Audit Requirements :
Standard/Code and local law that shall be audited against
• Audit scope
• Audit programme (see below)
• List of documentation to be available (see below)
• List of key people to be available shall include but not be limited to:
- Management personnel
- Union and/or Works Committees rep.
- Health & Safety rep.
- Payroll and HR reps
• Principles of “Employee Interviews”
• Confidentiality/Data protection
• Non-compliance process
• Report receivership and third parties
• Worker education materials (e.g. ETI worker education leaflet, or DVD, as
applicable) and explanation that the ETI Base Code requires that all employees
are fully aware of the Code
• List of documents that should be made available to the audit body:
• Facility floor plan
• Applicable laws and regulations
• Labour contracts
• Employee handbook (terms and conditions of employment)
• Collective Bargaining Agreements (CBA)
• A list of all the chemicals and solvents used on this site
• Permits, operating licences, Certificates of Operations, etc.
• Government Inspection Reports, e.g., sanitation, fire safety, structural safety,
environmental compliance, etc.
• Machinery inspection/service logs
• Accident and injury log
• Emergency action procedures
• Evacuation plan
• Time records for the past 12 months
• Payroll records for past 12 months
• Piece rate records for the past 12 months (if applicable)
• Insurance, tax and other required receipts
• Production records
• Minutes of joint committees on OHS and disciplinary matters
• Previous ethical trade audit reports/Corrective Action logs
Facility polices:
• Child labour
• Wage and hours of work
• Disciplinary
• Benefits and allowances
• Health & Safety
• Environment
• Training
• Discrimination and harassment
Paragraph.
