Ethical Audit Documents Checklist Template

ETHICAL AUDIT

The ethical audit will result in the identification of (actual) organization values on the one hand, and in a general direction as two how the company wants to develop its value system on the other. The finding will therefore needs to be translated into action planning for the following year, a company should be able to track its progressed based  upon the baseline information provided by the different elements of the ethical audit.  

ETHICAL AUDIT FORMAT:

Stauart peters	Document Code	:	Com-03-005
	Name of Document	:	Audit document checklist.
	Department	:	Compliance
Effective Date: 01-07-2015	Expire Date: 30-06-2018		Revision status:00

General Information
01	Factory Name as per license			:
02	Factory physical address			:
03	Year of Established			:
	Contact person
		Name	Designation				Contact number	E-mail
Factory owner
Concern Merchandiser
Compliance/HR Head.
Production Head
04	Mail address & contact number of contact person				:
05	If any certificate or membership available (mention the name)				:
06	Factory total area  (in sft)				:
07	Number of worker as per last month salary sheet.				:
08	Number of worker (Male/Female)				:
09	Number of Toilet (specify M/F)				:
10	Number of first aid box				:
11	Number of Fire extinguisher (ABC/CO2)				:
12	Total number of Fire hose				:
13	Seating Capacity of Dining				:
14	Number of stair for each floor				:

Legal Documents/register/record requirement

	Sl	Name of Documents	Yes	No	N/A
LEGAL DOCUMENTS	01	Factory License
	02	Fire license
	03	Bond license
	04	Trade license
	05	Import registration certification (IRC)
	06	Export registration certificate ( ERC)
	07	VAT / TIN
	08	BGMEA/BKMEA membership certificate
	09	Generator installation permission (from energy regulatory commission)
	10	Boiler certificate
	11	Boiler operator certificate
	12	Environmental certificate
	13	Electrician competency certificate
	14	Doctors certificate
	15	Nurse certificate
	16	Salary Sheet (last 3 months)
	17	Drinking water test report.
	18	Group Insurance certificate with last updated worker list sent.
	19	EPB membership certificate
	20	EIA assessment from concerned authority
	21	Certificate of incorporation
	22	Water extraction permission from local authority.
	23	Sound and noise test certificate
	24	ETP water test report (before and after)
BUILDING SAFETY	25	Factory lay out plan approved from govt. authority.
	26	Soil Test Report
	27	Building Construction Approval
REGISTER & RECORD	28	Maternity register
	29	Injury register
	30	Leave register
	31	Fire drill record
	32	Fire fighter training record
	33	PPE (personal protective equipment) training record.
	34	First aider training record.
	35	Any other training record.
OTHERS	36	Company Profile
	37	Any policy and procedure
	38	Last audit report
	39	Copy of Compliance or Any other certificate achieved.

Name & Designation of the person who filled this information