O: Does the site have systems in place to conduct legal due diligence to recognize and apply national laws and practices relating to land title Yes No Details: P: Does the site have a written policy and procedures specific to land rights. If yes, does it include any due diligence the company will undertake to obtain free, prior and informed consent, (FPIC) even if national/local law does not require it Yes No If yes, how does the company obtain FPIC: Q: Is evidence that facility site compensated the owner/lessor for the land prior to the facility being built or expanded. Please give details. Yes No Details: R. Does the Facility demonstrate that alternatives to a specific land acquisition were considered to or minimize adverse impacts Please give details. Yes No Details: S: Is There any evidence of illegal appropriation of land for facility building or expansion of footprint. Yes No Details: Non–compliance: 1. Description of non–compliance: NC against ETI/Additional Elements NC against Local Law NC against customer code: Local law and/or ETI requirement: Recommended corrective action: 2. Description of non–compliance: NC against ETI/Additional Elements NC against Local Law NC against customer code: Local law and/or ETI requirement: Recommended corrective action: Objective evidence observed: (where relevant please add photo numbers)
Is there evidence of free elections? Yes No E: Does the supplier provide adequate facilities to allow the Union or committee to conduct related business? Yes No Details: F: Name of and union representative, if applicable: Is there evidence of free elections? Yes No N/A G: If no union what is parallel means of consultation with workers e.g. worker committees? Is there evidence of free elections? Yes No N/A H: Are all workers of who their representatives are? Yes No I: Were worker representatives freely elected? Yes No Date of last election: J: Do workers know what topics can be raised with their representatives? Yes No K: Were worker representatives/union representatives interviewed Yes No If Yes, please state how many: L: State any evidence that union/worker’s committee is effective? Specify date of last meeting; topics covered; how minutes were communicated etc. M: Are any workers covered by Collective Bargaining Agreement (CBA) Yes No N: If Yes what percentage by trade Union/worker representation ____% workers covered by Union CBA ____% workers covered by worker rep CBA O: If Yes, does the Collective Bargaining Agreement (CBA) include of pay Yes No Non–compliance: 1. Description of non–compliance: NC against ETI NC against Local Law NC against customer code: Local law and/or ETI requirement: Objective evidence observed: (where relevant please add photo numbers)
F: Is there a doctor or nurse on site or there is easy access to first aider/ trained medical aid Yes No Details: G: Where facility provides worker transport - it is fit for purpose, safe and maintained and operated by competent persons e.g. buses and other vehicles Yes No Details: H: Secure personal storage space is provided for workers in their living space and is fit for purpose Yes No Details: I: H&S Risk assessments are conducted (including evaluating the arrangements for workers doing overtime e.g. driving after a long shift) and there are controls to reduce identified risk Yes No Details: J: Is the site meeting its obligations on environmental requirements including required permits for use and disposal of natural resources Yes No Please describe K: Is the site meeting its customer requirements on environmental standards, including the use of banned chemicals Yes No Please describe Non–compliance: 1. Description of non–compliance: NC against ETI NC against Law NC against customer code: Local law and/or ETI requirement Recommended corrective action: 2. Description of non–compliance: NC against ETI NC against Local Law NC against customer code: Local law and/or ETI requirement: Recommended corrective action: Objective evidence observed: (where relevant please add photo numbers) Observation:
law and/or ETI requirement: Recommended corrective action: Observation: Description of observation: Local law or ETI requirement: Comments: Objective evidence observed: Good Examples observed: Description of Good Example (GE): Objective Evidence Observed: Summary Information Criteria Local Law (Please state legal requirement) Actual at the Site (Record site results against the law) Is this part of a Collective Bargaining Agreement? A: Standard/Contracted work hours: (Maximum legal and actual required working hours excluding overtime, please state if possible per day, week, and month) maximum: Yes No B: Overtime hours: (Maximum legal and actual overtime hours, please state if possible per day, week, and month) Legal maximum: Yes No D: wage for standard/contracted hours: (Minimum and actual minimum wage at site, please state if possible per hr, day, week, and month) Legal minimum: Yes No E: overtime wage: (Minimum legal and actual minimum overtime wage at site, please state if possible per hr, day, week, and month) Legal minimum: Yes No
K: Were any inconsistencies found? (if yes describe nature) Yes Poor record keeping No Isolated incident Repeated occurrence: L: Do records reflect all time worked? (For instance, are workers asked to attend meetings before or after work but not paid for their time) Yes No Details: M: Is there a defined living wage: This is not normally minimum legal wage. If answered Yes, please state amount and source of info: Please see SMETA Best Practice Guidance and Measurement Criteria. Yes No Please specify amount/time: If yes, what was the calculation method used. Benchmarks Asia Floor Wage Figures provided by Unions Living Wage Foundation UK Fair Wear Wage Ladder Fairtrade Foundation Other – please give details: N: Are there periodic reviews of wages? If Yes give details (include whether there is consideration to basic needs of workers plus discretionary income). Yes No Details: O: Are workers paid in a timely manner in line with local law? Yes No P: Is evidence that equal rates are being paid for equal work: Yes No Details: Q: How are workers paid: Cash Cheque Bank Transfer Other If explain: 6: Working Hours are not Excessive 6: Working Hours are not Excessive
H: Any local waivers/local law or permissions which allow hours for this site? Yes No If YES, please give details Overtime Hours worked I: Actual overtime hours worked in sample (State per day/week/month) Highest OT hours: J: Combined hours plus= total) 60 found? Yes No K: Approximate percentage of total workers on highest overtime hours ______% L: Is overtime voluntary? Yes No Conflicting Information Please detail evidence e.g. Wording of contract/employment agreement/handbook/worker interviews/refusal arrangements: Overtime Premiums M: Are the correct legal overtime premiums paid? Yes No N/A – there is no legal requirement to OT premium Please give details of normal day overtime premium as a % of standard wages: N: Is overtime paid at a premium? Yes No If yes, please describe % of workers & frequency: O: ETI Code requires a prevailing standard to give greatest worker protection. If a site pays less than 125% OT premium and this is allowed under local law, are No Consolidated pay (May be standard wages above minimum legal wage, with no/low overtime premium) Collective Bargaining agreements Other Please explain any checked boxes above e.g. detail of consolidated pay CBA or Other
E: Are there any open disputes? Yes No If yes, please give details F: Does grievance mechanism meet with UNGP requirement of e.g. (Legitimate, Accessible, Predictable, Equitable, Transparent, Rights-compatible, a source of continuous learning and based on engagement)? Yes No If no, please give details G: Does the site \ encourage its business partners (e.g., suppliers) provide individuals and communities with access to effective grievance mechanisms (e.g., help lines or whistle blowing mechanism Yes No If No Please give details H: Is there a published and transparent disciplinary procedure Yes No If No please explain I: If yes, are workers aware of these the disciplinary procedure Yes No If no please give details J: Does the disciplinary procedure allow for deductions from wages (fines) for disciplinary purposes (see wages section) Yes No If Yes please give details Current Systems and Evidence Examined To complete ‘current systems’ Auditors examine policies and written procedures in conjunction with relevant managers, to understand, and record what controls and processes are currently in place e.g. record what policies are in place, what relevant procedures are carried out, who is /are responsible for the management of this item of the code. Evidence checked should detail any documentary or verbal evidence shown to support the systems. Current systems: Evidence examined – to support system description (Documents examined & relevant comments. Include renewal/expiry date where appropriate): Details:
C: Does the site have a recognised environmental system certification such as ISO 14000 or equivalent? Please detail. Yes No Details: D: Does the site have an Environmental policy? (For guidance, please see Measurement criteria) Yes No If yes, is it publicly available? E: If yes, does it address the key impacts from their operations and their commitment to improvement? Yes No Details: F: Does the site have a Biodiversity policy? (For guidance, please see Measurement criteria) Yes No G: Is any other sustainability systems present such as Chain of Custody, Forest Stewardship Council (FSC), Marine Stewardship Council (MSC) etc.? Please detail. (For guidance, please see Measurement criteria) Yes No Details: H: Have all legally required permits been shown? Please detail. Yes No Details: I: Is there a documentation process to record hazardous chemicals used in the manufacturing process? Yes No N/A Details: J: Is a system for managing client’s requirements and legislation in the destination countries regarding environmental and chemical issues? Yes No Details: K: Facility has reduction targets in place for environmental aspects e.g. water consumption and discharge, waste, energy and green-house gas emissions Yes No Details: L: Facility has evidence of waste recycling and is monitoring volume of waste that is recycled. Yes No Details: M: Facility has a system in place for accurately measuring and monitoring consumption of key utilities of water, energy and natural resources that follows recognised protocols or standards Yes No Details: N: Facility has checked that any Sub-Contracting agencies or business partners operating on the premises have appropriate permits and licences and are conducting business in line with environmental expectations of the facility Yes No Details: Usage/Discharge analysis