List of Social Responsibility Factory Inspection Documents Inspection and Certification Services for Factory Audits
Preparing for a social compliance factory audit or inspection requires organized and verifiable documentation. This checklist categorizes essential records that auditors will typically request to verify adherence to labor, health, safety, and environmental standards during an on-site inspection.
I. Business Legitimacy & Basic Policies
Documents in this category establish the factory's legal identity and foundational management systems for audit verification.
Business License
Factory Layout Plan & Production Flow Diagram
Factory Rules, Employee Handbook, and Leave Policies (covering paid annual leave, maternity leave, sick leave)
Hiring Policy and Procedure Documents
Most Recent Social Compliance Audit Report and Corrective Action Plan (if applicable)
II. Personnel, Employment & Labor Practices
These records are crucial for inspecting fair hiring, contractual, and management practices.
Employee Personnel Files and Master Roster
Labor Contracts (for all employees)
Records for Young Workers: Health checks and government registration (if applicable)
Worker Resignation and Termination Records (last 3 months)
Employee Disciplinary Records (last 2 months)
Internal Grievance Procedure and Complaint Records
Documents for Dispatch Workers/Interns: Labor dispatch agreement, agency's business license, internship agreements (if used)
III. Working Hours, Wages & Benefits
This set is core to the audit for verifying legal compliance on compensation.
Time and Attendance Records (last 12 months)
Overtime Authorization Records/Application Forms
Government Approval for Comprehensive Working Hours System (if applicable)
Payroll Records (last 12 months)
Official Notice of Local Minimum Wage
Records of Taken Leave (paid annual, maternity, sick leave)
Social Insurance Documentation:
Contribution receipts (last 3 months)
Enrollment list (last month)
Local calculation formula
Annual social insurance inspection certificate (if available)
IV. Health, Safety & Working Conditions
These permits and logs are examined to inspect the provision of a safe workplace.
Chemical Inventory List
Records of Work-Related Injuries
Fire and Emergency Evacuation Drill Records & Plan
Fire Protection Facility Acceptance Certificate or Registration
First Aid Training Records and First Aider Certificates
EHS Training Records (e.g., PPE use, chemical handling)
Occupational Health Examination Reports
Canteen Hygiene License and Kitchen Staff Health Certificates
Special Equipment Registration and Inspection Certificates (e.g., cranes, elevators, boilers, forklifts)
Special Equipment Operator Licenses for the above machinery
V. Environmental Management
This section is reviewed to verify environmental regulatory compliance during the factory audit.
Pollutant Discharge Permits (for wastewater, air emissions, solid waste)
Hazardous Waste Disposal Contractor's Operating License & Waste Transfer Manifests
Environmental Impact Assessment (EIA) Report and its Official Approval
Project Completion Environmental Inspection / Acceptance Report
Pro-Tip for a Smooth Audit: Ensure all documents are readily available, organized by category, and cover the specified time periods. Inconsistencies between different records (e.g., time cards vs. payroll) are a primary focus of auditor verification. Conducting an internal inspection against this checklist prior to the third-party audit is highly recommended to identify and address gaps proactively.
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List of Social Responsibility Factory Inspection Documents Inspection
Preparing for a social compliance factory audit or inspection requires organized and verifiable documentation.
