SA8000 Audit Report

* Example Report *

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 SA8000 Social Responsibility Audit Rev.
GUIDELINES 1

PURPOSE: This audit is based on defined criterion for social accountability. Scoring is based on the supplier's ability
to meet the requirements. The audit focuses on factors that would result in non compliance to the social accountability
standard. The intent of the audit based on the requirements of SA8000 and national/local laws is to provide useful
assessment information for making sourcing decisions and reducing associated risks.
SCORING:
Scores are assigned based on what is done for the Pro QC client regardless of what is done for other clients. For
example, if control plans are developed for other clients but not for the Pro QC client, the score must be NC. Scoring
must be explained to the supplier at the opening meeting.
Complies with the Requirements = C
Improvement Needed = I
Non-Conformance Found = NC
N/A = Does Not Apply

GUIDELINE FOR SCORING CONFORMANCE:

Each question is assessed for conformance to the requirements of SA8000, and the auditors knowledge of the
product and/or process This must be clear to the supplier at the opening meeting.
Complies with Requirements =
- Has objective evidence to support the question, and
- Has a written procedure (when required).
Improvement Needed =
- Has objective evidence, but procedure needs improvement.
- Has objective evidence, but no written procedure.
- Has written procedure, but is lacking some objective evidence to support the question.
Non-Conformance =
- No objective evidence to support the question (regardless of the procedure).
- Lacking some objective evidence and no written procedure.

RESULTS/RECOMMENDATIONS: (Automatically Calculated)

The score is based on the percent of questions that Complies with Requirements, percent that Needs Improvement,
and the percent that have a Non-Conformance. Each client should review how the supplier was evaluated for each
question and base their decisions on factors that are important to their organization and product(s).
AUDIT REPORT:
The following sections are completed by the auditor:
- Scope of the Audit
- Recommendations
- Strengths of the Supplier's Quality System and Manufacturing Process
- Opportunities for Improvement (Weaknesses in the Supplier's Quality System and/or Manufacturing Process)
RESULTS REVIEW WITH SUPPLIER:
The auditor should review the audit results with the supplier, but cannot provide the supplier a copy of the audit. The
audit is the property of the client.

CORRECTIVE ACTIONS:
It is recommended that the client request a corrective action (improvement plan) based on the results of the audit. The
improvement plan should include the following:
- Detailed description of action plan.
- Name of the person responsible for the improvement activity.
- Date when the improvement will be completed.
 SA8000 Social Responsibility Audit Rev.
SUMMARY 1
Supplier Name Audit Date Report No.
XXXXXXX DD/MM/YYYY XXXXXXX

SUPPLIER'S INFORMATION CLIENT'S INFORMATION

NAME : NAME :
XXXXXXX XXXXXXX

ADDRESS : XXXXXXX ADDRESS : XXXXXXX

CITY : XXXXXXX CITY : XXXXXXX

COUNTRY : XXXXXXX COUNTRY : XXXXXXX
PHONE : XXXXXXX PHONE : XXXXXXX
FAX : XXXXXXX FAX : XXXXXXX

SUPPLIER'S PERSONNEL PARTICIPATING

Mr./Mrs. XXXXXXX Title: XXXXXXXX Email: XXXXXXXX
Mr./Mrs. XXXXXXX Title: XXXXXXXX Email: XXXXXXXX
Mr./Mrs. XXXXXXX Title: XXXXXXXX Email: XXXXXXXX
Mr./Mrs. XXXXXXX Title: XXXXXXXX Email: XXXXXXXX
Mr./Mrs. XXXXXXX Title: XXXXXXXX Email: XXXXXXXX
Mr./Mrs. XXXXXXX Title: XXXXXXXX Email: XXXXXXXX
Mr./Mrs. Title: Email:

PRO QC PERSONNEL PARTICIPATING

Mr./Mrs. XXXXXXXXXX Title: Auditor Email: XXXXXXX
Mr./Mrs. XXXXXXXXXX Title: Reviewer Email: XXXXXXX
Mr./Mrs. Title: Email:

Scope : SA8000 - Social Responsibility Standard

AUDIT RESULTS

Category Nb. Ques. % 20.5 5.5%&

%&
Complies with Requirements ( C ) 54 74.0%

Improvement Needed ( I ) 15 20.5%

Not-compliance to Requirements (NC) 4 5.5% 74.0

%&
Not Applicable (N/A) 6
73
RECOMMENDATIONS

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

System is acceptable, with minor nonconformities noted. You could use this
supplier, and keep pushing for improvements.

System has several major issues noted. You could temporarily use this supplier and
request immediate corrective action in case of long-term business.

There are serious major issues with this supplier that could impact in your business.
The better solution will be to source for another supplier.
 SA8000 Social Responsibility Audit Rev.
AUDIT REPORT 1
Supplier Name Audit Date Report No.
XXXXXXX DD/MM/YYYY XXXXXXX

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

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

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

Opportunities for Improvement:

1) The company has an established Social Accountability Manual (# M-02, V2), but needs to be approve and train.
2) A notice in the dormitory bulletin board announcing that residents will be fined NTD 100 ~ 50,000 if they do not turn off the
power or are found smoking at non-smoking area. Supplier should use other means to implement.
3) The facility must develop policy or procedure to evaluate their supplier/ contractors for implementation for SA.
4) An open power switch control container with exposed electric terminal was found near the walkway, in order to let the
power breaker radiate. Dangerous: Should change to other methods to radiate, such as exhaust fan.
5) Some fumes at the defect glass recycle process; found visible fumes during break glass by pressure.
6) Xylene odors filled the ink storage room because no window or equipped exhaust fan or air conditioner is in this
room. This will be harmful to human health and also shorten the life of the ink causing deterioration of printing
quality. Should improve the draft equipment.
7) Dimly lit in walkway and warehouse in order to save the electricity. Should be improved as soon as possible.
8) Please refer additional improvement items in "AUDIT CHECKLIST" section of the report.
 SA8000 Social Responsibility Audit
AUDIT CHECKLIST
Supplier Name
XXXXXXX
C = Complies with the requirements, I = Improvement Needed, NC = Not Complies, N/A = Not Applicable
QUESTIONNAIRES EVIDENCE TO CHECK
1 CHILD LABOR
1.1 Does the company know the Ask HR department or individual
minimum legal working age? responsible for hiring employees. Ask
if that person has a documented
national law in which the minimal
working age is written.
1.2 Does a written policy exist at Review policy and record the
the company addressing legal document number in which this policy
minimum age or 15, whichever is written.
is greater?
1.3 What are the procedures the Review the procedure, and ask the
company follows to verify the audited person to explain the
age of its employees? procedure
1.4 Are ages of all employees Select 5 employees (of apparent
checked prior to hiring? youngest age) at each workshop,
record their name and ID, ask them
their age, year of birth, date of hire.
Ask them if their employer asked for
age identification at the time of their
hiring. Cross check employee
information with HR records.
1.5 Are any employees found to be Record the name of the worker(s) None found. The company has no
under the minimum legal age found to be under minimum legal age employees under the age of 15.
or 15, whichever is greater, or 15. Possibly take a photo of the
during the audit review? worker(s).
1.6 Does the organization have a Check if any or more of following
remedial program for under remedial programs is planned :
age-hired workers? a) Hire one of his or her family
members.
b) Send them to school.
c) Feed them.
d) Pay for them to go home.
Record the documented number in
which this program is written
Rev.
1
Audit Date Report No.
DD/MM/YYYY XXXXXXX
FINDINGS SCORE
Yes, HR Manager Mr. XXX knows the
minimum legal working age is 16
years old according to national law.
The government's law is available --
"Labor Standard Act". C
Yes, Worker Administration Procedure
(WAP) in place (issue date 2009-10-
21) specifies the minimum legal
working age must not be less than 16
years old, which complies with C
national legislation and regulations.
Follow the WAP to verify the age from
the ID card and record on personal
records. C
Yes, following employee data was
checked.
1.ID# 146.age=18, hire date=2008-10-
6
2.ID# 100.age=26, hire date=2009-12-
21
3.ID# 124.age=23, hire date=2008-9-
1 C
4.ID# 142.age=30, hire date=2010-1-
11
5.ID# 199.age=28, hire date=2010-1-
25
C
Remedial procedure exists. (No#.
SP4-12), The content conforms to the
SA 8000 standard.
C
 SA8000 Social Responsibility Audit Rev.
AUDIT CHECKLIST 1

Supplier Name Audit Date Report No.

XXXXXXX DD/MM/YYYY XXXXXXX

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

QUESTIONNAIRES EVIDENCE TO CHECK FINDINGS SCORE

1.7 Has the organization
implemented the remediation
program as defined?
If there is an under age-hired
worker(s), check the record of
implementation of remediate program.
If not then this question is not
applicable.
The company has no use of child
labor. They did not yet have an
opportunity to implement defined
remedial action. No available N/A
evidence.

1.8 Are there work restrictions of
any of the workers under the
age of 18 or for pregnant
workers?
Review the restrictions (if any). Are
the restrictions documented and fairly
enforced? If restrictions do exist,
check the restricted work areas for
compliance.
Procedure exists (SA Manual# M-02 &
SP4-15), Pregnant workers work at
less strenuous area (office) during
pregnancy. The company does not
reduce wages. C

2 FORCED & COMPULSORY LABOR

2.1 How does the company ensure
it does not use prison labor or
forced labor and that all
workers are doing so
voluntarily?
1. Let them explain the steps they
follow to verify that prison labor or
forced labor are not used at the
company and that all workers are
doing so voluntarily.
2. Review the procedures/ practices.
1. Checked three workers that factory
does not hire prison labor, or practice
force, coercion, detention, or other
illegal practices to coerce a worker to
perform work. C
2. The procedure is available -- No#.
SP4-13.

2.2 Does each personnel Select five employees at each Check five records of personal files
employed at the facility have a workshop who are paid directly by the have signed the work contract and all
written contract? facility. Check their contract and meet the legal minimum wage
record the ID number of employees requirement.
checked. Check if the remuneration is 1.ID# XXX146. $20100
written in the contract. 2.ID# XXX100, $25000 C
3.ID# XXX124, $17280
4.ID# XXX142. $25200
5.ID# XXX199. $24000

2.3 Does the Company employ If there is no guest or temporary
guest workers or temporary worker, then not applicable. If
labor? applicable check the employment or
business contracts to evaluate the
employee payment conditions.
Yes, they have temporary labors
under contract from a manpower
supplier agency. This is a government
recognized manpower company.
Contract #TADOS 2010030002.
Have checked the contents of the
contract. The company also maintains C
records to demonstrate conformance
to the requirements of national law .

2.4 Do all employees receive
paychecks or some other form
of documentation detailing their
earnings (Pay for normal
working days, overtime,
holiday, leaving,
deductions…etc)?
Select five employees at each
workshop who are paid directly by the
facility. If temporary agencies pay the
temporary workers check five of those
pay records also. Check for existence
of paychecks.
Yes, checked a total of ten workers
(five full time + five temp), and all
received wage notes.
ID#-0708M155, 08100006.
C
 SA8000 Social Responsibility Audit
AUDIT CHECKLIST
Supplier Name
XXXXXXX
C = Complies with the requirements, I = Improvement Needed, NC = Not Complies, N/A = Not Applicable
QUESTIONNAIRES EVIDENCE TO CHECK
2.5 Are all employees free to stop Interview five employees at each
their employment at the workshop who are paid directly by the
factory? facility. Ask them what the top
management will do if they decide to
stop their employment at the factory.
2.6 Is there any evidence of forced, Regardless of the reason why, if any
bonded, or involuntary prison of these conditions are identified,
labor used at the site? score "NC"
3 HEALTH & SAFETY
3.1 Is there a documented A list of potential accidents or hazards
investigation of risk, accident, that could impact all or one employee,
or hazard that could potentially including potential source, During
happen in the company? factory visit, check if there is an
aspect that was not identified in the
list.
3.2 Is there a documented safety What hazards exist in the factory?
program at the factory to And how does the factory plan to
respond in preventive way to avoid workers from being injured?
any identified potential risk?
3.3 Who is the factory Check the nomination letter of the
representative responsible and health and safety representative.
accountable for health and Check if there is a job description
safety? documented. Interview five
employees at each workshop and ask
if they know who the health and safety
representative is. Check what
competence or training he/she has.
3.4 Are lighting levels adequate in Lighting should be of a high enough
the facility? level to allow adequate visibility for
workers to safely conduct activities.
Evaluate three main work areas plus
one office area. List areas and
findings.
Rev.
1
Audit Date Report No.
DD/MM/YYYY XXXXXXX
FINDINGS SCORE
1.Yes, local workers have freedom to
resign and leave at any time.
2.Foreign workers' passports are held
by the agency to prevent them from
breaching contract. However, he is
free to decide to lift contract at any NC
time, and the individual can get back
his/her passport and go back to
country of origin.
No evidence can be detected.
C
Some procedures exists(Hazard
Identification and Risk Assessment
Procedure # SP4-02), but little risk
investigation documentation.
I
A procedure exists (Emergency
Response and Treatment Procedure
SP4-08), but not systemic. I
Mr. XXX iis Health/ Safety
Representative. Auditor asked five
people who all said they know him
because he instructs industrial safety
training.
C
The operational site and office
illumination is sufficient,
but lighting levels in the shop floor
walkway and warehouse are too low. I
 SA8000 Social Responsibility Audit
AUDIT CHECKLIST
Supplier Name
XXXXXXX
C = Complies with the requirements, I = Improvement Needed, NC = Not Complies, N/A = Not Applicable
QUESTIONNAIRES EVIDENCE TO CHECK
3.5 Are there excessive odors, If fumes, odors or dust exist are they
fumes or dust in the facility? immediately irritating? Have
concentration levels been checked?
Are dust clouds visible such that
particulate matter settles out in the
facility (and on workers)?
3.6 Is Personnel Protective Identify three jobs, preferably more
Equipment (PPE) provided and hazardous jobs or more common
used as appropriate? jobs. Evaluate what the correct level
of PPE is for the jobs. Is this level of
PPE provided? Is it worn correctly and
when necessary?
3.7 Are hazardous materials Identify three hazardous materials
handled in a safe manner? and evaluate the handling and
storage practices. Consider PPE
usage and environmental concerns.
Rev.
1
Audit Date Report No.
DD/MM/YYYY XXXXXXX
FINDINGS SCORE
1.Some fumes detected at the defect
glass recycle process, break glass by
pressure,(crushing, pulverized). They
have dust control and measurement
by EHS agency four times every year.
Records checked. 2008-8-26,2009-2-
26,2009-8-26,2010-2-26.
Workers wear general purpose masks
but not industrial grade.
I
2. At printing / painting work section,
paint and xylene odors filled the room
because insufficient air flow.
1. On the work floor, noise surpasses
90 DB. Workers should wear earplugs
according to the control rule, which
most did. However, no earplugs were
given to auditor or attendant.
2. At the mold repair section, a worker
used hydrogen welding to repair parts I
only wearing general protection
glasses. Did not wear black protection
glasses.
1.The company does not use
hazardous material except for
flammable lubricating oil for machine
maintenance. At the oil storage area,
many flammable oil barrels are
located nearby roadside and shop
floor with no railing in this area and no
control. Anybody can have easy
access at any time. No material safety
data sheet on site. I
2. MSDS (Material Safety Data Sheet)
are available but do not hang beside
chemical material for reference, such
as paint, ink, thinner, etc.
 SA8000 Social Responsibility Audit Rev.
AUDIT CHECKLIST 1

Supplier Name Audit Date Report No.

XXXXXXX DD/MM/YYYY XXXXXXX

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

QUESTIONNAIRES EVIDENCE TO CHECK FINDINGS SCORE

3.8 Is guarding and operation of Is there a high likelihood of an
equipment adequate to prevent employee becoming trapped or
injury? seriously injured in a machine? Can
work practices be changed? Is the
use of holding tools or clamps
possible? Are start/stop buttons and
emergency stops (if existing) of an
appropriate type and positioned
correctly for use in the event of an
emergency? Look for high probability
or high exposure situations.
1. Electric abrader has safety cover
and emergency stop button.
2.Glass forming machines have
emergency stop button.
3. Drilling machine has emergency
stop button.
C

3.9 Does the facility record/ track Looking for some type of tracking
accidents? sheet or log. Statistics/ tracking sheet,
what is the goal and how are the
current performances?
1.Interviewed workers that had mild
injuries (graze). 2. They follow
Taiwanese laborers law request. They
submit a declaration of industrial
safety monthly report by internet. C
Records checked and did not find any
anything unusual.

3.10 Have any severe accidents
involving death, amputation or
requiring external medical
assistance occurred at the
facility in the past three years?
Ask if the facility has ever had an Spoke with three senior workers that
ambulance, paramedic, fire expressed no severe accident
department or police summoned to happened in factory.
the facility in the past three years.
Make sure interviews are conducted
C
with people who have worked at the
facility for more than three years.

3.11 Is an accident investigation
form used that identifies and
tracks corrective actions?
Investigation form, corrective action They follow Taiwan's labor law
tracking process, review three requirement. Every month, they need
incidents and corrective actions taken. to declare industrial safety monthly
report to Taiwan Labor Management
Authority online. Records were C
checked, and did not find any severe
accident .

3.12 Does the facility have a
prenatal and postnatal program
that ensures expectant
mothers and new mothers are
able to safely continue working
in an area suitable for the
condition and in accordance
with any applicable
governmental requirements?
Review the documented program or
procedure. Review of work areas
designated by the facility as suitable
for expectant mothers and new
mothers. Check if sick leave is
provided, limits for nightshift or
overtime work. Relocation to less
demanding work.
Yes. In Worker Administration
Procedure (WAP) (# issue date 2009-
10-21) Chapter 4, Article 6 specifies
"female worker may apply to be
transferred to less strenuous work
during pregnancy." C
Checked a pregnant employee
working at warehouse office.
 SA8000 Social Responsibility Audit Rev.
AUDIT CHECKLIST 1

Supplier Name Audit Date Report No.

XXXXXXX DD/MM/YYYY XXXXXXX

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

QUESTIONNAIRES EVIDENCE TO CHECK FINDINGS SCORE

3.13 Are there work restrictions for Review the documented program or Currently no use of worker under the
any of the workers under the procedure. Review work areas age of 18 years old.
age of 18? designated by the facility as suitable
for under the age of 18. N/A

3.14 Are adequate exits provided for Review entire facility and offices. Can Most exit gates have clear exit signs,
emergency evacuation exits or exit signage been seen from except two gates located on the 2nd
purposes? the areas of the plant where workers floor and the printing section.
are? Are exit pathways marked/
identified and clear? Do exits open in
the direction of travel and discharge to I
a safe area? Do exits lead to a safe
area?

3.15 Are exit doors locked? Check three exit doors, inspect All exit doors can be opened from
locking hardware, direction of opening inside.
and escape pathway.
C

3.16 Does a written evacuation plan Review general scope/ coverage
exist? areas of the plan and determine if it is
kept reasonably up-to-date. Who
“owns” the plan and is responsible for
periodic updates?
1. Yes, a plan is available (# SW-04-
06). They also post "emergency
evacuation route" at some positions
as per Taiwan Labor Management
Authority request.
2. Mr. XXX, Health/ Safety C
Representative, is responsible for
periodic updates.

3.17 Have the personnel been Review training program. Interview
trained on an evacuation plan? three employees and verify they
attended training in accordance with
the training program. Are drills
conducted? Has the site had a
history of fires/ explosions?
Yes, there are biannual fire fighting /
prevention and escape training, and
records are available and checked.
(2009-10-16, 2010-3-22)
C
 SA8000 Social Responsibility Audit Rev.
AUDIT CHECKLIST 1

Supplier Name Audit Date Report No.

XXXXXXX DD/MM/YYYY XXXXXXX

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

QUESTIONNAIRES EVIDENCE TO CHECK FINDINGS SCORE

3.18 Is fire fighting equipment and
training available and
appropriate?
Fire fighting equipment and training
must be consistent with the
expectations of the facility and the
expected behavior of workers in the
event of an incident. Does the factory
have fire extinguishers distributed
throughout the facility?
a) Are the locations of the fire
extinguishers prominently identified?
b) Are the fire extinguishers all
serviceable?
i. Are they numbered for
identification?
ii. Are they maintained secure with
lock clips retainers in place?
iii. Are the inspections of the
extinguishers documented?
1.Biannual fighting / prevention and
escape trainings were recorded
properly, 20XX-10-16, 20XX-3-22.
2. Most of fighting equipment and fire
extinguishers are identified and
serviceable, (not over expiration date
and the pressure indicator is in green
zone ), except location three.
a. At the two floors F1 and F2, tooling
repair area, a fire extinguisher sign fell
on the ground. Hanger also does not
have a fire extinguisher. (No.55) I
b. On the 2nd floor, tooling repair
area, a hydrant box has hoses but
lacks nozzle.
c. At the warehouse, a fire
extinguisher's pressure indicator is in
"red" zone. Air pressure was lost.

3.19 Are canteens and other food General conditions. Is a health or No kitchen or canteens in this facility.
preparation areas kept clean occupancy certificate issued by the
and in a healthy and sanitary local authorities? Is a score provided
condition? on the certificate? N/A

3.20 Is safety training provided to Training record, interview three Yes, records checked,
employees? employees and for two different types 20XX-2-2, production workers, 16
of training each employee attended people.
and confirm they attended training. 20XX-9-23, QC, 19 people. C

3.21 Are newly hired or reassigned
employees trained?
Identify three newly hired or Yes, records checked,
reassigned employees and/ or 20xxXX-3-15, 15 people.
supervisors and confirm they attended 20-6-15, 13 people.
C
training.

3.22 Are dormitories kept clean? Trash and/or dirt on floor, condition of Yes, the dormitories are located on
walls (paint) and windows. the 2nd and 3rd floor of main office.
They were found clean, orderly, self-
maintained and equipped with air- C
conditioning.

3.23 Are adequate emergency exits In most cases, two or more main
and emergency notification emergency exits are appropriate. Are
systems provided? the main emergency exits marked,
accessible and unlocked? Do exits
open in the direction of travel and
discharge to a safe area?
Yes, There are two exits from the
dormitory. The exits can be opened in
the direction of discharge to outside.
Emergency notification/ control
system is installed in guardroom. C
 SA8000 Social Responsibility Audit Rev.
AUDIT CHECKLIST 1

Supplier Name Audit Date Report No.

XXXXXXX DD/MM/YYYY XXXXXXX

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

QUESTIONNAIRES EVIDENCE TO CHECK FINDINGS SCORE

3.24 Are adequate sanitary facilities Trash, condition of walls. Yes, separate toilets located for men
provided and are the facilities and women at different locations.
segregated by sex? Environmental conditions and quality
C
basically acceptable.

3.25 Are separate sleeping pads/ Trash, condition of walls. Yes, separate beds with sleeping
mattresses or other area pads/mattresses.
provided for each dormitory Environmental condition and quality
occupant? basically acceptable. C

3.26 Are adequate first aid
competence available in the
facility, including related
medicine disposal?
Check who are first aid people, what
certificates they have, interview 5
workers at each workshop if they
know the first aid people.
Five people have first aid training
certificate,
# 6140,training date 20XX-6-5
# 6138,training date 20XX-6-5
# 6139,training date 20XX-6-5
# 0601,training date 20XX-3-27
# 2224,training date 20XX-4-1
Most workers do not know who the I
first aid people are.

4 FREEDOM OF ASSOCIATION AND RIGHT TO COLLECTIVE BARGAINING

4.1 Is there a work union in the
facility and is it recognized?
Review a policy or procedure signed
by a company top authority, in
recognition of the work union force.
1.The company has established
Social Accountability Manual (# M-02,
V2), but not approved by top authority.
The document has demonstrated that
all workers have right to form, join,
and organize trade union of their
choice and to bargain collectively on
their behalf with the company.
2.The company sets up welfare I
committee, but does not have trade
union.

4.2 Is there an elected member of Note the name of the worker No trade union, no workers'
the work force that acts as representative, and note his work representative.
employee representative? location. NC

4.3 Are employees free to join a Interview five workers at each Yes, workers can freely join the
union or association? workshop and find out if they know welfare committee.
who their worker representative is. C
 SA8000 Social Responsibility Audit Rev.
AUDIT CHECKLIST 1

Supplier Name Audit Date Report No.

XXXXXXX DD/MM/YYYY XXXXXXX

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

QUESTIONNAIRES EVIDENCE TO CHECK FINDINGS SCORE

4.4 Are representatives or union Interview the worker's representative. No trade union, no workers'
members subject to representative.
discrimination? N/A

If unions are restricted by law, No trade union, no workers'

do the employees have a representative.
4.5 representative committee? N/A

4.6 Do the employees have access Interview five workers at each Yes, employees can see "General
to management? workshop, and ask them how they Affairs Manager", Mr. XXX at any time
access to management in case of during office hours. Five workers
C
need. confirmed.

4.7 Are workers allowed to meet Yes, they have a labor dispute
on work related or personal settlement - Completed on 20XX-3-3.
issues? Records checked. C

4.8 Do workers know who the
representative is? Do
employees remember when
the last elections were held?
Interview five workers at each No trade union, no workers'
workshop, and ask them if the know representative.
when the last elections were held.
N/A

5 DISCRIMINATION
5.1 Does the facility have a policy
on discrimination or is a
statement included in an
employee handbook?
Review the policy/ practices. Does it The factory has documented
address the use of sexual procedure (# SP4-13 Discrimination &
harassment, corporal punishment, #SPA-14 Sexual Harassment) to
mental or physical coercion or implement in case it happens on
physical abuse as an inappropriate listing of mental, physical or any form
form of discipline? Are management of discriminatory practices. They also
personnel including supervisors and quote Taiwan laborer law as their C
any other individuals who can company's regulation.
administer discipline trained in the
policy?

5.2 Have any complaints of
discriminatory practices (eg.
sexual harassment, corporal
punishment, mental or physical
coercion or physical abuse)
been received by the facility in
the past three years?
Ask HR department or management Interviewed three workers and two
team if any employees (consider both clerks. No complaint has occurred.
potential and former employees) have
filed a compliant against the facility.
Review the complaints. C

5.3 Does the facility have policy/
practice that addresses the
treatment of expectant
mothers/new mothers?
Review the policy/ practices. Are the Procedure exists (SA Manual# M-02 &
policy/ practices legal or appropriate? SP4-15 Pregnant woman working
instruction ) , Pregnant woman
(ID#99040003) work at less strenuous
area (office) during pregnancy. The C
company does not reduce wages.
 SA8000 Social Responsibility Audit Rev.
AUDIT CHECKLIST 1

Supplier Name Audit Date Report No.

XXXXXXX DD/MM/YYYY XXXXXXX

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

QUESTIONNAIRES EVIDENCE TO CHECK FINDINGS SCORE

5.4 Are there any complaints of
sexual harassment, corporal
punishment, mental or physical
coercion or physical abuse at
the facility by workers?
Interview five employees who have
recently (past two years) received
disciplinary actions. If no employees
have received disciplinary actions
randomly select three employees.
Talked to five workers, and noted no
complaints of sexual harassment,
corporal punishment, mental or
physical coercion or physical abuse. C

5.5 Is there any evidence of the
use of sexual harassment,
corporal punishment, mental or
physical coercion or physical
abuse in the facility?
Clients are very sensitive to
discriminatory practices including
sexual harassment, corporal
punishment, mental or physical
coercion and physical abuse.
Inquired to four workers, and they all
expressed that they have not heard
about any of these matters.
C

6 DISCIPLINARY PRACTICES
6.1 Is there a policy defining Interview the HR Manager, and review Yes, Worker Administration Procedure
following disciplinary practices? the policy/procedure. (WAP) in place that specifies the
a) For tardiness? disciplinary practices. (# issue date
b) For excessive tardiness? 20XX-10-21) Also complies with
c) For absences? national legislation and regulations.
d) For excessive absences?
e) For stealing? C
f) For fighting?
g) For disrupting production?
h) For unauthorized use of
factory equipment or facilities?
i) For damaging equipment?

6.2 What disciplinary practices are Interview five workers at each Interviewed five workers. No one
in place at this facility? workshop. Check if there is an complained about corporal /physical
a) Does the factory use employee complaint about abusive punishment.
corporal punishment? disciplinary practices.
b) Does the factory use C
physical punishment?
c) Does the factory use verbal
abuse?
6.3 Does the factory withhold any Interview five workers at each A notice in the dormitory announces
benefits from the employees as workshop. Check if there is an employees will be fined NTD 100 ~
punishment? employee complaint about abusive 50,000, if they do not turn off the
disciplinary practice by deducting power or smoke in a non-smoking
I
salary. area.

6.4 Does the factory fire employee Interview five workers at each
for punishment? workshop. Check if there is an
employee complaint about abusive
disciplinary practice by firing
employees.
Talked to five workers. No one has
been fired as far as they know.
C

6.5 Is base pay ever reduced as a Interview five workers at each
punishment? workshop. Check if there is an
employee complaint about abusive
disciplinary practice by deducting
salary.
A notice on the work floor announces
that employees will be fined one day
salary if they throw cigarette butts at
non-assigned location. I
 SA8000 Social Responsibility Audit Rev.
AUDIT CHECKLIST 1

Supplier Name Audit Date Report No.

XXXXXXX DD/MM/YYYY XXXXXXX

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

QUESTIONNAIRES EVIDENCE TO CHECK FINDINGS SCORE

6.6 Is overtime withheld as a Interview 5 workers at each
punishment? workshop, check if there is an
employee complaint about abusive
disciplinary practice by forcing
overtime.
Talked to 5 workers , nobody's over
time was withheld as a punishment as
far as they know.
C

6.7 Are employees ever demoted, Interview five workers at each Talked to five workers. No one has
reduced in job responsibility workshop. Check if there is an been demoted as a punishment as far
and base pay for punishment? employee complaint about abusive as they know.
disciplinary practice reducing job C
responsibility or charge.

6.8 Does the company have a Check how the warning system is Yes, they have a warning system and
warning system for advising an communicated to the employees. the employee can appeal the warning
employee of deficiencies? to Mr. XXX, General Affairs Manager.
a) Can the employee appeal C
the warning?
b) Who would hear the appeal?

7 WORKING HOURS
7.1 Is the organization aware of the Ask HR department or individual(s) Yes, Worker Administration Procedure
national legal working hours? responsible for creating work (WAP) in place (# issue date 20XX-10-
(regular time and overtime) schedule. Ask the HR department 21). Specifies the legal working hours
how the national working hours is including regular time and overtime
communicated to employees? that complies with national legislation C
and regulations.

7.2 Are working hours less than
the legal limit or 12 hours in a
day and 6 days in a week for
more than 3 consecutive
weeks; whichever is less.
Ask HR department. Ask five Checked personal records from
employees how many hours they intranet shown that do not have this
worked the last two weeks and verify kind of long-hours working occurrence
against time cards/ paychecks or in the last three months.
other documents. Verify hours
worked for the past three months of
C
these five employees by reviewing
paychecks or other documents.
Consider any waivers issued to the
facility.

7.3 Do employees have the right to Review policy. Ask HR Department? Yes, according to declaration from
refuse overtime? (Legally or by Ask 3 member of management who some workers, they have the right to
company policy). ask employees to work overtime if refuse overtime. However, there is no
they are aware of the employees’ written policy regarding this
rights to refuse the overtime work requirement. Workers explained that I
assignment. they sometimes agree to overtime if
supplier requests.

7.4 Do employees have the right to Check if there are any complaints Talked to four workers that say they
refuse overtime? (legally or by about working hours and/or excessive are glad to work overtime if they can.
company policy). overtime. C
 SA8000 Social Responsibility Audit Rev.
AUDIT CHECKLIST 1

Supplier Name Audit Date Report No.

XXXXXXX DD/MM/YYYY XXXXXXX

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

QUESTIONNAIRES EVIDENCE TO CHECK FINDINGS SCORE

8 REMUNERATION
8.1 Is the facility aware of the legal Ask HR department or department in Yes, per checked pay records and
minimum wage for regular time charge of payroll to show the interviews with five workers, they
and overtime? document or law that defines the legal received wages as per their working
minimum wage. hours. This includes regular time and
overtime that complies with legal
minimum wage regulations. ($17280)
1.ID# XXX146. $20100
C
2.ID# XXX100, $25000
3.ID# XXX124, $17280
4.ID# XXX142. $25200
5.ID# XXX199. $24000

8.2 Are the wages provided at
least of the legal minimum?
Verify wages for the last 12 months of
paychecks for five employees.
Consider regular, overtime and
holiday wages. If applicable, does
piece rate pay comply with legal
minimum wage?
Yes, per checked pay records and
interviews with five workers, they
have received wages as per their
working hours including regular time
and overtime that complies with legal
minimum wage regulations. ($17280)
1.ID# XXX146. $20100 C
2.ID# XXX100, $25000
3.ID# XXX124, $17280
4.ID# XXX142. $25200
5.ID# XXX199. $24000

8.3 Are employees provided other
benefits (holiday pay, vacation)
to which they are legally
entitled?
Review policy or schedule of
deductions. Review five employee
paychecks who received other
benefits to verify they are correct and
that they are clearly documented.
Yes, Worker Administration Procedure
(WAP) in place (# issue date 20XX-10-
21). Specifies all benefits conform to
the legal stipulation. C

8.4 Are deductions made for
disciplinary purposes?
Review policy or schedule of
deductions. Review five employees'
paychecks who received deductions
for disciplinary purposes to verify they
are correct and that they are clearly
documented.
No, per checked pay records and
interviews with four workers there are
no complaints about deductions from
salaries being made for disciplinary
purposes.
But, there is a notice on the work floor I
that announces employees will be
fined one day salary for throwing
cigarette butts in prohibited areas.

8.5 Are any other deductions (for
example, food and housing)
reasonable and legal?
Review policy or schedule of
deductions. Review five employee
paychecks who receive deductions to
verify they are correct and that they
are clearly documented.
Yes, the facility deducts an amount
from the employee's meal allowance
to handle lunch, There is written policy
established and communicated to
employees prior. This is a personal
choice to freely participate. C
 SA8000 Social Responsibility Audit Rev.
AUDIT CHECKLIST 1

Supplier Name Audit Date Report No.

XXXXXXX DD/MM/YYYY XXXXXXX

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

QUESTIONNAIRES EVIDENCE TO CHECK FINDINGS SCORE

8.6 Are employees provided with
clear information about their
wages and benefits on a
regular and timely basis?
Ask five employees if they were
provided with the paycheck or other
documentation information on a
regular basis.
Yes, checked five workers' pay
records from accounting department.
These workers have received wages
and detailed contents every month on C
a timely basis.

8.7 Is the salary paid in a timely Ask the same five employees how Yes, checked five worker's pay
manner? often they are paid, and check if the records from accounting
date of payroll is respected. deptartment.These workers have
received wages and detailed contents C
every month on a timely basis.

9 MANAGEMENT SYSTEMS
9.1 Has the facility acknowledged
receipt of the Operating
Companies’ Social
Accountability Policy? What is
their opinion of their
compliance level with the
policy?
9.2 Does the facility have a local
policy or other document(s)
that addresses the elements of
the Operating Companies’
Social Accountability Policy?
Are the requirements of the
facility's policy communicated
to employees?
Name and title of management
representative and their answers.
Can they produce a copy? Note
opinion of compliance.
Review the policy and verify it is at
least consistent with and at a
minimum, meets the performance
expectations of the Operating
Companies’ Social Accountability
Policy. Verify communication of the
policy with three employees.
Mr. XXX,General Affairs Manager
says company totally agrees with the
concept of "Social Accountability
Policy ", which will be gradually C
implemented.
The company has some informal
documents , but not approved by top
managers. These documents are not
distributed to all employees.
I

9.3 Do employees have a
mechanism to communicate
concerns over discriminatory
practices or other unfair labor
practices to facility
management without fear of
retribution or retaliation?
Document the mechanism. Ask if any 1.The facility has a written procedure
employees have used the for communication about
mechanism. discriminatory acts within the facility
(P5-02). The facility has a worker
representative to handle such issues. C
2.Workers can appeal to the labor
authorities.

9.4 Does the facility have a Describe the mechanism and check Procedure exists (SA Manual# M-02),
mechanism/ policy for dealing the last issue (if any) that was page 10, # 9.6
with issues of non-compliance corrected. At present has not had to deal with C
with the policy? this matter

9.5 In the past three years, has the Copy of violation or notice. Review No, Mr. XXX (Health/ Safety
facility received any violations response from facility and any Representative) said, there is no such
or notices from governmental corrective actions taken. record of violations or notices from
officials regarding violations or governmental officials.
C
potential violations with safety,
environmental, labor or
discriminatory practices?
 SA8000 Social Responsibility Audit Rev.
AUDIT CHECKLIST 1

Supplier Name Audit Date Report No.

XXXXXXX DD/MM/YYYY XXXXXXX

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

QUESTIONNAIRES EVIDENCE TO CHECK FINDINGS SCORE

10
Is the facility utilizing suppliers
or contractors for which it
would be appropriate to review
their performance contractors
relative to the social
accountability elements?
SUPPLIERS / CONTRACTORS
Consider if the facility has evaluated
the risks of their own supply chain.
Discussion with management/
sourcing or procurement departments.
No, the facility does not have any
policy or procedures to evaluate their
suppliers/contractors regarding
implementation of social NC
accountability policy, nor does the
facility have any record of this topic.

Does the facility document
reviews of their suppliers and
contractors with respect to
social accountability
performance issues?
Review inspections or documentation No, the facility does not have any
record of the facility’s review of their policy or procedure to evaluate their
suppliers or contractors. suppliers/contractors regarding
implementation of social NC
accountability policy, nor does the
facility have any record of this topic.
 SA8000 Social Responsibility Audit Rev.
FACTORY PHOTOS 1
Supplier Name Audit Date Report No.
XXXXXXX DD/MM/YYYY XXXXXXX

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

3. Workshop- Manufacturing Glass Factory, Facility's lighting 4. Workshop- Decorating Glass Factory, Facility's lighting
level is generally enough for the inspection station, but level is enough for the operators. (F2) But at printing /
illumination insufficient in other places. Dimly lit in walkway painting work section, paint and xylene odors filled the
and warehouse. (F1) room with insufficient air flow.

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

 SA8000 Social Responsibility Audit Rev.
FACTORY PHOTOS 1
Supplier Name Audit Date Report No.
XXXXXXX DD/MM/YYYY XXXXXXX

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

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

11.Pregnant Worker (ID#xxxxxxx) works in less strenuous 12. Emergency Notification / Control System (Fire Alarm
environment (office). -Confirmed Central Control Units) is installed in guardroom.
 SA8000 Social Responsibility Audit Rev.
FACTORY PHOTOS 1
Supplier Name Audit Date Report No.
XXXXXXX DD/MM/YYYY XXXXXXX

13.First aid materials available in dormitory. 14.First aid materials available in work floor.

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

16.At the storage area, many flammable oil barrels are 17.Not enough fire equipment, and fire sand buckets were
located nearby the roadside with no railing and no control. almost empty nearby the oil storage.
Anybody has easy access at any time. No material safety data
sheet in sight. (F1)
 SA8000 Social Responsibility Audit Rev.
FACTORY PHOTOS 1
Supplier Name Audit Date Report No.
XXXXXXX DD/MM/YYYY XXXXXXX

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

19. 2nd floor lacks of the exit sign. (F1) 20. Printing section lacks exit sign (F2) and an open power
switch control container with exposed electric terminal
near the walkway, in order to let the power breaker radiate -
dangerous.

21.Emergency lighting is not working because power plug was 22.Many flammable materials are located nearby the gas
not inserted. (F2) tank. (F2)
 SA8000 Social Responsibility Audit Rev.
FACTORY PHOTOS 1
Supplier Name Audit Date Report No.
XXXXXXX DD/MM/YYYY XXXXXXX

23.On the 2nd floor (F1), tooling repair area, a fire 24.At the F2 office area, no fire extinguisher on the
extinguisher's sign fell on the ground, hanger also does not hanger.
have fire extinguisher. (No.55)

25. On floor F1, tooling repair area, a hydrant box has hoses 26.Front of the hydrant is blocked by the products.
but lacks nozzle.

27.Dimly lit walkway and warehouse (F1) to save the 28.At warehouse, a fire extinguisher's pressure indicator
electricity. is in "red" zone. Air pressure was lost.
 SA8000 Social Responsibility Audit Rev.
FACTORY PHOTOS 1
Supplier Name Audit Date Report No.
XXXXXXX DD/MM/YYYY XXXXXXX

29.Some fumes at the defect glass recycle process, found
visible fumes during break glass by pressure,(crushing,
pulverized). They have dust control and measurement by
EHS agency , 4 times per annum. Records checked. 2008-8-
26,2009-2-26,2009-8-26,2010-2-26.
Workers wear general purpose masks but not industrial grade.
30. a. Xylene odors filled the ink storage room because no
window/exhaust fan or air conditioner in this room. This is
harmful to human health and also shortens the life of the
ink and causes deterioration of printing quality.
-b.MSDS (Material Safety Data Sheet) are available but do
not hang beside chemical materials for reference. (Paint,
ink, thinner). This will be harmful to human health and also
shorten the life of the ink and cause deterioration of
printing quality.

31. At painting work section, paint and xylene odors filled the 32. At the painting work section, paint and xylene odors
room because paints and thinners were not fully covered. filled the room because paints and thinners were not fully
covered.
 SA8000 Social Responsibility Audit Rev.
FACTORY PHOTOS 1
Supplier Name Audit Date Report No.
XXXXXXX DD/MM/YYYY XXXXXXX

33.A notice on the work floor that announces that employees 34.A notice on the dormitory bulletin board announces
will be fined one day salary for throwing cigarette butts in that employees will be fined NTD100 ~ 50,000, for not
prohibited areas. turning off the power or smoking in a non-smoking area.

35.Operators do not wear goggles at grinder machine.