PART A : List of Document For IA/IA Follow Up/PA

Important notes:
1. All documents must be available during onsite visit ; Original (not copy) document should be available during on site visit , unless stated otherwise
2. For documents listed in both Part A and Part B, factory can choose to submit in one worksheet only.
3. List can be added with any document needed specific by country for each part (A, B, C, D)

Submitte Yes/No/N Remarks

No. Document Name d prior A *i.e. license Number, Validity, Last Inspection Date,
(choose one
audit option above) etc.

A. General Document
1 Business Registration
*
2 Permits and Licenses mandatory by Local Regulation
*
3 Tax Registration

4 i. National Social Insurance/Certification/Registration

ii. Records of Insurance Payment for the last 3 months

5 Employee Hand Book / Company Regulation / Collective Bargaining Agreement Document

6 Company Profile

7 Employee Breakdown Number / Total Workforce in the factory (i.e. number employee per
department, male, females, temporary, permanent, etc.)
8 Factory Floor Plan/Emergency Layout of all areas

9 Organization Chart (HR , HSE and compliance team) & Job Description

10 Labor & HSE Training Document/Records for the last 6 - 12 months which include
certification (if any)

B. Labor and Other Related Document

1 Employment Files / Records (will be randomly selected by auditor):
a. Template of Employment Contract / Agreement *
b. Application form

c. Copy of employee identification card & age proof document

d. Copy of Passport / Work Permit (if any for foreign workers)

e. Copy of summary of medical check up or/and specific check up especially with

employees work in hazardous condition (if any)

f. Copy of employees other related doc i.e. leave records, reward records, warning
letter, etc. (if any)

g. Others (please list out):

2 Local Minimum Wage Standard/Decree; Local Work Hours Standard/Decree and/or Internal
Company Wage Structure

3 Payroll & Working Hours documents/records for the last 6 to 12 months - related
to:
a. Time card / Attendance Records / Print Out of employee's time in & out
b. Overtime Request / Consent Letter

c. Waiver of Overtime Hours from Legal Authority (If any)

d. Status of Overall Working Hours Report for the last 6 to 12 months

e. Pay Slip

f. Bank Transfer Records

g. Salary's payment for exit workers, severance package payment , etc.

h. Bonus/other payment record (if any)

i. Others payment i.e. annual leave, festivity allowances, transport allowance ,

etc. (If any, please mention):

4 Leaves Records of all kind of leaves / Summary of Leaves Taken

5 Status of Disciplinary Records for the last 6 to 12 months (i.e. Warning Letter Log
Book), Record of Verbal Warning, Written Warning, Demotion and Termination.

6 List of newly hired employees for the last 3 months & its status (i.e. intern /
trainers / probation)
7 Registration of Union / Employee Representative to local authority (if any)

8 Consent letter from employees for union dues (if any)

9 Records of Grievance system i.e. Suggestion box, hotline channels, etc. (if any)
PART A : List of Document For IA/IA Follow Up/PA
Important notes:
1. All documents must be available during onsite visit ; Original (not copy) document should be available during on site visit , unless stated otherwise
2. For documents listed in both Part A and Part B, factory can choose to submit in one worksheet only.
3. List can be added with any document needed specific by country for each part (A, B, C, D)

Submitte Yes/No/N Remarks

No. Document Name d prior A *i.e. license Number, Validity, Last Inspection Date,
(choose one
audit option above) etc.

C. Health Safety Environmental and Other Related Document

1 Permit/License for Machine/Equipment, Facility, Operator & Regular Monitoring

Records :
a. Boiler and operator

b. Power Generator / Emergency Power Machine and operator

c. Forklift, Freight Lift, Compressor, Hand Lift, Welder, etc.

d. License for electrical installation, lighting conductor, etc.

e. Inspection records related to local law (i.e. fire extinguishers, emergency

lights, fire alarms, smoke detectors, sprinklers, etc.)

f. Fire Safety Permit / License

g. Building Construction Certification / License

h. Environmental Certification / License / Registration Report

i. Regular workplace monitoring : drinking water, waste water, noise, air quality
(as required by local law) etc.

j. Others needed (please list out):

2 Health & Safety Committee / Officer Registration & Report to Local Authority

3 Health & Safety Risk Assessment Report

4 Certification / License for in house clinic and Doctor / Nurses / Paramedics /

First Aider (If any)

5 Certification / License of in house canteen and kitchen which include Hygiene

Permit, Health Check of Canteen workers , MoU with Canteen Providers (If available)

6 Accident, Incident and Occupational Diseases Record for last 12 months

7 Any certification required for special operators or other specialist

8 MSDS List / Chemical Inventory (refer to attached form)

Chemical List.xlsx *
9 Fire and Evacuation Drill records within 6 months
*

D. Specialized Areas (if Available)

(Pregnant Employees, Person with Disability (PWD), Migrant Employees, Juvenile Employees and Outsource Employees)
1 Permit / License related with pregnant, PWD, Migrant, Juvenile Employees and
Outsource Employees ( as required by local law)

2 List of the Pregnant, PWD, Migrant, Juvenile Employees and Outsource Employees in
the factory (include country of origin for migrant employees). Current job position
for pregnant and juvenile; Age proof documents for Juvenile.

3 Contract Agreement with Recruitment Agent / Service Provider (if any)