Basic information to be provided to the Auditing Company

The Audit Client will make the following documents available to

the Audit Company on the
day(s) of the audit:
Facility floor plan
Applicable laws and regulations
Labour contracts
Employee handbook (terms and conditions of employment)
Collective Bargaining Agreements (CBA)
A list of all the chemicals and solvents used on this site
Permits, operating licences, Certificates of Operations, etc.
Government Inspection Reports, e.g., sanitation, fire safety,
structural safety,
environmental compliance, etc.
Machinery inspection/service logs
Accident and injury log
Emergency action procedures
Evacuation plan
Time records for the past 12 months
Payroll records for the past 12 months
Piece rate records for the past 12 months (if applicable)
Insurance, tax and other required receipts
List of Documents - Records to be made available to the
Auditors
Copy
Copy
Copy

of local business and tax registration, Factory license

of local country/state law on minimum wage payment
of authorization allowing factory workers to work
overtime.
Copy of all employment application form stating name, date of
birth, province of origin
Copy of employee identification card
Copy of employment contract signed by factory management
and factory workers.
Monthly payroll summary payment records, time cards for the
last 12 months.
Factory pay rate schedules for piece rate work, hourly and
daily work, overtime rates.
Factories are encouraged to provide the auditors copies of
piece rate records of employees with floor supervisors approval

of daily output. If these records are discarded afterpayment of

salary, the payment summary stubs signed by supervisors should
be available to the auditors.
Copy of Fire Department inspection certificate most current
available.
10

Emergency evacuation plan for the factory.

Copy of in-house doctor/nurse/medical professionals

certificate

or licence (if available)

Copy of industrial accident records (if any)
Fire drill records
Copy of fire prevention and emergency preparedness program
Copy of plant layout
Copy of sanitation certificate
Copy of electricians license.
Other documents collected at the time of audit

Consent for Air (approval from Pollution Control Board for

Generator etc.)
Consent for Water (approval from Pollution Control Board for
Boiler etc.)
Approval for Boiler from approved source.
Approval for generator from Electrical Inspector.
ESIs Challans, returns, Cheque payment details.
P.F Challans, returns, Cheque payment details, Form V, X & XII
First aid training imparted Certificates
Canteen committee proceedings - for 1 year record (for
strength of > 250 employees)
Health & Safety committee proceedings 1 year record
Prevention of Harassment & Abuse Committee meetings &
proceedings 1 year record
Grievance committee meetings proceedings 1 year record
Works Committee meetings proceedings 1 year record
Bonus paid Last year record
Gratuity Last year record
Resignation letter.
Suggestion box.
Attendance In & Out going time punching record 1 year
record
Wages records - 1 year record
Overtime wages paid - 1 year record

Wages paid on Holidays

Application Rejected files.
Drinking water Portability test results / records.
Waste Disposal / Bio medical waste Procedures.
Medical checkup for canteen workers
Company Profile
Organization chart
Leave with wages record.
Security agency Copy of contract.
List of declared Holidays
Copy of Standing order
Copy of Standard Operating procedures (SOP) (optional)
Electricity bills for last 3 months.
Contractors list Registration.
Union agreement meeting / membership details.
List of chemicals / M.S.D.S. sheets.
Community involvement.