Legal Compliance is a must in today’s day-to-day business process. Consultivo is sharing a free Social Accountability Toolkit for all organisations.

1. Intellectual Property of Consultivo Business Solutions Pvt. Ltd.
SOCIAL
ACCOUNTABILITY
COMPLIANCE
TOOLKIT
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A CHECKLIST FOR
SOCIAL ACCOUNTABILITY
COMPLIANCE

2. SOCIAL ACCOUNTABILITY COMPLIANCE TOOLKIT
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Introduction
Social accountability initiatives are increasingly seen as an avenue for
managing social risks, improving development effectiveness, and enhancing
the inclusiveness and responsiveness of the state and service providers.
What is social accountability?
Social accountability is an approach towards building accountability that relies on civic
engagement, i.e. in which it is ordinary citizens and/or civil society organizations who participate
directly or indirectly in exacting accountability.
How social accountability will benefit you?
• Achieve best practice in ethical employment, trading and operations
• Engage and motivate your employees with improved morale
• Introduce greater transparency to the way you run your business
• Maintain existing business and attract new customers and investors
• Gain recognition as a socially accountable organization
• Ensure compliance with global standards and reduce the risk of negligence, public
exposure and possible litigation.
Ensuring Legal Compliance
Ideally, you are already well aware of the regulations that apply to your business. Your
organization has probably implemented control measures to facilitate compliance and has tested
those controls. But once you have achieved compliance, how can you be assured that your
organization will remain compliant? In a perfect world, compliance measures should be
incorporated as part of your day-to-day business process.

3. SOCIAL ACCOUNTABILITY COMPLIANCE TOOLKIT
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Certification system on Social Accountability
Requirements
SA8000 is the international recognized certification system which is basically a management
systems standard. SA8000 is based on the principles of international human rights norms as
described in International Labour Organisation conventions, the United Nations Convention on the
Rights of the Child and the Universal Declaration of Human Rights. It measures the performance of
companies in eight areas important to social accountability in the workplace: child labour, forced
labour, health and safety, free association and collective bargaining, discrimination, disciplinary
practices, working hours and compensation.
An organization can voluntarily adopt the SA 8000 certification system which enables him to be
recognized in the field of social compliance and will give an edge in the buyer’s market.
Social Performance criteria
The essential criteria to manage a social accountability system are detailed below.
1. Child Labour: No use or support of child labour; policies and written procedures for
remediation of children found to be working in situation; provide adequate financial and
other support to enable such children to attend school; and employment of young
workers conditional.
2. Forced and Compulsory Labour: No use or support for forced or compulsory labour; no
required 'deposits' - financial or otherwise; no withholding salary, benefits, property or
documents to force personnel to continue work; personnel right to leave premises after
workday; personnel free to terminate their employment; and no use nor support for
human trafficking.
3. Health and Safety: Provide a safe and healthy workplace; prevent potential occupational
accidents; appoint senior manager to ensure OSH; instruction on OSH for all personnel;
system to detect, avoid, respond to risks; record all accidents; provide personal
protection equipment and medical attention in event of work-related injury; remove,
reduce risks to new and expectant mothers; hygiene- toilet, potable water, sanitary food
storage; decent dormitories- clean, safe, meet basic needs; and worker right to remove
from imminent danger.
4. Freedom of Association and Right to Collective Bargaining: Respect the right to form and
join trade unions and bargain collectively. All personnel are free to: organize trade unions
of their choice; and bargain collectively with their employer. A company shall: respect
right to organize unions & bargain collectively; not interfere in workers’ organizations or
collective bargaining; inform personnel of these rights & freedom from retaliation; where
law restricts rights, allow workers freely elect representatives; ensure no discrimination
against personnel engaged in worker organizations; and ensure representatives access to
workers at the workplace.

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5. Discrimination: No discrimination based on race, national or social origin, caste, birth,
religion, disability, gender, sexual orientation, union membership, political opinions and
age. No discrimination in hiring, remuneration, access to training, promotion,
termination, and retirement. No interference with exercise of personnel tenets or
practices; prohibition of threatening, abusive, exploitative, coercive behaviour at
workplace or company facilities; no pregnancy or virginity tests under any circumstances.
6. Disciplinary Practices: Treat all personnel with dignity and respect; zero tolerance of
corporal punishment, mental or physical abuse of personnel; no harsh or inhumane
treatment.
7. Working Hours: Compliance with laws & industry standards; normal workweek, not
including overtime, shall not exceed 48 hours; 1 day off following every 6 consecutive
work days, with some exceptions; overtime is voluntary, not regular, not more than 12
hours per week; required overtime only if negotiated in CBA.
8. Remuneration: Respect right of personnel to living wage; all workers paid at least legal
minimum wage; wages sufficient to meet basic needs & provide discretionary income;
deductions not for disciplinary purposes, with some exceptions; wages and benefits
clearly communicated to workers; paid in convenient manner – cash or check form;
overtime paid at premium rate; prohibited use of labour-only contracting, short-term
contracts, false apprenticeship schemes to avoid legal obligations to personnel.
The following are some compliance required for maintaining social accountability with reference
to the above mentioned requirements:
Principle 1: Prohibit Child Labour
 Written policy prohibiting child labour.
 Procedure for training and creating awareness amongst all persons employed (especially
those employed on selection procedure), on recruitment procedures during induction and
employment cycle.
 Regulating employment of young persons, including conditions of their employment
 Any remedial procedure if a young or child worker is hired unknowingly or unintentionally
 Identifying and maintaining all applicable statutory / legal records and registers.
 Periodic monitoring and reviewing issues arising out of employment of children and
young person by the management.
Principle 2: Prohibit Bonded and Forced Labour
 Written policy on prohibition of bonded labour and forced labour.
 Designation responsible and authorised to implement systems and procedures relating to
prohibition of bonded labour or forced labour.

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 Procedure for training and creating awareness amongst all persons employed (especially
those employed on selection procedure), on bonded and forced labour conditions during
induction and employment cycle
 Regulating wage distribution, and managing and monitoring loans & advances and
preventing any conditions of bonded labour or forced labour to arise.
 Implementing corrective and preventive action based on outcome of the management
review.
Principle 3: Ensure Health and Safety
 Procedure for training and creating awareness on health and safety including fire drills,
first aid and emergency procedures , personal hygiene , use of personal protective
equipment’s during induction and employment cycle.
 Analysing
a. Health & safety risks relating to
i. Areas of risk like chemical area [compatible chemicals], hazardous chemicals and its
handling
ii. Fire safety [evacuation plan, emergency light, fire extinguishers, signage etc]
iii. Electrical applications safety
iv. Machine maintenance and safety
v. General safety including structure, drinking water, restrooms, canteen / crèche /
ambulance room [if applicable] etc
vi. Adequate ventilation / no over crowding
b. Identifying measures by
i. Root cause analysis s for accidents [major / minor]
ii. Training needs identified [Trainees / Trainer]
iii. Recording of accident occurrence and preventive action
iv. Recruitment of health and safety officer [if applicable]
v. Machinery and electrical appliances fenced.
c. Procedure / steps for implementation of the measures like
i. Planning conducted for trainings related to chemical handling, fire, first aid etc
ii. Personal protective equipment’s provided
iii. safety guards provided on machinery
iv. chemicals stored separately
v. Trainings conducted.
 Establishing committees as required by the law and monitoring their functions like
 Health and safety committee meetings to deal with day to day issues.

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Principle 4: Respect Freedom of Association and Right to Collective Bargaining
 Procedure for training and communicating to workers about their rights (grievance redress
mechanisms, settlement of industrial disputes) during induction and employment cycle
a. Workers informed about works committee /grievance committee
b. Standing orders
c. Open door policy / suggestion boxes
d. Policy displayed in local language
 Establishing parallel means of communication
a. works committee /grievance committee
b. Standing orders having escalating procedure of disciplinary actions and proceedings
 Identifying and maintaining all applicable statutory / legal records and registers compliant.
a. Works committee and grievance register
b. Records of suggestions /complaints and its redressal
c. Records of Complaints and enquiry and resolutions of complaints
Principle 5: Prohibit Discrimination
 Written Policy on Discrimination.
 Training and creating awareness amongst all employees during induction and employment
cycle with regards to
a. selection procedure
b. equal opportunity
c. non-discriminatory practices
 Grievance Redressal, which is understood and accessible to all persons employed, for any
concerns that may arise on an action that violates anti-discrimination laws and practices.
 Identifying conditions that could result in a potential discriminatory practice and taking
appropriate actions for prevention
a. Medical examination
b. Job selection criteria
c. Training needs

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Principle 6: (Disciplinary Procedures)
 Written Policy on disciplinary practices.
 Procedure for training and creating awareness of disciplinary practices.
 Identifying and maintaining all applicable statutory / legal records and registers.
 Procedure for creating awareness and training to all persons employed, on the anti-sexual
harassment and other forms of abuse policy during induction and employment cycle.
[Example like…]
a. Prominent display of policy, ii) Anti-sexual harassment Committee
 Effective system for protection and prevention of any unfair penalisation/retaliation
against persons employed, for reporting any incident of Sexual harassment or abuse. This
relates to
a. Adequate mechanisms and systems to prevent or deter acts of sexual harassment
b. Other forms of harassment and abuse [corporal punishment]
 Mechanism of Reporting of Complaint and Grievance and its subsequent redressal by
management to be accessible and understandable to all persons employed.
Principle 7: Regulate Working Hours
 Written Policy on Hours of work [voluntary overtime].
 Procedure for training and creating awareness on hours of work, holidays, leave,
overtime and related matters during induction and employment cycle.
 Recording attendance, displaying information on work timings & holidays and recording
overtime hours when worked, and procedures for establishing and monitoring work
timings of all types of workers (men, women, young workers) processing leave requests,
managing annual leaves, monitoring over time , establishing shift time tables , where
applicable.
 Identifying and maintaining all applicable statutory / legal records and registers
a. Muster roll for all workforce
b. Register of workers
c. Time records
d. Overtime register

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Principle 8: Remuneration
 Procedure for training and creating awareness on wages , calculation of wages ,
deductions , benefits and related matters as applicable during induction and employment
cycle.
 defining wages and related procedures for calculation and disbursement
 Identifying conditions (human, machine and material) that may have an impact on hours
of work and recording action taken.
 Identifying and maintaining all applicable statutory / legal records and registers
a. Wages register
b. Challans for ESI/PF
c. Wages slips
d. Leave records

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