文件清单一览表英文版

SLCP 文件清单List of Documents/Records to be made available to the Verifier(s)Factory Profile: 公司文件1. Company Profile 公司简介2. Business Registration License 营业执照3. Tax Registration 税务登记4. Organization chart 组织架构图5. Land use/construction permit 土地使用/建筑许可6. List of Machineries 机器设备清单7. Company vehicle list 公司车辆清单8. Production process flow chart 生产流程图9. List of subcontractors if any 分包商清单（若适用）10. Dormitory details 宿舍具体信息11. List of Fire equipment 消防设施清单12. Any certificate by any other independent organization like SA8000, ICTI etc. 独立机构颁发的证书：例如SA8000,ICTI等13. Building approval plan (architectural & structural) from concern Govt. authority; A pproved building construction lay out from engineering authority if applicabl e 建设工程规划许可证（如适用）14. Building layout approval from fire service & Fire Occupancy Certificate 建筑消防设计批复15. Employee name list 员工名册Recruitment / Hiring & Termination 招聘/雇佣&终止1. Recruitment policies and procedures & Age verification process 招聘政策和程序&年龄识别程序2. Child Labour Remediation Procedure 童工补救措施3. Security Service Contract 安保合同4. Training Records other than Health & Safety 除健康安全外的其它人事培训记录5. Work permits (internal /external) 工作许可证（内部/外部）6. Employment Contracts 劳动合同7. Job announcement/description, job application form if applicable 工作岗位简介，职位申请表（若适用）8. Labor broker contract & dispatching worker personal records/contract 劳务合同、派遣员工人事记录/合同9. Apprenticeship program (if applicable) 学徒培训（若适用）10. Immigrant workers (working permit /visa, passport, contract, personal records) 外籍员工的工作许可证/签证，护照，合同，及人事档案 （若适用）11. Adolescent workers (registration/approval letter from local labor bureau, health ch ecking record) 未成年工（注册/劳动局批准函，体检记录）12. Termination policy and procedure, training records 合同终止政策和程序，培训记录13. Employee resign records 雇员离职记录Working Hours: 工作时间1. Time in/out records (Working hour & overtime hour records) 上下班工时记录（正常工作小时&加班小时记录）2. Production records (Cutting, stitching, quality etc.) 生产记录（切割，缝合，质量等记录）3. Overtime waiver if any 加班批文（若适用）4. Comprehensive working hours permit if applicable 综合工时批文（若适用）5. Working hours policy including voluntary overtime policy 工时政策包含自愿加班政策6. Overtime approval process/procedure and OT request records if applicable 加班审批流程/手续，加班申请记录（若适用）备注：工作时间记录需准备过去12个月的记录Wages & Benefits 工资&福利1. Minimum wage Notification 最低工资标准的通知2. Payroll (Wage records) 工资表（工资记录）3. Full & Final Settlement 工资发放记录及离职员工薪资结算记录4. Leave records 休假记录5. Bonus records 奖金记录6. EOBI (Employees Old Age Benefit) records 雇员高龄津贴（若适用）7. Social security records & commercial insurance records 社会保险记录或商业保险记录8. Receipts showing tax payments / social security remittances to appropriate public a gencies 支付给政府机构的纳税/社保汇款的收据9. Evidence of granting maternity/paternity leave and subsequent return to work. 产假/陪产假记录，返回工作岗位的证明10. Piece rate wages sheet if applicable 计件工资清单（若适用）11. Annual leave and any paid leave payment record 年假和其他带薪假期记录12. Bank transferring records (for wages if applicable) 银行转账记录（针对工资部分，若适用）备注：工资福利记录需准备过去12个月的记录Employee Treatment & Involvement: 员工待遇&员工参与1. Records from disciplinary procedures 纪律处分程序的记录2. Meeting notes from any type of worker/management committee. 任何形式的员工组织管理委员会的会议记录3. Trade union records 工会记录4. Grievance register / Grievance mechanism (procedure, intake channel, investigation/ solution/ feedback records 申诉登记/申诉机制（流程，受理渠道，调查/解决方案/反馈记录）5. Org Chart of Trade union, worker/management committee 工会，工人/管理委员会组织结构图6. Written policies regarding anti-harassment, physical/sexual/emotional abuse and no n-discrimination, no forced labor. 反骚扰，反体罚/性骚扰/精神虐待，反歧视，反强迫用工书面政策7. Freedom of association procedure 自由结社程序Health & Safety: 健康&安全1. Building plan approval / Permit 建筑设计核准/许可证2. Fire NOC 建筑消防验收报告/备案3. Genset installation approval 发动机组安装审批4. Building Stability Certificate 建筑结构稳定性证书5. Appointment of Labour Welfare / Safety Officer 劳工福利/安全管理员任命书6. Drinking Water Potability test 饮用水测试报告7. Boiler License 锅炉证8. Lift License / Inspection certificate 升降机许可证/检验证9. Boiler Operator and Electrician Certificate 锅炉操作工证和电工证10. Noise and Illumination level test Certificate 噪音和照明度测试报告11. Sanitation Certificate 卫生许可证12. Health Certificate for Workers 员工健康证13. Doctor / Nurse Appointment Letter 医生/护士任命证书14. First Aid Training Certificate 急救培训证书15. Fire Fighting Training Certificate 消防培训证书16. Fire Mock drill training records 消防演习培训记录17. Industrial accident records 工伤事故记录18. Pollution Control board – Consent order 污染控制管理委员会-同意书19. Waste disposal records / Procedures 废水处理记录/流程20. Personal Protective Equipment (PPE) training records 个人防护用品培训记录21. Chemical safety training records 化学品安全培训记录22. List of chemicals used (Hazardous / Non-hazardous) 化学品使用清单（危险品/非危险品）23. Material Safety Data Sheets (MSDS) records物料安全数据表记录24. Maintenance records of eye wash station 洗眼器维护记录25. Machines maintenance/service records 机器保养/维修记录26. Lock Out/Tag Out survey report, LOTO training records 上锁与挂牌的评估报告及培训记录27. Water Extraction Permit, if applicable 地下水抽水许可证 (若适用)28. Permit for onsite waste disposal废物处理许可证29. License issued by government authority to hazardous waste collector 政府颁发的危废收集许可证30. Contract agreement with licensed contractor for hazardous waste collection 与具有危废处理资质机构签订的合同协议31. Hazardous Waste Transfer Contract/ License of Hazardous Waste Handler/License of Ha zardous Waste Transporter/Hazardous Waste Manifest, if applicable 危废转移合同/危废处理执照/危废运输执照/危废清单（若适用）32. Waste inventory and tracking records 废弃物清单以及处理转移记录33. Wastewater monitoring records 废水监测记录34. Flow Chart (indicating all key processes) 污水处理流程图（标识所有关键流程）35. Drainage layout 排水管网图36. Waste treatment equipment’s maintenance records 废物处理设备的维修记录37. Wastewater Treatment Plant operator certificate if applicable 废水处理站操作员工作证（若适用）38. Approval of waste treatment system i.e. IEE (Initial Environmental Examination) / E IA (Environmental Impact Assessment) 环保设施许可文件，例如：环境竣工验收/环境影响评估39. Environmental Impact Assessment Reports and Approval / Environmental Protection Acc eptance Report / Pollutant Discharge Permit if applicable 环境影响评估报告和批复/ 环境保护验收报告/排污许可证（若适用）40. Air emissions control equipment’s maintenance records 废气排放处理设施维护记录41. Ozone Depleting Substances (ODS) inventory and maintenance records 臭氧层消耗物质清单以及维护记录42. Fuel consumption record for factory’s transportation 企业交通工具燃料使用记录43. Green House Gases (GHG) emissions inventory 温室气体排放清单44. Emergency response plan including relevant training and drills records 应急响应计划，包括相关培训和演习记录45. Risk Assessment (procedure & records) 风险评估（程序&记录）46. Banned Chemicals List if any 禁用化学品清单（若适用）47. Vehicle operator licenses for any/all types of motorized vehicles 车辆操作员许可证/适用于所有机动车辆48. Meeting notes from recent health and safety committee meetings 最近的健康安全委员会会议记录49. Air receiver is fit to operate certificate 储气罐适用证书50. Steam receiver is fit to operate certificate 蒸汽储气罐适用证书51. Food test reports 食品测试报告52. Accident records / accident analysis records 事故记录/事故分析记录53. Electrical safety test report 电器安全测试报告54. Thermographic survey report 温度监测报告55. VOC test reports /Air emission monitoring report if applicable 有机挥发物检测报告/ 空气排放监测报告（若适用）56. Cooling tower water reports / legionella reports 冷凝塔水质监测报告/军团病杆菌检测报告57. Inspection reports (fire hydrant system, sprinkler, detection system, extinguisher, firefighting equipment, emergency lamps) 检测报告（消防栓系统，喷淋，探测系统，灭火器，消防设备，应急灯具）58. PPE suitability assessment, PPE selection criteria, PPE list, PPE inspection record s 个人防护用品适用性评估，选择标准，清单，检查记录59. Confined space list, confined space entry procedure 密闭空间清单，密闭空间进入程序60. PCB survey, PCB training records PCB多氯联二苯评估及PCB培训记录61. Asbestos survey, training records 石棉评估及培训记录62. Food supplier’s medical reports 食品供应商健康体检报告63. PHI report for the canteen 餐厅的PHI（过氧化氢干雾空间灭菌）报告 （若适用）64. Canteen License 餐饮经营许可证65. Hot Work operation procedure 热处理工操作程序66. Compressed gas cylinder operation procedure 压缩气瓶操作流程67. Work permits for special & dangerous operations – forklift driver, lift operator, Electrician and Welder, boiler operator. 特殊工种&危险作业工作许可证-例如叉车司机，升降机操作员，电工，焊接工，锅炉操作工Management Systems: 管理体系1. Social & Labor Policies and Procedures (including goal/strategy/performance, responsible persons (roles & responsibility, CSR team org chart) 社会责任&劳工政策和程序（包括目标/战略/绩效），负责人（职责与权限），企业社会责任组织架构图2. Factory rules and regulations / Employee handbook 企业规章制度/员工手册3. 3. EHS policy & procedure 健康安全环境政策及流程4. Communication and training records for employees, suppliers, subcontractors. 员工，供应商，分包商培训交流记录5. Internal audit records and improvement plan 内审记录和改进计划。

GRS认证文件清单(中英文)6The Global Recycled Standard (GRS) XXX in their supply chain must also provide the XXX:1.n Management Manual: If there are external processing units。

each unit must prepare a n management manual according to its own ns.2.GRS System Plan3.XXX4.Business License5.Flow Chart of n Processes (for n only)6.Floor Plan of Workshop and Warehouse (including machine layout and equipment list)7.Quality System - Purchasing。

n。

Quality Control。

and Sales8.Supplier XXX9.n of Special Dye Additives for GRS Recycle Raw MaterialsIt is important to note that the n and its XXX。

the n must have a chemical management program in place for GRS-approved dye additives.A。

化学品管理计划CMS。

B。

化学品评估记录。

C。

化学品列表包括供应商信息和MSDS。

GRS原料采购汇总表包括相关采购、运输单据、GRS原料声明或交易证书。

GRS原料统计包括采购、使用和库存。

生产线和存储区域用于标识GRS再生产品，且与平面图保持一致。

GRS XXX是GRS认证文件清单。

全球再生标准是指GRS。

WCA 验厂审核文件清单证件资料清单中英文Issue Date: 25 Nov 20171TPlease prepare the ORIGINAL documentation listed below for verification and sample photocopying. 请准备以下文件正All the following documents, unless the context of the document otherwise requires, the singular includes the plural and vice versa.所有下述文件除非有特别说明，所有文件都需要提供无论是单份文件或多份文件。

1. Payroll records (Recent 12 months) 工资表 (过去十二个月)Payroll register with employee signature (if wages paid in cash) 有员工签名工资表（如工资以现金支付）Bank statement corresponding to payroll register (if wages paid by bank deposit) 相对应工资表的银行存款证明（如以银行存款支付工资）2. Time card/ Attendance records (Recent 12 months) 工卡或考勤记录 (过去十二个月)3. Production records (tickets/ sheet) (Recent 12 months) (if applicable) 生产记录 (过去十二个月) (如适用）4. Personnel records 人事花名册及员工个人档案5. Young worker registration and health examination (if applicable) 未成年工体检及劳动局登记记录6. Employment/ Labor contracts 劳动合同7. Agency workers agreement (if any) 中介工人协议（如适用）8. Foreign employees work permits and approval letter from government (if applicable) 外籍员工 (如适用) 许可证和政府批文9. Collective bargaining agreements (if any) 集体谈判协议 (如适用）10. Employees social Insurance receipt, names list and certificate of social insurance 社会保险收据，名单和社会保险凭证11. Business Registration/ License 工商营业执照WCA 验厂审核文件清单证件资料清单中英文Issue Date: 25 Nov 20172T12. Fire safety inspection / certificates and building / construction permits for facility / dormitory buildings 消防检查报告或合格证明及建筑/施工许可证13. Fire drill records 消防演习记录、急救演习/紧急疏散计划14. Facility regulation or employee handbook, in regard to the following areas: 厂规或员工手册, 包括以下几个方面:Recruitment policy 招聘政策Disciplinary procedure 纪律处分程序15. Local minimum wage standard (if any) and/ or Government Labor Law notice (if any) 政府有关当地最低工资规定文件/政府的劳动法的通知 (如适用）16. Special appliance certificates such as certificate for elevator, boiler 特种设备认证证书如电梯，锅炉17. Permits for special appliance operations such as lift operator, electrician, and boiler 特种工人上岗证(如:电梯工锅炉工上岗证, 电工, 锅炉许可证等)18. Canteen or eating facilities hygiene certificate, cook/ kitchen staff health certificates 厨房卫生许可证, 厨工卫生许可证19. Facility building layout/ evacuation plan 厂房平面图20. Special waivers from local government regarding working hours arrangement (if applicable) 从当地政府就工作時間的特殊批文 (如适用)21. Health & Safety program and training records 健康与安全计划及培训记录22. Work-related accidents/ injury records 工伤事故记录及工伤记录等23. Environmental certificates (if applicable) 环保证书(如适用)24. 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 dataWCA 验厂审核文件清单证件资料清单中英文Issue Date: 25 Nov 20173Tprotection (optional if Business Practice module is applicable in the assessment) including (but not limited) to thefollowing: 任何书面政策或程序去规范公司和员工的商业道德规范。

TRS Quality System Management File ListThe TRS (Total Responsibility System) quality system is a crucialponent of apany's operations, ensuring that products and services meet the highest standards of quality. In order to maintain the effectiveness of the TRS quality system, it is essential to establish and maintain aprehensive set of management files. These files serve as a reference for employees, auditors, and other stakeholders, providing detailed information on thepany's quality management processes and procedures.1. Quality ManualThe quality manual is a key document that outlines thepany's quality management system, including its scope, objectives, and key processes. It provides an overview of thepany'smitment to quality, as well as the roles and responsibilities of employees in maintaining quality standards.2. Quality PolicyThe quality policy document outlines thepany'smitment toquality and its approach to achieving and maintaining high standards. It should include a clear statement of thepany's quality objectives, as well as the methods and processes used to achieve them.3. Quality Objectives and TargetsThis file contains the specific quality objectives and targets that thepany has set for its operations. These may include targets for product quality, customer satisfaction, and process improvements. It should also document the methods used to monitor and evaluate the achievement of these objectives.4. Quality PlanningThe quality planning file outlines thepany's approach to planning and implementing quality management processes. This may include procedures for identifying customer requirements, setting quality objectives, designing and developing products and services, and creating quality plans for specific projects or processes.5. Quality Control ProceduresThis file contains detailed procedures for monitoring and controlling the quality of products and services throughout the production and delivery process. It should include methods for inspecting, testing, and evaluating products, as well as processes for handling nonconforming products and implementing corrective actions.6. Quality RecordsQuality records are an essentialponent of the TRS quality system, providing evidence of thepany's adherence to quality standards and regulatory requirements. This file should include records of quality audits, inspections, test results, and other quality-related activities.7. Training and CompetenceThis file contains information on thepany's approach to training and developing thepetence of its employees in quality management processes and procedures. It may include training plans,petency assessments, and records of employee training and development activities.8. Quality ImprovementThe quality improvement file outlines thepany's approach to identifying and implementing continuous improvement initiatives. This may include procedures for capturing and analyzing quality-related data, as well as processes for identifying and implementing corrective and preventive actions.9. Management ReviewThis file contains records of management reviews of the quality management system, including discussions of its effectiveness, suitability, and opportunities for improvement. It should also include records of actions taken as a result of these reviews.10. Internal and External AuditsThis file contains records of internal and external audits of thepany's quality management system. It should include audit schedules, findings, and corrective action plans, as well as evidence of the implementation and effectiveness of these actions.In conclusion, the TRS quality system management file list is a critical element of apany's approach to quality management. By establishing and maintainingprehensive managementfiles,panies can ensure the effectiveness and efficiency of their quality management systems, demonstrating theirmitment to delivering products and services that meet the highest standards of quality.。

⽂件编号⼦类别-中英⽂对照Revision History1.0 SCOPE范围1.1 This work instruction is applicable to Quality Management System (QMS) documents such as System Manual, Procedures, and Working Instructions of SUNMING.本作业指导书适⽤于SUNMING的质量管理体系（QMS）⽂件如体系⼿册，程序⽂件和作业指导书。

1.2 This work instruction also covers numbering of Document Change Notice (DCN) / Temporary Document Change Notice (TDCN) and Engineering Change Notice (ECN) / Temporary Engineering Change Notice (TECN).本作业指导书也包括对⽂件变更通知（DCN ）/临时⽂件变更通知（TDCN ）和⼯程变更通知（ECN）/临时⼯程变更通知（TECN）进⾏编号。

2.0 ASSOCIATED DOCUMENTS相关⽂件2.1 DC20001 : Document Control Procedure ⽂件管控程序2.2 DC30002 : Work Instruction for Document Change Notice (DCN) Generation⽂件变更通知（DCN）⽣成作业指导书2.3 DC30003 : Work Instruction for Engineering Change Notice (ECN) Generation⼯程变更通知（ECN）⽣成作业指导书2.4 DC30004 : Work Instruction for Releasing Documents to Suppliers发布⽂档给供应商之⼯作指引2.5 DC30005 : Work Instruction for Retention of Quality Documents and Records品质⽂件/记录保存作业指导书3.0 SAFETY REQUIREMENTS安全要求3.1 Not applicable.不适⽤4.0 GENERAL REQUIREMENTS⼀般要求4.1 Document Control Center (DCC) is responsible for the assignment and control of document numbers.⽂控中⼼（DCC）负责分配和控制⽂件编号。

List of mandatory documents and records required by IATF 16949:20161.Scope of the quality management system (clause 4.3)2.Documented process for the management of product safety related products and manufacturingprocesses (clause 4.4.1.2)3.Quality policy (clause 5.2)4.Responsibilities and authorities to ensure that customer requirements are met (clause5.3.1)5.Results of risk analysis (clause6.1.2.1)6.Preventive action record (clause 6.1.2.2)7.Contingency plan (clause 6.1.2.3)8.Quality objectives (clause 6.2)9.Records of customer acceptance of alternative measurement methods (clause 7.1.5.1.1)10.Documented process for managing calibration/verification records (clause 7.1.5.2.1)11.Maintenance and calibration record (clause 7.1.5.2.1)12.Documented process for identification of training needs including awareness and achievingawareness (clause 7.2.1)13.Documented process to verify competence of internal auditors (clause 7.2.3)14.List of qualified internal auditors (clause 7.2.3)15.Documented information on trainer’s competency (clause 7.2.3)16.Documented information on employee’s awareness (clause 7.3.1)17.Documented process to motivate employees (clause 7.3.2)18.Quality manual (clause 7.5.1.1)19.Record retention policy (clause 7.5.3.2.1)20.Documented process for review, distribution and implementation of customer engineeringstandards/specifications (clause 7.5.3.2.2)21.Registry of customer complaints (clause 8.2)22.Product/service requirements review records (clause 8.2.3.2)23.Procedure for design and development (clause 8.3.1.1)24.Record about design and development outputs review (clause 8.3.2)25.Documented information on software development capability self-assessment (clause 8.3.2.3)26.Records about product design and development inputs (clause 8.3.3.1)27.Records about manufacturing process design input requirements (clause 8.3.3.2)28.Document a process to identify special characteristics (clause 8.3.3.3)29.Records of design and development controls (clause 8.3.4)30.Documented product approval (clause 8.3.4.4)31.Records of design and development outputs (clause 8.3.5)32.Manufacturing process design output (clause 8.3.5.2)33.Design and development changes records (clause 8.3.6)34.Documented approval or waiver of the customer regarding the changes in design (clause 8.3.6.1)35.Documented revision level of software and hardware as part of the change record (clause 8.3.6.1)36.Documented supplier selection process (clause 8.4.1.2)37.Documented process to identify and control externally provided processes, products and services(clause 8.4.2.1)38.Documented process to ensure compliance with statutory and regulatory requirements ofpurchased processes, products and services (clause 8.4.2.2)39.Documented process and criteria for supplier evaluation (clause 8.4.2.4)。

下表列出了审核人员在审核期间可能审查的记录和文件。

要知道这些是最基本的文件清单并不包括所有可能需要的文件，审核人员可以在现场审核之前或审核期间要求其他相关文件和记录进行审核。

◎关键文档清单的项目应提前准备，如果主审核员(审核组长)预先要求任何这些项目副本◎第二张表列出了审核人员到达现场时必须提供的最低限度的文件和记录关键文档清单◎营业执照◎工厂布局和平面图◎生产流程图/过程描述◎工厂在过去12个月内的变化◎过去12个月的产品/服务、数量、新设备概况◎组织结构图◎集体谈判协议(现行有效的)◎员工手册◎新工人培训材料(培训教材)◎空白劳动合同◎工人登记包括尽可能多的信息(工人分类：按职位、国籍、雇用条件(直接雇用，通过劳动中介机构、学生工、实习生……)，所提供的住宿◎所有合法许可证、许可证、授权◎政府机构的豁免(如：综合计时批文)◎有效管理体系证书(如：ISO14001，OHSAS18001)◎最近的政府提交的报告(劳动、商业道德、健康与安全、环境)◎风险管理流程(劳动、商业道德、健康与安全、环境)◎应急响应(所有紧急情况)和业务连续性和恢复计划◎危险材料清单◎危险废物清单审核人员可在现场获得的最低限度文件和记录(审核开始)审核部分提供一般信息一般工厂信息◎工厂布局和图纸◎工厂内工艺和建筑物的描述◎工厂在过去12个月内的变化◎过去12个月产品服务概述、数量、新设备、新许可证◎与工人就RBA最低要求的沟通◎与供应商就RBA行为守则符合性进行的沟通◎与供应商签署关于RBA行为守则符合性的合同要求◎验证供应商实施RBA行为守则要求的证据审核人员可在现场获得的最低限度文件和记录(审核开始)审核部分劳动规定A1 自由选择就业◎与劳动代理、劳动中介、劳动服务商签订的服务合同◎工人(劳动)合同的例子●永久员工●领薪员工●按小时支付的员工●临时员工/工人●季节性(如使用)工人●青少年工人●学徒工●外籍工人●职业工人(如使用的话)◎雇佣记录，包括年龄证明、身份和政府颁发的工作许可证明◎工人贷款和信贷计划文件A2 避免使用童工◎公司有关青年工人保护及适当的工时/轮班的政策◎最低雇用年龄政策◎获得和验证年龄文档证明的程序◎培训和学徒计划的记录◎学校出勤记录和公司支付的学费或书籍◎青少年工人保护程序A3 工作时间◎政府机构颁发的非传统工作时间许可证或加班豁免(例如：综合计时工作制、不定时工作制)◎向工人提供的信息，描述有关工作时间和加班的法律规定◎工作时间政策◎分配和控制加班时间的流程◎工作时间登记流程/程序(打卡……)◎工人考勤表或时间表(最近12个月)◎工人同意加班(超时工作)的证据(例如，签字声明)◎传达加班的证据A4 工资和福利◎向工人提供的信息，描述工资、扣除、计算和福利◎处罚性的工资扣除和奖金的做法/惯例◎津贴清单，例如：食物、住宿和程序◎工人的缴款清单和程序◎当地最低工资的定义(标准)◎工人过去12个月的工资记录和工资条，显示了所有扣除、缴款、收入和汇款情况◎为工人购买所有适用保险的证据◎工人产假证据(母亲产假、父亲陪产假)A5 人道待遇◎关于可接受的工人惯例和处罚措施的工厂规则和条例◎处罚流程/程序A6 非歧视◎雇佣前、入职前的体检要求◎医疗保密程序与惯例◎关于工人分布的资料(类型(永久合同)、性别、职能、民族(籍贯)、年龄、……)◎目前的招聘广告和职位要求◎职能和职位描述A7 结社自由◎向工人提供的信息，描述有关结社自由和工会的地方法规◎过去12个月关于申诉机制和统计的政策和程序、采取(并向工人通报)的行动◎工人会议及/或工会管理会议的会议记录◎与员工定期沟通和反馈的证据◎有关工人投诉和采取(并传达给工人)行动的记录审核人员可在现场获得的最低限度文件和记录(审核开始)审核部分健康和安全条款B1 职业安全◎安全程序(如：封锁/加标、密闭空间、热工许可证)◎操作机械(叉车等)的许可证/认证◎个人防护装备(PPE)计划和各种任务所需的个人防护装备(PPE)清单◎医疗人员证书，现场诊所(医务室)，……◎关于采取措施保护孕妇和哺乳期妇女的记录B2 应急准备◎消防计划、消防系统和火灾报警系统维护记录◎消防/疏散演习记录◎化学泄漏响应演习记录◎应急、业务连续性和恢复计划◎应急团队(ERT)组织B3 工伤和职业病◎事故/职业病的调查及跟进报告◎当年度伤害/疾病的日志◎“侥幸避免”日志、分析和跟踪◎旷工记录B4 工业卫生◎工业卫生监测结果(噪音，化学和物理制剂)◎对从事危险工作的工人进行医疗监测的结果◎听力保护和呼吸保护计划◎对有(职业危害)暴露风险的工人进行工业卫生数据的沟通记录B5 体力劳动◎对从事重体力劳动的工人的评估记录◎为减轻工人体力压力而对工作区或设备装置的改装纪录◎对频繁重复操作的工人工进行人体工程学风险评估/手动操作风险评估B6 机器安全防护◎预防性维护记录◎机器安全风险评估记录◎评估员工暴露在人工操作、重复工作、尴尬姿势等危险中的过程和程序B7 公共卫生、食物和住房◎食堂经营许可证与食品操作人员健康检查记录◎在宿舍进行疏散演习的纪录B8 健康与安全沟通◎H&S培训需求分析◎H&S培训计划、培训材料(教材)和培训记录◎危害沟通的程序◎工人提出的安全问题记录审核人员可在现场获得的最低限度文件和记录(审核开始)审核部分环境条款C1 环境许可证和报告◎工厂运作许可证及检查或传唤的记录的副本◎政府机构针对许可证要求颁发的官方豁免资料(排污许可证)◎环境许可证要求的监测、检查和维护记录◎过去2年的环境排放登记册(水、空气、废物的数量)◎污染的预防和减少计划和成果◎温室气体(GHG)计划和成果◎节水计划C2 污染防治与资源减少◎对环境方面进行的实质性评估◎重大环境影响基线◎年度减少目标C3 危险物质◎化学品和其他危险材料清单◎泄漏控制计划和程序◎现场所有危险材料的MSDS◎危险物质许可证/登记◎储罐完整性检查和测试报告C4 固体废物◎现场产生的固体废物(危险和非危险)清单◎处理票据/处置记录(清单、收据、发票)◎废物供应商许可证◎废物许可证或登记和监测/检查报告C5 空气排放◎空气监测报告◎提交个哦监管机构的空气排放许可证和报告◎减少空气污染设备的维护记录◎环境噪声监测报告C6 材料限制◎采购和制造规范，描述工厂如何满足法律和客户对产品内容限制◎向供应商传达RoHS、REACH、WEEE和其他客户产品内容限制的记录◎分析测试结果C7 水管理◎设施地图，其中包括风暴水流域的概述；附近水体的位置；雨水收集和输送系统的位置；设施不透水区域的轮廓；暴露于降水中的材料的位置◎雨水排放的监测结果◎废水处理厂的维修记录和图纸◎供水或地下水监测、井水质分析C8 能源消耗和温室气体排放◎按类别分列的下列温室气体的年度消耗使用情况(范围1和2)审核人员可在现场获得的最低限度文件和记录(审核开始)审核部分商业道德条款D1 诚信经营◎商业行为准则/商业道德守则◎公司捐赠和赞助的政策◎商业道德、反腐败和贿赂的政策◎违反商业道德的调查程序◎商业登记D2 没有不正当的优势◎有关政策，确保来自供应商和客户的礼品或向供应商和客户提供的礼品在费用、频率和好客程度、支出或承诺上不过分◎对涉嫌作出或接受不正当支付或馈赠及企图进行一切形式贿赂行为的工人或代理人提起诉讼的有效程序◎制定和采用调查程序和后续的制裁◎处罚程序/政策◎处罚记录D3 信息披露◎保密协议(非披露协议)模板/表格◎与供应商和客户达成的保密协议(非披露协议)◎与服务供应商达成的保密协议(非披露协议)D4 知识产权◎知识产权审查和保护政策D5 公平商业广告和竞争◎由财务审计公司独立审计的年度财务报告◎公平交易/反勾结政策◎广告政策/沟通政策◎广告/招聘广告D6 保护身份和不报复◎有关秘密举报的政策/程序◎向国人/员工清晰传达杜绝打击报复的政策◎对所有涉嫌打击报复的指控进行调查的程序D7 负责性的矿物采购◎矿物采购的风险评估不包括3TG或(如果由冶炼厂/精炼厂地采购)是无冲突◎关于信息收集的行动计划/行动以确保负责任的矿物采购D8 隐私◎有关保护隐私的正式政策和计划◎有关隐私保护的培训材料(培训教材)和培训记录审核人员可在现场获得的最低限度文件和记录(审核开始)审核部分管理体系条款(注：工厂管理体系描述/手册的副本可以解决大量信息请求，如下) E0 管理体系认证◎管理体系认证(例如：SA8000，ISO14001，OHSAS18001，……) E1 公司/工厂的政策或承诺声明◎劳工、雇佣、商业道德、健康与安全和环境的政策◎公司社会责任政策◎有关公司/工厂的商业道德或商业行为准则政策或手册E2 管理问责制和责任◎组织结构图◎管理体系代表、人力资源管理、商业道德、劳工、健康与安全和环境的经理的角色和责任◎管理体系评审记录E3 法律和客户要求◎客户要求(例如：RBA)的副本◎跟踪体系以监控有关设备和环境责任(SER)的法规及执行或分发日志◎适用法律的副本E4 风险评估和风险管理◎识别、评估SER风险及其排名的程序◎重大变更发生时的风险评估记录◎为最高已识别 SER 风险制定的行动计划E5 改善目标◎当年的阶段性执行目标和总目标，包括定期审查目标的实施情况及及是否实现目标的状态◎当前的改进计划和进展情况E6 培训◎培训分析◎培训日程(培训计划)◎培训记录◎培训评价E7 沟通◎工厂SER规则(例如：工人手册)◎向工人、供应商和客户传达沟通公司业绩和期望的流程◎向工人和管理人员沟通的公告栏、通讯稿、内部网网站E8 员工反馈、参与和不满◎向工人和外部利益相关者提供的关于如何秘密举报所关注的商业道德问题的信息◎“秘密举报”的政策/程序◎保密调查程序及对“秘密举报”的行动◎举报的数据统计◎对工人参与计划制定和实施的正式方式(例如，委员会、负责小组，……)进行了描述◎工人投诉记录、纪律调查和所采取的行动(和沟通)◎管理层提供的工人调查、投诉和反馈E9 审核和评估◎审核流程和程序◎过去3年进行的审核的副本E10 纠正措施流程◎纠正措施管理程序◎不符合项跟踪、关闭、状态和管理评审的记录◎守法记录，违反劳工/商业道德法律法规而导致的传唤或处罚◎守法记录，针对过去 3 年收到的 EHS 传唤或处罚E11 文件和记录◎记录保留政策和程序E12 供应商责任◎下一层主要供应商识别分析◎下一层主要供应商/劳工代理计划◎现场主要供应商准则符合性验证报告◎纠正行动计划，针对在现场主要供应商验证报告中识别的改进领域首字母缩略词1 3TG 钽、锡、钨和黄金2 AMA 由受审计方管理的审计3 APM 审计项目经理4 CAP 纠正行动计划5 CFC 氯氟烃6 CMA 由客户管理的审计7 CPD 持续专业发展8 CR 公司责任9 CR MS 公司责任管理体系10 EHS 环境/健康/安全11 EICC 电子行业公民联盟12 GHG 温室气体13 ICT 信息和通信技术14 IT 信息技术15 IRCA 注册审计师国际注册机构16 kWh 千瓦时17 LE 劳工/道德18 PDCA 计划－执行－检查－行动19 QA 质量保证20 RAB-QSA 注册员鉴定委员会－澳大拉西亚质量协会根本原因分析21 REACH 化学品的注册、评估、授权和限制22 RoHS 危险物质的限制23 WEEE 电气和电子设备废弃物指令24 SAQ 自我评估问卷25 SF6 六氟化硫26 SWPPP 暴雨水污染预防计划27 VAP 验证审计流程28 VAR 验证审计报告A PPENDIX 8 R EQUIRED D OCUMENTS L ISTThe following tables list the records and documents that the Auditors may review during the Audit. Be aware that these are minimum lists and do not cover all the documents that may be required. The Auditors may request other related documents and records for review either before or during the onsite Audit.∙The items in the Critical Document List should be assembled in advance, should the Lead Auditor request an advance copy of any of those items.∙The second table lists the minimum documents and records that must be made available for the Auditors when they arrive on site.。

货物清单中英文100个mercial invoice 商业发票2.Proforma invoice形式发票3.Received invoice收讫发票4.Certificate invoice证实发票5.Detailed invoice详细发票6.Neutral invoice 中性发票7.Manufacture invoice 厂家发票8.Bank’s invoice 银行发票9.Preliminary /provisional invoice 临时发票10.Customs invoice 海关发票11.Consular invoice 领事发票12.Packing list 装箱单13.Weight list 重量单14.Measurement list 尺码单15.Insurance policy 保险单16.Insurance Certificate 保险凭证bined Insurance Certificate 联合保险凭证18.Open policy 预约保险单19.Cover note暂保单20.Endorsement批单21.Certificate of origin of the Peoples’Republic ofChina中华人民共和国原产地证22.Generalized system of preferences certificate of origin from A 普惠制产地证23.Inspection certificate商检证书24.Quality certificate品质检验证书25.Quality certificate数量检验证书26.Weight certificate重量检验证书27.Phytosanilary certificate植物检疫证书28.Veterinary certificate兽医检验证书29.Sanitary/Health certificate卫生/健康检验证书30.Disinfection certificate 消毒检验证书31.Fumigation certificate熏蒸证书32.Certificate of analysis 分析证34.Export /import license进出口许可证35.Special customs invoice 美国海关发票36.Canada customs invoice 加拿大海关发票bined certificate of value and origin 澳大利亚海关发票38.From59A certificate of origin for export to New zea land新西兰海关发票39.Form C 西非海关发票40.L/C=letter of credit 信用证41.Bill of exchange / draft 汇票42.Beneficiary’s certificate/statement 受益人证明/寄单证明43.Booking note 托运单/下货纸44.B/L提单45.Direct B/L直达提单46.Transhipment B/L转运提单bined transport B/L联合提单48.Container B/L集装箱提单49. Charter Party B/L)租船提单50.Airway bill 空运单51.Shipper’s letter of instruction 货物托运书52.Railway bill 铁路运单53.Shipping advice/ Declaration of shipment 装运通知54.Captain receipt 船长收据55.Itinerary certificate航程证明56.Certificate of sample寄样证明57.Shipping order (s/o) 装货单58.Mate’s receipt大副收据59.Dock receipt 集装箱场站数据60.Delivery order 提货单61.Equipment interchange receipt 设备交接单62.Manifest载货清单/舱单63.Cargo receipt 承载货物收据64.Sea way bill海运单65.Master air way bill航空主运单66.House air way bill航空分运单67.Numerical container list集装箱装载清单68.Export freight manifest出口载货运费清单69.Entry inwards进口报关单70. Authorization letter for customs declaration/ Power of attorney(POA)报关委托书72. Telex release /Surrendered B/L 电放提单73. Instrument for the collecting/verifying and writing-off of export proceeds in foreign exchange/verifying and writing-off instrument 外汇核销单74. Export drawback出口退税单75.Bank statement/note/receipt 银行水单76.Electronic bill of lading电子提单77.Letter of indemnity保函78.Original bill of lading正本提单79.Customs clearance结关证书80.Entry outwards出口报关单81.Export manifest 出口载货清单/出口舱单82.Inward permit 进口许可证83.Outwards Export permit 出口许可证84.Shipping bill 出口货物明细单/装船通知单85.Export declaration 出口申报单86.Stores list 物料单87.Railway consignment note 铁路托运单88.Cargo declaration 货物申请表89.Railway advice铁路货运通知单90.consignment note 运单91.Bill of health 健康证书92.Straight B/L 记名提单93.Order B/L 指示提单94.On-board B/L 已装船提单95.Received-for-shipping B/L备运提单96.Clean B/L 清洁提单97.Foul B/L不清洁提单98.Black B/L 不记名提单99.Through B/L 联运提单100.Long form B/L 全式提单。