Philips 審核所需文件 (一般)
Request Document List for Philips Audit (General Information)

No.    項目與內(nèi)容 Items    提供(Available)       復印(copied)
                                              YES NO N/A               YES NO
0.1 營業(yè)執(zhí)照
Business license

0.2 公司組織架構(gòu)圖
Organization chart

0.3 公司簡介 - 人員 / 產(chǎn)量 / 產(chǎn)值 / 客戶/ 面積
Factory profile - employees / capacity / revenue / customers / area

0.4 (公司)廠區(qū) / 廠房平面圖
(Company) Factory area / building's floor layout

0.5 主要生產(chǎn)工藝流程圖
Main production process flow chart
0.6 在過去3年，違反了勞工、道德規(guī)范、健康與安全或環(huán)境法律法規(guī)的處
罰記錄(如有)
Penalties information for violation of labor, ethics, health & safety or environment laws & regulation in past 3 years(if any)
0.7 與供貨商就符合EICC標準的溝通和合同要求
Communication and contract requirements with suppliers regarding
EICC conformance
0.8 供貨商執(zhí)行EICC守則要求的驗證記錄
Proof of verification suppliers' implementation of EICC code requirements

No.    項目與內(nèi)容 Items      提供(Available)       復印(copied)
                                                 YES NO N/A           YES NO
1.1 員工手冊 / 指南
Employee manual / handbook

1.2 與勞務(wù)派遣公司的合同(如有)
Contract with labor agencies(if any)

1.3 花名冊包括詳細人力資源如各部門的直接、非直接、派遣和臨時工人的
數(shù)目
Worker list including detailed manpower structure of number of direct, indirect, contracted and temporary workers in each department

1.4 勞動合同 (所有員工)
Worker labor contracts (all workers)

1.5 人事檔案包括員工入廠登記、身份證復印件、近照和相關(guān)年齡證明文件
Personnel files including worker information, copy of identity card and related proof of age document
 

1.6 招聘程序
Recruitment procedure
 

1.7 保護未成年工和婦女工人的公司政策和程序
Company policy and procedure for young worker and female worker protection
 

1.8 未成年工名單 / 未成年工使用登記證﹝當?shù)貏趧泳謧浒俯{
Young worker list / young worker registration approval (acknowledged by local Labor Department)
 

1.9 未成年工崗位班次安排規(guī)定
Arrangement policy for posts and shifts of young workers
 

1.10 未成年工入廠和定期體檢記錄
Entrance & annual health examination reports for young workers

1.11 禁止招聘童工的政策
Restriction for hiring child labor policy
 

1.12 發(fā)現(xiàn)雇傭童工后的補救措施
Remedial action for hiring child labor
 

1.13 合作的職業(yè)學校相關(guān)記錄(如有)
Related records of vocation schools(If any)

1.14 離職程序包括辭職通知時間和解雇和相關(guān)記錄
Resignation procedure including resign notice period and dismiss and related records
 

1.15 綜合計時批文(如有)
Waiver of comprehensive working hours(If any)

1.16 正常和加班工作時間記錄(至少最近12個月)
Time cards of normal and overtime working with at least 12 months

1.17 工作時間政策包括正常和加班工作、班次、進出、休息、休假和輪班調(diào)
休
Working time policy including regular & overtime working, shifts, time
 

1.18 確保正常和加班工時符合EICC守則和當?shù)胤ㄒ?guī)要求的監(jiān)控程序
Monitoring procedures to ensure normal and overtime working is in compliance with EICC code and local legal requirements
 

1.19 工人自愿加班申明或協(xié)議 (如有)
Application or agreement about voluntary overtime from workers(If

1.20 加班申請及安排(如有)
Application and schedule of overtime(If any)
 

No.                 項目與內(nèi)容 Items                提供(Available)                復印(copied)
                                                                             YES NO N/A               YES NO
1.21 請假單
Leaves request application
 

1.22 生產(chǎn)記錄包括每日記錄和計件生產(chǎn)表
Production records including daily records and summary of piece manufactured
 

1.23 薪酬政策規(guī)定底薪和加班費的計算和扣減方法
Compensation policy with calculation and deduction method for basic salary and overtime premium
 

1.24 過去12個月工資表或工資條,附有全部扣減和收入項目
Payroll records or pay slips covering last 12 months including current months, peak season and low season with all deduction and earnings
 

1.25 工資發(fā)放的銀行轉(zhuǎn)帳及清單 (如有)
Bank transaction for worker wages and detail breakdown(if any)

1.26 計件工資計算程序(如適用)
Procedure for piece rate wage calculations(If applicable)

1.27 當?shù)卣畹凸べY文件
Local governmental document about minimum wage

1.28 工人保險計劃證據(jù) (社會保險及補充商業(yè)保險)
Proof of worker insurance scheme (social insurance or supplementary commercial insurance)
 

1.29 當?shù)卣鐣ｋU豁免參保批文
Social insurance scheme waiver from local government

1.30 工人請假政策
Leave policy for workers
 

1.31 福利待遇規(guī)定 (津貼，有薪假期如年假或婚產(chǎn)假等)
Benefits policy (allowance, paid leaves such as annual leave, marriage leave or maternity leave)
 

1.32 有關(guān)紀律的廠紀、廠規(guī)、流程和程序
Factory rules, regulation, process and procedure on disciplinary measures
 

1.33 飯?zhí)?/ 宿舍規(guī)章制度
Regulations of meals in canteen / accommodation

1.34 工人投訴的處理政策 / 程序
Worker grievances handling policy / procedure
 

1.35 工人投訴的處理記錄包括工人或工會會議記錄(如有)
Handling worker grievance records including worker or worker union(If any)
 

1.36 紀律執(zhí)行記錄和相關(guān)調(diào)查與實施的行動
Records of disciplinary practice and related investigations & action taken
 

1.37 禁止歧視的政策
Policy about anti-discrimination
 

1.38 招聘前的身體檢查要求
Pre-employment medical examination requirements

1.39 招工廣告
Job advertisements

1.40 保障自由結(jié)社 / 工會的政策
Policy to ensure freedom of association / labor union
 

No.    項目與內(nèi)容 Items            提供(Available)            復印(copied)
                                                       YES NO N/A                 YES NO
1.41 員工代表選舉記錄
Records of selection of workers' representatives
 

1.42 工人會議記錄 / 工會和管理層會議記錄
Worker meeting minutes / union-management meetings minutes

1.43 與工人定期溝通和反饋的證據(jù)
Evidence of regular communication and feedback with workers

1.44 匿名申訴程序以防止遭受報復
Anonymous complaint procedure to prevent from retaliation
 

Philips 審核所需文件 (道德規(guī)范)
Request Document List for Philips Audit (Ethics)

No.         項目與內(nèi)容 Items            提供(Available)                復印(copied)
                                                           YES NO N/A                      YES NO

2.1 商業(yè)行為指引 / 標準 / 政策或道德規(guī)范守則
Business conduct guideline / standard / policy or code of ethics
 

2.2 工人的道德規(guī)范培訓記錄
Training records on code of ethics to workers
 

2.3 公司捐獻和贊助的政策
Company policy on donations and sponsorships
 

2.4 公司道德規(guī)范，反貪污和賄賂的政策
Company policy on ethics, anti-corruption and bribery
 

2.5 禁止收受賄賂或利用其它手段獲取不正當收益的程序文件
Documented procedures to address bribes or other means of obtaining undue or improper advantage.
 

2.6 反貪污，敲詐勒索和挪用公款的程序文件
Documented procedures to address corruption, extortion and embezzlement
 

2.9 調(diào)查違反道德規(guī)范的程序
Ethics breach investigation procedure
 

2.10 違反公司商業(yè)守則或道德規(guī)范守則的記錄
Records of violations of the company’s business conduct or code of ethics
 

2.11 與工人、供貨商和顧客的保密協(xié)議
Non-disclosure agreements with workers, suppliers and customers
 

2.12 知識產(chǎn)權(quán)檢討和保護政策
Intellectual property review and protection policies
 

2.13 處理侵犯公司知識產(chǎn)權(quán)政策的程序
Procedures to address violations of company intellectual property policies.
 

2.14 保護客戶資料的程序
Procedures to safeguard customer information.
 

2.15 公司有關(guān)防止虛假或誤導廣告的政策和程序
Company policies and procedures about not false ort misleading advertising.
 

2.16 符合法規(guī)要求的廣告(如有)
Advertising complies with legal requirements(If any)
 

2.17 內(nèi)部審查廣告的記錄(如有)
Records of internal checking on advertising(If any)
 

2.18 舉報政策 / 程序
Whistle blowing policy / procedure
 

2.19 保護舉報者的政策
Protection of whistleblowers policy
 

2.20 針對舉報而保密調(diào)查的程序和引致的行動記錄
Procedure for confidential investigation and resulting action records on
a whistle blowing
 

Philips 審核所需文件 (健康與安全)
Request Document List for Philips Audit (Health and Safety)

No.          項目與內(nèi)容 Items           提供(Available)         復印(copied)
                                                            YES NO N/A              YES NO

3.1 健康安全程序﹝如上鎖標志、密閉空間、熱力工作等﹞
Safety procedures (e.g., lockout tag, confined space, hot-work etc)
 

3.2 操作電梯與叉車、電工和電焊工等的特種作業(yè)人員證書
Special operation certificates for operating lift & forklift vehicle, electrician and welding operator etc
 

3.3 工作安全分析記錄
Job safety analysis records
 

3.4 危險能量控制程序、電氣安全、密閉空間進入和墮下保護等
Procedures for hazardous energy control, electrical safety, confined space entry and fall protection etc
 

3.5 用電系統(tǒng)安全檢查報告
Electrical system safety inspection report
 

3.6 廠房建筑結(jié)構(gòu)安全合格證
Factory building structure safety certificate
 

3.7 廠房消防合格證
Factory building fire safety certificate
 

3.8 防雷系統(tǒng)檢測報告﹝如要求﹞
Lightning protection system testing report (if required)
 

3.9 保安守則/保安上崗證﹝如適用﹞
Security guard certificates (if applicable)
 

3.10 安全主任資格證
Safety officer certificate
 

3.11 電梯和起重設(shè)備的登記證和年檢合格證(如有)
Register and annual inspection certificate of elevator & lift(If any)
 

3.12 鍋爐和壓力容器使用登記證和年檢合格證 (如有)
Register and annual inspection certificate of pressure vessels and boilers(If any)
 

3.13 鍋爐和壓力容器操作工上崗證 (如適用)
Pressure vessels and boilers operator certificates(If applicable)
 

3.14 個人防護裝備的使用方案和程序（呼吸保護，聽力保護）
Programs and procedures for using personal protective equipment
PPE (respiratory protection, hearing protection, etc.)
 

3.15 不同工作所需的個人防護裝備清單
List of personal protective equipment PPE required for various tasks
 

3.16 消防程序，消防系統(tǒng)、火災(zāi)撲滅和報警系統(tǒng)的保養(yǎng)和測試記錄
Fire protection plan, maintenance & testing records for fire protection, fire fighting system, suppression and fire alarm system
 

3.17 消防年度檢查報告(如有)
Annual fire protection inspection report(If any)
 

3.18 消防 / 疏散演習計劃和記錄
Fire / evacuation drill plans and records
 

3.19 化學泄漏應(yīng)急疏散記錄(如適用)
Chemical spill response drill records(If applicable)
 

3.20 化學品的物料安全數(shù)據(jù)數(shù)據(jù)表
Material safety data sheet for chemicals
 

3.21 與工作有關(guān)的損傷及疾病記錄如記錄本或護士日志
Work-related injury and illness records such as log book or nurse’s
 

3.22 事故 / 職業(yè)病調(diào)查記錄，包括意外主要原因及糾正措施和跟進報告
Accident / occupational illness investigation records, including identification of root cause and corrective action and follow-up reports
 

3.23 急救人員資格證書
First aider qualification certificate
 

3.24 在廠醫(yī)護人員資格證書(如有)
Qualified certificates for doctors or nurses in factory(If any)
 

3.25 工業(yè)衛(wèi)生定性和定量的監(jiān)測報告（噪音，化學性和物理性）
Qualitative and quantitative industrial hygiene monitoring reports
(noise, chemical and physical)
 

3.26 工人職業(yè)健康體檢紀錄，包括醫(yī)療監(jiān)視測試（例: 血液測試及聽力測
驗）
Worker occupational health records, including medical surveillance
 

3.27 懷孕女工和未成年工的保護方案
Protection program for pregnant workers and young workers
 

3.28 與工人溝通工業(yè)衛(wèi)生數(shù)據(jù)的記錄
Records of communication of industrial hygiene data to workers
 

3.29 工人就有害的體力要求工作和重復性作業(yè)的人體工學風險評估記錄或人
工處理風險評估記錄
Ergonomic risk assessment or manual handling risk assessment records of worker exposure to the hazards of physically demanding work and frequently repeated operations

3.30 于設(shè)備購買或安裝時的安全檢討和評價記錄﹝機器安全風險評估﹞
Records of equipment safety reviews and evaluations at time of purchase or installation (machines safety risk assessment)
 

3.31 為工人提供的機器和機器維護操作指導書
Machine and machine safeguard operating instructions for workers.
 

3.32 機器的預(yù)防性維修和機器保護措施檢查記錄
Preventive maintenance records for machine and inspection records of machine safeguards
 

3.33 正確使用安全設(shè)備和工具的說明文件
Documents describing the proper use of safety equipment and tools
 

3.34 已識別危害的控制程序如物理控制的設(shè)計和安裝﹝過程自動化或起重設(shè)
備等﹞
Procedure to control the identified hazards such as design and installation of physical controls (process automation or lifting devices etc)

3.35 食堂員工健康檢查記錄 / 證書
Health check records / certificates for canteen workers
 

3.36 食堂設(shè)施的衛(wèi)生許可證及衛(wèi)生檢查記錄
Hygiene permit and hygiene inspection records for canteen facilities
 

3.37 在宿舍進行的疏散演習記錄
Records of evacuation drills held in dormitory
 

3.38 宿舍設(shè)施的政府批文 / 許可證
Government approvals / permits for dormitory facilities
 

3.39 宿舍設(shè)施如通風，廁所，火警探測與撲滅設(shè)備，照明設(shè)備等檢查，測試
和維修記錄
Inspection, test and maintenance records for dormitory facilities such as ventilation, toilet facilities, fire detection and suppression equipment, lighting etc

Philips 審核所需文件 (環(huán)境)
Request Document List for Philips Audit (Environment)

No.       項目與內(nèi)容 Items       提供(Available)      復印(copied)
                                                    YES NO N/A           YES NO

4.1 環(huán)保許可證及環(huán)境評價報告
Copies of environmental permits and environmental impact assessments
 

4.2 三同時報告 / 環(huán)保設(shè)施驗收報告（如適用）
Environmental protection facilities design, installation, commissioning and acceptance report (if applicable)
 

4.3 取水許可證（如取地下水）
Water intake permit (for underground water)
 

4.4 由政府機構(gòu)發(fā)出的官方許可證要求豁免書
Official exemptions from permit requirements, issued by government agencies
 

4.5 由環(huán)保許可證要求的監(jiān)測、檢查和保養(yǎng)記錄
Records of monitoring, inspections and maintenance required by environmental permits
 

4.6 過去2年釋放到環(huán)境的記錄﹝水、氣和廢物的量﹞
Environmental release registered (volume of water, air, waste) for last
2 years
 

4.7 防止和減少污染的計劃和結(jié)果
Pollution prevention and reduction plans and results
 

4.8 測量及減少溫室氣體排放的方案及目標和結(jié)果
Programs and objectives to measure and reduce Green House Gas
(GHG) emissions and result
 

4.9 節(jié)約用水方案
Water conservation initiatives
 

4.10 節(jié)能方案
Energy conservation programs
 

4.11 降低原料消耗及 / 或廢物產(chǎn)生的方案及項目
Programs and projects intended to reduce the amount of raw materials consumed and / or waste generated
 

4.12 循環(huán)、再用和保護資源的方案和程序
Programs and procedures for recycling, reuse and resource conservation
 

4.13 監(jiān)測記錄﹝能源及水消耗﹞以支持節(jié)約方案及目標
Monitoring records (e.g. energy and water consumption) in support of reduction programs and objectives
 

4.14 化學品原料和化學廢物存儲區(qū)檢查記錄
Inspection records of storage areas for raw chemicals and chemical wastes including hazardous waste
 

4.15 環(huán)境應(yīng)急預(yù)案及演習報告
Environmental emergency preparedness and drills report
 

4.16 泄漏控制計劃和程序
Spill control plan and procedures
 

4.17 容器完整性檢查和測試報告
Tank integrity inspection and test reports
 

4.18 現(xiàn)場產(chǎn)生的固體廢物清單﹝危險和非危險﹞
List of solid wastes (hazardous ad non-hazardous) generated on site
 

4.19 在現(xiàn)場所有危廢的物料安全數(shù)據(jù)表﹝MSDS﹞
Material Safety Data Sheet (MSDS) for all hazardous materials on site
 

4.20 委托記錄 / 處理記錄﹝危險廢物轉(zhuǎn)移聯(lián)單、收據(jù)和發(fā)票﹞
Consignment notes / disposal records (hazardous waste manifests, receipts and invoices)
 

4.21 危險廢物備案表
Hazardous waste register record
 

4.22 危廢許可證或登記和監(jiān)控 / 檢測報告
Waste permits or registrations and mentoring / inspection reports
 

4.23 環(huán)境有害物質(zhì)管理系統(tǒng)文件
Environmental hazardous substance management system documents
 

4.24 公司有害物質(zhì)控制標準
Company hazardous substance control standard
 

4.25 相應(yīng)客戶有害物質(zhì)控制標準
Client hazardous substance control standard
 

4.26 污水處理設(shè)備的運行，檢查和維修記錄
Operation, inspection and maintenance records of wastewater treatment equipment
 

4.27 自來水或地下水的水質(zhì)量分析
Water quality analyses from water supply or groundwater wells
 

4.28 排污許可證
Waste water discharge permit
 

4.29 排污監(jiān)測記錄
Waste water discharge monitoring
 

4.30 違反許可證要求的記錄﹝超標排放﹞
Records of violations of permit conditions (exceeding discharge limits)
 

4.31 廢氣排放監(jiān)測報告和許可證
Air emissions monitoring reports and permit
 

4.32 廢氣處理設(shè)備的運行，檢查和維修記錄
Operation, inspection and maintenance records of air emission control equipment
 

4.33 采購和生產(chǎn)規(guī)格形容工廠怎樣符合法規(guī)和客戶的禁用產(chǎn)品成份的要求
Procurement and manufacturing specifications describing how the facility meets legal and customer product content restrictions
 

4.34 RoHS的溝通記錄和其它給供貨商有關(guān)客戶禁用產(chǎn)品成份記錄
Records of communication of RoHS and other customer product content restrictions to suppliers
 

4.35 和Philips簽訂有害物質(zhì)控制的保證書/申明
Philips Sustainability supplier declaration for hazardous substance control
 

4.36 部件供貨商提供的審核，檢查、測試和分析記錄
Audit, inspection, testing and analytical records from component suppliers
 

4.37 和外部相關(guān)方環(huán)境溝通記錄（包括供應(yīng)商）
External environmental communication record (with interested parties including venders)
 

4.38 一般采購協(xié)議【GPA】和BOMcheck登記記錄
General Purchasing Agreement (GPA) and BOMcheck registration records
 

Philips 審核所需文件 (管理體系)
Request Document List for Philips Audit (Management System)

No.         項目與內(nèi)容 Items          提供(Available)         復印(copied)
                                                          YES NO N/A              YES NO

5.1 管理體系證書﹝例如SA8000、ISO14001、OHSAS18001等…﹞
Management system certificates (e.g. SA8000, ISO14001, OHSAS18001 etc…)
 

5.2 工廠勞工、健康與安全和環(huán)境方針
Facility's labor, health & safety and environment policy
 

5.3 工廠商業(yè)道德或商業(yè)行為守則方針或手冊
Facility business ethics or code of business conduct policy or manual
 

5.4 組織架構(gòu)圖
Organization chart
 

5.5 管理者代表、人力資源經(jīng)理、負責勞工和道德、負責環(huán)境健康與安全和 環(huán)境健康與安全委員會的
責任和職責Role and responsibilities for the management system representative, managers with human resources, labor & ethic responsibility, EHS responsibility and EHS committees

5.6 客戶要求的副本﹝例如EICC﹞
Copy of customer requirements (e.g. EICC)
 

5.7 監(jiān)測勞工、道德、環(huán)境健康與安全法規(guī)的跟蹤系統(tǒng)，適用法律、法規(guī)和
實施或派發(fā)表的清單
Tracking systems for monitoring of labor, ethics and EHS laws, listing
of applicable laws, regulations and implementation or distribution logs

5.8 豁免法規(guī)要求的批文
Exemptions from legal requirements
 

5.9 識別、評估和排列勞工、道德、環(huán)境健康與安全風險程序
Procedure to identify, evaluate and rank labor, ethics and EHS risks
 

5.10 工廠識別的勞工、道德、環(huán)境健康與安全風險清單和風險評估記錄
Listing of identified labor, ethics and EHS risks for the facility and risk assessment review records
 

5.11 環(huán)境因素和影響分析程序和評估結(jié)果
Environmental aspects and impacts analysis procedure and assessment results
 

5.12 行動計劃以針對識別勞工、道德、環(huán)境健康與安全風險
Action plans addressing highest identified labor, ethics and EHS risks
 

5.14 本年度勞工、道德、環(huán)境健康與安全目標指針包括定期評估實施的結(jié)果 和達成指標的現(xiàn)況
Current year labor, ethics and EHS performance objectives and
targets including results of periodic reviews of the implementation and status of meeting the objectives

5.15 現(xiàn)時改善方案和進展現(xiàn)況
Current improvement initiatives and progress status
 

5.16 給工人勞工、道德、環(huán)境健康與安全培訓的程序
Procedure of labor, ethics and EHS trainings provided to workers
 

5.17 工人福利、廠規(guī)和環(huán)境健康與安全等相關(guān)規(guī)范的培訓記錄
Records of training conducted covering worker benefits, rules and
EHS etc…
 

5.18 工廠勞工、道德、環(huán)境健康與安全規(guī)定﹝例如員工手冊﹞
Factory labor, ethics and EHS rules (e.g. employee handbook)

 

5.19 向供貨商、客戶和分包商溝通勞工、道德、環(huán)境健康與安全表現(xiàn)和期望的程序
Process for communicating company labor, ethics and EHS
performance and expectations to suppliers, customers and

5.20 給工人和經(jīng)理溝通的告示板、通訊，內(nèi)聯(lián)網(wǎng)
Bulletin boards, newsletter, intranet site for communication with workers and managers

5.21 工人調(diào)查 / 投訴表
Worker survey / complaint forms

5.22 工人參與方案發(fā)展和實施﹝例如委員會、任務(wù)小組等﹞的程序(如
有)Procedure of formal ways for workers to participate in program development and implementation (for example, committees, task forces etc…,if any)

5.23 管理層提供的工人調(diào)查、投訴和回饋
Workers surveys, complaints and feedback provided by management

5.24 工人環(huán)境健康與安全回饋和環(huán)境健康與安全委員會參與記錄
和Records of worker feedback in EHS and participation in EHS
committees

5.25 勞工、道德、環(huán)境健康與安全審核流程和程序
Labor, ethics and EHS audit process and procedure

5.26 過去24個月進行的內(nèi)部和外部審核記錄
Copies of internal and external audits carried out in last 24 months

5.27 勞工、道德、環(huán)境健康與安全改善行動管理程序
Labor, ethics and EHS corrective action management procedure

5.28 過去24個月審核的勞工、道德、環(huán)境健康與安全改善行動記錄 Copies of labor, ethics and EHS corrective action plans for audits carried out in last 24 months and current status against these corrective action plans

5.29 不符合項跟蹤、關(guān)閉、現(xiàn)況和管理評審記錄
Records of nonconformance tracking, closure, status and management reviews

5.30 勞工、道德、環(huán)境健康與安全記錄保存政策和程序
Labor, ethics and EHS records retention policy and procedures