Grading Matrix For Social Compliance Audit 158
Grading Matrix For Social Compliance Audit 158
Grading Matrix For Social Compliance Audit 158
HIGH RISK
Must compensate all workers with wages, overtime premiums, and benefits that meet or exceed legal standards or collective agreements, whichever are higher Must provide all legally mandated holidays, leave, benefits and bonuses Workers should be provided with pay slips in a language the workers understand that shows regular and overtime hours worked, regular and overtime rates and wages, bonuses and deductions. Wages paid on time on a monthly basis
INTERMEDIATE RISK
WORK HOURS
7th day of rest guaranteed Regular and overtime hours within legal & Code of Conduct limits Overtime is voluntary Shall provide reasonable meal and rest breaks, which at a minimum is compliant with the law
CHILD LABOR
Valid age documentation maintained for all employees Children under the minimum working age (18) should not be allowed in factory work areas at any time.
FREEDOM OF ASSOCIATION
must respect the right of workers to choose whether to lawfully and peacefully form or join trade unions or similar means of their choosing and to bargain collectively
SUBCONTRACTORS
Home workers w/no records, no monitoring Home workers w/records and monitoring visits Home worker network fully documented, all records maintained, with monitoring and training program in place. All wages, benefits provided. No subcontractors or home workers used
Inspection Denied; Any part of the inspection denied or documents refused Missing legally required licenses or shipping visas or environmental permits
(Note: CSCC only conducts country of origin/quota inspections as part of a social compliance audit in Vietnam as of 1/1/05)
Any missing requested documentation (not refused) to support audit findings Legally required postings not posted
Probation period is clear to employees and employee becomes permanent per country law when period ends. All components of audit allowed All requested documentation provided All licenses, shipping visas, quota documentation and environmental permits appear to current and valid No evidence of transshipment found All country of origin documentation present
- Cut labels; - Some missing country of origin documentation - No country of origin paperwork (but no evidence of transshipment found during walk through)
Imported workers not given a copy of the their labor contracts; Labor contracts not signed by employees;
Labor contracts reflect actual hiring practices, do not infringe upon workers rights are signed by the employee with a copy provided to them Employees are allowed to keep their own original identification/travel documents or have complete and free access to original documents at all times No pregnancy testing or questions upon arrival or during employment tenure Employees are free to leave the factory or dormitory during their days off and after working hours No human rights abuses detected for imported workers
Curfews or electricity shutoffs for dormitories of imported workers Any human rights abuses targeted at imported workers versus local workers (excessive hours, uncompensated and/or forced overtime, discrimination, harassment and abuse, unfair or overly harsh disciplinary measures Other Illegal terminations or threats of repatriation
Employees work in threat-free work environment without fear of illegal termination No health and safety training; No training records maintained; Insufficient safety training Employees not issued PPE (lower exposure to hazardous materials); Use of PPE not enforced by supervisors; Insufficient/ incorrect PPE Missing first aid kits or supplies No first aid supplies or personnel No accident or injury record No legally required clinic; Inappropriate needle disposal; Records not maintained or insufficient; No or incorrect medical waste management No copies of doctor or nurse certifications Missing some equipment; Most of equipment improperly labeled expired or blocked Exits temporarily blocked. No/ missing exit signs or lights Emergency door not open outward, Employee are too far from any emergency exit Employees and supervisors trained in first aid, evacuation drills and use of fire equipment; Occupational H&S training provided and records available Required PPE issued to employees and consistently used by them
PPE
No PPE and employees have direct contact with high volume hazardous material (Example: Spray painting without local ventilation and respirator)
Well stocked first aid kits provided in all areas for every 100 employees Accident or injury record maintained Legally required clinic maintained on-site; Qualified medical personnel provide reputable medical care; Proper needle disposal maintained Detailed medical records maintained; Proper medical waste management Adequate number of functional fire equipment Equipment properly labeled and mounted All areas have at least 2 unlocked, easily accessible exits that open outward and are marked by exit signs and emergency lights
No fire equipment (pervasive); Majority are non-functional No secondary exits (pervasive) Exits locked (pervasive)
Emergency Pathways
Oppressive temperatures -- heat/cold Hazardous material, e.g. dust/ chemical, workstation without local ventilation Observable structural flaws which present a serious hazard to employees No machine safety equipment (pervasive) Dangerous equipment (Pressing machine with out protective equipment) Exposed wiring or panel nearby workers (immediate hazard to workers)
Blocked/ congested/ narrow aisles, Aisle not directly leading to emergency exit Yellow evacuation lines not painted on Noise unmonitored; Earplugs not provided; Work more than 8 hours under 85 dB Illumination insufficient for intricacy of work Ventilation insufficient or inadequate
Work floors marked with yellow lines leading toward the exit, all aisles and work stations clear of obstructions and allowing easy movement Employees not subject to noise louder than 85 Dbl for 8 hours Illumination sufficient Ventilation sufficient and temperatures controlled Facility appears to be well cared for and in safe condition All machine safety devices are installed on machines Electrical cords are in safe condition; Electrical panels are covered and labeled
MSDS
Restrooms
Kitchen/Canteen
Severe vermin or insect infestation or severely unsanitary; Improper/unsanitary handling or storage of food by cafeteria workers
Facility not maintained to local standards. Serious uneven or broken floor/ structure Some machine safety equipment missing. No/ missing pulley guard on sewing machine or other similar machinery. Electrical panels not labeled; Panels not covered; Exposed and/or dangerous electrical wiring; Tripping or overhead hazard; Not three prong grounded or Not one length continuous wiring No secondary containment, Chemicals not covered, labeled No separate/ designated chemical storage areas Inadequate electricity fixture or ventilation in chemical storage No/ missing MSDS MSDS not posted in chemical use or storage areas Not in local language No MSDS training/ training record Restrooms not sanitary No supplies provided Missing supplies (TP, soap, paper hand towels) Insufficient in number Poor ventilation or illumination No privacy inside Not separated by gender No secondary exit; No exit lights or signs; No fire equipment; No first aid kit; Missing or non functional refrigerator; No health license or employee certification (if law requires) Soap not provided to wash plates, utensils, etc. Unsanitary conditions (not severe)
Chemicals stored in a dedicated chemical storage area with a fire door, fire extinguishers, secondary containment etc.
Restrooms separated by gender, have privacy stalls, are sufficiently sanitary, well illuminated and ventilated, provided with clean running water, toilet paper, soap, paper hand towels and cleaned at least daily
Canteen has sufficient seating for all employees, is sanitary, has a functional refrigeration unit and equipped with fire extinguishers, exit signs and emergency lights; food properly handled; health license and employee certification maintained (if required by law)
Proper hazardous waste management with all required permits and/or licenses appearing to be current and valid
Pollutant is directly discharged into environment Pollutant is directly discharged into environment
Waste treatment facility but lack of certificate or passed sample test result Waste treatment facility but lack of certificate or passed sample test report Trash dumped into open outside area (not controlled) Inadequate building conditions No attached handrails in stairwells Inadequate lighting and temperature Licenses and/or permits to install the dormitories have not been obtained Inadequate fire equipment Missing some fire equipment Fire equipment is not marked, is not accessible, and is not serviced Evacuation routes are not designated and marked or ees are too far from 1 or both exits Evacuation and fire training is not provided Emergency lights are not installed Evacuation plot plan is not implemented No first aid kits implemented First aid kits not stocked or locked Electrical control panels not labeled or blocked or exposed. Exposed wiring Unsanitary conditions in restrooms; Restrooms are not stocked with running water, and supplies; Restrooms/Showers are not separated by gender; Inadequate number of restrooms; Potable water is not available; No privacy in toilets/showers; No hot water available for bathing; Inadequate/ poor ventilation Incomplete or not clean kitchen/food preparation area; No license/ employee no health cert. (if legal requirement); No refrigerator, improper food storage, food on floor; Cooked food is not covered; Cooked food and raw food not separated Curfew with no disciplinary actions; Inadequate security guards behavior; Inadequate information to employees in regards of dormitories rules; Inadequate number of populace in one room; Dormitories are not separated by gender
Proper waste treatment facility with certificate and passed sample test report (if applicable) Proper waste treatment facility with certificate and passed sample test report (if applicable) Outside environment is free of trash and is maintained in good condition Structure provides adequate shelter Handrails installed in stairwells and applicable passages Building is well lit All licenses are in place Fire equipment is available, accessible, marked and serviced. Evacuation routes are properly marked and accessible Evacuation and fire training is provided twice a year Emergency lights are installed Evacuation plot plan is posted
Egregious hazardous building conditions The dormitories are located near or where explosive, inflammable or combustible material is handled or stored No fire equipment No secondary evacuation exit or route No fire alarm installed
Egregious electrical hazardous conditions Stocked first aid kits available Electrical control panels accessible and marked
Restrooms and showers are in acceptable sanitary conditions; Facilities are stocked with supplies and running water; Adequate number of restrooms and showers; Drinking water is available at all times
Kitchen/ Canteen
No fire equipment in kitchen; No secondary exit or insufficient secondary exit Unsanitary food preparation or eating area
Kitchen area is clean and provides refrigeration unit, and table ware, fire equipment, maintains proper food storage and health license and certifications (if required)
Human Rights
Curfew disciplinary actions; Electricity shut off to enforce curfew; Personal liberties are not respected; Illegal or excessive deductions for housing; Excessive and abusive security policies implemented; Excessive populace in one room;
No curfew is implemented; Security guards respect employees personal liberties; Employees are informed properly of housing accommodations rules, cost and conditions; Adequate populace designated in each dormitory; Dormitories are gender separated;
Employees are not free to find independent housing if desired; Employer restricts the freedom of meetings; Standards of dormitories vary according to the race or ethnic background of the workers