Compliance Audit checklist for Manufacturing Industry.

Compliance audit is very important for manufacturing factory. Its buyers of manufacturing ask from the company whether they are following their required compliance or not. To get an order from the buyer, your company must have to pass the social compliance audit. The buyer may cancel the order if your company fails to pass the compliance audit. 

In this article VHRS People Partner giving a checklist for any buyer compliance audit preparation.

• Statutory Register Updated
• Statutory Returns submitted within date
• License Renewal
• Company Policy and Displays
• Exemptions
• Building
• Health
• Toilets
• Spittoons
• Factory Environmental
• Safety Guards
• Fire
• Committees
• HR
• Security
• Housekeeping
• Maintenance
• Transport
• General

Statutory Register Updated

• Form 7 – White wash register
• Form 9- Compensatory Holiday
• Form 12 -Adult Register
• Form 15 – Leave with wages
• Form 16 -Health Register
• Form 25A -Muster Roll
• Form 15B -Time card
• Form 26-Accident Register
• Form 26A -Dangerous Occurrence
• Form 29 -Exemption Register
• Inspection Register
• Form 1 -Workmen Register
• Form 1-Suspension Register
• Form D -Equal Remuneration
• Form B -Deduction Register
• Form C- Unpaid Accumulation
• Form II- Deduction of damages
• Form VI -National & Festival Holiday
• ESI Accident Register
• Form 10 -Overtime Register

Statutory Return submitted within date

• Form 12A – EPF Monthly Return
• Form 2A – Nomination forms submitted
• Form 5 – EPF addition return
• Form 10 – EDF Deletion return
• Form 3 – ESI Return
• Form 1 – ESI Nomination submitted
• Form 2 – License Renewal
• From 23 – Annual Return to IF ( Inspector of Factories)
• Form 22 – Half Yearly Return to IF ( Inspector of Factories)
• Form 2 – Half Year Return – Subsistence Allowance
• Form 2 – Half Yearly Return – Conferment to permanent status
• Form A – Labour Welfare Fund
• Form C – Unpaid Accumulation

License Renewal 

• Inspector of Factory License Renewal
• Plan Approval from IF (Revised)
• Testing Safety Pressure Vessel
• Inspector Factory Registration No
• Report Examination of Pressure Vessels
• Fire License to production
• Fire License to Diesel Storage
• Plan Approval from Fire service
• TNPCB consent order to Air
• TNPCB consent order to Water
• Plan Approval from TNPCB
• Local Panchayath License (Municipality/ Corporation)
• Plan Approval from Local Panchayath
• ESI Code No.
• EPF Code No.
• CEIG Approval for Genset
• Stability Certificate
• Water Testing Certificate
• Calibration Certificate to All weighing Machine
• Calibration Certificate to Scales.
• Calibration Certificate to Metal Detector
• ROC.
• Memorandum of Articles/ Partnership deed
• Pan Number

Company Policy and Displays

• Factory Act Abstract
• Minimum wages Abstract
• The Payment of wages Abstract
• The Payment of Gratuity Abstract
• The Maternity Benefit Act Abstract
• The Payment of Bonus Abstract
• ESI Abstract
• EPF Abstract
• FORM 11
• Weekly Holiday Notice
• Notice Nearest Hospital, Fire Station, Police Station etc.,
• Notice Important Officials Phone Numbers
• Form V (National & Festival Holiday)
• Standing Order (Local Language/English)
• Needle Control Policy
• Voluntary Work Policy
• Sexual Harassment Policy.
• Health and safety Policy
• Child Labour abolition policy
• Anti discrimination policy
• Urgent Business need policy
• Zero abusement Policy
• Working Hours Policy
• Broken Needle Policy
• Hiring/Recruitment Policy
• Environmental Policy
• Security Policy
• Buyers code of conduct
• Workmen committee members photo with Name
• Canteen Members photo with Name
• Health and Safety Committee Member Photo with Name
• Transport Committee Member Photo with Name
• Harassment & Discrimination committee Members Photo with Name
• Unit work flow
• Organization Chart with Manpower details
• Weekly Holiday Announcement
• Excise Certificate

Exemptions

• 75 Hours O.T. Exemption
• Exemption for Time Card
• Exemption for Ambulance
• Exemption for Creach

Building

• Name Sign to All Rooms/Area
• Indication/ Direction from security Gate onwards
• Storage above storage limit carton Box etc.
• Aisle Marking
• Aisle width minimum 112cm.
• Indicators Arrows in the passage
• Aisle without block

Health

• Drinking Water
• At least 4.5 Liters water provided per day per employee
• Water Testing Certificate
• Drinking water not in plastic pot
• Drinking water cup availability
• Drinking water centre (one place to every 150 employees upto 500)
• Drinking Water centre (one place to every  500 employees above 500)
• Water Cooler/ Heater available at every canteen, dining hall, rest room etc..
• Drinking water signage in English and Tamil
• Locate from 20 feet away from toilet
• Locate Maximum 50 meters distance from work spot
• Drinking Water vessale cleaned at least once in a day
• Water Reservoir or Tank cleaned at least once in a week
• Water centre cleaning condition
• Water Vessel cleaning log sheet
• Water centre cleaning log sheet
• Water centre incharge person with cleanliness
• Suggestion Box Register

Toilet

• Toilet Seat to every 20 women
• Toilet Seat to every 20 men upto 100
• Toilet Seat to every 50 men beyond 100
• All toilets seat with proper privacy and lock facility
• Urinal Accomodation min. 61 cm for every 50 employees upto First 500.
• Urinal Accomodation Min. 61 cm for every 100 employees for above 500.
• Effective water sewage system
• Soap/Towel
• Bathroom Lock
• Water Tap
• Dust Bins
• Buckets with mug at toilets
• Toilet White Washed once in every four month
• Tiles/Mosaic floors washed once in every four month
• Daily cleaning log sheet provided
• Adequate water tabs
• No smoking sign in Gents Toilet
• Awareness Quotes in Toilets
• Ladies/Gents Toilet Name sign in dual Language and Picture

Spittoons

• Adequate Spittoons
• Spittoons filled by sand or suitable disinfectant
• Spittoons scrapped or cleaned at least once in every day
• Spittoons covered by bleaching powder layer
• Other

Factory Environmental

• 500 cubic feet for every employees
• Disposal of wastes and effluents
• Room Temperature
• Lighting Facility
• Trees on factory campus

Safety Guards

• Metal Glows on good condition
• Rubber Mat to ironers
• Rubber Glows to ironers
• Ironers wearing slipper
• Motar Guard
• Needle Guard
• Eye Guard
• Sharp Tools
• Paddle Mat
• Scissors and trimmers are tied
• Sharp Boxes
• Mask
• Needle Disposal once in six month
• Broken Needle Register
• Welfare Officer
• Welfare officer as per rule
• Welfare Officer Appointment order display
• Welfare Officer Display
• Dining Hall
• Dining hall with sufficient Chair/Table
• Water Facility
• Ambulance Room
• Doctor Visit
• Nurse
• Medicines
• Medicines Issueing Record
• Creach
• Sufficient Space
• Creach Attender
• Creach Children Details
• Daily Register
• Cradle
• Toys
• Posture
• Wash Room Facility
• Toilet
• Milk
• Eatable available
• Drinking Water
• Ventilation
• Chairs for mothers
• Shady plaground for older children
• First Aid
• First Aid Boxes with all medicines
• First Aid Box Daily Checklist
• First Aid Training employees (20%)
• First Box once for 150 employees
• First Aid Stations

Fire 

• Fire Extinguisher All in good conditionFire Extinguisher location ListFire Extinguisher Service checklistFire Extinguisher kept in 3 feetFire Signage in Local language and EnglishUsage Guide in Two LanguagesSpace beneath markedRefilling service doneFire certified Persons photoEvacuation Drill (External)  Every Six MonthEvacuation Drill (External) FileEvacuation Drill (Internal) Every three monthEvacuation Drill (Internal) FileSufficient Fire Safety trained employeesFire safety trained employees name & Photo listFire Buckets to diesel storage area with water and
  sandFire Buckets to boiler Room with water and sandFire Buckets to Genset Room with water and sandFire Buckets to E.B Panel Board with water and sandFire Buckets to Motor Room with water and sandFire Buckets to Appropriate place.Fire Tray with sandDiesel storage area floor filled by sandEvacuation plan in all floor/ AreaEmergency ExitEmergency Exit on OpenEmergency Exit SignageEmergency Exit with outside open facilityEmergency Exit Board Light with UPS ConnectionEmergency Light to All room / Area AdequateEmergency Light to All staircasesEmergency Light to all exit & emergency exitEmergency Light daily on/off log SheetEmergency Light Location ListEmergency Light kept on 6 feet hightEmergency electricity switch off system floor wise

• Signage Emergency electricity switch off system
• Sufficient fires Extinguisher

Committees

• Workmen Committee
• Workmen Committee meeting
• Workmen Committee meeting File (With circular,Agenda, Minutes etc..,)
• Workmen Committee photos

• Health & Safety Committee
  • Health & Safety committee meeting
• • Health & Safety committee meeting File ( with circular, Agenda, Minutes)
  • Health & Safety Committee photos

• Canteen Committee
  • Canteen Committee meeting
• • Canteen Committee meeting Files (with Circular, Agenda,
• • Minutes etc..,)Canteen Committee meeting Photos
• • Transport Committee
    • Transport committee meeting
• • • Transport committee Files (with Circular, Agenda, Minutes etc..,)
• • • Transport Committee Meeting photos
• Harassment & Discrimination committee
  • Harassment & Discrimination committee
• • Meeting Harassment & Discrimination meeting File (with Circular, Agenda, Minutes..,)
  • Harassment & Discrimination Meeting photos

Human Resource (HR)

• Personnel File to all
  • Application Form
  • Passport Size Photos
  • Educational Qualification status
  • Age Proofs
  • I.D Proof
  • Address Proof
  • Technical Certificate
  • Previous company experience/ Relieving order
  • Old Salary Slip
  • ESI Nomination Form 1
  • PF Nomination Form 2
  • Gratuity Nomination Form F
  • Factory Act Nomination Form 34
  • Track Record
  • Appointment order
  • Insurance
  • NDA with Signature
  • Employee Manual
  • I D Card to all
  • Adequate Swiping Machine
  • Punching Card to All
  • ESI card to all
  • PF Slip to all
  • Awareness Programs
  • Stress Relive Counseling
  • Meetings
  • Performance Appraisal
  • Leave Guard
  • Full and Final Settlement
  • Exit interview
  • Gratuity
  •  Bonus
  • Salary Breakup
  • Salary on Date
  • Induction Program
  • Induction Register
• Manpower
   
  Department wise Male/Female Strength Report
  Presentation Report
  Late Report
  Absenteeism Report
  Daily Staff In-Out Register
  Is the any Under Age
  Contract Employees
  Punch Report
  Leave Card to each employee
  MIR (material Issue Report)

Salary 
 
Salary Date before 7 every month (If Less than 1000 employees)
Salary Date before 10^th every month (If Employees more than 1000)
Bank salary account to all
Salary Registers with employees signature month wise
Minimum Wages
Basic
D.A
Other Salary Breakups
Over Time
Double Salary to Over Time
Any unwanted deduction for employee
Unpaid salary are reversed
Pay Cover availability

Security

• Adequate
  Securities
  • Lady Guards
  • Staff Movement
    Register
  • Visitors Note
  • Others In-Out
    register
  • Material Inward
    Register
  • Vehicle
    Movement  Register
  • Visitor Pass
  • Visitor Slip
  • Guards Knowledge
    about their Roles & Responsibilities
  • Securities
    Personnel Files
  • Securities
    Uniform/Cap/Shoe/Belt etc.
  • Security Knowledge
    about fire Evacuation & Fire safety
  • Security
    Agreement File ( If outsourced)
  • Security Salary
    register file ( If outsourced)
  • Security ESI,PF,
    Challan ( If outsourced)

Housekeeping

• Adequate
  Housekeeping Employees
  • Lady
    Housekeeping employees
  • Gents
    housekeeping employees
  • Housekeeping
    supervisor
  • Area wise work
    allocation
  • Housekeeping
    Time Schedule
  • Toilet Cleaning
    Log Sheet
  • Brooms
    Availability
  • Broom Stick
    Availability
  • Water Mop
    Availability
  • Thread Mop
    Availability
  • Buckets
    Availability
  • Phenoil
    Availability
  • Harpic
    Availability
  • Soap on all
    Toilets and Bathroom
  • Towel on All
    toilet & Bathroom
  • Tissues &
    Hand Wash Shampoo Availability on Visitors
  • Restroom
  • Daily Cleaning
    Schedule
  • MSDS for
    appropriate

Maintenance 

• Electricity
  Board
  • E.B Service card
  • Electricity Board Cardonned off from work place
  • E.B Meter Reading Register
  • E.B File
  • Rubber Mat to E.B Panel Board
  • Rubber Mat to All switch Board
  • Authorized Persons Photo Display on E.B related
    Rooms
  • Caution Board and Danger signal on Electricity
    related Rooms
  • Electricians File
  •  C or B
    License certificate of electrician
  • Rubber Glows to all Electrician
  • Safety instructions Displayed on E.B Related Rooms

Boiler

• Boiler Room
  • Boiler Room cardonned off from work place
  • Fire Safety Instruments Availability
  • Authorized persons photos list
  • Genset
  • Genset Running Note
  • Genset File
  • AMC to Genset
  • Gloves
  • Safety shoes
  • Ear Muff
  • Tray of Sand

Machinery

• Machinery Details
  • Machinery Files (Machinery wise) with purchase,
    service etc
  • AMC to all machinery
  • Machinery service card
  • Material safety data sheet
  • Personal Productivity Equipment (PPE) issue register
  • PPE Awarness

Transport

• All Staff Bus/Van R.C Book Copy
  • All Staff Bus/Van Insurance Copy
  • All Drivers License Copy
  • Transport In-Out Time Register
  • Transport Travelers Name List
  • Transport Committee
  • Transport Agreement Copy
  • Laod Van R.C. Book/Insurance Copy
  • Company Drivers License Copy
  • Company Van Trip Sheet Book

General

• Fixed Asset Stock Register
  • Diesel Consume Register
  • White Petrol Consume Register
  • Gen set AMC
  • Electrical Plan
  • AMC to computers
  • AMC to Swiping Machines