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SA8000 Audit Report

* Example Report *

North America +1-813-252-4770

Latin America

+52-1-333-2010712

Europe & Middle-East +49-8122-552 9590

Asia & Asia Pacific +886-2-2832-2990

Email

[email protected]

www.proqc.com

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CORRECTIVE ACTIONS:It is recommended that the client request a corrective action (improvement plan) based on the results of the audit. The improvement plan should include the following: - Detailed description of action plan. - Name of the person responsible for the improvement activity. - Date when the improvement will be completed.

Each question is assessed for conformance to the requirements of SA8000, and the auditors knowledge of the product and/or process This must be clear to the supplier at the opening meeting.

Complies with Requirements = - Has objective evidence to support the question, and - Has a written procedure (when required).Improvement Needed = - Has objective evidence, but procedure needs improvement. - Has objective evidence, but no written procedure. - Has written procedure, but is lacking some objective evidence to support the question.Non-Conformance = - No objective evidence to support the question (regardless of the procedure). - Lacking some objective evidence and no written procedure.

The auditor should review the audit results with the supplier, but cannot provide the supplier a copy of the audit. The audit is the property of the client.

The following sections are completed by the auditor: - Scope of the Audit - Recommendations - Strengths of the Supplier's Quality System and Manufacturing Process - Opportunities for Improvement (Weaknesses in the Supplier's Quality System and/or Manufacturing Process)

RESULTS REVIEW WITH SUPPLIER:

PURPOSE: This audit is based on defined criterion for social accountability. Scoring is based on the supplier's ability to meet the requirements. The audit focuses on factors that would result in non compliance to the social accountability standard. The intent of the audit based on the requirements of SA8000 and national/local laws is to provide useful assessment information for making sourcing decisions and reducing associated risks.

SA8000 Social Responsibility Audit Rev.GUIDELINES

SCORING:Scores are assigned based on what is done for the Pro QC client regardless of what is done for other clients. For example, if control plans are developed for other clients but not for the Pro QC client, the score must be NC. Scoring must be explained to the supplier at the opening meeting.

GUIDELINE FOR SCORING CONFORMANCE:

RESULTS/RECOMMENDATIONS: (Automatically Calculated)The score is based on the percent of questions that Complies with Requirements, percent that Needs Improvement, and the percent that have a Non-Conformance. Each client should review how the supplier was evaluated for each question and base their decisions on factors that are important to their organization and product(s). AUDIT REPORT:

Complies with the Requirements = CImprovement Needed = INon-Conformance Found = NCN/A = Does Not Apply

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NAME : NAME :

ADDRESS : ADDRESS :

CITY : CITY :COUNTRY : COUNTRY :

PHONE : PHONE :FAX : FAX :

Mr./Mrs. Title: Email:










Scope :

Nb. Ques. %

54 74.0% 15 20.5%

4 5.5%

6

73

Not-compliance to Requirements (NC)

Not Applicable (N/A)

SA8000 - Social Responsibility Standard

CLIENT'S INFORMATIONSUPPLIER'S INFORMATION

XXXXXXX

XXXXXXX

XXXXXXX

XXXXXXX

XXXXXXXXXX Reviewer XXXXXXX

PRO QC PERSONNEL PARTICIPATING

XXXXXXXXXX Auditor XXXXXXX

XXXXXXX XXXXXXXX XXXXXXXXXXXXXXX XXXXXXXX XXXXXXXX

XXXXXXXX

XXXXXXXX

SUPPLIER'S PERSONNEL PARTICIPATING

XXXXXXX XXXXXXXX XXXXXXXXXXXXXXX XXXXXXXX XXXXXXXX

SA8000 Social Responsibility Audit Rev.SUMMARY

Report No.Supplier Name Audit Date

supplier, and keep pushing for improvements.

System has several major issues noted. You could temporarily use this supplier and

XXXXXXXXXXXXXX

XXXXXXXXXXXXXX

Systems are effective. You could start or continue business with this supplier.

System is acceptable, with minor nonconformities noted. You could use this

XXXXXXXXXXXXXX

XXXXXXX

Improvement Needed ( I )

DD/MM/YYYY XXXXXXX

XXXXXXXXXXXXXX

Category

XXXXXXX

Complies with Requirements ( C )

XXXXXXXX

request immediate corrective action in case of long-term business.

There are serious major issues with this supplier that could impact in your business.The better solution will be to source for another supplier.

AUDIT RESULTS

RECOMMENDATIONS

XXXXXXX XXXXXXXX

74.0%&

20.5%&

5.5%&

1

quality. Should improve the draft equipment.7) Dimly lit in walkway and warehouse in order to save the electricity. Should be improved as soon as possible.8) Please refer additional improvement items in "AUDIT CHECKLIST" section of the report.

3) The facility must develop policy or procedure to evaluate their supplier/ contractors for implementation for SA.4) An open power switch control container with exposed electric terminal was found near the walkway, in order to let the power breaker radiate. Dangerous: Should change to other methods to radiate, such as exhaust fan.5) Some fumes at the defect glass recycle process; found visible fumes during break glass by pressure. 6) Xylene odors filled the ink storage room because no window or equipped exhaust fan or air conditioner is in this

1) The audited factory was acquired by XXXXXXX on 1 December 20XX, becoming its wholly owned subsidiary.2) Sincere, open, and genuine attitude to deal with any issues.3) Within the broad plant, there is great potential for business development.4) Have complied with government labor law requirements, and they have inspections by GEPA (Government Environmental Protection Agency) to meet environmental protection requirements.

Strengths:

1) The audited factory was established on 1 November XXXX as an automated manufacturer of transparent glass containers. It is a privately owned company, 100% controlled by its investors. The factory's specialization is in design, manufacturing and sale of glass bottles for perfume, nail polish, cosmetics, food, medicines and liquors. 2) The audited factory is ISO9001 certified # XXXXXXX by the Gooup Group (UK). Its certification was obtained xx/xx/xxxx.3) The audited factory plans to apply for SA 8000 certification in December of this year.

1) The company has an established Social Accountability Manual (# M-02, V2), but needs to be approve and train.

room. This will be harmful to human health and also shorten the life of the ink causing deterioration of printing

2) A notice in the dormitory bulletin board announcing that residents will be fined NTD 100 ~ 50,000 if they do not turn off the power or are found smoking at non-smoking area. Supplier should use other means to implement.

Opportunities for Improvement:

XXXXXXX

Scope of Audit:To evaluate the social responsibility level of the supplier.

Summary/Recommendation:

XXXXXXX DD/MM/YYYY

SA8000 Social Responsibility Audit Rev.AUDIT REPORT

Supplier Name Audit Date Report No.

1

SCORE

11.1

C

1.2

C

1.3

C

1.4

C

1.5

C

1.6

C

Are any employees found to be under the minimum legal age or 15, whichever is greater, during the audit review?

Record the name of the worker(s) found to be under minimum legal age or 15. Possibly take a photo of the worker(s).

None found. The company has no employees under the age of 15.

Does the organization have a remedial program for under age-hired workers?

Check if any or more of following remedial programs is planned : a) Hire one of his or her family members.b) Send them to school.c) Feed them.d) Pay for them to go home. Record the documented number in which this program is written

Remedial procedure exists. (No#. SP4-12), The content conforms to the SA 8000 standard.

Review policy and record the document number in which this policy is written.

Yes, Worker Administration Procedure (WAP) in place (issue date 2009-10-21) specifies the minimum legal working age must not be less than 16 years old, which complies with national legislation and regulations.

What are the procedures the company follows to verify the age of its employees?

Review the procedure, and ask the audited person to explain the procedure

Follow the WAP to verify the age from the ID card and record on personal records.

Are ages of all employees checked prior to hiring?

Select 5 employees (of apparent youngest age) at each workshop, record their name and ID, ask them their age, year of birth, date of hire. Ask them if their employer asked for age identification at the time of their hiring. Cross check employee information with HR records.

Yes, following employee data was checked.1.ID# 146.age=18, hire date=2008-10-62.ID# 100.age=26, hire date=2009-12-213.ID# 124.age=23, hire date=2008-9-14.ID# 142.age=30, hire date=2010-1-115.ID# 199.age=28, hire date=2010-1-25

QUESTIONNAIRES EVIDENCE TO CHECK FINDINGS

Does the company know the minimum legal working age?

Ask HR department or individual responsible for hiring employees. Ask if that person has a documented national law in which the minimal working age is written.

Yes, HR Manager Mr. XXX knows the minimum legal working age is 16 years old according to national law.The government's law is available -- "Labor Standard Act".

Rev.AUDIT CHECKLIST


SA8000 Social Responsibility Audit

DD/MM/YYYY

CHILD LABOR

XXXXXXXXXXXXXX

C = Complies with the requirements, I = Improvement Needed, NC = Not Complies, N/A = Not Applicable

Does a written policy exist at the company addressing legal minimum age or 15, whichever is greater?

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SCOREQUESTIONNAIRES EVIDENCE TO CHECK FINDINGS

Rev.AUDIT CHECKLIST



DD/MM/YYYY XXXXXXXXXXXXXX


1.7

N/A

1.8

C

2

2.1

C

2.2

C

2.3

C

2.4

C

Do all employees receive paychecks or some other form of documentation detailing their earnings (Pay for normal working days, overtime, holiday, leaving, deductions…etc)?

Select five employees at each workshop who are paid directly by the facility. If temporary agencies pay the temporary workers check five of those pay records also. Check for existence of paychecks.

Yes, checked a total of ten workers (five full time + five temp), and all received wage notes.ID#-0708M155, 08100006.

Does each personnel employed at the facility have a written contract?

Select five employees at each workshop who are paid directly by the facility. Check their contract and record the ID number of employees checked. Check if the remuneration is written in the contract.

Check five records of personal files have signed the work contract and all meet the legal minimum wage requirement.1.ID# XXX146. $201002.ID# XXX100, $250003.ID# XXX124, $172804.ID# XXX142. $252005.ID# XXX199. $24000

Does the Company employ guest workers or temporary labor?

If there is no guest or temporary worker, then not applicable. If applicable check the employment or business contracts to evaluate the employee payment conditions.

Yes, they have temporary labors under contract from a manpower supplier agency. This is a government recognized manpower company. Contract #TADOS 2010030002.Have checked the contents of the contract. The company also maintains records to demonstrate conformance to the requirements of national law .

FORCED & COMPULSORY LABOR

How does the company ensure it does not use prison labor or forced labor and that all workers are doing so voluntarily?

1. Let them explain the steps they follow to verify that prison labor or forced labor are not used at the company and that all workers are doing so voluntarily. 2. Review the procedures/ practices.

1. Checked three workers that factory does not hire prison labor, or practice force, coercion, detention, or other illegal practices to coerce a worker to perform work.2. The procedure is available -- No#. SP4-13.

Has the organization implemented the remediation program as defined?

If there is an under age-hired worker(s), check the record of implementation of remediate program. If not then this question is not applicable.

The company has no use of child labor. They did not yet have an opportunity to implement defined remedial action. No available evidence.

Are there work restrictions of any of the workers under the age of 18 or for pregnant workers?

Review the restrictions (if any). Are the restrictions documented and fairly enforced? If restrictions do exist, check the restricted work areas for compliance.

Procedure exists (SA Manual# M-02 & SP4-15), Pregnant workers work at less strenuous area (office) during pregnancy. The company does not reduce wages.

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Rev.AUDIT CHECKLIST





2.5

NC

2.6

C

3

3.1

I

3.2

I

3.3

C

3.4

I

Who is the factory representative responsible and accountable for health and safety?

Check the nomination letter of the health and safety representative. Check if there is a job description documented. Interview five employees at each workshop and ask if they know who the health and safety representative is. Check what competence or training he/she has.

Mr. XXX iis Health/ Safety Representative. Auditor asked five people who all said they know him because he instructs industrial safety training.

Are lighting levels adequate in the facility?

Lighting should be of a high enough level to allow adequate visibility for workers to safely conduct activities. Evaluate three main work areas plus one office area. List areas and findings.

The operational site and office illumination is sufficient,but lighting levels in the shop floor walkway and warehouse are too low.

HEALTH & SAFETY

Is there a documented investigation of risk, accident, or hazard that could potentially happen in the company?

A list of potential accidents or hazards that could impact all or one employee, including potential source, During factory visit, check if there is an aspect that was not identified in the list.

Some procedures exists(Hazard Identification and Risk Assessment Procedure # SP4-02), but little risk investigation documentation.

Is there a documented safety program at the factory to respond in preventive way to any identified potential risk?

What hazards exist in the factory? And how does the factory plan to avoid workers from being injured?

A procedure exists (Emergency Response and Treatment Procedure SP4-08), but not systemic.

Is there any evidence of forced, bonded, or involuntary prison labor used at the site?

Regardless of the reason why, if any of these conditions are identified, score "NC"

No evidence can be detected.

Are all employees free to stop their employment at the factory?

Interview five employees at each workshop who are paid directly by the facility. Ask them what the top management will do if they decide to stop their employment at the factory.

1.Yes, local workers have freedom to resign and leave at any time.2.Foreign workers' passports are held by the agency to prevent them from breaching contract. However, he is free to decide to lift contract at any time, and the individual can get back his/her passport and go back to country of origin.

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Rev.AUDIT CHECKLIST





3.5

I

3.6

I

3.7

I

Are hazardous materials handled in a safe manner?

Identify three hazardous materials and evaluate the handling and storage practices. Consider PPE usage and environmental concerns.

1.The company does not use hazardous material except for flammable lubricating oil for machine maintenance. At the oil storage area, many flammable oil barrels are located nearby roadside and shop floor with no railing in this area and no control. Anybody can have easy access at any time. No material safety data sheet on site.2. MSDS (Material Safety Data Sheet) are available but do not hang beside chemical material for reference, such as paint, ink, thinner, etc.

Are there excessive odors, fumes or dust in the facility?

If fumes, odors or dust exist are they immediately irritating? Have concentration levels been checked? Are dust clouds visible such that particulate matter settles out in the facility (and on workers)?

1.Some fumes detected at the defect glass recycle process, break glass by pressure,(crushing, pulverized). They have dust control and measurement by EHS agency four times every year. Records checked. 2008-8-26,2009-2-26,2009-8-26,2010-2-26.Workers wear general purpose masks but not industrial grade.2. At printing / painting work section, paint and xylene odors filled the room because insufficient air flow.

Is Personnel Protective Equipment (PPE) provided and used as appropriate?

Identify three jobs, preferably more hazardous jobs or more common jobs. Evaluate what the correct level of PPE is for the jobs. Is this level of PPE provided? Is it worn correctly and when necessary?

1. On the work floor, noise surpasses 90 DB. Workers should wear earplugs according to the control rule, which most did. However, no earplugs were given to auditor or attendant.2. At the mold repair section, a worker used hydrogen welding to repair parts only wearing general protection glasses. Did not wear black protection glasses.

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Rev.AUDIT CHECKLIST





3.8

C

3.9

C

3.10

C

3.11

C

3.12

C

Is an accident investigation form used that identifies and tracks corrective actions?

Investigation form, corrective action tracking process, review three incidents and corrective actions taken.

They follow Taiwan's labor law requirement. Every month, they need to declare industrial safety monthly report to Taiwan Labor Management Authority online. Records were checked, and did not find any severe accident .

Does the facility have a prenatal and postnatal program that ensures expectant mothers and new mothers are able to safely continue working in an area suitable for the condition and in accordance with any applicable governmental requirements?

Review the documented program or procedure. Review of work areas designated by the facility as suitable for expectant mothers and new mothers. Check if sick leave is provided, limits for nightshift or overtime work. Relocation to less demanding work.

Yes. In Worker Administration Procedure (WAP) (# issue date 2009-10-21) Chapter 4, Article 6 specifies "female worker may apply to be transferred to less strenuous work during pregnancy."Checked a pregnant employee working at warehouse office.

Does the facility record/ track accidents?

Looking for some type of tracking sheet or log. Statistics/ tracking sheet, what is the goal and how are the current performances?

1.Interviewed workers that had mild injuries (graze). 2. They follow Taiwanese laborers law request. They submit a declaration of industrial safety monthly report by internet. Records checked and did not find any anything unusual.

Have any severe accidents involving death, amputation or requiring external medical assistance occurred at the facility in the past three years?

Ask if the facility has ever had an ambulance, paramedic, fire department or police summoned to the facility in the past three years. Make sure interviews are conducted with people who have worked at the facility for more than three years.

Spoke with three senior workers that expressed no severe accident happened in factory.

Is guarding and operation of equipment adequate to prevent injury?

Is there a high likelihood of an employee becoming trapped or seriously injured in a machine? Can work practices be changed? Is the use of holding tools or clamps possible? Are start/stop buttons and emergency stops (if existing) of an appropriate type and positioned correctly for use in the event of an emergency? Look for high probability or high exposure situations.

1. Electric abrader has safety cover and emergency stop button.2.Glass forming machines have emergency stop button.3. Drilling machine has emergency stop button.

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Rev.AUDIT CHECKLIST





3.13

N/A

3.14

I

3.15

C

3.16

C

3.17

C

Have the personnel been trained on an evacuation plan?

Review training program. Interview three employees and verify they attended training in accordance with the training program. Are drills conducted? Has the site had a history of fires/ explosions?

Yes, there are biannual fire fighting / prevention and escape training, and records are available and checked. (2009-10-16, 2010-3-22)

Are exit doors locked? Check three exit doors, inspect locking hardware, direction of opening and escape pathway.

All exit doors can be opened from inside.

Does a written evacuation plan exist?

Review general scope/ coverage areas of the plan and determine if it is kept reasonably up-to-date. Who “owns” the plan and is responsible for periodic updates?

1. Yes, a plan is available (# SW-04-06). They also post "emergency evacuation route" at some positions as per Taiwan Labor Management Authority request.2. Mr. XXX, Health/ Safety Representative, is responsible for periodic updates.

Are there work restrictions for any of the workers under the age of 18?

Review the documented program or procedure. Review work areas designated by the facility as suitable for under the age of 18.

Currently no use of worker under the age of 18 years old.

Are adequate exits provided for emergency evacuation purposes?

Review entire facility and offices. Can exits or exit signage been seen from the areas of the plant where workers are? Are exit pathways marked/ identified and clear? Do exits open in the direction of travel and discharge to a safe area? Do exits lead to a safe area?

Most exit gates have clear exit signs, except two gates located on the 2nd floor and the printing section.

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Rev.AUDIT CHECKLIST





3.18

I

3.19

N/A

3.20

C

3.21

C

3.22

C

3.23

C

Are adequate emergency exits and emergency notification systems provided?

In most cases, two or more main emergency exits are appropriate. Are the main emergency exits marked, accessible and unlocked? Do exits open in the direction of travel and discharge to a safe area?

Yes, There are two exits from the dormitory. The exits can be opened in the direction of discharge to outside. Emergency notification/ control system is installed in guardroom.

Are newly hired or reassigned employees trained?

Identify three newly hired or reassigned employees and/ or supervisors and confirm they attended training.

Yes, records checked,20xxXX-3-15, 15 people.20-6-15, 13 people.

Are dormitories kept clean? Trash and/or dirt on floor, condition of walls (paint) and windows.

Yes, the dormitories are located on the 2nd and 3rd floor of main office. They were found clean, orderly, self-maintained and equipped with air-conditioning.

Are canteens and other food preparation areas kept clean and in a healthy and sanitary condition?

General conditions. Is a health or occupancy certificate issued by the local authorities? Is a score provided on the certificate?

No kitchen or canteens in this facility.

Is safety training provided to employees?

Training record, interview three employees and for two different types of training each employee attended and confirm they attended training.

Yes, records checked,20XX-2-2, production workers, 16 people.20XX-9-23, QC, 19 people.

Is fire fighting equipment and training available and appropriate?

Fire fighting equipment and training must be consistent with the expectations of the facility and the expected behavior of workers in the event of an incident. Does the factory have fire extinguishers distributed throughout the facility?a) Are the locations of the fire extinguishers prominently identified?b) Are the fire extinguishers all serviceable?i. Are they numbered for identification?ii. Are they maintained secure with lock clips retainers in place?iii. Are the inspections of the extinguishers documented?

1.Biannual fighting / prevention and escape trainings were recorded properly, 20XX-10-16, 20XX-3-22.2. Most of fighting equipment and fire extinguishers are identified and serviceable, (not over expiration date and the pressure indicator is in green zone ), except location three.a. At the two floors F1 and F2, tooling repair area, a fire extinguisher sign fell on the ground. Hanger also does not have a fire extinguisher. (No.55)b. On the 2nd floor, tooling repair area, a hydrant box has hoses but lacks nozzle. c. At the warehouse, a fire extinguisher's pressure indicator is in "red" zone. Air pressure was lost.

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Rev.AUDIT CHECKLIST





3.24

C

3.25

C

3.26

I

4

4.1

I

4.2

NC

4.3

C

No trade union, no workers' representative.

Are employees free to join a union or association?

Interview five workers at each workshop and find out if they know who their worker representative is.

Yes, workers can freely join the welfare committee.

Are separate sleeping pads/ mattresses or other area provided for each dormitory occupant?

Trash, condition of walls. Yes, separate beds with sleeping pads/mattresses.Environmental condition and quality basically acceptable.

Are adequate first aid competence available in the facility, including related medicine disposal?

Check who are first aid people, what certificates they have, interview 5 workers at each workshop if they know the first aid people.

Five people have first aid training certificate,# 6140,training date 20XX-6-5 # 6138,training date 20XX-6-5 # 6139,training date 20XX-6-5# 0601,training date 20XX-3-27 # 2224,training date 20XX-4-1Most workers do not know who the first aid people are.

Are adequate sanitary facilities provided and are the facilities segregated by sex?

Trash, condition of walls. Yes, separate toilets located for men and women at different locations.Environmental conditions and quality basically acceptable.

FREEDOM OF ASSOCIATION AND RIGHT TO COLLECTIVE BARGAINING

Is there a work union in the facility and is it recognized?

Review a policy or procedure signed by a company top authority, in recognition of the work union force.

1.The company has established Social Accountability Manual (# M-02, V2), but not approved by top authority. The document has demonstrated that all workers have right to form, join, and organize trade union of their choice and to bargain collectively on their behalf with the company.2.The company sets up welfare committee, but does not have trade union.

Is there an elected member of the work force that acts as employee representative?

Note the name of the worker representative, and note his work location.

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Rev.AUDIT CHECKLIST





4.4

N/A

4.5 N/A

4.6

C

4.7

C

4.8

N/A

5

5.1

C

5.2

C

5.3

C

Have any complaints of discriminatory practices (eg. sexual harassment, corporal punishment, mental or physical coercion or physical abuse) been received by the facility in the past three years?

Ask HR department or management team if any employees (consider both potential and former employees) have filed a compliant against the facility. Review the complaints.

Interviewed three workers and two clerks. No complaint has occurred.

Does the facility have policy/ practice that addresses the treatment of expectant mothers/new mothers?

Review the policy/ practices. Are the policy/ practices legal or appropriate?

Procedure exists (SA Manual# M-02 & SP4-15 Pregnant woman working instruction ) , Pregnant woman (ID#99040003) work at less strenuous area (office) during pregnancy. The company does not reduce wages.

Do workers know who the representative is? Do employees remember when the last elections were held?

Interview five workers at each workshop, and ask them if the know when the last elections were held.


DISCRIMINATION

Does the facility have a policy on discrimination or is a statement included in an employee handbook?

Review the policy/ practices. Does it address the use of sexual harassment, corporal punishment, mental or physical coercion or physical abuse as an inappropriate form of discipline? Are management personnel including supervisors and any other individuals who can administer discipline trained in the policy?

The factory has documented procedure (# SP4-13 Discrimination & #SPA-14 Sexual Harassment) to implement in case it happens on listing of mental, physical or any form of discriminatory practices. They also quote Taiwan laborer law as their company's regulation.


Do the employees have access to management?

Interview five workers at each workshop, and ask them how they access to management in case of need.

Yes, employees can see "General Affairs Manager", Mr. XXX at any time during office hours. Five workers confirmed.

Are workers allowed to meet on work related or personal issues?

Yes, they have a labor dispute settlement - Completed on 20XX-3-3. Records checked.

Are representatives or union members subject to discrimination?

Interview the worker's representative. No trade union, no workers' representative.

If unions are restricted by law,do the employees have a representative committee?

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Rev.AUDIT CHECKLIST





5.4

C

5.5

C

6

6.1

C

6.2

C

6.3

I

6.4

C

6.5

I

Does the factory fire employee for punishment?

Interview five workers at each workshop. Check if there is an employee complaint about abusive disciplinary practice by firing employees.

Talked to five workers. No one has been fired as far as they know.

Is base pay ever reduced as a punishment?

Interview five workers at each workshop. Check if there is an employee complaint about abusive disciplinary practice by deducting salary.

A notice on the work floor announces that employees will be fined one day salary if they throw cigarette butts at non-assigned location.

What disciplinary practices are in place at this facility?a) Does the factory use corporal punishment?b) Does the factory use physical punishment?c) Does the factory use verbal abuse?

Interview five workers at each workshop. Check if there is an employee complaint about abusive disciplinary practices.

Interviewed five workers. No one complained about corporal /physical punishment.

Does the factory withhold any benefits from the employees as punishment?

Interview five workers at each workshop. Check if there is an employee complaint about abusive disciplinary practice by deducting salary.

A notice in the dormitory announces employees will be fined NTD 100 ~ 50,000, if they do not turn off the power or smoke in a non-smoking area.

Are there any complaints of sexual harassment, corporal punishment, mental or physical coercion or physical abuse at the facility by workers?

Interview five employees who have recently (past two years) received disciplinary actions. If no employees have received disciplinary actions randomly select three employees.

Talked to five workers, and noted no complaints of sexual harassment, corporal punishment, mental or physical coercion or physical abuse.

Is there any evidence of the use of sexual harassment, corporal punishment, mental or physical coercion or physical abuse in the facility?

Clients are very sensitive to discriminatory practices including sexual harassment, corporal punishment, mental or physical coercion and physical abuse.

Inquired to four workers, and they all expressed that they have not heard about any of these matters.

DISCIPLINARY PRACTICES

Is there a policy defining following disciplinary practices?a) For tardiness?b) For excessive tardiness?c) For absences?d) For excessive absences?e) For stealing?f) For fighting?g) For disrupting production?h) For unauthorized use of factory equipment or facilities?i) For damaging equipment?

Interview the HR Manager, and review the policy/procedure.

Yes, Worker Administration Procedure (WAP) in place that specifies the disciplinary practices. (# issue date 20XX-10-21) Also complies with national legislation and regulations.

1


Rev.AUDIT CHECKLIST





6.6

C

6.7

C

6.8

C

7

7.1

C

7.2

C

7.3

I

7.4

C

Are working hours less than the legal limit or 12 hours in a day and 6 days in a week for more than 3 consecutive weeks; whichever is less.

Ask HR department. Ask five employees how many hours they worked the last two weeks and verify against time cards/ paychecks or other documents. Verify hours worked for the past three months of these five employees by reviewing paychecks or other documents. Consider any waivers issued to the facility.

Checked personal records from intranet shown that do not have this kind of long-hours working occurrence in the last three months.

Do employees have the right to refuse overtime? (Legally or by company policy).

Review policy. Ask HR Department? Ask 3 member of management who ask employees to work overtime if they are aware of the employees’ rights to refuse the overtime work assignment.

Yes, according to declaration from some workers, they have the right to refuse overtime. However, there is no written policy regarding this requirement. Workers explained that they sometimes agree to overtime if supplier requests.

Does the company have a warning system for advising an employee of deficiencies?a) Can the employee appeal the warning?b) Who would hear the appeal?

Check how the warning system is communicated to the employees.

Yes, they have a warning system and the employee can appeal the warning to Mr. XXX, General Affairs Manager.

WORKING HOURS

Is the organization aware of the national legal working hours? (regular time and overtime)

Ask HR department or individual(s) responsible for creating work schedule. Ask the HR department how the national working hours is communicated to employees?

Yes, Worker Administration Procedure (WAP) in place (# issue date 20XX-10-21). Specifies the legal working hours including regular time and overtime that complies with national legislation and regulations.

Is overtime withheld as a punishment?

Interview 5 workers at each workshop, check if there is an employee complaint about abusive disciplinary practice by forcing overtime.

Talked to 5 workers , nobody's over time was withheld as a punishment as far as they know.

Are employees ever demoted, reduced in job responsibility and base pay for punishment?

Interview five workers at each workshop. Check if there is an employee complaint about abusive disciplinary practice reducing job responsibility or charge.

Talked to five workers. No one has been demoted as a punishment as far as they know.

Do employees have the right to refuse overtime? (legally or by company policy).

Check if there are any complaints about working hours and/or excessive overtime.

Talked to four workers that say they are glad to work overtime if they can.

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Rev.AUDIT CHECKLIST





8

8.1

C

8.2

C

8.3

C

8.4

I

8.5

C

Are employees provided other benefits (holiday pay, vacation) to which they are legally entitled?

Review policy or schedule of deductions. Review five employee paychecks who received other benefits to verify they are correct and that they are clearly documented.

Yes, Worker Administration Procedure (WAP) in place (# issue date 20XX-10-21). Specifies all benefits conform to the legal stipulation.

Are deductions made for disciplinary purposes?

Review policy or schedule of deductions. Review five employees' paychecks who received deductions for disciplinary purposes to verify they are correct and that they are clearly documented.

No, per checked pay records and interviews with four workers there are no complaints about deductions from salaries being made for disciplinary purposes.But, there is a notice on the work floor that announces employees will be fined one day salary for throwing cigarette butts in prohibited areas.

Is the facility aware of the legal minimum wage for regular time and overtime?

Ask HR department or department in charge of payroll to show the document or law that defines the legal minimum wage.

Yes, per checked pay records and interviews with five workers, they received wages as per their working hours. This includes regular time and overtime that complies with legal minimum wage regulations. ($17280)1.ID# XXX146. $201002.ID# XXX100, $250003.ID# XXX124, $172804.ID# XXX142. $252005.ID# XXX199. $24000

Are the wages provided at least of the legal minimum?

Verify wages for the last 12 months of paychecks for five employees. Consider regular, overtime and holiday wages. If applicable, does piece rate pay comply with legal minimum wage?

Yes, per checked pay records and interviews with five workers, they have received wages as per their working hours including regular time and overtime that complies with legal minimum wage regulations. ($17280)1.ID# XXX146. $201002.ID# XXX100, $250003.ID# XXX124, $172804.ID# XXX142. $252005.ID# XXX199. $24000

Are any other deductions (for example, food and housing) reasonable and legal?

Review policy or schedule of deductions. Review five employee paychecks who receive deductions to verify they are correct and that they are clearly documented.

Yes, the facility deducts an amount from the employee's meal allowance to handle lunch, There is written policy established and communicated to employees prior. This is a personal choice to freely participate.

REMUNERATION

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Rev.AUDIT CHECKLIST





8.6

C

8.7

C

99.1

C

9.2

I

9.3

C

9.4

C

9.5

C

In the past three years, has the facility received any violations or notices from governmental officials regarding violations or potential violations with safety, environmental, labor or discriminatory practices?

Copy of violation or notice. Review response from facility and any corrective actions taken.

No, Mr. XXX (Health/ Safety Representative) said, there is no such record of violations or notices from governmental officials.

Review the policy and verify it is at least consistent with and at a minimum, meets the performance expectations of the Operating Companies’ Social Accountability Policy. Verify communication of the policy with three employees.

The company has some informal documents , but not approved by top managers. These documents are not distributed to all employees.

Do employees have a mechanism to communicate concerns over discriminatory practices or other unfair labor practices to facility management without fear of retribution or retaliation?

Document the mechanism. Ask if any employees have used the mechanism.

1.The facility has a written procedure for communication about discriminatory acts within the facility (P5-02). The facility has a worker representative to handle such issues. 2.Workers can appeal to the labor authorities.

Does the facility have a mechanism/ policy for dealing with issues of non-compliance with the policy?

Describe the mechanism and check the last issue (if any) that was corrected.

Procedure exists (SA Manual# M-02), page 10, # 9.6At present has not had to deal with this matter

Ask five employees if they were provided with the paycheck or other documentation information on a regular basis.

Yes, checked five workers' pay records from accounting department. These workers have received wages and detailed contents every month on a timely basis.

Is the salary paid in a timely manner?

Ask the same five employees how often they are paid, and check if the date of payroll is respected.

Yes, checked five worker's pay records from accounting deptartment.These workers have received wages and detailed contents every month on a timely basis.

MANAGEMENT SYSTEMS

Are employees provided with clear information about their wages and benefits on a regular and timely basis?

Has the facility acknowledged receipt of the Operating Companies’ Social Accountability Policy? What is their opinion of their compliance level with the policy?

Name and title of management representative and their answers. Can they produce a copy? Note opinion of compliance.

Mr. XXX,General Affairs Manager says company totally agrees with the concept of "Social Accountability Policy ", which will be gradually implemented.

Does the facility have a local policy or other document(s) that addresses the elements of the Operating Companies’ Social Accountability Policy? Are the requirements of the facility's policy communicated to employees?

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Rev.AUDIT CHECKLIST





10

NC

NC

Does the facility document reviews of their suppliers and contractors with respect to social accountability performance issues?

Review inspections or documentation record of the facility’s review of their suppliers or contractors.

No, the facility does not have any policy or procedure to evaluate their suppliers/contractors regarding implementation of social accountability policy, nor does the facility have any record of this topic.

SUPPLIERS / CONTRACTORS

Is the facility utilizing suppliers or contractors for which it would be appropriate to review their performance contractors relative to the social accountability elements?

Consider if the facility has evaluated the risks of their own supply chain. Discussion with management/ sourcing or procurement departments.

No, the facility does not have any policy or procedures to evaluate their suppliers/contractors regarding implementation of social accountability policy, nor does the facility have any record of this topic.

1

6.Emergency lighting is working. (F2)5.Emergency lighting is working. (F1)

3. Workshop- Manufacturing Glass Factory, Facility's lighting level is generally enough for the inspection station, but illumination insufficient in other places. Dimly lit in walkway and warehouse. (F1)

4. Workshop- Decorating Glass Factory, Facility's lighting level is enough for the operators. (F2) But at printing / painting work section, paint and xylene odors filled the room with insufficient air flow.

1. Front View. (F1) 2. Decorating Glass Factory Front View. (F2)

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SA8000 Social Responsibility Audit Rev.FACTORY PHOTOS


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10.Dormitory - Clean, orderly and equipped with air-conditioner.

11.Pregnant Worker (ID#xxxxxxx) works in less strenuous environment (office). -Confirmed

12. Emergency Notification / Control System (Fire Alarm Central Control Units) is installed in guardroom.

9.Dormitory - Clean, orderly and equipped with air- conditioner.

7.Elevator does not move when doors are open. (F1) 8.Elevator can not move when the door does not closed. (F2)

1




17.Not enough fire equipment, and fire sand buckets were almost empty nearby the oil storage.

16.At the storage area, many flammable oil barrels are located nearby the roadside with no railing and no control. Anybody has easy access at any time. No material safety data sheet in sight. (F1)

14.First aid materials available in work floor.

15.The 11.4KV Transformer / Power Distribution Room is isolated by iron fence, but is not locked.

15.The 11.4KV Transformer / Power Distribution Room isolated by iron fence, but is not locked in.

13.First aid materials available in dormitory.

1




21.Emergency lighting is not working because power plug was not inserted. (F2)

22.Many flammable materials are located nearby the gas tank. (F2)

20. Printing section lacks exit sign (F2) and an open power switch control container with exposed electric terminal near the walkway, in order to let the power breaker radiate - dangerous.

18.Lacks forbidden smoke and fire indicator. 18.Lacks forbidden smoke and fire indicator.

19. 2nd floor lacks of the exit sign. (F1)

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27.Dimly lit walkway and warehouse (F1) to save the electricity.

28.At warehouse, a fire extinguisher's pressure indicator is in "red" zone. Air pressure was lost.

23.On the 2nd floor (F1), tooling repair area, a fire extinguisher's sign fell on the ground, hanger also does not have fire extinguisher. (No.55)

24.At the F2 office area, no fire extinguisher on the hanger.

25. On floor F1, tooling repair area, a hydrant box has hoses but lacks nozzle.

26.Front of the hydrant is blocked by the products.

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29.Some fumes at the defect glass recycle process, found visible fumes during break glass by pressure,(crushing, pulverized). They have dust control and measurement by EHS agency , 4 times per annum. Records checked. 2008-8-26,2009-2-26,2009-8-26,2010-2-26.Workers wear general purpose masks but not industrial grade.

30. a. Xylene odors filled the ink storage room because no window/exhaust fan or air conditioner in this room. This is harmful to human health and also shortens the life of the ink and causes deterioration of printing quality.-b.MSDS (Material Safety Data Sheet) are available but do not hang beside chemical materials for reference. (Paint, ink, thinner). This will be harmful to human health and also shorten the life of the ink and cause deterioration of printing quality.

31. At painting work section, paint and xylene odors filled the room because paints and thinners were not fully covered.

32. At the painting work section, paint and xylene odors filled the room because paints and thinners were not fully covered.

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35.Operators do not wear goggles at grinder machine.

33.A notice on the work floor that announces that employees will be fined one day salary for throwing cigarette butts in prohibited areas.

34.A notice on the dormitory bulletin board announces that employees will be fined NTD100 ~ 50,000, for not turning off the power or smoking in a non-smoking area.

Documents

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