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1
DO WE
The different questions we should comply with COMPLY ? comments
2 NO DISCRIMINATION

There is no discrimination in hiring, compensation, access to training, promotion,

3 termination, or retirement based on race, caste, national origin, religion, age, disability,
gender, marital status, sexual orientation, union membership or political affiliation.

4 Systems and evidence

5 How does the site advertise for new staff.

6 How does the site ensure there is no discrimination in any of its procedures or practices.

7 Do the workers feel that they have an equal chance of training and promotion.

8 What is the gender and ethnic balance between workers and middle management.

9 What is written down for guidance on discrimination.

10 What training is given and to whom.
Is there any documentary evidence of these practices and if so what are they. The auditor
11 should record the details in this section.
12
13 Document review and management interview
Are their policies and procedures in place which cover the need for all workers to be
14
treated equally in all matters of employment and which cover:
15 . Recruitment and employment.
16 Compensation (e.g., equal pay for equal work)
17 Access to training.
18 Promotion, benefits, and advancements.
19 Termination and retirement.
20 Equal opportunities.
21 Discrimination based on race, caste gender, origin etc.
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Any discrimination based on category of worker or type of contract e.g., agency,
22 temporary, migrant, and local workers.

And are these communicated to workers in relevant languages or suitably explained where
23 literacy is low

24 Checks that site practices follow established policies and procedures.

25 Examines the recruitment process for:
Systems for advertising and hiring new staff e.g. verify the language used in job postings
26 and the list of job requirements.

27 How the workers are selected for interview. .

28 How interviews are conducted – by whom and what questions are asked.

Policies and requirements for any health checks prior to employment with reference to
29 pregnancy and HIV testing to ensure they do not discriminate; this includes core workers as
well as non-core such as cleaners, subcontractors, security guards

Interview notes and application forms do not indicate discrimination e.g. asking female
30 workers if they are likely to marry, asking about union membership.

Checks contracts to examine potential discrimination e.g. requirement not to have

31 children for a period.

32 Examines professional development systems:

33 On-going training is available to enable workers to progress.
34 Is there a clear progression path available for all workers.

35 An equal and clear fair selection criterion is in place for all promotions and benefits.

36 All selection criteria are applied in each case and documented.

37 If there is a bonus / benefits system, this is communicated transparently to all workers.

38 Examines the termination policies and practices.

39 Verify disciplinary and notice letters to workers.
40 Investigate why workers have left.
41 Examine termination conditions of any union members.
42 Review any patterns for dismissals relating to age, pregnancy etc.
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43 Is there an exit interview and is it effective.
44 Check payroll records to ensure:
No pay inequality based on unfair or unlawful discrimination e.g. pay based only on age
45 should be raised as a non-compliance

46 All workers receive all benefits to which they are entitled.

Check worker grievance procedures. Are there ways in which workers can report
47 discrimination? a. Suggestion box.

48 Anonymous phone line.

49 And do the systems: c. Protect the identity of the worker
50 prevent repercussions against the reporter.
An example of preventing repercussions might be a written nonretaliation commitment
51 that is clearly communicated to workers and may include:

52 Written policies and procedures.

53 Communication and training (that can be easily understood by workers
54 Internal monitoring and governance processes.
55 Use of an externally managed process.
56 Checks the breakdown of workers:
By ethnic/social group, gender, e.g., the number of women or migrant workers / in skilled
57 or management roles.

Ensure that any segregation of workers is a local norm and does not interfere with equal
58 opportunities across all groups.

59 Ensures that all benefits are applied equally to all groups.

All legal benefits reference pre- and post-natal conditions e.g., rest and breaks, nursing
60 breaks and a suitable quiet space.

Examines what are the workers’ legal rights to observe religious holidays, prayer time
61 during working hours etc., and whether they are being met.

62 Worker Interviews
63 Are workers aware of any antidiscrimination policies at the site.
Whether workers feel discriminated against with regards to any aspect of their
64 employment e.g., pregnancy tests.
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Whether they are aware of any maternity or paternity benefits and whether they are
65 aware of any workers who have been given them and then returned to work afterwards.

Have they any experience relating to people reporting issues of discrimination and action
66 taken as a result.

67 Do they know how to report discrimination and are they fearful of repercussions.

Are they able to take religious holidays or any other religious observations such as breaks
68 for prayer

69 Good examples
Sites, supervisors, management are comprised of approximately 50% male and 50%
70 female.

Site offers ‘integration’ events – social activities that contribute to bringing unity to
71 different cultures in the workplace.

Site employs disabled people and makes appropriate adjustments for access around the
72 site.

73 Site has an effective diversity policy and procedure

74
75 REGULAR EMPLOYMENT
To every extent possible, work performed must be based on recognised employment
76 relationships established through national law and practice.

Obligations to employees under labour or social security laws and regulations arising from
regular employment relationships shall not be avoided through the use of labour-only
contracting, sub-contracting, or home-working arrangements, or through apprenticeship
77 schemes where there is no real intent to impart skills or provide regular employment, nor
shall any such obligations be avoided through the excessive use of fixed-term contracts of
employment. Additional Elements: Responsible Recruitment

Businesses have full understanding of the entire recruitment process including all labour
78 recruiters and intermediaries in terms of required legal and/or ethical requirements.
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There are effective management systems in place to identify and monitor the hiring and
79 management of all migrant workers, contract, agency, temporary or casual labour.

80 Employment agencies must only supply workers registered with them.

81 No workers’ pay recruitment fees at any stage of the recruitment process.
Workers’ contracts accurately reflect the agreed payment and terms in the recruitment
82 process and are understood and signed by workers

83 What are the contract procedures for all types of workers.

84 How are the workers made aware of their contractual rights and obligations
How are workers recruited including whether Agencies/Labour Providers are used and if so
85 are they local or in another region/country.

How management ensures they are aware of the full supply chain for any Agencies/Labour
86 Providers used.

87 What management systems are in place to monitor Labour Providers?

88 What are sites doing to give more regular employment opportunities?

Does the site check on the hiring procedures of any Labour Agents used. Have they
communicated a clear policy to all Agencies that no recruitment fees are to be levied to
89 workers? Are they aware of any deposits or other charges paid by workers either for their
jobs, or to cover other fees either at the site or at their place of origin (this should be
confirmed by worker interview)?

If Labour Providers are situated in overseas locations is management aware of the

90 legislation applying to recruitment in those countries?

91 Do contractual terms at the site match what was presented at the point of recruitment?

92 Are there any apprentices/trainees at the site and where applicable detail these programs.

93 What training is given on notice periods etc.

Is there any documentary evidence of these practices and if so what are they. The auditor
94 should record the details in this section.

95
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What proportion of workers are permanent, part-time, fixed-term contract workers,
96 temporary workers,

Do their terms and conditions meet the law, and are fixed-term contracts repeatedly used
97 and the legal requirement governing this

Checks and records the social security benefits and payments for all types of workers
98 present (e.g., casual, temporary, subcontract, apprentice, trainee) and whether are they in
line with law.

Is there any evidence of casual, temporary, fixed term contract workers, probationary/
99 trainee workers being employed on a semi-permanent basis to avoid legal obligations on
the part of the employer, such as: payment of social security; annual leave benefits etc.

Checks hiring and termination records over the last 6 months to see if patterns exist e.g.
100 regular hiring and firing or short term contracts to avoid regular employment.

Checks patterns on hiring around peak periods and whether these are normal within the
101 company.

Records details of seasonal or contract workers and compares with national law. The
102 auditor must clearly state the law in the audit report.

Checks the policy concerning pay in quiet periods, and if annualized hours are being used,
103 ensure this is legal and that overtime hours in busy periods are still being paid according to
law.

Whether there are documented procedures for selection, contracting, induction and
termination. The auditor reports on the details of the site practices and specifically
104 whether these are applicable to all workers including nonemployee workers. Contracts:
The auditor checks a sample of contracts for different types of workers to verify whether:

All workers have a contract of employment detailing all terms, including their rights and
105 obligations, as well as notice and grievance procedures. If all terms are not included, the
auditor should provide more detail
106 Are contracts in languages understood by the workers.
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Do all workers have a copy of their contract signed by themselves (not a third party) and
107 the employer.

Checks whether employees are asked to sign any blank / unofficial documents or if any
108 original contract terms are replaced or changed without the worker’s knowledge / consent.

109 Contracts meet legal requirements.

110 Checks that contracts are stored securely
111 How are any contract changes communicated and agreed with workers.

If contract workers are on site, if possible, reviews their contracts and terms and
112 conditions. Do these meet the legal requirements? If these are not made available, is there
evidence the site has undertaken a review of these to ensure they meet legal requirement?

If any apprentices/trainees on site ensure that all terms and conditions meet the legal
113 requirements

Review workers legal right to work and the procedures in place to ensure these comply
114 with legal and industry requirements, especially when they are supplied by an agency.

115 Are any extended probationary periods used to prevent Regular Employment.

116 Are workers kept on temporary contracts to avoid regular employment or other benefits.

Checks the overall use of temporary, zerohour contracts, short-term contracts or freelance
work and gives details on benefit payments including holiday, sick pay and other benefits
117 e.g., social security payments and pension benefits. The auditor gives details in the relevant
section of the report
118 Is the site aware of all agencies, and contractors currently being used.

Whether the site has contracts / service level agreements in place with all agencies /
119 contractors. If so, do these cover legal requirements. The auditor gives details if the
contracts / Service level agreements cover labour standards requirements.
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Whether the site has access to records for Agency / contracted workers. If so, how does
120 the site monitor that all terms and conditions meet the legal requirements.

Does the site have a system in place to monitor all providers (contractors and agencies)
121 e.g., audit / site visits etc. if so, what system is place.

The auditor gives details on whether these checks cover Labour Standards including:
122 Wages, Hours, Age, right to work

Is there any documentary evidence available of these practices and if so, what are they?
123 The auditor should record the details in this section.

124 Whether all non-employee workers are registered with the relevant agency / contractor.

125 Whether the site has an effective system in place to only allow registered workers on site.

126 Checks whether appropriate documentation is available on site.

Where agencies used are in a different country e.g., to recruit workers from another
127 country, check what system is in place for the site to check on these agencies’ procedures.

What is the payment process for agency workers e.g., directly through the site or via the
128 agency / contractor.

Auditor gives details on how the site and agency cover elements of the code and how the
129 site manages workers including how much notice is given, are they paid if they turn up, are
they paid for down time.

130 Does the pay and conditions of agency workers at least meet legal requirements.

131 Can the site access records for all nonemployee workers.

Whether clear and transparent systems are in place to recruit workers. The auditor gives
132 details on migrant workers and agency worker recruitment processes.

Whether there is any evidence of fees being paid by workers in the recruitment process to
133 either the agency or the site. The auditor gives details
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Were workers presented with the terms and conditions of employment in advance of their
134 employment? Auditor gives details on how these were communicated, understood and
how these reflect actual practices.
Responsible managers are experienced/ trained on the core principles of responsible
135 recruitment practices.

For migrant workers, what systems are in place around termination and supporting
136 workers in returning.

Whether there is access to a grievance system for all workers including agency, migrant
137 and contractors.

Asks their experience of being hired and what do they expect the duration of their
138 contract to be, e.g. indefinite (permanent workers), fixed term, temporary.

Did workers (including migrant workers) understand the terms of their employment at
139 recruitment

140 Do conditions at the site match what was offered/explained at the point of recruitment?

What is their experience of temporary/ casual etc. workers being able to apply for
141 permanent positions.

What do they know of their wage deductions, do they know if they are paying social
142 security etc.

What do permanent workers know about the site’s practices towards temporary, casual,
143 agency workers.

Ask apprentices/trainees about their terms and conditions and verify if they meet the law
144 (exactly record the law as appropriate).

If contract workers are on site, includes a representative sample in worker interviews.

145 Records what they know of their terms and conditions of employment.

Establishes how the workers were recruited and whether any payments were made, or
146 inducements offered prior to leaving their point of origin.

147 Examines what arrangements were made for the worker to travel from the point of origin.
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Were there any deductions/ arrangement fees for items such as travel, accommodation,
148 and equipment.

Whether workers were required to bring their own basic living equipment e.g. mattresses,
149 cooking utensils

150 Good examples

151 Contract workers are represented on worker committees.
All non-permanent workers are paid above legal requirements – in some cases this may be
152 a ‘retainer’ for times when there is no work.

153 Site actively recruits permanent employees from any workers who are, or who have,
worked on site on a non-permanent contract
154
155 INHUMANE OR HARSH TREATMENT
156

Physical abuse or discipline, the threat of physical abuse, sexual or other

157
harassment and verbal abuse or other forms of intimidation shall be prohibited.

Companies should provide access to a confidential grievance mechanism for all

158
workers.
159 Are there any policies on harsh treatment.
160 What is the disciplinary procedure.
161 Is it written down and understood by the workforce.
162 Who disciplines workers and by what methods.
163 Is any of it recorded.
164 Is there a transparent grievance mechanism in place.
Does the grievance mechanism include a provision for non-retaliation and does it
165
allow workers to report issues anonymously.
How was the Grievance mechanism designed e.g. with other employees, workers,
166
industry experts, NGO’s, etc.
Who monitors, oversees and inputs into the grievance mechanism process
167
(internally, externally).
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168 What is the process of dealing with each individual complaint received.
169 How are results communicated internally and externally.
170 How is the whole grievance system monitored and revised.

171 What training is given and to whom, on the need for fair and humane treatment.

Is there a mechanism for workers to report harsh treatment and if so, what are
172 they. If there is any documentary evidence of these practices the auditor should
record the details in this section.
173
174
175 Management Interview and Document Review
176 Any policies and procedures concerning disciplinary action e.g.
177 Disciplinary rules and actions.
178 Prevention of harassment/abuse/ intimidation.

Security practices: Reviews the contracts of any security guards as well as their job
179 descriptions to ascertain likelihood of harassment or extreme discipline (security
should be used to keep the site safe i.e. intruders out, not keep workers in).

Record if any deductions from wages were made for disciplinary reasons. If legally
180 allowed, report on whether they were clearly documented and that the amount did
not take workers below minimum legal wage.
Whether the site has a policy which includes non-retaliation, clear lines of
181
accountability, roles, responsibilities and subsequent reporting outcomes.
Check that policies and procedures are communicated and understood by all levels
182 of personnel e.g. using posters, training, worker handbook, other means when
literacy is low.
Examines records of disciplinary and grievance activity and reports on actions/
183
outcomes.
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Where unions/worker reps exist, check they are aware of the policies and
184 procedures and have they agreed to them. Grievance and appeal procedures. This
should include but not be limited to checking and reporting on the below:

Is there a grievance mechanism in place and is it documented. The auditor gives

185 details on the type of mechanism used e.g. hotline, whistle blowing mechanism,
comment box etc.
How is the grievance mechanism communicated and who has access e.g. workers
186
only / business partners / wider community etc.
Is there a non-retaliation policy communication, training and governance
187
monitoring process.
Who oversees and monitors the grievance mechanism and have they had the
188
relevant skills and training.

189 Is the process transparent and accessible? Auditor reports and gives details.

What training (if any) is given and how is it recorded – especially to those
190 employees working in stakeholder facing roles. The auditor should check for any
specific training for relevant management and workers.

191 Whether the grievance mechanism is accessible from multiple access points.

Whether users of the grievance mechanism are kept informed throughout the
192
process.
Whether the site records in a confidential manner detail of grievances and their
193
outcomes.
Whether the site monitors the grievance mechanism’s effectiveness on a regular
194
basis.
195 Worker Interview to corroborate workplace practices
Discusses with workers whether they think disciplinary procedures and practices
196
are fair, non- arbitrary and effective.
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Whether workers are aware of any disciplinary cases and what the outcomes have
197
been.
Checks if workers are aware of any grievance action and what the outcomes of
198
these appeals have been.

199 Checks with workers their view of the security guards (if applicable) and their role.

Checks with workers concerning anecdotal or other evidence of corporal

200
punishment or of verbal or physical or mental coercion or harassment.
Checks that workers are aware of any reporting mechanisms and feel free to use
201
them.
Checks that the workers are aware of any policies/procedures and if they are
202
aware of their grievance rights.
Checks whether workers know of any complaints about inappropriate disciplinary
203
actions and the outcomes.
Checks with union/worker reps whether they are aware of the disciplinary policies
204
and procedures and whether they have agreed to them.
205 Checks if workers know how to report any harsh treatment.
206 Check for Good Examples – to show and measure good practices

207 A scheme is in place that financially rewards staff to be respectful of each other

208 The grievance mechanism fulfils all UNGP requirements