Document Checklist

Report No.:
Important Reminders
• This Document Checklist aims to facilitate the site (auditee) for an early preparation to the document review session during on-site assessment.
• This checklist is generic and provided for reference purpose. Subject to client-specific needs and/or actual assessment trail, assessor(s) might request
documents which are not listed. Assessor(s) will ensure the request is not beyond the scope necessary to achieving the assessment objective.
• Documents will be reviewed by the assessor(s) on-site during the assessment visit. There is NO need to share the documents prior to the assigned
assessment period. Do NOT send over any documents for review via any channels, e.g. email, mobile App, USB drive, etc.
• For remote/desktop assessments, a designated secure data sharing platform will be used. Please follow the relevant specific guidance.
• Assessor(s) will always conduct the document review in full compliance with the applicable data protection laws & regulations.

Labor Documents
Reviewed
Documents Assessor Notes
# (On-site)
Business license
Other documents required for legal operation Facility name match with client request and
system information?

1 Facility address match with physical location,

client request and system information?

Facility operating scope covers actual operating

processes?
Time Attendance Records of past 12 months /
2 From _______________to_______________ Novi + Hasdian - HR
Overtime Application Form (If applicable)
3 Novi + Hasdian HR
Overtime Waiver (If applicable)
4 Novi + Hasdian - HR
Payroll Records of past 12 months /
5 From _______________to_______________ Anis - ACC
Minimum Wage Standard (If applicable)
6 Fitria - HR
Employee Records, e.g. personal files, age proof and employee roster
7 Novi + Hasdian - HR
Recruitment Policy and Procedure
8 Fitria - HR
Employment Contract
9 Fitria - HR
Labor Dispatching Agreement, Agent Worker Agreement, Internship Agreement (If
10 applicable)

Labor Dispatching Worker, Agent Worker, Internship and Apprentice Management

11 Procedure (if applicable)

Foreign Migrant Workers Documents (If applicable),

Fitria - HR
1) Proofs of recruitment fee payments;
2) Service contracts with foreign migrant workers (if contracts are signed both in
sending country and receiving country, please provide both sets);
3) Legal permission for employment of foreign migrant workers as required by
local law;
4) Copies of Visa and residence permits;
5) Work permits of foreign migrant workers;
12 6) Policy and factory code on foreign migrant workers protection;
7) Orientation training material and records of FMW;
8) Roster of foreign migrant workers;
9) Policy and procedure of labor broker management;
10) Labor brokers screening and evaluation records;
11) Labor brokers monitoring records;
12) Job advertisement used for hiring foreign migrant workers;
13) Other Required Documents;

Document Checklist_V15 (EN) Page 1 of 3

 Document Checklist
Report No.:
Reviewed
Documents Assessor Notes
# (On-site)
Juvenile Worker Management Procedure
13 Fitria - HR
Juvenile Worker Registration and Health Check Records (if applicable)
14 Fitria + Hasdian - HR
Social Security
Legal Required Benefit Entitlement Records
15 Novi - HR & INNA - ACC

Employee Handbook, Leave Policies

16 Fitria - HR
Leave Records (Most recent 3 months)
17 Novi + Hasdian - HR
Employee Orientation Training Records
18 Novi + Hasdian - HR
Disciplinary policy
19 Fitiria - HR
Disciplinary and Awarding Records (Most recent 3 months)
20 Anis - ACC
Worker Resignation and Termination Records (Most recent 3 months)
21 Novi + Hasdian - HR
Anti - Forced Labor Policy
22 Fitria - HR
Anti - Discrimination Policy
23 Fitria - HR
Labor Union Org Chart, Election Records, Collective Bargaining Agreement
(CBA), Committee Records
24 Fitria - HR

Grievance Procedure
Employee Complaint Records
25 Fitria - HR

Last 3rd Party Assessment Report (If applicable)

26

Production Records and Other Supporting Records List of Reviewed Records and Reviewed Periods:
27

Document Checklist_V15 (EN) Page 2 of 3

 Document Checklist
Report No.:
EHS Documents
Reviewed
# Documents Assessor Notes
(On-site)
Facility Layout Plan
28 Fitria - HR
Production Flow Diagram
29 Fitria - HR
Chemical Inventory, MSDS in local language
30 Fitria - HR
Work-Related Injury Records
31 Novi - HR
Qualification or Training for First Aiders (If applicable)
32 Novi - HR
Emergency Preparedness Policy and Procedure
33 Fitria - HR
Fire, Evacuation and Chemical Spilling Drill Records etc.
34 Fitria - HR
Building Fire Safety Approval
35 Fitria - HR
Building Construction Safety Approval
36 Fitria - HR
EHS Training Records (PPE, Chemical training etc.)
37 Fitria - HR
Workplace Occupational Hazards Factor Assessment and Testing Report e.g.,
38 Chemical Substance, Dust, Noise etc. (If applicable) Fitria - HR
Occupational Disease Health Examination Report (If applicable)
39 Fitria - HR
Machinery and Equipment List
40 Maintenance Records Fitria - HR
Special Appliance Permits e.g., Crane, Elevator, Pressure Vessel, Boiler, Forklift
41 etc. Fitria - HR
Special Appliance Operator Certificate
License for Special Operation (e.g. Electrician, Welder etc.)
42 Fitria - HR
Canteen Hygiene Certificate
43 Health Certificate of Kitchen Staff
Fitria - HR
Environmental Management Procedure
44 Fitria - HR
Hazardous Waste Transferring Records
45 Qualification Documents of the Collector (if applicable)
Fitria - HR
Environmental Approval and Permit
46 Fitria - HR
Monitoring Records for Waster Water, Air Emission and Boundary Noise (If
47
applicable) Fitria - HR
Inventory / bills / invoice for energy consumption and other related documents
(e.g. electricity bills, nature gas invoices, PPA, EAC, etc.)
Type of energy consumption include: 1) purchased electricity, 2) Coal, 3) Petrol, 4) Inna - ACC
Biodiesel, 5) Liquid petroleum gas (LPG), 6) Liquid natural gas (LNG), 7) Diesel,
48 8) Fuel oil, 9) Biomass - general, 10) Solar Thermal, 11) Geothermal, 12) Natural
gas, 13) Heating (purchased), 14) Steam (purchased), 15) Purchased renewable
energy (off-grid), 16) Onsite solar photovoltaic, 17) Propane, 18) Biogas, 19)
Biomass wood, 20) Chilled water (purchased), 21) Hydro, 22) Microhydro, 23)
Wind

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