Apple SR Audit Checklist

Documentation Checklist - LHR


Non-Discrimination反歧视
1、Human resources non-discrimination policies/人力资源反歧视政策
　
2、Recruitment procedure resignation procedure & evaluation including promotion procedure/招聘程序, 离职程序和绩效评定程序含晋升程序
　
3、Female workers (Pregnant femal workers) protection procedure/女工(孕妇)保护程序
　
4、Current job advertisements and posting/近的招聘广告和招聘宣传资料
　
5、Employment application forms/求职申请表
　
6、Employee hiring records/员工花名册
　
7、Personnel medical files/员工医疗记录,包括，1. 普通健康体检记录；2. 未成年工体检记录；3. 入职前/上岗前体检相关制度及体检记录
8、Personnel termination records/员工辞职、辞退记录
　
9、Personnel evaluation including promotion records/员工 绩效评估含晋升记录
　
10、Manager non-discrimination training materials/管理人员禁止歧视方面的培训材料及培训记录
　
11、Job descriptions and for workers/员工的工作说明书和资质要求
　
12、Grievance files/员工投诉记录
　
13、Number of women on maternity leave/休产假女职工统计表
　
14、Statistics on workforce diversity e.g. nationality and gender/员工分布统计，例如，民族分布和性别分布
　
15、Information on number of permanent and number of contract/temporary workers/正式员工和短期合同工汇总表
　

Fair Treatment/公平待遇
　
1、Human resources policies/人力资源政策－禁止任何形式的骚扰，威胁和不人道的待遇
　
2、Facility rules and regulations on acceptable worker practices and disciplinary measures/员工行为守则和纪律处罚制度
　
3、Manager training materials/管理人员关于上述人力资源政策 程序的培训资料和培训记录
　
4、Security training materials/安保政策培训资料和记录
　
5、Disciplinary log book/纪律处罚记录
　
6、Grievance files/员工投诉记录　

Prevention of Involuntary Labor and Human Trafficking/防止非自愿劳动和贩卖人口
　
1、Human Resources policies/人力资源政策-自愿雇佣
　
人力资源政策－禁止强迫劳工，债务劳工，契约劳工和监狱劳工在内的任何非自愿雇佣形式
　
2、Recruitment& Resignation Procedure & process/招聘离职程序和流程
　
3、Recruiting agencies Control procedure/劳务派遣公司，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，规范员工进入、离开特定区域以及在特定区域内活动的政策。
　
5、Personnel records/员工档案 [含求职申请表，入职登记表]
　
6、Labor contracts
/劳动合同 [包含直接招聘的员工和通过劳务公司使用的劳务派遣工]
　
7、Contracts with recruiting agencies/与劳务派遣公司，中介公司签订的合同
　
8、Recruiting agencies certificate/劳务派遣公司，中介公司资质
9、Pay slip of new employees/工资条
　
10、Resignation Records/离职记录
　
11、Guard Records/进出门卫记录
　
12、Leave application records/请假记录
　
13、Manager training materials/管理人员关于自愿雇佣方面的培训资料及培训记录
　
14、Security training materials/安保政策培训资料及培训记录
　

Prevention of Underage Labor/防止童工
　
1、Human resources policies/人力资源政策-禁止使用童工
　
2、Age verification procedure & process/年龄确认程序
　
3、Child Labor Prevention Procedure/童工预防程序
　
4、Child Labor remediation procedure & process/童工补救程序
　
5、Recruiting agencies Control procedure/劳务派遣公司，中介公司管理程序
　
6、Contracts with recruiting agencies/与劳务派遣公司，中介公司签订的合同
7、Recruiting agencies certificate/劳务派遣公司，中介公司资质
8、Personnel records/员工档案 [含求职申请表，入职登记表]
9、Copies of proof of age documentation/年龄证明文件
　
10、Copies of identity documents/身份证明复印件
　
11、Training materials on prohibiting child labor/关于禁止使用童工的培训资料及培训记录
　
12、Training to recruiter on age verification procedure and age verification skills/针对招聘人员年龄确认程序和技巧培训
　

Juvenile Worker Protections
/未成年工保护
　
1、Juvenile Workers protection procedure/未成年工特殊保护程序
　
2、Interns hiring & management procedure/实习生管理程序包括
　
3、Tracking mechanism to track student workers/实习生追溯机制
4、Procedure for Due diligence investigation and corrective actions for partner schools/对学校的尽职调查和整改的跟踪程序
5、Interns specific grievance mechanism/实习生投诉机制
6、Juvenile workers health exam records/未成年工体检记录
7、Juvenile workers registration records/未成年备案登记记录
8、School Certificate/学校资质
9、Interns Agreement/实习生三方协议
10、Interns insurance/实习生保险
11、Interns working hours, wage & benefits records/实习生工时，工资福利记录
12、Interns resignation records/实习生离职记录
13、Training records on management of juvenile workers & interns/未成年工实习生管理的培训记录

Working Hours/工作时间
　
1、Human Resources policies eg: working hours/作时间方面的人力资源政策，如，工作时间安排
　
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规定
　
3、Shift schedules/工作班次的轮班表
　
4、Holiday schedule/假日安排表
　
5、Overtime application records/加班申请记录
　
6、Leave application & records/请假申请和记录
　
7、Timecards and Timesheets covering the same period as the wage / payroll records
/审核前12个月的考勤记录、打卡记录和对应月份的工资记录
　
8、Time slips signed by employees confirming the hours they worked/员工工作时间的签字确认记录
　
9、Training or communication records on working hours to workers/关于工作时间的培训和沟通的记录
　

Wage & Benefits/工资福利
　
1、Internal wage & benefits regulation describing wages, deductions, calculations, and provided benefits/工资福利制度
　
2、Disciplinary and award processes & records/奖惩程序和记录
　
3、List of allowances e.g. food, accommodation and how managed/津贴种类列表和计算方式说明
　
4、Local Minimum Wage definition/当地低工资标准
　
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/审核前12个月的工资记录，包括 1. 近月份的工资记录。2. 生产旺季的工资记录。3. 生产淡季的工资记录
　
6、If piece rates are used, piece rate records and production records for the same periods/如员工工资采用计件制，应提供计件工资标准和对应月份的产量记录
　
7、Worker pay receipt examples/工资条样本
　
8、Proof of insurance payments/社保缴纳记录
　
9、Tax registration and proof of payment/税务登记证和个税记录
　
10、Paid leave records such as annual leave sick leave maternity leave marriage leave./有薪假工资支付记录如年假 病假 婚嫁 产假
　
11、Repayment leave procedure & records/调休程序和记录
　
12、Training or communication provided to workers describing wages, deductions, calculations, and provided benefits/沟通给员工的工资福利制度，包括，工资，扣款，福利的计算方式
　

Freedom of Association/自由结社
　
1、Human Resources non-discrimination policy/Freedom of Association/人力资源政策，包括 1.自由结社
　
2.不因员工加入或退出而受惩罚或歧视
　
2、Freedom of association & collective bargaining procedure/自由结社和集体谈判程序，包括 1. 员工自由加入或退出
　
2.不因员工加入或退出而受惩罚歧视
　
3、Trade union election and management procedure/工会选举管理程序
　
4、Trade union election records/工会选举记录
　
5、Trade union activities records/工会活动记录
　
6、Employee termination files/员工辞职、辞退记录
　
7、Information provided to workers describing local laws and regulations pertaining to freedom of association and labor unions/提供给员工的当地法律法规中关于自由结社方面的信息
　
8、Evidence of regular communications with workers/员工沟通记录
　
9、Minutes from management-worker meetings/员工座谈会记录
　
10、Information on Feedback channels/员工SR方面信息反馈渠道相关制度