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S. No Documents RequiredAvailable

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I 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)

II MANAGEMENT AND PRODUCTION1 Company code of conduct

2 Sourcing Agreement

3 Subcontractor List and Agreements

4 Organization Chart

5 Production Capacity Report

6 Daily / Monthly Production Data

III 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

List of documents (Photocopies) required during the audit

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S. No Documents RequiredAvailable

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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 APPLICABLE1 Applicable Union Registration

2 Employee Union Membership Application Records

3 Collective Bargaining Agreements (if applicable)

V MAINTENANCE AND SAFETY1 Machine Maintenance Records

2 MSDS for Chemicals in use.

3 Evacuation Plans

4 Fire Safety Instructions

5 Needle issue & Breakage Register (wherever applicable)