| List of documents/certificates required for Sedex-ETI audit |
| Sedex-ETI Request Document List (COC Audit) |
| No. | ETI
Code | Items | Available | Copied |
| YES | NO | N/A | YES | NO |
| 1 | 1.1 | Factory Profile - Personnel/Output/Output Value/(Brand) Market Distribution | | | | | |
| 2 | 1.2 | Organization chart | | | | | |
| 3 | 1.3 | (Company) Factory's floor plans | | | | | |
| 4 | 1.4 | Subcontractor/supplier evaluation program & records | | | | | |
| 5 | 1.5 | Business license | | | | | |
| 6 | 2.1 | Employee manual /handbook | | | | | |
| 7 | 2.2 | Factory regulations, including the policies on working-hour system, overtime compensation and other legal benefits | | | | | |
| 8 | 2.3 | Dormitory regulations | | | | | |
| 9 | 3.1 | Recruitment policies & program | | | | | |
| 10 | 3.2 | Personal records / Employment registration (all employees) | | | | | |
| 11 | 3.3 | Labor contracts (all employees) | | | | | |
| 12 | 3.4 | Entrance & annual health examination reports (for underage workers, canteen staff, and employees working in toxic and hazardous or chemical-using positions) | | | | | |
| 13 | 3.5 | Young worker registration approval from Local Labor Bureau / shift arrangement for young workers | | | | | |
| 14 | 3.6 | Approval on Comprehensive Calculation of Working Hours System (if applicable) or Overtime Waiver | | | | | |
| 15 | 3.7 | Payment Receipt of social insurance schemes, and official testimonials on coverage of social insurance schemes | | | | | |
| 16 | 3.8 | Leave request notification | | | | | |
| 17 | 3.9 | Resignation records | | | | | |
| 18 | 3.10 | Reward and punishment records/Warning notification letters | | | | | |
| 19 | 4.1 | Attendance records of the most recent consecutive 12 months | | | | | |
| 20 | 4.2 | Production records of piece rate workers | | | | | |
| twenty one | 4.3 | Local / official Minimum Wage Notice | | | | | |
| twenty two | 4.4 | Payroll records of the most recent consecutive 12 months | | | | | |
| twenty three | 4.5 | Pay slips with employees' signatures | | | | | |
| twenty four | 4.6 | Wage deduction / fine records | | | | | |
| 25 | 5.1 | Building structure safety certificate / legal real estate certificate | | | | | |
| 26 | 5.2 | Building fire safety certificate | | | | | |
| 27 | 6.1 | The company's health and safety policy (including emergency action procedure) | | | | | |
| 28 | 6.2 | Safety officer certificate (appointment letter/training completion certificate) | | | | | |
| 29 | 6.3 | Fire officer certificate / trained first aider certificate | | | | | |
| 30 | 6.4 | Fire drill program & records and fire evacuation plan & procedure / first aid training records with photos | | | | | |
| 31 | 7.1 | Registration of elevator & lift and annual inspection certificate by official bureau | | | | | |
| 32 | 7.2 | Work Permits for special & dangerous operations: electrical work, boiler operation, pressure vessel operation, lifting machinery operation, blasting operation, metal welding and gas cutting operation, underground gas inspection in coal mines, motor vehicle driving, motor vessel driving and engine operation, building climbing and erection operation | | | | | |
| 33 | 7.3 | Equipment maintenance worker/technician qualification certificate Qualified mechanics certificate | | | | | |
| 34 | 7.4 | Registration certificate for boilers and pressure vessels / annual inspection certificate | | | | | |
| 35 | 7.5 | Operator / attendant certificate of pressure vessels & boilers | | | | | |
| 36 | 8.1 | Approval certificate of chemical warehouse / register & storage record / MSDS (material safety data sheet) of dangerous chemicals / chemicals list | | | | | |
| 37 | 8.2 | Qualified certificate for the keeper of dangerous chemical warehouse | | | | | |
| 38 | 8.3 | Environmental protection quality monitoring & test report for toxic and harmful operations in the workshop | | | | | |
| 39 | 8.4 | Noise monitoring & test report of power generator | | | | | |
| 40 | 8.5 | Environmental assessment report on factory projects / permit certificate of waste emission / waste monitoring & test records | | | | | |
| 41 | 9.1 | Hygiene Certificate for the canteen in factory / Health examination records of canteen workers | | | | | |
| 42 | 9.2 | Qualified certificate of Doctor or Nurse | | | | | |
| 43 | 9.3 | Accident, injury reports & records / recurrence avoiding measures | | | | | |
| 44 | 9.4 | Regular pest control records | | | | | |
| 45 | 10 | Security guard regulation & job description / security guard certificate | | | | | |
| 46 | 11 | Meeting minutes of union / Selection program and Responsibility of workers' Rep. / Collective Bargaining Agreements (CBA) | | | | | |
| 47 | 12 | Documents proving workers' legal right to work including immigrant & employment agency staff. | | | | | |
| 48 | 13 | Social accountability policy / Management procedures / periodical internal audit records | | | | | |
| 49 | 14 | Sub-contractors list / monitoring records on sub-contractors' social responsibility performance | | | | | |
| 50 | 15 | Home workers list / monitoring records on home workers'' social responsibility performance | | | | | |
