ICS审核文件清单
Child Labor 童工
Forced labour 强迫劳工
Discrimination 岐视
Disciplinary practices, harassment and abuse 惩戒措施，胁迫与骚扰
Freedom of association 自由结社
Working hours and overtime 工作时间和加班
Remuneration 薪酬
Health and Safety 健康与安全
Version: 01 Date: 20110825
4. Main Audit Method : 审核的主要方法
a. Management staff interview 管理人员访谈
b. On-site inspection 现场审核
c. Document review 文件审核
d. Workers interview 工人访谈
5. Main Documents List : 主要文件清单
工厂概况部分
1 公司概括简介-人员/产量/产值/(品牌)市场分布
Factory profile/Employee No.& structure/Production
capability/(Brands)Marketing
2 公司组织架构图 Organization chart
3 厂区/厂房平面图 Factory floor plans
4 营业执照 Business license
人事行政管理部分
5 员工手册/厂纪厂规及处罚记录 Employee manual/handbook, Factory rules &
regulations/ Disciplinary practices policy and Records
6 宿舍规章制度 Dormitory regulations
7 招工指引/程序 Recruitment policies & procedures
8 人事记录/员工入厂登记/花名册(所有员工)Employees' personal files/ Employment
registration/roster (all employees)
9 劳动合同(所有员工) Labor contracts (all employees)
10 未成年工人体检 & 职业健康体检 Young worker health examination & occupational
health examination records,(if applicable)
11 未成年工名单/登记证/工作安排规定 List of young workers/ registration approval
from local labor bureau/regulations on shift arrangement for young workers
12 请假单 Leave records
13 离职记录 Resignation records
14 奖惩记录/警告信 Awards & Penalty Records/Warning notification letters
15 工会组织会议记录/工会代表选举程序及其职责/工人投诉处理程序及记录 Meeting
minutes of union/Selection program and Responsibility of workers’
Rep./Complaint& handling record
工时工资福利部分
16 工作时间记录(12 个月) Time cards/attendant records(12 months)
17 休假记录(有薪年假/女工产假/婚丧假)
Leave records(Paid annual leave/Maternity leave/Marriage& Funeral leave )
18 综合计时批文/加班批文 Consolidated working hours permit by local labor
bureau/Extended Overtime Hours Waiver
19 当地政府最低工资文件 Legal/ Local official minimum wage document
20 工资表(12 个月) (含工人签名） Payroll records with employees' signatures (12
months)
Version: 01 Date: 20110825
21 记件工生产(台班)记录/计件工资表 Production records of piece rate workers/Piece
rate records
22 工资扣除/罚款记录 Wage deduction/Penalty records
23 社会保险缴付凭证和参保符合性批文/社保登记证/社保购买花名册Social security
insurance (injury/retirement/medical/unemployment etc.) payment receipts/
invoice/Approval from local government/Registration certificate/personnel list
健康安全卫生部分
24 公司的健康安全政策/规章制度 Health & safety policy/ Regulations and rules
25 房屋建筑工程竣工验收报告/备案表 Certificate of Inspection for Completed
Building Construction/ Registration Records
26 厂房消防验收合格证/报告 Fire-Fighting Acceptance Inspection Certificate/
Report
27 安全主任资格证(任命书/培训结业证书) Safety officer certificate
28 保安守则/保安上岗证 Security guard regulation & job description/security guard
certificate
29 消防应急预案/程序,消防演习记录(含照片)Fire drill program & records and fire
evacuation plan & procedure (including pictures)
30 食堂卫生许可证/食堂员工健康证 Sanitation Permit for Kitchen/ Health
Certificate of kitchen employee
31 急救人员资格证书 Trained first aider certificate
32 医护人员执业资格证书 Qualified certificate of doctor or nurse
33 工伤医疗事故处理记录/再发生防范措施 Accident, injury reports &
records/Precaution Measures on Reoccurrences
34 电梯等起重设备:使用登记证/验收/年检合格证(如：电动葫芦/电动叉车) Register of
elevator & lift and annual inspection certificate
35 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
36 特种作业人员(叉车/电工/电焊工/司炉工等)资格(操作)证书Specialized safety
training certificate( Valid safety operation certificate of Lift / Forklift
vehicle /Qualified Electrician/ Electric welding operator certificate/Operator
certificate of boiler)
37 化学品清单/化学危险品仓许可/(储存物控记录)/
List of chemical/Approval certificate of chemical warehouse/register & storage
record
38 安全防范应急措施/物料安全数据表 Chemical Safety Precaution Measures/MSDS
(material safety data sheet) of dangerous chemicals
39 化学危险品仓管员上岗培训证书 Qualified certificate for the keeper of dangerous
chemicals warehouse
40 工作场所职业危害因素(空气质量/噪声等)评价报告 The hazardous elements (air
quality and noise etc.)evaluation report for Workplace
其它
41 Emergency action procedures 紧急预案
Version: 01 Date: 20110825
42 Minutes of joint committees on OHS and disciplinary matters 健康安全委员会及
惩戒事件的会议记录
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