Supply Chain Solutions No.17 – Ethical Soucing Supplier Assessment

Brands today required suppliers that are both capable manufactures and socially and ethically compliant.  While many major global retailers and brands have assessment and qualification standards, a greater number of medium to small brands have nothing in place.

The below assessment form is a tool to assess are the minimum standards in place and ensure a mid-level appraisal has been completed and approved before commencing business with the potential new supply partner.

The goal is to ensure social and ethical compliance is acceptable to your brand market, while maintaining a commercial product price quality level.

The format is vendor self-evaluation, once complete, if all criteria of the vendor is suitable a “skilled” auditor would then assess the detail to confirm what was stated is correct and matches the required standard and local labor law.

It is advised that the vendor also sign a code of conduct related to ethical compliance which would hold the vendor responsible for that said standard.  Learn more about Code of Conduct through the following link

Below is a vendor self-assessment format for social and ethical compliance auditing;

1 Management Systems Yes No Other (Please specify)
1.1 Have you received a code of conduct covering labour standards
from any purchaser?
If Yes
1.1.1 From whom?
1.2 Do you have an ethical trading policy statement defining your
approach to labour standards and ethical trading?
If Yes
1.2.1 Has the code been communicated to workers?
If Yes
1.2.2 How? (E.g. Notice boards, training, workers meetings etc.)
1.3 Is there an individual in a senior management position who
ensures that the requirements of the policy are met?
1.4 Are records kept that demonstrate your suppliers have
participated in the ethical activities/monitoring you have
2 Employment is freely chosen Yes No Other (Please specify)
2.1 Do you have a signed (or equivalent) copy of a contract of
employment with each worker?
2.2 Do all workers have a copy of their contract of employment?
If No
2.2.1 How do you communicate terms of their contract to workers?
(e.g. Verbal communication, Meetings with workers etc.)
2.3 Are all workers free to leave site during non working hours or at
the end of their shift? (Including workers who live on site?)
2.4 Do you have a written procedure for resignation which is
communicated to your workforce?
2.5 Are all workers free to leave your employment upon giving
reasonable notice?
3 Freedom of association and collective
Yes No Other (Please specify)
3.1 Do you recognise trade unions?
3.2 Are workers free to join trade unions of their choice?
3.3 Do you have any trade unions or worker organisations in your
workplace that represent the views/rights of workers?
3.4 Are workers’ representatives allowed to carry out their duties
within working hours without loosing pay?
3.5 Does your company recognise collective bargaining by majority
4 Accommodation Yes No Other (Please specify)
4.1 Do you provide accommodation for workers?
If Yes
4.1.1 Is Accommodation clean and safe and does it meet the basic
needs of the workers?
4.2 Are toilets and washrooms clean and hygienic?
4.3 Is clean drinking water available at all times?
5 Children and young workers Yes No Other (Please specify)
5.1 What is the minimum age for working in your country?
5.2 Do you have personnel records which include copies of evidence
of the date of birth of each worker
If Yes
5.2.1 What evidence do you hold?
(e.g. Birth certificate, family book, ID card etc.)
5.3 Are all workers over the minimum legal working age?
5.4 Have you ever discovered workers under the minimum legal
working age in your workplace?
If Yes
5.4.1 What action did you take?
5.5 Do you have any workers above the legal minimum age of
employment but under the age of 18?
If Yes
5.5.1 Do workers over the minimum age but under 18 do hazardous jobs?
5.5.2 Do workers over the minimum age but under 18 work overtime or at night?
5.5.3 Are people under 18 working or living on your production site
exposed to risks from chemicals, pesticides, dust or excessive
cold, heat or noise?
6 Wages Yes No Other (Please specify)
6.1 What is the legal minimum wage applicable to your industry by
law/collective agreement?
6.2 Do all permanent workers receive at least the minimum wage for
standard working hours?
6.3 Do all piece rate workers receive at least the minimum wage for
standard working hours?
6.4 Do all temporary, casual and seasonal workers receive at least
the minimum wage for standard working hours?
6.5 Do all homeworkers and outworkers receive at least the
minimum wage for standard working hours?
6.6 Do permanent and temporary workers receive the maternity
leave specified by national law?
If Yes
6.6.1 How many days?
6.7 Do permanent and temporary workers receive paid annual leave
as specified by national law?
If Yes
6.7.1 How many days?
6.8 Do permanent and temporary workers receive paid sick leave as
specified by your national law?
If Yes
6.8.1 How many days?
7 Working Hours Yes No Other (Please specify)
7.1 How many hours do your employees work in a standard week?
7.2 What is the maximum number of overtime hours that employees
work in peak season?
7.3 Is overtime compulsory?
If Yes or Other
7.3.1 How do workers request not to work overtime?
7.4 Do workers have at least one day off a week?
7.5 How are the hours worked by workers recorded?
8 Discrimination Yes No Other (Please specify)
8.1 Do you have an equal opportunities policy?
8.2 Do workers receive equal pay regardless of sex, ethnic origin,
race, caste, tribe or religious belief?
9 Regular Employment Yes No Other (Please specify)
9.1 Do you keep an up-to-date record of employees?
9.2 Do you employ any casual temporary or seasonal workers?
If Yes
9.2.1 Do you have an up to date list of casual temporary or seasonal
9.3 Do you employ apprentices or people on sponsored training
If Yes
9.3.1 How long is the maximum apprenticeship period?
9.3.2 How much are apprentices or trainees paid for standard working
hours per pay period?
10 Discipline Yes No Other (Please specify)
10.1 Do you have a formal disciplinary procedure?
If Yes:
10.1.1 How do you ensure that workers understand the disciplinary
10.2 Do you have a formal grievance procedure?
If Yes:
10.2.1 How do you ensure that workers understand the grievance
10.3 Do supervisors and managers receive training on disciplinary
and grievance procedures?
10.4 Do you keep records of disciplinary actions taken and grievance
11 Health, safety and hygiene Yes No Other (Please specify)
11.1.1 Is there a senior manager responsible for health and safety?
11.1.2 Are you aware of all health and safety laws and regulations
relevant to your workplace?
11.1.3 Do you carry out health and safety risk assessment?
If Yes When was the last health and safety risk assessment carried
11.1.4 Were any high risk areas identified?
If Yes Please briefly summarise the key risk issues found in the
11.1.5 Have you developed action plans for all high risk areas?
11.2.1 Do workers receive health and safety training relevant to their
If Yes What does the health and safety training cover? You can state
more than one option
(e.g. Fire evacuation, machinery and tools, handling etc.) Do you have records of health and safety training?
11.3.1 Do you provide workers with personal protective equipment
appropriate for the work they do?
If Yes Is the equipment you provide free of charge?
11.3.2 Do you have an incident book in which all accidents however
minor are recorded?
11.3.3 Do you have well stocked first aid boxes in every area of
If Yes Are first aid boxes locked?
11.3.4 Is each shift covered by a trained first aider?
11.3.5 Do you have any further medical facilities/sick room on site?
11.4.1 Is there a named and trained worker on each shift who is a fire
officer and a deputy fire officer in case of illness?
11.4.2 Do you have a written fire evacuation procedure?
If Yes Is the fire evacuation procedure communicated to all workers
including new workers when they start work?
11.4.3 Do you have a fire alarm that can be clearly heard in all areas of
the production site?
If Yes Do you test the fire alarm?
11.4.4 Do you have an adequate number of fire extinguishers, hoses
and fire blankets?
11.4.5 Is all fire fighting equipment regularly checked?
11.4.6 Are exit routes kept free from obstructions?
11.4.7 Are there enough fire exits for all workers to leave all buildings
safely in an emergency?
11.4.8 Are all fire exits unlocked and unblocked during working hours?
11.4.9 Are fire exits and escape routes marked with signs with pictures
as well as words in a language that workers understand?
11.5.1 Do you have written procedures for each machine or tool giving
details of how to use it safely?
11.5.2 Do all machines and tools have adequate safety guards?
11.5.3 Are all machines and tools regularly maintained?
11.5.4 Are noise levels monitored?
11.6.1 Do you have a complete list of all chemicals used on your site?
11.6.2 Do you use any hazardous materials on your site? (including
chemicals, pesticides, fertilizers)?
11.6.3 Do you have written procedures for the safe storage, use and
disposal of each hazardous material including chemicals and
pesticides in a language which workers can understand?
11.6.4 Do you keep a list of all workers who work with hazardous
material including chemicals and pesticides?
If Yes Do workers working with hazardous materials including
chemicals and pesticides receive an annual health check?
11.6.5 Are hazardous materials including chemicals and pesticides kept
in sealed containers in a locked storeroom which is in a separate
If Other How are materials stored?
11.6.6 Do you use any pesticides?
11.6.7 Are showers and first aid facilities provided for everyone working
with hazardous materials including chemicals and pesticides?
11.7.1 Is the workplace clean and tidy?
11.7.2 Do you provide unlimited access to clean drinking water during
working hours?
11.7.3 Do you provide at least 1 toilet for every 25 workers?
If No How many toilets do you provide for every 100 workers?
11.7.4 Are there separate toilets for men and women?
Signed ……………..……………………………………..………( POSITION IN COMPANY )
For and on behalf of ……………………………………………( NAME OF MANUFACTURING UNIT )
Date ………………………………………….……………………

ID Global Concepts are experts in supply chain management. We add value to your supply chain through consultancy or management contract to ensure the business has the best practice systems that are the right fit for your business, customer and meet your value expectations.

If you would like to learn, please email us at or visit our website

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