NB: This is NOT A EXHAUSTIVE CHECKLIST , BUT JUST A REFERENCE POINT TO START PREPARING FOR A SMETA 2 PILLAR AUDIT
THIS IS NOT WHAT LIMITS A SMETA AUDITOR - HE MAY ASK OTHER DOCUMENTS
Business documents:
Business/industry license, registration, permit, and/or certificate
Government inspection reports/permits (such as sanitation, fire safety, structural safety, environmental compliance)
Summary list of registration and inspection certificate of special equipment (for example: crane, elevator, generator, boiler, pressure vessel, forklift), and the operator’s certificate
Other documents (if applicable) related to vendor/subcontractor contracts (such as canteen, security, facilities)
Facility Policies and Procedures
Facility rules/employee handbook
Polices regarding hiring/recruitment, child labor, wages and working hours, disciplinary, benefits and allowances, discrimination and harassment, grievance, freedom of association, health and safety, environmental, and training
Employee Documentation
Employee personnel files (such as employment application, labor contracts, disciplinary notices, copies of identification documents, work permits, resignation records
Worker registration and health check records (if
applicable)
Employee personnel files (such as employment application, labor contracts, disciplinary notices, copies of identification documents, work permits, resignation records
Payroll & Attendance Documents
Payroll records, and time records (regular and overtime) including government waiver/overtime permit, piece rate records for the past 12 months (including peak period, low period, and the most recent period)
Piece rate records and production records (such as daily production report, product inspection report)
List of legal holidays
Earned leave and casual leave records for the last two years
Records of social insurance contribution
Records of employee benefits (for example: annual leave, maternity leave)
Freedom of Association
Legal organization agreement or other documents (such as meeting records)
Environmental Health and Safety (EHS)
Facility layout or evacuation plan
EHS manual and/or written EHS programs
EHS Committee records (agendas, minutes)
EHS training records (such as personal protective equipment, chemical safety)
Health & Safety
Workplace safety and equipment related permits/licenses/testing reports
Equipment inspection/service logs
List of chemicals used and hazardous processes
Safety data sheets (SDS)
List of required personal protective equipment
Testing, inspection, and maintenance records for fire suppression equipment
Fire drill records, fire inspection reports
Emergency action procedures (such as an Emergency Response plan)
Records of occupational injury and illness
Records of industrial hygiene monitoring (such as chemical exposure, air contaminants, noise, temperature, lighting, indoor air quality)
Employee medical examination records (if applicable)
Records of drinking water analysis/testing
Cafeteria license and food service personnel health records (if applicable)
Environmental
Environmental impact assessment and project completion acceptance report and approval
Annual monitoring and reporting records (if applicable)
Air emission permit and monitoring records
Wastewater discharge permit and monitoring records
Records of hazardous waste disposal and inspection
Pollution control board’s approval/consent
