来源:  发布时间:2017/6/24 9:41:04




CompliancePre-audit Checklist



The followinginformation is required (as applicable) and must be made available for the compliancepre-audit.  The confidentiality of allproprietary information will be respected. Any technologies and/or processes unique to your operation will not bedisclosed.

·         所有员工的工时记录、加班记录、工资表、计件记录、银行转账记录(3个月)

All employees’time records, overtime records, payroll journals, piece rate records, bank

transfer records( 3 months)

·          所有员工的劳动合同

All employees’ labor contracts

·          所有员工的人事档案(如入厂登记表、身份证复印件等)、请假/离职记录、未成年员工体检记录及上岗登记证等(如适用)

All employees’ personal files, factory entry registrationforms, photocopy of identity cards, applications for leave, termination records,underage workers’ Health Certificates and Work Registration (if applicable)

·          工厂规章制度以及员工奖惩记录

Facility regulations, rules and records of bonus,penalties for all employees

·          社会保险缴费凭证,以及相关批文(如适用)

Social Insurance funds distribution records, andrelevant waivers (if applicable)

·          其他政府部门批准或许可证书, 如综合计时制或其他种类之加班批文(如适用)

Other approval or permission authorized bygovernmental departments (such as Comprehensive Working Hours System or othertypes of overtime waivers)

·          营业执照、国税和地税登记证、建筑工程竣工验收证明

Business license, National Tax and Land TaxRegistration, Completion of Construction Proof of Inspection


Notes:additional documentation may be required depends on the situations on the auditday. Besides the above documents needed, ODC compliance specialist will alsoconduct factory tour which will include production buildings, dormitory,canteen and other all buildings of the factory. some employees will beinterviewed during the pre-audit and the number of employees interviewed willdepends on the situations of the pre-audit.


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