Standard Social Compliance Audit Check List

• Name of Facility

• Address of Facility
  Address

• Name

• Title

• Date of Self-assessment

  Date

General Information

• Does your facility have sub-contractors?

  Yes

  No
Sub-contractor

• Name

• Address
  Address

• Does your facility have foreign or domestic labor brokers used to source labor?

  Yes

  No
Labor Broker

• Name

• Address
  Address

• Total number of employees at the facility

• Percentage of male employees

• Percentage of female employees

• Percentage of foreign/migrant workers

• Number of temporary contract workers employed by the facility

• Does your facility have procedures to ensure contract workers are not required to pay an excessive recruitment fee or lodge a deposit with their labor broker?

  Yes

  No

• Does your facility have procedures to ensure freedom of movement of contract workers is not unreasonably restricted?

  Yes

  No

• Does your facility have a system in place to ensure that contract labor providers adhere to all relevant labor laws?

  Yes

  No

• Are all employees provided a written employment agreement with the facility in a language that they understand?

  Yes

  No

• Does your facility maintain a personnel file on every employee?

  Yes

  No

Environment

Management Systems & Training

• Does your facility have a management system in place, or is it developing one, to assess environmental risks associated with production?

  Yes

  No

• Is your facility management system in compliance with applicable environmental laws and regulations?

  Yes

  No

• Does your facility have up-to-date ISO 14001, RC 14001, or EMAS certification?

  Yes

  No

• Please list relevant certifications.

• Does your facility hold the necessary license(s) or permit(s) for and has the facility received any fines, prosecution, or warnings by regulators in relation to (select all that apply):

  Select Air emissions Storage or use of hazardous substances Preventing soil & groundwater contamination Wastewater management Waste issues

  • Air emissions
  • Storage or use of hazardous substances
  • Preventing soil & groundwater contamination
  • Wastewater management
  • Waste issues

• Are environmental policies, practices, and expectations communicated to all employees and suppliers in local or appropriate languages?

  Yes

  No

• Are employees trained on relevant environmental matters, including (select all that apply):

  Select Air emissions Management & use of hazardous substances Preventing soil & groundwater contamination Wastewater management Waste management, including hazardous waste Water use

  • Air emissions
  • Management & use of hazardous substances
  • Preventing soil & groundwater contamination
  • Wastewater management
  • Waste management, including hazardous waste
  • Water use

• Does your facility have established environmental targets and objectives to improve environmental performance?

  Yes

  No

• What are the targets & objectives?

• Does your facility review its environmental performance annually?

  Yes

  No

Greenhouse Gas (GHG) Emissions & Energy Usage

• Does your facility monitor and track energy consumption and conduct on-site energy audits?

  Yes

  No

• Does your facility have a system in place to reduce the environmental impact of energy use and greenhouse gases?

  Yes

  No

• Does your facility have a program and/or procedures to reduce the use of energy?

  Yes

  No

• Does your facility have goals and targets to reduce GHG emissions?

  Yes

  No

• What are the targets?

• Does your facility have set goals and targets in relation to increased energy efficiency?

  Yes

  No

• What are the targets?

• Total annual GHG emissions in the most recent year measured (enter in total metric tons CO2e)?

• Does your facility report GHG emissions and climate change strategy to the Carbon Disclosure Project (CDP) or publicly disclose an equivalent amount and type of information on an annual basis?

  Yes

  No

Air Emissions

• Does your facility regularly test air emissions (i.e. NOx, SOx, mercury, hazardous air pollutants)?

  Yes

  No

• Does your facility have a system in place to manage air emissions?

  Yes

  No

• Does your facility have set targets in relation to reducing air emissions?

  Yes

  No

• What are the targets?

• Does your facility have pollution prevention devices on chimneys, vents, and extraction systems?

  Yes

  No

Water Management

• Does your facility have a system in place to manage and monitor water withdrawals and consumption?

  Yes

  No

• Does your facility have a program and/or procedures to reduce water use or reuse/recycle water?

  Yes

  No

• Does your facility have set targets to reduce water consumption?

  Yes

  No

• What are the targets?

• Does your facility have a system in place to address wastewater generation and management?

  Yes

  No

• Does your facility treat wastewater prior to off-site discharge?

  Yes

  No

• What is the standard?

• Does your facility identify the sources of its water (e.g. aquifers, municipal water sourced from local water body, harvested rainwater, etc.)?

  Yes

  No

• Does your facility assess external supply and quality risks related to these water sources?

  Yes

  No

Waste Management

• Does your facility have a program and/or procedures to reduce or eliminate pollution and waste in its operations?

  Yes

  No

• Does your facility have a recycling program to reduce or eliminate pollution and waste in its operations?

  Yes

  No

• Does your facility have a program and/or procedures to manage and dispose of hazardous waste (if applicable), wastewater, solid waste, and airborne emissions?

  Yes

  No

• Does your facility have set targets to reduce the volume of waste generated?

  Yes

  No

• What are the targets?

• Does your facility maintain records of off-site transfer, treatment, and disposal of waste?

  Yes

  No

• Does your facility have external waste contractors?

  Yes

  No

• Do you conduct regular audits of those contractors?

  Yes

  No

• Do they have relevant certifications?

  Yes

  No

• Have they received any compliance violations within the past 3 years?

  Yes

  No

Packaging

• Does your facility have goals and targets to reduce, reuse, and recycle the amount of packaging used for its products?

  Yes

  No

• What are the targets?

• Does your facility incorporate packaging reduction, reuse, and recycling in its purchasing practices?

  Yes

  No

Pollution Prevention

• Does your facility consider Design for Environment (DfE) in its development of products?

  Yes

  No

• Does your facility use life cycle assessment (LCA) as part of determining chemical selection for product inputs?

  Yes

  No

• Does your facility use chemical hazard assessment and/or comparative chemical hazard assessment as part of determining chemical selection for product inputs?

  Yes

  No

• Does your facility assess whether substances stored, used, or handled on-site are prohibited by national or international laws or protocols?

  Yes

  No

• Does your facility have a system in place to address pollution prevention and management of hazardous and potentially hazardous substances?

  Yes

  No

• Does your facility maintain up-to-date material safety data sheets (MSDS) for all hazardous substances used on-site?

  Yes

  No

• Does your facility set targets in relation to eliminating or reducing hazardous substances on-site?

  Yes

  No

• What are the targets?

• Does your facility conduct tests to identify impact on soil and groundwater from facility operations?

  Yes

  No

Other Raw Materials

• Does your facility keep inventory of all chemical substances used, stored, processed, and manufactured?

  Yes

  No

• Does your facility have a program and/or procedures to reduce the use of resources (other than water), and promote sustainable natural resource practices?

  Yes

  No

• Does your facility have a policy statement and/or management system that addresses conflict minerals?

  Yes

  No

• Does your company engage with the government, commercial contacts, or civil society groups regarding conflict minerals and/or rare earth materials?

  Yes

  No

• With whom?

• How?

Transportation

• Does your facility have in place targets and programs to reduce overall sustainability impacts by managing transportation logistics (e.g. prioritizing low impact transportation modes)?

  Yes

  No

• What are the targets and programs?

Social

Workplace Management

• Does your facility have a written corporate responsibility policy or statement of commitment that defines its approach to labor, health, and safety standards?

  Yes

  No

• Does your facility have policies that prohibit forced labor and child labor?

  Yes

  No

• Does your facility have written personnel policies that cover (select all that apply):

  Select Benefits and deductions Discipline and termination Grievance procedures Harassment and abuse Overtime hours Overtime wage rates Regular hours Vacation and leave Wages

  • Benefits and deductions
  • Discipline and termination
  • Grievance procedures
  • Harassment and abuse
  • Overtime hours
  • Overtime wage rates
  • Regular hours
  • Vacation and leave
  • Wages

• Does your policy cover all workers, including migrant workers?

  Yes

  No

• Does your facility have a management system in place, or is it developing one, to assess labor, health, and safety risks?

  Yes

  No

• Is your facility performance management system in compliance with applicable social laws and regulations?

  Yes

  No

• Does your facility have up-to-date SA8000, ETI, or other recognized certification?

  Yes

  No

• Please list relevant certifications:

• Does your facility have a system in place for employee appraisal that covers regular workers and probationary employees/trainees?

  Yes

  No

• Are formal and written policies and procedures for disciplining and terminating employees standardized throughout the facility?

  Yes

  No

• Does your facility strictly prohibit physical punishment of employees as a disciplinary measure?

  Yes

  No

• Are labor, health, and safety policies, practices, and expectations communicated to all employees and suppliers in local or appropriate languages?

  Yes

  No

• What communication vehicles are used? (Select all that apply:)

  Select Bulletin board posting Electronic mail Employee handbook/literature Formal training Manager meeting Website

  • Bulletin board posting
  • Electronic mail
  • Employee handbook/literature
  • Formal training
  • Manager meeting
  • Website

Facility Health & Safety

• To which laws and regulations governing environment, health, and safety does the facility adhere?

• Does your facility have up-to-date OHSAS 18001, ANSI Z10, CSA Z1000, BSI 8800, or OSHA VPP certification?

  Yes

  No

• Please list relevant certifications:

• Does your facility have procedures in place to ensure appropriate machinery is well-maintained and equipped with necessary safety devices?

  Yes

  No

• Does your facility have written procedures for the safe storage, use, and disposal of each hazardous material used in production (if applicable), in language(s) workers understand?

  Yes

  No

• Does your facility have procedures in place to ensure appropriate Personal Protection Equipment (PPE) is provided to employees?

  Yes

  No
Personal Protection Equipment

• Name of PPE distributed

• Number of employees using it

• How often are noise levels and air quality in the facility regularly monitored? (Times per year:)

• Does your facility have a written emergency response plan and fire evacuation procedure?

  Yes

  No

• Has the emergency response plan and fire evacuation procedure been communicated to all parties that could be affected by the emergency in local or appropriate languages?

  Yes

  No

• How often does the facility conduct emergency drills? (Times per year:)

• Are all emergency exits unobstructed and unlocked from the inside at all times during working hours?

  Yes

  No

• Does your facility have procedures in place to ensure employees are not denied permission or delayed from leaving the facility under reasonable circumstances (e.g. in the event on an emergency or personal urgency)?

  Yes

  No

Facility Emergency Management

• Does your facility have well-stocked, unlocked first aid stations at every production site?

  Yes

  No

• Are all employees trained on relevant health and safety matters, including (select all that apply):

  Select Emergency management Hazardous materials handling Living conditions Machine safeguarding Occupational health and safety Personal protection equipment

  • Emergency management
  • Hazardous materials handling
  • Living conditions
  • Machine safeguarding
  • Occupational health and safety
  • Personal protection equipment

• Has your facility operated without serious injury and/or fatality over the past year?

  Yes

  No

• Has your facility operated without serious injury and/or fatality over the past three years?

  Yes

  No

• Does your facility have a dormitory?

  Yes

  No

Dormitory

• Are all emergency exits unlocked from the inside and unobstructed?

  Yes

  No

• Are dormitory living conditions clean, secure, and adequately cooled, heated, lighted and ventilated?

  Yes

  No

• Are dormitory accommodations in separate building(s) from production areas?

  Yes

  No

• Are toilet facilities clean, ventilated, equipped with running water, accessible, and lighted at night?

  Yes

  No

• Do all employees who reside in dormitories have access to running water, safe drinking water, sanitary cooking facilities, and adequately private showers?

  Yes

  No

• Do all dormitories have fire alarms and extinguishers that are regularly tested?

  Yes

  No

• Do all employees who reside in facility dormitories have means of securing personal documents themselves?

  Yes

  No

Forced Labor

• Does your facility employ prison labor?

  Yes

  No

• Are any of the workers under bond, debt, or other obligation to the facility or to labor brokers?

  Yes

  No

• Are workers free to resign from their employment at any time without penalty, giving reasonable notice?

  Yes

  No

• Are workers free to leave the facility and related dormitories during non-working hours and at the end of their shift?

  Yes

  No

• Does your facility (or labor broker) withhold worker ID cards or passports?

  Yes

  No

• Are workers required to deposit money prior to or during employment?

  Yes

  No

Child Labor & Young Workers

• Does your facility employ child labor (workers younger than 14 or 15)?

  Yes

  No

• Are young workers (above the legal minimum age, but under the age of 18) requiring protective restrictions employed in accordance with the law?

  Yes

  No

• Do any young workers perform night work, hazardous jobs, or are they exposed to risks from chemicals, machinery, tools or excessive cold, heat, or noise?

  Yes

  No

• Does your factory have effective procedures for verifying workers’ ages?

  Yes

  No

Discrimination

• Does your facility have written personnel policies in place for its hiring, salary, benefits, termination, and/or retirement practices to prevent discrimination on the basis of (select all that apply):

  Select Age Disability Gender Gender identity and/or expression Marital status Medical history Nationality Political opinion Pregnancy status Race Religion Sexual orientation Social or ethnic origin Union affiliation Veteran status

  • Age
  • Disability
  • Gender
  • Gender identity and/or expression
  • Marital status
  • Medical history
  • Nationality
  • Political opinion
  • Pregnancy status
  • Race
  • Religion
  • Sexual orientation
  • Social or ethnic origin
  • Union affiliation
  • Veteran status

• Does your facility have procedures in place to ensure employees receive equal pay for equal work, regardless of the aforementioned factors?

  Yes

  No

• Are female applicants asked about their pregnancy status when applying for a job?

  Yes

  No

• Are employees permitted to perform religious obligations without restriction?

  Yes

  No

Freedom of Association & Collective Bargaining

• Are there any laws or regulations in the facility’s country/region of operation concerning workers’ freedom to join or form trade unions or workers’ organizations of their own choosing and to collectively bargain?

  Yes

  No

• Are workers free to join or form trade unions or workers’ organizations of their own choosing and collectively bargain, if permitted by law?

  Yes

  No

• Does your facility recognize trade unions or other independent workers’ organizations representing employees in the workplace?

  Yes

  No

• Which of the following types of labor organizations are present and active in the facility? (Select all that apply:)

  Select Dormitory committee Government union Health & safety committee Independent trade union Worker’s committee Other

  • Dormitory committee
  • Government union
  • Health & safety committee
  • Independent trade union
  • Worker’s committee
  • Other

• Specify

• Are employees in the facility able to participate democratically in the selection of representatives for labor organizations?

  Yes

  No

Harassment & Abuse

• Does your facility have a formal, written policy that clearly states a commitment to prevent harassment and abuse in the workplace?

  Yes

  No

• Does your facility have procedures in place to ensure the workplace is free of physical abuse, corporal punishment, physical contact with the intent to injure or intimidate, and disciplinary measures that cause physical discomfort?

  Yes

  No

• Does your facility have procedures in place to ensure the workplace is free of sexual harassment?

  Yes

  No

• Does your facility have procedures in place to ensure the workplace is free of verbal abuse and/or harassment?

  Yes

  No

• Does your facility have procedures in place to document and confidentially report events, complaints, cases, and management responses and action related to harassment and abuse?

  Yes

  No

Compensation

• Does your facility have procedures in place to ensure all workers are paid at least the legal minimum wage for standard working hours?

  Yes

  No

• Does your facility have procedures in place to ensure all workers are paid the legal overtime rate?

  Yes

  No

• Does your facility have procedures in place to ensure all workers are provided all the benefits to which they are entitled upon hire?

  Yes

  No

• Does your facility have procedures in place to ensure all workers are provided the holidays and leave to which they are legally entitled?

  Yes

  No

• Does your facility have procedures in place to ensure no unauthorized or illegal deductions are taken from employee wages?

  Yes

  No

• Does your facility have procedures in place to ensure payroll documents indicate all hours worked?

  Yes

  No

• Are all workers provided with a written explanation, in local or appropriate languages, of pay and any deductions taken?

  Yes

  No

Hours of Work

• Which laws regulating working hours apply to this facility?

• Which laws regulating overtime hours are applicable to this facility?

• Does your facility have procedures in place to ensure all workers are given at least one day off in seven?

  Yes

  No

• Does your facility have procedures in place to ensure all overtime performed at the facility is voluntary?

  Yes

  No

Governance

Accountability

• Does your facility have a management representative assigned responsibility for assuring compliance with environmental laws, regulations, and codes?

  Yes

  No

• List the name(s) and title(s)

• Does your facility have a management representative assigned responsibility for assuring compliance with labor, health, and safety laws, regulations, and codes?

  Yes

  No

• List the name(s) and title(s)

• Has your facility conducted audits of its environmental management system(s) in the past year?

  Yes

  No

• Has your facility conducted audits of its environmental management system(s) in the past three years?

  Yes

  No

• Has your facility conducted audits of its labor, health, and safety laws management system(s) in the past year?

  Yes

  No

• Has your facility conducted audits of its labor, health, and safety laws management system(s) in the past three years?

  Yes

  No

• Are corrective actions identified by the environmental, labor, health, and safety audits tracked to closure?

  Yes

  No

• Does your corrective action process include root cause analysis and preventative mechanism implementation?

  Yes

  No

• Does your facility have a process in place to evaluate and update environmental, social, and governance policies and systems on an on-going basis?

  Yes

  No

Grievance & Remediation

• Does your facility have effective grievance procedures in place to allow employees to bring environmental and/or work-related violations and/or concerns to management’s attention in an anonymous manner without fear of retribution?

  Yes

  No

• Does your facility have procedures in place to investigate reports of environmental and/or work-related violations and/or concerns?

  Yes

  No

• In the past year, how many complaints have been received?

• In the past year, how many complaints have been investigated?

• In the past year, how many complaints have been resolved?

Supplier Management

• What procedures does the facility have in place to ensure that suppliers, including labor brokers, operate in compliance with all applicable environmental and labor laws and regulations?

• What procedures does the facility have in place to assess and manage identified risks relating to the labor practices of suppliers, including labor brokers?

• What procedures does the facility have in place to evaluate and select suppliers based on their ability to meet ESG standards?

Stakeholder Engagement

• Does your facility regularly engage stakeholders on its sustainability strategies, disclosure, and performance, including community groups, employees, NGOs, and government?

  Yes

  No

• Who?

• How often?

• What procedures does the facility have in place to incorporate stakeholder input into its business and operational strategies?

• Does your facility publicly disclose results of its stakeholder engagement?

  Yes

  No

Completion

• Overall Recommendations

• Auditor's Name & Signature

  Sign