Guía de Buenas Prácticas - SMETA 6.0

Sedex Members Ethical Trade Audit (SMETA)
Corrective Action Guidance

(Version 1.2 Guidance initially for Sedex members only, June 2010)
This guidance document for possible corrective actions following a SMETA audit has been developed by the current members
of the Sedex Associate Auditor Group (AAG). It has been designed to support the Sedex Members Ethical Trade Audit
(SMETA) process.
This corrective action guidance document is intended as a supplement to the wide level of knowledge and experience already
present within our Sedex members. It is not intended to be used as a stand alone document, nor is it presented as mandatory
corrective actions. Rather it is taken from the knowledge and experience of the AAG and the wider membership and is presented as
“guidance, written by members for members.
Sedex Members Ethical Trade Audit (SMETA) Corrective Action Guidance (Version 1.2, June 2010)
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SMETA Corrective Actions Guidance su
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Executive summary
BACkGRound
This document has been developed to suggest a common approach to corrective actions following a SMETA audit. It is intended to be a consultative document
and we recognise that the possible solutions listed are not exhaustive, nor can they always represent the best of “good practice”. However it does represent the
combined knowledge and experience of some members of the AAG as well as a wider selection of Sedex members and we are grateful for their input.
Corrective Action Guidance is a partner document to the previously published non compliance Guidance and is an answer to a request from Sedex members to
give some ideas on “what good looks like “.
It is intended that this information will support the SMETA process but other members may find it useful in supporting their own social audit process. We welcome
any feedback from a wide range of stakeholders.
There are many ways to arrive at corrective actions, and supplier members are encouraged to work with their customers to achieve mutually acceptable solutions.
We hope this document will support that dialogue.
It is intended to promote greater consistency of audit process, and to promote convergence in social auditing by giving both the auditor and supplier some
suggested guidance during their discussions on corrective actions.
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ConTEnTS mm
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The issues listed are detailed under each element of a labour standards code and they aim to cover the majority of non compliances found at audit.
Issues listed are specific to SMETA and they are restricted to those titles found in the Sedex system. The titles used are exactly as those found in the
non compliance Guidance document, and this Corrective Action document attempts to support supplier, auditor and customer as they move to the
important phase of correcting the non compliances found at audit.
using member’s experiences the short term corrective actions have been listed as 2 levels:
l Short term corrective action (to be done immediately to correct non-compliance)
l Long term corrective action (for continuous improvement of working conditions)
These are not intended as exhaustive, or prescriptive suggestions but they may be helpful in supporting a discussion within the supply chain of how improvements
can be made.
Sedex does not create policy and it is up to each member to decide how best to use this information. It is also up to each member/supplier to decide at which level
they wish to be, and how quickly they agree to get there.
It does not seek to replace members existing processes but rather to supplement them where members find it useful.
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The corrective actions listed are suggestions only and not intended to be prescriptive. There are many ways to make improvements and in most
cases the best is a “local solution to a local issue” Where supply chains can add to this document we welcome their input.
This document is intended to support discussions between supplier/auditor/customer but not to replace them. It cannot take account of all local conditions and
laws, and therefore the corrective actions discussed between auditor and supplier at the closing meeting should take precedence. Both auditor and supplier may
override these guidelines at their discretion.
The document may also be useful in preparing a supplier for an Ethical Trade Audit. Common problems may be useful as a check list when a supplier examines his
own policies and practices in preparation for an audit. Possible solutions and short term corrective actions may give ideas on how any issues identified may be
corrected prior to audit.
Issues:
These are taken from the Sedex web site of issue titles and aim to cover the majority of items found at audit. It should be possible for Sedex
members/auditors/suppliers to use these tables to start a discussion on possible corrective actions.
If users find that insufficient titles exist we welcome their feedback on potential new additions.
Short term corrective actions:

In all cases this should be considered as achieving at least agreement with local law,. Since laws vary around the world the short term corrective actions attempt to
take account of broad guidance on global laws which govern the issues listed. As businesses develop suppliers are more aware of the pressure to meet
international standards and for many suppliers the standards they are achieving are above the local law. The short term corrective actions therefore include
members experiences on what may have become an industry norm.
Long term corrective actions:

As suppliers and customers work together on continuous improvement programmes, there are many examples where suppliers have exceeded local norms and
achieved standards considered to represent good practice. using knowledge gained from the membership this column defines some of these. It cannot be
exhaustive and suppliers are encouraged to develop their own solutions to the challenge for “good examples“.
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APPLICATIon mm
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SMETA guidance and report formats provide auditors with a template for conducting ethical trade audits that will meet the requirements of multiple
retailers and brand members of Sedex.
Companies who are not members of Sedex are able and encouraged to use SMETA as well, and to feedback any comments or suggestions for improvements.
REVIEW
This common approach to corrective actions has been created by the members of the Sedex Associate Auditor Group with input from the wider Sedex
membership, many of whom have experienced ethical audits. It is a consultation document and we welcome any comments/feedback on its usefulness or content.
ConTACT uS
Companies who are not members of Sedex are also able and encouraged to use SMETA, and we welcome any feedback on the SMETA documents. Please e-mail
info@sedex.org.uk or for more information on Sedex please go to www.sedex.org.uk.
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Contents Pg Contents Pg en
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CoRRECTIVE ACTIonS BY CLAuSE
1a Employment freely chosen 7 4a Child labour 43
1b Employment freely chosen – corrective actions 10 4b Child labour – corrective actions 46
2a Freedom of association 15 5a Wages and benefits 52
2b Freedom of association – corrective actions 17 5b Wages and benefits – corrective actions 56
3a Health and safety 23 6a Working hours 61
3b Health and safety – corrective actions 26 6b Working hours – corrective actions 63
3.1b Fire safety – corrective actions 26 7a discrimination 66
3.2b Buildings – corrective actions 30 7b discrimination – corrective actions 68
3.3b Management systems – 8a Regular employment 71

corrective actions 31
8b Regular employment – corrective actions 73
3.4b Chemicals – corrective actions 32
9a discipline 77
3.5b Accommodation – corrective actions 33
9b discipline – corrective actions 79
3.6b Worker health – corrective actions 35
6
1a
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1a. An Introduction to Employment is Freely Chosen
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REquIREMEnTS
For all suppliers it is a MInIMuM REquIREMEnT to meet the local and national laws. It is expected that, where international standards are not being met, suppliers
agree to work towards the accepted international standard.
For information only, a brief summary of the international standard is listed below. For more detailed information please check on your clients’ requirements.
There should be no forced, bonded or involuntary prison labour. Workers should not be required to lodge ‘deposits‘ or identity papers with the employer and will be
free to leave employment any time after giving reasonable notice.
GuIdAnCE To Good EMPLoYMEnT FREELY CHoSEn PRACTICES

When employment is not freely chosen it is termed ‘forced labour’. Forced labour is defined as the situation when work is carried out under the threat of penalty, so
that workers do not have a choice about whether or not to work.
Requiring workers to pay deposits when they first enter the workforce is similarly classified as forced labour. These deposits may include cash payments or a
deduction from the workers first pay packet.
Preventing workers from leaving an employer when they wish to terminate their contract after the agreed notice period, is also considered as not allowing the
worker a choice of whether or not to work.
Common problems:
The following represent some common issues found which would be classed as forced labour
l Charging the worker for obtaining a job either directly or through a third party such as an employment agent.
l Taking deposits from a worker at the start of employment either in cash, or as a deduction from their wage packet.
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l deposits taken for tools, personal protective equipment, provision of accommodation, or deposit for any item which a worker needs in re
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order to do their job. cho
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l original identity documents held, thus preventing free movement of the worker.
l Preventing workers from leaving their place of work and/or accommodation if provided, at any time when not working.
l overtime not voluntary.
l notice periods which exceed the legal maximums.
l Loans which tie a worker to their employment.
l Wages held back and not paid at the required legal intervals.
l non payment of benefits or wages when a worker leaves their employment.
l Fines for disciplinary reasons which are not permitted by law.
l In some countries it is a legal obligation to employ prisoners. Any prisoners employed must receive the same wages and benefits as the non-prison labour.
Possible Solutions
develop systems
l Correct procedures and checks should be in place to ensure that no worker works against their will.
l Workers should have a contract of employment which clearly sets out pay (standard and overtime rate), hours, benefits, and required notice period. Written
contracts should be explained and be understood prior to agreement by workers.
l There should be a procedure where workers can refuse to do overtime without threat of penalty.
l The system of checking Id’s should clearly state that only copies can be held and the original must be returned to the worker. In a country where the law
requires an employer to hold the original Id for e.g. registration purposes of foreign workers, the worker must be given a receipt for their Id, and it must be
returned as soon as possible.
l Ensure that payment systems prevent the withholding of any wages at any time. This includes withholding to the end of a contract, or partly withholding to pay
as a bonus.
l Ensure that when workers leave employment, especially if the law allows payment in arrears, that they are paid everything the are entitled to in wages and
benefits.
l If loans are a common and continuing practice ensure there is a system in place to check that the worker can pay the monthly repayments without financial
hardship and that the outstanding loan does not tie them to their employment.
l Any system of fines must be permitted by law and fully understood by the workers. International standards require that no deductions are made for disciplinary
reasons.
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Check practices re
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l Ensure that no deposits are kept from workers either for work items, as a late bonus or as delayed wages. cho
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l Check that no original identity documents are retained and that staff who are recruiting workers understand this requirement.
l When loans are made to workers ensure that they fully understand the terms and conditions of payment and that these are documented. It may be
possible to have a ‘loans committee‘ taken from peers within the workforce. They can be responsible for agreeing terms with the worker and acting as a
check on fair treatment.
l Ensure that workers are free to leave when their shift ends and that exit doors are unlocked at all times when people are working.
l Any searches done must not be discriminatory and be carried out in accordance with the law and must not delay workers from leaving their place of work.
l Check that workers are able to leave after the required legal notice period and that on leaving they receive all their pay and benefits due.
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1b: Employment freely chosen – corrective actions
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For all suppliers it is a MInIMuM REquIREMEnT to meet the local and national law. It is expected that where international standards are not being ns sen
met that suppliers will agree to work towards the accepted international standard.
For information only, a brief summary of the international standard is stated below. This should be used as guidance only as the actual standard should be as per
customer requirement.
There should be no forced or bonded labour, or involuntary prison labour. Workers should not be required to lodge ‘deposits’ or identity papers with the employer
and will be free to leave employment any time after giving reasonable notice.
Possible verification evidence:

l Evidence that workers are permitted to refuse overtime, for example a system in which workers are able to agree/disagree to do overtime.
l A clause in contracts or employees handbook which informs that overtime may be requested but makes it clear that overtime is voluntary.
Issue Short term corrective action Long term corrective actions
1. Work is not voluntary, for All workers should be working at the site of their own free will and l Inform workers at their induction training of the correct
example, unpaid overtime, all monies paid. recruitment, resignation, and notice period.
bonded, forced or trafficked. l Anyone working overtime must be doing so willingly. l Ensure this training is given to all existing employees.
l Any workers working for a contractor at the site must be l Ensure this training is documented.
doing so willingly. l Identify any agency workers or subcontractors workers
l Ensure there is a clear documented system where a worker on site and assess if they are working voluntarily.
can agree/disagree to do overtime.
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2. Workers who refuse l overtime shall be voluntary and paid at a premium, as per l Include overtime policies in workers
overtime are penalised, for the law. contracts.
example, threats of dismissal, l There shall be no penalty for workers who refuse overtime. l Include information on overtime at the induction
pay cuts, demotion etc. training.
l Ensure there is a procedure for agreeing/disagreeing to do
overtime and that the procedures confirms that there is no l Check that workers understand the situation on
threat of penalty to those workers who refuse overtime. overtime.
l Train the appropriate staff to understand the system.
3. Any involuntary prison l Any prisoners working at the site must be working of their l Factory shall have clear documented
labour. own free will. procedures that manage and control any
l Where prison labour is employed (it may be a legal “Voluntary” prison labour.
requirement) all should be paid at the same rates as non l Factory shall have clear procedures on how to manage
prison labour. any identified “Involuntary” prison labour.
l Factory shall communicate its polices on prison labour to
local prison authorities.
4. Retention by employer or l Workers should not be required to lodge their Id papers with l In the case where it is a legal requirement to hold on to
employment agent of original their employer. Id’s e.g. for registration of foreign workers, ensure that
identification papers and/or l only copies of Id cards can be kept in personnel files and the the worker is given a receipt for them and that they will
passports unless required by originals returned to workers immediately after copying. be given back on request.
law. l Supply secure place where workers can voluntary
l internal procedures are re–written to ensure this practice of
retaining Id’s is not repeated. deposit papers. /Id, in case of possible loss.
l workers clearly understand the procedure and policy on any
retention of Id/papers.
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5. Workers are not allowed to l All workers shall be able to leave facility at end of shift l Security guards where present should be
leave the facility when shifts (unless there is a safety/security risk to the worker). employed to keep intruders out and not keep
end. l Workers should not be searched routinely, and any searches workers in.
must be done in accordance with the law and must allow the l Contracts and job descriptions of security guards should
worker’s right to privacy. confirm this.
l Internal procedures are re–written to ensure this practice is
not repeated.
l Workers clearly understand the procedure and policy on
freedom of movement.
6. Workers are not able to l All workers working on the site should be free to leave their l Contracts should clearly state notice period.
resign from the factory. employment after giving reasonable notice. l Workers should be informed of this before
l Legal requirements for notice periods are likely to be stated commencing employment.
in local law. l Ensure that workers understand their contracts.
l Workers should not be required to sign contracts which
contain unreasonable notice periods.
7. Workers paying deposits l Workers should not pay deposits for e.g. work equipment, l Ensure that all staff are aware that deposits are not
when commence employment. personal protective equipment. required, especially if this has been a previous practice.
l With immediate effect the company should stop charging l Check that all previously paid deposits are re-paid and
workers for employment. Companies policies, contracts and that the repayments are documented.
procedures should be be updated to make clear that there
are no employment fees. Previous deductions should be
refunded to the affected individuals.
l Where deposits are a legal requirement they must be
returned promptly at the end of employment.
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8. unreasonable delays in l Any deposits which are not a legal requirement must be l Where normal pay procedures mean that
payments due to workers repaid to the workers immediately. a worker is unable to collect final wages at
when they leave. l All workers should be paid on time, in line with legal leaving ensure there is a documented system to
requirements. ensure the monies are sent to the correct person.
l Workers must receive all outstanding wages and benefits
when they leave employment in line with normal pay
procedures.
l Wages must not be withheld at the end of a contract or
partly withheld to pay as a bonus.
9. unreasonable notice l Ensure workers clearly understand the procedure on l Inform workers at their induction training of the correct
requirements or financial resignation. recruitment, resignation, and notice
penalties for leaving. l There should be no penalties financial or otherwise for period.
leaving employment after reasonable notice. l Ensure this training is given to all existing employees.
l A worker should not be require to pass on details of any new l Ensure this training is documented.
employment.
l Contracts should state notice periods and they must be
clearly understood and agreed with the worker.
10. Monetary deposits, for l Workers should not be required to pay deposits on any tools
example, for work tools, PPE, or equipment which they need to do their job.
training. l Workers must clearly understand the procedure on any other
deposits.
11. Excessive monetary l Where deposits are allowed by law ensure that the amount is l Factory should have regularly inspect accommodation
deposits for accommodation. reasonable. areas and apply disciplinary procedures if proved that
l There must be evidence on file of a worker’s written consent employees deliberately damage equipment.
to each deduction. l Factory should document and communicate that
deliberate damage to accommodation areas is a
disciplinary offence.
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12. Complete absence of toilet l Workers should have access to toilets and drinking water at l Rest breaks should be documented on
and rest breaks. all times and need not seek permission. contracts, and udertood by the workers.
13. Workers monitored when l Where, for safety reasons they need to make their l Factory shall have clear communicated policy on
they go to toilets. supervisors aware of their absence this is for information and disciplinary action if the system of breaks is abused by
security only not to seek permission. workers.
l Toilet tokens or cards must not be used to restrict the
movement of workers to use the toilets.
l There should be no restrictions in allowing workers to
perform religious obligations.
14. no policy on prison labour. See Number 3
15. no free employment policy. l The site should develop policy called ‘Free Employment l The policy should be clearly documented and all
Policy’ which will cover at least the points listed in numbers personnel should be trained in its meaning.
1-16.
16. Extended probation l In most countries the maximum legal probation period is l Ensure that all workers understand the probation period
period. stated in law. and what they must do to meet the subsequent
l The site should not extend probation period to evade requirements for permanent employment.
offering permanent contract.
l Factory shall have clear procedure on how the probation
period works and this is communicated to all workers.
l In some countries there is an increase in wages at the end of
a probation period. A site should ensure this is paid,
documented and understood by the workers.
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Free
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2a. An Introduction to Freedom of Association As
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REquIREMEnTS
For all suppliers it is a MInIMuM REquIREMEnT to meet the local and national laws. It is expected that where international standards are not being met that
suppliers agree to work towards the accepted international standard.
Workers have the right to join or form trade unions and to bargain collectively. The employer recognises trade unions and does not discriminate against their
activities or members. There is no discrimination against workers’ representatives and they are allowed to carry out representative functions in the workplace.
If freedom of association is restricted under law an employer should facilitate parallel means for free association and bargaining.
GuIdAnCE To Good FREEdoM oF ASSoCIATIon PRACTICES

Freedom of association means allowing workers to form and join trade unions, workers associations, workers councils, or committees of their own choosing. The
purpose is to promote good communication between management and workers. This communication can be an effective two way process, where workers can
raise their concerns with management and vice versa.
These groups need to be free to negotiate with management on behalf of workers on workplace issues and to be able to ‘bargain collectively’. Effective
communication can prevent issues in the workplace escalating, minimising the risk of workplace disruption.
Common problems
l There is no union in the production site and no parallel means to communicate between workers and management.
l union members are discriminated against in the factory.
l Worker representatives are selected by the factory management rather than elected freely by the workers.
l Worker representative committee meetings rarely take place and/or minutes are not taken/made available to workforce.
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Possible solutions
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Procedures cia
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l Workers should be allowed to form or join the trade union of their choice.
l Where there is no union in place management should encourage the formation of a workers’ committee.
l All workers representatives should be democratically elected by the workforce/members of the union.
l Employers/management should meet regularly with the union or committee.
l All meetings should have minutes taken, and the minutes posted where workers can read them (i.e. employee notice board).
l union and committee members should not be treated less favourably than other workers.
l union/worker representatives should be allowed to carry out their duties within working hours without affecting their pay.
What tools can you use to implement Freedom of Association in the workplace
l Ensure there are no policies/processes which either require workers to be union members or ban them from being members i.e. in recruitment or training etc.
l Where unions etc are forbidden by law, implement parallel means of communication where possible e.g. a worker committee; a health and safety committee, or
works council.
l Place a suggestion box in communal area for workers to place their ideas, issues, and make sure they are answered. Suggestion boxes should be located
where they are accessible to all, but not in permanent view of management.
l organise a meeting between the workers and the management to discuss a worker representative committee and facilitate workers electing representatives.
l keep up to date with national and local laws on freedom of association.
Training
l In the employee induction process, make it clear to workers where they should go and whom they should contact if they have a problem, concern or
recommendation at work.
l Ensure a clear reporting structure is in place to record problems, concerns or recommendations when they are raised. In this way management is aware of
issues before they become bigger problems. This will also allow you to feedback to the workforce what actions you have taken to address such issues.
l Ensure all workers have received training on their employment rights.
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2b. Freedom of Association – corrective actions As
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For all suppliers it is a MInIMuM REquIREMEnT to meet the local and national laws. It is expected that where international standards are not being ns ion
met that suppliers agree to work towards the accepted international standard.
Workers have the right to join or form trade unions and to bargain collectively. The employer recognises trade unions and does not discriminate against their
activities or members. There is no discrimination against workers’ representatives and they are allowed to carry out representative functions in the workplace.
If freedom of association is restricted under law an employer should facilitate parallel means for free association and bargaining.
1. Workers who wish to join l Workers can join trade unions/associations and bargain collectively. l In your induction process, tell workers they have the
union or worker committee l Management should engage with workers, via a union or other right to join a union. If you have a union on site, inform
but are unable to do so - parallel means, in order to improve conditions at the production them about this union. If you do not have a union on
and there is a breach of site. site, tell them to contact their local office if they are
national law. interested. The worker is the union member and this
l All sites should have some system to communicate and work with
2. Workers who wish to join membership can be transferred with them wherever
workers (trade union or worker committee).
union or worker committee they work.
and but are unable to do so l You should have a system that allows you and your management
team to engage in meaningful dialogue with your workers on issues l If there is not a union on site (workers may not want to
– and there is no breach of join a union), then you need to make sure there is a
national law ie. Minority of that affect their working lives. This includes pay, hours and other
mechanism for workers to raise issues with you.
workers want to join. aspects of work. The communication system should allow workers:
l To discuss any concerns that workers or trade union officials l In your induction process, make clear to workers where
3. There is no formal
may have. they should go and whom they should contact if they
structure for worker
l To review progress toward meeting workers’ concerns. have a problem, concern or recommendation at work.
representation.
4. Failure to have works l To agree practical solutions to any issues that may have been l In addition to a worker committee/trade union sites may
councils where a legal raised. wish to have alternative systems to understand
requirement. l To assign responsibilities and timelines for actions. thoughts of workers this could include a confidential
l To follow up on any actions agreed in previous meetings. complaints mechanism/worker hotline or a suggestion
box.
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Free corre
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Issue Short term corrective action Long term corrective actions ac ocia
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5. Penalising or l Employers cannot discriminate against workers based on their union l Allow union representatives to have free
discriminating workers or membership; this includes discrimination relating to recruitment, access to your site and workers. union
workers reps in any way for promotion, transfers and training. representatives must respect site H&S and hygiene
seeking to join, joining, l Employers are not allowed to take action that would prevent or deter procedures when coming on site to talk to workers.
being members of, taking employees from becoming union members or making use of union
part in activities of or services.
seeking to establish or be l Workers have the right to refuse to join a union and cannot be
represented by a trade discriminated against for this.
union or worker committee. l If an employee or candidate has been discriminated against due to
6. Consistent refusal of their union membership or non-membership, they may be entitled to
facilities for trade union compensation and/or reconsideration of their employment status.
activities. l unions should be allowed to conduct their activities without
7. Employer interferes with interference.
union decision making or
l All workers are allowed to make use of union services without being
the election or appointment
subject to detrimental treatment from their employers.
of workers representatives.
8. Employer obstructing l Ensure that there is nothing in your recruiting, promotion, transfer or
recruitment activities or training practices that requires employees to be members or not to
be members of a union. This may include practices such as refusing
denying unions reasonable
to recruit people who are members of a union, or forcing staff to join
access for recruitment.
a union in order to be employed.
9. Evidence of a critical
communication breakdown l Review your interview questions to make sure you do not ask
between workers and workers about union membership as this could be seen as a way of
discriminating against union members. once you have offered a
employers which may lead
worker a job, you should then ask them if they are a member of a
to serious conflict or abuse.
union so you can make provision for this.
l Ensure that you do not have any working practices that could hinder
an employee’s right to join a union; this may include practices such
as not allowing workers to have access to worker representatives.
l If you have a union on site, you should only inform workers of its
presence; you cannot force workers to join the union.
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10. Workers reps are not l Worker representatives/union representatives should be permitted l Worker committees should also represent
democratically elected. reasonable paid time off to carry out their duties, this includes agency workers/workers from different
11. Lack of regular elections training. nationalities.
for workers where there is a l union representatives should be freely elected without the l It is advisable to discuss with union representatives, the
legal requirement. interference of employers or other groups. kind of notice you will need for their time off so you can
12. unequal representation l Ensure you are aware of the law in the election of worker make provision for this within the work schedule.
of management to workers. representatives.
13. Workers representatives l Worker representatives should include union representatives, Health
not given time off to meet and Safety Committee members, Welfare Committee members and
and address issues. any other worker representatives that are present on the site.
l All should be paid for their representative activities.
l Make sure that you allow all union members sufficient time off to take
part in union activities – this may be during their normal rest periods
where appropriate.
l Make sure that union officials are paid for their official duties, and
given sufficient time in which to conduct them.
l Communicate these requirements to people who are responsible for
managing workers so they know that union officials may need time
off to carry out the above activities. They will need to make plans for
this time in the production schedule.
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Free corre
do cti
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As
of
s
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ns ion
14. Collective agreements l unions should be free to bargain collectively. l Ensure that results of negotiations are
fail to comply with local law. l Collective agreements should be honoured for all members of the communicated to the workforce (either in team
15. Collective agreements union, and the workplace where there are some non-union members meetings or on notice board).
not in writing or not working for you.
available to workforce. l Collective agreements should apply to all workers as minimum
16. Company does not standards, not just union members.
comply with collective l Ensure that unions can meet with management to collectively
agreement. bargain for increased wages, improved working hours or other
improved working conditions.
l Ensure simple recognition and negotiating agreements, setting out
the rights and duties of the parties involved and how collective
bargaining should be conducted are agreed with the union.
l Ensure records of any agreements are kept and both parties feel that
they accurately reflect the agreements made.
l Ensure that agreements are honored with all members of the union.
17. Workers forced to talk l Ensure worker representatives are not forced to talk about sensitive l Consider a confidential complaints mechanism so
to managers about sensitive issues which they do not want to or are not free to discuss. that workers can report issues that they are
issues. l Ensure that a clear reporting structure is in place to record concerned about in a safe and confidential manner.
problems, concerns or recommendations when they are raised so l Review your existing reporting structures and ensure
management is aware of issues before they become bigger that language capabilities and cultural attitudes of
problems. This will allow you to prove what actions you have taken supervisors/managers do not stop workers from
to address such issues. reporting issues to their supervisors.
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Free corre
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As
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18. no policy on Freedom l All sites should have a written policy on FoA and collective l Ensure that results of negotiations are
of Association and Right to Bargaining. communicated to the workforce (either in team
Collective Bargaining. l If you have a written agreement with the trade union this should be meetings or on notice board).
included within the policy. The policy should include:
l You need to decide whether or not to recognise a union on site.
l It is recommended that you voluntarily engage with unions on
site; this will allow you to freely negotiate and to understand your
workers’ opinions on important employment matters.
l Management must not hamper any recognition ballot and
should provide clear helpful communication to support the
workforce in reaching their individual decisions.
l If you are not willing to recognise a union on site to represent
your workers you must refuse any application made by the
union.
l All ballots should be free and fair.
19. Inadequate facilities for l If you have a union on site, they may need private facilities to l Provide the union with own office/permanent meeting
union activities. conduct their activities. room.
l Ensure adequate facilities to enable union representatives to keep
in touch with their members and to represent them effectively (this
could be a notice board which union representatives can use to
post messages to workers).
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20. Workers do not know l There should be a system to communicate to employees the work of l Consider the following ways to raise
who their reps are. the union. awareness of the worker committee:
l Workers should be free to discuss/not discuss issues with their l Awareness days in the Canteen.
union representative (e.g. workers should not be forced to discuss l Reps attend the Induction days for new starters.
sensitive issues with union representatives). l noticeboards – managed by the Reps.
l Ensure worker representatives receive training on representation, l Rep photos on noticeboards.
negotiation and how to run an effective committee. l Leaflets/newsletters.
l Surgery – times when employees can see their
Reps.
l Slogans – “Speak to your representative, they will
listen.”
21. no training for worker l Ensure worker representatives receive training on representation,
representatives. negotiation and how to run an effective committee.
22. no action taken on l All meetings should have clear agenda, minutes produced and be l Minutes and agendas are posted on staff notice
issues raised during shared with the workforce. boards.
meetings. l Meetings should have an agenda, released prior to the meeting l union reps/committee members have systems in
23. no records kept from and publicised to all workers. place to update employees on progress.
management/worker l outcomes of meetings should be communicated to all workers.
meeting.
l Meeting minutes and all progress made should be documented
24. lack of documentary and circulated around the site.
evidence of collective
l There should be an elected chair (not a member of management)
bargaining.
who is responsible for writing minutes and ensuring that issues are
followed up.
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h
3a. An Introduction to Health and Safety d
an
Sa
fet
y
REquIREMEnTS
A safe and hygienic work environment provided; Take steps to prevent accidents and injury by minimising hazards; Regular health and safety training given to
workers; Access to clean toilets and potable water and if appropriate sanitary food storage; Accommodation where provided should be clean, safe and meet basic
need;. A senior person appointed as health and safety manager.
GuIdAnCE To Good HEALTH And SAFETY PRACTICES

Common problems
Health and safety includes fire safety, safe use of machines and chemicals, provision of protective equipment, sanitary facilities and first aid. Good health and safety
standards are essential in the workplace but maintenance of those standards can only be assured if adequate and ongoing training is given to all employees.
Health and safety issues are amongst the most common finding at audit and H&S standards are low at many work sites both in the developed and developing
countries.
Common problems are:

l differing perception of what is safe and what is hazardous.
l Lack of information about the risks and hazards.
l Inadequate resources for inspection by local government inspectors.
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d
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Sa
Possible solutions fet
y
H&S Management
l Conduct a risk assessment of your work site. Assess the types of risk and for each one identified estimate the likelihood of it happening as well as
the severity of the outcome. If an identified risk has a high probability of happening and it would cause a critical injury or death then this becomes a
SERIouS issue which must be corrected immediately.
l develop a health and safety policy and inform all employees.
l keep informed on national and local laws for H&S and ensure you have all relevant permits (H&S laws are generally good and detailed for all countries).
l Wherever possible eliminate the hazard. Where that is not possible provide personal protective equipment free of charge and ensure that employees know how
to use it and are using it.
Training
l Workers receive regular H&S training appropriate to their work.
l Training records are kept.
Fire Safety
l Provide sufficient fire exits in all areas of the work place and ensure they are clearly signed. generally there should be at least 2 exits from each enclosed area.
Emergency exit routes are posted in all work areas.
l Fire fighting equipment must meet at least local laws and must be appropriate to the likely type of fire at the site.
l Clear procedures and guidance on what to do in case of an emergency, and regular fire drills carried out.
Health
l Sufficient number of equipped first aid boxes and trained first aiders in each shift.
l An accident book kept where all accidents are recorded and the H&S manager inspects to see if accidents can be reduced by eliminating hazards.
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Chemicals d
an
Sa
All workers who work with chemicals trained in safe us and given regular medical checks. fet
l y
l Material safety data sheets kept for all chemicals, in a language understood by workers and workers informed of the hazards (posters are useful).
l Storage of chemicals is safe and away from production areas, only sufficient taken for immediate needs.
l All workers working with chemicals to be 18yrs+ and there is a system to prevent under 18’s or pregnant women working with chemicals.
Machinery
l All machinery appropriately guarded.
l There are instructions on safe usage at the machines in a language understood by workers.
Hygiene
l Workers have access to clean drinking water.
l Sufficient toilets in a clean and hygienic condition for worker use and separated by gender.
Accommodation
l Must be clean, hygienic, and has sufficient fire exits, fire fighting equipment, and fire procedures.
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3b. Health and Safety – corrective actions d
S
n
ac afet
tio y
For all suppliers it is a MInIMuM REquIREMEnT to meet the local and national law. It is expected that where international standards are not being ns
For information only a brief summary of the international standard is stated below. This should be used as guidance only as the actual standard should be as per
A safe and hygienic work environment provided; Take steps to prevent accidents and injury by minimising hazards; Regular health and safety training given to
workers; Access to clean toilets and potable water and if appropriate sanitary food storage; Accommodation where provided should be clean, safe and meet basic
need;. A senior person appointed as health and safety manager.
3.1: Health and Safety – Fire

1. Locked fire exits. l There must be sufficient exits for safe escape for all employees in case of l Fire risk assessment carried out regularly
2. Insufficient fire exits. emergency. ensuring all local regulations are being met.
3. no fire exit signage. l There should be a minimum of 2 exits per floor and for a large unit the l All workers trained in what to do in case of fire
4. Fire escape doors poorly number of exits must increase to ensure safe exit of all employees (there and their nearest escape route.
marked and/or maintained. may be guidance in law). l Exit doors must open out (a legal requirement in
5. Missing fire assembly
l Ensure there is a means of escape even if one exit becomes blocked. some countries).
points.
6. Blocked aisles/exits l These exits must be unlocked at all times when the site is working. l Managers should regularly walk the production
preventing use. l Escape routes must be kept clear and employees must know their nearest site and ensure that there are no obstructions
exit. preventing exit from the buildings.
l Exits must be clearly signed in a language(s) understood by all employees. l These checks should be documented and any
findings are followed up by the person
l An evacuation plan posted in major areas of the site, clear and
responsible for fire safety.
understandable to all.
l A responsible person nominated at the site to be responsible for fire
safety.
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Issue Short term corrective action Long term corrective actions ac afet
tio y
ns
7. no fire fighting equipment l Site must have fire fighting equipment sufficient to meet local l Painted and shaded lines around the
on site. laws. position of the fire fighting equipment will
8. Fire fighting equipment l All areas of the site where employees are present must have reduce the risk of access being blocked.
inaccessible, insufficient, fire fighting equipment, both work site and accommodation. l Ensure that all fire fighting equipment is suitable for the
unusable, of the wrong type or materials and processes at the site.
l This includes separate water storage where it is a legal
no training in its use.
requirement. l Managers should regularly check that fire extinguishers
9. Fire extinguishers out of
l Fire equipment must be regularly checked by a competent are:
date.
person (often a specialist service) and these checks l In date.
10. Fire extinguishers installed
recorded. l Correctly positioned.
at wrong height.
l unobstructed.
l Areas around fire fighting equipment must be kept clear at all
times to ensure accessibility.
l A team of employees are fully trained in the safe use of all fire
fighting equipment. This is often a service provided by the
local fire departments.
l The team is responsible for safe evacuation of all employees
before fighting the fire.
11. no fire alarm. l Site must have a separate sounding fire alarm which can be l Alarm systems must have a visible fire alarm such as a
12. no distinctive fire alarm. heard from all parts of the workplace. flashing light especially in high noise areas
l The alarm must be a different sound from all other audible l Alarms regularly tested and maintained in working order
devices such as lunch or shift bells and it can be activated in and records kept of the tests
all parts of the workplace.
l All employees and visitors must be advised what the alarm
sounds like.
l The alarm has a back up battery so it will continue to
function in the case of a power cut.
l Alarm is regularly tested.
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13. no evacuation procedures, l Fire drills regularly conducted at least every 6 months and l Assembly points should be located on a
drills or training. records kept of the evacuation. site map and pointed out to all employees and
14. no records of fire l The records to include date of the exercise, time taken to visitors.
evacuation drills. evacuate, any comments on success/failure and this must l Records of all fire drills to be reviewed and updated on a
15. Incomplete records of fire include shifts. regular basis by an appointed person.
evacuation drills.
l Senior employees are nominated to control employees and
visitors and ensure they evacuate safely.
l Employees to collect at the assembly points.
l All employees accounted for at assembly points.
16. no, or no adequate, l In many countries it is a legal requirement to have emergency l keep records of emergency lighting checks.
functioning emergency lighting. lights which illuminate exit routes. l Ensure they are recorded on a plan of the site to ensure
17. Poor maintenance l They must continue to function when the main supply of all are checked.
emergency light. power is not available.
l Emergency lights checked for function.
l Inspect all lights as part of a regular maintenance schedule
and replace as necessary.
18. Failure to comply with l Electrical installations designed and installed by a competent l Check the workplace regularly for change of machinery
requirements for electrical and trained person. and therefore electrical loading.
safety inspections. l Care taken to ensure that electrical installation is not l Rubber mats placed in front of all major electrical
19. Electrical wiring not overloaded (this is a frequent cause of fire). installations (legal requirement in some countries).
adequately encased or
l Cables regularly checked for damage to covering and l Schematic drawings made of all electrical installations to
secured.
replaced as necessary. ensure they are checked frequently.
l Electrical installation regularly checked by a qualified l All workers trained in safe use of electrical equipment.
electrical engineer.
l distribution and fuse boxes kept locked and not obstructed.
l Ensure that workers and supervisors do not tamper with
wiring to maintain production.
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20. no or inadequately l In some countries it is a legal requirement to have shielded
maintained equipment or lights in a storage area to ensure that dust particles present
procedures to prevent do not cause an explosion.
explosions l This requirement is often stated by law, therefore ensure you
are aware of the laws on this issue and that the site complies
with legal requirements.
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3.2: Health and Safety – Buildings d
S
n
ac afet
tio y
ns
1. Premises are not l The production building must as a minimum meet local legal requirements l All inspections up to date and recorded.
structurally safe. for structural safety.
2. Premises require repairs l If any areas becomes unsafe for any reason the company takes immediate
that affect personal safety. action to relocate all activities and personnel to a safe location.
l Buildings checked by a structural engineer to ensure that any changes in
equipment or use has not resulted in unsafe structures e.g excessive
loads on a mezzanine floor with insufficient support for the extra load.
3. Inadequate lighting in l Any structural work (eg extensions) must be approved by the competent l Lighting checks part of a regular maintenance
hazardous areas. authority and constructed by qualified contractors/technicians. inspection and replaced as necessary.
4. Generally inadequate l Lighting meets all laws and passes local government inspections. l All checks recorded to establish any problem
lighting in some areas. l Lighting is checked for illumination levels and the areas meet the areas and problems corrected.
recommended lux levels for the tasks performed.
5. Heating and ventilation l Heating and ventilation and air conditioning as a minimum must meet the l Air conditioned facility, regularly checked and
and Air Conditioning – local legal requirements and are regularly checked. well maintained.
Systematic failures in l Heating and ventilation sufficiently well controlled to ensure a comfortable
maintenance programme. working temperature and humidity (overheated workplaces can lead to
6. Heating and ventilation low productivity and sickness).
and Air Conditioning - l An air flow system which maintains cool conditions even in high external
Isolated failures in temperatures e.g fans.
maintenance programme.
l Ventilation sufficient to ensure that dust particles are no more than
moderately visible and to control fumes to an acceptable level, for dusty
processes extraction must be adequate.
7. The facility lacks the l Sites must have all correct permits as required by law, including but not l Regular checks of all permits and reviewed by
permits and certificates limited to, business and operating licenses, fire safety, electrical senior personnel.
required. certificates, waste disposal permits, permits for other installations such as l A system in place for keeping up to date with
boilers, lifts, fuel and chemical storage. local legal requirements and records of checks
l Evidence of checks carried out in addition to local government approvals. kept and inadequacies dealt with.
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3.3: Health and Safety – Management Systems d
S
n
ac afet
tio y
ns
1. no Health and Safety l A senior competent person is responsible for health and safety. l All employees are provided with appropriate
Management Systems in l The management of H&S at site meets all legal requirements, e.g. a H&S H&S training.
place. committee is in place where it is a legal requirement. l For new employees it is part of induction.
2. Systematic failures in
l A written policy statement is in place. l For current employees it is given on a regular
health and safety systems.
l It is reviewed on a regular basis to ensure it is still effective within the basis and when they change jobs.
workplace. l There is job related training especially when new
l It defines who is responsible for each area of H&S. H&S risks involved.
l The written policy is available to all employees and is part of their training. l Level of supervision reflects the nature of the
work and the age and experience of the
l If a H&S committee exists there are recorded regular meetings and
operator.
minutes show evidence of actions taken.
l Training effectiveness is measured by e.g a
simple test.
l diagrams and posters are used as reminders.
3. no health and safety l Sites must have correct H&S certificates signed by local labour l Evidence that there is a proactive attitude
certificates. department or equivalent. towards H&S improvements.
4. Health and safety l Policy and H&S procedures regularly reviewed. l Evidence of improvements made.
certificates expired.
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3.4: Health and Safety – Chemicals d
S
n
ac afet
tio y
ns
1. no or dangerous l Sites in compliance with legal requirements and will notify government l understand the maximum safe exposure levels
storage/disposal facilities for agencies or fire departments of chemicals used or stored on site. of any chemicals used.
hazardous chemicals. l All chemicals properly labelled and hazards noted in the language spoken l Regularly monitor the levels of chemicals in the
2. Storage of hazardous by all employees. atmosphere and assess the potential danger to
materials in accommodation health.
l Chemicals stored according to safe methods.
premises.
l Worker using chemicals trained in safe use. l Where a risk to health is established.
3. Inadequate storage
facilities, disposal, labelling, l Material safety data sheets available. 1. Reduce exposure by improving
training, containment or spill extraction/ventilation, thus removing the
l A management system for handling chemicals safely.
kits for hazardous chemicals need for PPE.
1. Assessment of risk.
or lapses in their use. 2. Provide free PPE and arrange for regular
2. Agreeing precautions. training of all users in the need for use and
4. Inadequate provisions for
safe handling of hazardous 3. Control or prevent exposure. the correct usage.
chemicals or lapses in their 4. Carry out health surveillance.
application. 5. Prepare plans for accidents.
5. MSdS not available. 6. use MSdS to train users in safe handling and safe disposal.
l Chemicals used in areas properly ventilated.
l Wherever possible eliminate hazards by using a less harmful product.
l As a last resort issue free appropriate PPE (take advice from supplier).
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3.5: Health and Safety – Accommodation d
S
n
ac afet
tio y
ns
1. Accommodation not l Building must meet as a minimum local legal requirements for structural
structurally safe. and all other safety requirements.
2. Production area and l If any area becomes unsafe all personnel are removed to a safe location
dormitory area together. immediately.
l Fire precautions as for production areas ie, alarms, exits, drills, lighting, fire
fighting equipment.
l Buildings checked by a structural engineer to ensure that any changes of
use do not interfere with safety of structure.
l All inspection and licenses are up to date and recording adequate safety.
l To ensure safety of all personnel production and dormitory areas are
separate (legal requirement in some countries).
3. Personal living space l Living areas must meet all applicable local and national laws e.g in most l Accommodation appropriate to employees
does not meet legal and areas of china there is a stated minimum acceptable living space per needs e.g. married quarters as necessary.
industrial minimum person. l Regular cleaning regime either by residents or
standards. l Sleeping areas must be separated by gender with sufficient individual others.
4. Each individual does not space to meet personal needs. l Hygienic washing and toilet facilities with correct
have own sleeping mat/bed.
l Beds are fit for purpose and with no triple tiered bunks. waste disposal.
5. Personal living space
and/or sleeping areas are l Individuals have own sleeping space and bed. l Hot water supply to meet workers needs.
not separated by gender. l Sleeping and living areas are clean and sanitary.
6. Living conditions are l Toilets and wash facilities are clean with sufficient for the number of
unsanitary. workers (often stated in law) and separated by gender to give privacy.
7. unsafe appliances. l Appliances regularly checked to ensure safe use. Can be a major source l Routine checks recorded and any actions taken
of fire. recorded.
l Ensure that occupants understand safe use especially of electrical goods.
l Routine inspections to check for safe us.
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8. no/inadequate secure l Personal storage to meet local legal requirements.
personal storage for l Safe lockable space for each worker to keep personal effects.
personal effects.
9. Inadequate laundry l Must meet local regulations and laws. l Running water in each room and hot water
facilities. l Access to hot water. freely available at all times.
l drying space for workers clothes.
10. Poor housekeeping. l Must meet all local laws and regulations and pass all government l Regular and documented inspections by
inspections. responsible person to ensure clean and sanitary
l Regular cleaning regime either by occupants or cleaners. conditions.
l Clean and hygienic living and sleeping space sufficiently well decorated l Cleaning regime monitored and improved as
and maintained to permit clean and sanitary surroundings. necessary.
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3.6: Health and Safety – Worker Health d
S
n
ac afet
tio y
ns
1. Clean drinking water not l drinking water meets local legal requirements. l Cooled drinking water freely available at all
available. l Clean drinking water available and accessible to all workers at all l times. times.
2. Clean drinking water not l Workers allowed access to drinking water as
l Water regularly tested for potability and checks recorded.
easily accessible. they feel necessary.
3. no testing of water for
potability.
4. Some lapses in records
of water testing.
5. Factory equipment l All machinery must meet local regulations and be inspected by local l Maintenance regime is in place and records of
inappropriately used, inspectors, records kept. checks are kept.
maintained or designed that l All machines have appropriate guards to ensure no risk to workers for l Machines have an emergency disconnect
could lead to loss of limb or example protective guards over any external moving parts such as drive switch to isolate the machinery as necessary.
life. wheels or gears.
6. Factory equipment
l Machinery checked to ensure safe.
inappropriately used,
maintained or designed that l all machines have appropriate guards to ensure no risk to workers, for
could cause serious injury. example adequate safety measures.
7. Lack of regular l Any potentially dangerous machinery is immediately removed from service
maintenance by until a solution for safe working is found.
appropriately trained l Machines are maintained to keep them safe and working correctly.
personnel of machines l Where guards are not full proof, ie depends on the worker to use them,
which are a potential danger workers are trained in safe use.
to life or health.
l Wherever possible guards are full proof, that is if no guards, machine will
not operate.
l Machines have 2 button operation,. that is hands are away from danger
area.
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8. Workstations and work l Work stations and work areas are in compliance with local laws and l dept supervisors and managers are
areas are untidy creating a regulations. trained in the importance of a tidy.
risk of serious injury. l Tidy work areas with a reduced volume of work in progress. workplace and the need to check accessibility
9. Workstations and work on a continuous basis.
areas are untidy creating a l Adequate storage areas which allows for clear and visible walk ways.
risk of moderate injury. l Tidiness of work stations regulary audited as
part of H&S check carried out.
10. Slippery surfaces l All surfaces must meet the requirements of local laws and inspectors. l Regular visual inspection to identify damaged
creating injury risk. l All surfaces kept dry and slip free, and where this cannot be avoided make or broken surfaces.
potential slip hazards out of bounds. l Any potentially dangerous areas to be clearly
marked e.g. with high visibility tape (if hazard
l All staircases of sound construction, well lit and clear of obstruction, fitted
cannot be removed), as an example a raised
with at least one handrail to prevent falls.
area in a loading bay, is safe when a truck is
present, but a fall hazard when not. must be
clearly signed.
11. Suitable PPE not issued l PPE must meet all local legal requirements. l Training on the safe use of PPE on a regular
to workers or not worn in l Must be supplied free of charge. basis.
hazardous environments. l Must be fit for purpose as an example, cotton masks are not a protection l Signs used to remind workers to use PPE.
12. Suitable PPE not always against fumes and solvents, but are suitable only for large particulate dust. l PPE properly and safely stored when not in use.
issued, for example, l An assessment of what PPE is required on a regular basis.
insufficient hearing
l Workers trained in safe use.
protectors in areas where
noise exceeds l need for PPE is eliminated where possible ie.
recommended limits. l Remove the hazard (increase ventilation and extraction where solvents
are used.
13. Suitable PPE issued but
l Reduce the hazard (remove dangerous chemicals and replace with
not consistently worn or
safer alternatives).
maintained. l PPE as a last resort.
l Where PPE is necessary ensure it is appropriate for hazard – seek advice
from supplier of PPE.
l Ensure that PPE is properly fitted and does not increase likelihood of injury
example where metal gloves are required for band knife cutting ensure they fit.
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14. no health and safety l Training must meet local laws. l Register of trained personnel
training for workers in l Workers trained to work safely especially if working in hazardous areas or kept for hazardous jobs or areas.
hazardous areas. jobs and records kept of all training. l Training regularly reviewed by a responsible
15. Inadequate health and person.
l only properly trained personnel allowed in hazardous areas or job roles.
safety training for workers in
l Records kept of training and training regularly reviewed. l Records of training kept in individuals files.
hazardous areas.
16. Systematic failures to l Posters used as workplace reminders of safe working practices. l Check on effectiveness of training by use of a
provide health and safety simple test.
l Ensure that workers understand and carry out their responsibilities for
training for workers. working safely and keeping others safe.
17. Isolated failures to
provide health and safety
training for workers.
18. Lack of appropriate l Training in safe handling of loads must meet local laws. l Fork lift trucks operated only by trained
equipment or training for l Train workers in safe lifting techniques (the most frequent cause of personnel.
safe handling of loads which industrial injury) and safe handling of loads. l Fork lift trucks should have alarms for warning
constitute a serious risk. of operation/reversing.
l Where necessary use 2 person to lift a load.
l Lifts and hoists regularly maintained and tested.
l Lifts and hoist fitted with correct guard rails.
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19. Lack of eye or needle l All equipment must as a minimum meet local regulations and pass local l Workers trained in the need to
guards on sewing machines inspections. maintain guards at all times.
or belt guards on machines. l needle guards installed on all machines. l Inspections done regulary and results recorded.
l Belt guards in place to ensure no injuries caused to any operatives from l Action taken against those who do not maintain
exposed moving parts. guarding.
l Regular checks carried out be supervisors and managers that guards are l Where guards may not be available, it may be
still in place. possible to manufacture locally.
l Posters and signs to remind workers of safe
operation.
20. no wash facilities in l All safety equipment must as a minimum meet local regulations and pass l Safety interlocks on cutting/pressing machinery
hazardous environments local inspections. such that it only operates with 2 hands on the
including eye wash facility l Eye wash stations present for all areas where chemicals are being used. control.
where appropriate. l depending on use a shower may be necessary so that any spills on a l Checks recorded and reviewed by appropriate
person can be removed immediately. senior member.
l Purity of eye wash must be checked. The supplier of the water should be
reputable and the water should be monitored to ensure it is within use by date.
l Water supply and correct functioning of wash stations to be checked
regularly.
21. Inadequate toilet and l number of toilets and condition of provision must meet local legal l Cleaning regime regularly audited and frequency
washing facilities and/or requirements (numbers often specified by law, per number of employees). of cleaning recorded locally.
facilities not separated by l number of toilets must be sufficient for the number of employees. l Correct cleaning materials and cleaning
gender. l Toilet design as per local cultural norms. equipment provided to ensure cleaning can be
l Meet the cultural norms e.g. provision of wash facilites if needed for adequate.
religious observances. l Maintenance eprogramme in place to ensure
l Regular cleaning to ensure sanitary condition. correct functioning.
l Sewage disposal sufficient in line with local norms.
l Hand wash facilities must provide all accessories to ensure no
contamination by e.g E coli.
l Workers allowed reasonable access with no restrictions.
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22. Injuries/accidents are l All accident recording and reporting must as a minimum meet local l Evidence of action taken to reduce
not recorded. regulations and pass local inspections, as an example, in many countries workplace accident.
it is a legal requirement to report serious accidents which result in l Statistics available to demonstrate a continuous
moderate or serious personal injury. improvement.
l Accident book kept up to date with records of date and type of accident
and including any action taken to prevent a re-occurrence.
l Should include any treatment given.
l Regular review of the accident book statistics to focus on corrective action
for the most frequent workplace accidents.
23. no appropriate medical l Medical examinations must be in compliance with local laws and l Fully staffed medical centre taking care of all
examinations of workers in regulations. medical needs of workers and their families.
hazardous environments (for l Medical examination carried out at start of employment and then at
example, for hearing loss regular intervals.
because of noise).
l Appropriate treatment arranged in case of problems.
24. Isolated failures to carry
out medical examinations. l Statistic kept of medical conditions to ensure that health care is being
appropriately managed.
l More regular checks carried out on those workers in more hazardous
areas/jobs, for example working in noisy areas, or in areas with chemicals.
l Any checks carried out before employment will not prevent a worker obtaining
employment. in case of any treatable contagious disease treatment should be
given and the worker employed after no longer contagious.
26. no trained first aid l First aid provision must be in compliance with local laws and regulations. l First aiders identified on notice boards with
personnel. l Sufficient first aiders in the production area to cover the number of workers. pictures for easy recognition.
27. Insufficiently trained first
l Training given to all first aid staff.
aid personnel/workers do
not know who they are. l Workers know who the first aider is (an arm band or coloured garment can
be a useful flag).
l First aiders available on every shift.
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28. Inadequate health and l Provision for pregnant workers must be in compliance with local laws and l Where local health checks are not
safety provision and regulations. adequate employer to arrange checks
procedures for pregnant l Ensure that no overtime or night work for pregnant workers if prohibited of pregnant workers.
workers. by law. l The records of checks are monitored to ensure
l Pregnant workers must not be dismissed. continued well being of pregnant workers.
l As soon as a worker is pronounced pregnant their job role is examined to
ensure there is no potential risk to their health or the health of the foetus, if
so work must be changed.
l Rest facilities must be provided, such as a seating area or a rest area.
29. no Health and Safety l Where it I is a legal requirement to have a H&S committee the site must be l Continual review of H&S committee.
representatives and/or in compliance with local laws and regulations. l Committee freely elected by their peers.
Committee. l Even where not a legal requirement a H&S committee is present. l Workers know who the H&S representatives are
l H&S committee meets regularly with management to discuss H&S issues. and are encouraged to bring their concerns.
l Meetings are recorded an minutes posted for all employees to view. l Evidence of improvements in H&S made as a
l Evidence of action taken as a result of meetings. result of the H&S committee.
l H&S committee allowed to check the
workplace for safe working standards.
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30. no first aid kits l First aid kits provision must be in compliance with local laws and l At least one first aid kit per floor.
available. regulations (often specified by law, as so many per number of workers). l Boxes regularly checked by trained
31. Inadequate numbers or l First aid kits include what is required by law and if this is insufficient to personnel to ensure adequately stocked.
maintenance of first aid kits. meet the needs of workplace accidents and sicknesses then advice l If there is no statement in law the site should try
should be sought, a suggestion: to have the best care provision for its
l Plaster, safety pins, sterile eye pad, sterile dressings, disposable employees and visitors.
gloves, bandages, scissors, moist wipes, antiseptic.
l A norm is one first aider per 50 employees.
l Treatment records kept as part of a system of
continuous improvement, should record:
l Injury (work related).
l Ill health (work related).
l Injury (non work related).
l Ill heath (non work related).
32. Inadequate provision for l Provision for food storage must be in compliance with local laws and l Regular inspection carried out by trained
hygienic food storage and regulations (often specified by law). personnel
preparation. l Where workers prefer to bring their own food the site provides a safe and l Checks are recorded and inadequacies
hygienic area for storage away from the production area. corrected
l Storage area refrigerated if necessary but in any case at the appropriate
temperature to ensure no risk to health.
l In any facilities for food storage and preparation by the site food must be
stored in safe, hygienic and appropriately chilled conditions to ensure it
stays fresh.
l Food preparation areas are clean an hygienic.
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33. no noise or dust l Assessments made at least as often as local laws and regulations require. l dust levels and noise levels
assessment has taken l Regular checks made for dust levels and noise levels using suitable controlled by improving extraction or
place. measuring equipment in the hands of adequately trained personnel. insulating against noise.
l Action taken where levels are found to be too high and records kept. l Routine checking of levels and records kept.
l Where it is not possible to remove or reduce the dust or noise, PPE is
issued free of charge and workers are trained in safe usage.
34. Worker transport where Where the site provides transport it must be in compliance with local laws and l Contractors should understand their
provided is unsafe or regulations (often specified by law). responsibilities as a service provider for the site.
inadequate. l Provision of transport introduces a duty of care toward the employees. l Site checks the service provision in line with the
transport must be: list detailed.
l Safe. l Where provision is found to be unsafe or
l Regularly maintained. inadequate another contractor is found who
l Sufficient to meet needs without overcrowding.
can fulfill the service adequately.
l Free from dangers especially at night for women.
l Where transport is contracted out the site takes on the above l Site regularly checks with workers to ensure no
responsibilities for the contractor. transport problems.
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4a. An Introduction to Child Labour ab
L
ou
r
REquIREMEnTS
For all suppliers it is a MInIMuM REquIREMEnT to meet the local and national laws. It is expected that where international standards are not being met that
suppliers agree to work towards the accepted international standard.
There shall be no new recruitment of child* labour and companies should have policies and programmes in place to permit any children found working to be in
quality education until no longer a child. Children and young persons under 18 yrs should not work at night or in hazardous conditions * child is defined by ILO
conventions as aged 15yrs or over. Where the law sets minimum age for working as higher than 15 the higher figure shall apply.
GuIdAnCE To Good CHILd LABouR PRACTICES

Child labour has become the most emotional issue for companies and their supply chains, and a symbol of exploitation in the media. The employment of children,
or even the presence of children within a factory can risk a supplier’s reputation.
Common problems
Child labour can range from light work in a safe environment to heavy, dangerous work. often they are put at risk, work excessive hours and denied their basic
rights to an education and a childhood. The short and long term effects of child labour on the children and their families can be significant and can hamper both
physical and mental development of the child.
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unacceptable forms of child labour include: ab
L
ou
l Children working against their will as bonded labour (to pay off a debt). r
l Children under the legal working age employed full time in a factory as a cheap alternative to adults.
l Children working in hazardous conditions.
In many countries there are laws protecting the health and well being of young workers (above the legal working age but below 18 yrs.) These are often ignored.
These special conditions can include:

l not working nights.
l not working overtime.
l not working in hazardous conditions.
l Require regular health checks.
Possible Solutions
Legal requirements
l Employers should be up to date with local and national laws reference child labour.
l All personnel who recruit workers should be fully trained in the law and the international standard. training should also include how to check for age and how to
document that check.
documentation
l documentation is essential to demonstrate compliance with these laws, including copies of workers Ids, health checks and contracts.
l Personnel files should detail start date of employment, date of birth of employee, address, contact details of parent/guardian and have a copy of their Id.
l Those attending schooling whilst working, e.g. apprentices, should have the appropriate school documents in their personnel file to prove their enrolment and
the terms under which they are enrolled.
l List of all young workers (15-18) kept at the site (to be passed onto local government if required by law e.g. In China).
l Health certificates (as required by law).
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If child labour is found ab
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l it is important the company undertakes a full review of the situation, does not instantly dismiss the child, but does instantly take them out of r
any hazardous position they may be in before reviewing the appropriate options.
l Any corrective plans should into account the child’s needs and opinions, their educational options and if possible the opinion of his/her family. Plans
should also be discussed with customers.
l Remedial plans will differ due to the situations present, e.g. if the child is far from home, or still lives with their parent/guardian, or if education can be provided
locally or not, and guidance should be sought where needed.
l In some countries e.g. China, a written policy is legally needed which prevents child labour and details any remedial action to be taken.
As a critical issue, with high levels of market awareness, non compliances in this area will often require a Follow up visit.
l Incidences of child labour must be solved bearing in mind the rights of the child and their families. A decision to remove the child from the employment situation
must be part of an agreed remediation plan. For this reason the auditor will require to re-visit to verify that the actions completed follow that which was agreed
between the site of employment and its customers.
l Where the only non compliance is one of an incorrect or insufficient policy, but practice is as required, a desktop review may be sufficient.
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4b. Child Labour – corrective actions ab
L
ac o u r
tio
For all suppliers it is a MInIMuM REquIREMEnT to meet the local and national laws. It is expected that where international standards are not being ns
There shall be no new recruitment of child* labour and companies should have policies and programmes in place to permit any children found working to be in
quality education until no longer a child. Children and young persons under 18 yrs should not work at night or in hazardous conditions.
*child is defined by ILO conventions as aged 15yrs or over. Where the law sets minimum age for working as higher than 15 the higher figure shall apply.
Possible verification evidence:

l As a critical issue, with high levels of market awareness, non compliances in this area will often require a Follow up visit.
l Incidences of child labour must be solved bearing in mind the rights of the child and their families. A decision to get rid of any child workers needs careful
consideration and must be part of an agreed remediation plan. For this reason the auditor will require to re-visit to verify that the actions completed follow that
which was agreed between the site of employment and its customers.
l Where the only non compliance is one of an incorrect or insufficient policy, but practice is as required, a desktop review may be sufficient.
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ab
L
Issue Short term corrective action Long term corrective actions ac o u r
tio
ns
1. under 15 years. l I remove the child from work , meeting all legal obligations to the child. l Work with local nGo or appropriate
2. under the country’s legal l Verify the child’s age and identity. expert(s) to find the best solution for
minimum age but > 15. the child.
l Check whether other children are present at the workplace.
l discuss with the family ways of sustaining the
l Where children are found and removed from work, ensure the family
family income eg. employ an adult from the
income is sustained.
same family.
l Establish and implement a policy that states what will happen if children
are found working.
l Removed from work.
l Safety assured.
l Family contacted.
l Free food and accommodation provided.
l Stipend paid.
l Returned to school.
l Family income assured.
l In the case where the law requires 16 yrs or above for legal working the
law takes precedence over the international standard of 15yrs.
3. Systematic cases of l Check all workers’ Id to establish whether under age workers are on site. l Conduct regular internal checks of personnel
evidence of individual’s age Provide evidence and maintain a complete set of records on file. files to ensure age and indentity information is
and identity being l develop and implement a procedure which ensures all workers’ ages and kept for all workers.
unavailable, incomplete, identities are checked, copied and recorded before employment.
false, or not kept on
l Ensure that the system for maintaining workers’ personnel files is
personnel file.
maintained, complete, and up to date.
4. Isolated cases of
evidence of individual’s age l Train all relevant personnel in how to accurately assess workers’ ages,
and identity being including identifying false documentation.
unavailable, incomplete, l Ensure only copies are kept in personnel files.
false, or not kept on
personnel file.
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5. Company accepts l update procedure to ensure only original Id’s are checked and copied.
photocopy Ids from l Re-train the relevant personnel.
workers without checking
l ensure that new procedure is written down and followed by all relevant
originals.
personnel.
6. Child on site but not l Immediately remove the child, and any other children to a safe place. l Fund, or subsidise childcare facilities, either
working. l Establish a clear policy that prohibits children in the work area and brief attached to the site, or nearby.
this policy to all workers. l Work with an nGo which specialises in the
l Investigate why children have been on site and try to arrange for a suitable provision of good childcare.
and safe care facility for parents or guardians that are lacking childcare
support.
7. Young persons’ hours of l Immediately amend the young person’s working hours to meet local law. l Protect the wages of the young worker.
work contrary to local law. l Change their terms and conditions appropriately. l Ensure that they do not suffer financial hardship
l Identify all other affected young workers and treat similarly. by reduced Hours.
l Ensure that legal restrictions on working hours are known. l Regularly check the register of young workers
and ensure they are working within the law.
l They are contained within employment contracts.
l They are briefed to young workers and their supervisors.
l A register is kept of young workers.
8. Young persons engaged l Immediately remove the young person from night work and arrange for l Protect the wages of the young worker.
in night work. their working hours to fall between 6am and 10pm. (check night work as l Ensure that they do not suffer financial hardship
defined in law). by reduced Hours.
l Identify all other affected young workers and treat similarly.
l Carry out a full risk assessment which includes the young worker’s mental
and emotional maturity as well as their physical safety to assess whether it
is appropriate to employ the young worker on nights, or shifts.
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9. Young persons engaged l Immediately remove the young person from the hazardous work, do not l Establish a policy relating to young
in hazardous work. dismiss them. workers and the need for them not to
l Relocate them with suitable risk-assessed work, without any reduction in be involved in hazardous work.
wages. l Ensure that all personnel understand the policy.
l Identify all other affected young workers and treat similarly. l Regualry check that young workers are not
l Carry out a full risk assessment which estimates the dangers present and involved in hazardous work.
relates them to their youth and inexperience.
l Set limits on what is hazardous work and agree with the young worker or
their union representative.
l Check that supervisors know who young workers are and they ensure
they only do safe work.
10. Young workers not l If required to do so, register/record all young workers with the local labour l Regularly check that young workers are
registered or recorded per bureau and maintain records. registered with the labour burea where It is a
legal requirements with local l update recruitment procedures to ensure any new young workers are also legal requirement.
labour bureau or equivalent. registered.
11. no risk assessments for l Ensure detailed risk assessments are undertaken and recorded for all l Annual review of all young workers’ risk
young workers. young workers employed, and that they are carried out by a suitably assessments.
trained and skilled person.
l Risk assessments must be retained for inspection/audit.
l Risk assessments must be carried out for each young worker individually
and reviewed if the young person’s role or working environment changes.
l Young workers and their supervisors must be made fully aware of all risks.
12. no health examination l All young workers should undertake a full health examination by a suitably l The health evaluation should include:
for young workers. qualified professional. l The mental and physical capabilities of the
l Results should be kept on file and stored confidentially. young person.
l The effect that the particular workplace
l Examination carried out in conjunction with the risk assessment so that
risks may have on them.
any specific risks or health issues can be professionally evaluated.
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13. no recruitment policy l develop a recruitment policy that ensures that young workers will be l Regularly check that the policy is
for young workers. employed within legal restrictions. being met in practice.
l And that they will not be subject to hazardous work or excessive hours.
The policy must state that:
l Individual risk assessments must be carried out.
l Young workers must be fully briefed on risks and restrictions before
starting work.
l Young workers must be effectively supervised.
l Supervisors must be fully aware of the risks and restrictions.
14. no remediation policy in l develop a remediation policy that ensures that actions taken will be in the l The policy has been developed in cooperation
place for child workers. (long term) interest of the child or children. The remediation policy clearly with an nGo or other credible organisaiton
states how children will be protected i.e. separate from the supply chain.
l Removed from the place of work. l The policy includes a clause on disclosure and
l Child’s safety is assured. an open, collaborative approach to remediation;
l details obtained.
criteria for selecting credible and safe partners
l Parents or guardians contacted.
for a remediation programme; a commitment to
l Free food and accommodation provided (if needed).
l Weekly or monthly stipend payment made. the employer funding a stipend which is
l key stages for establishing a remediation programme. entrusted to a third party.
l ongoing support and monitoring. l There is a guarantee of employment being
offered once the child reaches a working age.
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15. Contracts for young l Ensure all young workers’ contracts have a designated space for a l Clear procedure for verifying that
workers not signed by signature by a parent or legal guardian, and that an appropriate signature the parent or guardian is bona fide.
parent or legal guardian. is obtained.
l In addition, where required by law, ensure that there is written permission
from the appropriate local authority.
l Contracts must clearly state the terms of employment, which must protect
the young worker from hazardous conditions, or excessive hours.
16. no policy on child l develop and implement a policy that prevents the employment of workers l The policy has been developed in cooperation
labour. under 15 (14) or the minimum legal age which ever is appropriate. with a credible nGo or governmental
l Ensure that the child labour policy includes all key elements to act in the organisation.
interests of the young workers or children: l The policy includes a clause on disclosure and
l Record keeping. an open, collaborative approach to remediation.
l Policy of not employing workers under 15 (14).
l Young worker policy.
l Hazardous work and risk assessments.
l Working hours.
l Remediation.
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d
5a. An Introduction to Wages and Benefits
n
Be
n efit
s
REquIREMEnTS
Wages and benefits paid for a standard hours working week must meet at least national legal minimums or industry benchmarks. Wages should be enough to meet
basic needs and leave some discretionary income. A worker must have information on employment conditions including their wages and benefits before they begin
employment and must be given details on their wages each time they are paid. Deductions for disciplinary reasons should not be made and any other deductions
made must be allowed by law and with the permission of the worker concerned.
GuIdAnCE To Good WAGES And BEnEFITS PRACTICES

The law in most countries sets out the minimum legal wages, sometimes by sector and by grade. However minimum wages are often not adequately enforced by
governments.
Where this minimum wage is not enough to cover a workers basic needs an employer should be working towards implementing a living wage. This is usually
calculated as a wage which will allow a worker to afford basic requirements such as food, water, shelter, education for children and an amount of discretionary
income.
Common problems
The following represent some common issues related to wages and benefits:
l Wages below the minimum wage may be the local norm, but they remain illegal.
l Employers may not be aware or up to date with the minimum legal wage, which in some areas can change frequently.
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l In some countries, it is legal to pay apprentices and trainees only a proportion of the minimum legal wage until they are out of their training. d
n
Be
The training period may be illegally extended as a way of reducing a wages bill. n efit
s
l Piece rates make it more difficult to calculate whether workers are paid the legal wage. Where piece rate workers have insufficient skills, or are
not able to produce because of shortage of materials it is possible they are not able to earn the minimum legal wage in standard hours because of
low output.
l Where laws state that premium rate must be paid for overtime working and the premium is stated e.g. X 1.5 of standard rate, the worker is paid less than the
legal premium e.g. X1. 2.
l deductions (including fines) reduce the workers wages below the minimum legal wage.
l Employers include overtime pay in their measurement of wages against legal minimum. Countries which state minimum wages state they are for a standard
hours work week.
l Workers who are less visible such as subcontractors, home workers, casual workers and service workers such as cleaners or kitchen staff, are especially at risk
of below minimum wages.
l Annual leave and other leave benefits are not paid or given according to law.
l Social insurances are not paid according to law and workers therefore do not get their correct legal benefits if sick or are unable to work.
l Incorrect or incomplete records of hours make it impossible to ensure that workers are receiving minimum wages for standard hours.
l Workers do not receive pay slips and are not aware of how their wages are calculated.
l Workers who are aware that there is a premium rate for overtime working may save up work until overtime to obtain the higher rate, resulting in low output in
standard hours.
Possible Solutions
Long excessive hours are likely to lead to below minimum legal wages as the hourly rate is significantly reduced by the extended hours. Measuring output will give
an employer an idea of productivity, and can permit a reduction in hours with an associated increase in hourly wages, once an employer investigates and increase
productivity.
Legal requirements
l Ensure that managers and staff in the wages office are familiar with the laws on minimum legal wage. Where sectors or skill level alters the minimum legal wage
ensure staffs are up to date with this.
l Ensure that at all workers including piece rate workers are paid at least legal minimum wage for standard hours.
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develop systems. d
n
Be
n efit
l keep accurate records that show standard hours and overtime hours for all workers (including piece rate workers). keep these records for at s
least a year - or longer if the law requires. This will permit the checking of wages against law.
l Create a system to review pay records to ensure that all workers are being paid the relevant legal minimum wage. The calculation for minimum
wage should cover standard hours only.
l Ensure that the review process looks at all wages including overtime and all benefits to verify that all workers are paid at least according to legal requirements.
l Ensure that apprentices and trainees are made up to full worker status with an associated rise in wages, when they are out of their training period (in some
countries there is a legal maximum time for apprenticeships and training periods).
l Where workers are paid piece rate ensure you have a system to record the number of pieces made by each worker along with the hours they work. The piece
rates set for each process should ensure that every worker is paid the minimum legal wage for standard hours.
l Bonus incentives based on increased numbers produced in standard hours will encourage output. This, however can only happen if bottlenecks in production
are investigated and removed, including late delivery of components.
Check practices
l Check that the minimum wage information is up to date and implemented documents should be available of each local minimum wage requirement according
to skill and sector as required.
l Workers should be made aware of wage rates in their contracts.
l Check that piece rate workers are being paid at least the minimum legal wage by multiplying the number of pieces they have made by the rate of pay for each
piece and dividing it by the number of hours worked to find an hourly rate. This should meet at least minimum legal wage.
l Refer to overtime rates in workers’ contracts and ensure they are in line with the law.
l Check that overtime hours are correctly recorded for each worker and that the correct premiums are paid.
l Where deductions are permitted by law, ensure that any social security deductions are documented and clearly marked on workers’ wage slips. Where
deductions are for a service provided such as accommodation or meals, check that the workers have a choice about whether or not to accept that service and
therefore pay the associated deductions. This should be agreed with every worker and they should sign a confirmation.
l Where disciplinary deductions are the normal practice and legally allowed, consider replacing this with an incentive based system, such as an attendance
bonus. This could be agreed with worker representatives to ensure the rewards are seen as fair and appropriate.
l Ensure that workers understand their wages, extra training may be required to ensure this. Making workers aware of their wages and benefits may reduce
worker turnover.
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l Where a site is using contract workers they often have a legal obligation to ensure that these workers are correctly paid even if not directly d
n
Be
employed. Check that any labour provider used is paying correct wages and benefits. n efit
s
l In the case of any home workers check that they are being paid at least the equivalent minimum legal wage for the hours they work. This can
be done by checking the payment for each piece and the number produced per hour. If the rate is too low, home workers are likely to leave,
resulting in interruption to supply.
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c
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d
5b. Wages and Benefits – corrective actions
n
B
ac enef
tio its
For all suppliers it is a MInIMuM REquIREMEnT to meet the local and national laws. It is expected that, where international standards are not ns
being met, suppliers agree to work towards the accepted international standard.
Wages and benefits paid for a standard hours working week must meet at least national legal minimums or industry benchmarks. Wages should be enough to meet
basic needs and leave some discretionary income. A worker must have information on employment conditions including their wages and benefits before they begin
employment and must be given details on their wages each time they are paid. Deductions for disciplinary reasons should not be made and any other deductions
made must be allowed by law and with the permission of the worker concerned.
Issue Short term corrective action Long term corrective action
1. Employees work without l Employees should be paid in accordance with the law for all
payment. hours worked.
l For training schemes etc where purpose is work experience
ensure that schemes are documented and legal.
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c
s a tive
d
n
B
Issue Short term corrective action Long term corrective action ac enef
tio its
ns
2. Employees pay or piece rate l Employees’ wages should at least meet the applicable legal l The employer researches the living wage
earnings below any applicable minimum wage for standard hours or the agreed national in its region and pays a living wage to all
legal minimum wage or agreed benchmark. employees.
national industry benchmark. l Where piece rate performance of a worker is below that l Living wage information can be calculated locally or if
required to make the minimum wage in standard hours their there are workers representatives can be negotiated with
wages should be made up to legal minimums these (collective bargaining).
l Where the wage of a piece rate worker needs to be regularly
‘made up’, the employer should arrange for further training to
increase output or a move to another job which may suit their
skill level.
l Where no national industry benchmark is set (and the country
only has a minimum wage), the employer may conduct a
study of piece rate unit prices or overall wages paid in the
locality and pay wages that meet this level if it is above the
national minimum wage.
3. o/T paid at incorrect l o/T is paid in accordance with the law. l o/T premiums paid are above the legally required rate or
premiums, or not paid for l Employer has a system for keeping up with the law on the rates outlined by the law.
holidays worked. premium pay and sets up an internal audit procedure to
check these are being met.
l In countries with no legally-mandated o/T premium, the
employer researches and meets the prevailing premium paid
on the market.
4. Wages and hours could not l Wages and hour records should be consistent and complete. l note that clients are likely to see falsification of records
be verified due to inconsistent l Records should be well-maintained and facility management as a critical issue.
or incomplete records. should be transparent with auditors/representatives of the l If a site is honest and shows correct records it may be
5. Evidence of deliberate client. downgrade to a major issue rather than critical.
falsification of wage and hours
l A written policy forbidding the falsification of records may be
records (double books).
drafted and signed by facility management.
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Wa orrec
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c
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d
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B
tio its
ns
6. no payroll or time records. l The facility should maintain payroll and time records for the l note that clients are likely to see falsification
length of time required by law. of records as a critical issue.
l The facility may research client requirements regarding the l If a site is honest and shows correct records it may be
length of time for which records should be maintained, and downgrade to a major issue rather than critical.
develop a policy to comply with the strictest of these
requirements (if they are longer than the requirements of local
law).
7. Wages not paid on time. l Wages should be paid on time for regular employees, and l Wages may be paid faster than legal requirements and
severance wages should be paid on time for all employees the prevailing industry standard.
being terminated and/or leaving their positions. l The facility may communicate with workers’.
l Wages may be paid in line with what is the prevailing industry representatives to discuss possibilities for the payment
standard, if this is faster than local legal requirements. of advances in countries in which this is common.
l For wage payment systems that are difficult due to the
method of the calculation of wages, efforts should be made
to automate the process, such as the computerisation of
piece rate wage calculations.
8. Legally required allowances, l All legally required allowances, benefits, and bonuses should l The employer may research the discretionary bonuses
bonuses, or benefits are not be paid in accordance with the law. and allowances paid on the market, and aims to be a
paid or not paid correctly. l Employer should have a system for keeping up to date with leader in terms of the offering of these bonuses.
the law on wages and benefits.
l The employer may research the discretionary bonuses and
allowances paid on the market, and aim to meet these
payments.
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9. Legally required social l Legally required social security payments should be paid to l Site pays all insurances for all employees
security payments are not paid all employees. irrespective of available local exemptions.
correctly. l In areas where local exemptions are possible and legal site
must be up to date with the law and able to prove legal
exemptions.
10. no paid annual leave. l Paid annual leave should be offered to employees in line with l The employer aims to beat industry standard in the
legal requirements. provision of annual (and other types of paid) leave.
l Paid annual leave may be offered in line with prevailing
industry offering, if more beneficial to the employee than what
is required by law.
11. Factory is using home l Where home working, or subcontracting is the norm the
working, other factories, or primary suppliers investigates the overtime premiums paid
other locations as a way of and works with the subcontractor to meet the legal overtime
avoiding paying overtime premiums.
premiums.
12. unreasonable deductions l Ensure that any deductions are allowed by law. l In a site where fines for disciplinary reasons are the norm
from wages. l Where deductions are made ensure that the employee the Employer moves to positive incentives rather than
agrees to these deductions and that there is a signed penalties such as extra rewards for good.
agreement on file. l There is a system for benchmarking deductions for food,
l For fines for disciplinary reasons ensure that it is allowed by accommodation etc against local levels and the site
law and understood by the workers. Employees’ wages are ensures it is line with these.
not deducted in violation of the local law.
l Ensure that all deductions are recorded and legal.
l deductions for lateness should be for actual time late and
not larger intervals.
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13. Isolated inconsistencies l Recordkeeping should be accurate. l Results of audits are checked by a senior
between payroll records, l Employer may develop an internal audit procedure to ensure person and corrective actions undertaken if
payslips, and other records that there are no inconsistencies between documents. required.
(poor record keeping).
14. Payslips not provided with l Payslips should be provided in the language of the workers l For foreign workers, payslips are provided in their native
each payment in the local (even if not required by law). language.
language. l All deductions should be shown and the make up of wages l Employees’ inductions include a thorough explanation of
fully explained to workers. the layout of a payslip.
15. Workers have not been l Workers are informed at the time of employment about how l The contact info (and possibly a photo) of the person
given information, or [do not wages are calculated. responsible for answering wage-related queries at the
understand] how wages are l An ‘oversized example of an anonymous payslip may be facility is provided to all workers on a message board in
calculated. displayed in e.g. the canteen, with an explanation. The a public area.
workers can refer to this in case of questions.
16. Failure to pay meals l Pay meals allowance in accordance with the law. l Communicate with employee representatives regarding
allowance where a legal l Pay meals allowance in accordance with the industry. the amount of meal allowance.
requirement. standard, if this is higher than the legal requirement.
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6a
Wo
rki
6a. An Introduction to Working Hours
ng
ho
urs
REquIREMEnTS
Working hours should meet national laws and benchmark standardswhichever gives the greater protection; workers should not be required to work more than 48
hrs per week and be provided with one day off for every seven days worked on average. Overtime should be voluntary and should not exceed 12 hours per week.
Overtime should not be demanded on a regular basis and should always be paid at premium rate.
GuIdAnCE To Good WoRkInG HouRS PRACTICES

The law in most countries sets out the number of hours of ordinary time and of overtime that a worker is permitted to work each week. however it is common to find
workers exceeding legal limits especially during busy periods.
Common problems
The following represent some common issues related to excessive working hours:
l Routine working of 12-16hrs a day, seven days a week, especially in peak periods.
l Piece work can lead to long hours, where the hours at work are not recorded only the number of pieces made. This is especially true at subcontrators.
l Workers have no choice about whether or not to do overtime. There is no system for them to refuse.
l The better performing workers are given the majority of overtime hours, or a particular section e.g. packing is given excessive hours when a delivery is late.
l Laws on permitted overtime hours are ignored (or not understood) , or local waivers obtained which may be outside of the national permitted limit.
l Where customers take a punitive approach systems may have been developed which are not true records, but are developed to pass an audit.
l overtime not paid at a premium rate, or where it is, workers deliberately going slow, knowing they will be paid premium in overtime hours.
l Late delivery of components, or inadequate planning resulting on peaks and troughs in production and excessive hours when materials arrive.
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Possible Solutions
ng
ho
urs
Long excessive hours, worked routinely, are a risk to quality, productivity and worker welfare. Tired workers are more likely to make mistakes,
have accident and fall ill. If an employer can reduce hours without reducing wages it is likely to mean a more productive workforce who are less
likely to leave.
Legal requirements
l Ensure that managers and supervisors are familiar with the laws on working hours that apply.
l Ensure that any local waiver is kept for inspection and can be verified as legal.
l Ensure that any legal requirements e.g. shorter hours for under 18’s, no night work for women are understood and adhered to.
develop systems.
l keep accurate records that show standard hours and overtime hours for all workers (including piece rate workers). keep these records for at least a year - or
longer if the law requires.
l Ensure there is a responsible senior person making decisions on overtime and that the person has access to weekly and monthly total hours before making that
decision. Alternatively computer systems linked e.g. to swipe cards can ‘flag’ when a worker is approaching their legal limit.
l Create a system where a worker can request not to do overtime and meet that request.
l Ensure that overtime is evenly shared out between workers and departments, training multiple skills where possible so workers can be moved to reduce
bottlenecks.
l understand where the bottlenecks in production are and develop methods to prevent this. as an example, a supplier in China who depended on air drying,
which took 24-48 hrs, reduced drying time to 4 minutes by using a drying tunnel.
Check practices
l Regularly check that workers are not exceeding their limits of overtime hours.
l Make sure that every worker receives a day off in seven days working. If the operations run 7 days a week it will be necessary to rotate the days off given to workers.
l Check that start and finish time are accurately recorded for all workers, even if they are paid by the piece.
l There may be specific job roles which are more likely to work excessive hours. If so, investigate the root cause of the excessive hours and take steps to correct this.
l Ensure that there is a list of young workers, pregnant women or other groups where hours legislation is different and ensure they meet the specialist requirements.
l Where overtime hours are excessive, discuss with customers and develop a step wise approach to reducing hours.
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Wo ecti
cor
rki ve
r
6b. Working Hours
ng
ho
ac urs
tio
For all l suppliers it is a MInIMuM REquIREMEnT to meet the local and national law. It is expected that where international standards are not being ns
For information only a brief summary of the international standard is stated below. This should be used as guidance only as the actual standard should be as per
Working hours should meet national laws and benchmark standard whichever gives the greater protection; workers should not be required to work more than 48
hrs per week and be provided with one day off for every seven days worked on average. Overtime should be voluntary and should not exceed 12 hours per week.
Overtime should not be demanded on a regular basis and should always be paid at premium rate.
1. unreasonable hours are in excess n. B. Most countries specify hours of work below a total of 72 l Set up a monitoring system which flags in the
of 72 hours per week. hrs per week but sites of employment regularly exceed the law. payroll department when a worker is approaching
2. total working hours are in l Suppliers must plan to reduce individual’s hours of work 60 hours of work in a week and inform the
between 60-72 hours or above the below 72 hours with an initial target of 60 hours per week supervisor of that worker.
legal limit whichever is lower. maximum (including overtime). l Ensure supervisors are aware of the maximum 60
3. overtime hours regularly exceed hours of work per week and that overtime hours
l If overtime is necessary there is a system in place where
12 hours per week or local low are evenly spread throughout their team (ensuring
workers can request not to do overtime and there is no
which ever is the lower. team members can “opt out “ of overtime).
penalty for this.
4. standard hours regularly exceed
l keep a record of these requests and make them available for l Introduce a rule that only mangers can agree that
48 or the local law whichever is the
inspection. workers may do overtime (overtime is costly as it is
lower.
paid at a premium rate) , and document this
5. Isolated cases of overtime l develop a schedule which limits overtime including extra
scheme e.g. managers signature is required.
exceeding 12 hours per week of training to allow less busy workers to assist in busy
local law, whichever is the lower. departments e.g. assembly line workers help at packing l Examine bottlenecks in production lines and
6. Isolated cases of standard hours when there is an urgent order to despatch. eliminate them for more efficient and quicker
exceeding 48 hours per week or the workflow.
law, whichever is the lower.
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Wo ecti
cor
rki ve
r
ng
ho
Issue Short term corrective action Long term corrective action ac urs
tio
ns
7. Regular/systematic 7- day l All workers must have 1 day off in 7. l Regularly check hours records to
working. l A maximum continuous working of 10 days may be establish that everyone has one day of
8. occasional/isolated 7 days/week permitted (check the law), but workers must be given 2 days rest per week.
working. off in the following 7 days. l Make it a condition of contract that everyone has a
l Ensure that workers and management are educated in the rest day.
need for 1 day’s rest per week and the risks to safe work
practices and product quality if workers are continuously
working.
9. Wages and hours could not be n. B. a requirement to meet a maximum number of working l Ensure that timecards, clock cards or swipe cards
verified due to inconsistent or hours has led to some employers falsifying records to meet the are handled by workers and not by supervisors.
incomplete records. standards. Sedex members prefer to work with suppliers who are l Check that al automatic systems are accurate and
10. Evidence of deliberate open about the challenges. regularly maintained.
falsification of wages and hours l As a basic requirement suppliers must show correct records
records (double books). for hours worked and wages paid.
11. Isolated inconsistencies
l Records which can be substantiated as accurate will result in
between payroll records, payslips
this issue being recorded as a major non compliance rather
and other records (poor record
than a critical.
keeping).
l Accurate records kept showing standard hours and overtime
hours for all workers (including piece rate workers).
l These records should be kept for a minimum of 12 months
(or the law, whichever is greater).
n. B. failure to make accurate records available will result in
recording of a critical non compliance rather than a major.
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Wo ecti
cor
rki ve
r
ng
ho
Issue Short term corrective action Long term corrective action ac urs
tio
ns
12. Working without legal breaks. l Employer must provide employees with legally required l Ensure that workers and managers are
breaks. aware of this need for regular breaks and
l Ensure that where a legal requirement that workers are given that they know the legal requirement.
breaks as demanded by cultural norms e.g. breaks for l Implement a system which checks breaks are
prayer. being provided and taken.
l Where this occurs ensure that facilities are supplied to meet
requirements, e.g. washing facilities.
13. Pregnant, younger or female l Ensure that pregnant, young workers and female workers l Hours records signal which workers are in these
workers working illegal hours or only work the hours permitted by law. categories and there is an automatic warning
without prior approval from local l Where required ensure that these are registered and agreed system to alert when their hours are close to legal
labour bodies. with the local labour office. limits.
l Ensure that a record is kept of these categories of workers.
l Ensure that supervisors are aware of these workers in their
departments and that they know and use the hours of work
rules.
14. no clear policy on overtime l develop and implement a policy that states maximum l Regularly review the site rules and practices
working and/or policy has not been number of standard hours and overtime hours as well as rest including records to ensure that the policy is
communicated to or understood by days. implemented.
workers. l Ensure that all employees know and understand the policy.
l Convert that policy into practice by including the limits into
standard work practices.
l Ensure that all workers and managers are trained in the
correct management of maximum hours of work.
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7a
dis
cr
7a. An Introduction to discrimination ina
im
t ion
REquIREMEnTS
There should be no discrimination towards anyone based on race, caste, national origin, religion, age, disability, gender , marital status, sexual orientation, union
membership or political affiliation.
GuIdAnCE To Good dISCRIMInATIon PRACTICES

discrimination occurs when a person is treated either favourably or unfavourably due to their personal circumstance, i.e. because of their religion, age, disability,
gender, race, sexual orientation, or union or political membership/affiliation. discrimination can be systemic in some countries/cultures and can lead to an
underclass of workers who lack opportunities to develop and improve.
All workers should be given the same payment for the same work and be given equal opportunities and benefits.
Common problems
The following represent some common issues found which would be classed as discrimination:
l Recruitment based on age, gender or race is common e.g. adverts placed for female machinists between 18 and 30 years of age.
l Men being paid more than women for the same job.
l Migrants or immigrants being given the low paid jobs, with no means of promotion based on ability.
l Promotion is restricted to ‘favourites’ or all supervisors/managers are brought in from other companies and no internal promotion offered.
l All supervisors are male, but most workers are female.
l Women asked to take a pregnancy test before they start work.
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ina
im
l Pregnant women are dismissed so no maternity leave is paid, or are not given their job back after giving birth.
t ion
Possible Solutions
develop systems
l The policies and procedures of any company should ensure all workers are treated equally.
l An equal opportunity policy should be developed and this should be communicated to the workforce.
l Recruitment procedures are particularly subject to discriminatory practices, knowingly or otherwise. no job applicant should be unfairly refused employment
and should only be assessed on their ability to do the job.
Check practices
l Any job offered should be on the same terms as others undertaking the same or similar work (e.g. same pay for the same job), and the type of job offered
should not be based on any discriminatory terms, e.g. women or immigrants given the lower paid work due to their status rather than their ability, or a person
given a supervisors role because he is a friend or family member.
l All workers must have equal access to training, promotion or other job opportunities. Jobs should be clearly advertised to all (either verbally or written) to give
everyone the chance to apply for the position, whether it be a job at the same level (but perhaps a different skill set or department) or a possible promotion.
l It is noted that cultural norms are to be respected e.g. some factories have separate working areas for men and women for religious reasons or certain roles are
traditionally male or female in some countries e.g. in Turkey the pressing and cutting are usually undertaken by men due to the physical nature of the work.
These norms must not be at the expense of fair and equal treatment.
l There should be a clear procedure in place for raising grievances related to discrimination. Grievances are concerns, problems or complaints that workers raise
with their employers. A grievance procedure allows employers to deal with grievances fairly and consistently.
l Ensure there is no pregnancy testing taking place either as part of a recruitment medical or during employment (unless it is required by law). If the law requires a
test for pregnancy the result must not affect whether the person is given employment, whether she remains in employment, or whether her job is downgraded.
l Check what testing is being done as part of the routine medical. In some countries it is mandatory to test for contagious diseases such as T. B. In such a case if
a person is found to test positive they should be directed for treatment, but then offered a position when the treatment is complete.
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dis ectiv
cor
cr e
r
7b. discrimination – corrective actions ina
im
ac tion
tio
There should be no discrimination towards anyone based on race, caste, national origin, religion, age, disability, gender, marital status, sexual orientation, union
1. Sexual abuse or harassment. l All abusive behaviour should be stopped immediately. l Publish the details of an external contact which
l All supervisory staff should attend training on disciplinary workers may get in touch with if concerned about
procedures and how to implement them. reporting internally.
l Provide a confidential complaints mechanism for all workers, l This contact must be made are of their obligations
to report their concerns. to bring all reports to the attention of persons who
will handle the case fairly and without prejudice.
l Establish a fair procedure for investigating complaints.
l Consider hiring an nGo to educate the staff on
l Ensure there is a policy and procedure for dealing with those
correct behaviour and workers on the correct
found responsible for sexual abuse and harassment and
response.
ensure the policy and procedures are communicated to all
staff. l offer counselling service to any victim(s) identified.
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dis ectiv
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cr e
r
ina
im
Issue Short term corrective action Long term corrective action ac tion
tio
ns
2. dismissal of Pregnant workers. l The discriminatory practice must stop. l nominate a representative acting as
3. Pregnancy testing of. l Where possible re-employ dismissed workers. discrimination officer.
employees/potential recruits l Publish the details of an external contact which
l Remove discriminatory requirements for recruitment.
4. Evidence of discrimination in workers may get in touch with if concerned about
hiring, compensation, access to l Where pregnancy testing may be a legal requirement ensure
reporting internally (external whistle blowing
training, promotion, termination or the results are not used for discriminatory purposes.
service).
retirement based on race, caste, l develop anti-discrimination policy and procedures.
l This contact must be made are of their obligations
national origin, religion, age,
to bring all reports to the attention of persons who
disability, gender, marital status,
sexual orientation, union
5. not meeting legal requirements l Risk assessment undertaken for this employee type and l nominate a representative acting as discrimination
on working conditions for pregnant, identified actions implemented. officer.
post partum or lactating women. l Immediate change of factory working conditions to ensure l Publish the details of an external contact which
legal requirements are met for this employee type. workers may get in touch with if concerned about
service).
6. Women returning from maternity l Ensure affected women receive equivalent pay and position l nominate a representative acting as discrimination
leave not given equivalent position as per their contract after their maternity leave. officer.
and pay. l develop anti-discrimination policy and procedures. l Publish the details of an external contact which
workers may get in touch with if concerned about
service).
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dis ectiv
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cr e
r
ina
im
Issue Short term corrective action Long term corrective action ac tion
tio
ns
7. Suspicion of discrimination – no l The discriminatory practice must stop. l nominate a representative acting as
proof. l Where possible re-employ dismissed workers. discrimination officer.
l Remove discriminatory requirements for recruitment. l Publish the details of an external contact which
workers may get in touch with if concerned about
l Where pregnancy testing may be a legal requirement ensure
the results are not used for discriminatory purposes.
service).
l develop anti-discrimination policy and procedures.
8. Lack of transparency/lack of l development of anti-discrimination policy and procedures. l Ensure that workers know the person nominated to
policies on employment practices. l Ensure that all policies on discrimination are written down, act as the discrimination officer.
9. no policy on discrimination. published and understood by all employees. l Where an external whistle blowing service is in
l Include no discrimination training in an employees induction place ensure that it is publicised and that all
training. workers know the procedure.
l Ensure that any investigations and the actions taken are
recorded.
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8a
Reg
ula
r
8a. An Introduction to Regular Employment
em
p lo
ym
ent
REquIREMEnTS
Work should be based on a recognised employment relationship according to law and practice; social security and regulations resulting from a regular employment
relationship should not be avoided by labour only contracts, subcontracting, homeworkers, apprentice schemes where there is no intention to impart skills, or the
use of repeated excessive fixed term contracts.
GuIdAnCE To Good REGuLAR EMPLoYMEnT PRACTICES

Most countries will have laws about the need for employment contracts and the rights that workers have under that contract. It is also usual for countries to have
laws which cover the length of temporary employment contracts and probationary period.
Issues can occur when workers are unsure about their contractual arrangements with their employer.
When there is no agreed contract it is possible that workers are kept on temporary contract only, for a longer time than that which is permitted by law.
Probationary periods may be for longer than the legal permitted maximum , and in all these cases wages and benefits may be reduced and job security affected.
In addition workers may be given entitled benefits, including work being terminated without the legally required notice.
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Reg
ula
emr
Common problems p lo
ym
The following represent some common issues found which would be classed as not complying with “Regular Employment” requirements: ent
l Contracts of employment not developed.
l notice periods not given.
l Terms and conditions not explained to workers.
l Changes to terms and conditions without consultation.
l Excessive probation periods.
l Repeated temporary contracts.
Possible Solutions
develop systems
l Implement Human Resources system to manage all legally and client specific requirements relating to contractual arrangements.
l Ensure all recruitment systems identify, manage and deliver the terms and conditions that workers are entitled to.
l develop systems to monitor employment agencies to ensure they provide contracts and entitled terms and conditions to agency workers.
Check practices
l Clearly written contracts provided to workers containing all terms and conditions signed by both parties.
l Supply workers with copy of contract before they start work.
l Give workers 1 month notice for any change to contracts (or the legal requirement if greater).
l discuss Terms and Conditions with workers prior to employment.
l Workers are should not be required to sign blank papers or resignation letters.
l Employer should not change terms or conditions without consulting workers.
l Ensure that on completion of the probation period the worker is moved to a permanent contract or other contract type agreed by the worker. Check that all
remuneration is correctly adjusted on completion of probation.
l Workers are should not be fired and rehired to avoid paying benefits such as holiday pay or increased grading increment.
l Agency workers should receive full legal and social security entitlements.
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Reg orrec
c
ula tiv
re e
8b: Regular employment – corrective actions p lo
m
ac y m e
tio n
For all suppliers it is a MInIMuM REquIREMEnT to meet the local and national laws. It is expected that where international standards are not being ns t
Work should be based on a recognised employment relationship according to law and practice; social security and regulations resulting from a regular employment
relationship should not be avoided by labour only contracts, subcontracting, homeworkers, apprentice schemes where there is no intention to impart skills, or the
use if repeated excessive fixed term contracts.
1. Complete absence of contracts. l Clearly written contracts provided to workers containing all l Supply workers with copy of contract before they
2. Agency does not meet national terms and conditions signed by both parties. start work.
requirements as a labour provider. l notify workers of any changes to contracts. l Give workers 1 month notice for any change to
3. Isolated absence of contracts. contracts.
l Contracts contain as a minimum remuneration, hours of
4. Copies of terms and conditions
work, pensions, sick and holiday entitlement). l discuss terms and conditions with workers at
not provided to workers.
l keep a copy of the signed contract in the workers file. induction session.
5. Workers are required to sign l Practice must cease immediately and any existing papers l Inform workers at their induction training of the
blank papers, resignation letters. destroyed. correct resignation procedure and notice period.
l Workers are made aware of this change. l Ensure this training is given to all exisiting
l Internal procedures are re –written to ensure this practice is employees.
not repeated. l Ensure this training is documented.
l Workers clearly understand the procedure for resignation and
dismissal.
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8b
Reg orrec
c
ula tiv
re e
p lo
m
Issue Short term corrective action Long term corrective action ac y m e
tio n
ns t
6. Absence of clear, understandable l Clearly written contracts provided to workers containing all
written terms and conditions of terms and conditions signed by both employer and worker.
employment which comply with l These contracts must meet the local law.
local law and are signed by workers.
7. Facility imposing additional terms l Give workers 1 month notification of change to contract. l Stop additionally imposed terms until contract
or requirements on worker after l Ensure they agree with the new conditions and that they sign negotiations have been completed& the new
employment contract signed. the new contract. contract signed by both parties.
l Provide method for workers to discuss changes to contract
with manager and worker rep.
l Ensure there a procedure for workers to raise their concerns
on any new terms and conditions.
8. Probation periods exceeds legally l Where there is a legally accepted probation period ensure l Ensure that on completion of the probation period
allowed period. this is not extended. the worker is moved to a permanent contract or
l Where there is no guidance in law, ensure that the probation other contract type agreed by the worker.
period is reasonable. l Check that all remuneration is correctly adjusted on
l Agree the probation period terms with the individual, the completion of probation.
worker rep or union.
9. Subcontractor failing to meet l Ensure you have a service level agreement with all sub l Provide corrective action plan to subcontractor with
labour standard. contractors. timeframes.
l Ensure they understand their obligations as per the
customer/supplier agreement.
l Assess subcontractor risk via site visit, self assessment or
audit.
l Where the laws requires it ensure that you check the terms
and conditions of the subcontracted workers and that you
make up any short falls in their terms and conditions.
TS
74 NTE N
CO
O
KT
BAC
8b
Reg orrec
c
ula tiv
re e
p lo
m
tio n
ns t
10. Workers are fired and rehired to l Immediately stop this practice. l Supply worker with copy of contract
avoid paying same terms and l Issue clearly written permanent contracts containing all terms before they start work.
benefits as for permanent workers. and conditions signed by both parties. l Give workers 1 month notice for any change to
11. Workers are consistently contracts.
l notify workers of any changes to contracts.
employed on temporary contracts.
l Ensure there is a system for checking legal requirements on l discuss terms and conditions with workers at
length of contract and use of repeated short term/temporary induction session.
contracts (illegal in most countries).
12. Agency workers not receiving l Ensure that labour provider agency is paying all legally l undertake independent audit of agent.
full legal and social security required social security entitlements and all benefits to
entitlements. agency workers as required by local law.
13. unreasonable payment of fee to l Where the law does not permit agency fees paid by workers l undertake independent audit of agent.
agent by the worker in own home or ensure that all monies previously paid are returned.
host country. l select recruiting agents after checking their systems and
ensure any legally allowed fee payment is reasonable.
l Ensure information that workers receive clearly states what
the agent fees. will be.
14. Agencies are charging workers l recruiting agents stop this practice immediately and comply l undertake independent audit of agent.
fees which exceed relevant legal with local law.
limits. l Ensure information that workers receive clearly states what
the agent fees. will be.
TS
75 NTE N
CO
O
KT
BAC
8b
Reg orrec
c
ula tiv
re e
p lo
m
tio n
ns t
15. Workers are not receiving l Clearly written contracts containing all terms and conditions l discuss terms and conditions with
employment contract in home signed by both parties are given to workers in home country. workers at induction session, ensure they
country and/or having additional l These conditions remain when they reach their place of work. are as understood in their home country.
contract when in country of work.
l notify workers of any changes to contracts.
l Terms and conditions shall include as a minimum
remuneration, hours of work, pensions, sick and holiday
entitlement.
16. Contract not accurate or up to l Clearly written contracts containing all terms and conditions l Supply worker with copy of contract before they
date. signed by both parties) start work.
l Compliance with local laws as a minimum l Give workers 1 month notice for any change to
l notify workers of any changes to contracts. contracts.
l terms and conditions shall include as a minimum l discuss terms and conditions with workers at
remuneration, hours of work, pensions, sick and holiday induction session.
entitlement. l Ensure that any necessary new conditions of work
l Reguarly check that terms and conditions of the contract are not introduced until an agreement has been
accurately reflect the work conditions. made and signed. This can be done with worker
representatives where they exist (collective
l If necessary renegotiate any changes before altering
bargaining).
contracts.
TS
76 NTE N
CO
O
KT
BAC
9a
dis
pl
9a. An Introduction to discipline
ci
ine
REquIREMEnTS
The threat of actual physical abuse or discipline, sexual harassment, verbal abuse are prohibited.
GuIdAnCE To Good dISCIPLInE PRACTICES

Most countries will have laws which prohibit the mistreatment of workers as well as laws covering harassment and the use of fines. It is important to know those
laws and to follow them. Where there is a breach of those laws disciplinary procedures should be implemented against any guilty parties.
Examples of behaviour which constitutes mistreatment include:

Verbal abuse, shouting, threat of abuse, bullying and threats, illegal fines, sexual abuse, beatings, humiliating punishments.
Common problems
l Intimidation or bullying is more likely to occur if respect and communication is poor between supervisors and workers, and if supervisors are not trained in good
human resources management.
l In some workplaces, employees do not understand the system of punishment or fines. Levels of fines are very high in some countries, especially China. Fines if
legally allowed should be of a reasonable amount, and the reasons for the fines clearly understood by the worker.
l There are no guidelines on acceptable disciplinary practices and supervisors may resort to unacceptable practices especially when under production pressure.
l There is no grievance procedure for workers to report harassment or bullying and no procedure to investigate such practices.
TS
77 NTE N
CO
O
KT
BAC
9a
dis
Possible Solutions pl
ci
ine
develop systems
l Publicise what is the expected standard of behaviour, which includes the prohibition of harassment of any form and bullying.
l Inform workers about disciplinary procedures include it in their induction.
l Introduce and publicise a system for workers to raise concerns reference bullying or intimidation. If necessary this should be in confidence.
l Introduce a system which positively rewards acceptable behaviour e.g. award points for a teams’ consistent punctuality and the team with the most points gets
a bonus.
l Set up a system to investigate any allegations of harassment promptly and fairly.
l Ensure all recruitment systems identify, manage and deliver the terms and conditions that workers are entitled to.
l develop systems to monitor employment agencies to ensure they provide contracts and entitled terms and conditions to agency workers.
Check practices
l Is the policy on acceptable behaviour understood by all workers and supervisors.
l Is there a method by which workers can report bullying etc. and is it understood by all workers.
l Are allegations investigated promptly and fairly. Is the possible disciplinary outcome understood by all persons involved in an accusation of harassment.
l Is there training for supervisors and managers on the importance of good communication with, and respect of, workers.
TS
78 NTE N
CO
O
KT
BAC
9b
cor
dis tive
rec
pl
9b. discipline – corrective actions
ci
in
ac e
tio
The threat of or actual physical abuse or discipline, sexual harassment or other harassment, verbal abuse, are prohibited.
1. Any physical punishment or l All abusive behaviour should be stopped immediately. l Consider hiring an nGo to educate supervisors on
sexual harassment of workers. l All supervisory staff should attend training on disciplinary correct behaviour.
2. Supervisors or managers taking procedures and how to implement them. l Introduce confidential external whistle blowing
bribes including sexual favours from l ensure that anyone found guilty of abusing other individuals service.
workers. undergoes disciplinary action. l Communicate changes to policy to all members of
3. Extreme verbal abuse. Appoint member of staff to take overall responsibility for
l staff.
4. Shouting or swearing at or other discipline.
forms of verbal abuse of workers. l Establish a log of disciplinary action, follow-up and
l Closely monitor behaviour improvements. outcome and review the log at regular intervals to
l provide a confidential grievance/complaints mechanism for all ensure procedure is being followed.
workers to be able to report their concerns.
5. unreasonable personal body l Where body searches are necessary ensure that they respect l Ensure workers are aware that searches may be
searches. the cultural norms, e.g. only women search women. conducted.
l Ensure that any searches do not delay workers leaving after l Carry out spot checks only ensuring these are on a
their shift. random selection of workers.
l Searches must be carried out in private respecting the dignity
of the individual.
l Train staff in correct search procedures.
l Consider where searches are essential and review
procedures.
TS
79 NTE N
CO
O
KT
BAC
9b
cor
dis tive
rec
pl
ci
in
Issue Short term corrective action Long term corrective action ac e
tio
ns
6. no formal disciplinary or l All employers should operate a compulsory disciplinary l If union is present at facility, make
grievance procedure. procedure and employees should be made aware of this in a sure they are aware of the procedure and
7. Rules and disciplinary action not language/format they understand. agree to its content.
transparent and/or documented. l Formal discipline procedures should be developed and l Investigative methods should include informal and
8. Inadequate disciplinary/grievance available to all staff, in a format/language they understand. formal approaches.
procedure. This may require verbal explanation or the use of graphics. l Guidance timescales should be given for
l Procedure should include: procedures.
l Clear guidance on actions by workers which result in l Copy of procedure can be posted on notice board
disciplinary action. for greater visibility.
l Clear explanation of the response to expect from
l Make procedure available in all languages of
management.
workforce.
l The stages of warnings expected before a disciplinary
hearing/meeting.
l Employees rights, including the right to appeal and to
have third party representation.
l Provide an induction for all new starters, explaining the
company rules and regulations, including disciplinary
procedures.
9. Managers and supervisors do not l develop and deliver training programme on the disciplinary l Ensure there is also a confidential
follow the disciplinary procedure. procedure to all supervisory staff in a language/format they grievance/complaints mechanism available to all
understand. workers.
l The approach to discipline and grievance should be l Establish a log of disciplinary action, follow-up and
consistent across the whole company with all staff following outcome and review the log at regular intervals to
the procedure carefully. ensure procedure is being followed and identify any
l Appoint senior manager to take responsibility of process. further training that may be required.
l Implement a follow-up system for all reported grievances to l Introduce external whistle blowing service.
ensure consistent approach.
TS
80 NTE N
CO
O
KT
BAC
9b
cor
dis tive
rec
pl
ci
in
tio
ns
10. Failure to discipline l disciplinary procedure should include all staff including, l Establish a log of disciplinary action,
supervisors/managers or fellow supervisors and managers and a written copy should be follow-up and outcome and review the log
workers who abuse workers. given to all workers at the beginning of their employment. at regular intervals to ensure procedure is being
l Formal discipline procedures should be developed and followed and identify any further training that may
available to all staff, in a format/language they understand. be required.
This may require verbal explanation or the use of graphics.
l Procedure should include:
l Clear explanation of the response to expect from
management.
l The stages of warnings expected before a disciplinary
hearing/meeting.
l Employees rights, including the right to appeal and to
l Provide an induction for all new starters, explaining the
procedures.
l If union is present at facility, make sure they are aware of the
procedure and agree to its content.
l Investigative methods should include informal and formal
approaches.
l Content of procedure should include examples of actions,
which will result in disciplinary measure being used.
l Guidance timescales should be given for procedures.
l Copy of procedure can be posted on notice board for greater
visibility.
l Make procedure available in all languages of workforce.
TS
81 NTE N
CO
O
KT
BAC
9b
cor
dis tive
rec
pl
ci
in
tio
ns
11. disciplinary and grievance l All employers should operate a minimum standard l If union is present at facility, make
procedures not communicated compulsory disciplinary procedure and employees should be sure they are aware of the procedure and
to/not understood by workers. made aware of this in a language/format they understand. agree to its content.
l Formal discipline procedures should be developed and l Investigative methods should include informal and
available to all staff, in a format/language they understand. formal approaches.
This may require verbal explanation or the use of graphics. l Content of procedure should include examples of
l Procedure should include: actions, which will result in disciplinary measure
l Clear explanation of the response to expect from being used.
management. l Guidance timescales should be given for
l The stages of warnings expected before a disciplinary procedures.
hearing/meeting.
l Copy of procedure can be posted on notice board
l Employees rights, including the right to appeal and to for greater visibility.
l Make procedure available in all languages of
l Provide an induction for all new starters, explaining the workforce.
procedures.
12. unreasonable policy and l Employers should stop the practice immediately. l If fines are considered necessary and are legal,
practice of fining workers for l Remove the fine policies and suggest the use of procedural agree with the workforce or their representatives
breaking rules. means. what is reasonable.
13. Workers fined an unreasonable l Ensure that fines and rules are fully understood by
l Investigate the cause of the issue and ways in which it can
amount for lateness. all.
be addressed without fining.
l Provide training for entire workforce to emphasis the l develop a system on positive rewards rather than
importance of punctuality, impact of lateness, necessity of penalties. e.g. reward for consistent punctuality.
the rules and the reasons to adhere to them.
TS
82 NTE N
CO
O
KT
BAC
The Sedex corrective actions document has been produced for guidance only.
It has been prepared by the Sedex Associate Auditor Group at the request of A and AB members.
Corrective Actions Guidance is a partner to the SMETA non Compliance Guidance, and is produced for Sedex members to give some ideas on “what good looks like“.
For more information on Sedex please go to www.sedex.org.uk

or email info@sedex.org.uk

Guía de Buenas Prácticas - SMETA 6.0

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Sedex Members Ethical Trade Audit (SMETA)

Corrective Action Guidance

Short term corrective actions:

Long term corrective actions:

CoRRECTIVE ACTIonS BY CLAuSE

1a Employment freely chosen 7 4a Child labour 43

1b Employment freely chosen – corrective actions 10 4b Child labour – corrective actions 46

2a Freedom of association 15 5a Wages and benefits 52

2b Freedom of association – corrective actions 17 5b Wages and benefits – corrective actions 56

3a Health and safety 23 6a Working hours 61

3b Health and safety – corrective actions 26 6b Working hours – corrective actions 63

3.1b Fire safety – corrective actions 26 7a discrimination 66

3.2b Buildings – corrective actions 30 7b discrimination – corrective actions 68

3.3b Management systems – 8a Regular employment 71

GuIdAnCE To Good EMPLoYMEnT FREELY CHoSEn PRACTICES

Possible verification evidence:

Issue Short term corrective action Long term corrective actions

GuIdAnCE To Good FREEdoM oF ASSoCIATIon PRACTICES

Issue Short term corrective action Long term corrective actions

GuIdAnCE To Good HEALTH And SAFETY PRACTICES

Common problems are:

3.1: Health and Safety – Fire

GuIdAnCE To Good CHILd LABouR PRACTICES

These special conditions can include:

Possible verification evidence:

GuIdAnCE To Good WAGES And BEnEFITS PRACTICES

Issue Short term corrective action Long term corrective action

GuIdAnCE To Good WoRkInG HouRS PRACTICES

Issue Short term corrective action Long term corrective action

GuIdAnCE To Good dISCRIMInATIon PRACTICES

Issue Short term corrective action Long term corrective action

GuIdAnCE To Good REGuLAR EMPLoYMEnT PRACTICES

Issue Short term corrective action Long term corrective action

GuIdAnCE To Good dISCIPLInE PRACTICES

Examples of behaviour which constitutes mistreatment include:

Issue Short term corrective action Long term corrective action

For more information on Sedex please go to www.sedex.org.uk

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