Document Checklist

Personnel Records
Personnel File (including; Application, CV, Date of Birth certificate, Employment / contract letter, Job title
information, etc, etc,)
Discipline procedure, records, written warnings
Doctor & nurse contracts / file
Leave with Wage records
Payrolls (Last 12 months should be available)
Time records (Last 12 months should be available)
Personnel Files of all contract employees.
Union or collective bargaining agreement (if available)
Suggestion box & worker representative meeting records
Social Security / insurance records.

H&S and environmental records & policies

Operating Certificates, permissions (Factory Licence, Fire licence /NOC, NOC from Pollution control board,
Fcatory building stability certificate, Approved Building plan, DG permit, Boiler Permit, etc, etc).
Inspection records of boiler, compressor, lift, forklift, etc
Emission reports (if available)
Waste water discharge permit or analyzes (if available)
Drinking water analyzes (if available)
MSDS (if available)
First aid training records
Health and safety training records
Periodical health reports of workers
Work accident& injury records
Factory capacity reports
Health Inspection of kitchen employees
Occupational H&S Committee meeting records
Fire &evacuation drill records
Fire extinguisher & hose & sprinkler list & inspection records
Emergency plans
Previous social inspection & audit records of clients or government based on social issues
Risk Analyzes on H&S
Factory social policies (by referring each element of BSCI requirement)
Procedures regarding to social compliance issues

Additional Documents as per Performance Area:

Performance Area – 1: Social Management System and Cascade Effect :

Job descriptions in which the implementation of BSCI is included

Evidence that the BSCI Code of Conduct and Terms of Implementation have been distributed to significant
business partners
Signed BSCI Code of Conduct and relevant Terms of Implementation if farms are part of the scope of the audit
Evidence of business partners’ social performance (quarterly reports, audit reports, valid certificates)
Evidence of qualifications of the person in charge of implementing BSCI
Documentary evidence of the social policy and procedures to implement BSCI
Documentary evidence on production capacity planning
Performance Area – 2: Workers involvement and Protection:

Documentary evidence of the workers representative election

Documentary evidence of regularly scheduled workers meetings
Records of agreements with workers representatives
Employment contracts including those related to security personnel,
cleaning and other services o Job descriptions in which the
implementation of BSCI is included
Documented working rules
Evidence of a training calendar for workers and management
Documentary evidence of training given to workers, management and
human resources (e.g. list of attendees with signature)
Documentary evidence of trainer competence
Documentary evidence of grievances lodged/investigated (e.g. BSCI
Template 8: Grievance Mechanism filled in)
Sexual harassment prevention committee formation & meeting records

Performance Area – 3: The rights of Freedom of Association and Collective Bargaining:

Documentary evidence of the workers representative election

Collective Bargaining Agreement (if applicable)
Minutes or documents of meetings that led to the collective bargaining
agreement (if applicable)
Recruitment and dismissal procedures and records

Performance Area – 4: No Discrimination:

Documentary evidence on disciplinary procedures

Documentary evidence on disciplinary cases and the measures taken
Documentary evidence of workers’ performance assessments and
rocedures
Worker contracts or agreements, including with recruitment agencies
(if relevant)
Documentary evidence of grievances lodged/ investigated (BSCI
Template 8: Grievance Mechanism filled in)

Performance Area 5: Fair Remuneration:

Documentary evidence of legal deductions for goods and services

Documentation on legal minimum wages relevant for the sector
Documented collective bargaining agreement
Pay slips for workers and documentary evidence of payments
Fair Remuneration Quick Scan completed (BSCI Template 5: Fair
Remuneration Quick Scan)
Worker contracts or agreements, including with recruitment agencies
Personnel data files for all workers (including seasonal workers)
Documentary evidence of additional benefits (commercial insurance if
applicable)
Documentary evidence of updated contributions to social insurance
funds
Documentary evidence of legal deductions for goods or services
Lists of wage ranges and calculations including for piece rate workers
 Bonus, advance register and Fine

Performance Area 6: Decent Working Hours:

Documented working rules

Pay slips for workers and documentary evidence of payments
Documentary evidence of the legal permanent exception covering the
auditee’s industry
Working time records
Documented overtime procedure including agreements with workers
(if any)
Documented records of accidents

Performance Area – 7: Occupational Health and Safety:

Certificates and contracts:

Valid inspection and insurance for machinery and vehicles
Purchase invoices of the PPE bought by the auditee
Valid business license and all necessary official approvals to run
operations
Official building certificate about safety and appropriateness for the
industry
Contract with any service provider including food services,
transportation, agents

Training:
Documentary evidence of workers training on occupational health and
safety
Evidence of a training calendar for workers and management
Documentary evidence of workers’ qualifications for those who deal
with dangerous machines, electrical installation and any other activity
that requires specific training due to the high level of risk

Records and reports:

Risk assessment for safe, healthy and hygienic working conditions
Action plan for safe, healthy and hygienic working conditions
Documentary evidence of updated contributions to social insurance
funds
Occupational health and safety regulations applicable for the industry
Documentary evidence of the election process of the health and safety
committee o Minutes of the health and safety committee meetings
Documentary evidence of consumption, withdrawal and disposal of
chemicals (including Material Safety Data Sheets – MSDS)
Official inspections conducted to ensure building and equipment
safety, including date of validity and corrective actions if any
Inspection reports, maintenance records, operating and safety
instructions for: Dangerous machines, including but not limited to
lifts, electrical equipment, high--pressure equipment
Firefighting equipment (e.g. inspection tags on fire extinguishers)
Potable water at production facilities and dormitories
Health and safety for the facilities and dormitories including but not
limited to temperature, noise level and lighting
Performance Area – 8: No Child Labour:

Personnel data files for all workers (including seasonal workers)

Age verification procedure
Training of Human resources responsible o Procedure to avoid
children exploitation o Child labour remediation procedure
Worker contracts or agreements, including with recruitment agencies

Performance Area – 9: Special Protection for Young Workers:

Documentation of all trainings given to young workers

Risk assessment and related action plan with specific measures to
protect young workers and young female workers
Young workers overview records
Young workers’ work cycle overview

Performance Area – 10: No Precarious Employment:

Employment contracts and/or posters where workers’ rights and

obligations are displayed
Recruitment and dismissal procedures and records
Overview of subcontractors
Overview of apprenticeships granted in the company
Overview of seasonal workers

Performance Area – 11: No Bonded Labour:

Documentary evidence of training given to workers, management and

human resources (e.g. list of attendees with signatures)
Documentary evidence on disciplinary procedures
Employment contracts including those related to security personnel,
cleaning and other services
Documentary evidence on disciplinary cases and the measures taken

Performance Area – 12: Protection of the environment:

Environmental risk assessment

Map identification of water springs, rivers, lakes in the area of auditee
activities
Calculation of the necessary financial and personnel resources to
comply with the minimum social and environmental requirements
Valid certificates and environmental licenses

Performance Area – 13: Ethical Business Behaviour:

Anti-corruption policy
Corruption risk assessment
Procedure for investigation and discouragement of unethical behaviour
Communications and trainings to promote and reward integrity