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

No.    项目与内容 Items    提供(Available)       复印(copied)
                                              YES NO N/A               YES NO
0.1 营业执照
Business license 

0.2 公司组织架构图
Organization chart 

0.3 公司简介 - 人员 / 产量 / 产值 / 客户/ 面积
Factory profile - employees / capacity / revenue / customers / area 

0.4 (公司)厂区 / 厂房平面图
(Company) Factory area / building's floor layout 

0.5 主要生产工艺流程图
Main production process flow chart 
0.6 在过去3年，违反了劳工、道德规范、健康与安全或环境法律法规的处
罚记录(如有)
Penalties information for violation of labor, ethics, health & safety or environment laws & regulation in past 3 years(if any) 
0.7 与供货商就符合EICC标准的沟通和合同要求
Communication and contract requirements with suppliers regarding
EICC conformance 
0.8 供货商执行EICC守则要求的验证记录
Proof of verification suppliers' implementation of EICC code requirements

No.    项目与内容 Items      提供(Available)       复印(copied)
                                                 YES NO N/A           YES NO
1.1 员工手册 / 指南
Employee manual / handbook 

1.2 与劳务派遣公司的合同(如有)
Contract with labor agencies(if any) 

1.3 花名册包括详细人力资源如各部门的直接、非直接、派遣和临时工人的
数目
Worker list including detailed manpower structure of number of direct, indirect, contracted and temporary workers in each department

1.4 劳动合同 (所有员工)
Worker labor contracts (all workers) 

1.5 人事档案包括员工入厂登记、身份证复印件、近照和相关年龄证明文件
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 保护未成年工和妇女工人的公司政策和程序
Company policy and procedure for young worker and female worker protection 
 

1.8 未成年工名单 / 未成年工使用登记证﹝当地劳动局备案﹞
Young worker list / young worker registration approval (acknowledged by local Labor Department) 
 

1.9 未成年工岗位班次安排规定
Arrangement policy for posts and shifts of young workers 
 

1.10 未成年工入厂和定期体检记录
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 发现雇佣童工后的补救措施
Remedial action for hiring child labor 
 

1.13 合作的职业学校相關记录(如有)
Related records of vocation schools(If any) 

1.14 离职程序包括辞职通知时间和解雇和相关记录
Resignation procedure including resign notice period and dismiss and related records 
 

1.15 综合计时批文(如有)
Waiver of comprehensive working hours(If any) 

1.16 正常和加班工作时间记录(至少最近12个月)
Time cards of normal and overtime working with at least 12 months 

1.17 工作时间政策包括正常和加班工作、班次、进出、休息、休假和轮班调
休
Working time policy including regular & overtime working, shifts, time 
 

1.18 确保正常和加班工时符合EICC守则和当地法规要求的监控程序
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协议 (如有)
Application or agreement about voluntary overtime from workers(If 

1.20 加班申请及安排(如有)
Application and schedule of overtime(If any) 
 

No.                 项目与内容 Items                提供(Available)                复印(copied)
                                                                             YES NO N/A               YES NO
1.21 请假单
Leaves request application 
 

1.22 生产记录包括每日记录和计件生产表
Production records including daily records and summary of piece manufactured 
 

1.23 薪酬政策规定底薪和加班费的计算和扣减方法
Compensation policy with calculation and deduction method for basic salary and overtime premium 
 

1.24 过去12个月工资表或工资条,附有全部扣减和收入项目
Payroll records or pay slips covering last 12 months including current months, peak season and low season with all deduction and earnings 
 

1.25 工资发放的银行转帐及清单 (如有)
Bank transaction for worker wages and detail breakdown(if any) 

1.26 计件工资计算程序(如适用)
Procedure for piece rate wage calculations(If applicable) 

1.27 当地政府最低工资文件
Local governmental document about minimum wage 

1.28 工人保险计划证据 (社会保险及补充商业保险)
Proof of worker insurance scheme (social insurance or supplementary commercial insurance) 
 

1.29 当地政府社会保险豁免参保批文
Social insurance scheme waiver from local government 

1.30 工人请假政策
Leave policy for workers 
 

1.31 福利待遇规定 (津贴，有薪假期如年假或婚产假等)
Benefits policy (allowance, paid leaves such as annual leave, marriage leave or maternity leave) 
 

1.32 有关纪律的厂纪、厂规、流程和程序
Factory rules, regulation, process and procedure on disciplinary measures 
 

1.33 饭堂 / 宿舍规章制度
Regulations of meals in canteen / accommodation 

1.34 工人投诉的处理政策 / 程序
Worker grievances handling policy / procedure 
 

1.35 工人投诉的处理记录包括工人或工会会议记录(如有)
Handling worker grievance records including worker or worker union(If any) 
 

1.36 纪律执行记录和相关调查与实施的行动
Records of disciplinary practice and related investigations & action taken 
 

1.37 禁止歧视的政策
Policy about anti-discrimination 
 

1.38 招聘前的身体检查要求
Pre-employment medical examination requirements 

1.39 招工广告
Job advertisements 

1.40 保障自由结社 / 工会的政策
Policy to ensure freedom of association / labor union 
 

No.    项目与内容 Items            提供(Available)            复印(copied)
                                                       YES NO N/A                 YES NO
1.41 员工代表选举记录
Records of selection of workers' representatives 
 

1.42 工人会议记录 / 工会和管理层会议记录
Worker meeting minutes / union-management meetings minutes 

1.43 与工人定期沟通和反馈的证据
Evidence of regular communication and feedback with workers 

1.44 匿名申诉程序以防止遭受报复
Anonymous complaint procedure to prevent from retaliation 
 

Philips 审核所需文件 (道德规范)
Request Document List for Philips Audit (Ethics)

No.         项目与内容 Items            提供(Available)                复印(copied)
                                                           YES NO N/A                      YES NO

2.1 商业行为指引 / 标准 / 政策或道德规范守则
Business conduct guideline / standard / policy or code of ethics 
 

2.2 工人的道德规范培训记录
Training records on code of ethics to workers 
 

2.3 公司捐献和赞助的政策
Company policy on donations and sponsorships 
 

2.4 公司道德规范，反贪污和贿赂的政策
Company policy on ethics, anti-corruption and bribery 
 

2.5 禁止收受贿赂或利用其它手段获取不正当收益的程序文件
Documented procedures to address bribes or other means of obtaining undue or improper advantage. 
 

2.6 反贪污，敲诈勒索和挪用公款的程序文件
Documented procedures to address corruption, extortion and embezzlement 
 

2.9 调查违反道德规范的程序
Ethics breach investigation procedure 
 

2.10 违反公司商业守则或道德规范守则的记录
Records of violations of the company’s business conduct or code of ethics 
 

2.11 与工人、供货商和顾客的保密协议
Non-disclosure agreements with workers, suppliers and customers 
 

2.12 知识产权检讨和保护政策
Intellectual property review and protection policies 
 

2.13 处理侵犯公司知识产权政策的程序
Procedures to address violations of company intellectual property policies. 
 

2.14 保护客户资料的程序
Procedures to safeguard customer information. 
 

2.15 公司有关防止虚假或误导广告的政策和程序
Company policies and procedures about not false ort misleading advertising. 
 

2.16 符合法规要求的广告(如有)
Advertising complies with legal requirements(If any) 
 

2.17 内部审查广告的记录(如有)
Records of internal checking on advertising(If any) 
 

2.18 举报政策 / 程序
Whistle blowing policy / procedure 
 

2.19 保护举报者的政策
Protection of whistleblowers policy 
 

2.20 针对举报而保密调查的程序和引致的行动记录
Procedure for confidential investigation and resulting action records on
a whistle blowing 
 

Philips 审核所需文件 (健康与安全)
Request Document List for Philips Audit (Health and Safety)

No.          项目与内容 Items           提供(Available)         复印(copied)
                                                            YES NO N/A              YES NO

3.1 健康安全程序﹝如上锁标志、密闭空间、热力工作等﹞
Safety procedures (e.g., lockout tag, confined space, hot-work etc) 
 

3.2 操作电梯与叉车、电工和电焊工等的特种作业人员证书
Special operation certificates for operating lift & forklift vehicle, electrician and welding operator etc 
 

3.3 工作安全分析记录
Job safety analysis records 
 

3.4 危险能量控制程序、电气安全、密闭空间进入和堕下保护等
Procedures for hazardous energy control, electrical safety, confined space entry and fall protection etc 
 

3.5 用电系统安全检查报告
Electrical system safety inspection report 
 

3.6 厂房建筑结构安全合格证
Factory building structure safety certificate 
 

3.7 厂房消防合格证
Factory building fire safety certificate 
 

3.8 防雷系统检测报告﹝如要求﹞
Lightning protection system testing report (if required) 
 

3.9 保安守则/保安上岗证﹝如适用﹞
Security guard certificates (if applicable) 
 

3.10 安全主任资格证
Safety officer certificate 
 

3.11 电梯和起重设备的登记证和年检合格证(如有)
Register and annual inspection certificate of elevator & lift(If any) 
 

3.12 锅炉和压力容器使用登记证和年检合格证 (如有)
Register and annual inspection certificate of pressure vessels and boilers(If any) 
 

3.13 锅炉和压力容器操作工上岗证 (如适用)
Pressure vessels and boilers operator certificates(If applicable) 
 

3.14 个人防护装备的使用方案和程序（呼吸保护，听力保护）
Programs and procedures for using personal protective equipment
PPE (respiratory protection, hearing protection, etc.) 
 

3.15 不同工作所需的个人防护装备清单
List of personal protective equipment PPE required for various tasks 
 

3.16 消防程序，消防系统、火灾扑灭和报警系统的保养和测试记录
Fire protection plan, maintenance & testing records for fire protection, fire fighting system, suppression and fire alarm system 
 

3.17 消防年度检查报告(如有)
Annual fire protection inspection report(If any) 
 

3.18 消防 / 疏散演习计划和记录
Fire / evacuation drill plans and records 
 

3.19 化学泄漏应急疏散记录(如适用)
Chemical spill response drill records(If applicable) 
 

3.20 化学品的物料安全数据数据表
Material safety data sheet for chemicals 
 

3.21 与工作有关的损伤及疾病记录如记录本或护士日志
Work-related injury and illness records such as log book or nurse’s 
 

3.22 事故 / 职业病调查记录，包括意外主要原因及纠正措施和跟进报告
Accident / occupational illness investigation records, including identification of root cause and corrective action and follow-up reports 
 

3.23 急救人员资格证书
First aider qualification certificate 
 

3.24 在厂医护人员资格证书(如有)
Qualified certificates for doctors or nurses in factory(If any) 
 

3.25 工业卫生定性和定量的监测报告（噪音，化学性和物理性）
Qualitative and quantitative industrial hygiene monitoring reports
(noise, chemical and physical) 
 

3.26 工人职业健康体检纪录，包括医疗监视测试（例: 血液测试及听力测
验）
Worker occupational health records, including medical surveillance 
 

3.27 怀孕女工和未成年工的保护方案
Protection program for pregnant workers and young workers 
 

3.28 与工人沟通工业卫生数据的记录
Records of communication of industrial hygiene data to workers 
 

3.29 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
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 于设备购买或安装时的安全检讨和评价记录﹝机器安全风险评估﹞
Records of equipment safety reviews and evaluations at time of purchase or installation (machines safety risk assessment) 
 

3.31 为工人提供的机器和机器维护操作指导书
Machine and machine safeguard operating instructions for workers. 
 

3.32 机器的预防性维修和机器保护措施检查记录
Preventive maintenance records for machine and inspection records of machine safeguards 
 

3.33 正确使用安全设备和工具的说明文件
Documents describing the proper use of safety equipment and tools 
 

3.34 已识别危害的控制程序如物理控制的设计和安装﹝过程自动化或起重设
备等﹞
Procedure to control the identified hazards such as design and installation of physical controls (process automation or lifting devices etc)

3.35 食堂员工健康检查记录 / 证书
Health check records / certificates for canteen workers 
 

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