Request Document List for RBA Audit (Labor)

1 Worker Personnel files

员工人事档案

2 Entry and leave records

工廠的進出記錄

3 Payroll record

工资表

4 Working hours record

工時记录

5 Grievance records

申诉记录

6 Employment letter/ agreement/ contract (Included lcontracts for migrant worker and labor agent workers and

local workers)

雇佣信/协议/劳动合同（包括外劳和劳务派遣工和本地工的合约）

7 Employment term Communication records to workers

工人僱用條款的溝通記錄

8 Medical records included:Health checks record to young wokers,Risk assessments to evaluate position are

non-hazardous to young wokers’health

年轻工人身體檢查記錄;评估职位对年轻工人的健康无害的风险评估

9 Tri-partite agreements for student workers

学生工的三方协议

10 Educational Institution due diligence reports

教育機構盡職調查報告

11 Production records

生产记录

12 Government waiver/permit on alternative working hour system

政府批文/许可证 (关于使用选择其他工作时间系统)

13 Leave record

員工休假记录

14 Medical certificates for sick leave

病假医疗证明

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RBA Audit Document list

RBA 审核文件清单

Declaration: Below information is for all applicants reference only and it is just a brief of the audit’s introduction

which is based on scheme’s requirements, it is designed for your preparation with regard to the audits.

It doesn’t mean you just need to provide below information for the auditors, auditors may require more

documents/information according to actual situation during the audit.

声明：以下信息供所有申请者参考，这只是基于项目要求的审核指引概要，它是为贵方关于审核的准备而设计，并不

意味着贵方仅需要为审核员提供以下信息，审核员在审核过程中可根据实际情况要求审核更多的文件/信息。

Please kindly prepare below original documents to review.

请准备以下文件的正本予以审核。

15 Payroll slips

工资单

16 Social insurance contribution payroll calculation records

社会保险缴费工资核算记录

17 Training/ communication records

培訓/ 溝通記錄

18 Disciplinary records

纪律处分记录

19 Job application record

职位申请記錄

20 Job application questionnaires/tests

职位申请问卷/测试卷

21 Promotion record

进升记录

22 Job postings/advertisements

工作职位发布/广告

23 Job descriptions

职位描述

24 Religious accommodation requests record

宗教習慣要求記錄

25 Religious accommodation decision communications record

宗教習慣決定溝通記錄

26 Accommodation for disability requests records

殘疾人特殊安排請求記錄

27 Accommodation for disability decision communications record

殘疾人特殊安排決定溝通記錄

28 Disability accommodation records for all identified disabilities

殘疾人特殊安排記錄

29 Disability effectiveness evaluations record for all identified disabilities

所有已識別殘疾人仕特殊安排有效性評估記錄

30 Corrective action plans for all identified disabilities for any disability accommodation deemed ineffective for all

identified disabilities

對所有已確定的殘疾人仕未有合適特殊安排的糾正行動計劃

31 External media records

外部媒體記錄

32 Collective Bargaining Agreement (CBA) if applicable

集体谈判协议(CBA)，如适用

33 Union or other representative body meeting minutes

工会或其他員工代表團體的会议纪要

34 Labor compliance procedure

勞工法規程序

35 Labor compliance calendar

勞工法規日曆

36 Labor compliance register

勞工法規登記

37 Internal and external stakeholder list for labor

勞工內部和外部利害關係人名單

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38 Labor risk assessment procedure

勞工風險評估程序

39 Labor risk assessments

勞工風險評估

40 Labor representative assignment letter

勞工代表指派信

41 Organizational chart and description (Labour representative)

組織架構圖及說明 (勞工代表)

42 Freely chosen employment policy

自由選擇就業政策

43 Child labor prohibition policy

禁止童工政策

44 Vulnerable worker policy

弱勢勞工政策

45 Learner policy

學徒政策

46 Working time and days off policy

工作時間和休息日政策

47 Compensation policy

工資政策

48 Disciplinary practices policy

紀律處分政策

49 Non-Discrimination/Non-Harassment/Humane Treatment policy

非歧視/非騷擾/人道待遇政策

50 Reasonable religious accommodation policy

合理的宗教配合政策

51 Reasonable accommodation for disability policy

便利殘障員工的政策

52 Freedom of Association policy

結社自由政策

53 Collective bargaining policy

集體談判政策

54 Peaceful assembly policy

和平集會政策

55 Labor management control procedure

勞工管理程序

56 Contracts with labor agencies, labor brokers, labor service providers

与劳工机构，劳工经纪人，劳工服务提供者的合同

57 Labor records

勞工雇用記錄

58 Labor control effectiveness evaluations

勞工政策符合有效性評估

59 Labor risk mitigation plans

勞工風險轉移計劃

60 Labor training procedure

勞工政策訓練程序

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61 Labor training needs analysis

勞工政策訓練需求分析

62 Labor training plan

勞工培訓計劃

63 Labor training materials

勞工政策培訓教材

64 Labor training records

勞工政策培訓記錄

65 Labor policy training effectiveness evaluations

勞工政策培訓效果評價

66 Learner labor training materials

學徒培訓教材

67 Labor Communication and reporting procedure

勞工政策溝通和報告程序

68 Labor policy communications record to internal and external stakeholders

與內部和外部利害關係人的勞工政策溝通記錄

69 Labor policy communication effectiveness evaluations

勞工政策溝通效果評價

70 Workers input and feedback records on labnor policy

工人對勞工政策的意見和回饋記錄

71 Grievance procedure

申訴程序

72 Grievance procedure communications to managers and workers

與管理層和工人的申訴程序溝通記錄

73 Grievance investigation records

申訴調查記錄

74 Labor performance management procedure

勞工政策績效管理程序

75 Labor Indicator, target and objective communication record

勞工政策指標、目標溝通記錄

76 Labor performance action plans

勞工政策績效行動計劃

77 Labor Indicator, target and objective tracking log

勞工政策指標、目標追蹤日誌

78 Labor system evaluation reports

勞工政策系統評估報告

79 Labor self-audit procedure

勞工政策內審程序

80 Labor self-audits reports

勞工政策內審報告

81 Labor corrective action procedure

勞工政策糾正措施程序

82 Government inspection reports

政府檢查報告

83 Labor corrective action plans

勞工糾正行動計劃

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Request Document List for RBA Audit (Health and Safety)

1 Permit/ License/ Certification/ Test report (Occupational Safety),include but not limited to

许可证/执照/证书/测试报告（职业健康），包括但不限于

2 Building occupancy permits

建筑竣工验收

3 Pressure vessels and boilers operator certificates

压力容器和锅炉操作工证

4 Register and annual inspection certificate of pressure vessels and boilers

压力容器和锅炉使用登记证和年检证书

5 Hoist permit

起重机许可证

6 Register and annual inspection certificate of elevator & lift

电梯使用登记证和年检证书

7 Specialized safety training certificate( Valid safety operation certificate of Elevator/Lift / Forklift vehicle /

Qualified Electrician/ Electric welding operator certificate)

专业安全培训证书(电梯/电梯/叉车/电工/电焊操作员证书)

8 Industrial hygiene sampling data

工业卫生取样数据

9 Ventilation flow tests reports

通风测试报告

10 Drinking water testing reports

饮用水测试报告

11 Safety risk assessment record / Risk mitigation evaluation reports

安全风险评估记录

12 Factory building fire safety certificate

厂房消防合格证

13 Fire safety and emergency preparedness permits or licences

消防和应急预案许可证

14 OHS inspection reports

職業健康安全檢查報告

15 Confined spaces hazards evaluation record

密闭空间危害评估记录

16 Hot work permit for welding, cutting and brazing

电焊，切割和钎焊动火作业许可证

17 Electrical installations and wiring inspected record

电气装置和线路检查记录

18 Lockout/tag out report for electrical, pneumatic, mechanical stored energy

电力、气动或机械机器维修上锁/挂牌報告

19 Pest control log

虫害控制日志

20 PPE adequacy evaluation records

個人防護裝備充足性評估紀錄

21 PPE inventory and replacement records

PPE 庫存和更換記錄

22 PPE inspection records

個人防護裝備檢查記錄

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23 Fit test record for respiratory protection equipment

呼吸保护设备的舒适性测试记录

24 Personnel files of pregnant workers and nursing mothers

懷孕工人和哺乳母親的人事檔案

25 Working hour records of nursing mothers

哺乳期母親工作時間記錄

26 Pregnant workers and nursing mothers risk control work instructions

孕產婦、哺乳婦女風險控製作業指導書

27 Fire safety inspection report

消防验收报告

28 Fire safety equipment test records

消防安全設備檢測記錄

29 Fire safety equipment maintenance records

消防安全設備維護保養記錄

30 Business continuity plan

營運持續計畫

31 Business resumption plan

企業復工計劃

32 Emergency response plan (ERP)

緊急應變計劃（ERP）

33 Post-emergency plan

應急後計劃

34 One-off incident reports

一次性事件應急報告

35 Emergency support equipment inspection records

緊急保障設備檢查記錄

36 Emergency evacuation drill program

緊急疏散演練方案

37 Emergency evacuation drill reports

緊急疏散演練報告

38 OHS incident reports

職業健康與安全事故報告

39 OHS incident investigation reports

職業健康與安全事件調查報告

40 OHS trend analysis reports

職業健康與安全趨勢分析報告

41 Imminent harm reports

傷害報告

42 First Aid, First Response kits and First Response equipment inventory lists

急救、急救包和急救設備清單

43 First Aid, First Response kits and First Response equipment inspection records

急救、應急包和急救設備檢查記錄

44 In-house infirmary or clinic operations log

醫務室或診所日誌

45 Medical clinic operations log

醫療診所運作記錄

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46 Chemical inventory records

化學品庫存記錄

47 Chemical control program

化學控制方案

48 Hazardous chemical procedure

危險化學品操作流程

49 Hazardous chemical inspection records

危險化學品檢驗記錄

50 Hazardous substances manifests and shipping papers

有害物質清單及運輸單據

51 Approvals for the purchase of hazardous chemicals

危險化學品採購批覆

52 Hazardous chemicals evaluations

危險化學品評估

53 Maintenance logs for Hazardous chemicals monitoring equipment

危化品監控設備維護日誌

54 Calibration logs for Hazardous chemicals monitoring equipment

危險化學品監測設備校準日誌

55 Medical surveillance records

醫療監測記錄

56 Safety machiine use work instructions

安全機械使用作業指導書

57 Safe machine operation records

機器安全操作記錄

58 Worker housing requirement

工人住房要求

59 Worker housing Sanitation records

工人住房衛生記錄

60 Worker housing Monitoring records for lighting, and conditioned environments

工人住房照明和空調環境的監控記錄

61 Worker housing maintenance records

工人住房維修記錄

62 Food preparation and storage requirement

食品準備和儲存要求

63 Health & safety compliance procedure

健康和安全法規程序

64 Health & safety compliance calendar

健康和安全法規日曆

65 Health & safety compliance register

健康和安全勞工法規登記

66 Internal and external stakeholder list for Health & safety

健康和安全內部和外部利害關係人名單

67 Health & safety risk assessment procedure

健康和安全風險評估程序

68 Health & safety risk assessments

健康和安全風險評估

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69 Health & safety representative assignment letter

健康和安全代表指派信

70 Organizational chart and description

組織架構圖及說明

71 Occupational injury and illness policy

工傷及職業病政策

72 Gender-responsive measures policy

促進性別平等的措施政策

73 First response policy

應急政策

74 Chemical, biological, or physical agents policy

化學、生物或物理製劑政策

75 Fire and emergency response policy

火災和緊急應變政策

76 Occupational Health & Safety policy

職業健康與安全政策

77 Machine safety policy

機器安全政策

78 Worker housing policy

工人住房政策

79 Employee spaces policy

員工空間政策

80 Control procedure to minimize the Health & Safety impact

盡量減少健康和安全影響的控製程序

81 Occupational health & safety records

職業健康安全記錄

82 Occupational health & safety management control procedure

職業健康與安全管理程序

83 Occupational health & safety training needs analysis

職業健康與安全訓練需求分析

84 Occupational health & safety training plan

職業健康與安全培訓計劃

85 Occupational health & safety training materials

職業健康與安全培訓教材

86 Occupational health & safety training records

職業健康與安全培訓記錄

87 Health & safety training effectiveness evaluations

健康與安全訓練效果評估

88 Learner Health & safety training materials

學徒健康與安全培訓材料

89 Health & safety communication and reporting procedure

健康與安全溝通與報告程序資料

90 Health & safety policy communications to internal and external stakeholders

與內部和外部利害關係人的職業健康與安全政策溝通記錄

91 Health & safety policy communication effectiveness evaluations

職業健康與安全政策溝通效果評價

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92 Workers input and feedback records on Health & safety policy

工人對職業健康與安全政策的意見和回饋記錄

93 Grievance procedure

申訴程序

94 Grievance procedure communications to managers and workers

與管理層和工人的申訴程序溝通記錄

95 Grievance investigation records

申訴調查記錄

96 Grievance records

申诉记录

97 Health & safety performance management procedure

健康與安全績效管理程序

98 Health & safety Indicator, target and objective communication record

健康與安全指標、目標與客觀溝通記錄

99 Health & safety performance action plans

健康與安全績效行動計劃

100 Health & safety Indicator, target and objective tracking log

健康與安全指標、目標和目標追蹤日誌

101 Health & Safety system evaluation reports

健康與安全系統評估報告

102 Health & safety self-audit procedure

健康與安全內審程序

103 Health & safety self-audits reports

健康與安內審報告

104 Occupational health & safety corrective action procedure

職業健康與安全糾正措施程序

105 Occupational health & safety self-audits report

職業健康安全自我審核報告

106 Occupational health & safety government inspection report

職業健康安全政府檢查報告

107 Occupational health & safety corrective action plans

職業健康與安全糾正行動計劃

Request Document List for RBA Audit (Environment)

1 Environmental permits, approval, registration and licences

环境许可、批准和登記等证件

2 Copies of environmental permits and environmental impact assessments and approval (if applicable)

环保证可证和环境影响评价报告和批复的复印件（如适用）

3 Environmental protection facilities design, installation, commissioning and acceptance approval

环保设施的设计、安装、运行和验收合格的证明/文件

4 Radiation safety permit (if applicable)

辐射安全许可(如适用）

5 Water intake permit (for underground water) (if applicable)

取水许可证

6 Waste water discharge permit (if applicable)

排污许可证

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7 Environmental testing reports

环境监测报告

8 Non-government transport and disposal vendors assessments

非政府運輸和處置供應商評估

9 Hazardous waste inventory records

危險廢棄物庫存記錄

10 Hazardous waste inspection records

危險廢棄物檢驗記錄

11 Copies of hazardous waste shipping papers

危險廢棄物運輸文件副本

12 Non-government transport and disposal vendors certificates or licenses (hazardous waste)

非政府運輸和處置供應商證書或許可證（危險廢棄物）

13 Waste inventory records

廢棄物庫存記錄

14 Waste inspection records

廢棄物檢查記錄

15 Copies of waste shipping papers

廢運輸單據影本

16 Non-government transport and disposal vendors certificates or licenses (Solid waste)

非政府運輸和處置供應商證書或許可證（固體廢棄物）

17 Air emission treatment equipment maintenance records

廢氣處理設備維護保養記錄

18 Air treatment equipment evaluation records

空氣處理設備評估記錄

19 Air treatment equipment inspection records

廢氣處理設備評估記錄

20 List of air emissions and Ozone Depleting Substances

廢氣排放物和消耗臭氧層物質清單

21 Noise control devices maintenance records

噪音控制裝置維護記錄

22 Environmental noise testing and reporting records

環境噪音檢測及報告記錄

23 Boundary noise control device inspection records

邊界噪音控制裝置檢查記錄

24 Water and wastewater inventory records

用水和廢水庫存記錄

25 Wastewater inspection records

廢水檢查記錄

26 Copies of wastewater shipping papers

廢水運輸文件副本

27 Non-government transport and disposal vendors certificates or licenses (wastewater)

非政府運輸和處置供應商證書或許可證（廢水）

28 Spill and water channel contamination log

洩漏和水道污染日誌

29 GHG controls process work instructions

溫室氣體控制流程作業指導書

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30 Energy use inventory records

能源使用清單記錄

31 Scope 1,2 and 3 GHG emission records

範圍 1,2 和 3 溫室氣體排放記錄

32 Copies of energy purchase records

能源購買記錄副本

33 Significant scope 3 GHG category assessment

重要範圍 3 溫室氣體類別評估

34 Corporate publication on corporate-wide reduction target and performance on GHG

企業溫室氣體減量目標和績效的公司公佈

35 Environmental compliance procedure

環境法規程序

36 Environmental compliance calendar

環境法規日曆

37 Environmental compliance register

環境法規登記冊

38 Internal and external stakeholder list for environment compliance

環境合規的內部和外部利害關係人名單

39 Environmental risk assessment procedure

環境風險評估程序

40 Environmental risk assessments

環境風險評估

41 Environmental representative assignment letter

環境代表委託書

42 Organizational chart and description

組織架構圖及說明

43 Environmental impact reduction policy

減少環境影響政策

44 Waste management procedure

廢棄物管理程序

45 Ozone-depleting Substances management procedure

消耗臭氧層物質管理程序

46 Environmental Impact Effective control procedure

環境影響 有效控製程序

47 Environmental impact records

環境影響記錄

48 Environmental controls effectiveness evaluations

環境控制效度評估

49 Environmental training procedure

環境保護政策培訓程序

50 Environmental training needs analysis

環境保護政策培訓需求分析

51 Environmental training plan

環保保護政策培訓計劃

52 Environmental training materials

環境保護政策培訓教材

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53 Environmental training records

環保保護政策培訓紀錄

54 Environmental training effectiveness evaluations

環境保護政策培訓效果評估

55 Environmental communication and reporting procedure

環境保護政策溝通和報告程序

56 Communications to internal and external stakeholders (Environmental issue)

與內部和外部利害關係人的溝通 (環境保護方面)

57 Communication effectiveness evaluations (Environmental concern)

溝通效果評估 (環境問題)

58 Workers input and feedback records on Environmental policy

工人對環境保護政策的意見和回饋記錄

59 Public Corporate GHG footprint report

公開企業溫室氣體足跡報告

60 Grievance procedure

申訴程序

61 Environmental concerns log

環境問題日誌

62 Environmental concerns investigation records

環境問題調查記錄

63 Environmental concerns communications to stakeholders

與利害關係人的環境問題溝通

64 Environmental performance management procedure

環境績效管理程序

65 Environmental Indicator, target and objective communication

環境指標、目標和目標溝通

66 Environmental performance action plans

環境績效行動計劃

67 Environmental Indicator, target and objective tracking log

環境指標、目標和目標追蹤日誌

68 Environmental materiality assessment report

環境重要性評估報告

69 Environmental system evaluation reports

環境系統性回顧報告

70 Environmental self-audit procedure

環境問題內審程序

71 Environmental self-audits reports

環境問題內審報告

72 Environmental corrective action procedure

環境問題糾正措施程序

73 Environmental government inspection reports

環保政府檢核報告

74 Environmental corrective action plans

環境問題糾正行動計劃

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Request Document List for RBA Audit (Ethics)

1 Business Ethics Grievance records

商業道德申訴記錄

2 Declarations of conflict of interest

利益衝突聲明

3 Worker Personnel files

员工人事档案

4 Leave record

員工休假记录

5 Disciplinary records

纪律处分记录

6 Annual report

企業年度報告

7 IP and business information protection procedure

智慧財產權和商業資訊保護程序

8 Protection agreements

保護協議

9 Grievance records

申诉记录

10 Grievance investigation records

申訴調查記錄

11 Ethics compliance procedure

商業道德法規程序

12 Ethics compliance calendar

商業道德法規日曆

13 Ethics compliance register

商業道德法規登記

14 Internal and external stakeholder list for labor issue

勞工問題內部和外部利害關係人名單

15 Ethics risk assessment procedure

商業道德風險評估程序

16 Ethics risk assessments

商業道德風險評估

17 Ethics representative assignment letter

商業道德代表指派信

18 Organizational chart and description (Ethics)

組織架構圖及說明 (商業道德)

19 Ethics policy

商業道德政策

20 Gift policy

送禮政策

21 Ethics Investigation procedure

商業道德調查程序

22 Ethics records

商業道德記錄

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23 Ethics control effectiveness evaluations

商業道德控制有效性評估

24 Ethics training procedure

商業道德政策!訓練程序

25 Ethics training needs analysis

商業道德政策訓練需求分析

26 Ethics training plan

商業道德政策培訓計劃

27 Ethics training materials

商業道德政策培訓教材

28 Ethics training records

商業道德政策培訓記錄

29 Ethics training effectiveness evaluations

商業道德訓練效果評估

30 Ethics Communication and reporting procedure

商業道德溝通和報告程序

31 Ethics communications to internal and external stakeholders

與內部和外部利害關係人溝通 (商業道德方面)

32 Ethics communication effectiveness evaluations

商業道德溝通有效性評估

33 Workers input and feedback records on Ethics policy

工人對商業道德政策的意見和回饋記錄

34 Grievance procedure

申訴程序

35 Grievance procedure communications to managers and workers

與管理層和工人的申訴程序溝通記錄

36 Ethics performance management procedure

商業道德績效管理程序

37 Ethics Indicator, target and objective communication

商業道德指標、目標與客觀溝通

38 Ethics performance action plans

商業道德績效行動計劃

39 Ethics Indicator, target and objective tracking log

商業道德指標、目標和目標追蹤日誌

40 Ethics monitoring reports

商業道德監測報告

41 Ethics system evaluation reports

商業道德系統評估報告

42 Ethics self-audit procedure

商業道德內審核程序

43 Ethics self-audits reports

商業道德內審報告

44 Ethics corrective action procedure

商業道德糾正措施程序

45 Ethics government inspection reports

商業道德政府檢核報告

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Request Document List for RBA Audit (Supply Chain)

1 Company Code of Conduct

公司行為準則

2 Material restrictions policy

物料限制政策

3 Material restrictions procedure

物料限製程序

4 Material restrictions assignment letter

物料限制分配函

5 Restricted materials requirements list

限製材料要求清單

6 Material restriction action plans

物質限制行動計劃

7 Material restriction analytical data reports

材料限制分析數據報告

8 Product chemical compositions

產品化學成分

9 Product certificates of conformance

產品合格證書

10 Specifications from suppliers

供應商提供的產品規格

11 Material Restriction monitoring & reporting records

物質限制監控和報告記錄

12 Conflict minerals policy

衝突礦產政策

13 Conflict minerals procedure

衝突礦物程序

14 Conflict minerals representative assignment letter

衝突礦產代表任務書

15 Conflict minerals implementation procedure

衝突礦產實施程序

16 Conflict mineral due diligence reports

衝突礦產盡職調查報告

17 3TG+C Mitigation reports

3TG+C 緩解報告

18 Conflict mineral system evaluation reports

衝突礦產系統評估報告

19 Conflict mineral action plans

衝突礦物行動計劃

20 Major next-tier supplier compliance policy

主要供應商合規政策

21 Major next-tier supplier compliance procedure

主要供應商合規程序

22 Major next-tier supplier compliance assignment lette

主要供應商合規任務書

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23 Supplier contracts

供應商合約

24 Labor agents and contractors contracts

勞務代理和承包商合約

25 Communications to supplier management

與供應商管理層的溝通

26 Supplier contract enforcement notifications

供應商合約執行通知

27 Major next tier supplier list

主要下一級供應商名單

28 Audit reports of next tier major suppliers

下一層級主要供應商審計報告

29 CAPs of next tier major suppliers (including on-site service providers)

下一級主要供應商（包括現場服務提供者）的糾正措施