LIST OF DOCUMENTS REQUESTED FOR THE AUDIT

1. Factory license / Shop and Establishment.

2. Shift Working Approval (If Applicable)
3. Stability Certificate
4. Sales Tax Registration
5. Copy of Import/export
6. Consent under Air (Prevention & control of Pollution) Act.
7. Consent under Water (Prevention & control of Pollution) Act.
8. Hazardous material/waste storage permission
9. Hygiene / Sanitation (Canteen) Certificate
10. No Objection Certificate from Local Fire Department.
11. Disaster Management Program / Emergency Preparedness procedure and training records
12. Last 12 months Minimum Wage notification. (Declared by State Government)
13. Boiler Inspection Certificate. (If applicable).
14. First/Second class Boiler Operators Certificate (If applicable).
15. Generator and Transformer inspection/Safety installation certificate from Electrical Inspector.
16. Approved Factory layout plan.
17. ESIC Challans for last three months & latest half yearly return - last 12 months.
18. PF Challans & Monthly returns (Form # 5, 10, 12A) - last 12 months.
19. First aid training Imparted Certificates.
20. Firefighting training - Imparted Certificates / Photographs.
21. Fire & Emergency Mock drill records - last 12 months.
22. Register of PPE issued to employees.
23. Records of training to employees in Use of PPE/MSDS/Importance of guards/Benefits etc.
24. Records of Pest Control Activity.
25. Records of Employee orientation/induction Programs.
26. Accident registers as per Factory Act. & ESI Act.
27. Copies of Factories Social / Health & Safety / Working Hours / Hiring / Anti-Discrimination / AntiHarassment or Abuse / Internal Operating Policies.
28. Canteen committee (if applicable) proceedings - (For strength of > 250 employees)
29. Health & Safety committee proceedings (if applicable)
30. Prevention of Harassment & Abuse Committee meetings (As per The Sexual Harassment of Women at Workplace (Prevention,
Prohibition and Redressal) Act, 2013) (if

applicable)

31. Grievance committee meetings (if applicable)

32. Workers welfare Committee

33. Bonus register Latest Paid Record.

34. Gratuity Latest Paid Record.
35. Full and final records for employees who left the factory / Resignation letters (Company & Contractor).
36. Attendance In & Out time record Last 12 Months record (Company & Contractor Employees).
37. Wages records - Last 12 Months record (Company & Contractor Employees).
38. Overtime wage Records - Last 12 Months record (Company & Contractor Employees).
39. Over Time Exemption Certificate (If Applicable)
40. Leave Records Earn Leaves, Casual Leaves & Sick Leaves - Last 12 Months record (Company & Contractor Employees).
41. Maternity Benefits Records - (Company & Contractor Employees).
42. Copies of Pay slips. - Last 12 Months record (Company & Contractor Employees).
43. List of declared Holidays Current Year & Last Year
44. Personal files including Application Forms, Nominations for PF/ESIC/Gratuity, Age proof records,
Appointment letters etc.
45. Drinking water Potability test results / records.
46. Procedure for disposal of Bio Medical waste (If applicable).
47. Medical/Health checkup for production & canteen employees. (Company & Contractor Employees).
48. Company Profile.
49. Organization chart.
50. Suggestion box / logbook.
51. Security agency signed contract.
52. Standing order.
53. Standard Operating procedures (if applicable)
54. Load sanction (As per Electricity Bill).
55. Electricity bills for last 3 months.
56. List of Contractors (if applicable)
57. Copy of Principle Employer Registration to use contract worker (if applicable).
58. Copy of Contractor License (if applicable).
59. Copy of agreement made with contractors.
60. Waste Disposal Records/ Procedures.
61. Union agreement meeting / membership and CBA details (if applicable)
62. List of chemicals / M.S.D.S. sheets.
63. Chemical emergency program (if applicable)
64. Community involvement if any.
65. Pressure vessels /Lift /Compressor/Crane/Hoist test reports (if applicable).
66. Electrician Certificate/license.
67. Government Official Inspection Registers (PF/ESIC/Labor inspector etc).
68. List of machinery.

69. List of fire fighting equipments (Fire extinguishers/alarm/hydrant/hose/emergency light)

70. Fire extinguishers/alarm/hydrant/hose/emergency light inspection & maintenance records.
71. Machinery/Electrical maintenance records.
72. Welfare Officers file (If applicable).
73. Trained Nurse file (If applicable).
74. Safety Officer file (If applicable).
75. Fork Lift Operator License
76. List of Toilets (Urinal / Pot)
77. List Of First Aid Box
78. Diesel/Furness Oil/CO2 Storage Permission.
Additional for Environment:
79. Waste Inventory Air Emission Inventory
80. Ambient Air Quality Monitoring & Analysis
81. Environment Policy
82. Environment training program
83. Noise Pollution Assessment
84. ETP Maintenance Record
85. ETP Waste Disposal Record (Hazardous Waste Manifest)
86. Approval for Use of Water (If Applicable)
Additional for Management Practice:
Policy on: Anti bribery, corruption or any other type of fraudulent or unfair business practice.
Policy on: clients business integrity standards/code requirements and have a system in place to monitor
their performance against these.

Land Rights
1. Facility land ownership or lease documents (title, certificate, deed, lease, rental agreement, or other Social i
written evidence).
2. Documentation demonstrating that the seller engaged in an FPIC process when negotiating the sale of the
land to the facility
3. Documents reflecting any past or current disputes or grievances related to the land on which the facility
is located
4. Evidence showing that the seller(s) was/were compensated for the facilitys land