Request Document List for EICC Audit (General Information)images02.cdn86.net/kps01/M00/E2/D8/wKiAiVeQi7qoo2...Specialized safety training certificate( Valid safety operation certificate

Available Copied Remarks

YES NO N/A YES

1 Company Code of Conduct

公司的行为守则 � � � �

2 Business license

营业执照 � � � �

3 Organization chart

公司组织架构图 � � � �

4 Factory profile - employees / capacity / revenue / customers / area

公司简介-人员/产量/产值/客户/面积 � � � �

5 (Company) Factory area / building's floor layout

（公司）厂区/厂房平面图 � � � �

6 Main production process flow chart

主要生产工艺流程图 � � � �

7 Employee manual / handbook

员工手册/指南 � � � �

Request Document List for EICC Audit (General Information)

No. Items

General (403C) Page 1General (403C) Page 1

Available Copied

YES NO N/A YES

1Worker files工人档案

� � � �

2Payroll record (last 12 months)工资表（最近12个月）

� � � �

3Employment letter/ agreement/ contract (Included contracts for

migrant worker and labor agent workers)

雇用信/协议/合同 (包括外劳和劳务派遣工的合约)� � � �

4Documentation on fee disclosure for the workers给工人有关所收费用的公开文件

� � � �

5

Auditee Hiring practices (Prohibit force labor bonded or indenturedlabor )受审核方雇用规定 (禁止使用强迫、抵押和契约束缚劳工)

� � � �

6

Labor agencies/recruiters/ Contractors Hiring practices

- Prohibit force labor bonded or indentured labor )

- No government issued identification or personal documents originals

are held

劳务公司/ 分包商雇用规定- 禁止使用强迫、抵押和契约束缚劳工

� � � �

Request Document List for EICC Audit (Labor)

No. Items

(A) Labor (501) Page 2

- 禁止使用强迫、抵押和契约束缚劳工- 不扣起员工的身份证明文件和个人数据原件

7Record of resignation/ termination of employment

员工辞职\离职记录 � � � �

8

Policy procedure, monitoring, training or communications or correctiveactions on no forced, bonded, involuntary prison, trafficked or slavelabor不使用强迫劳工、抵押劳工、契约束缚劳工、非自愿监狱劳工或反贩卖劳工的政策程序、监控、培训/沟通/纠正措施

� � � �

9

Instruction to subcontractor(s) on no forced, bonded, involuntaryprison, trafficked or slave labor对分包商有关禁止使用强迫，抵押和契约束缚劳工的指引

� � � �

10

Training or communication record on no forced, bonded, involuntaryprison, trafficked or slave labor (Included all employees and workers,suppliers and labor agents/contractors)不使用强迫、抵押和契约束缚劳工政策的培训和沟通材料/记录 (包括所有员工、供货商、劳务代理商/承包商对员工的培训和沟通)

� � � �

11

Monitoring report of no forced, bonded, involuntary prison, trafficked orslave labor, including labor recruiters and corrective action不使用强迫、抵押和契约束缚劳工的监测报告 (包括劳务招聘公司)和纠正措施

� � � �


12

Agreements with labor agent/contractor for employment letterrequirement与劳务公司签订有关员工雇用合同要求的协议

� � � �

13

Policy or procedure stating no government issued identification orpersonal documents originals are held unless at the workers' request不扣起员工的身份证明文件和个人数据原件的政策/程序 (除非员工要求)

� � � �

14

Procedures for safe keeping of government-issued identification,passports or work permits with worker安全保管工人的身份证、护照或工作证的程序

� � � �

15Policy/ procedures on freedom of movement不限制工人行动自由的政策/程序

� � � �

16

Entry and leave records (if applicable) : toilets, drinking water, externalmedical facilities, factory/dormitory exit and entry进出记录（若适用）：厕所、喝水、外出就医、工厂/宿舍进出

� � � �

17Child labor prohibition policy禁止使用童工政策

� � � �

18Worker roster员工花名册

� � � �

19

Reliable proof of age and retain a copy of the relevant documentverifying age is on file.归案鉴别年龄的可靠证据和相关文件的复印件

� � � �

20Procedure to verify reliability of age documents核实年龄文件可靠性的程序

� � � �

21Procedure responding to discovery of child labor

� � � �


21Procedure responding to discovery of child labor發現雇傭童工补救措施程序

� � � �

22

Procedure on labor agencies / contractors addressing child laborprohibition禁止劳务代理商/承包商使用童工的程序

� � � �

23

Training and Communication materials/records on the child labor

prohibition policy to workers (Included factory, labor agent and

contractor to workers)

禁止使用童工的培训和溝通材料/记录 (包括工廠、劳务代理商/承包商對員工的培训和溝通)

� � � �

24Young worker policy未成年工雇用政策

� � � �

25Young worker employment program未成年工雇用计划

� � � �

26Young worker health examination record未成年工雇用健康检查记录

� � � �

27Apprentices / intern / student worker policy and program学徙工/实习生/学生工的政策和计划

� � � �

28Agreement among the school, factory and student/parent学校、工厂和学生/家长之间的协议

� � � �

29Policy on not hiring apprentices不雇用学徙工的政策

� � � �


30Attendance record (last 12 months)考勤记录（最近12个月）

� � � �

31Government waiver/permit on alternative working hour system政府批文/许可证 (关于使用选择其他工作时间系统)

� � � �

32

Working hours policy/procedure/ record to determine, record, manageand control working hours including overtime and days off确定、记录、管理与控制工时的政策、程序与记录

� � � �

33

Document system/ process to provide advance warning as workinghours nears the maximum hours工作时间接近上限時的預警系统/方法

� � � �

34

Training and Communication materials/records on providing advancewarning as working hours nears the maximum hours有关工作时间接近最高工作时间的预警的培训和沟通材料/记录

� � � �

35Leave record (last 12 months)请假记录（最近12个月）

� � � �

36

Policy for holiday / break / leaves (Included sick leave and maternityleave)假期/休息时间/请假政策 (包括病假和产假)

� � � �

37

Training/ Communication materials/records on Policy for holiday /break / leaves假期/休息时间/请假政策的员工培训和溝通材料/记录

� � � �

38Wage and benefit policy工资和福利政策

� � � �

39Pay slip/ Pay stub (last 12 months)工资条（最近12个月）

� � � �


工资条（最近12个月）

40Training/ Communication materials/records on wages calculation工资和福利的员工培训和溝通材料/记录

� � � �

41Records of employer contributions to worker insurance schemes雇主为工人提供保险計劃的支出记录

� � � �

42

Training/ Communication materials/records on worker insuranceschemes工人保险計劃的员工培训和溝通材料/记录

� � � �

43Bank transfer record for wage工资银行转帐的记录

� � � �

44Policy statement of the prohibition of disciplinary wage deductions禁止使用扣除工资的方式作为纪律处分的政策声明

� � � �

45Disciplinary record紀律处分记录

� � � �

46Salary tax payment record工资扣税缴交记录

� � � �

47Grievance/complaint procedure, record and related corrective actions工人投訴程序、记录和相关的纠正措施

� � � �

48Procedure to investigate grievance/complaint and reports调查工人投訴的程序和报告

� � � �

49Disciplinary policy/ procedure紀律处分政策/ 程序

� � � �


50Training materials/records on disciplinary policy紀律處分政策的培训材料和记录

� � � �

51Job advertisement招聘广告

� � � �

52Pre-job medical report入职体检

� � � �

53Hiring record/ promotion record雇用記錄/晋升记录

� � � �

54Policy on prohibition of discrimination禁止歧视政策

� � � �

55Training materials and records on non-discrimination不歧视的培训材料和记录

� � � �

56

Procedure/ Record to request reasonably accommodate for religiouspractice有关合理要求配合员工宗教习惯的程序与记录

� � � �

57

Training materials and records on request reasonably accommodatefor religious practice有关合理要求配合员工宗教习惯的培训材料和记录

� � � �

58Workers' Grievance records工人的投诉记录

� � � �

59Trade Union Collective Bargain Agreement工会集体谈判协议

� � � �

60Peaceful Assembly Policy

和平集会政策� � � �


60和平集会政策

� � � �

61Training materials and records on Peaceful Assembly Policy和平集会政策的培训材料和记录

� � � �

62Policy and procedures on freedom of association自由结社的政策和程序

� � � �

63Training materials and records on freedom of association自由结社的培训材料和记录

� � � �

64Minutes of committee or union meeting minutes (last 12 months)工会会议记录（最近12个月）

� � � �

65Non-interference policy不干涉政策

� � � �

66Procedure on work union/committee enrolment工會/工人委员会入会程序

� � � �

67Work union/committee enrolment Record工會/工人委员会入会记录

� � � �

68

Communication record on work union/ committee automaticallyenrolment有关自动加人工会/工人委员会的沟通记录

� � � �

69Worker representative election governance procedure and record工人代表选举管理程序和记录

� � � �


Available Copied

YES NO N/A YES

1Permit/ License/ Certification (Occupational Safety) (if any)

许可证/执照/证书（职业安全）（如有） � � � �

2Drinking Water (facility) quality inspection report

饮用水（厂区和宿舍）质量检测报告 � � � �

3Pressure vessels and boilers operator certificates

压力容器和锅炉操作工上岗证 � � � �

4

Register and annual inspection certificate of pressure vessels and

boilers

压力容器和锅炉的使用登记证和年检记录� � � �

5Hot work permit

热力工作许可证 � � � �

6Factory building structure safety certificate

厂房建筑结构安全合格证 � � � �

7Electrical system safety inspection report

用电系统安全检查报告 � � � �

8Register and annual inspection certificate of elevator & lift

电梯和升降起重设备的使用登记证和年检记录 � � � �

Specialized safety training certificate( Valid safety operation certificate

Request Document List for EICC Audit (Health and Safety)

No. Items

(B) Health & Safety (501) Page 6

9

Specialized safety training certificate( Valid safety operation certificate

of Elevator/Lift / Forklift vehicle /Qualified Electrician/ Electric welding

operator certificate)

电梯、升起重设备、叉车、电力、焊接操作人员的培训证书

� � � �

10

Procedure and record that ensure (Occupational Safety)

permits/license/certification are renewed before current permit

确保（職業安全）许可证/执照/证书及时更新的程序和记录� � � �

11Safe work Instruction/ Practice for potential safety hazards

潛在安全危害安全工作指引/规定 � � � �

12Confined Spaces work evaluation/ risk assessment

密闭空间工作风险评估 � � � �

13Hot work permit system for welding, cutting and brazing

焊接，切割和焊接熱工作许可证制度 � � � �

14Inspection/maintenance record for all industrial power vehicles (Daily)

工业电动车辆的日常检查及维修记录 � � � �

15

Inspection/maintenance record for electrical installations and wiring

(Regularly)

电线及电气装置定期检查及维修记录� � � �

16Electrical, Pneumatic, Mechanical Equipment Lockout/tag out program

电力、气动或机械机器维修上锁/挂牌程序 � � � �


17

Training material/record on the associated risk where worker exposure

to potential safety hazards

有关工人工作安全潜在危害风险的培训材料/记录� � � �

18

Encouraging worker to raise safety concerns procedure / work

instruction

鼓励员工提升安全意识的程序/作业指导书� � � �

19

Evaluation, implementation and communication program on safety

hazards control (e.g. electrical safety, confined space entry and fall

protection)

安全隠患的评估、执行与沟通计划 (如电力安全、进入密闭空间、和工人跌落防护)

� � � �

20Programs and procedures for using PPE

个人防护装备的使用方案和程序 � � � �

21PPE requisition and renewal procedures

个人防护装备的领用和更换程序 � � � �

22Inspection program on safe/valid state of PPE

个人防护装备的安全/有效性的检验方案 � � � �

23Permit/ License/ Certification (Emergency preparedness)

许可证/执照/证书（应急预案） � � � �

24Factory building fire safety certificate

厂房消防安全合格证 � � � �

25

Procedure and record that ensure (Emergency preparedness)


确保（应急预案）许可证/执照/证书及时更新的程序和记录� � � �


26

Automatic fire sprinklers, portable fire extinguishers, heat and smoke

detection and alarm and notification system test and maintenance

record.

自动消防喷淋，便携式灭火器，热力烟雾探测警报与通知系统的测试和维护记录

� � � �

27Risk assessment on Emergencies

紧急情况的风险评估 � � � �

28Emergencies preparedness Program/ Plan

紧急情况的准备计划/规划 � � � �


29Emergency reporting and response procedures

应急报告与响应程序 � � � �

30Business continuity and resumption procedures

恢复营业程序 � � � �

31Training material and record on emergency response plans

应急预案的培训材料和记录 � � � �

32Post-emergency plan with root cause investigation program

於应急预案后对意外根本原因调查策划 � � � �

33

Inspection records for emergency support facilities (Emergency

lighting, emergency exit signs, evacuation paths, portable fire

extinguishers, safety exit enclosure)

检查记录的应急保障设施（应急照明，应急出口标志，疏散通道，手提式灭火器，安全出口）

� � � �

34Fire / evacuation drill plans and records

消防/ 疏散演习计划和记录 � � � �

35Corrective action plan to improve the emergency evacuation

改进紧急疏散的纠正行动计划 � � � �

36Emergency response team qualifications/ training material and record

应急响应小组资格或培训教材和记录 � � � �

37Emergency response team meeting minutes

应急响应小组會議記錄 � � � �

38Procedures for notifying response team

通知应急响应小组程序 � � � �

39Emergency response team contact list

� � � �


39Emergency response team contact list

应急响应小组联络名单 � � � �

40

Control, cleanup and disposal of hazardous materials or other

emergency response procedure

控制、清除、处置危险材料或其他应急响应程序� � � �

41Permit/ License/ Certification (Occupational Injury and Illness) (if any)

许可证/执照/证书（職業傷害和疾病）（如有） � � � �

42

Procedure and record that ensure (Occupational Injury and Illness)


确保（職業傷害和疾病）许可证/执照/证书及时更新的程序和记录� � � �

43Work-related injury and illness records such as log book or nurse’s log

与工作有关的损伤及疾病记录如记录本或护士日志 � � � �

44Work-related injury and illness statistics (Last 3 years)

過去三年与工作有关的损伤及疾病的统计数据 � � � �

45

Accident / occupational illness investigation records, including

identification of root cause and corrective action and follow-up reports

意外事故/职业病调查记录(包括识别根本原因及纠正措施和跟进报告)� � � �

46Accident/ Incident investigation and reporting procedure.

意外/ 事故调查和报告程序 � � � �


47

Medical surveillance system included Pre-job, on-the job, post-job and

post-emergency medical surveillance records

医疗监控系统，包入職前、在職、離職和紧急情况後的医疗监护记录� � � �

48Medical emergency and response procedure

医疗应急和响应程序 � � � �

49First aider qualification certificate

急救人员资格证 � � � �

50Qualified certificates for doctors or nurses in factory

在厂医护人员资格证书 � � � �

51Operations log of onsite emergency occupational medical clinic

医务室针对紧急职业治疗的记录 � � � �

52

Training record for new employee/ annual training record (medical

emergency response)

新员工培训记录/年度培训记录（救伤和治疗）� � � �

53First aid kits contents list

急救箱物品清单 � � � �

54First aid kits inventory list

急救箱物品库存清单 � � � �

55First aid kit inspection record (Monthly)

急救箱每月检验记录 � � � �

56Permit/ License/ Certification ( Industrial Hygiene) (if any)

工业卫生相关的许可证/执照/证书（如有） � � � �

57

Health risk assessment with associated Industrial hygiene sampling

reports (Chemical, biological or)

工作对员工的健康风险评估与相关的工业卫生采样(化学，生物或物理因素)报告

� � � �


素)报告

58

Procedure and record that ensure ( Industrial Hygiene)


确保（工业卫生）许可证/执照/证书及时更新的程序和记录� � � �

59

Program to identify, evaluate and control worker exposure to chemical,

physical and biological agents (included risk assessment program and

annual plan)

鉴别、评估和控制工人暴露於有害的化学、物理和生物因素的程序（包括风险评估项目和年度计划）

� � � �

60Industrial hygiene sampling record (Last 3 years)

近三年来的工业卫生抽样检查记录 � � � �

61

Ergonomic/physical demanding work identify, evaluate and control

procedure

人体工学/体力要求工作的识别、评估和控制程序� � � �

62

Ergonomic risk assessment or manual handling risk assessment

records of worker exposure to the hazards of physically demanding

work and frequently repeated operations. (Last 3 years)

工人就有害的体力要求工作和重复性作业的人体工学风险评估记录或人工处理风险评估记录 (過去3年的)

� � � �

63Permit/ License/ Certification (Machine Safeguarding) (if any)

许可证/执照/证书（机械安全）（如有） � � � �


64

Procedure and record that ensure (Machine Safeguarding)


确保（机械安全）许可证/执照/证书及时更新的程序和记录� � � �

65

Records of equipment safety reviews and evaluations at time of

purchase or installation (machines safety risk assessment)

购买或安装设备的安全检讨和评估记录（机器安全风险评估）� � � �

66

Preventive maintenance records for machine and inspection records ofmachine safeguards预防性维修和机器防护檢查记录

� � � �

67Machine and machine safeguard operating instructions for workers.

为工人提供的机器和机机器防护操作指导书 � � � �

68

Training record for new employee/ annual training record (Machine

Safeguarding)

新员工培训/年度培训记录（机器防护）� � � �

69

Permit/ License/ Certification (legally required food, sanitation and

housing) (if any)

许可证/牌照/证书 (宿舍、廚房和員工飯堂) (如有)� � � �

70Government approvals / permits for dormitory facilities

宿舍设施相关的许可证 � � � �

71Hygiene permit and hygiene inspection records for canteen facilities

餐厅卫生许可及卫生检查记录 � � � �

72Drinking Water (Dormitory) quality inspection report

饮用水（宿舍）质量检测报告 � � � �

73Health check records / certificates for canteen workers

食堂职工健康检查记录/证书 � � � �

Procedure and record that ensure (legally required food, sanitation and


74

Procedure and record that ensure (legally required food, sanitation and

housing) permits/license/certification are renewed before current

permit

确保（宿舍、廚房和員工飯堂)）许可证/执照/证书及时更新的程序和记录

� � � �

75Dormitories cleaning and sanitation program with tracking records

宿舍清洁和卫生方案与追踪记录 � � � �

76Pest Control Program with pest control log

害虫控制程序具有防虫記錄 � � � �

77

Preventive maintenance program (included emergency response

supporting facilities) with tracking record

预防性维护计划（包括应急配套设施）与追踪记录� � � �

78

Record of canteen and kitchen cleaning, disinfecting and/or pest

control

食堂和厨房的清洁，消毒和/或病虫害防治记录� � � �

79

Regular monitoring and reporting of safe food handling and hygiene

procedure

定期监测和报告安全食品处理和卫生程序� � � �

80

Safe food handling procedure and hygiene standards (in refrigeration,

storage, and preparation areas)

食物安全处理程序和卫生标准（冰箱、仓库和准备区域）� � � �

81Health and Safety training need analysis

健康和安全培训需求分析 � � � �


82Health and Safety Training Matrix with training plan

健康和安全培训计划 � � � �

83Health and Safety training program with material and training records

健康和安全培训計劃包括教材和记录 � � � �

84Hazardous communication procedure to worker and employee

通告員工/ 工人有關危害的程序 � � � �

(B) Health & Safety (501) Page 11(B) Health & Safety (501) Page 11

Available Copied

YES NO N/A YES

1Environmental permits, approval and registration

环境许可、批准和登記 � � � �

2

Copies of environmental permits and environmental impact

assessments and approval (if applicable)

环保证可证和环境影响评价报告和批复的复印件（如适用）� � � �

3

Environmental protection facilities design, installation, commissioning

and acceptance approval

环保设施的设计、安装、调试和验收批复� � � �

4Radiation safety permit (if applicable)

辐射安全许可证（如适用） � � � �

5Water intake permit (for underground water) (if applicable)

取水许可证（如取地下水）（如适用） � � � �

6Waste water discharge permit (if applicable)

废水排放许可证（如适用） � � � �

7

Procedure and record to ensure Environmental permits, approval and

registration are renewed before current permit expired

确保环保许可证、环评批复和注册及时更新的程序和记录� � � �

8Reports to submit to Environmental authorities for last 3 years

� � � �

Request Document List for EICC Audit (Environment)

No. Items

(C) Environment (501) Page 12

8Reports to submit to Environmental authorities for last 3 years

近三年向环保局提交的报告 � � � �

9

Procedure and record to ensure submission of the report to

Environmental authorities timely

确保及时向环保局提交报告的程序和记录� � � �

10

Policies, processes, and requirements of environment protection,

pollution prevention/ source reduction

环境保护、污染预防/ 资源减少的政策、过程和要求� � � �

11

Environmental aspects assessment and annual review report (included

aspects identification with monitoring, control and improvement

program establishment)

环境因素评估與年度報告（包括确认、监测、控制和编制改进方案）

� � � �

12Water conservation program with annual target tracking record

节约用水方案的年度目标追蹤记录 � � � �

13Energy conservation program with annual target tracking record

节能方案的年度目标追踪记录 � � � �

14

Hazardous material usage reduction program with annual tracking

review record

减少危废使用方案的年度评审追踪记录� � � �


15

Production chemicals reuse program with annual target tracking

record

生产化学品再利用方案的年度追踪记录� � � �

16

Packaging material or other site materials reuse/ reduction program

with annual target tracking record

包裝物料和其他物料循環再用/ 減少使用方案 (包括年度目標追踪记录)� � � �

17

Waste air emission reduction program with annual tracking review

record

废气减排项目年度评审追踪记录� � � �

18

Procedure for reception, storage, dispensing, use, return and disposal

of Hazardous substance

有害物质的接收，储存，配送，使用，回收和弃置程序� � � �

19

Program to select, track, review and approve the use and new

purchase of hazardous chemical

选择、追踪、审批使用新购买危险化学品的程序� � � �

20Chemical inventory record

化学品库存记录 � � � �

21

Inspection records of hazardous materials and their points of storage

and use.

危废检验记录及其储存和使用的费用� � � �

22

Copies of licenses of hazardous waste transporting/disposing vendors

with procedure and record that ensure licenses are periodically

renewed

危废运输/处理商的许可证复印件与确保定时更新的程序和记录

� � � �

Material Safety Data Sheet (MSDS) for all hazardous materials on site


23Material Safety Data Sheet (MSDS) for all hazardous materials on site

现场所有危險的物料安全数据表� � � �

24Copies of Hazardous substance inventory, manifests and shipping

papers for last 3 years

近三年的危废库存、转移和运送的单据复印件

� � � �

25

Annual Training material and record on hazardous chemicals

(including waste) use, handling, storage and disposal

年度危险化学品（包括危废）使用,处理,储存及处理的培训材料和记录� � � �

26On site audit/ assessment of hazardous waste disposal handler and/or

transporter in the last 2 years

过去两年对危险废物处理商和/或转运商的现场评估/审核

� � � �

27Non-hazardous waste reduction and recycling Policy and Program

非危险废物减量和回收利用的政策和程序 � � � �

28Inspection records of waste and their points of storage and use

废弃物检验记录及其储存和使用的费用 � � � �

29Copies of Licenses of waste transporting/disposing vendors with

procedure and record that ensure licenses are periodically renewed

废弃物运输/处理商的许可证复印件与确保定时更新的程序和记录

� � � �

30

Consignment notes / disposal records (Waste manifests, receipts and

invoices)

托运票据/处理记录（废弃物转移联单、收据和发票）� � � �


31Wastewater storage, treatment and discharge procedure

废水储存、处理和排放程序 � � � �

32

Operation, inspection and maintenance records of wastewater

treatment equipment

废水处理设备的操作、检查和维护记录� � � �

33

Test result and corrective actions and tracking of wastewater

discharging non-conformance (within the past 2 years)

废水排放不符合的测试结果、纠正措施和追踪 (需要在过去两年).� � � �

34

Waste water discharge monitoring and reporting records from the past

5 years

近五年的废水排放监测和报告记录� � � �

35

Training material and training record for workers responsible for

operating and maintaining wastewater treatment system.

给负责污水处理设施员工的培训教材和记录� � � �

36

Waste water discharge reduction program with annual tracking review

record

污水减排项目年度评审追踪记录� � � �

37Air emission treatment and discharge control procedure.

废气处理和排放控制程序 � � � �

38

Operation, inspection and maintenance records of air emission control

equipment

废气排放控制设备的操作、检查和维护记录� � � �

39Air emissions monitoring reports for the past 5 years

近五年的废气排放监测记录 � � � �

Three annual analytical test results showing compliance with the legal


40

Three annual analytical test results showing compliance with the legal

and permit requirements (Result cannot be older than 2 years)

3份年度的废气排放分析测试结果和整改措施與追踪不符合的記錄（結果必需在过去的2年内）

� � � �

41

Training record for workers operating and maintaining air emissions

treatment systems

工人操作和维护废气排放处理系统的培训记录� � � �

42

Boundary noise source program (Included identification, evaluation,

routinely monitoring and control)

外围噪声源的识别，评估，定期监测和控制程序和記錄� � � �

43

Corrective action and tracking of boundary noise control non-

conformance

外围噪声控制不符项的纠正措施和追踪� � � �

44Boundary noise monitoring report for the past 5 years

近五年的外围噪声监测报告 � � � �

45

Procurement and manufacturing specifications describing how the

facility meets legal and customer product content requirement

描述工厂如何满足法律和客户禁用产品成份要求的采购和生产规格书� � � �

46Material certificate with testing result of product/ component

产品/零件化学成份证书与其测试结果 � � � �


47

Purchased materials and components testing procedures (To verify

that they conform to customer/ legal requirements e.g. RoHS or

REACH)

采购材料和产品成份测试程序（为核实他们符合客户/法律要求如RoHS或REACH

� � � �

48Certification of restricted material (ROHS and REACH) from suppliers.

供应商符合限用物质（RoHS和REACH）要求的证明 � � � �

49

Annual audit, inspection, testing and analytical records from material/

component suppliers

材料/元器件供应商的审核、检验、测试和分析记录� � � �

50

Declaration of products if contain any Substances of Very High

Concern (REACH)

限用物质超标的产品公告（REACH）� � � �

51Statement of RoHS complacence

符合RoHS要求的声明 � � � �

52Procedure of request material certificate/ declaration from suppliers.

要求供应商提供使用限用物质材料证明/公告的程序 � � � �

53

Non-compliant materials or components corrective action procedure

and record

不符合材料或产品成份的纠正措施程序和记录� � � �

54

Program to identify potential pollutant source that might affect storm

water runoff

辨认影响雨水径流潜在污染源的计划� � � �

A list with description of potential spills and leaks that could contribute


55

A list with description of potential spills and leaks that could contribute

pollutants to storm water discharge and specify which out lets are likely

to be affected

潜在污染雨水排放的溢出和泄漏的列表与描述

� � � �

56

A list with description of past spills and leaks in the previous 3 years

that occurred at areas exposed to storm water, or that drained to the

storm water drainage system

過去3年污染雨水排放的溢出和泄漏的列表与描述

� � � �

57

A list of non-storm water discharges and eliminate any unauthorized

non-storm water discharges

非雨水的排放和消除任何未经授权非雨水排放的列表� � � �

58

A list of areas of industrial activities exposed to storm water and its

pollutant constituents

由工业活动所产生影响雨水排放的污染物的区域列表与其成分列表� � � �

59

Structural control and non-structural control program to prevent storm

water pollution as part of its storm water pollution protection plan

雨水污染保护计划，包括结构性控制和非结构控制性的防止雨水污染的控制程序

� � � �

60Facility map of storm water drainage system雨水排放設施的平面圖

� � � �


61

Storm water discharge periodic monitoring record with control

measure

雨水排放定期監測記錄與控制措施� � � �

62Storm water related emergency response program

有關雨水排放的應急響應程序 � � � �

63Annual evaluation of storm water control measures

对雨水控制措施的年度评估 � � � �

64Visual observation evaluation record and sampling/ analytical data

目測評估記錄與取樣/分析數據 � � � �

65

A summary of inspection specified in the storm water pollution

prevention plan

雨水污染防治計劃的檢測結摘要� � � �

66

Storm water pollution incident reports and corrective action tracking

record

污染雨水的事故報告和其糾正行動的追踪記錄� � � �

67Copies of total quantity of fuel combustion on-site record on-site record

现场燃料燃烧总量记录副本 � � � �

68Fuel bills/ Purchased fuel record for power generator

燃料賬單及用於發電的燃料購買記錄 � � � �

69Electricity bills

電費單 � � � �

70Monthly and annual Electricity meter reading record

月度與年度電力抄表記錄 � � � �


71Purchased fuel record for vehicles (Total purchase and by type)

車輛購置燃料紀錄（總採購和按類型分類） � � � �

72Renewable energy generation tracking record

再生能源发电的追踪记录 � � � �

73Renewable energy purchased tracking record

再生能源採購的追跟踪記錄 � � � �

74Other material emission sources tracking record

其他物质排放源追踪记录 � � � �

75

Documented program to show how energy and other greenhouse gas

sources are converted into greenhouse gas emissions

如何把能源和其他溫室氣體換算成溫室氣體排放的程序� � � �

76

Energy efficiency and GHG emissions improvement program including

tracking record

能源效益和温室气体排放的改善方案，包括其追踪记录� � � �

77Energy consumption management procedure

能耗管理程序 � � � �

78

Annual energy and GHG reduction target, performance and corrective

action

年度能源和温室气体减排目标，绩效和纠正措施� � � �

79

Annual review record to identify energy and GHG improvement

opportunities

確定能源和溫室氣體的改善空間的年度審核記錄會� � � �


80

Specific training record for worker operating and maintaining energy

and fuel-consuming operation

维护能源和燃料消耗的操作对工人的培训记录� � � �

(C) Environment (501) Page 17(C) Environment (501) Page 17

Available Copied

YES NO N/A YES

1

Policy of zero tolerance on all forms of bribery, corruption,, extortion

and embezzlement

零容忍所有形式的贿赂，腐败,勒索和贪污的政策� � � �

2

Procedure in encouraging workers/ employees to declare conflicts of

interest

鼓励员工申报利益冲突的程序� � � �

3Conflicts of interest declaration Records

利益冲突申报记录 � � � �

4Procedure to protect employee who refuse to violate ethics policy

保护拒绝违反商业道德政策的员工的程序 � � � �

5

Training material and record on policy to on zero tolerance bribery,

corruption, extortion and embezzlement and conflict of interest

process (Refresher at least annually)

零容忍所有形式的贿赂，腐败,,勒索、贪污和利益冲突的申报的政策年度培训材料和记录

� � � �

6Gift policy

礼物赠送和收取政策 � � � �

7Investigation Procedure for allegation of bribery/ Improper Advantage

Request Document List for EICC Audit (Ethics)

No. Items

7Investigation Procedure for allegation of bribery/ Improper Advantage

贿赂指控的调查程序 � � � �

8Investigation records for bribery

调查贿赂的记录 � � � �

9

Regular monitoring program to ensure workers or agents do not make

or accept improper offers, bribes or undue/Improper advantage

确保员工或代理人没有提出或接受不正当的报价，贿赂或不当/不正当利益的定期监测计划

� � � �

10Training material and record for gift policy

礼物赠送和收取政策的培训材料和记录 � � � �

11

Inspection/assessment/Audit procedure to ensure accuracy of

information

确保信息准确的检查/评估/审计程序� � � �

12

Procedure to prevent and investigate misrepresentation by workers,

managers and their agents

防止和调查工人、管理人和代理商不實陳述的程序� � � �

13Accounting policies/procedure to verify accuracy of information

稽核財務信息准确度的会计政策/程序 � � � �

14Financial reporting to government

交给政府的财务报告 � � � �

15Third party financial report

由独立核数师发出的财务报告 � � � �

16Procedures to safeguard customer information

保护客户信息程序 � � � �

17Procedure of intellectual property ownership review and IP protection

知识产权评估和保护程序 � � � �

18

Procedures to ensure non-disclosure and protection of information

about its customers, channel partners, suppliers, workers, and other

business partners

以确保不泄露和保护有关客户、合作伙伴、供应商、员工与其他业务伙伴的程序

� � � �

19Non-disclosure agreements with workers, and employees

与工人和员工的保密协议� � � �

20Non-disclosure agreements with customers, channel partners,

suppliers, workers, and other business partners

与客户、合作伙伴、供应商、工人和其它商业伙伴的保密协议

� � � �

21IT policies guidelines about distribution/ dissemination of information

有关信息发布/传播的IT政策的指引� � � �

22Training material and records on customer information and intellectual

property protection

客户信息與知识产权保护程序的培训材料和记录

� � � �

23

Company policies and procedures to ensure no false or misleading

advertising.

确保广告没有虚假或误导成份的政策和程序� � � �

24

Public information (job, product, company promotion, commercial

advertising, website)

公共信息（职业、产品、公司晋升机制、商业广告、网站）� � � �

公共信息（职业、产品、公司晋升机制、商业广告、网站）

25Records of internal checking on advertising

广告的内部检查记录 � � � �

26Policy to prohibit collusion

禁止合谋订价政策 � � � �

27Investigation procedure for allegations of collusion

合谋订价指控的调查程序 � � � �

28Monitoring procedure related to fair competition

有关公平竞争的监督程序 � � � �

29Training material and record on policy prohibiting collusion

禁止合谋订价的培训材料和记录 � � � �

30

Procedure to protect whistleblowers identity (included employees and

major suppliers' employee)

保护举报人的身份的程序（包括员工和主要供应商的员工）� � � �

31

Procedure of confidential reporting for employees and suppliers'

employee

员工和供货商员工检举程序� � � �

32

Training material and records on company whistleblowers protection to

worker

保护检举者身份的培训材料和记录� � � �

33Communication record on whistleblowers policy to supplier

与供应商关于检举政策的沟通记录 � � � �

34

Procedure to safeguard retaliation including investigation of possible

retaliation

防止打击报复行为的程序 (包括调查有可能发生的打击报复)� � � �

35Training/communication material and record on non-retaliation

杜绝打击报复的培训/沟通材料和记录 � � � �

36

Policy and procedure to protect privacy of suppliers, customers,

consumers and employees

保护供应商、客户、消费者和员工的隐私的政策和程序� � � �

37

Training material and record on personal information protection

procedure

个人信息保护程序的培训材料和记录� � � �

38

Policy and program avoid knowingly purchasing 3TG minerals in the

Democratic Republic of Congo or surrounding countries

避免故意在刚果民主共和国或周边国家采购3TG矿产品的政策� � � �

39

Identification of 3TG supplier (internal analysis /OR/ inquiry with

supplier)

3TG供应商的确认（内部分析/ OR /与供应商查询）� � � �

40

Record of request sent to 3TG Suppliers to identify Smelters and

Refiners within the 3TG Supply Chain

發送給3TG供应商以识别3TG供应链中冶炼厂和精炼厂的请求记录� � � �

41

Record of responses received from 3TG Suppliers to identify Smelters

and Refiners

3TG供应有关确定冶炼厂和炼油厂商的回复记录� � � �

42Procedure to verify and monitor responsible sourcing of minerals

核实和监测采购的矿物质的程序 � � � �

Available Copied

YES NO N/A YES

1Labor Management System Certificate (e.g. SA8000)

劳工管理系统证书（如：SA8000） � � � �

2Health & Safety Management System Certificate (e.g. OHSAS18001)

健康安全管理系统证书（如：OHSAS18001） � � � �

3Environmental Management System Certificate (e.g. ISO14001)

环境管理系统证书（如：ISO14001） � � � �

4Ethics Management System Certificate

道德管理系统证书 � � � �

5Facility's labor policy

工厂劳工政策 � � � �

6Facility's health & safety policy

工厂健康安全政策 � � � �

7Facility's environment policy

工厂环境政策 � � � �

8Facility's ethics policy

工厂道德政策 � � � �

9

Assignment letter of management representative (s) for EICC 4

components � � � �

Request Document List for EICC Audit (Mgt Sys)

No. Items

(E) Management System (501) Page 21

9 components

针对EICC4个部分的管理代表任命书� � � �

10

Role and responsibilities for the management system representative

(s) for EICC 4 components

针对EICC 4个部分的管理系统代表的职责� � � �

11

Authorities and responsibility for managers and supervisors for EICC 4

components

针对EICC 4个部分的经理和高级管理者的权得和责任� � � �

12Responsibility of workers for EICC 4 components

针对EICC4个部分的工人的责任 � � � �

13

Training material and record on workers\ management responsibilities

for EICC 4 components

针对EICC 4个部分中工人/管理者的责任的培训材料和记录� � � �

14Management review procedure

管理评审程序 � � � �

15Management system review records for EICC 4 components

针对EICC 4个部分的管理评审记录 � � � �

16

Procedure to identify, track, assess, integrate, implement and maintain

a current understanding of applicable legal and customer requirements


鉴别、追踪、评估、整合、执行和维护EICC 4个部分及可适用的法律和客户要求的程序

� � � �


17

Applicable laws and regulations and the key customer requirements


针对EICC 4个部分的可适用的法律和规章及关客户要求� � � �

18Procedure to identify, evaluate and rank risks for EICC 4 components

针对EICC 4个部分鉴别、评估和划分风险等级的程序 � � � �

19Risk assessment records for EICC 4 components

针对EICC 4个部分的风险评估记录 � � � �

20

Action plan to minimize risk and procedural controls and/or

improvement objective for EICC 4 components

针对EICC 4个部分的减少风险的执行计划和程序控制/或改进目标� � � �

21Annual Training materials and training records on risk assessment

风险评估的年度培训材料和培训记录 � � � �

22

Objective setting process within indicators/ objectives/target for EICC 4

components

针对EICC 4个部分的确保在目标范围之内的目标设定过程� � � �

23

Current targets, last review meeting and current progress against the

targets for EICC 4 components

针对EICC 4个部分的目前的目标、上次评审会议和目前的发展状况� � � �

24

Training procedure/plan for all employees on policy/procedures/job

related aspects and performance targets for EICC 4 components

针对EICC 4个部分对所有员工就政策/程序/相关的工作方面和绩效目标的培训程序/计划

� � � �

25

Procedure and plan of labor, ethics and EHS trainings provided to

workers � � � �


25 workers

提供给工人的劳工、道德和健康安全环境培训程序和计划� � � �

26

Training material and record for EICC 4 components (training to

managers)

针对EICC 4个部分的培训材料和记录（对经理的培训）� � � �

27

Training material and record for EICC 4 components (training to

workers)

针对EICC 4个部分的培训材料和记录（工人培训）� � � �

28

Communication program/record for policy, performance, practice,

expectations of EICC 4 components to workers/employees

针对EICC 4个部分就政策、绩效、实践、期望与工人/员工的沟通方案/记录

� � � �

29


expectations of EICC 4 components to suppliers

针对EICC 4个部分就政策、绩效、实践、期望与供应商的沟通方案/记录

� � � �

30


expectations of EICC 4 components to customer

针对EICC 4个部分就政策、绩效、实践、期望与客户的沟通方案/记录� � � �

31

Procedure for workers to anonymously report grievances and

complaints

工人匿名报告抱怨和投訴的程序� � � �


32

Training material and records on how to report grievances and

complaints

如何报告抱怨和投訴的培训材料和记录� � � �

33Procedure to obtain worker feedback

获得工人反馈的程序 � � � �

34Analysis of feedbacks

分析工人的反馈 � � � �

35Self audit procedure for EICC 4 components

针对EICC 4个部分自我评审的程序 � � � �

36Self audit report for EICC 4 components

针对EICC 4个部分自我评审报告� � � �

37Procedure of Corrective/preventive action for audit issues

审核问题点的纠正/预防措施程序 � � � �

38Corrective/preventive action tracking records

纠正/预防措施跟踪记录 � � � �

39

Regulatory citations/violation notices received in the past three years


针对EICC 4个部分近三年内收到的管理传唤/违规通知� � � �

40Action plans for regulatory citations/violations

针对管理传唤/违规通知的行动计划 � � � �

41

Documentation and record keeping and secured storage procedure for

EICC 4 components

针对EICC 4个部分的文件化和记录保存和储存程序� � � �

42Document/record master list

文件/记录目录 � � � �


文件/记录目录

43EICC supplier / contractors implementation procedure

EICC 供应商/承包商执行程序 � � � �

44Process for communicating EICC code requirement to suppliers

向供应商沟通EICC准则要求的流程 � � � �

45Records for communicating EICC code requirement to suppliers

向供应商沟通EICC准则要求的记录 � � � �

46Contract with suppliers / contractors

与供应商/承包商签订的合同 � � � �

47Supplier EICC requirements compliance evaluation procedure

供应商EICC要求符合评估程序 � � � �

48EICC code implementation questionnaires

EICC准则执行问卷调查表 � � � �

49Supplier audit or visit report

供应商审核或访问报告 � � � �

50Recognized EICC audit report for suppliers

经认可的供应商EICC审核报告 � � � �

51

Suppliers' corrective action plan for issues related to EICC

requirement

有关EICC要求的问题的供应商纠正措施计划� � � �

52 Procedure to verify the suppliers' CAP

供应商的纠正预防措施的核实程序 � � � �


Documents

Request Document List for EICC Audit (General Information)images02.cdn86.net/kps01/M00/E2/D8/wKiAiVeQi7qoo2...Specialized safety training certificate( Valid safety operation certificate