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social audit

1. The document discusses social compliance audits and codes of conduct audits, outlining key concepts such as the purpose of audits, auditor roles and responsibilities, and audit types and strategies. 2. It explains that social compliance audits systematically and independently assess facilities against standards to determine if requirements are being met. 3. Effective audits are planned, independent, have management cooperation, and have a compliance orientation to evaluate implementation of standards.

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Bangladesh Institute of Management Welcome To Social Compliance/Code of Conduct Auditing System Team spirit & co-operation = Successful Audit
Auditing Concept And Auditor and Auditee's Attitude PART-I
Compliance and Audit Compliance is an affirmative indication or judgment that the supplier of product or service has met the requirements of the relevant specifications, contract, or regulation, also meeting the requirements. On the other hand, in ISO terms, ‘Compliance to regulations, compare with conformance’. So, enterprises/facilities/industries of all sizes can ensure supplier, operational and regulatory compliance to down risk, increase opportunity and realize the full potential of agreements, transactions and contracts. Three criteria are essential in compliance: -  Effective Corporate Controls  Transparent Processes and Efficient Audits  Timely Disclosures An audit is a systematic and independent examination to determine whether Standard compliance activities and related results comply with planned arrangements and whether these arrangements are implemented effectively and are suitable to achieve objectives. The above definition has some important characteristics of an audits. The following characteristics will be built into a social compliance/COC audits to maximize audit credibility and effectively:
1.Planned: Audits must be planned in accordance to a defined objective. To be effective, auditors should prepare for an audit by considering questions such as:  What is the purpose of this audit? -Define what needs to be accomplished. What is the scope of this audit? -Define what/who will be audited Who will perform the audit? -Define which person(s) will carry out activities When will the audit be performed? -Define the day(s) and time(s) for the audit What information sources will be utilized? -Define a strategy for investigation by identifying what information is available/appropriate for review. 2. Independent: Audits must be performed by persons who are independent of the functions audited in order to eliminate potential bias. 3. Management Co-operation: The success of any audit program depends on the support of management 4.Compliance Orientation: Social compliance/COC audits is to a specific standards are conducted which the auditors look for compliance to the requirements set forth by the standards. This means that Social compliance/COC audits will review documentation for intent to comply with the applicable standard, as well as records and processes to determine implementation of the document system and how effective the Social compliance/COC is working at the facility. Preparation Before Social Compliance Audit
Necessity of Social Compliance Audit Identification of opportunities for improvement. Implementation status check. Effectiveness check. Improve communications and motivation. To check level of standard with any brands,ILO,SA8000,WRAP etc To ensure customer requirements To ensure local labour law at the workplace Enhance management and workers communication  and to enhance profit through productivity increase
Factory Management’s Role in Audit Management has an active role in both an internal & external audit program, and is charged with the responsibility of: •Initiation of the audit program: The audit program must be initiated and supported by management . •Assurance of auditor independence: Provisions must be made to ensure that auditors have no responsibilities in the areas audited so as to eliminate the possibility of any bias with respect to audit findings. •Provide resources: Managers must ensure that there are an adequate number of available auditees to administer the audit program,with available documents and that employees are made available during audits. •Assure corrective action: Managers must consider and take actions necessary when the results of an audit show that corrective action is required.
Concept of Social Compliance /CoC Audit A social compliance /COC audit is a systematic and independent external assessment administered by a trained social/COC auditor or certified Lead Auditor of SA 8000/WRAP/ISO against a specific standard (for example SA8000,BSCI and WRAP) etc. to determine whether an entity is meeting those standards and complying with established policies, operating procedures and national and local laws, ILO Conventions and international best practices . So, in any Social Compliance/COC audit five criteria are essential. These are as follows- [ A proper system ( ISO 9001:20015)  An independent external assessment ( any 3rd party or individual)  Trained social/COC auditor or certified SA 8000/WRAP/ISO Lead Auditor  Specific Standard (any brands COC/ SA 8000/WRAP/ ISO 9001)  and a Facility Remember: Results of a social compliance audit are not usually public
Role of a Social Compliance/COC Auditor • An assurance of engagement • Reliability of the information contained in the report • Perform only customer requirements not other tasks e.g. CSR • Gather evidence for all significant assertions in the report • Assess the report’s conformance to particular standards • Know the specific references – -Labour Code’2006 - Labour Rules 2015 -The Factories Act 1965 -The Factories Rules 1979 -Industrial Relations 1969 -The Environmental Act 1995 - The Environmental Rules 1997 -Bangladesh National Building Code 2006 -Maternity Benefit Act 1953 &1959 -BEPZA Instruction -ILO - International Standard like-WRAP,SA 8000, ISO,OHSAS18001 -International Codes of Conduct like-BSCI,FLA,ETI -Brand Buyers Code of Conduct
Codes of Conduct and Standards DifferenceCOC Standard 1.A code of conduct is a set of rules outlining the responsibilities of the proper practices for an individual, organization, industry or any organization in light of law and regulations. 2. Principles, values, standards, or rules of behavior that guide the decisions, procedures and systems of an organization in a way that: (a) contributes to the welfare of its key stakeholders, and (b) respects the rights of all constituents affected by its operations.“ 3. obey the law, 4. Full, fair, accurate, timely and understandable disclosure in reports and documents that a company files with or submits to the 5. insider trading, 6. preserving confidential information, bribery, 7. corporate opportunities, competition and fair dealing among business, customer and stakeholder 8. Compliance with applicable governmental laws, rules and regulations 1.It’s a voluntary initiative 2. It’s a management system to maintain standards way to set of procedures 3. All over the world is the same policies, procedure s and implementation system 4. Standards basic purpose of setting out agreed principles or criteria so that their users can make reliable assumptions about a particular product, service or practice. 5. the type of agreement, 6. the number of people, organizations or countries who were involved in making the agreement. 7. Different types of standard like-ISO, OHSAS, EMS, WRAP and SA 8000 etc.
Types of Audit 1. 1st Party Audit: This is the technical term used when conformity audit/assessment to a standard, specification or regulation is carried out by the supplier organization itself. In other words, it is a self-audit/assessment. In a word it is called “In house-internal” 2. 2nd Party Audit: This indicates that the conformity audit/assessment is carried out by a customer of the supplier organization. An audit driven by a customer with the primary goal of satisfying itself that a supplier is in compliance with a given standard. “Out house-customer” 3. 3rd Party Audit: The conformity audit/assessment is performed by a body that is independent of both supplier and customer organization. An external audit that is conducted by an independent organization upon another organization. Powerhouse-registrar/certification 4. Internal and External Audit: Internal audits are audits that are carried out by an organization on itself to confirm to management that the compliance implementation system is in good working order. external audits: 2nd party and 3rd party
Close System Audit 1st Party Audit Vendor or Supplier Audits itself Supplier 2nd Party Audit Brand ConsultantContract Brand audits supplier directly or indirectly
Open System Audit Certification Body Supplier On request Of Brand 3rd Party Audit
Good Audit Management In any audit the audit team leader has overall responsibility for the audit. Audit team members assist the team leader. Good Audit Management requires the below four criteria are as follows: Planning and preparation: Objective, Scope, Team and Leader, Audit Duration, Contact Company/Department(s), Established date & time, Checklist, Team Briefing Proper Communication: Client, Auditees and Auditors Ensure Parties involvement: opening & closing meeting Accurate and actual fact findings: Reporting and follow-up
Good Audit Management Auditee Facilities Provides access, documents and others information Auditor/Clients Determines objectives, scope, criteria and method of Audit 1st, 2nd & 3rd Party Auditing Organization Lead Auditor/ Team Leader Auditor Team (Includes auditors, experts i.e. SA 8000, BSCI,WRAP, ISO and auditors in training) Audit Performance Audit Report
Audit Methods/Strategy 1. Vertical: Auditors using this method follow a trail of specific records through relevant departments. Vertical audits can be performed upstream (with the normal flow of business) or downstream (backwards from the normal flow of business). Example of upstream vertical auditing & Example of downstream vertical auditing: 2. Horizontal: Auditors using this method review the processes within a particular department and how the department interfaces with other departments. Example of horizontal auditing: Compliance how related to admin, HR, Accounts, Production etc.
Preliminary contacts and formalities Examination of documents and records General observation of the work premises Information analysis and verification Preparing for the inspection visit Reporting and follow-up The closing meeting Workers’ interview Overall Audit Process
• For worker interviews • For internal discussions among auditor (s) Private space • Photos are taken to keep accurate records and for providing examples to the factory Freedom to take photos • Request the name(s) of the persons in charge and their contact information • Ensure that team has access to all facilities • Ask for factory map identifying emergency exits, fire extinguisher locations, toilets, departments etc. Accessibility and practical support • Ask for access to all requested documents and recordsDocuments • Request that workers participating in interviews will have no repercussions Repercussion policy Overall Audit Process
Alignment of the process  Preparation  Gaining Entry  Opening Meeting  Observation/Factory Tour  Document Check and Management Interviews  Worker Interviews  Union Interviews  Pre-Closing and Closing Meeting  Overall Process  Attitude  Additional Remarks/Training Needs Overall Audit Process
Opening & Closing Meetings  Be prepared  Be on time  Have agenda ready  Take note of attendees  Seating plan  Entire team participates  Auditees senior management (minimum dept. Manager)  Team Leader/Lead Auditor chairs these meetings  Unity with Team leader/Lead Auditor  No over talking with Team Leader/ Lead Auditor
Opening Meeting Agenda The opening meeting is conducted by the Lead auditor. The format of the opening meeting should include the following: -Introduce the team -Reason, scope & criteria -Review audit plan and methods -Explain about sampling -Workers and management interview -Confidentiality -Method of reporting (on site/outside) -Confirm staff aware & available -Confirm logistics -Confirm guides -Safety requirements -Questions
Performing the Audit Effective auditors are those people who become good at formulating questions and researching the answers through either reviewing documentation or interviewing employees. This means that you thoroughly research the compliance to see that the requirements of the standard are being fulfilled. •Document review •On site visit •Taking notes on any violations on safety and health •Workers interview •Management interview •Non-conformity /Non-Compliant document collecting •Observations and non-compliance/non-conformities •Photo clipping if it is needed Remember: Always give the auditee the benefit of the doubt
Records and Documents Objective Evidence Control of suppliers Health and safety Internal Audit report Business Licenses Personal file Time Card ID Card Complaint procedure Policies Wages & OT Production records Inspection report Accident register Management review Working hours All register
Qualification of Good Auditor Education: Auditor should demonstrate competence in clear and fluent oral and in written concepts and ideas Training: (1) knowledge and understanding of the standards, systems and/or procedures audited (2) Assessment of techniques of questioning, evaluating and reporting (3) Audit management audit skills such as planning, organizing, communicating and directing. Experience: Auditors should have at least four years full-time workplace experience Proficiency Competency Communication Conducted by: Md. Motaher Hossain ,Lead Auditor SA8000/WRAP /ISO 9001/OHSAS 18001/ISO 14001 and Master Trainer GIZ/ILO/EU/DIFE and Alliance for Bangladesh Workers Safety E-mail: training.compliancebd@gmail.com, Mob:01713481942
Time Management Time is a most critical factor in any audit. • Reach the facility on time • Arrange opening meeting on time • Set man days audit • Complete the audit within 8hrs • Don’t loose the time for unnecessary work • Choose appropriate sample size
Time Distribution to Perform Audit Initiating the audit Conducting document review Preparing for on-site activities Conducting on-site audit Workers Interview Audit reporting 15 % Closing Meeting 40 % 30% Time Note: SA 8000 & ISO 19011 ,ISO 17021 and ISO 17024 Group & Individual 15 %
Team Leader/Lead Auditor Responsibility •Gather all information required for planning •Assist in selecting team •Prepare overall plan •Assign individual tasks •Ensure working documents are prepared •Documentation review •Represent audit team •Chair opening and closing meetings •Ensure audit progress as per plan •Ensure liaison meetings are held regularly •Ensure audit results are reported clearly, conclusively and without undue delay
2nd Auditor’s Responsibility Impartial Watcher Listener Timekeeper Note taker Corroborate Special Expertise Training
Auditor Attitude Key success Factor: Auditor Attitude to be Diplomatic and must be positive/Value-Add: • I really am here to help • I am not here to find fault • We are on the same team • Together we can find opportunities • This benefits the business Remember: The Audit MUST BE OPEN, HONEST AND CONSTRUCTIVE. The person or activity being audited always gets the Benefit of the Doubt
Auditees Responsibility (Auditees, guides and management) Auditee • Assist auditor by providing evidence/document • Co-operate with audit process • Be open and honest Guides • Assist in making arrangements • Guide auditors to records, documents, people, process etc • Health and Safety • Witness for the Auditee Management • Liaison with auditors to arrange audit • Co-operate with auditor to facilitate audit • Direct employees to participate • Act on audit findings • Provide resources for corrective action plans
Good Auditing Practices  Ask the right person  Speak clearly and simply. Use “Local” language  Look at the person-in the eyes  Rephrase your question if the auditee doesn’t seem to know what you ‘re asking  Don’t talk down to anyone  Smile and be relaxed. We ‘re all friends  Be unemotional and impartial. Don’t get excited or fix “blame”  Avoid interrupting an auditee  Don’t look for trouble-find the facts  Say thank you
Observation System: Floor Visit PART II “YOU SEE, BUT YOU DO NOT OBSERVE.” Sherlock Holmes
• Physical actions • Verbal behavior • Expressive behavior • Spatial relations and locations • Temporal patterns • Response Latency is the amount of time necessary to make a choice between two alternatives; used as a measure of the strength of preference. • Physical Objects • Verbal and pictorial records Facility Observation System
Phenomena Example Human behavior or physical Workers movement action pattern in a store Verbal behavior Statements made by management Supervisor and workers Expressive behavior Facial expressions, tone of voice, and other form of body language What Can Be Observed
Phenomena Example Spatial relations How close management and workers at factory Temporal patterns How long workers wait for their wages to be served Physical objects What brand name and items are working in the factory Verbal and Pictorial Bar codes on product packages Records What Can Be Observed
Observation / factory tour all areas as per the lay-out plan) Any areas not indicated on the lay-out plan (including areas that were locked) took a good overview of each area before focusing on detail double checked information with workers on the way round checked production /broken needle /canteen /security / other records on the way round for evidence of undeclared overview checked notice boards on the way round ensured that s/he was leading the way (not the management) On-the-job observations
Document Review, Workers interview, Report Writing and CAPs PART-III
Resources:  Child labour free policy  Birth certificate  Age certificate  Fitness certificate  Recruitment policy  Voter ID card  Young workers register  Floor observation  Workers interview  Child labour remedial policy Major Auditing Areas: Child Labour
Resources:  Appointment letter  Medical /treatment register  Security guard contract  Salary sheet  Deduction of wages  Deposit part of wages  Production plan  Production target  Working hours (OT)  Recruiting policy  Hiring and termination documents  Workers interview Forced Labour
Resources:  Policy  Management review  Complaints  Payment records  Grade observation  Training observation  Workers interview  Maternity benefit records  Pregnancy test records Discrimination
Resources: • Policy • Hiring and promotion records • Personal file • Payment records • Termination register • Workers interview • Floor visit • Training Harassment
Resources: Payment records Production records Stock register Shipment register Security guards register Purchase register Time cards OT register Workers interview Final inspection report Broken needle register Machine maintenance register Accessories Register Working Hours
Resources:  Policy  Pay roll records  Pay slip  OT records  Time cards  OT calculations  Bonus records  Increment records  Workers interview  Production records  Piece records  Payment date Wages
Welfare Facilities Resources: • First-aid • Lunch room • Day care • Toilets • Drinking water • Transport • Canteen • Health care • Free lunch • Free education for children • others
Documents: Observation Workers interview Accident register Broken needle register First-aid boxes and kits Fire drill record Health and safety analysis report Previous audit report PPEs Toilets Chemicals records Fire Extinguisher and Equipments Doctor’s register Training register Drinking water test report Machine maintenance register Health and Safety
Resources:  Policy  Workers interview  Participation Committee members interview  Management review  Meeting minutes  Trade Union representative Freedom of Association
Audit process – interviews Workers Interview Technique
• Explain the situation and purpose of your presence • Create rapport building • Ask permission to take note • Create rapport • Minimize threats from management side • Maintain control of the interview and overall process • Maintain perspective • Assure anonymity • Limit each interview to 30 minute maximum • Ensure workers know that auditors will return to verify compliance Close Circle Theory
selected worker(s) appropriately ensuring maximum protection for workers (e.g. avoiding if possible asking management to call workers or providing lists of worker numbers) used both walkthrough and document review to select workers to interview (not only one or the other) arranged the interview space in the best way (i.e. avoiding a formal interview arrangement across a boardroom table interviewed workers in a private space away from the management office or staff Close Circle Theory
put workers at their ease was a good listener and encouraged all interviewees to talk (even in group interviews) with no one dominating asked open questions to avoid pre-empting workers answers probed appropriately where workers indicated a potential issue avoided highly technical language managed the time well interviewed Participation Committee / OSH members provided an opportunity for interviewees to ask questions informed workers who they were, what they were doing and advised workers on next steps and confidentiality Close Circle Theory
Interviews – Trade Unions/Participation Committee was thorough in establishing the position/role of the Union Chair was thorough in establishing how the union representatives are elected, process of election, who organises them etc probed sufficiently on how the CBA was negotiated and what consultation/negotiation had taken place with workers etc interviewed members from different unions where multiple unions are present
Auditors have the right to confidential interviews:  Private space  Selecting the right samples  Right environment  Confidentiality  Time management Manage worker’s expectations Audit process – interviews
 Thank the Auditee and re-introduce the team  Recap reason, scope and criteria  Review audit plan and methods  Report the observation, positive & negative  Disclaimer  Overall summary  Questions & answers  Corrective actions & time-scale  Recommendation  Follow-up Closing Meeting and Agenda
Report Writing & CAPs System PART IV
Be specific Be correct-check your facts Informative Reference use ( law related, ILO,WRAP, SA 8000, BSCI, ISO) Factual Complete Accurate & precise Tips on Writing Report: • Use simple words • Precise wording • Avoid passive voice • Use reported speech • Avoid abbreviations • Avoid acronyms Audit Report Preparation Write the Report on the basis of C.I.A C-Clarification of contents I-Integration of information A-Attribution of clauses
●The Corrective Action Plan (CAP) should not exceed 12 months and is based on the findings of an audit. ●It is set by the auditor within a defined timeframe. ●It describes the implementation of measures required to improve the social performance in a production facility and is accompanied by qualification if needed. ●Crucial points like child labour and forced labour are to be remedied immediately. ●The improvement of social performance of suppliers worldwide is the goal of the Customer which develops in this respect a qualification framework also based on international, national and local stakeholder round tables in the supplier countries. Write the CAPs on basis of virtual factory tour Corrective Action Plans (CAPs)
Conducted by: Md. Motaher Hossain ,Lead Auditor SA8000/WRAP /ISO 9001/OHSAS 18001/ISO 14001 and Master Trainer GIZ/ILO/EU/DIFE and Alliance for Bangladesh Workers Safety E-mail: training.compliancebd@gmail.com, Mob:01713481942
Conducted by: Md. Motaher Hossain ,Lead Auditor SA8000/WRAP /ISO 9001/OHSAS 18001/ISO 14001 and Master Trainer GIZ/ILO/EU/DIFE and Alliance for Bangladesh Workers Safety E-mail: training.compliancebd@gmail.com, Mob:01713481942

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social audit

  • 1.
    Bangladesh Institute ofManagement Welcome To Social Compliance/Code of Conduct Auditing System Team spirit & co-operation = Successful Audit
  • 2.
    Auditing Concept And Auditor andAuditee's Attitude PART-I
  • 3.
    Compliance and Audit Complianceis an affirmative indication or judgment that the supplier of product or service has met the requirements of the relevant specifications, contract, or regulation, also meeting the requirements. On the other hand, in ISO terms, ‘Compliance to regulations, compare with conformance’. So, enterprises/facilities/industries of all sizes can ensure supplier, operational and regulatory compliance to down risk, increase opportunity and realize the full potential of agreements, transactions and contracts. Three criteria are essential in compliance: -  Effective Corporate Controls  Transparent Processes and Efficient Audits  Timely Disclosures An audit is a systematic and independent examination to determine whether Standard compliance activities and related results comply with planned arrangements and whether these arrangements are implemented effectively and are suitable to achieve objectives. The above definition has some important characteristics of an audits. The following characteristics will be built into a social compliance/COC audits to maximize audit credibility and effectively:
  • 4.
    1.Planned: Audits mustbe planned in accordance to a defined objective. To be effective, auditors should prepare for an audit by considering questions such as:  What is the purpose of this audit? -Define what needs to be accomplished. What is the scope of this audit? -Define what/who will be audited Who will perform the audit? -Define which person(s) will carry out activities When will the audit be performed? -Define the day(s) and time(s) for the audit What information sources will be utilized? -Define a strategy for investigation by identifying what information is available/appropriate for review. 2. Independent: Audits must be performed by persons who are independent of the functions audited in order to eliminate potential bias. 3. Management Co-operation: The success of any audit program depends on the support of management 4.Compliance Orientation: Social compliance/COC audits is to a specific standards are conducted which the auditors look for compliance to the requirements set forth by the standards. This means that Social compliance/COC audits will review documentation for intent to comply with the applicable standard, as well as records and processes to determine implementation of the document system and how effective the Social compliance/COC is working at the facility. Preparation Before Social Compliance Audit
  • 5.
    Necessity of SocialCompliance Audit Identification of opportunities for improvement. Implementation status check. Effectiveness check. Improve communications and motivation. To check level of standard with any brands,ILO,SA8000,WRAP etc To ensure customer requirements To ensure local labour law at the workplace Enhance management and workers communication  and to enhance profit through productivity increase
  • 6.
    Factory Management’s Rolein Audit Management has an active role in both an internal & external audit program, and is charged with the responsibility of: •Initiation of the audit program: The audit program must be initiated and supported by management . •Assurance of auditor independence: Provisions must be made to ensure that auditors have no responsibilities in the areas audited so as to eliminate the possibility of any bias with respect to audit findings. •Provide resources: Managers must ensure that there are an adequate number of available auditees to administer the audit program,with available documents and that employees are made available during audits. •Assure corrective action: Managers must consider and take actions necessary when the results of an audit show that corrective action is required.
  • 7.
    Concept of SocialCompliance /CoC Audit A social compliance /COC audit is a systematic and independent external assessment administered by a trained social/COC auditor or certified Lead Auditor of SA 8000/WRAP/ISO against a specific standard (for example SA8000,BSCI and WRAP) etc. to determine whether an entity is meeting those standards and complying with established policies, operating procedures and national and local laws, ILO Conventions and international best practices . So, in any Social Compliance/COC audit five criteria are essential. These are as follows- [ A proper system ( ISO 9001:20015)  An independent external assessment ( any 3rd party or individual)  Trained social/COC auditor or certified SA 8000/WRAP/ISO Lead Auditor  Specific Standard (any brands COC/ SA 8000/WRAP/ ISO 9001)  and a Facility Remember: Results of a social compliance audit are not usually public
  • 8.
    Role of aSocial Compliance/COC Auditor • An assurance of engagement • Reliability of the information contained in the report • Perform only customer requirements not other tasks e.g. CSR • Gather evidence for all significant assertions in the report • Assess the report’s conformance to particular standards • Know the specific references – -Labour Code’2006 - Labour Rules 2015 -The Factories Act 1965 -The Factories Rules 1979 -Industrial Relations 1969 -The Environmental Act 1995 - The Environmental Rules 1997 -Bangladesh National Building Code 2006 -Maternity Benefit Act 1953 &1959 -BEPZA Instruction -ILO - International Standard like-WRAP,SA 8000, ISO,OHSAS18001 -International Codes of Conduct like-BSCI,FLA,ETI -Brand Buyers Code of Conduct
  • 9.
    Codes of Conductand Standards DifferenceCOC Standard 1.A code of conduct is a set of rules outlining the responsibilities of the proper practices for an individual, organization, industry or any organization in light of law and regulations. 2. Principles, values, standards, or rules of behavior that guide the decisions, procedures and systems of an organization in a way that: (a) contributes to the welfare of its key stakeholders, and (b) respects the rights of all constituents affected by its operations.“ 3. obey the law, 4. Full, fair, accurate, timely and understandable disclosure in reports and documents that a company files with or submits to the 5. insider trading, 6. preserving confidential information, bribery, 7. corporate opportunities, competition and fair dealing among business, customer and stakeholder 8. Compliance with applicable governmental laws, rules and regulations 1.It’s a voluntary initiative 2. It’s a management system to maintain standards way to set of procedures 3. All over the world is the same policies, procedure s and implementation system 4. Standards basic purpose of setting out agreed principles or criteria so that their users can make reliable assumptions about a particular product, service or practice. 5. the type of agreement, 6. the number of people, organizations or countries who were involved in making the agreement. 7. Different types of standard like-ISO, OHSAS, EMS, WRAP and SA 8000 etc.
  • 10.
    Types of Audit 1.1st Party Audit: This is the technical term used when conformity audit/assessment to a standard, specification or regulation is carried out by the supplier organization itself. In other words, it is a self-audit/assessment. In a word it is called “In house-internal” 2. 2nd Party Audit: This indicates that the conformity audit/assessment is carried out by a customer of the supplier organization. An audit driven by a customer with the primary goal of satisfying itself that a supplier is in compliance with a given standard. “Out house-customer” 3. 3rd Party Audit: The conformity audit/assessment is performed by a body that is independent of both supplier and customer organization. An external audit that is conducted by an independent organization upon another organization. Powerhouse-registrar/certification 4. Internal and External Audit: Internal audits are audits that are carried out by an organization on itself to confirm to management that the compliance implementation system is in good working order. external audits: 2nd party and 3rd party
  • 11.
    Close System Audit 1stParty Audit Vendor or Supplier Audits itself Supplier 2nd Party Audit Brand ConsultantContract Brand audits supplier directly or indirectly
  • 12.
    Open System Audit Certification Body Supplier Onrequest Of Brand 3rd Party Audit
  • 13.
    Good Audit Management Inany audit the audit team leader has overall responsibility for the audit. Audit team members assist the team leader. Good Audit Management requires the below four criteria are as follows: Planning and preparation: Objective, Scope, Team and Leader, Audit Duration, Contact Company/Department(s), Established date & time, Checklist, Team Briefing Proper Communication: Client, Auditees and Auditors Ensure Parties involvement: opening & closing meeting Accurate and actual fact findings: Reporting and follow-up
  • 14.
    Good Audit Management AuditeeFacilities Provides access, documents and others information Auditor/Clients Determines objectives, scope, criteria and method of Audit 1st, 2nd & 3rd Party Auditing Organization Lead Auditor/ Team Leader Auditor Team (Includes auditors, experts i.e. SA 8000, BSCI,WRAP, ISO and auditors in training) Audit Performance Audit Report
  • 15.
    Audit Methods/Strategy 1. Vertical:Auditors using this method follow a trail of specific records through relevant departments. Vertical audits can be performed upstream (with the normal flow of business) or downstream (backwards from the normal flow of business). Example of upstream vertical auditing & Example of downstream vertical auditing: 2. Horizontal: Auditors using this method review the processes within a particular department and how the department interfaces with other departments. Example of horizontal auditing: Compliance how related to admin, HR, Accounts, Production etc.
  • 16.
    Preliminary contacts and formalities Examinationof documents and records General observation of the work premises Information analysis and verification Preparing for the inspection visit Reporting and follow-up The closing meeting Workers’ interview Overall Audit Process
  • 17.
    • For workerinterviews • For internal discussions among auditor (s) Private space • Photos are taken to keep accurate records and for providing examples to the factory Freedom to take photos • Request the name(s) of the persons in charge and their contact information • Ensure that team has access to all facilities • Ask for factory map identifying emergency exits, fire extinguisher locations, toilets, departments etc. Accessibility and practical support • Ask for access to all requested documents and recordsDocuments • Request that workers participating in interviews will have no repercussions Repercussion policy Overall Audit Process
  • 18.
    Alignment of theprocess  Preparation  Gaining Entry  Opening Meeting  Observation/Factory Tour  Document Check and Management Interviews  Worker Interviews  Union Interviews  Pre-Closing and Closing Meeting  Overall Process  Attitude  Additional Remarks/Training Needs Overall Audit Process
  • 19.
    Opening & ClosingMeetings  Be prepared  Be on time  Have agenda ready  Take note of attendees  Seating plan  Entire team participates  Auditees senior management (minimum dept. Manager)  Team Leader/Lead Auditor chairs these meetings  Unity with Team leader/Lead Auditor  No over talking with Team Leader/ Lead Auditor
  • 20.
    Opening Meeting Agenda Theopening meeting is conducted by the Lead auditor. The format of the opening meeting should include the following: -Introduce the team -Reason, scope & criteria -Review audit plan and methods -Explain about sampling -Workers and management interview -Confidentiality -Method of reporting (on site/outside) -Confirm staff aware & available -Confirm logistics -Confirm guides -Safety requirements -Questions
  • 21.
    Performing the Audit Effectiveauditors are those people who become good at formulating questions and researching the answers through either reviewing documentation or interviewing employees. This means that you thoroughly research the compliance to see that the requirements of the standard are being fulfilled. •Document review •On site visit •Taking notes on any violations on safety and health •Workers interview •Management interview •Non-conformity /Non-Compliant document collecting •Observations and non-compliance/non-conformities •Photo clipping if it is needed Remember: Always give the auditee the benefit of the doubt
  • 22.
    Records and Documents Objective Evidence Controlof suppliers Health and safety Internal Audit report Business Licenses Personal file Time Card ID Card Complaint procedure Policies Wages & OT Production records Inspection report Accident register Management review Working hours All register
  • 23.
    Qualification of GoodAuditor Education: Auditor should demonstrate competence in clear and fluent oral and in written concepts and ideas Training: (1) knowledge and understanding of the standards, systems and/or procedures audited (2) Assessment of techniques of questioning, evaluating and reporting (3) Audit management audit skills such as planning, organizing, communicating and directing. Experience: Auditors should have at least four years full-time workplace experience Proficiency Competency Communication Conducted by: Md. Motaher Hossain ,Lead Auditor SA8000/WRAP /ISO 9001/OHSAS 18001/ISO 14001 and Master Trainer GIZ/ILO/EU/DIFE and Alliance for Bangladesh Workers Safety E-mail: training.compliancebd@gmail.com, Mob:01713481942
  • 24.
    Time Management Time isa most critical factor in any audit. • Reach the facility on time • Arrange opening meeting on time • Set man days audit • Complete the audit within 8hrs • Don’t loose the time for unnecessary work • Choose appropriate sample size
  • 25.
    Time Distribution toPerform Audit Initiating the audit Conducting document review Preparing for on-site activities Conducting on-site audit Workers Interview Audit reporting 15 % Closing Meeting 40 % 30% Time Note: SA 8000 & ISO 19011 ,ISO 17021 and ISO 17024 Group & Individual 15 %
  • 26.
    Team Leader/Lead AuditorResponsibility •Gather all information required for planning •Assist in selecting team •Prepare overall plan •Assign individual tasks •Ensure working documents are prepared •Documentation review •Represent audit team •Chair opening and closing meetings •Ensure audit progress as per plan •Ensure liaison meetings are held regularly •Ensure audit results are reported clearly, conclusively and without undue delay
  • 27.
  • 28.
    Auditor Attitude Key successFactor: Auditor Attitude to be Diplomatic and must be positive/Value-Add: • I really am here to help • I am not here to find fault • We are on the same team • Together we can find opportunities • This benefits the business Remember: The Audit MUST BE OPEN, HONEST AND CONSTRUCTIVE. The person or activity being audited always gets the Benefit of the Doubt
  • 29.
    Auditees Responsibility (Auditees, guidesand management) Auditee • Assist auditor by providing evidence/document • Co-operate with audit process • Be open and honest Guides • Assist in making arrangements • Guide auditors to records, documents, people, process etc • Health and Safety • Witness for the Auditee Management • Liaison with auditors to arrange audit • Co-operate with auditor to facilitate audit • Direct employees to participate • Act on audit findings • Provide resources for corrective action plans
  • 30.
    Good Auditing Practices Ask the right person  Speak clearly and simply. Use “Local” language  Look at the person-in the eyes  Rephrase your question if the auditee doesn’t seem to know what you ‘re asking  Don’t talk down to anyone  Smile and be relaxed. We ‘re all friends  Be unemotional and impartial. Don’t get excited or fix “blame”  Avoid interrupting an auditee  Don’t look for trouble-find the facts  Say thank you
  • 31.
    Observation System: FloorVisit PART II “YOU SEE, BUT YOU DO NOT OBSERVE.” Sherlock Holmes
  • 32.
    • Physical actions •Verbal behavior • Expressive behavior • Spatial relations and locations • Temporal patterns • Response Latency is the amount of time necessary to make a choice between two alternatives; used as a measure of the strength of preference. • Physical Objects • Verbal and pictorial records Facility Observation System
  • 33.
    Phenomena Example Human behavioror physical Workers movement action pattern in a store Verbal behavior Statements made by management Supervisor and workers Expressive behavior Facial expressions, tone of voice, and other form of body language What Can Be Observed
  • 34.
    Phenomena Example Spatial relationsHow close management and workers at factory Temporal patterns How long workers wait for their wages to be served Physical objects What brand name and items are working in the factory Verbal and Pictorial Bar codes on product packages Records What Can Be Observed
  • 35.
    Observation / factorytour all areas as per the lay-out plan) Any areas not indicated on the lay-out plan (including areas that were locked) took a good overview of each area before focusing on detail double checked information with workers on the way round checked production /broken needle /canteen /security / other records on the way round for evidence of undeclared overview checked notice boards on the way round ensured that s/he was leading the way (not the management) On-the-job observations
  • 36.
    Document Review, Workersinterview, Report Writing and CAPs PART-III
  • 37.
    Resources:  Child labourfree policy  Birth certificate  Age certificate  Fitness certificate  Recruitment policy  Voter ID card  Young workers register  Floor observation  Workers interview  Child labour remedial policy Major Auditing Areas: Child Labour
  • 38.
    Resources:  Appointment letter Medical /treatment register  Security guard contract  Salary sheet  Deduction of wages  Deposit part of wages  Production plan  Production target  Working hours (OT)  Recruiting policy  Hiring and termination documents  Workers interview Forced Labour
  • 39.
    Resources:  Policy  Managementreview  Complaints  Payment records  Grade observation  Training observation  Workers interview  Maternity benefit records  Pregnancy test records Discrimination
  • 40.
    Resources: • Policy • Hiringand promotion records • Personal file • Payment records • Termination register • Workers interview • Floor visit • Training Harassment
  • 41.
    Resources: Payment records Production records Stockregister Shipment register Security guards register Purchase register Time cards OT register Workers interview Final inspection report Broken needle register Machine maintenance register Accessories Register Working Hours
  • 42.
    Resources:  Policy  Payroll records  Pay slip  OT records  Time cards  OT calculations  Bonus records  Increment records  Workers interview  Production records  Piece records  Payment date Wages
  • 43.
    Welfare Facilities Resources: • First-aid •Lunch room • Day care • Toilets • Drinking water • Transport • Canteen • Health care • Free lunch • Free education for children • others
  • 44.
    Documents: Observation Workers interview Accident register Brokenneedle register First-aid boxes and kits Fire drill record Health and safety analysis report Previous audit report PPEs Toilets Chemicals records Fire Extinguisher and Equipments Doctor’s register Training register Drinking water test report Machine maintenance register Health and Safety
  • 45.
    Resources:  Policy  Workersinterview  Participation Committee members interview  Management review  Meeting minutes  Trade Union representative Freedom of Association
  • 46.
    Audit process –interviews Workers Interview Technique
  • 47.
    • Explain thesituation and purpose of your presence • Create rapport building • Ask permission to take note • Create rapport • Minimize threats from management side • Maintain control of the interview and overall process • Maintain perspective • Assure anonymity • Limit each interview to 30 minute maximum • Ensure workers know that auditors will return to verify compliance Close Circle Theory
  • 48.
    selected worker(s) appropriatelyensuring maximum protection for workers (e.g. avoiding if possible asking management to call workers or providing lists of worker numbers) used both walkthrough and document review to select workers to interview (not only one or the other) arranged the interview space in the best way (i.e. avoiding a formal interview arrangement across a boardroom table interviewed workers in a private space away from the management office or staff Close Circle Theory
  • 49.
    put workers attheir ease was a good listener and encouraged all interviewees to talk (even in group interviews) with no one dominating asked open questions to avoid pre-empting workers answers probed appropriately where workers indicated a potential issue avoided highly technical language managed the time well interviewed Participation Committee / OSH members provided an opportunity for interviewees to ask questions informed workers who they were, what they were doing and advised workers on next steps and confidentiality Close Circle Theory
  • 50.
    Interviews – TradeUnions/Participation Committee was thorough in establishing the position/role of the Union Chair was thorough in establishing how the union representatives are elected, process of election, who organises them etc probed sufficiently on how the CBA was negotiated and what consultation/negotiation had taken place with workers etc interviewed members from different unions where multiple unions are present
  • 51.
    Auditors have theright to confidential interviews:  Private space  Selecting the right samples  Right environment  Confidentiality  Time management Manage worker’s expectations Audit process – interviews
  • 52.
     Thank theAuditee and re-introduce the team  Recap reason, scope and criteria  Review audit plan and methods  Report the observation, positive & negative  Disclaimer  Overall summary  Questions & answers  Corrective actions & time-scale  Recommendation  Follow-up Closing Meeting and Agenda
  • 53.
    Report Writing &CAPs System PART IV
  • 54.
    Be specific Be correct-checkyour facts Informative Reference use ( law related, ILO,WRAP, SA 8000, BSCI, ISO) Factual Complete Accurate & precise Tips on Writing Report: • Use simple words • Precise wording • Avoid passive voice • Use reported speech • Avoid abbreviations • Avoid acronyms Audit Report Preparation Write the Report on the basis of C.I.A C-Clarification of contents I-Integration of information A-Attribution of clauses
  • 55.
    ●The Corrective ActionPlan (CAP) should not exceed 12 months and is based on the findings of an audit. ●It is set by the auditor within a defined timeframe. ●It describes the implementation of measures required to improve the social performance in a production facility and is accompanied by qualification if needed. ●Crucial points like child labour and forced labour are to be remedied immediately. ●The improvement of social performance of suppliers worldwide is the goal of the Customer which develops in this respect a qualification framework also based on international, national and local stakeholder round tables in the supplier countries. Write the CAPs on basis of virtual factory tour Corrective Action Plans (CAPs)
  • 56.
    Conducted by: Md.Motaher Hossain ,Lead Auditor SA8000/WRAP /ISO 9001/OHSAS 18001/ISO 14001 and Master Trainer GIZ/ILO/EU/DIFE and Alliance for Bangladesh Workers Safety E-mail: training.compliancebd@gmail.com, Mob:01713481942
  • 57.
    Conducted by: Md.Motaher Hossain ,Lead Auditor SA8000/WRAP /ISO 9001/OHSAS 18001/ISO 14001 and Master Trainer GIZ/ILO/EU/DIFE and Alliance for Bangladesh Workers Safety E-mail: training.compliancebd@gmail.com, Mob:01713481942