SA 8000 Checklist - Team 2 (Clause 6-9)

Criteria Source/CheckPoints
6 Disciplinary 1. Is there any Certified Standing Orders (CSO) ?
Practices 2. Is it followed as per law?
3. How disciplinary actions are taken ?
4. Are fines levied as part of disciplinary action?
5. Is there any physical punishment like beating, illegal confinement etc
carried out
6. What are the legal cases pending related to disciplinary action?
7. Are employees given fair opportunity to explain their side prior to decision
on disckiplinavry action?

7 Working 1. What are the working hours of the company?

Hours 2. Is it according to the Labour and other related laws?
3. What is the normal overtime level?
4. Does work week exceeds 48Hrs?
5. Is the upper limit for over time 12Hrs/week?
6. Are employees given atleast 1 day weekoff
7. How are working hours tracked and recorded
8. What is maximum number of consecutive hours worked?
9. Are breaks between work, public holidays given to employees?

8 Renumeration 1. Are minimum wages as per regulation paid?

2. Are the minimum wages meeting the basic need wages
3. Are there pay slips with full wage details?[including explanation of
deductions]
4. Whether premium rates are paid for overtime
5. Salary pay dates to employees
6. Method of Payments
9 Management 1. Is there a defined SA policy available?
Systems 2. How do the organisaton communicate the policy to all employees?
3. Does the Policy include the commitment to comply the national law related
to labour welfare?
4. Is There any MR appointed by Top management for SA?
5. Are there workers commitee exists in the organisation?
6. Do all employees participate the WR election process?
7. Is SA 8000 performance monitored ?
8. Do the Management monitor and review SA 8000 performance?
9. How the organisation ensure the suppliers and contractors comply the
requirements of SA 8000
10. Are the supply checked before prior to registration / contract?
11. Are there any home workers?
12. Do organisation maintain the details of home workers?
13. Weather the organisation provides all welfate/ safety measures for home
workers?
14. How the organisation communicate on SA performance to the Interested
parties?
eam 2 (Clause 6-9)

Legal/Other Requirement Organisation Level Evidence

1. Industrial Employment (Standing 1. Company Policy and
Orders) Act, 1946 Procedure for Disciplinary
action
2. Code of Conduct
3. Records of disciplinary action
cases

1. Factory Act, 1948 1. Company HR Policy

2. Mines Act, 1952 2. Working hour tracker (manual
3. Bidi and Cigar Workers or digital tool)
(Conditions of Employment) Act, 3. Shift schedules
1966 4. Payment records
4. Contract Labour (Regulation &
Abolition) Act, 1970
5. Building and Other Construction
Workers (Regulation of Employment
Service) Act, 1996
6. Working Journalist (Conditions of
Service) and Miscellaneous
Provisions Act, 1955
7. Plantation Labour Act, 1951

1. Minimum Wages Act, 1948, Code 1.Company HR Policy and

of Wages 2019 Procedure
2. Payment of wages Act, 1936 2. Payment records
3. PF and Miscellaneous Provisions
Act 1952
4. Payment of Bonus Act
1965/Gratitude/Employee State
Insurance
5. Maternity Benefit Act 1961
6. Equal renumeration Act 1976
1. Company policy
2. Verify method of
communication
3. Authorisation recoords,
Company management system
procedure
4. Details of representatives,
Procedure for election of
representatives; interviewing
WR
5. Election records
6. Monitoring records
 AUDITOR:
AUDIT DATE:

Applicable Law/
Sl.No requirements
Factories Act 1948
Section 6 & 7
Sec 21
sec 24
sec 28

sec 31

sec 32
sec 33

sec 38

sec 38

Welfare
Health

THE PAYMENT OF WAGES ACT, 1936.

U/s 13(a)
Section 5

U/s 25.

Employees State insurance act 1948

U/s 1
Regulation 45
U/s 44
 LEGAL AND OTHER REQUIREMENTS CHECKLIST

Check points

Does the organisation have valid license for operation from chief inspector?
Safety guard or fencing are provided to all moving parts of machineries
Striking gear and devices are provided for cutting off power in case of any emergency
Are there any hoist and lifts used, If yes then examined by competent person
Are there any pressure vessels used during process, If yes then examined by competent
person
Floors, stairs and passages are provided and maintained safe means of access to every
place at which any person is at any time required to work
Any pits, sumps openings in floors are securely covered or fenced

Fire fighting facilities provided to control fire incident in case of fire

Is there any safe means of escape for all persons provided and maintained in the event of
fire ?
Qualified Safety Officers shall be appointed where 1000 workers are ordinarily
employed
Safety committee shall be constituted in every factory wherein more than 50 workers are
ordinarily employed

Health and Safety policy prepared in every factory wherein more than 100 workers are
ordinarily employed
Workers employed in hazardous process are medically examined by factory medical
officer or certifying surgeon
Record of Safety training given to all workers maintained

Canteen provided in every factory wherein more than 250 workers are ordinarily
employed
Shelters, rest rooms and lunch rooms provided in every factory wherein more than 150
workers are ordinarily
Crèches provided employed
in every factory wherein more than 30 women workers are ordinarily
employed
Welfare officer shall be appointed in every factory wherein more than 500 workers
employed
Ambulance room provided in every factory wherein more than 500 workers are
ordinarily employed
Building Stability Certificate received from competent person
 Do Following Records maintained:-
Muster-roll
Payment Register
Overtime register.
Accident register
Leave with wages register
Has the management prepared on-site emergency plan
Public liability insurance policy available
State if safety audit is undertaken by the safety officers it yes, what is the modality
State if adult worker register is maintained or not.
State if leave with wages registers is maintained or not
State if leave books are issued to each regular, contractor & casual workers or not
State if over time register is maintained or not
State if overtime wages are paid as per Factories Act or not
State if accident register is maintained or not.
State if all the reportable accidents are investigated by the safety officer and report
obtained from him of not,
Whether all inside walls and partitions, all ceilings or tops of rooms and all walls, sides
etc of latrines & urinals are being painted or whitewashed / colour-washed as prescribed
under Rule 59.
Record of dates on which white washing, colour washing, varnishing etc maintained in
Form No. 9

6 Are sufficient measures taken to provide adequate ventilation, comfortable temperature

and proper lighting etc
Are sufficient exhaust systems provided for the removal of dust & fumes

Sufficient and suitable lighting, natural or artificial, or both provided where workers are
working or passinga. The general illumination where persons are regularly employed
shall not be less
than 65 lux measured in horizontal places at a level of 90 cm above the floor
b. The illumination over all other interior parts of the factory over which persons
employed pass shall not be less than 5 lux at floor level
No glare, either directly from a source of light or by reflection from a smooth or polished
surface ;
No formation of shadows to cause eye-strain or the risk of accident to any worker
Are sufficient arrangements made for the provision of safe drinking water ?
Are sufficient Latrines & Urinals facilities provided and arrangements made for their
cleanlinessLatrine – One for every 25 workers separately for male and female.
Urinal – One for every 50 workers separately for male and female
Health register of workers maintained in form no. 19
First aid Facilities available in factory
NT OF WAGES ACT, 1936.
1 Whether the prescribed registers and records are maintained?
 Whether all the employed persons are being paid wages within the stipulated time?

Whether notice displayed containing the abstract of the Act and rules made thereunder?

Whether wage period has been fixed and notice has been displayed ?

Whether Annual return is being submitted?

te insurance act 1948

Does ESI Act apply for this organisation.
Has any claim become due?
Maintenance of registers of the employee by the employers. Is being done?
status Evidence available Notes
 AUDIT PLAN FOR EMC LIMITED (TEAM 2)
Company

Auditors
Audit Objective
Audit Criteria
Department/Audit Scope
Audit Start Date/Time
Audit Finish Date/Time
Feedback (Closing Meeting )
Department Representative

Date Time
6/13/2021 09:30 - 10:00
10:00-11:00

11:00-12:00
12:00-12:15
12:15- 13:30

13:30-14:00
14:00-15:30

15:30-16:00

16:00-16:30

16:30
17:00

Signed By Auditor:
 AUDIT PLAN FOR EMC LIMITED (TEAM 2)
EMC Limited
Priyanka (PR) (Lead Auditor), Sudhish (SK) (Auditor), Manjinder (MJ)
(Auditor)
To assure compliance of SA 8000 by various departments
SA 8000 requirements Clause 1 to 8
Production, Engineering, HR & Admin
6/13/2021 9:30
6/13/2021 17:00
6/13/2021 16:30
Managers of all mentioned departments

Auditor
PR

Coffee Break

Lunch Break

Feedback Session
Finish

Accepted by Auditor :
AM 2)

Auditor: PR, SK, MJ

Report Write up : 16:30-17:00

Area/Process
Opening Meeting
Review of Policy on Child Labour,
Force/compulsory/bonded labor, Discrimination,
Working hours, Renumeration, disciplinary
practices, Human rights etc .
Interview Policy/Process owners
Coffee Break
Interview teams to understand adherence of the
policy/process into practice
Lunch Break
Verify performance indicator data and monitoring
system available (digital tools/records etc)

Interview with the department head/management

to understand the vision/mission and leadership
involvement
To verify minutes of Board level meeting where
HR & Admin SA related topics are dicussed
Feedback Session
Finish
Company Name
Auditors
Audit Objective
Audit Criteria
Department/Audit Scope
Audit Start Date/Time
Audit Finish Date/Time
Feedback (Closing Meeting )

Department Representative

Date Time

6/13/2021 09:30:00 - 10.00

10:30:00 - 11.30
11.30 - 11.45
11.45 - 12.00
12.00 to 13.00
13.00 to 13.30
 AUDIT PLAN - Team 2

EMC
Sudhish (SK),
To assure compliance of SA 8000 for three department of EMC
SA 8000 requirements compliance of Production and EHS dept.
Production,EHS
6/13/2021 9:30
6/13/2021 13:30
6/13/2021 13:00

Managers of Production and EHS

Auditor Department

SK Production, EHS
SK Production
SK Production
SK Production
SK EHS
SK EHS, Production
 Area/Process

Opening Meeting
Site visit, --Production
Interview manager,team,
Social performance 9.4 monitoring,
9.2.2 - functioning
of SPT; 9.4 monitoring
Interview worker - 9.5 internal communication &
involvement, 9.9- training ; 6.0 displinary actions
Interview - EHS manager - 3.1 to 3.10 Health & safety
Closing meeting