2024年5月2日发(作者：)

2018年最新的CSR社会责任审核验厂审核文件清单 （Audit Document List)

No.

序号

Document Names

文件名

Supported Document

Hardcopy

支持性文件

Corporate Social Responsibility (CSR) Section

社会责任部分

1

2

3

4

营业执照;

Business License;

工厂平面图;

Factory floor plan;

组织机构图;

Organization Chart;

工厂厂规厂纪;

Factory rules and regulations;

宿舍纪律规则;

Dormitory rules and regulations;

员工手册;

Employee handbook;

需要提供个人劳动合同，清晰并且通过政府认可的集体合同可以接受;

7 Individual Labor Contract is required; Group labor contract is allowed as long

as government’s written document provided and has clear traceability;

8

人事档案;

Personnel file;

Y

Y

Compulsory

Document

Supplied

Remark

备注

5 N

6 Y

8a

• 身份证复印件;

ID copy;

• 入职登记表-包括入厂日期;

Application with joining date;

• 请假单;

Leave application;

• 离职信/记录;

Resignation letter / record;

• 警告信;

Warning letter;

• 员工花名册

Employee List;

16-18岁未成年工体检报告及上岗证/登记;

Health examination report and registration for workers between 16 to 18 years

old;

当地政府关于最低工资的文件;

Local official minimum wage document;

最近一年的工资 / 生产记录;

Payroll records and production records for past 12 months;

• 工时卡/考勤记录;

Time card / attendance record;

• 计件工生产记录及计件工资计算记录;

Piece rate worker production record/ Piece rate wages calculation record;

• 工资计算记录-手工或电脑;

Payroll computation (manual, computer, etc.);

Y

Y

Y

8b

8c

8d

8e

8f

Y

9 N

10

11

11a

Y Y

11b

N Y

11c

Y Y

11d

• 有工人签名的工资条/薪资表;

Pay slip /wage sheet with workers’ signatures;

• 工资扣除/罚款记录;

Wages deduction / fines record;

• 工伤事故记录;

Work-related injury records;

保险-当地政府部门提供的有关批文和保险购买的收据;

Insurance – Official Statement issued by Local Government and Insurance

Receipt;

工会代表选举程序,工会职责,工会组织会议记录;

transfer from Bank

11e

11f

12 Y

13 Trade union representative election procedure, work union responsibilities and

work union meeting minutes;

Health & Safety Sectiion

健康与安全部分

1

2

3

3a

厨房/餐厅卫生许可证;

Kitchen / canteen hygiene certificate;

厨房/餐厅人员健康证;

Kitchen / canteen worker’s health certificate;

工厂安全管理记录;

Factory Safety Records;

• 厂房建筑结构安全合格证;

Building structure safety license;

• 厂房消防平面图,紧急逃生图;

Building fire safety floor plan, fire evacuation floor plan;

• 环境健康安全组织/安全生产委员会架构图及/或工作程序;

EHS task force / Safety committee organization and / or procedure;

Y

Y

3b

Y

3c

3d

• 突发事件/事故/病假记录;

Accident / incident / illness record;

• 特殊设备许可证明;

Special equipment permit / certificate;

• 特殊工种人员操作证;

Operator's license for special type of work (Forklift, Elevator, Electrician, etc);

• 危险物库存清单/废弃物库存清单;

Hazardous inventory / Waster inventory;

• 化学品物质安全资料表;

MSDS – Material Safety Data Sheet;

• 消防演习记录,消防逃生程序;

Fire drill records, fire evacuation procedures;

工厂培训记录;

Training records;

• 消防培训、演习记录;

Emergency evacuation and fire fighting training;

• 机器安全操作培训记录;

Machinery safety training;

• 化学品安全使用培训记录;

Chemical safety training;

• 医疗与急救培训记录;

Medical and first aid training;

3e

3f

Y

3g

Y

3h

Y

3j

4

4a

4b

4c

4d

4e

• 卫生/健康培训记录;

Hygiene / Health training;

Environmental Compliance

环境部分

环境影响评价报告书 / 报告表 / 登记表及主管环保部门的环评批复;

1 EIA Report/Report Chart/Registration Form and the EIA Approval by the

Competent Environmental Protection Departments;

建设项目竣工验收 / “三同时”验收报告及监测报告;

2 Construction Project Completion Acceptance/Three Simultaneity

Acceptance/Monitoring Report;

3

废气/废物/废水等的排污许可证明;

Discharge permit (for sewage, waster water, air emission, open burning etc.);

污染物排放申报登记表;

Pollutants Declaration and Registration Form;

最近一年废气 / 废水 / 噪声的监测报告及内部监测记录;

5 Annual Monitor Report of Wasterwater/Exhaust Gas/Noise (Internally and

Externally);

最近一年排污费缴纳单证，水费缴纳单证;

6 Annual Discharge Fee Payment Receipts, Water Discharge Fee Payment

Receipts;

污染治理设施的运行、维护记录、拆除、闲置的申报登记;

7 Pollution Treatment Facilities Operation、Maintenance records、Demolition、

Idle Declaration and Registration;

8

污染治理设施的工艺设计方案;

Pollution Treatment Facilities Process Design Scheme;

Y

Y Y

Y

4 Y