RSMS Document List 受限物质体系审核文件清单
1.Restricted Substance Specification both from HOT & internal.- HOT及内部《限用物质规格》
2.Reasonable RS Testing Program - 合理测试方案
3.RSMS Policy / Objectives - RSMS方针&目标
4.RSMS organization chart or committee
5.Management Representative Qualification on RSMS - RSMS管理者代表的资质(如内审员证书)
6.RSMS Manual / Procedures (can be combined with ISO9001) – RSMS手册与程序文件（可与ISO9001
结合）
7.RS related External Document List (customer’s spec, Law and regulation list, etc.)– RS相关的外来文
件清单（如客户规格，法律法规等）
8.RSMS Internal audit report and management review report. – RSMS内审报告与管理评审报告
9.Drill of Traceability System. –产品可追溯性演练
10.Product Bill of Materials (BOM) or Bill of Substance (BOS) where the RS compliant information /
requirements shall be described clearly. –产品物料清单或物质清单表，在此表上要详细描述RS符合情况。

11.RS investigation form (based on product type / series or materials) – RS调查表(可基于产品型号或系
列或物料)
12.RS Approved Vendor List (AVL) – RS合格供应商清单
13.Supplier Declaration of Compliance (DoC) on RS –供应商的RS符合声明书
14.Suppliers’ 3rd party Lab Test Reports based on RSS and Testing Program. –供应商基于RSS与测试方
案而提供的第三方测试报告
15.MSDS (SDS) for substances and mixtures. –化学品（物质与混合物）的物质安全资料表
16.RS Supplier on-site Evaluation Records, Supplier and materials Approval. –供应商现场评估报告，供应
商与物料的承认书
17.RS Supplier Performance Records - 供应商表现记录
18.Risk evaluation form to suppliers and materials. - 供应商与物料的风险评估报告
19.RSMS related work instructions for operation and inspection (IQC, IPQC, OQC, QA) – RSMS相关的作
业指导书与检验指导书（来料，制程，出货与QA）
20.Processes Risk Evaluation Report - 制程风险评估
21.Direct Materials List and Indirect Materials List for each station. –每个岗位的直接接触材料与间接接触
材料清单
22.RSMS Training Plan & Records – RSMS培训计划与记录
23.RS internal test report based on the RSS and Testing Program (if any). –基于RSS及测试方案的内部
测试报告
24.IQC/IPQC/OQC/QA inspection report (randomly sampled on-site) – IQC/IPQC/OQC/QA检测报告。

25.RS testing machine(s) operator’s qualification(s) (if any). – RSMS测试仪器备的操作员证书（如有）
26.Calibration Plan and Records for RS tester(s) (if any).– RS测试仪器的检验计划与报告
Note: Original records of # 1, #5, #7, #8, #9 (if applicable), need to be presented at the time of audit.
C-TPAT audit should be conducted at all factories as long as HOT is the importer of record.。