List of documents/certificates required for Sedex-ETI audit

List of documents/certificates required for Sedex-ETI audit
Sedex-ETI Request Document List (COC Audit)
No.	ETI Code	Items	Available			Copied
No.	ETI Code	Items	YES	NO	N/A	YES	NO
1	1.1	Factory Profile - Personnel/Output/Output Value/(Brand) Market Distribution
2	1.2	Organization chart
3	1.3	(Company) Factory's floor plans
4	1.4	Subcontractor/supplier evaluation program & records
5	1.5	Business license
6	2.1	Employee manual /handbook
7	2.2	Factory regulations, including the policies on working-hour system, overtime compensation and other legal benefits
8	2.3	Dormitory regulations
9	3.1	Recruitment policies & program
10	3.2	Personal records / Employment registration (all employees)
11	3.3	Labor contracts (all employees)
12	3.4	Entrance & annual health examination reports (for underage workers, canteen staff, and employees working in toxic and hazardous or chemical-using positions)
13	3.5	Young worker registration approval from Local Labor Bureau / shift arrangement for young workers
14	3.6	Approval on Comprehensive Calculation of Working Hours System (if applicable) or Overtime Waiver
15	3.7	Payment Receipt of social insurance schemes, and official testimonials on coverage of social insurance schemes
16	3.8	Leave request notification
17	3.9	Resignation records
18	3.10	Reward and punishment records/Warning notification letters
19	4.1	Attendance records of the most recent consecutive 12 months
20	4.2	Production records of piece rate workers
twenty one	4.3	Local / official Minimum Wage Notice
twenty two	4.4	Payroll records of the most recent consecutive 12 months
twenty three	4.5	Pay slips with employees' signatures
twenty four	4.6	Wage deduction / fine records
25	5.1	Building structure safety certificate / legal real estate certificate
26	5.2	Building fire safety certificate
27	6.1	The company's health and safety policy (including emergency action procedure)
28	6.2	Safety officer certificate (appointment letter/training completion certificate)
29	6.3	Fire officer certificate / trained first aider certificate
30	6.4	Fire drill program & records and fire evacuation plan & procedure / first aid training records with photos
31	7.1	Registration of elevator & lift and annual inspection certificate by official bureau
32	7.2	Work Permits for special & dangerous operations: electrical work, boiler operation, pressure vessel operation, lifting machinery operation, blasting operation, metal welding and gas cutting operation, underground gas inspection in coal mines, motor vehicle driving, motor vessel driving and engine operation, building climbing and erection operation
33	7.3	Equipment maintenance worker/technician qualification certificate Qualified mechanics certificate
34	7.4	Registration certificate for boilers and pressure vessels / annual inspection certificate
35	7.5	Operator / attendant certificate of pressure vessels & boilers
36	8.1	Approval certificate of chemical warehouse / register & storage record / MSDS (material safety data sheet) of dangerous chemicals / chemicals list
37	8.2	Qualified certificate for the keeper of dangerous chemical warehouse
38	8.3	Environmental protection quality monitoring & test report for toxic and harmful operations in the workshop
39	8.4	Noise monitoring & test report of power generator
40	8.5	Environmental assessment report on factory projects / permit certificate of waste emission / waste monitoring & test records
41	9.1	Hygiene Certificate for the canteen in factory / Health examination records of canteen workers
42	9.2	Qualified certificate of Doctor or Nurse
43	9.3	Accident, injury reports & records / recurrence avoiding measures
44	9.4	Regular pest control records
45	10	Security guard regulation & job description / security guard certificate
46	11	Meeting minutes of union / Selection program and Responsibility of workers' Rep. / Collective Bargaining Agreements (CBA)
47	12	Documents proving workers' legal right to work including immigrant & employment agency staff.
48	13	Social accountability policy / Management procedures / periodical internal audit records
49	14	Sub-contractors list / monitoring records on sub-contractors' social responsibility performance
50	15	Home workers list / monitoring records on home workers'' social responsibility performance