Supplier Assessment Protocol

This is an independent and anonymous survey by Consultivo

Date

Name of Factory

Address

Facilitator’s Name

Completed by

Designation

Signature

Constitution

Product Category

Capacity [pcs/month]

No of machines

Entire Company Limited number of facilities/units Supply Chain

Current Utilized Capacity [%]

Markets

Social Compliance audits in last 6 months

Yes No

Any valid certifications [SA 8000 / WRAP / supplier audit etc.]

Other

On Roll Adult Workers (Male)

On Roll Adult Workers (Female)

On Roll Adult Workers (Total)

Contract Adult Workers (Male)

Contract Adult Workers (Female)

Contract Adult Workers (Total)

Support Services Adult Workers [Housekeeping/Security/Canteen etc.] (Male)

Support Services Adult Workers [Housekeeping/Security/Canteen etc.] (Female)

Support Services Adult Workers [Housekeeping/Security/Canteen etc.] (Total)

Young Workers [aged between 15 – 18] (Male)

Young Workers [aged between 15 – 18] (Female)

Young Workers [aged between 15 – 18] (Total)

Total Worker Strength (Male)

Total Worker Strength (Female)

Total Worker Strength (Total)

Is there a written policy prohibiting child labour?

Yes No

Comments (supporting documents upload)

Concerning the recruitment of workers is there a procedure for verifying the ‘proof of age’ to prevent employment of a child worker? Pls list the different types of age proof documents maintained. Recruitment means – interviews, documents check before joining, trial period etc

Yes No

Comments (supporting documents upload)

Is there a system to regulate the employment of young persons, including conditions of their employment? Regulation means – period of work, certificate of fitness, working conditions etc

Yes No

Comments (supporting documents upload)

Is there any remedial procedure if a young or child worker is hired unknowingly or unintentionally?

Yes No

Comments (supporting documents upload)

Is there a written policy on Freedom of association and right to collective bargaining?

Yes No

Procedure for training and communicating to workers about their rights (grievance redress mechanisms, settlement of industrial disputes) during induction and employment cycle i) Workers informed about works committee /grievance committee ii) Standing orders iii) Open door policy / suggestion boxes iv) Policy displayed in local language

Yes No

Is there a system to Identify and maintain all applicable statutory / legal records and complaint registers? 1. Works committee and grievance register 2. Records of suggestions /complaints and its redressal 3. Records of Complaints and enquiry and resolutions of complaints

Yes No

Do employees, without distinction, have the right to join or form trade unions or works committees? The right to join or form a trade union and collective bargaining policy has been formulated.

Yes No

Does the employer ensure that union members or such committees or any person engaged in organizing employees are not subjected to discrimination, harassment, intimidation or retaliation for being union members, representative(s) of employees or engaged in organising workers?

Yes No

Does the employer avoid involuntary settlement for indigenous people?

Yes No

Do indigenous peoples have the right to own, use, develop, and control the lands, territories and resources that they possess by reason of traditional ownership or other traditional occupation or use, as well as those which they have otherwise acquired?

Yes No

Does the development process foster full respect for the dignity, human rights, aspirations, cultures, and natural resource-based livelihoods of Indigenous People?

Yes No

Will the affected communities of Indigenous People be informed of their rights with respect to these lands under national laws, including any national law recognizing customary rights or use?

Yes No

LAND RIGHTS - Are the rights and title to the property and land of the individual and local communities, including indigenous populations, respected? There is no zero tolerance for land grabbing

Yes No

Where involuntary resettlement is unavoidable, it is desired to carry out a census with appropriate socio-economic baseline data to identify the persons who will be displaced by the project, to determine who will be eligible for compensation and assistance, and to discourage the inflow of people who are ineligible for these benefits. In the absence of host government procedures, the client will establish a cut-off date for eligibility. Is the Information regarding the cut-off date well-documented and disseminated throughout the project area?

Yes No

Are wages paid regularly and promptly? Untimely payment of remuneration is a type of exploitation and in order to prevent this, legislation came into force

Yes No

To achieve social justice for women workers(including migrant workers) is there a provision under this act for the well-being of the women migrant workers pre and post their pregnancy?

Yes No

Are benefits such as duties and obligations of contractors, welfare facilities etc., that need to be provided to the workers,duly extended?

Yes No

Is there a written Policy on Harassment and abuse?

Yes No

Is there a procedure for creating awareness and training all persons employed, on the anti-sexual harassment and other forms of abuse policy during induction and employment cycle? [Example: i) Prominent display of policy, ii) Anti-sexual harassment Committee]

Yes No

Is there a Mechanism of Reporting of Complaint and Grievance and its subsequent redressal by management to be accessible and understandable to all persons employed? i) Display of Standing orders with escalating disciplinary actions ii) Different committee like Ant sexual harassment / Grievance committee / complaint committee iii) Functioning of complaint redressal by these committees.

Yes No

Is there a process of Identifying potential conditions of harassment and abuse and taking adequate preventive measures? [Example: i) Supervisor using abusive language as a culture however not accepted by migrant workers, ii) frisking / searching by in-appropriate gender]

Yes No

Does the establishment discriminate against any person with disability?

Yes No

Does the establishment provide reasonable accommodation and appropriate barrier free and conducive environment to employees with disability?

Yes No

Are incentives given to employers to ensure five percent of the workforce is composed of persons with disabilities?

Yes No

Is there a Written policy on prohibition of bonded labour and forced labour?

Yes No

Is there a procedure for training and creating awareness amongst all persons employed (especially those employed on selection procedure) on bonded and forced labor conditions during induction and employment cycle?

Yes No

Are there rules regulating wage distribution, and managing and monitoring loans & advances and preventing any conditions of bonded labor or forced labor to arise? These relate to: wages paid on time, any advance/loan if given limits of deduction in case of advance/loan, leave benefits provided All dues are settled on time during exit

Yes No

Are there conditions/legal provisions that could be construed as bonded labor or forced labor, taking appropriate actions for prevention? i)Freedom of movement to washrooms, drinking water etc. , ii) workers allowed to leave factory during the rest periods and end of defined work hours

Yes No

Give a description of how the organization interacts with water, including how and where water is withdrawn, consumed, and discharged, and the water-related impacts caused or contributed to, or directly linked to the organization’s activities, products or services by a business relationship

Give a explanation of the process for setting any water-related goals and targets that are part of the organization’s management approach, and how they relate to public policy and the local context of each area with water stress.

Give an account of Basic services' requirements which refer to minimum space, supply of water, adequate sewage and garbage disposal system, appropriate protection against heat, cold, damp, noise, fire, and disease-carrying animals, adequate sanitary and washing facilities, ventilation, cooking and storage facilities and natural and artificial lighting, and in some cases basic medical services.

Is there a written Policy on Health and safety?

Yes No

Are all applicable statutory / legal records and registers Identified and maintained? i) Accident register ii) First aid certificates iii) Drinking water test report iv) Noise test report v) MSDS for all chemicals vi) Fire NOC vii) Pressure vessel examination viii) Safety officer / welfare officer as applicable

Yes No

Analyse a) Health & safety risks relating to i) Areas of risk like chemical area [compatible chemicals], hazardous chemicals and its handling ii) fire safety [evacuation plan, emergency light, fire extinguishers, signage etc] ii) Electrical applications safety iii) Machine maintenance and safety iv) General safety including structure, drinking water, restrooms, canteen / crèche / ambulance room [if applicable] etc v) adequate ventilation / no overcrowding

Analyse b) Identifying measures by i) Root cause analysis s for accidents [major / minor] ii) Training needs identified [Trainees / Trainer] iii) Recording of accident occurrence and preventive action iv) Recruitment of health and safety officer [if applicable] v) Machinery and electrical appliances fenced.

Analyse c) Procedure / steps for implementation of the measures like i) Planning conducted for trainings related to chemical handling, fire, first aid etc ii) Personal protective equipment’s provided iii) safety guards provided on machinery iv) chemicals stored separately ii) Trainings conducted.

The organizations shall develop and implement a non-interference policy that clearly defines what amounts to an infringement of privacy in the workplace and the consequences of engaging in such behavior. The policy should also outline the procedures for reporting and investigating incidents of in reference , and the support that is available to victims.

Is the organization failing to protect the confidentiality of personal data held about employees or contract workers, customers or other individuals?

Yes No

Is there a written Policy on Discrimination ?

Yes No

Discuss measures for training and creating awareness amongst all employees during induction and employment cycle with regards to a) selection procedure i) Workforce [contract / permanent/trainee/piece rate etc.] ii) job description iii) Training needs, iv) pregnancy/HIV testing b) equal opportunity i) equal pay for equal value of work ii) equal opportunity to work overtime, iii) equal opportunity for promotions c) non-discriminatory practices relating to i) Nursing breaks / rest period for nursing mothers, ii) Light work/ safe environment for pregnant ladies, iii) special provisions for disable people, iv) same job after pregnancy

Yes No

Is there Grievance Redressal, which is understood and accessible to all persons employed, for any concerns that may arise on an action that violates anti-discrimination laws and practices Grievance Committee Standing orders defining redressal procedures Communication methods e.g. suggestion boxes?

Yes No

Is there a written Policy on ensuring wages and benefits to all persons employed?

Yes No

Identify conditions (human, machine and material) that may have an impact on hours of work and recording action taken. Conditions : i) delay in order receipt or approvals, ii) urgent business needs [late pilot approval / material delivery etc] b) Action:[Example like…] i) Overtime hours more than limit and paid as per law ii) Rest day work and paid as per law iii) recruitment of additional work force and paid as per law

Address issues/ complaints on discrepancy in wages and deductions

Is there payment of wages on time and according to the hours of work performed?

Yes No

Does the organization Identify and maintain all applicable statutory / legal records and registers i) Wages register ii) Challans for ESI/PF iii) Wages slips (ensure payslip is given to all) iv) Leave records?

Yes No

Does the employer respect the right of personnel to a living wage of all workers and ensure that wages for a normal work week of all workers shall always meet at least legal or industry minimum standards?

Yes No

It shall be sufficient to meet the basic needs of personnel and to provide some discretionary income. Equal work is remunerated with equal pay. (Please ensure if food basket survey is calculated).Discuss.

Yes No

Organization must have a written policy on Slavery in any form, which should be communicated to all employees. The policy should also be regularly reviewed and updated to ensure its effectiveness.Discuss.

Organization shall provide training to all kinds of employees on what constitutes slavery, how to prevent it, and how to report it. The training should be provided on a regular basis and should be tailored to the specific needs of the organization and its employees.Discuss

General Information

Date

Name of Factory

Address

Facilitator’s Name

Completed by

Designation

Signature

General Information

On Roll Adult Workers (Male)

On Roll Adult Workers (Female)

On Roll Adult Workers (Total)

Contract Adult Workers (Male)

Contract Adult Workers (Female)

Contract Adult Workers (Total)

Support Services Adult Workers [Housekeeping/Security/Canteen etc.] (Male)

Support Services Adult Workers [Housekeeping/Security/Canteen etc.] (Female)

Support Services Adult Workers [Housekeeping/Security/Canteen etc.] (Total)

Young Workers [aged between 15 – 18] (Male)

Young Workers [aged between 15 – 18] (Female)

Young Workers [aged between 15 – 18] (Total)

Total Worker Strength (Male)

Total Worker Strength (Female)

Total Worker Strength (Total)

General Information

1. Constitution

2. Product Category

3.a. Capacity [pcs/month]

3.b. No of machines

Entire Company Limited number of facilities/units Supply Chain

4. Current Utilized Capacity [%]

5. Markets

Export Domestic Both

6. Social Compliance audits in last 6 months

Yes No

7. Any valid certifications [SA 8000 / WRAP / supplier audit etc.]

Yes No

If SA-8000 Certificate Upload

8. Other

Principle 1: No Child Labour

1.1 Is there a written policy prohibiting child labour?

Comments (supporting documents upload)

1.2 Concerning the recruitment of workers is there a procedure for verifying the ‘proof of age’ to prevent employment of a child worker? Pls list the different types of age proof documents maintained. Recruitment means – interviews, documents check before joining, trial period etc

Comments (supporting documents upload)

1.3 Is there a system to regulate the employment of young persons, including conditions of their employment? Regulation means – period of work, certificate of fitness, working conditions etc

Comments (supporting documents upload)

1.4 Is there any remedial procedure if a young or child worker is hired unknowingly or unintentionally?

Comments (supporting documents upload)

Principle 2:Freedom of Association and Right to Collective Bargaining

2.1 Is there a written policy on Freedom of association and right to collective bargaining?

2.2 Procedure for training and communicating to workers about their rights (grievance redress mechanisms, settlement of industrial disputes) during induction and employment cycle i) Workers informed about works committee /grievance committee ii) Standing orders iii) Open door policy / suggestion boxes iv) Policy displayed in local language

2.3 Is there a system to Identify and maintain all applicable statutory / legal records and complaint registers? 1. Works committee and grievance register 2. Records of suggestions /complaints and its redressal 3. Records of Complaints and enquiry and resolutions of complaints

2.4 Do employees, without distinction, have the right to join or form trade unions or works committees? The right to join or form a trade union and collective bargaining policy has been formulated.

2.5 Does the employer ensure that union members or such committees or any person engaged in organizing employees are not subjected to discrimination, harassment, intimidation or retaliation for being union members, representative(s) of employees or engaged in organising workers?

Principle 3:Rights of Indigenous people

3.1 Does the employer avoid involuntary settlement for indigenous people?

3.2 Do indigenous peoples have the right to own, use, develop, and control the lands, territories and resources that they possess by reason of traditional ownership or other traditional occupation or use, as well as those which they have otherwise acquired?

3.3 Development process fosters full respect for the dignity, human rights, aspirations, cultures, and natural resource-based livelihoods of Indigenous People.

3.4 The affected communities of Indigenous People will be informed of their rights with respect to these lands under national laws, including any national law recognizing customary rights or use

Principle 4: Land Rights and Resettlement

4.1 LAND RIGHTS - Are the rights and title to the property and land of the individual and local communities, including indigenous populations, respected? There is no zero tolerance for land grabbing

4.2 Where involuntary resettlement is unavoidable, it is desired to carry out a census with appropriate socio-economic baseline data to identify the persons who will be displaced by the project, to determine who will be eligible for compensation and assistance, and to discourage the inflow of people who are ineligible for these benefits. In the absence of host government procedures, the client will establish a cut-off date for eligibility. Is the Information regarding the cut-off date well-documented and disseminated throughout the project area?

Principle 5:Right of the migrant labour

5.1 Are wages paid regularly and promptly? Untimely payment of remuneration is a type of exploitation and in order to prevent this, legislation came into force

5.2 To achieve social justice for women workers(including migrant workers) is there a provision under this act for the well-being of the women migrant workers pre and post their pregnancy?

5.3 Are benefits such as duties and obligations of contractors, welfare facilities etc., that need to be provided to the workers,duly extended?

Principle 6: Non Harassment

6.1 Is there a written Policy on Harassment and abuse?

6.2 Is there a procedure for creating awareness and training all persons employed, on the anti-sexual harassment and other forms of abuse policy during induction and employment cycle? [Example: i) Prominent display of policy, ii) Anti-sexual harassment Committee]

6.3 Is there a Mechanism of Reporting of Complaint and Grievance and its subsequent redressal by management to be accessible and understandable to all persons employed? i) Display of Standing orders with escalating disciplinary actions ii) Different committee like Ant sexual harassment / Grievance committee / complaint committee iii) Functioning of complaint redressal by these committees.

6.4 Is there a process of Identifying potential conditions of harassment and abuse and taking adequate preventive measures? [Example: i) Supervisor using abusive language as a culture however not accepted by migrant workers, ii) frisking / searching by in-appropriate gender]

Principle 7: Rights of the persons with disabilities

7.1 Does the establishment discriminate against any person with disability?

7.2 Does the establishment provide reasonable accommodation and appropriate barrier free and conducive environment to employees with disability?

7.3 Are incentives given to employers to ensure five percent of the workforce is composed of persons with disabilities?

Principle 8: No forced and bonded labour

8.1 Is there a Written policy on prohibition of bonded labour and forced labour?

8.2 Is there a procedure for training and creating awareness amongst all persons employed (especially those employed on selection procedure) on bonded and forced labor conditions during induction and employment cycle?

8.3 Are there rules regulating wage distribution, and managing and monitoring loans & advances and preventing any conditions of bonded labor or forced labor to arise? These relate to: wages paid on time, any advance/loan if given limits of deduction in case of advance/loan, leave benefits provided All dues are settled on time during exit

8.4 Are there conditions/legal provisions that could be construed as bonded labor or forced labor, taking appropriate actions for prevention? i)Freedom of movement to washrooms, drinking water etc. , ii) workers allowed to leave factory during the rest periods and end of defined work hours

Principle 9: Right to clean air and water

9.1 Give a description of how the organization interacts with water, including how and where water is withdrawn, consumed, and discharged, and the water-related impacts caused or contributed to, or directly linked to the organization’s activities, products or services by a business relationship

9.2 Give a explanation of the process for setting any water-related goals and targets that are part of the organization’s management approach, and how they relate to public policy and the local context of each area with water stress.

9.3 Give an account of Basic services' requirements which refer to minimum space, supply of water, adequate sewage and garbage disposal system, appropriate protection against heat, cold, damp, noise, fire, and disease-carrying animals, adequate sanitary and washing facilities, ventilation, cooking and storage facilities and natural and artificial lighting, and in some cases basic medical services.

Principle 10: Health and Safety

10.1 Is there a written Policy on Health and safety?

10.2 Are all applicable statutory / legal records and registers Identified and maintained? i) Accident register ii) First aid certificates iii) Drinking water test report iv) Noise test report v) MSDS for all chemicals vi) Fire NOC vii) Pressure vessel examination viii) Safety officer / welfare officer as applicable

10.3 Analyse a) Health & safety risks relating to i) Areas of risk like chemical area [compatible chemicals], hazardous chemicals and its handling ii) fire safety [evacuation plan, emergency light, fire extinguishers, signage etc] ii) Electrical applications safety iii) Machine maintenance and safety iv) General safety including structure, drinking water, restrooms, canteen / crèche / ambulance room [if applicable] etc v) adequate ventilation / no overcrowding

10.3 Analyse b) Identifying measures by i) Root cause analysis s for accidents [major / minor] ii) Training needs identified [Trainees / Trainer] iii) Recording of accident occurrence and preventive action iv) Recruitment of health and safety officer [if applicable] v) Machinery and electrical appliances fenced.

10.3 Analyse c) Procedure / steps for implementation of the measures like i) Planning conducted for trainings related to chemical handling, fire, first aid etc ii) Personal protective equipment’s provided iii) safety guards provided on machinery iv) chemicals stored separately ii) Trainings conducted.

Principle 11: Right to privacy

11.1 The organizations shall develop and implement a non-interference policy that clearly defines what amounts to an infringement of privacy in the workplace and the consequences of engaging in such behavior. The policy should also outline the procedures for reporting and investigating incidents of in reference , and the support that is available to victims.

11.2 Is the organization failing to protect the confidentiality of personal data held about employees or contract workers, customers or other individuals?

Principle 12: Equal Opportunity and Non Discrimination

12.1 Is there a written Policy on Discrimination ?

12.2 Discuss measures for training and creating awareness amongst all employees during induction and employment cycle with regards to a) selection procedure i) Workforce [contract / permanent/trainee/piece rate etc.] ii) job description iii) Training needs, iv) pregnancy/HIV testing b) equal opportunity i) equal pay for equal value of work ii) equal opportunity to work overtime, iii) equal opportunity for promotions c) non-discriminatory practices relating to i) Nursing breaks / rest period for nursing mothers, ii) Light work/ safe environment for pregnant ladies, iii) special provisions for disable people, iv) same job after pregnancy

12.3 Is there Grievance Redressal, which is understood and accessible to all persons employed, for any concerns that may arise on an action that violates anti-discrimination laws and practices Grievance Committee Standing orders defining redressal procedures Communication methods e.g. suggestion boxes?

Principle 13: Fair Wages and Living Wages

13.1 Is there a written Policy on ensuring wages and benefits to all persons employed?

13.2 Identify conditions (human, machine and material) that may have an impact on hours of work and recording action taken. Conditions : i) delay in order receipt or approvals, ii) urgent business needs [late pilot approval / material delivery etc] b) Action:[Example like…] i) Overtime hours more than limit and paid as per law ii) Rest day work and paid as per law iii) recruitment of additional work force and paid as per law

13.3 Address issues/ complaints on discrepancy in wages and deductions

13.4 Is there payment of wages on time and according to the hours of work performed?

13.5 Does the organization Identify and maintain all applicable statutory / legal records and registers i) Wages register ii) Challans for ESI/PF iii) Wages slips (ensure payslip is given to all) iv) Leave records?

13.6 a. Does the employer respect the right of personnel to a living wage of all workers and ensure that wages for a normal work week of all workers shall always meet at least legal or industry minimum standards?

13.6 b. It shall be sufficient to meet the basic needs of personnel and to provide some discretionary income. Equal work is remunerated with equal pay. (Please ensure if food basket survey is calculated).Discuss.

Principle 14: No Contemporary Form of Slavery

14.1 Organization must have a written policy on Slavery in any form, which should be communicated to all employees. The policy should also be regularly reviewed and updated to ensure its effectiveness.Discuss.

14.2 Organization shall provide training to all kinds of employees on what constitutes slavery, how to prevent it, and how to report it. The training should be provided on a regular basis and should be tailored to the specific needs of the organization and its employees.Discuss

Supplier Assessment Protocol

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ESG Materiality Assessment Training