审核所需文件/证件清单

Request Document List (COC Audit)

No.

项目与内容 Items

提供(Available)

复印(Copied)

YES

NO

N/A

YES

NO

1

公司概括简介－人员/产量/产值/(品牌）市场分布 Factory Profile

2

公司组织架构图 Organization chart

3

(公司）厂区/厂房平面图 Factory's floor plans

4

供应商/外发加工商评审记录（含社会责任评估） Subcontractor/ supplier evaluation program & records

5

营业执照 Business license

6

员工手册 Employee manual /handbook

7

厂纪、厂规-包括对工作时间、加班补贴、法定福利之制度 Factory regulations, including the policies on working-hour system, overtime compensation and other legal benefits

8

宿舍规章制度 Dormitory regulations

9

招工指引/程序 Recruitment policies & program

10

人事记录/员工入厂登记/花名册 （所有员工） Personal records / Employment registration (all employees)

11

劳动合同（所有员工） Labor contracts (all employees)

12

体检记录（未成年工、食堂员工、有毒有害或化学品使用岗位员工） Entrance & annual health examination reports

13

未成年工名单 / 登记证 / 工作安排规定（注：未成年工不得安排任何加班） Young worker registration approval from Local Labor Bureau / shift arrangement for young workers

14

综合计时批文 / 加班批文 Approval on Comprehensive Calculation of Working Hours System (if applicable) or Overtime Waiver

15

社会保险之缴费收据和当地社会保险局证明文件 Payment Receipt of social insurance schemes, and official testimonials on coverage of social insurance schemes

16

员工请假单 Leave request notification

17

员工离职记录 Resignation records

18

奖惩记录 / 警告信 Warning notification letters

19

工作时间记录（至少12个月） Attendance records of the most recent consecutive 12 months

20

计件工生产、台班记录 Production records of piece rate workers

21

当地政府最低工资的最新通知   Local / official   Minimum Wage Notice

22

最近连续12个月之工资记录 Payroll records of the most recent consecutive 12 months

23

有工人签名的工资条 Pay slips with employees' signatures

24

工资扣除 / 罚款记录 Wage deduction / fine records

25

厂房建筑结构安全合格证 Building structure safety certificate / legal real estate certificate

26

厂房消防合格证 Building fire safety certificate

27

公司的健康安全政策 （含应急程序） Health & safety policy (including Emergency action procedure)

28

安全主任资格证（任命书 / 培训结业证书） Safety officer certificate

29

消防上岗证 / 急救人员资格证书或培训证书 Fire officer certificate / trained first aider certificate

30

消防演习计划、程序、记录，急救计划、记录（含照片） Fire drill program & records and fire evacuation plan & procedure / first aid training records with photos

31

电梯起重设备登记使用 / 验收 / 年检合格证   Register of elevator & lift and annual inspection certificate by official bureau

32

特种作业之操作证：电工作业、锅炉司炉、压力容器操作、起重机械作业、爆破作业、金属焊接与气割作业、煤矿井下瓦斯检验、机动车辆驾驶、机动船舶驾驶与轮机操作、建筑登高架设作业 Work Permits for special & dangerous operations

33

设备维修工 / 技工资格证书 Qualified mechanics   certificate

34

锅炉、压力容器使用登记证 / 年检合格证 Register of pressure vessels & boilers and annual inspection certificate

35

司炉工上岗证 Operator / attendant certificate of pressure vessels & boilers

36

化学品/危险品储存控制记录 / 安全防范应急措施 / 物料安全数据表 / 化学品清单 Approval certificate of chemical warehouse / register & storage record / MSDS (material safety data sheet) of dangerous chemicals / chemicals list

37

化学品/危险品仓管员上岗培训证书 Qualified certificate for the keeper of dangerous chemical warehouse

38

车间有毒有害作业环保监测报告 Environment protection quality monitoring & test report

39

发电机房噪音测试报告 Noise monitoring & test report of power generator

40

排污许可 / 环保监测报告 Environment assessment report on factory projects / permit certificate of waste emission / waste monitoring & test records

41

饭堂卫生证 / 食堂员工之健康检查证明 Hygiene Certificate for the canteen in factory / Health examination records of canteen workers

42

医护人员资格证书 Qualified certificate of Doctor or Nurse

43

工伤医疗事故处理记录 / 再发生防范措施 Accident, injury reports & records / recurrence avoiding measures

44

定期除虫杀虫记录 Regular pest control records

45

保安守则 / 保安上岗证 Security guard regulation & job description / security guard certificate

46

工会组织会议记录 / 工会代表选举程序及其职责 / 劳资双方就工资福利问题与工厂的谈判协议（CBA)   Meeting minutes of union / Selection program and Responsibility of workers' Rep. / Collective Bargaining Agreements (CBA)

47

对移民工/人事代理机构用工的相关监控文件 Documents proved workers' legal right to work including immigrant & employment agency staff.

48

社会责任政策文件 / 管理程序/   内审报告 Social accountability policy / Management procedures / periodical internal audit records

49

分包商清单 / 对分包商社会责任的监控记录 Sub-contractors list   / monitoring records on sub-contractors' social responsibility performance

50

家庭工名单 / 对家庭工社会责任的监控记录 Home workers list   / monitoring records on home workers'' social responsibility performance