A U D I T · C E R T I F I CAT I O N · C O M P L I A N C E S
SEDEX Audit Checklist · Page 1
SEDEX Audit Checklist. 68 documents. 6 clear steps.
Everything a factory needs ready for a SEDEX SMETA audit, arranged in the order you should prepare it. Work through the steps from 1 to 6 and tick each item once it is filed.
68
45
items to prepare
23
desktop items
12 months
follow-up items
of employee records
01 H O W T O U S E T H I S C H E C K L I S T
1
2
The company's legal base. The auditor checks these first. 15 items · 11 D · 4 F
Proof that wages, hours, leave and Training, medical and lab evidence that benefits follow the law – for every month the workplace is safe. of the past year. 10 items · 10 D · 0 F
4
5
Legal Licences & Registrations
3
Employee Records
Health, Safety & Testing
14 items · 0 D · 14 F
Records, Registers & Lists
Supplier, feedback and inventory records kept up to date. 12 items · 10 D · 2 F
6
Management Systems & Committees
Facility Walk-through & Displays
Reviews, risk assessments and worker committees that keep compliance running.
What the auditor will see while walking the factory. 8 items · 5 D · 3 F
9 items · 9 D · 0 F
1 · Legal
Desktop item
2 · Employee records
Follow-up item
3 · Safety
4 · Records
5 · Systems
6 · Facility
Each block is one item in the checklist
02 D E S K T O P V S F O L L O W - U P – W H A T I T M E A N S
Desktop If this item is missing at audit, the non-conformance can usually be closed remotely by sending the document or photo evidence to the auditor.
www.legal4sure.in · Info@legal4sure.in · +91-9310655040
Follow-up If this item is missing at audit, the auditor may need to return for a follow-up visit to verify it on site. Give these items priority.
Legal4Sure · SEDEX Audit Checklist · Page 1 of 6
A U D I T · C E R T I F I CAT I O N · C O M P L I A N C E S
SEDEX Audit Checklist · Page 2
1 · Legal
2 · Employee records
3 · Safety
4 · Records
03 S T E P 1 · L E G A L L I C E N C E S & R E G I S T R A T I O N S
5 · Systems
6 · Facility
15 items · 11 desktop · 4 follow-up
The company's legal base. The auditor checks these first. NO.
DOCUMENT / REQUIREMENT
01
Factory Licence / Shop Establishment
Desktop
02
Approved Building Layout
Desktop
03
Building Stability Certificate
Desktop
04
Fire NOC Certificate / Licence
Desktop
05
Pollution NOC
Desktop
06
ESI Registration
Desktop
07
PF Registration
Desktop
08
GST Copy
Desktop
09
Electricity Bill (current date)
Desktop
10
Partnership Deed / MOA / AOA / Memorandum
Desktop
11
Standing Order as per the Factory Act
Desktop
12
IBR Boiler Approval with trained Operator
Follow-up
13
Contractor Licence & Agreement (in case of external service)
Follow-up
14
Contractor ESI | PF Registration (in case of external service)
Follow-up
15
Security Guard Contract & Agreement Copy
Follow-up
www.legal4sure.in · Info@legal4sure.in · +91-9310655040
TYPE
✓
Legal4Sure · SEDEX Audit Checklist · Page 2 of 6
A U D I T · C E R T I F I CAT I O N · C O M P L I A N C E S
SEDEX Audit Checklist · Page 3
1 · Legal
2 · Employee records
3 · Safety
4 · Records
04 S T E P 2 · E M P L O Y E E R E C O R D S
5 · Systems
6 · Facility
14 items · 0 desktop · 14 follow-up
Proof that wages, hours, leave and benefits follow the law – for every month of the past year. NO.
DOCUMENT / REQUIREMENT
16
Wages Record – last 12 months
Follow-up
17
Muster Roll Attendance, Time In & Out – last 12 months
Follow-up
18
Overtime Records – last 12 months
Follow-up
19
Leave Register (Form M) – last 12 months
Follow-up
20
Wage Slip – last 12 months
Follow-up
21
Appointment File – Contract Letter, ID Proof, CV, Appointment Letter, ESI & PF Number Details, Passport Size Photograph
Follow-up
22
ESI Records – last 12 months
Follow-up
23
EPF – last 12 months
Follow-up
24
Bank Transfer Record before 7th of every month – last 12 months
Follow-up
25
Fine Record – last 12 months
Follow-up
26
Advance Payment Register (Form 12) – last 12 months
Follow-up
27
Gratuity Records
Follow-up
28
Bonus Records (Form C)
Follow-up
29
Maternity Benefit Record – last 12 months (in case of female labour)
Follow-up
www.legal4sure.in · Info@legal4sure.in · +91-9310655040
TYPE
✓
Legal4Sure · SEDEX Audit Checklist · Page 3 of 6
A U D I T · C E R T I F I CAT I O N · C O M P L I A N C E S
SEDEX Audit Checklist · Page 4
1 · Legal
2 · Employee records
3 · Safety
4 · Records
05 S T E P 3 · H E A L T H , S A F E T Y & T E S T I N G
5 · Systems
6 · Facility
10 items · 10 desktop · 0 follow-up
Training, medical and lab evidence that the workplace is safe. NO.
DOCUMENT / REQUIREMENT
TYPE
30
First Aid Certificate
Desktop
31
Fire Safety Training every quarter – record with photo evidence
Desktop
32
Medical Fitness Certificate – once in 12 months
Desktop
33
NABL Test Reports
Desktop
34
Record of Lime Washing
Desktop
35
Minor Injuries / Accident Register Records (Form 15 or 26)
Desktop
36
Training Records
Desktop
37
Pest Control Agreement with Records
Desktop
38
PPE Replacement Records
Desktop
39
MSDS Copy of all Chemicals – Display & Filing in Record
Desktop
✓
Below 50 labour – 2 · Below 100 – 4 · Below 200 – 8 · Below 500 – 12
Air Micro, Air Pollution, Drinking Water Test as per IS 10500 specs, Noise, Light Intensity of all areas, DG Set Stack Emission, Compressor Hydro Test
ETI Codes, First Aid, Fire Safety, Committee, Chemical Safety, Health & Safety, PPE, Personal Hygiene
www.legal4sure.in · Info@legal4sure.in · +91-9310655040
Legal4Sure · SEDEX Audit Checklist · Page 4 of 6
A U D I T · C E R T I F I CAT I O N · C O M P L I A N C E S
SEDEX Audit Checklist · Page 5
1 · Legal
2 · Employee records
3 · Safety
4 · Records
5 · Systems
6 · Facility
12 items · 10 desktop · 2 follow-up
06 S T E P 4 · R E C O R D S , R E G I S T E R S & L I S T S
Supplier, feedback and inventory records kept up to date. NO.
DOCUMENT / REQUIREMENT
TYPE
40
Record of Suggestion Register
Desktop
41
Record of Complaints
Desktop
42
Record of Supplier ETI Codes with duly sign & stamp
Desktop
43
Record of Supplier Audit in reference to Social Compliances
Desktop
44
Master List of Suppliers with contact details
Desktop
45
List of Contractors, Sub-Contractors
Desktop
46
Roles & Responsibilities in Organisation
Desktop
47
List of Chemicals with Stock
Desktop
48
List of Machines with Qty
Desktop
49
List of Emergency Contact Details
Follow-up
50
List of Fire Equipment
Follow-up
51
Process Flow Chart of the Factory
Desktop
✓
9 items · 9 desktop · 0 follow-up
07 S T E P 5 · M A N A G E M E N T S Y S T E M S & C O M M I T T E E S
Reviews, risk assessments and worker committees that keep compliance running. NO.
DOCUMENT / REQUIREMENT
52
MRM as per ETI
Desktop
53
Internal Audit as per ETI
Desktop
54
Risk Assessment of the Process Area
Desktop
55
Social Risk Assessment
Desktop
56
Environmental Risk Assessment
Desktop
57
Health & Safety Committee
Desktop
58
Sexual Harassment Committee
Desktop
59
Worker Committee
Desktop
60
Grievance Committee
Desktop
www.legal4sure.in · Info@legal4sure.in · +91-9310655040
TYPE
✓
Legal4Sure · SEDEX Audit Checklist · Page 5 of 6
A U D I T · C E R T I F I CAT I O N · C O M P L I A N C E S
SEDEX Audit Checklist · Page 6
1 · Legal
2 · Employee records
3 · Safety
4 · Records
5 · Systems
6 · Facility
8 items · 5 desktop · 3 follow-up
08 S T E P 6 · F A C I L I T Y W A L K - T H R O U G H & D I S P L A Y S
What the auditor will see while walking the factory. NO.
DOCUMENT / REQUIREMENT
TYPE
61
Emergency Exit in Factory
Follow-up
62
Diesel Storage Area – Lock & Key, storage above with secondary pallets
Follow-up
63
No Electrical Loose Wire
Desktop
64
Notice Board
Desktop
65
Fire Safety Equipment
Follow-up
66
Evacuation Map – in local language
Desktop
67
Policy Boards – all ETI Codes based
Desktop
68
Sign Boards (night reflective)
Desktop
✓
Minimum Legal Wages, ETI Code, List of Holidays, Emergency Contact Details, GST Certificate, Factory Abstracts Fire Cylinder (minimum height 4.5 feet, top pin) ABC, CO2 · Fire Hose Reels · Fire Hydrants · Fire Sprinklers · Fire Buckets with sand filling · Fire Alarm with power backup and 2 km range hooter · Fireproof Industrial-grade Emergency Light · Smoke Detector
Entry, Exit, Emergency Exit, How to Use Fire Cylinders, How to Use Fire Alarm, Zebra Boards for Fire Cylinders, Drinking Water, Washrooms – Male / Female, Chemical Area, Assembly Point, First Aid Box, Suggestion Box, Complaint Box, Meeting Room, Complaint Box SOP, First Use SOP, Suggestion Box SOP, Child Labour Prohibition Board with minimum 14-year age limit
Need help preparing for SEDEX?
Talk to Legal4Sure
Call
+91-9310655040 +91-8851641650
www.legal4sure.in · Info@legal4sure.in · +91-9310655040
Email · Web
Info@legal4sure.in www.legal4sure.in
Legal4Sure · SEDEX Audit Checklist · Page 6 of 6