List of documents (Photocopies) required during the audit S.

No I Documents Required Available (Y/N/ NA)

PERMITS, AUDITS AND INSPECTION 1 Factory / Shops & establishment Licence. 2 Reports of Labor / Factory Inspectors 3 Pollution certificate - Water & Air 4 Fire Safety / Chemical Safety / Boiler Safety License 5 Stability Certificate 6 Electricians Certificate 7 Certificate (ISO/SA8000/WRAP) / Consent / Maintenance records of Generator / Compreser / Pressure Vessels / Elevator / Hoists/ Chain Blocks, Crane etc. 8 Other Inspections (Govt / Companies / Brands) MANAGEMENT AND PRODUCTION 1 Company code of conduct 2 Sourcing Agreement 3 Subcontractor List and Agreements 4 Organization Chart 5 Production Capacity Report 6 Daily / Monthly Production Data PERSONNEL / HR 1 Factory Act records - Time / Registers of Attendance, overtime, fine, accident, minor injury etc. 2 List of all workers (permanent, part-time, trainees, temporary, seasonal, contract workers) showing Emp. No/Code, Name, Gender, Date of joining, Date of Birth, Designation, Dept, & total monthly wages showing Basic, DA, HRA, Conv.,etc. 3 Personnel Files of the workers including contract workers. (for review - I Card, wage slip, appointment letter, PF/ESIC Nomination Forms, age proof, Confirmation letter, training records, etc) 4 Register of Child / Adolsence workers 5 Wages & Bonus Records for last 12 months of all the workers including contract workers. 6 Full & Final Settlements of workers including contract workers left in last 12 months. 7 Leave Records including maternity leave for last 12 months

II

III

S. No

Documents Required

Available (Y/N/ NA)

8 Paid Challans for ESIC, PF, Professional Tax, LWF etc. for last 12 months. 9 Form 5 & 10, 12A of PF & relevant documents for ESIC. 10 Permission for Shift working, overtime working. 11 Certified Standing Orders (applicable in case of more than 100 workers) 12 PPE issue register 13 First Aid Boxes list 14 Fire Drill records 15 Fire Extinguishers - Maintenance record 16 Files of Grievances and Suggestions 17 Records of Grievance Investigation and Conclusions 18 Minutes of Meetings of Workers Committee 19 Minutes of meetings of Safety Committee. 20 H R Policy / other policies (child labor, forced labor, working hours, environmental, H&S, Grievance, termination, FoA/CB, H and A, non discrimination, Wages, Women's right, etc) 21 Leave Policy 22 Security Policy. 23 List of Holidays 24 Notice Board Documents (Abstract of Factories Act / Labour), ESIC schemes / benefits, CoC, etc 25 Minimum Wage Notification IV UNION RELATED INFORMATION, IF APPLICABLE 1 Applicable Union Registration 2 Employee Union Membership Application Records 3 Collective Bargaining Agreements (if applicable) MAINTENANCE AND SAFETY 1 Machine Maintenance Records 2 MSDS for Chemicals in use. 3 Evacuation Plans 4 Fire Safety Instructions 5 Needle issue & Breakage Register (wherever applicable)