Facility Name / Country Audit Score 0: General Information

Section 1.8 Section 2.
General Information
Facility Nam
Audit Sc
Audit Sc
Section 3.8 Section 4.8 Section 5.8 Section 6.8 Section 7.8
Contact for Queries -

Facility Name / Country Molly.ErnstAlper@unilever.com
Last Version Updated Date - Jun, 2
Audit Score = 0
Audit Score = 0
Section 7.8 Section 8.8
###
Audit Score = 0
Queries -
Alper@unilever.com
n Updated Date - Jun, 25th 2018

=se('2.8 Master Cover Sheet'!M43="Enter Text Here";"Facility Name / Country";(concate
Facility Name / Country
Facility Name / Country
URSA Master Audit Report Section 1.8 Section 2.8
General Information
The Auditor should use each worksheet to complete the URSA audit and record the findings.
Where the answer is restricted there is drop down option on the cell.
AUDIT CHECKLIST:
- Compliance to law and Unilever Responsible Sourcing Policy(RSP) and NC scoring
In the Audit Checklist the auditor should record compliance to law and Unilever RSP using the drop down options for Y
The auditor can also chose N/A from the drop down in column G - if there is no legal requirement.
The auditor can also chose NR from the drop down in column H - ONLY where there is no activity to audit e.g. no use
TO GENERATE THE NC SUMMARY REPORT

After the audit is completed, Column H "Meets the requirements of Unilever RSP" can be filtered to show only NO
The NC score for the audit will be generated from all of the non-compliance issues (NO answers) in Column H
Note: NC scores. Key Incidents are 100 points, Critical are 100 points and Non-compliance issues are 10 points
Observations can be made where there is compliance to legal requirements and Unilever RSP, however, the auditor
Observations must be used where the issue should be recorded as a non-compliance.
Recording an Observation: An observation can only be recorded where a question does not generate a score (not ma
If there is an observation, the auditor will add observation comments to column I.
We strongly recommend that suppliers implement corrective actions to address all observations to ensure that they d
Corrective actions on observations do not need to be verified by the auditor.
Date for completion of corrective action:

Apart from KIs, all NCs have a maximum of 90 days to be closed and verified.
As default FUP audit must be conducted until 90 days after the audit.
Examples of good practices being applied in the workplace can be noted in the audit summary work sheet.
Photographs may be used to demonstrate both good practices and to show non-compliance issues- useful when the a
Photos should only be taken and shared with the permission of the supplier.
Photographs may be added in the last worksheet of this file, using the function Insert "Illustrations".
Please see the Glossary for explanation of terms used.
Please see the Appendix for the Unilever Responsible Sourcing Policy.
Document Worksheets
1 of 8 Introduction
2 of 8 Master Cover Sheet
3 of 8 Audit Checklist
4 of 8 Audit Summary
5 of 8 Analysis
6 of 8 Glossary
7 of 8 Photographs
8 of 8 Appendix - RSP
3 of 8 Audit Checklist
4 of 8 Audit Summary
5 of 8 Analysis
6 of 8 Glossary
7 of 8 Photographs
8 of 8 Appendix - RSP
dings.
ing the drop down options for Yes or No. (Columns G and H)
equirement.
no activity to audit e.g. no use of migrant workers
be filtered to show only NO

answers) in Column H
nce issues are 10 points
ever RSP, however, the auditor may see a minor, non hazardous incident or practice - which if not addressed could result in a non-complia
es not generate a score (not mandatory) or when a minor practice is found where no NC is generated, but could potentially in the future .
ervations to ensure that they do not become non-compliance issues.
ummary work sheet.
liance issues- useful when the auditor can subsequently confirm closure of the corrective action by desk top.
Illustrations".
d result in a non-compliance.
otentially in the future .

AUDIT DETAILS
Q2.01 Audit Company
Q2.02 Auditor(s) Name and Job Title
Q2.03 Auditor(s) Email Address
Q2.04 Auditor Reference Number
Q2.05 Report Reviewer Name
Q2.06 Unilever Procurement Contact Details (email on @unilever.com)
Q2.07 Date(s) of Audit
Q2.08 Audit Reference Number
Q2.09 Date of report submitted to Unilever
AUDIT DECLARATION
This "Understanding Responsible Sourcing Audit" (URSA) includes assessment of the
facility's practices in Labour Standards, Health & Safety, Human Rights, Business Integrity,
Environmental Management, and Land Tenure Rights. I declare that the audit
underpinning the following report was conducted in alignment with SMETA best practice
guidance version 4.0 and the Customer's Responsible Sourcing Policy requirements.
(Appendix 1).
Application of non-compliance assessment:
Q2.10 Where there is a gap between legal requirements and the standard being applied then
whichever gives the higher protection will be applied as the basis for assessment and
compliance.
Non-compliance issues will be recorded where a practice does not meet the required
standard. An observation will be recorded when a current practice may lead to a non-
compliance issue if the cause of the observation is not addressed and change implemented.
Corrective action planning and implementation of actions is required by the facility against
all non-compliance issues.
TYPE OF AUDIT
Q2.11 Full Audit
Q2.12 On Site Follow Up to Verify CAPR
Q2.13 Announced
Q2.14 Unannounced
SAMPLE SIZE (For a Full Audit)

Sampling will follow SMETA guidelines with 1 additional day for audit scope broader than
Q2.15
SMETA 4 pillar
TIME ON SITE PER DAY

Provide time and date details for each day

Q2.16

Q2.16
FACILITY OVERVIEW
Q2.17 Facility Name
Q2.18 Facility Address
Q2.19 City
Q2.20 State
Q2.21 Post Code
Q2.22 Country
Q2.23 Name of Main Contact Person at Facility
Q2.24 Contact Person's Job Role
Q2.25 Email of Contact Person
Q2.26 Phone Number of Contact Person
Please list applicable business or other legally required licence numbers and are they in
Q2.27
date, signed / approved as required?
Is the facility located in a special economic zone or other type of commercial zone that
Q2.28
exempts it from compliance with any local/national/federal laws?
Q2.29 Approximate size of site and age of buildings
Q2.30 Does the facility operate shifts?
If yes please details the shifts worked. E.g. 8 hour day shift and 8 hour back shift finishing at
Q2.31
11pm
SITE FUNCTIONS
Q2.32 Type of Supplier
Q2.33 Activities at facility, products being made, e.g. packing fruit, making glass bottles etc.
Q2.34 Process Overview e.g. summary of site operations and types of equipment used
Q2.35 Is there a peak season?
Q2.36 Please record what months are in peak and total of additional workers by month
Q2.37 Has the facility any internationally recognised certification e.g. SA 8000, ISO 9001:2008
Q2.38 Please note details, including certificate expiry date
Q2.39 Has the facility had a previous responsible sourcing audit?
Q2.40 Date of previous FULL Audit
Q2.41 Protocol Applied
Q2.42 Were all corrective actions implemented by the supplier?
Q2.43 Were all corrective actions verified by an auditor?
LEGAL INFORMATION ON AUDIT SCOPE

Q2.44 Standard work week (total hours excluding overtime)
Q2.45 Minimum work age
Q2.46 Maximum allowed overtime (hours/day/week/month - please state)
Q2.47 Minimum wage for standard ( hours/day/week/month - please state)
Q2.48 Minimum overtime payment (hour/day/week/month - please state)
Q2.49 What is the overtime payment (as a % of workers standard rate)
Do the standard/contracted hours stated in a contract/ employment agreement exceed the

Q2.50
law or 48 hours per week?
What are the standard/ contracted hours per week as stated in the contract/ employment
Q2.51
agreement?
WORKER ANALYSIS
Q2.52 Total Number of Workers (ALL workers)
Q2.53 Number of those employed at management level
Q2.54 Number of those employed at non-management level
Q2.55 Number of male workers (Directly paid by facility)
Q2.56 Number of female workers (Directly paid by facility)
Q2.57 Number of male workers (Indirectly paid by facility)
Q2.58 Number of female workers (Indirectly paid by facility)
Total number of migrant workers i.e. foreign to the country of operation, (sub set of ALL
Q2.59
workers)
Number of migrant workers paid by the facility (sub set of total number of migrant
Q2.60
workers)
Q2.61 Nationality of management
Q2.62 Majority nationality of workers
Number of workers leaving in the last 12 months as a % of the average total number of
Q2.63
workers on site over the year( annual worker turnover)
Q2.64 Does the facility have any home working?
Q2.65 Please note the details i.e. what type of work is done and worker numbers
Q2.66 Are home workers directly paid by the facility?
Q2.67 Does the facility have a policy on home working?
Are full records available at the facility to demonstrate workers are being managed by the
Q2.68
facility and they have the required processes in place? e.g. workplace risk assessment
Q2.69 Does the facility sub-contract services for this client?
Q2.70 Please note the details of what is sub contracted and to whom
Q2.71 Does the facility have a policy on sub-contracting services ?
What checks does the facility make to ensure that no child labour or exploitation of any
Q2.72
sort is being applied by the sub-contractors?
Does the facility have a process for tracking and tracing where their ingredients,
Q2.73
commodities, services, etc are sourced from?
MIGRANT WORK AT THE FACILITY

Q2.74 Are there migrant workers in the facility (incl. third parties and service providers)?
Q2.75 What are the originating countries/ states? And number of workers from each.
Agencies (supplying migrant workers) - Provide the

Q2.76
name/ address details for main Agency contact person.
AUDIT DETAILS
Q2.77 Age of the youngest worker at the facility
Number of women who are in skilled or technical roles e.g. where specific qualifications are
Q2.78
needed i.e. machine engineer / laboratory analyst
Q2.79 Examples of such roles at the facility:
Number of migrant workers who are in skilled or technical roles e.g. where specific
Q2.80
qualifications are needed i.e. machine engineer / laboratory analyst
Q2.81 Examples of such roles at the facility:
Q2.82 Number of women who are in management level roles
Q2.83 Number of migrant workers who are in management level roles
If the facility offers apprentices opportunities - where do they get their eligible candidates
Q2.84
from and is anyone excluded?
Q2.85 Is the company owned by a woman?
Q2.86 Does a woman hold any of the following positions, CEO, CPO, CFO, COO?
Q2.87 What form of worker representation / union is there on site?
Q2.88 Is it a legal requirement to have a union?

Q2.89 Is it a legal requirement to have a workers committee?
If no union or worker committee exists - what form of effective

Q2.90
worker/management communication channel?
Enter Details
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dd-mm-yy
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Auditor Acknowledgement (checkbox)

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Number of days required for an audit

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Date Time In Time Out
dd-mm-yy Enter Time Here (hh:mm) Enter Time Here (hh:mm)

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s and are they in

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mercial zone that

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back shift finishing at

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ass bottles etc. Enter Text Here
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by month Enter Details Here
0, ISO 9001:2008 Choose answer from DropDown List
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dd-mm-yy
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SCOPE Enter Details
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greement exceed the

ntract/ employment
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on, (sub set of ALL

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total number of
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isk assessment
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cific qualifications are

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eligible candidates
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URSA - Audit Checklist.
Note: Refer to glossary for definition of terms
DO NOT EDIT DO NOT EDIT Q# AUDITOR to complete AUDITOR to complete
Requirement Verification Meets legal Meets the

against the requires requirements requirements of
RSP interviews with Unilever RSP
Mandatory (M) workers for Unilever RSP - Standards to achieve (N/A = No legal (NR = No activity on
Good (G)
Best (B) validation. requirement) site to audit)
Company has a code or policy of business principles which includes

applicable business integrity controls e.g. anti-bribery, export controls,
M 1.01 sanctions, antitrust, data privacy, money laundering, gifts & hospitality,
conflicts of interest, product quality and safety and reporting of
concerns.
Company has policies and procedures specifying compliance with all

M 1.02
laws and regulations to which the company is subject
Company trains workers on applicable elements of the company code

M x 1.03
or policy of business principles.
Company has policies and procedures in place which state required

M 1.04
worker conduct regarding anti-bribery, gifts and hospitality.
Company has policies and procedures in place specific to the proper

M 1.05 handling and recording of financial transactions, including
management of any fraudulent records found
Company has policies and procedures in place that specify actions to
M 1.06
be taken to uncover and avoid money laundering
Company has policies and procedures that specify when they must
notify their customers if quality, safety, code breaches or misconduct
M 1.07
occur either in its own business or those of its suppliers could have an
adverse impact
Company has policies and procedures that specify how to handle

M 1.08 confidential information so that it is stored with limited access rights on
a need to know basis
Company has a policy and procedures for workers to report

M 1.09 misconduct, policy breaches(whistle blowing) which includes
protection for workers from retaliation
Company provides convenient channels/mechanisms for workers to

M x 1.10
report misconduct/policy breaches
Policies and Procedures are communicated to workers through

M x 1.11
methods and languages they can understand
Policies state that Executives and Senior Management are held

accountable for all aspects of implementation, communication,
G 1.12
evaluation and enforcement of facilities' code or policy of business
principles
Risk assessments are conducted to evaluate policy and procedure
G 1.13
effectiveness
Company has a process to address issues found when conducting risk

G 1.14 assessments , including implementation of controls to reduce identified
risks.
Company has a code or policy of business principles which reflects the

G 1.15 same requirements to be implemented by its suppliers and this is
communicated to those suppliers
Company assesses the risk of bribery in their own business partners,

G 1.16 including intermediaries, brokers and agents, prior to entering
commercial relationships
Company has a policy and procedures for their suppliers to report

B 1.17 (back to the Company) any misconduct, policy breaches(whistle
blowing) which includes protection of suppliers from retaliation
Company provides convenient channels/mechanisms for their

B 1.18
suppliers to report misconduct/policy breaches
Company has a process to address incidents of misconduct or policy

M 1.19 breach including remediation. (For issues raised by workers or
suppliers)
Company has a process that ensures that employees and supply
chain partners (managers, supervisors, workers, suppliers etc.) found
M 1.20
in breach of policy or guilty of misconduct are subject to reprimand and
sanction commiserate with the offense
Company validates worker's understanding of the compliance

M x 1.21
requirements, applicable to them.
There is no evidence of fraudulent behaviour to gain business

M 1.22
advantages e.g. bribes, inducements or tax evasion, falsified records
There is no evidence of product quality issues with actual cause, or

M 1.23 potential to cause serious risk to customer or consumers of the brand
in question
Company has a policy and procedures to ensure that all workers

receive a contract that meets local legal labour requirements and
M x 2.01
specifies terms and conditions of employment in the local language
that they understand
Company procedure includes a check that agencies supplying workers

provide a contract for all the workers, and that contracts meet local
M x 2.02
legal labour requirements and specify terms and conditions of
employment in the language workers understand.
The workers at the company are employed under a documented

M x 2.03
contract that is signed by the employer and worker
Changes to employment contracts are agreed in writing by both
M x 2.04
employer and worker
Company does not impose additional terms or requirements on

M 2.05
workers after employment contract signed
The probationary period for workers does not exceed term permitted
M x 2.06
by local legal requirements
Workers are not repeatedly hired on temporary contracts as a means

M 2.07 for the employer to avoid paying same terms and benefits as for
permanent workers
Workers are not dismissed and re-hired as a means for the employer
M x 2.08
to avoid paying same terms and benefits as for permanent workers
Migrant workers do not pay fees or employment costs to agents in

M x 2.09 their own or host country for the opportunity to be employed by the
company
Agencies do not charge workers fees for brokering employment

M 2.10
opportunities at the company.
Company has a policy and procedures that define key management
functions such as hiring, grievances, discipline, promotion and
G 2.11 termination. All management functions directly involving the workers,
such as redundancies are conducted in accordance with legal
requirements and the process is conveyed to the workers.
Company has trained the staff who are responsible for implementing
G 2.12 the key management procedures. Appropriate documentation, e.g.
training records are kept for a stated period of time.
Provision of terms and conditions of employment, key management

G 2.13 polices, remediation etc. are in a workers manual which is translated
into the language appropriate to workers
On-going training opportunities are provided for all categories of

workers, to raise and broaden their skills to enable them to advance in
G 2.14
their employment. This includes apprentice programmes, for young
workers, where applicable.
All types of workers have opportunities for a clear career progression

B 2.15
path.
Company has a policy and procedures on discrimination which covers

non-discrimination based on caste, national origin, ethnicity, religion,
M 3.01 age, disability, gender, material status, sexual orientation, union
membership, political affiliation, health, disability or pregnancy and this
is communicated to workers
There is no evidence of discrimination in the recruitment,

compensation, access to training, promotion, dismissal or retirement
processes based on the discrimination aspects of caste, national
M x 3.02
origin, ethnicity, religion, age, disability, gender, material status, sexual
orientation, union membership, political affiliation, health, disability or
pregnancy.
There is no evidence of pregnancy testing being used in the
M x 3.03
recruitment process to discrimination against the candidate.
Selection criteria for all human resource decisions are documented

G 3.04 and applied in all cases to prevent arbitrary decisions, e.g. equal
opportunities of training and promotion for women
Staff members responsible for hiring, paying, training, promoting,

M 3.05 disciplining and dismissing workers are trained to avoid discrimination
in the exercise of their duties.
All workers and their managers are trained to recognise and prevent
M x 3.06
harassment, abuse and other forms of intimidation.
Managers, frontline administrators, production staff, quality controllers

G 3.07
and guards are trained to avoid discrimination
Company has a policy and procedure to ensure the safety and

M x 3.08
appropriate needs of pregnant and lactating female workers
Female workers returning from maternity leave are given equivalent

G 3.09
position and pay to their position before their maternity leave began
Company has a policy and procedures to ensure that all workers enter
employment freely and equally and that they are not prevented from
M x 4.01
resigning and leaving if they so wish, and this is communicated to
workers
Migrant workers receive an employment contract in a language they

M x 4.02 understand in their own country before they leave to come and work at
the company.
There is no retention by employer or employment agency of original

identification papers and / or passports unless required by law. Where
the retention of identification papers is legally required, there is a
M x 4.03
process to ensure that workers can access their identification papers,
are not prevented from leaving the workplace and that their papers are
returned immediately upon cessation of employment.
Workers have freedom of movement and are not confined to the

M x 4.04 company's premises, including worker accommodation where
provided
Where workers can only be hired through recruitment agencies, the

M 4.05 company has a procedure to check that the recruitment agency has
hiring policies and procedures to combat trafficking and forced labour
M x 4.06 There is no evidence of involuntary labour- prisoners or others
Company has a policy and procedures on voluntary prison labour

where prisoners are being rehabilitated or trained in preparation for
G 4.07
release and where their terms and conditions of employment are
similar to those in the open labour market.
Workers do not pay deposits when they commence employment at the
M x 4.08
company
Only workers who have the legal right to work at the company are
M 4.09 employed and documents demonstrate that there is a verification
procedure
There are no unreasonable notice requirements, or financial penalties,

M x 4.10 beyond legally allowed limits for workers when they leave the
employment of the company
Payments are made promptly, without unreasonable delay, to workers

M x 4.11
when they leave the employment of the company
Workers who refuse overtime are not penalised (for example there are
M x 4.12
no threats of pay cuts, dismissal, demotion etc.)
M x 4.13 Workers are not monitored when they take toilet/rest breaks.
There is no evidence of enforcement of unreasonable control of

M x 4.14
workers by security guards
If there are monetary deposits required for work tools, PPE, or training,
M x 4.15 the company has a process to manage the issue of items and the
refund of monies.
M x 4.16 Monetary deposits, or fees, for accommodation are not excessive
Contracts for migrant workers include clear repatriation terms and

B 4.17
conditions (if applicable)
Company has an employment policy and procedures to ensure that it

complies with local regulations on minimum age of all workers
M 5.01
including indirectly supplied workers, piece-workers, part time workers,
home workers, young workers, interns/ students.
The policy specifies the minimum age for employment and the means
M 5.02
for age verification to implement the policy.
The policy specifies remediation measures if there is an incident of

M 5.03 child labour, which include care of the child and security of the same
income to the family.
Company does not employ workers under the age of 15 years old or
M 5.04
higher if the local law states higher
Company does not permit young persons (under the age of 18) to
M x 5.05
work at night or in hazardous conditions
Risk assessments, are conducted for jobs assigned to young workers,

M 5.06
including implementation of controls to reduce identified risk
Appropriate medical examinations are provided young workers (e.g.

G 5.07
for testing of hearing loss in high noise level working environments)
All relevant supervisors are trained to respect the provisions for young
G 5.08 workers, apprentices and interns, especially with respect to hours of
work, night shifts, weekend work and heavy or dangerous work
Records of age verification (e.g. photocopies of appropriate ID) are

M 5.09 maintained in connection with worker records and are accurate and
true
There is no evidence of children in the working areas of the company

M x 5.10
premises, either working or playing or with parents on the job.
Company registers young workers with local authority and ensures

G 5.11
that they are free to pursue further education if they wish.
M 5.12 Contracts for young workers are signed by legal parent or guardian
Company has a policy and procedures to ensure that workers are

paid for their work and are paid in compliance with local legal
M x 6.01
requirements e.g. minimum wage, frequency of payment etc, and this
is communicated to workers.
Records are maintained that demonstrate that workers are paid

M x 6.02 accurately for standard and overtime hours worked, based on an
appropriate hours and wages system
Payroll records are available for inspection, by authorised parties, to

M 6.03
use to verify standard and overtime hours of work and wages.
M x 6.04 Workers are paid wages on time, as defined in the policy
Workers receive a pay slip / pay information and the payroll calculation
M x 6.05
and information is in the local language and is understood by them
Compensation terms established by legally binding collective

M 6.06
bargaining agreements are implemented by the company
M 6.07 Legally required social security payments are made correctly
M x 6.08 Legally required allowances, bonuses or benefits are correctly paid
Annual leave entitlement for all workers is paid according to local legal
M x 6.09
requirements
The organisation does not make deductions from wages for

disciplinary purposes even though permitted by national law or
collective bargaining agreement. Exception to this rule applies only
M x 6.10 when both of the following conditions exist: a) Deductions from wages
for disciplinary purposes are permitted by national law; and b) A freely
negotiated collective bargaining agreement is in force that permits this
practice.
There is no evidence of unreasonable, unexplained, unauthorised

M x 6.11
deductions from workers wages
There is no evidence of inconsistencies between payroll records,

M x 6.12
payslips or other records and through worker interviews
Workers are paid a premium rate for overtime work, as defined by

M x 6.13
local legal requirements
Migrant workers’ remittances are authorised in writing by the worker
M x 6.14
and evidence of transaction is supplied by the company to the worker.
There is a system of periodic assessment in place to ensure all

G 6.15
workers are paid appropriate pay rates.
There is a living wage approach to fair compensation which

encompasses a system to periodically assess that wages are sufficient
B 6.16
to meet the basic needs of the worker and to provide some
discretionary income.
Pay rates for all workers, including indirectly supplied workers, piece-
workers, part time workers, home workers, young workers, interns/
G 6.17
students is done on an equal pay for equal work basis and meets or is
above the minimum wage or industry benchmark(whichever is higher)
M 6.18 There is no evidence of falsification of hours and wage records
Company complies with local legal requirements for working hours and
M 7.01
overtime arrangements
Company has a policy and procedures on working and overtime hours

M x 7.02 and workers understand policy and their contracts with respect to
wages and working hours.
If the employment contract allows for contractual overtime, workers
M x 7.03 expressly agree to it. All overtime work by workers is on a voluntary
basis
Workers are entitled to at least 24 consecutive hours of rest in every

sevenday period. If workers are required to work on a rest day due to
M x 7.04 a genuine need for continuity of production or service, workers must
receive an equivalent period of compensatory rest immediately
following.
Workers are not required to work more than the regular and overtime
hours allowed by the law of the country where the workers are
employed.
In the absence of law, the requirements set out in the International
M 7.05
Labour Organization Convention on hours of work and overtime must
be followed, so that the regular working week does not exceed 48
hours and other than in exceptional circumstances, the sum of regular
and overtime hours in a week does not exceed 60 hours.
There is no evidence of workers exceeding local, legal overtime work

G 7.06
hours or, in the absence of local law, 12 hours per week
There is no evidence of workers exceeding standard work week hours

G 7.07 according to local legal requirements or, in the absence of law, 48
hours per week
There is no evidence of overtime being used for extended periods as a

G 7.08
means of making up for labour shortages or increased order volumes.
Workers receive rest breaks for which they are entitled to by local legal
M x 7.09
requirements
If sufficient workers cannot be hired, new working time arrangements
G 7.10 are explored to ensure that overtime is the exception rather than the
rule.
Risk assessments are conducted to evaluate the arrangements for

G 7.11 workers doing overtime e.g. driving after a long shift and include
implementation of controls to reduce identified risk
Workers who wish to join a union or worker committee are able to do

M x 8.01
so and there is no breach of local regulations
Managers, supervisors and guards are trained to respect each

M x 8.02
workers’ right to associate freely
Workers are not penalised (or discriminated) for seeking to join or

M x 8.03 create; being a member of; or being involved with a union or worker
committee
Company does not refuse trade unions, unless refusal is allowable by

M 8.04
law
Workers know and understand their rights, feel confident to exercise

M x 8.05 them and that no other worker or manager will impede them in the
enjoyment of that right.
M 8.06 Collective agreements comply with local legal requirements
Company has a policy and procedures on Freedom of Association and

G 8.07 the Right to Collective Bargaining and these are communicated to
workers
The company provides appropriate training e.g. against legal

G 8.08 requirements or international standards, for union or worker
representatives to ensure they function effectively
Collective agreements are circulated to workers in writing, and can be

G 8.09
understood by the workers
Company's policies covering hiring, discipline, promotion, wages,

hours, grievances and termination all clarify that a worker's choice to
G 8.10
form a union or join a trade union will not compromise their equal
treatment at work
Where the right to freedom of association and collective bargaining is

restricted under law, the employer facilitates, and does not hinder, the
M x 8.11
development of parallel means for independent and free association
and bargaining.
If there is worker representation, there is a free and fair electoral

M x 8.12
process with no influence from company's management.
Workers are not forced to talk to company management about
M x 8.13
personal or sensitive matters
Company does not interfere with union decision making or the election
M x 8.14
/ appointment of worker representatives
Company does not obstruct recruitment activities or does not restrict

M x 8.15
reasonable access to unions for member recruitment
G 8.16 Worker representatives are given time off to meet and address issues
G 8.17 Worker councils or committees contain a fair balance of workers
Worker councils or committees have clearly minuted meetings and the

G 8.18
minutes are communicated clearly to workers
Issues arising from councils or committees are considered or actioned

G 8.19
and there is evidence of this
Adequate facilities are provided for union or worker council related
B 8.20
activities
Company has general Health & Safety and occupational Health &
M x 9.01 Safety policies and procedures that are fit for purpose and are
communicated to workers
All workers and other people who enter business premises are
properly informed about the inherent dangers of the workplace and are
M x 9.02
provided with adequate knowledge and personal protective equipment
to avoid such dangers.
All personnel who enter the premises or deal with products are
M x 9.03 properly informed about the appropriate actions to take should a
Health & Safety incident occur.
Emergency procedures are in place and directions for safe evacuation

M x 9.04
are available in all necessary languages for workers
Evacuation procedure is tested through regular drills (as advised by

M x 9.05 local fire regulations or a minimum every 6 months) across all
operating shifts (e.g. day, night and weekend shifts)
Records are available to demonstrate drills have been conducted and

M 9.06
new workers have been given instruction on safe evacuation
Evacuation assembly points are identified, and able to be recognised
M 9.07
by all - including visitors.
Company complies with local legal requirements for electrical and

M 9.08
equipment testing and safety inspections
Emergency lighting is adequate, fit for purpose, functioning correctly

M 9.09
and maintained
Records are available to demonstrate that emergency lighting is

M 9.10
maintained
Emergency procedures have been shared and endorsed by the local

G 9.11
fire brigade
Emergency procedures extend to the specific requirements of any

M 9.12 disabled or hearing impaired workers ( as determined by risk
assessment of impacted worker's activities)
M 9.13 Electrical wiring is adequately encased and secured

Where appropriate, procedures and equipment to prevent explosions
M 9.14
are maintained
M 9.15 Company lighting levels are adequate in all areas
Heating, Ventilation and Air Conditioning (HVAC) systems are

M 9.16
maintained, fit for purpose, and are operating effectively
M x 9.17 Workers have free access to potable drinking water
Suitable and maintained Personal Protective Equipment is issued to

M x 9.18
workers (free of charge)
Workers are trained on the purpose of Personal Protective Equipment

M x 9.19
and are required to use correct Personal Protective Equipment
Safe operating procedures are known for hazardous tasks and

M x 9.20
operators are trained
Machinery and equipment is fit for purpose and appropriately
M 9.21
maintained, on a regular basis, to ensure worker Health & Safety
Workers who use machinery and equipment are trained on the risks
M x 9.22
and safe operating procedures
No unsafe practices which constitute a threat to life were seen during

M 9.23
site tour
Company provides lifting equipment and training to ensure safe

M x 9.24 handling of loads - as appropriate and determined by risk assessment
of the jobs.
Training is given to all workers on general Health & Safety to ensure

M x 9.25
Safe Working Practices
Hazardous chemicals / materials are controlled, stored, used and

disposed of according to local legal requirements e.g. secondary
M 9.26 containment and special storing arrangements for flammable materials
are in place where required. All are correctly labelled in all necessary
languages for workers
Hazardous chemicals / materials risks are assessed and appropriate

M 9.27
training is given to workers on their treatment and safe use / handling
Where Hazardous chemicals / materials are handled there are
M 9.28 appropriate spillage / cleaning kits and they are in date and in good
order to be used.
Body and eyewash facilities are provided in hazardous environments

M 9.29
and they are in date and in good order to be used.
Material Safety Data Sheets are maintained, and readily available in

M 9.30
all languages for those who need to use them
Occupational Health & Safety policies and procedures are included in

G 9.31
the workers’ manual
Fire service inspection certificates are available and are valid and in
M 9.32
date
M 9.33 Fire alarm system is installed, and functioning correctly
Fire alarm noise and visual alerts are distinctive, and can be heard/
M 9.34
seen in all areas and recognised by all workers and visitors
Fire alarm system is regularly tested (as advised by local fire
M 9.35
regulations or ideally weekly)
Fire exits are sufficient in number to allow all workers to exit quickly in
M 9.36
an emergency
Fire exits are not restricted and can be opened immediately in an

M x 9.37
emergency
Fire escape routes and exit doors are clearly and adequately marked
M 9.38
and signposted for all to see easily and understand
Fire exits open in the direction of egress and are maintained

M 9.39 appropriately. Exits are push bar or other quick release mechanism
and no padlocked doors
M x 9.40 Aisles and exits are not blocked allowing easy egress of workers
Fire fighting equipment is place across the site, sufficient in type and
M 9.41
quantity, accessible and fit for purpose
Fire fighting equipment is in date and serviced, at least annually or
M 9.42 more often if recommended by the manufacturers or if the storage
conditions may cause deterioration.
Training is given on the correct use of fire fighting equipment and

G 9.43
when/ how to escape in an emergency
Fire extinguishers are installed at correct heights for ease of access

M 9.44
and safe collection for use
Company premises are structurally safe and building certificates are

M 9.45
available, valid and in date
M 9.46 Company premises are maintained and in fair condition
Company has established and operates a Health & Safety

G 9.47
Committee / or worker representation for Health & Safety
Work stations and work areas are well organized and safely
M 9.48
maintained
Work surfaces and floors are not slippery and are appropriately
M x 9.49
surfaced and maintained
Records of workers Health & Safety training are maintained and are
M 9.50
available for inspection
Risk assessments are conducted to evaluate fire safety issues,

G 9.51
including implementation of controls to reduce identified risks
Risk assessments have been conducted for all job roles, including
G 9.52
implementation of controls to reduce identified risks
Workers' conditions are assessed on a regular basis to understand

M x 9.53 conditions that may require PPE (e.g. ear protection due to noise
levels)
Company has a complete set of required certificates and permits that

relate to the site's operational safety and worker Health & Safety e.g.
M 9.54
Building approval, Business registration, Environmental protection
licence, etc.)
Company has appointed a senior member of management to be

M 9.55
responsible for all Health & Safety management.
Company has no breaches of Health & Safety regulations pending or
B 9.56
recent fines or prosecutions i.e. within the last 5 years.
Water supply for the site is tested for safety on a regular basis and
M 9.57
records are maintained
There are sufficient working, safe and sanitary toilets and wash areas,
M x 9.58
and are separated by gender as defined by local law
Adequate hand washing facilities with soap and running water are
M 9.59
provided in all toilets
There are a sufficient number of toilet and urinals provided (at a rate of
B 9.60 two toilet seats and two urinal facilities per forty-five male workers and
three toilet seats per fifty females)
Noise assessment, where appropriate, has taken place, including

G 9.61
implementation of controls to reduce identified risks.
All accidents and incidents are recorded appropriately and a system is

G 9.62
in place to correct root causes
Appropriate medical examinations are provided for workers (e.g. for
M x 9.63
testing of hearing loss in high noise level working environments)
G 9.64 A medical room or utility is provided for workers
There is a doctor or nurse on site or there is easy access to trained

M x 9.65
medical aid
First Aid kits are available in sufficient quantity, are appropriately

M 9.66
stocked and maintained, and contain materials that are not out of date
There are appropriate number of First Aid trained workers and these
M x 9.67
are known to the workers
Machine Inspection records and /or certificates are available where

M 9.68
required, and are in date
Risk assessments and procedures are maintained for pregnant female

G 9.69
workers and provision made to ensure safe working conditions
If provided - child care/ crèche is a safe environment and does not
M 9.70
give access to areas of the workplace
Staff canteen or provision is made for hygienic storage, preparation

M x 9.71
and consumption of food
Certificate of foods sanitation and hygiene of food supplier/caterer is

M 9.72
available - as per local law
Where company provides worker transport - it is fit for purpose, safe

M x 9.73
and maintained and operated by competent persons
M 9.74 Accommodation facilities are not located in the production area
M x 9.75 Families of workers are not able to enter any production area
Appliances provided for workers are fit for purpose and appropriately
M 9.76
maintained, on a regular basis, to ensure safe use
Those living in accommodation have easy access to potable drinking
M x 9.77
water
M 9.78 No storage of hazardous substances in accommodation
Worker personal living space meets legal requirements and industry

M 9.79
acceptable standards
Worker personal living space and / or sleeping areas are separated by

M 9.80
gender
M x 9.81 Each worker has their own bed or sleeping company
Secure personal storage space is provided for workers in their living

G 9.82
space and is fit for purpose
Records are available to demonstrate that emergency lighting is

G 9.83
maintained
Company has policies and procedures that support a mechanism for
workers to complain, make suggestions and lodge grievances or any
M 10.01
dissatisfaction that they have with their working terms and conditions
etc.
Company has a process to investigate and apply swift, unbiased and

M x 10.02 fair resolution to complaints, grievances, or statements of
dissatisfaction lodged by workers.
Workers can lodge complaints and grievances and dissatisfaction in

M x 10.03
confidence with no fear of victimisation
Company does not issue physical disciplinary action, punishment,

M x 10.04
harass or intimidate workers
Workers and managers understand the disciplinary and grievance

M x 10.05
procedure
There is no evidence of discrimination based on caste, national origin,

ethnicity, religion, age, disability, gender, material status, sexual
M x 10.06
orientation, union membership, political affiliation, health, disability or
pregnancy
Disciplinary and grievance procedures are included in the workers

G 10.07
manual
There is evidence to show that managers follow the disciplinary
G 10.08
procedure.
G 10.09 Remedies are timely and open to appeal
M 10.10 Disciplinary investigations and cases are documented and transparent
M x 10.11 Company does not fine workers for lateness or absence from work
There is no evidence of managers taking bribes for sexual favours

M x 10.12
from workers to avoid disciplinary action of the worker.
M x 10.13 There is no evidence of verbal abuse in the workplace
Workers are not subjected to searches of body or possessions which

M x 10.14
are discriminatory or invasive
M x 10.15 Managers or supervisors who abuse workers are disciplined.
Company has a policy and procedures which articulates the due

M 11.01 diligence the company will undertake to obtain free, prior and informed
consent, (FPIC) even if national/local law does not require it
Company has an individual or team trained to deal with local

communities and indigenous peoples on the principles of free, prior
and informed consent,(FPIC)or there are individuals who are
M 11.02
knowledgeable enough to seek outside consultation to ensure rights
are acknowledged and protected and sufficient due diligence is carried
out
Company has a specific article in their code of conduct which covers

M 11.03
free, prior and informed consent, (FPIC) and no land grabbing
Where applicable, due diligence is undertaken to uphold individual or

M 11.04
indigenous peoples’ established rights to property and land.
Company has evidence that they have invoked free, prior and
G 11.05 informed consent,(FPIC) in the last five years because of company
footprint change or addition to the company footprint.
Company has a process or assessment procedure to identify land

G 11.06
ownership/land rights including the rights of women to own land
Company has evidence of having conducted impact assessments on
the rights, resources, lands and territories of forest-dwellers,
B 11.07
indigenous people, smallholders, squatters, pastoralists, or minority
groups
Company has a grievance mechanism in place which would support

B 11.08
grievances from rights holders
M 11.09 There is no evidence of illegal appropriation of land
Company demonstrates compliance to local legal environment

M 12.01
standards and requirements
Company holds relevant permits, licences and related records for use
M 12.02 and disposal of water and waste and other relevant commodities and
utilities
Training is provided to all relevant personnel to ensure knowledge of

M 12.03
and compliance with all necessary legal permits
Company has systems in place for monitoring water and air

M 12.04
discharges in respect of quality and local impact
Company has systems in place for managing hazardous waste and
M 12.05
appropriate records are kept and permits maintained
Company has a policy which recognises and aims for continuous

improvement on protection and preservation of the environment with a
B 12.06 focus on reducing resource consumption, recycling, and reducing
green house gas emissions as well as innovation to reduce
environmental impact
Company has policies and procedures specific to land use change that
B 12.07 specify that there is no net deforestations, even if government does
not require it.
Company has processes and procedures and capacity required to

B 12.08
manage land use change (deforestation aspects)
Company has policies and procedures in place to recognize and apply

B 12.09 national laws and practices relating to nature conservation and
deforestation
Company has no breaches of environmental regulations pending or

M 12.10
recent fines or prosecutions, i.e. within the last 5 years.
Company has a nominated member of management with clear overall

G 12.11 responsibility and accountability for managing environmental aspects
and monitoring and measuring impacts
Company has appropriate reduction targets in place for environmental
B 12.12 aspects e.g. water consumption and discharge, waste, energy and
green house gas emissions
Risk assessments have been conducted on the environmental impact

G 12.13 of the site, including implementation of controls to reduce identified
risks
Company has evidence of inspections by authorities in to

G 12.14 environmental aspects and impacts if they have been conducted (e.g.
water discharge inspection)
Company has evidence of waste recycling and is monitoring volume of

B 12.15
waste that is recycled
Company has checked that any Sub-Contracting agencies or business

partners operating on the premises have appropriate permits and
M 12.16
licences and are conducting business in line with environmental
expectations of the company
Company either uses an outside expert or has an individual or team

B 12.17 trained to deal with land use change, including aspects of
environmental management including conservation and deforestations
Company has a policy and procedures which specifies the due

B 12.18 diligence they will undertake to avoid damage to High Conservation
Value (HVC) and High Carbon Stock (HCS) forest
G 12.19 Company publically communicates its impact on the environment
Company has a system in place for accurately measuring and

B 12.20 monitoring consumption of key utilities of water, energy and natural
resources that follows recognised protocols or standards
AUDITOR to complete AUDITOR to complete DO NOT EDIT
Method of verification of corrective

Description of findings against applicable Summary of preventative and corrective actions action:
local/international legal requirements, and standards to be taken by the company. follow up (onsite)
that were referenced during the audit. (as discussed at close out meeting) desktop (at distance)
Auditors can include an observation even if a NC is not not applicable (observation)
generated.
Desktop
Desktop
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Follow Up Site Visit
Not Applicable
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company ACTION company ACTION AUDITOR to complete AUDITOR to complete DO NOT EDIT
Corrective Actions Plan. Date when implementation of corrective Acceptance or rejection of Comments for rejection of NC by Risk rating for
action is completed. evidence for NC closure by the the auditor. scoring
To be updated after the audit by the company in auditor. purposes
Unilever System (USQS) Date field Note: No comment needed for
verified.
DO NOT EDIT
NC Score
x
0
1
AUDIT PARTICIPATION OVERVIEW

(who attended from the facility)
Q4.01 Attendance during opening meeting
Q4.02 Attendance during audit
Q4.03 Attendance during closing meeting
Q4.04 If not present, please comment under appropriate heading
AUDIT SUMMARY
Who accepted the non-compliance issues as representative of the site? (Name and job
Q4.05
title)
Was there general acknowledgment of the need for action to be implemented to address
Q4.06
the non-compliance issues?
Q4.07 Please provide some comments
Q4.08 Overall response/ observations to the audit process by managers
Q4.09 Overall response/ observations to the audit process by workers
Q4.10 Examples of good practices observed

TOTAL NC SCORE
Q4.11 Audit Score
Q4.12 Limit Date for FUP Audit
NON COMPLIANCES (NCS) DETAILS

Number of NCs per FP Fundamental Principle (FP)
01 - Business is conducted lawfully and with

Q4.13 0
integrity
02 - Work is Conducted on the Basis of Freely

Q4.14 0
Agreed & Documented Terms of Employment
03 - All Workers are Treated Equally and With

Q4.15 0
Respect and Dignity
Q4.16 0 04 - Work is Conducted on a Voluntary Basis
Q4.17 0 05 - All Workers Are of An Appropriate Age
Q4.18 0 06 - All Workers Are Paid Fair Wages
Q4.19 0 07 - Working Hours For All Workers Are Reasonable
08 - All Workers Are Free to Exercise their Right to

Q4.20 0 Form and / or Join Trade Unions or to Refrain From
Doing So and to Bargain Collectively
09 - Workers' Health & Safety Are Protected at

Q4.21 0
Work
10 - Workers Have Access to Fair Procedures and
Q4.22 0
Remedies
11 - Land Rights of Communities, Including

Q4.23 0 Indigenous Peoples, Will be Protected and
Promoted
12 - Business is Conducted in a Manner Which

Q4.24 0 Embraces Sustainability and Reduces Environmental
Impact
IEW
Senior Management Worker Representatives Union Representatives
(Checkbox when true) (Checkbox when true) (Checkbox when true)
✘
Enter Details Here Enter Details Here Enter Details Here
Enter Details
? (Name and job
Enter Text Here
mented to address
Enter Details Here
Enter Text Here
Enter Text Here
Enter Text Here

Automatically filled once audit checklist is completed
0
Based on date on Section 2.8 - 'Date of Audit'
LS
iple (FP) Executive Summary of NCs Found Executive Summary of Good Examples Noted
ully and with

Enter Text Here Enter Text Here
Basis of Freely
of Employment
ually and With

luntary Basis Enter Text Here Enter Text Here
opriate Age Enter Text Here Enter Text Here
Wages Enter Text Here Enter Text Here
kers Are Reasonable Enter Text Here Enter Text Here
ercise their Right to

s or to Refrain From Enter Text Here Enter Text Here
tively
Are Protected at
ir Procedures and
s, Including
otected and Enter Text Here Enter Text Here
Manner Which
duces Environmental Enter Text Here Enter Text Here
Union Representatives
(Checkbox when true)
###
###
###
tails Here
WAGE ANALYSIS
Q5.01
Sample size
(number of wages checked and which weeks or months - reference document SMETA BPG)
Q5.02
Legal minimum wage for standard time
(excluding OT - please include time period e.g. hour/week/month)
Q5.03 Are there different legal minimum wage grades?
Q5.04 Please specify all and note details
Q5.05 Are all workers graded correctly?
Q5.06 Please give details on Q.05
Q5.07 What deductions are required by law?
Q5.08 Have all of these deductions been made?
Q5.09
Industry norm for this region
(please include time period e.g. hour/week/month)
Q5.10
Legal overtime premium for weekdays
Q5.11
Legal overtime premium for rest days
Q5.12
Legal overtime premium for holidays
WORKER TYPE
Select one worker's records from each "Worker Type" and populate the boxes. Ensure comparison
is made for same pay period (peak) and only uses full-time workers. Reference SMETA Best
Practice Guidance for completing this.
Q5.13
Pay period
Q5.14 Anonymous Employee Reference/Dept.
Q5.15 Employee Gender
Q5.16
Contracted Wage
Q5.17
Standard working hours
Q5.18
Standard pay rate
Q5.19
Standard day overtime - hours
Q5.20
Standard day overtime - wage
Q5.21
Rest day overtime - hours
Q5.22
Rest day overtime - wage
Q5.23
Statutory Holiday overtime - hours
Q5.24
Statutory Holiday overtime - wage
Q5.25
Total overtime hours
Q5.26
Incentives/Bonus/Allowances etc.
Q5.27
Gross wages
Q5.28
Actual wage paid after deduction
Comments: Please state here any specific reasons/circumstances that explain the lowest
Q5.29
and highest gross wages
Q5.30
Is there a defined living wage?
(This is not normally legal wage)
Q5.31 Please state amount and source of info
Q5.32 Are workers paid in a timely manner in line with local law?
Q5.33 Is there evidence that equal rates are being paid for equal work?
Q5.34 How are workers paid?
Q5.35 What is the actual overtime premium paid in sample for weekdays?
Q5.36 What is the actual overtime premium paid in sample for rest days?
Q5.37 What is the actual overtime premium paid in sample for holydays?
WORKING HOURS ANALYSIS

Q5.38 What timekeeping systems are used? (time card, etc.)
Q5.39 Sample size checked (number of workers)
Q5.40
Legal standard work week (hours)
(Excluding OT - please include time period e.g. hour/week/month)
Q5.41
Contracted standard work week this site (hours)
Q5.42
Actual standard work week averaged over sample for full time workers
Q5.43
Lowest standard hours worked
Q5.44
Highest standard hours worked
Q5.45 Percentage workers on part-time contracts
Q5.46
Legal permitted overtime hours
Q5.47 Any local waivers or permission for annualised hours for this site?
Q5.48
Actual overtime hours (averaged over sample)
Q5.49
Range of overtime hours over all workers (quote highest and lowest)
Q5.50 Approximate % of workers on highest overtime hours
Q5.51
Peak season(s)
(specify months)
Comments
Q5.52 (Please state here any specific reasons/circumstances that explain the highest working
hours)
ENVIRONMENTAL ANALYSIS
Q5.52 Electricity Usage: Kw/hrs
Q5.53 Gas Usage: Kw/hrs
Q5.54 Renewable Energy Usage: Kw/hrs
Q5.55 Has site completed any carbon Footprint Analysis?
Q5.56 Water Sources - Please list all sources that the facility draws water from
Q5.57 Water Volume Used by the facility: (m³)
Q5.58 Water Discharged : Please list all discharge routes used by the facility
Q5.59 Water Volume Discharged: (m³)
Q5.60 Water Volume Recycled: (m³)
Q5.61 Total waste Produced: (please state units)
Q5.62 Waste to Landfill: (please state units)
Q5.63 Total Product Produced: (please state units)

ANALYSIS
Enter Values
SMETA BPG)
Enter Number Here
Enter Number Here

Enter Details Here
Enter Details Here

Enter Text Here
Enter Text Here
Enter Text Here
Enter Text Here
Enter Text Here
es. Ensure comparison

erence SMETA Best
Highest Paid Average Paid Lowest Paid
Enter Text Here Enter Text Here Enter Text Here
explain the lowest

Enter Text Here
Enter Details Here

S Enter Details (Please include time period e.g. hour/week/month)
Enter Text Here
Enter Number Here
Enter Number Here
Enter Number Here
s Enter Number Here
Enter Number Here
Enter Number Here
Enter Number Here
Enter Number Here
Enter Number Here
Enter Number Here
Enter Number Here
Enter Text Here

highest working Enter Text Here
S Current Year (last 12 months) Previous Year (previous 24 up to 12 months)
Enter Number Here Enter Number Here
Choose answer from DropDown List Choose answer from DropDown List
m Enter Text Here Enter Text Here

Lowest Paid
xt Here
xt Here
xt Here
xt Here
xt Here
xt Here
xt Here
xt Here
xt Here
xt Here
xt Here
xt Here
xt Here
xt Here
xt Here
xt Here
xt Here
xt Here
xt Here
xt Here
TERM
CEO, CFO, COO, CPO Executive officers in a company. Chief Executive O
When exceptional circumstance is quoted - it refe

unforeseen and outside of the supplier's control. E
Exceptional circumstances
to finish an order that has to be dispatched before
the legal working hours is the "norm" then it is no
A place where work is undertaken, it is generally a

Facility
premises, where they are supplied.
The principle that a community has the right to giv

Free, prior and informed consent (FPIC)
own, occupy or otherwise use. FPIC, is a key princi
Migrant workers might be defined by foreign birth
Migrant worker
(sometimes for as little as a year) or to settle for th
These are generally payments facilitated by the em

Migrant worker remittances
member in home country.
Monies are not excessive For deposits against accommodation etc. This sho
Non-compliance issue - when a practice or activity

Sourcing Policy.
NC
Non-compliance issues are rated by severity and t
An observation is recorded where there is a site pr

Observation non-compliance. An observation must not be reco
It is an opportunity for improvement e.g. Fire extin
Regular basis For electing worker committee members - i.e. no l

A Key Incident (KI) is any human rights issue that
Risk ratings: Key Incident (KI)
limb. ALL KIs are made clear in the checklist with
Critical (C)
A Critical issue (C) may have a serious risk of affe
Non-compliance (NC)
A Non-compliance (NC) may affect workers wellb
Observation (O)
An Observation (O) - see above for explanation.
Skilled / technical roles Where specific qualifications are needed i.e. mach
Another party who provides a service to the facilit

Sub-contractor
product.
Unreasonable practice or actions maybe recorded

Unreasonable practice or actions
industry norm, or where the auditor collects evide
When leaving employment, if the delay goes longe

Unreasonable delay
deemed unreasonable.
URSA Understanding Responsible Sourcing Audit

A worker is any individual who works for an emplo
perform a task or service.
Worker - Workers can be employed and paid directly by th
- Workers can be employed on a permanent or tem
equal pay for equal work. For contract purposes a
A worker who is at least 15 years of age but less th

Young worker
national law. In some cases, a young worker may a
Zero tolerance Zero tolerance is the policy or practice of not toler

Definition
n a company. Chief Executive Officer, Chief Financial Officer, Chief Operating Officer, Chief Procurement Officer
circumstance is quoted - it refers to something outside of normal practice that may be acceptable when unavoidable,
tside of the supplier's control. Examples1) An imminent rail strike requires workers to work excessive overtime for 3 days
hat has to be dispatched before the strike. 2) Weeks of bad weather means limited time to complete a harvest. If exceeding
ours is the "norm" then it is not an exceptional circumstance.
k is undertaken, it is generally a factory site and may also include offices, warehouses etc., and can include accommodation
hey are supplied.
a community has the right to give or withhold its consent to proposed projects that may affect the lands they customarily
herwise use. FPIC, is a key principle in international law and jurisprudence related to indigenous peoples.
ight be defined by foreign birth, by foreign citizenship, or by their movement into a new country to stay temporarily
ittle as a year) or to settle for the long-term
y payments facilitated by the employer from a worker's pay to another party - as directed by the worker e.g. family
ountry.
t accommodation etc. This should be determined against the local norm in place
sue - when a practice or activity does not fully meet the said requirements of the appropriate law or Unilever Responsible
sues are rated by severity and these are clearly noted in the audit work book against each issue.
ecorded where there is a site practice which does not contravene the law or standard, but if not corrected it could lead to a
n observation must not be recorded where there is truly a non-compliance.
for improvement e.g. Fire extinguishers all in date and correct but there is no system in place for checking their status.
r committee members - i.e. no longer than every 2 years

I) is any human rights issue that severely affects the workers, or a human safety issue which may cause risk to life or
made clear in the checklist with a red box once a non-compliance has been recorded
) may have a serious risk of affecting workers wellbeing or safety at work and would have a big impact on workers.
e (NC) may affect workers wellbeing or safety at work but has less severe impact or risks associated with it.
O) - see above for explanation.
lifications are needed i.e. machine engineer / laboratory analyst
provides a service to the facility at a different location .e.g. another factory location where labels are stuck on a bottle of
tice or actions maybe recorded where the common way of working at the facility does not follow the accepted local or
where the auditor collects evidence during the audit that demonstrates a deviance from the norm.
loyment, if the delay goes longer than equivalent to the notice period to be given when leaving employment this maybe
able.
sponsible Sourcing Audit

ividual who works for an employer, whether under a contract of employment, or any other agreement. The individual will
ervice.
mployed and paid directly by the facility or indirectly through any agency or service provider.
mployed on a permanent or temporary basis and all workers are entitled to core employment rights and protections and
l work. For contract purposes and legal requirements, all workers includes home workers and young workers.
least 15 years of age but less than 18 years of age and who is no longer subject to compulsory full-time schooling under
me cases, a young worker may also be called an apprentice or trainee.
he policy or practice of not tolerating undesirable behaviour

How to add pictures - Use INSERT, ILLUSTRATIONS, ADD PICTURES

Adding Images To help keep the size of the Report as small as possible for ease of sending and saving the docum
that you use Microsoft Paint to resize your photos.
To do so please follow these instructions:
1) To start Microsoft Paint, click 'Start', 'Programs', 'Accessories', then 'Paint'.
2) Open the image file you wish to edit.
3) Click the 'Image' Menu at the top and select "Stretch/Skew Image”.
4) Choose a percentage figure to resize the image: to avoid distortion, choose the same percentage for horizontal
Click OK.
5) Once you have the desired size, click File > Save As… (To prevent overwriting the original image).
Save As jpeg (this provides compression to make the file smaller).
6) Use Insert, Illustrations to add the picture
Insert a Picture Here Insert a P
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se of sending and saving the document we recommend
he same percentage for horizontal and vertical stretch.
ng the original image).
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Unilever
Responsible Sourcing Policy
Working in partnership with our suppliers
Unilever RSP -
2017 - English.pdf
___Form_Master_Date ___Form_Master_Dropdown_1 ___NC_Scores Yes Yes
#REF! Please select No No
Equipment & MRO N/A NR
Human Resources
Innovation Sourcing
IT & Telecom NC
Logistics NC
Market Research NC
Marketing Agencies and Media NC
Marketing Promotional and Sales Services NC
Media (Placement) NC
Professional Services NC
Travel NC
Workplace Materials & Services NC
NC
NC
Observation
Observation
Observation KI
Observation
Observation
Observation KI
Observation
NC
NC
NC
NC
NC
C
NC
NC
C
NC
NC
Observation
Observation
NC
NC
NC
NC
NC
NC
C
C
Observation
NC
NC
NC
Observation
Observation
NC
C
KI
Observation
NC
C
KI
Observation
NC
Observation
C
C
NC
C
NC
NC
NC
NC
NC
NC
NC
KI
C
NC
Observation
NC
NC
KI
Observation
NC
C
NC
C
C
NC
NC
C
C
NC
NC
C
C
C
NC
Observation
Observation
Observation
KI
C
NC
C
C
C
Observation
Observation
Observation
C
Observation
Observation
C
NC
C
NC
C
C
Observation
Observation
Observation
Observation
NC
Observation
NC
NC
C
Observation
Observation
Observation
Observation
Observation
NC
NC
NC
C
C
NC
C
NC
C
C
NC
Observation
C
KI
C
NC
NC
C
C
NC
KI
C
C
KI
NC
C
C
C
C
C
C
C
Observation
NC
KI
KI
C
KI
KI
C
KI
KI
C
C
C
NC
C
C
NC
Observation
NC
C
NC
Observation
Observation
Observation
NC
NC
Observation
NC
C
C
NC
NC
NC
Observation
NC
NC
NC
NC
Observation
C
Observation
NC
NC
C
C
C
C
C
NC
C
C
NC
Observation
C
NC
NC
KI
NC
Observation
Observation
NC
NC
NC
NC
C
NC
KI
C
NC
NC
NC
NC
Observation
Observation
Observation
Observation
KI
KI
NC
NC
NC
NC
Observation
Observation
Observation
Observation
NC
Observation
Observation
Observation
Observation
Observation KI
NC
Observation
Observation
Observation
Observation
NC
NC
NC
NC
NC
NC
NC
NC
NC
NC
NC
NC
NC
NC
NC
NC
VERIFIED DESKTOP
VERIFIED ON SITE
REJECTED 1.01 NC NC 10
1.02 NC C 100
1.03 NC KI (2) 100
1.04 NC KI (3) 100
1.05 NC KI (4) 100
1.06 NC Observation 0
1.07 NC
1.08 NC
1.09 NC
1.10 NC
1.11 NC
1.12 Observation
1.13 Observation
1.14 Observation
1.15 Observation
1.16 Observation
1.17 Observation
1.18 Observation
1.19 NC
1.20 NC
1.21 NC
1.22 KI (4)
1.23 KI (4)
2.01 NC
2.02 NC
2.03 C
2.04 NC
2.05 C
2.06 NC
2.07 NC
2.08 NC
2.09 NC
2.10 NC
2.11 Observation
2.12 Observation
2.13 Observation
2.14 Observation
2.15 Observation
3.01 NC
3.02 C
3.03 C
3.04 Observation
3.05 NC
3.06 NC
3.07 Observation
3.08 NC
3.09 Observation
4.01 NC
4.02 C
4.03 KI (4)
4.04 NC
4.05 C
4.06 KI (4)
4.07 Observation
4.08 NC
4.09 C
4.10 C
4.11 NC
4.12 C
4.13 NC
4.14 NC
4.15 NC
4.16 NC
4.17 Observation
5.01 NC
5.02 NC
5.03 NC
5.04 KI (4)
5.05 C
5.06 NC
5.07 Observation
5.08 Observation
5.09 NC
5.10 KI (4)
5.11 Observation
5.12 NC
6.01 C
6.02 NC
6.03 NC
6.04 C
6.05 NC
6.06 NC
6.07 C
6.08 C
6.09 NC
6.10 NC
6.11 C
6.12 C
6.13 C
6.14 NC
6.15 Observation
6.16 Observation
6.17 Observation
6.18 KI (2)
7.01 C
7.02 NC
7.03 C
7.04 C
7.05 C
7.06 Observation
7.07 Observation
7.08 Observation
7.09 NC
7.10 Observation
7.11 Observation
8.01 NC
8.02 NC
8.03 C
8.04 NC
8.05 NC
8.06 NC
8.07 Observation
8.08 Observation
8.09 Observation
8.10 Observation
8.11 NC
8.12 NC
8.13 NC
8.14 NC
8.15 C
8.16 Observation
8.17 Observation
8.18 Observation
8.19 Observation
8.20 Observation
9.01 NC
9.02 NC
9.03 NC
9.04 C
9.05 C
9.06 NC
9.07 NC
9.08 NC
9.09 C
9.10 NC
9.11 Observation
9.12 C
9.13 C
9.14 C
9.15 NC
9.16 NC
9.17 KI (2)
9.18 C
9.19 NC
9.20 C
9.21 NC
9.22 C
9.23 KI (4)
9.24 NC
9.25 C
9.26 C
9.27 C
9.28 C
9.29 C
9.30 NC
9.31 Observation
9.32 NC
9.33 KI (2)
9.34 C
9.35 C
9.36 KI (3)
9.37 KI (3)
9.38 C
9.39 C
9.40 C
9.41 C
9.42 C
9.43 Observation
9.44 C
9.45 C
9.46 NC
9.47 Observation
9.48 NC
9.49 C
9.50 NC
9.51 Observation
9.52 Observation
9.53 NC
9.54 NC
9.55 NC
9.56 Observation
9.57 NC
9.58 C
9.59 C
9.60 Observation
9.61 Observation
9.62 Observation
9.63 NC
9.64 Observation
9.65 NC
9.66 NC
9.67 NC
9.68 NC
9.69 Observation
9.70 C
9.71 NC
9.72 NC
9.73 NC
9.74 KI (3)
9.75 C
9.76 NC
9.77 C
9.78 C
9.79 NC
9.80 C
9.81 NC
9.82 Observation
9.83 Observation
10.01 C
10.02 NC
10.03 NC
10.04 KI (3)
10.05 NC
10.06 KI (2)
10.07 Observation
10.08 Observation
10.09 Observation
10.10 NC
10.11 NC
10.12 C
10.13 NC
10.14 C
10.15 C
11.01 NC
11.02 NC
11.03 NC
11.04 NC
11.05 Observation
11.06 Observation
11.07 Observation
11.08 Observation
11.09 C
12.01 C
12.02 NC
12.03 NC
12.04 NC
12.05 NC
12.06 Observation
12.07 Observation
12.08 Observation
12.09 Observation
12.10 NC
12.11 Observation
12.12 Observation
12.13 Observation
12.14 Observation
12.15 Observation
12.16 NC
12.17 Observation
12.18 Observation
12.19 Observation
12.20 Observation
1 1 2011
2 2 2012
3 3 2013
4 4 2014
5 5 2015
6 6 2016
7 7 2017
8 8 2018
9 9 2019
10 10 2020
11 11 2021
12 12 2022
13 2023
14 2024
15
16
17
18
19
20
21
22
23
24
25
26
27
28
29
30
31

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Section 1.8 Section 2.

Contact for Queries -

Last Version Updated Date - Jun, 2

n Updated Date - Jun, 25th 2018

TO GENERATE THE NC SUMMARY REPORT

Date for completion of corrective action:

Please see the Glossary for explanation of terms used.

be filtered to show only NO

ervations to ensure that they do not become non-compliance issues.

ummary work sheet.

otentially in the future .

Q2.02 Auditor(s) Name and Job Title

Q2.03 Auditor(s) Email Address

Q2.04 Auditor Reference Number

Q2.05 Report Reviewer Name

Q2.06 Unilever Procurement Contact Details (email on @unilever.com)

Q2.07 Date(s) of Audit

Q2.08 Audit Reference Number

Q2.09 Date of report submitted to Unilever

SAMPLE SIZE (For a Full Audit)

TIME ON SITE PER DAY

Provide time and date details for each day

Provide time and date details for each day

Provide time and date details for each day

Provide time and date details for each day

Q2.18 Facility Address

Q2.21 Post Code

Q2.23 Name of Main Contact Person at Facility

Q2.24 Contact Person's Job Role

Q2.25 Email of Contact Person

Q2.26 Phone Number of Contact Person

Q2.29 Approximate size of site and age of buildings

Q2.30 Does the facility operate shifts?

Q2.35 Is there a peak season?

Q2.38 Please note details, including certificate expiry date

Q2.39 Has the facility had a previous responsible sourcing audit?

Q2.40 Date of previous FULL Audit

Q2.41 Protocol Applied

Q2.42 Were all corrective actions implemented by the supplier?

Q2.43 Were all corrective actions verified by an auditor?

LEGAL INFORMATION ON AUDIT SCOPE

Q2.45 Minimum work age

Q2.46 Maximum allowed overtime (hours/day/week/month - please state)

Q2.47 Minimum wage for standard ( hours/day/week/month - please state)

Q2.48 Minimum overtime payment (hour/day/week/month - please state)

Q2.49 What is the overtime payment (as a % of workers standard rate)

Do the standard/contracted hours stated in a contract/ employment agreement exceed the

Q2.53 Number of those employed at management level

Q2.54 Number of those employed at non-management level

Q2.55 Number of male workers (Directly paid by facility)

Q2.56 Number of female workers (Directly paid by facility)

Q2.57 Number of male workers (Indirectly paid by facility)

Q2.58 Number of female workers (Indirectly paid by facility)

Q2.61 Nationality of management

Q2.62 Majority nationality of workers

Q2.64 Does the facility have any home working?

Q2.66 Are home workers directly paid by the facility?

Q2.67 Does the facility have a policy on home working?

Q2.69 Does the facility sub-contract services for this client?

Q2.71 Does the facility have a policy on sub-contracting services ?

MIGRANT WORK AT THE FACILITY

Agencies (supplying migrant workers) - Provide the

Q2.79 Examples of such roles at the facility: