Documentation Review

The following documents are required for the audit. Please make them available for auditors during the audit. Thank you for your cooperation.

Written Programs

 Factory Master Action Plan

Employee Related Documents

 Current active employees list  Rejected application files and interview note

 Terminated workers list for the past 12 months  Employees leave records

 Workers turnover report for the past 12 months  Employee saving programs (if applicable)

All employee (active & terminated) files (Include personal

 particular, employment contract, copy of ID, Social Insurance,
disciplinary records, performance review records, etc.)
 Employee training records (Factory’s rules & regulations, orientation,
Brand Code of Conduct)


Organizational chart/ job description (Management and
supervising level only)

Factory Policies

 Factory regulations  Worker performance review procedures

 Workers’ minimum wage policy  Severance and allowance policies (if applicable)

 Wage and hours policy  Leave policy

 Overtime policy

Work Hour Records for the past 12 months

 Daily time cards/ daily time records  Weekly overtime summary

 
Documentation for reasons that caused excess of 60 hours work per
Other time keeping system beside current system (if applicable)
week

 
Voluntary overtime register form (with signature)/ OT verification
Legally required overtime permit (if applicable)
report/ log

Payroll Records for the past 12 months

 
Pay slip (including pay period, employees’ name, ID, net pay, date Payroll records (pay period, employee name, ID, pay rate, hours
of pay) worked, OT

 Piece rate records (if applicable)  Other related payment or deductions


Piece rate wage, gross pay, individual deductions, net pay date of
pay

Factory Production Profile

Labor/Social Document Review Request Sheet Page 1 of 2

  Loading vs. capacity report  Daily/weekly/monthly production records

 
Extraordinary business circumstance records (unexpected extra
Individual worker’s production records (for piece rate wage only)
works)

 Production plan

Non-production Related Documents

 Grievance records/file  Strike/work stoppage records


Meeting report between management and workers
representative/union

Insurance and Tax Records

 
Workers’ occupational injury insurance certificate (if required by
Record of tax and social security payment for the past 12 months
law)

Legal Documents

 Government business permit/business license  Current local labor laws/regulation

 
Local labor laws and legislation of the county where factory
Government audit reports (taxes, financial audit) – (if applicable)
located

 Garment registration (if required by law)

Grievance Documentation in the past 12 months

 Grievance policy  Disciplinary record

 Written Grievance procedure  Workers’ grievance notes

 Written Grievance Channels Instruction for workers  Management response to the workers’ grieve note

 Investigation Documentation  Harassment & Abuse policy

 Warning letter  Non discrimination policy

 Termination file

Union, Welfare Committee/ Worker Representative

 Any applicable union registration  Minute of the meeting

 Workers union membership application  Collective Bargaining Agreement (If applicable)

 
Union / Welfare committee ‘s organization chart/ responsibilities and
Documentation of the election
meeting report

Labor/Social Document Review Request Sheet Page 2 of 2