UVEX SAFETY GROUP
SUPPLIER SOCIAL COMPLIANCE AUDIT
PROGRAMME PACKET
Dear Supplier,
Enclosed please find a supplier start-up packet that will summarise the UVEX social compliance
audit process. This audit process is a part of the UVEX Social Compliance Programme. Should
you have any questions regarding any of the information provided in this programme packet,
please feel free to contact me as soon as possible. We look forward to working with you and
your factory/factories.
UVEX requires suppliers to be audited to local legal standards and the UVEX Social Standard.
UVEX requests that all related parties have access to this audit report and corrective actions, and
to work together to ensure compliance.
If you have specific questions with regards to this particular UVEX requirement, please feel free
to contact Mr. Lurz.
If you have questions or concerns regarding the audit programme requirements, please feel free
to contact me.
Kind Regards,
Sara Elvins-Gaikwad
UL’s Responsible Sourcing Group
UVEX Contact:
Dr. Claus-Jürgen Lurz
Leiter / Group Manager Business Excellence
UVEX SAFETY GROUP GmbH & Co. KG
Würzburger Strasse 181 - 189
D-90766 Fürth
Germany
Tel: +49 911 97 36 1309
Fax : +49 911 97 36 1251
C.lurz@uvex.de
UL RS Contact:
Sara Elvins-Gaikwad
Client Account Manager
Responsible Sourcing
UL VS Ltd.
530/535 Eskdale Road
Reading, RG41 5TS, UK
T: +44 (0) 118 927 3367
Sara.ElvinsGaikwad@ul.com
Supplier Requirements:
You have just received a Supplier Programme Packet from UL’s Responsible Sourcing Group;
including a letter of notification from UVEX advising of UL’s factory assessments.
The following items require your attention:
 If you have not done so yet, please identify all factories (including subcontractors) directly involved
in manufacturing product for UVEX. Verification of factory information and the accuracy of the
information are critical. Please send accurate details of each factory and subcontractor to Dr. Claus-
Jürgen Lurz at UVEX (C.lurz@uvex.de)
 Having been advised of the programme, the supplier must share the information contained in this
Programme Packet with all factories belonging to the supplier that will be used to produce products
for UVEX (as per Part B in the Application and References section). The supplier is responsible for
the comprehension of these materials and the general pre-assessment preparation of each factory.
 Please review the UVEX Social Standard at the end of this packet and ensure that all supplier
facilities have received a copy. It is suggested that all suppliers post a copy of this Code in the local
language in a place easily accessible to all workers.
 Prior to the assessment, UL will re-verify with the factory, via e-mail, factory details such as
address, phone number, fax number and contact person. A timely response is required at this time.
 Full compliance and cooperation will be expected from the manufacturer during the audit process.
FACTORY ASSESSMENT GUIDELINES:
 UL will contact the factory beforehand to collectively decide on an audit date that is feasible for the
factory. The factory will be asked to return by fax or email a confirmation letter.
 UL inspection teams will be dispatched to conduct fully announced audits
 After the assessment, UL writes up a Statement of Finding (SOF) and reviews this with factory
management (to be written in English, local language upon request).
 After the factory acknowledges receiving the report and willingness to comply, factory
representative signs the SOF report. One copy is left with factory management and one copy is sent
to UVEX only. The information on the SOF report is confidential and will not be shared with anyone
outside your company.
 Factory management keeps the SOF report and completes the required sections. In case any areas
for improvement are determined by the assessment, it is recommended that the factory contacts
UVEX within 30 days detailing how and when the factory will elevate to compliance with UVEX
Social Standard standards and local laws. The manufacturer will be responsible for making the
corrections indicated on their (SOF) and reporting all improvements and changes to UVEX.
 If management is not present, please have another person available to provide the required
documentation and access. Suppliers will be charged upwards of $1,250 for cancelled audits.
 If the factory is not found to be in compliance with the UVEX Social Standard or legal
requirements, UVEX may require that the supplier be re-audited by UL at the supplier’s expense.
Audit Procedure Outline
The following is a sample outline of the audit procedures. The audits do not necessarily follow
this order, however all steps are completed during the audit. In addition, if further steps or
documents are needed in order to have a complete understanding of the facility situation they can
be requested and should be provided.
Management such as factory manager or human resource personnel should be present. Anyone
who the facility deems has the authority to provide the documents needed and answer questions
for the consultants may assist in the audit process and attend the opening and closing meetings. If
there is a union or workers group present at the facility, it would be preferable for a representative
from the group to be present during the day of the audit.
1. UL consultants arrive at the facility and present business cards and a UL badge.
2. Opening Meeting is held with the factory representatives, preferably management. During this
meeting the format of the audit is described.
3. The production manager and the human resource personnel are needed in order to answer a
series of questions regarding production capacity, machines, lead times and hiring practices.
4. Company policies, handbooks, and management systems are reviewed. Please make sure that
these documents and a staff member familiar with them will be available on the day for the
audit.
5. Private employee interviews are conducted. The consultants select the employees to be
interviewed in private without management present. (Employees are asked questions regarding
hours of work, length of employment, their understanding of the disciplinary policies of the
factory, hiring policy, and working conditions)
6. Payroll documentation is reviewed. Payroll journals, time cards, production sheets (if
applicable), attendance books, proof of insurance payment or tax payment (if applicable) must
all be provided to the consultants for a complete audit to take place. (Consultants are
evaluating that the regional minimum wage is provided to all employees for all hours worked,
including overtime compensation. They also evaluate whether maximum hours authorized to
work, including weekend and evening hours are in compliance with regional labour laws)
7. Employee records/files are reviewed. Proof of age documentation must be available.
8. A walkthrough of the facility is conducted. Here the health and safety of the facility is
evaluated, as is the production capacity. Housing units, if provided, also need to be viewed by
consultants. The eating area used by the workers is also viewed, as is the kitchen if cooking
takes place on site. Waste and chemical practices are reviewed in order to ensure that there is
no risk to employees and the environment (Please refer to the checklist)
9. Photography of the facility workplace is also taken with the permission of the management.
10. Copies of business licenses are also reviewed
11. At the conclusion of the audit a SOF is prepared and all concerns are discussed with the facility
management. Where possible, UL consultants will provide management with suggestions for
how to most effectively implement sustainable corrective actions.
12. The management is requested to sign the SOF, verifying that they understand the findings, with
comments if applicable and at this point the audit concludes.
13. After the audit, a full audit report is sent by UL to UVEX. UVEX will then send the full audit
report to the supplier.
Factory Evaluation Checklist
Child Labour
  copies of adequate proof of age documents available for all employees, including photo ID
  visual check of all areas of factory: kitchen, housing, restrooms
  hiring age on employee contracts or applications is of legal limit
  hiring age reported by employees matches other findings
  documents are available for randomly selected employees on the work-floor
Wages and Hours
  average hours worked does not exceed legal limits
  all deductions shown on pay journal are legal and by the employee’s consent
  hours worked and overtime are calculated and compensated correctly
  employees are aware of terms of either written or oral employment contracts
  employee reports match findings of payroll and timecard records
  wage and working hours records are available for at least the most recent two years
Health and Safety
  work area is well-lit, ventilated, free from debris, and aisles are marked and clear
  there is functioning fire equipment and first aid supplies in all work areas
  unlocked, marked, and accessible exit doors with multiple exits in each area
  machine pulleys have guards/covers
  there are a sufficient number of clean, functioning restrooms with running water and trash cans
  food area is sanitized and has fire equipment and freezers for storage
  employees are trained for emergencies and provided with proper protective equipment
  chemicals are used, stored, and disposed of in a manner that does not pose any risk to the workers
and the environment
  all waste is disposed of in a manner that does not pose any risk to the workers and the environment
Employee Environment
  reported work hours, wages, and overtime policies are available for all work stations/departments
  disciplinary practices and freedom of movement are clearly outlined in policies
  production quotas: information available about: ability to meet goal and consequences for not
meeting
  complaints and overall suggestions for improvement can be submitted by employees
Management Systems
  an evaluation system is in place to determine that suppliers comply with legal standards
  a corrective action programme is in place to ensure corrections of violations
  facility has a written policy establishing management review of social responsibility issues
  a policy of periodic internal audits is in place
Subcontracting
  names and addresses of subcontractors are disclosed to UVEX
Communication
  UVEX Social Standard is translated into the employees’ local language(s) and is posted visibly to
all employees throughout the facility.