RBA Document list / RBA 审核文件清单

Please provide the below documents for review:

请提供以下资料以供审核：

C-Environment

C1.1: EIA (Environment impact assessment) report, Approval for EIA + Acceptance report of the
environment protecting + pollution discharge permit (if applicable), water extraction permit,
Radiation safety permit of X-Ray equipment, other legal required environment permits, procedure to
timely renew these documents to ensure they keep valid.
环境影响评价报告，环境影响评价批复，环保竣工验收报告，排污许可证 , 取水许可证，X-Ray
(或其他幅射仪器)机器辐射安全许可证, 文件定期审查的程序去确保这些许可证不会过期。

C1.2: legal environment reports of recent 3 years which are required to submit to local environment
authorities
最近 2 年的危险废弃物转移计划备案表，突发环境紧急事件应急预案备案回执

C2.1：Significant environment aspect form and the action plan, Environment aspect management
procedure, Environment target management procedure, Wastewater / air emission / noise testing
report in most recent 3 years
重大环境因素识别清单以及控制方案，环境因素管理程序，环境目标管理程序，最近 3 年废水
废气噪音监测报告

C3.1 Chemical management procedure，chemical inventory，chemical in and out record

化学品管理程序，化学品清单及库存记录，化学品进出记录

C3.2: hazardous waste reduction plan, Hazardous waste dispose contract, certificate of the unit to
transfer the hazardous waste, certificate of the unit to dispose the hazardous waste, hazardous waste
transfer manifest (recent 3 years); Documented procedures for reception, storage, dispensing, use,
return and disposal, Onsite assessment report for the hazardous waste dispose supplier
危险废弃物减排计划，危险废弃物处理合同，道路运输许可证，危废处理商的危险废弃物经营
许可证，危险废弃物转移联单（最近 3 年）, 废物接收，储存，分配，使用，回收和处置的书
面程序；最近 3 年内对危险废弃物处理供应商的现场审查报告，

C4.1: Solid waste management procedure, solid waste reduction plan, Valid contract signed with
waste contractors, transfer manifest, license of the contractor to dispose the solid waste
固体废弃物管理程序，固体废弃物减量计划，固体废物承包商的资质文件，处理合同及转移记
录
C5.1：Air emission management procedure, Air emission reduction plan, Monitoring reports for air
emission (recent 3 years), Maintenance records of the waste gas treatment facilities, waste gas
treatment system operator training records
废气排放管理程序，废气减排记录，废气检测报告（最近 3 年）, 废气处理设施维护记录，废
气处理人员的培训记录

C5.2: Boundary noise management procedure, Monitoring reports for boundary noise (recent 3
years)
厂界噪声管理程序，厂界噪声检测报告（最近 3 年）

C6.1: Corporate level policy (if applicable) and implementation proof for Materials Restrictions
(process, responsible person, etc.), Internal Hazardous substance control limit, Hazardous substance
in the product management procedure, ROHS testing procedure to the incoming material and related
records, statement of the supplier on ROHS compliance, the material’s ROHS report from the 3rd lab,
MSDS of the material
总公司（如果适用）层面的政策、物料管控程序和执行证据(流程，负责人等)；工厂有害物质
内部控制限值，产品有害物质控制管理程序, 来料有害物质检测程序及检测记，原材料采购管
有害物质理程序, 供应商的不含有害物质声明书，原材料第三方检测报告，原材料成分说明书。

C7.1 wastewater management procedure, emergency response plan for the failure of ETP, Monitoring
reports for wastewater discharge (recent 3 years), Maintenance records of the wastewater treatment
facilities, wastewater operator certificate or training record, wastewater generation deduction
program.
废水管理程序，污水处理站失效应急预案，废水检测报告（最近 3 年）, 废水处理设施运营资
质证书 / 废水处理人员操作工证, 废水处理设施维护记录, 废水减排方案

C8.1 Monthly energy consumption data, GHG emission inventory, Corporate level policy (if
applicable) and implementation proof (process, GHG Reduction goal, responsible person, etc.),
月度能源消耗记录，温室气体排放目录, 总公司（如果适用）层面的政策和执行证据(流程，温
室气体减排目标，负责人等)；

C8.2 Energy saving program and the achievement

能源节约方案和取得的成果报告

B-Healthy and Safety

B1.1: legal required occupational permits and licenses, drinking water testing report, procedure to
timely renew these documents to ensure they keep valid
厂房竣工验收报告，年度防雷检测报告，饮用水测试报告，文件定期审查的程序去确保这些许
可证不会过期。

B1.2: Electric safety inspection record, LOTO program, hot work / confined space / height work
permit
电气安全检查记录，挂牌上锁管理制度，动火作业/密闭空间/高空作业许可证制度

B1.3：PPE Management procedure and the relevant records

PPE 管理程序以及相应的记录

B1.4：Protecting procedure for the pregnant women/nursing mothers；risk assessment for

pregnant women/nursing mothers
孕妇/脯乳期妇女保护程序，针对孕妇/脯乳期妇女的岗位风险评估

B2.1：legal required emergency preparedness permits and licenses, procedure to timely renew
these documents to ensure they keep valid
消防验收报告或消防验收备案表

B2.2: Fire-fighting equipment inspection record

消防设施巡检记录

B2.3: Emergency preparedness and response procedure, fire emergency response plan, chemical leak
response plan, contact information of ERT, Business continuity and resumption plan
应急准备与响应程序，消防紧急事故预案，化学品泄漏应急预案, 应急人员联系方式，灾后恢
复方案

B2.4: Regular Inspection records for emergency exit signs, lights and pathway. (Recent 3 months)
消防通道，应急灯和紧急出口标示的定期检查记录. （最近 3 个月）

B2.5: Fire evaluation and chemical leak drill records (Recent 3 years)
消防演习记录，化学品泄漏演习记录 (最近 3 年)

B2.6: Training records for the emergency responders

化学品泄漏/火灾 应急小组人员培训记录

B3.1: legal required permits and licenses on occupational injury and illness, procedure to timely
renew these documents to ensure they keep valid
职业病危害因素申报表, 职业病危害预评价报告，职业病危害控制效果评价报告，职业病危害
现状评价报告
Certificate or external training records of the first aid persons, and medical service operation permit
of the in-house infirmary
急救人员培训记录/证书，厂内医疗室医疗服务营业文件
B3.2 the work-related injury reports of recent 3 years, incident / accident investigate and handle
procedure.
最近 3 年的工伤事故报告，事件/事故调查处理程序

B3.3：Medical treatment procedure

医疗救护程序

B3.4 First aid measures management procedure

急救设施维护管理程序

B4.1: Monitor report of Occupational-disease-inductive factors (recent 3 years),

职业危害因素检测报告 （最近 3 年）,

B4.2：Risk assessment record for workers who contact the occupation hazard factors; control action
plan, Occupational disease healthy check report, including before pre-hired, hired and after-hired;
接触职业病危害员工的岗位风险评估，相应控制方案，职业病体检报告，岗前岗中和离岗,

B5.1: list of the high physical demanding working position, control action plan for the listed high
physical demanding work
高体力风险岗位识别清单，高体力风险工作的控制措施。

B6.1: Register of the special equipment, annual inspection certificate, operator certificate, procedure
to timely renew these documents to ensure they keep valid
工厂内特种设备使用登记证，年检记录，操作员工证件，文件定期审查的程序去确保这些许可
证不会过期。

B6.2: Machine safety management procedure, machine safety risk assessment record, machine
regular maintenance records
机器安全管理程序，机器安全风险评估记录，机器安全点检记录

B7.1：Kitchen’s sanitary permit, kitchen worker’s healthy certificate, kitchen and dormitory’s
construction license, fire approval, procedure to ensure those permits keep valid
食堂卫生许可证，厨工健康证， 宿舍食堂消防验收/建筑验收/防雷测试报告

B7.2：Dormitory's cleaning record, pest control record

宿舍清洁记录，害虫防治记录

B7.3：Safe food handing procedure, cleaning records of canteen and kitchen (past 3 months)
食品安全管理程序， 餐厅和厨房最近 3 个月的清洁记录

B8.1: Training management procedure, annual training matrix, new worker training agenda /
signature sheet of recent 3 months / training material
培训管理程序，年度员工培训日历，新员工培训课程表/最近 3 个月的签到表/培训教材

E-LE Management System

E0.1: SA8000 certificate, ISO14001 certificate, OHSAS18001 certificate.
劳工管理体系证书，环境管理体系证书，健康安全管理体系证书

E1.1：Facility’s EHS policy

工厂的环境健康安全政策

E2.1：Appointment letter of the EHS management representative, EHS management manual (1st
level document of the EHS management system), training records for workers and management team
on their responsibility on labor and ethic.
工厂 EHS 管理者代表任命书，EHS 管理手册（体系一级文件）, 对员工和管理层培训劳工和道
德方面的职责的培训记录。

E2.2：Management review procedure, Annual EHS management system review records

管理评审程序，年度环境健康安全管理评审记录。

E3.1：Procedure to identify, track and implement of applicable legal and customer requirements on
EHS, EHS law list
对适用的法律法规及客户要求进行识别跟踪并执行的程序，环境健康安全管理法律法规清单。

E4.1：EHS risk identify, evaluate and control procedure, Facility’s EHS risk identify list, training
records for the management team on the procedure.
环境健康安全管理风险识别评估控制程序，工厂内的环境健康安全管理风险识别清单，针对管
理层进行风险评估程序的培训材料。

E5.1：Objective and target control procedure, Annual H&S targets, regular reviewing records for the
progress against the target.
目标指标控制程序，年度健康安全管理目标，定期跟踪目标完成情况的记录。

E7.1：Communication program for the policy, practice and performance of Environment with
workers / Suppliers / Customer and related communication records,
针对环境管理方面政策、实践及绩效与员工/供应商/客户沟通的方案以及记录。

E8.1：Procedure for workers to anonymous report grievance and compliant, training records to
workers on how to report grievance and compliant.
员工匿名申述举报程序，对员工培训该程序的记录
E8.2：Procedure to obtain the worker’s feedback, action records to respond the worker’s feedback.
员工反馈获取程序, 针对员工反馈实施的行动计划

E9.1：Internal audit procedure, annual internal audit reports for Labor and Ethic management
system
内审程序，年度内审报告

E10.1: Non-conformance correct and prevent procedure, non-conformance corrective reports of the
internal audit and regular inspection. Regulator citations / violation notices received in the past 3
years on EHS, corrective reports for the violations.
不符合项纠正及预防程序，内审和定期检查中发现的不符合项改善报告, 其他客户社会责任审
核中发现的不符合项改善报告，最近 3 年内在环境健康安全管理方面的政府开出的违纪单以及
相关的改善报告。

E11.1: Document control procedure, record control procedure

文件控制程序，记录控制程序。

E12.1：Communication records with suppliers on RBA code requirements，contract with the

suppliers.
与供应商沟通 RBA 行为准则要求的记录，与供应商签订的合同。

E12.2：Evaluate procedure for the suppliers on RBA code requirement implementation, Evaluate
records such as SAQ and onsite audit reports, the suppliers’ corrective action plan.
供应商 RBA 行为准则符合情况评估程序，评估记录例如 SAQ 评价表和现场审核报告，供应商
的改善计划。