工辭職、辭退記錄
9、Personnel buation including promotion records/員工 績效評估含晉升記錄
10、Manager non-discrimination training
materials/管理人員禁止歧視方面的培訓(xùn)材料及培訓(xùn)記錄
11、Job debions and for
workers/員工的工作說明書和資質(zhì)要求
12、Grievance files/員工投訴記錄
13、Number of women on maternity leave/休產(chǎn)假女職工統(tǒng)計表
14、Statistics on workforce diversity e.g. nationality and
gender/員工分布統(tǒng)計，例如，民族分布和性別分布
15、Inbation on number of permanent and number of
contract/temporary workers/正式員工和短期合同工匯總表
Fair Treatment/公平待遇
1、Human resources policies/人力資源政策－禁止任何形式的騷擾，威脅和不人道的待遇
2、Facility rules and regulations on acceptable worker practices and
disciplinary measures/員工行為守則和紀(jì)律處罰制度
3、Manager training materials/管理人員關(guān)于上述人力資源政策 程序的培訓(xùn)資料和培訓(xùn)記錄
4、Security training materials/安保政策培訓(xùn)資料和記錄
5、Disciplinary log book/紀(jì)律處罰記錄
6、Grievance files/員工投訴記錄
Prevention of Involuntary Labor and Human
Trafficking/防止非自愿勞動和販賣人口
1、Human Resources policies/人力資源政策-自愿雇傭
人力資源政策－禁止強(qiáng)迫勞工，債務(wù)勞工，契約勞工和監(jiān)獄勞工在內(nèi)的任何非自愿雇傭形式
2、Recruitment& Resignation Procedure & process/招聘離職程序和流程
3、Recruiting agencies Control procedure/勞務(wù)派遣公司，中介公司管理程序
4、Security policies re: restrictions on employee movement, exit, or
entry/安保政策，比如，規(guī)范員工進(jìn)入、離開特定區(qū)域以及在特定區(qū)域內(nèi)活動的政策。
5、Personnel records/員工檔案 [含求職申請表，入職登記表]
6、Labor contracts
/勞動合同 [包含直接招聘的員工和通過勞務(wù)公司使用的勞務(wù)派遣工]
7、Contracts with recruiting agencies/與勞務(wù)派遣公司，中介公司簽訂的合同
8、Recruiting agencies certificate/勞務(wù)派遣公司，中介公司資質(zhì)
9、Pay slip of new employees/工資條
10、Resignation Records/離職記錄
11、Guard Records/進(jìn)出門衛(wèi)記錄
12、Leave application records/請假記錄
13、Manager training materials/管理人員關(guān)于自愿雇傭方面的培訓(xùn)資料及培訓(xùn)記錄
14、Security training materials/安保政策培訓(xùn)資料及培訓(xùn)記錄
Prevention of Underage Labor/防止童工
1、Human resources policies/人力資源政策-禁止使用童工
2、Age verification procedure & process/年齡確認(rèn)程序
3、Child Labor Prevention Procedure/童工預(yù)防程序
4、Child Labor remediation procedure & process/童工補(bǔ)救程序
5、Recruiting agencies Control procedure/勞務(wù)派遣公司，中介公司管理程序
6、Contracts with recruiting agencies/與勞務(wù)派遣公司，中介公司簽訂的合同
7、Recruiting agencies certificate/勞務(wù)派遣公司，中介公司資質(zhì)
8、Personnel records/員工檔案 [含求職申請表，入職登記表]
9、Copies of proof of age documentation/年齡證明文件
10、Copies of identity documents/身份證明復(fù)印件
11、Training materials on prohibiting child
labor/關(guān)于禁止使用童工的培訓(xùn)資料及培訓(xùn)記錄
12、Training to recruiter on age verification procedure and age
verification skills/針對招聘人員年齡確認(rèn)程序和技巧培訓(xùn)
Juvenile Worker Protections
/未成年工保護(hù)
1、Juvenile Workers protection procedure/未成年工特殊保護(hù)程序
2、Interns hiring & management procedure/實習(xí)生管理程序包括
3、Tracking mechanism to track student workers/實習(xí)生追溯機(jī)制
4、Procedure for Due diligence investigation and corrective bs
for partner schools/對學(xué)校的盡職調(diào)查和整改的跟蹤程序
5、Interns specific grievance mechanism/實習(xí)生投訴機(jī)制
6、Juvenile workers health exam records/未成年工體檢記錄
7、Juvenile workers registration records/未成年備案登記記錄
8、School Certificate/學(xué)校資質(zhì)
9、Interns Agreement/實習(xí)生三方協(xié)議
10、Interns insurance/實習(xí)生保險
11、Interns working hours, wage & benefits records/實習(xí)生工時，工資福利記錄
12、Interns resignation records/實習(xí)生離職記錄
13、Training records on management of juvenile workers &
interns/未成年工實習(xí)生管理的培訓(xùn)記錄
Working Hours/工作時間
1、Human Resources policies eg: working
hours/作時間方面的人力資源政策，如，工作時間安排
2、Process for allocating overtime – how is it managed on a
voluntary level/加班管理制度，包括自愿加班方面的規(guī)定
3、Shift schedules/工作班次的輪班表
4、Holiday schedule/假日安排表
5、Overtime application records/加班申請記錄
6、Leave application & records/請假申請和記錄
7、Timecards and Timesheets covering the same period as the wage /
payroll records
/審核前12個月的考勤記錄、打卡記錄和對應(yīng)月份的工資記錄
8、Time slips signed by employees confirming the hours they
worked/員工工作時間的簽字確認(rèn)記錄
9、Training or communication records on working hours to
workers/關(guān)于工作時間的培訓(xùn)和溝通的記錄
Wage & Benefits/工資福利
1、Internal wage & benefits regulation describing wages, deductions,
calculations, and provided benefits/工資福利制度
2、Disciplinary and award processes & records/獎懲程序和記錄
3、List of allowances e.g. food, accommodation and how
managed/津貼種類列表和計算方式說明
4、Local Minimum Wage definition/當(dāng)?shù)氐凸べY標(biāo)準(zhǔn)
5、Wage and Payroll records covering the last 12 months, to include:
(1) most current period, (2) peak production times, and (3) low
production times/審核前12個月的工資記錄，包括 1. 近月份的工資記錄。2. 生產(chǎn)旺季的工資記錄。3.
生產(chǎn)淡季的工資記錄
6、If piece rates are used, piece rate records and production
records for the same periods/如員工工資采用計件制，應(yīng)提供計件工資標(biāo)準(zhǔn)和對應(yīng)月份的產(chǎn)量記錄
7、Worker pay receipt examples/工資條樣本
8、Proof of insurance payments/社保繳納記錄
9、Tax registration and proof of payment/稅務(wù)登記證和個稅記錄
10、Paid leave records such as annual leave sick leave maternity
leave marriage leave./有薪假工資支付記錄如年假 病假 婚嫁 產(chǎn)假
11、Repayment leave procedure & records/調(diào)休程序和記錄
12、Training or communication provided to workers describing wages,
deductions, calculations, and provided
benefits/溝通給員工的工資福利制度，包括，工資，扣款，福利的計算方式
Freedom of Association/自由結(jié)社
1、Human Resources non-discrimination policy/Freedom of
Association/人力資源政策，包括 1.自由結(jié)社
2.不因員工加入或退出而受懲罰或歧視
2、Freedom of association & collective bargaining
procedure/自由結(jié)社和集體談判程序，包括 1. 員工自由加入或退出
2.不因員工加入或退出而受懲罰歧視
3、Trade union election and management procedure/工會選舉管理程序
4、Trade union election records/工會選舉記錄
5、Trade union activities records/工會活動記錄
6、Employee termination files/員工辭職、辭退記錄
7、Inbation provided to workers describing local laws and
regulations pertaining to freedom of association and labor
unions/提供給員工的當(dāng)?shù)胤煞ㄒ?guī)中關(guān)于自由結(jié)社方面的信息
8、Evidence of regular communications with workers/員工溝通記錄
9、Minutes from management-worker meetings/員工座談會記錄
10、Inbation on Feedback channels/員工SR方面信息反饋渠道相關(guān)制度
