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About the GSCPGlobal Social Compliance Programme
/ GSCP objectives and scopeThe Global Social Compliance Programme is a business‐driven programme for the continuous improvement of working and environmental conditions in global supply chains. The GSCP was created by and for global buying companies (manufacturers and retailers) wanting to work collaboratively on improving the sustainability (social and environmental) of their often‐shared supply base. To this end, these companies seek to harmonise existing efforts to deliver a shared, global and sustainable approach.
The scope of the Programme encompasses:
• social and labour practices,
• site‐specific environmental practices (not product related).
The Programme can be applied at all levels of the supply chain.
The Programme is neither a monitoring initiative, nor a substitute to existing systems. The GSCP will not undertake accreditation or certification activities as it must remain a non‐aligned, neutral reference framework.
/ The GSCP Reference toolsTo drive convergence, the GSCP has developed a set of Reference tools and processes that provide a common interpretation, based on best existing practice, of fair labour/social and environmental requirements and their implementation in the supply chain.
/ Users & UsageThese tools are openly available for all to use. Users can include GSCP member and non‐member buying companies, suppliers and employment sites. Multi‐Stakeholder Initiatives and other initiatives, auditing bodies and other scheme owners can and are encouraged to also use the GSCP Reference tools.
The Reference tools can voluntarily either be:
• integrated by users into their respective systems; or
• utilised by users as a reference against which to compare their existing tools through the GSCP Equivalence Process1.
/ ResponsibilityThe GSCP does not monitor nor audit in any way the compliance by a user’s supply chain with the GSCP Reference tools or any standards.
The adoption of part or all of one or more Reference tools cannot be put forward as a proof of adequate due diligence. The responsibility of the implementation of these tools, of the monitoring of the user’s supply chain’s compliance and of any due diligence linked to it, resides with the user. Any use of the GSCP name or logo has to follow the terms established by the GSCP. These terms are available on the GSCP website (www.gscpnet.com).
1. The Equivalence Process is a mechanism by which a social and/or environmental compliance scheme is objectively benchmarked against the requirements defined in one or more GSCP Reference tools, to determine their level of equivalence. Through the Equivalence Process, the GSCP enables the comparison of various standards and schemes against the GSCP Reference tools, aiming at bringing convergence in requirements and approaches and building mutual recognition.
AcknowledgmentsThank you to those who contributed to this Reference tool
This Reference tool has been developed by supply chain experts from GSCP member companies, with input from key stakeholders, including other brands and retailers, initiatives and international organisations, auditing and certification bodies and civil society representatives. The GSCP would like to thank all those who have helped with the development and continuous improvement of this Reference tool.
The Consumer Goods ForumThe GSCP is housed by The Consumer Goods Forum, a retailer and manufacturer parity industry body, driven by its members2. It brings together retailers, manufacturers and suppliers to collaborate across the value chain to enrich shopper and consumer value in all markets. It supports processes and practices that optimize the value chain as an interrelated whole, in accordance with all anti‐trust laws.
2. For more information, please visit www.theconsumergoodsforum.com
GLOBAL SOCIAL COMPLIANCE PROGRAMME_01
Table of contents
Global SocialCompliance Programme
/ Introduction 02
/ 1. Risk Assessment System 04
1.1 Self-assessment questionnaire 04
/ 2. Audit Request 05
2.1 Launching the audit request 05
2.2 Pre-audit employment site profile 05
/ 3. Preparation 06
3.1 Background and context review 063.2 Audit organisation 063.3 Communicating the audit arrangements 093.4 Supplier preparation 11
/ 4. Audit Execution 12
4.1 Opening meeting 12
4.2 Employment site tour 13
4.3 Interviews 14
4.4 Document review 16
4.5 Alert notifications 17
4.6 Audit team pre-closing meeting 17
4.7 Closing meeting 27
/ 5. Audit Outputs 28
5.1 Audit report 28
5.2 Supplementary audit information 29
5.3 Information management 29
5.4 Audit follow-up 30
/ Glossary of Terms 31
/ List of Appendices: There are seven reference tools available that complement the audit process described above by providing further reference guidelines and templates for carrying out the described process. These are:
Appendix 1: GSCP Reference Self Assessment Questionnaire Appendix 2: GSCP Reference Pre-Audit Employment Site Profile Appendix 3: GSCP Reference Audit Checks Appendix 4: GSCP Reference Alert Notification Appendix 5: GSCP Reference Audit Report Appendix 6: GSCP Reference Supplementary Audit Information Appendix 7: GSCP Reference Summary of Findings and Corrective Actions
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ABOUT THE GSCP REFERENCE TOOLS ON AUDIT PROCESS & METHODOLOGY
Overview of the audit process The REFERENCE TOOL ON AUDIT PROCESS is designed to provide best practice guidance for the audit process. After benchmarking existing processes, the members of the Expert Working Group on Audit Process & Methodology developed the following process.
Involvement of Suppliers in the audit processSuppliers should be involved as much as possible in the audit process.
This can be done:
• by sharing briefing notes with the supplier explaining the background, process, applicable codes and audit methodology;
• by developing a Best Practice manual giving examples of “what good looks like” against each topic, with practical advice on ways to address common social compliance issues;
• by encouraging suppliers to request social compliance audits themselves. This can be promoted as a way of prompting continuous improvement or of demonstrating their own commitment to social compliance.
Scope & usageThe Reference tools on Audit Process and Methodology detail the requirements that should be met by buying companies and auditors in order to conduct best practice social audits. They cover all steps to be taken prior, during and after an audit and includes where relevant templates to complement the audit process. They apply to auditing of sites of employment from all sectors, categories and countries.
The Reference tools on Audit Process and Methodology are based on the GSCP Reference Code but can be adopted and tailored to other codes of conduct.
The Reference tools are not a substitute for existing audit process or existing systems.
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Audit process
RISK ASSESSMENT SYSTEM
STEPS GSCP REFERENCE TOOL
Collecting risk criteria. For example, by evaluating:• Country of employment site• Industry• Processe• Workforce size and type• Self assessment questionnaire (optional)
• Reference Self Assessment Questionnaire (Appendix 1)
REQUEST FOR SOCIAL AUDIT
STEPS GSCP REFERENCE TOOL
• Initial communication with employement site• Collection of site information
• Reference Pre Audit Employment Site Profile (Appendix 2)
PREPARATION
STEPS GSCP REFERENCE TOOL
• Background and content review• Audit organisation: type, team, length• Communicating audit arrangements• Supplier preparation
AUDIT
STEPS GSCP REFERENCE TOOL
• Opening meeting• Site tour• Management and worker interviews• Document review• Audit team prelosing meeting• Closing meeting
• Reference Audit Checks (Appendix 3)• Reference Alert Notifications (Appendix 4)
AUDIT OUTPUTS
STEPS GSCP REFERENCE TOOL
• Audit reporting• Followup and verification
• Reference Audit Report (Appendix 5)• Reference Supplementary Information (Appendix 6)• Reference Summary of Findings and Corrective Action
(Appendix 7)
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1. RISK ASSESSMENT SYSTEM
A buying company should implement an efficient process to measure social compliance and identify risk in its supply chain. This will enable the company to focus attention on key areas of potential risk and direct its audit resources accordingly.
Existing risk assessment tools for suppliers and employment sites include criteria such as: geographical area, employment site function, product/service category, type of purchase, employment patterns (migrant, casual workers etc.), level and
nature of any subcontracting, level of supplier commitment and/or previous audit results.
This information upon which the risk assessment is based is provided by the supplier or employment site either through a self‐assessment questionnaire (Appendix 1) or through questions asked as part of the commercial relationship.
1.1 Self-assessment questionnaireThe self‐assessment questionnaire enables a supplier or employment site to provide information about the employment site, how it manages social compliance and its performance against local and international labour standards. The employment site is asked to respond to a series of questions and provide supporting documentation. The buying company may then use this information as the basis of a risk assessment. The auditor may also use information from the self‐assessment questionnaire to focus the on‐site investigation on high risk areas.
Companies should communicate the following to employment sites when requesting this information:
• reason for the information request;
• how the risk assessment fits within the audit process;
• to whom to send the completed self assessment (or how to upload the self assessment on to a database);
• timeframe for completion;
• process and timeframe for updating the self‐assessment.
A Reference Self-Assessment Questionnaire is available in Appendix 1.
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2. AUDIT REQUEST
2.1 Launching the audit requestAn audit request may be made by:
• the employment site;
• the supplier;
• the buying company;
• any other party with an interest in the commercial relationship and social performance of the employment site. For example, industry or monitoring bodies.
Any company/organisation requesting an audit is termed an ‘audit requestor’.
2.2 Pre-audit employment site profileWhen an audit request is made, the auditor should supply the employment site with a pre‐audit employment site profile questionnaire asking for general information about location, size, workforce profile and production processes. This information allows auditors to:
• prepare relevant briefing materials (industry or country‐specific);
• plan the assessment, for example the gender and language capabilities of the audit team members and the required number of auditor days (cf. 3.2.2 Audit length).
Each employment site to be audited should complete a pre‐audit employment site profile. The information provided should be used by the auditor to make the necessary preparations for the audit and may also be used during audits to focus the auditor on high risk areas.
The audit company should communicate the following to each employment site to be audited and any relevant parties, such as agents, in the supply chain:
• the importance of accuracy in completing the pre‐audit employment site profile;
• timeframe for completion of the pre‐audit employment site profile;
• to whom to send the completed pre‐audit employment site profile.
Recommended timeframe:
• the auditor should supply the pre‐audit employment site profile to the employment site within five working days of the audit being confirmed;
• the pre‐audit employment site profile should be completed and returned to the auditor two weeks from the date of the request being made;
• if an audit is requested and scheduled in less than two weeks, the auditor and employment site should work together to ensure the pre‐audit employment site profile is returned as soon as possible, and in any event before the audit is carried out.
A pre‐audit employment site profile should have four main areas:
1. supplier overview;
2. employment site overview;
3. employment site details;
4. subcontracting activities.
Where the employment site itself is the audit requestor, the auditor should ensure that an agreement is in place with the employment site to allow the auditor to communicate audit findings and any alert notifications to any customers concerned.
A Reference Pre-Audit Employment Site Profile is available in Appendix 2.
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3. PREPARATION
3.1 Background and context reviewThe auditing organisation or auditor must be fully aware of the conditions, challenges and issues prevailing in the country, region and industry where the audit is to be conducted. The auditing organisation and/or the auditor should be in regular contact with local, relevant civil society organisations (CSOs) which are knowledgeable about the issues which affect workers in the country, region or industry concerned. CSOs may be NGOs, Trade Unions, academic institutions, industry bodies, or any other relevant organisations. The auditing organisation or auditor should also regularly gather
information on broader social, economic and political issues affecting workers and the local community from a broad range of sources including governments and CSOs. This should include an understanding of what constitutes an appropriate wage in the region that enables workers to meet basic needs and provides some discretionary income (for example, this might be done by using the ‘basket’ technique, e.g. total of different aspects of expenditure such as food, clothing and housing).
3.2 Audit organisation3.2.1 Audit typeAudits should take place during a period when the employment site is in full operation (such as peak production or harvest).
Audits may be:
• unannounced (the employment site has no prior warning of the audit);
• semi‐announced (the employment site is aware that an audit will take place during a given time period, but the actual date of audit is not communicated);
• announced (at a mutually convenient date agreed with employment site).
In all cases, the buying company should clearly communicate its audit policy and process to suppliers and employment sites as part of its commercial terms. The buying company’s policy may include provision for all three types of audit under certain circumstances.
The risk assessment process can be used to influence the type of audit selected. For example, the audit requestor may decide to execute semi‐announced audits in all high risk employment sites. However, other considerations such as the relationship with the employment site should be taken into account since semi‐announced and unannounced audits can negatively impact supply chain relationships.
> Unannounced audits
Unannounced audits allow auditors to assess the conditions at an employment site in their normal state, since the employment site has not had the opportunity to make any special preparations. However there is a risk that the employment site will perceive unannounced auditing as
deceitful, that the auditor will not be able to gain access to the facility and that the necessary information and personnel may not be available on the day of the visit to complete the audit.
To minimise these risks, the buying company should clearly communicate its policy on unannounced audits to suppliers and employment sites. The policy should state that:
• audits may occur at any time on an unannounced basis;
• all employment sites are required to provide both pre‐audit and self assessment information on a regular basis and this information must be accurate;
• auditors presenting the correct credentials should be allowed full access to the employment site;
• the necessary records should always be kept on employment site or readily available (cf. 3.4 Supplier preparation).
Note: Whilst unannounced audits are extremely effective at identifying an accurate picture of working conditions at the employment site, and may help uncover high risk issues, their use can undermine the relationships along the supply chain, reducing the ability of the buying company to remediate. The experience of many companies indicates that unannounced audits should be reserved for due diligence checks or to investigate specific issues (critical issues suspected, lack of commitment/involvement of the suppliers, suspicion of fraud).
> Semi-announced audits
Semi‐announced audits reduce the risks to the commercial relationship and increase the ability of the buying company to remediate. Buying companies should clearly communicate their policy on semi‐announced audits to suppliers and employment sites. The policy should include the following points:
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• the buying company will specify a window during which an audit may take place. Audit windows may range between 2 weeks and 2 months;
• all employment sites are required to provide up‐to‐date and accurate pre‐audit and self assessment information at the beginning of the window;
• auditors presenting the correct credentials during the audit window should be allowed full access to the employment site;
• the necessary records should be kept at the employment site during the window.
> Announced audits
The right to perform an announced audit should be a normal part of the commercial relationship. However there is a risk that employment sites may make special preparations for the audit and best practice is to use a mix of announced, semi‐announced and unannounced audits to mitigate this risk. Buying companies should clearly communicate their policy on announced audits to suppliers and employment sites. The policy should include the following points:
• the buying company will agree an audit date with the employment site in advance;
• the employment site is required to provide up‐to‐date and accurate pre‐audit and self assessment information in advance of the audit;
• auditors presenting the correct credentials on the date of the audit should be allowed full access to the employment site;
• the necessary records and the concerned personnel should be available at the employment site on the day of the audit.
3.2.2 Audit length The number of auditor days at the employment site should be based on the size of the workforce. This will enable sufficient time to interview a representative sample of the size of the workforce and to check documents relating to the sample. Sample size and composition is probably the most controversial aspect of auditing methodology. The sample should reflect, as a minimum:
• the gender balance of the workforce. Where either men or women workers form a very small minority it is important that the audit team includes the minority in the sample;
• the spectrum of ethnic, national, linguistic, migrant or religious groups;
• different contract types, for example permanent, temporary, agency workers;
• different departments, including security and canteen workers as well as production workers;
• different designations, for example rank and file workers and supervisors.
Workers should be interviewed individually and in groups and in formal and informal settings without management present. Best practice is to interview some workers off‐site, where they may feel more able to speak freely about any concerns they may have. Workers should be interviewed preferably in their own language. In any event management or their representatives shall not act as interpreters.
Individual Interview should last at least 15 minutes and will typically be expected to last 30 minutes.
Longer interviews will be required in some circumstances, including group interviews.
The challenges in identifying a representative sample makes it difficult to identify any hard and fast rule on audit length. The minimum number of person days required for an audit is shown in the table below, however, a longer audit should be used if this guidance does not allow time for meaningful and useful interviews to be carried out with the representative sample outlined above or in the case of:
• particularly large facilities;
• multiple languages;
• off‐site interviews;
• issues requiring special investigation (e.g. discrimination);
• other unexpected issues.
In the case of agricultural businesses, consideration should be given to the size and geographical spread of the business and the number of growing locations to ascertain person days required.
The auditor should interview a proportion of the workers in each category of contract type. The number of workers interviewed should, as a minimum, be equal to the square root of the total number of workers in each category. This will help to ensure that a more representative sample is picked.
An example of how this would work is shown below:
e.g. Site A - Workforce – 2,500 workers
CONTRACT TYPE
NUMBER OF WORKERS
INTERVIEW SAMPLE SIZE
Permanent 2,225 48
Temporary 115 11
Agency 160 13
Total 2,500 72
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When selecting the worker interview sample for each category of workers, it is essential to ensure that it is representative of the make‐up of the population it is being drawn from.
This includes ensuring that samples are representative of the gender, ethnic, national and linguistic balance of the workforce as well as being representative of migrant or religious groups, different department types and different designations. In the demonstration above, 48 permanent
workers should be interviewed and the 48 workers that are selected should be representative of all permanent workers. For example if the permanent workforce is largely made up of males and workers who speak a particular language then the sample should reflect this.
The minimum sample sizes and number of person days on‐site for audits is set out in the table below.
Minimum worker interview sample size and person day requirements:
TOTAL NO. EMPLOYEES
MINIMUM INTERVIEW SAMPLE SIZE PERSON DAYS ON-SITE*
1-20 4 1
40 6 1
60 7 1
80 9 1
100 10 1
200 14 2
300 17 2
400 20 2
500 22 3
600 24 3
700 26 3
800 28 3
900 30 3
1,000 31 3
2,000 44 4
3,000 54 4
4,000 63 4
5,000 70 4
6,000 77 5
7,000 83 5
8,000 89 5
9,000 94 5
10,000 100 5
*does not include preparation time, travel or report writing.
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3.2.3 Audit teamThe audit should be conducted by a competent social auditor, who may be self‐employed or be employed by a commercial organisation, NGO, Trade Union or industry body3.
Auditors and auditing bodies should be chosen based on:
• audit training and skills1;
• audit experience;
• local and industry knowledge;
• language skills;
• gender and ethnic/national background reflecting that of the workforce;
• reputation;
• integrity;
• commitment to improving social compliance.
To prevent any conflict of interest, the auditor must not have any connection with the employment site.
It is best practice for the audit team to be made up of at least two people, one of whom is dedicated to conducting worker interviews and carries out interviews throughout the duration of the audit.
3.3 Communicating the audit arrangements3.3.1 Information for the employment site The buying company and/or auditor should communicate the following information at least 2 weeks before the audit. This should be communicated in writing and in the relevant local language.
• Confirmation of receipt of the Pre‐Audit Employment Site Profile and any further information required from the employment site.
• Identity of audit requestor.
• Information about the audit requestor’s approach towards social compliance and the code of conduct against which the employment site is being audited.
• Introduction of the audit team.
• The audit agenda including:
/ timetable;
/ topics to be covered.
• Key personnel invited to participate in the audit, including but not limited to:
/ management;
/ HR and Payroll personnel;
/ health & Safety personnel;
/ workers’ representatives.
• Information which the employment site must communicate to workers before the audit covering workers’ rights and entitlements, the audit process, purpose, ground‐rules for worker interviews, confidentiality of worker interviews.
• List of documents that the employment site will need to make available to the audit team on the day of the audit, including:
/ employment site layout / floor plan;
/ company policies (including but not limited to child labour, discipline, discrimination and harassment, Health & Safety etc.);
/ government inspection reports, e.g. sanitation, fire safety, structural safety, environmental compliance, etc.;
/ procedures (e.g. grievance/complaints and disciplinary procedures);
/ evidence that procedures are followed;
/ collective Bargaining Agreements (CBA);
/ employment contracts;
/ recruitment procedure;
/ personnel records;
/ employee handbook;
/ training records;
/ health and safety documents:‐ hazardous chemicals list;‐ accident book;‐ chemical log;‐ machinery inspection/service logs;‐ accident and injury log;‐ emergency action procedures;‐ evacuation plan;‐ fire drill log;‐ minutes of joint committees on health and safety;
3. GSCP has launched an Expert Working Group that works exclusively on auditor competence. Its role is to identify and gather best practice in that area in order to build reference requirements for recognition of auditors and auditing bodies.
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/ payroll records for past 12 months:‐ pay records for high and low points of the season;‐ hours and/or attendance records;‐ evidence that payments have been made;
/ piece rate records for the past 12 months (if applicable);
/ time records for the past 12 months;
/ production records;
/ minutes of meeting with workers representatives/unions;
/ minutes of meetings on disciplinary matters;
/ insurance, tax and other required receipts;
/ permits, operating licences, Certificates of Operations, etc.;
/ previous social audit reports/Corrective Action Plan Report.
3.3.2 Sample audit agenda
CLIENT NAME AUDIT DATE(S) JOB NO
Employment site name and address
DAY 1 – DATE
DURATION TEAM A - MEMBER: X TEAM B - LEADER: Y
Morning Opening meeting & plant tour
• Focus group interviews1. Child Labour and forced labour;2. Health & Safety, freedom
of association, discrimination.• One‐to‐one Interviews
‐ Working hours, compensation;‐ Include workers’ representative
if available.
• Accounts Department‐ Document review: Time records,
daily job record, payroll records. • Kitchen & canteen and dormitory
‐ Hygiene issues;‐ Health and safety.
Lunch time Lunch break / Auditors’ meeting
Afternoon • Employment site Tour‐ Workshops, clinic & worker
accommodation;‐ Health and safety‐ Child labour and forced labour.
• One to one interviews ‐ Security guard and workers.
• Administration Department ‐ Document review: Personnel record,
Employment contracts, H&S records, Employment site rules, Disciplinary practices.
• Management Representative‐ Social accountability systems/policy;‐ Control of suppliers/ subcontractors.
Clarification / Auditor meeting
Closing meeting / End of the audit
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3.4 Supplier preparationEmployment site management should ensure that:
• all documentation is available on the day of the audit. This includes information and documents that are usually stored at another location (e.g. a central office where payroll data is processed);
• relevant personnel are at the employment site;
• supervisors and managers are instructed to allow unobstructed access to auditors.
3.4.1 Information for workersClear information about the audit should be communicated by the employment site to workers explaining the purpose of the visit and the process. This information should be available in the principal languages spoken by workers and should include:
• purpose and scope of the audit;
• introduction to auditors and their role (emphasising they are independent and external);
• process including confidentiality of worker interviews;
• contact details for the auditor and for any whistle‐blowing facility supported by the audit requestor.
Sample communication
On (insert date), representatives from (insert audit company) will be visiting (insert employment site name) to assess working conditions.
The representatives will be looking at the following areas:
• management systems;
• forced, bonded, indentured and prison labour;
• child labour and young workers;
• freedom of Association and the right to collective bargaining;
• discrimination, harassment and abuse;
• health and safety;
• wages, benefits, terms of employment;
• working hours.
The visit will consist of meetings with management, a facility inspection, document reviews, and worker interviews.
The purpose of the worker interviews is to help identify any issues or good practice on‐site. The interviews are strictly confidential and the identity of workers who participate will remain anonymous.
You may be selected by the audit team for individual and/or group interviews, or you may be asked questions by the representatives from (insert audit company) as they walk around (insert employment site name). The selection of workers is based on a representative sample and you are not required to participate in interviews.
If you would like to get in touch with the representatives from (insert audit company) to discuss the audit or any other issues, please do not hesitate:
(Insert contact details of audit company)
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4. AUDIT EXECUTION
The audit should include the following:
• opening meeting;
• employment site tour (and optional perimeter survey);
• management and worker interviews;
• document review;
• audit team pre‐closing meeting;
• closing meeting, including summary of findings;
• agreement of findings;
• off‐site visits when necessary (e.g. to interview homeworkers; in case a site has part of its operation carried on by a subcontractor or if there is no guarantee of anonymity for workers interviewed).
This chapter sets out best practice for each step of the audit.
As a general principle, the conduct of the audit team at all times must be in the best interest of the workers.
4.1 Opening meetingThe opening meeting must be conducted in the language spoken by management. It should be attended by relevant people including:
• senior management;
• managers responsible for key functions;
• Trade Union or worker representatives.
This should be formally presented in a format agreed with the audit requestor to ensure the audit requestor’s perspective is clearly communicated in an appropriate tone.
In the opening meeting, the audit team should:
• introduce the audit team;
• explain the purpose and scope of the audit, including:
/ potential benefits to the employment site (opportunity for management to identify and manage risk, opportunity to engage in continuous improvement, opportunity to meet customer needs etc);
/ clarify that the purpose of an audit is continuous improvement;
/ the standard against which the audit will be conducted (code of conduct, applicable law, international law, collective agreement when relevant, whichever affords the highest level of protection);
• explain that the minimum requirement is transparency;
• outline the audit process;
• review the information provided in the pre‐audit employment site profile (including previous corrective action report and follow‐up actions);
• request a list of workers who are scheduled to work that day together with any details that may be required to ensure a representative sample can be chosen for interview (such as gender, nationality, contract type);
• confirm the structure of the worker interviews and the availability of an appropriate space where they will be conducted;
• confirm any special arrangements/ precautions required for the employment site tour;
• confirm permission to take photographs;
• agree process for communicating issues as they arise during the audit. It is best practice to communicate issues as they arise to build consensus around findings and corrective actions and allow management to:
/ provide additional evidence where necessary;
/ address issues immediately;
• confirm the importance of attendance at the closing meeting and ensure that all key personnel can attend;
• provide an opportunity for questions and to address concerns.
Note: If employment site management does not agree to the participation of worker representatives, auditors should note this and arrange a separate meeting with worker representatives.
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4.2 Employment site tour4.2.1 ProcessThe purpose of the employment site tour is to enable the audit team to observe the physical conditions and current practices in all areas of the employment site and to form a view of how physical conditions measure up to the audit requestor’s policy, applicable codes of conduct, legal and regulatory requirements and any other requirements.
The findings from the tour are triangulated with evidence from management and worker interviews and document review.
As a general principle, the auditor should be able to visit all the areas of the employment site and should set the pace of the tour. However, in some cases, employment sites may prohibit visitors from walking unaccompanied through employment site production areas or forbid photography for reasons of safety or commercial confidentiality.
The auditor should note restrictions on access or photography in the audit report, and if restrictions seem unreasonable should escalate according to the audit requestor’s policy.
Auditors should make every effort to ensure production is not disrupted during the employment site tour, whilst ensuring that they are able to view the production area during busy production periods. It should be possible to move around the site without delaying or halting production.
The ability of management to continue production at the site during a visit is crucial to gaining an accurate idea of working conditions and to securing management co‐operation for the remainder of the visit. Auditors should keep this in mind during the site tour.
In order to achieve this, the auditor should for example:
• ask that they be accompanied by only one or two people; usually the site or H&S manager;
• be aware of site traffic;
• avoid walking where workers are trying to move or transport product from one area to another.
The audit team should walk around the employment site, production areas, storage rooms, despatch areas, workers’ canteen, kitchen, and if present housing, crèche and medical facilities and all other areas with managers in order to:
• understand the work done at the employment site;
• evaluate health and safety practice;
• identify potentially vulnerable groups of workers;
• note other physically observable evidence that relate to other areas of the standards;
• cross‐check whether all processes necessary for the production of finished produce are carried out in‐house, at the employment site or whether there are indications that some operations may be sub‐contracted to other units;
• observe management systems and practices, including atmosphere between management and workers.
The team should raise issues as they arise during the employment site tour, giving managers the opportunity to seek clarification, respond, and provide explanations or further evidence.
The auditor should focus on:
• work environment (space, temperature, tidiness, etc.);
• work stations (space provided, chairs for pregnant workers, etc.);
• fire equipment and emergency equipment;
• machine protection and maintenance;
• emergency procedures;
• personal protective equipment;
• first aid equipment;
• hazardous substances storage, handling and disposal;
• waste management;
• toilets and sanitation;
• potable water;
• canteen hygiene and safety when applicable;
• dormitory hygiene and safety when applicable;
• young‐looking workers;
• indications of restrictions of workers’ freedom of movement;
• indications of infringements of workers’ dignity;
• selection of individual workers for interviews on the spot, at the production location or close‐by, or for subsequent interview sessions;
• quality records;
• production records;
• time records;
• display of codes of conduct or labour law;
• display of information relating to Trade Union or workers committee meetings;
• any indications of discrepancies between employment site operations and the protection of workers’ rights.
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14_GLOBAL SOCIAL COMPLIANCE PROGRAMME
AUDIT PROCESS AND METHODOLOGY REFERENCE TOOLS - OCTOBER 2009
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4.2.2 Optional perimeter surveyA perimeter survey can be useful to provide supplementary information about the employment site and its local context and to identify specific risk issues [see Section 3.1].
The perimeter survey should focus on:
• the surrounding environment (e.g. industrial park, neighbourhood, business district, etc.) and its advantages/constraints;
• neighbouring facilities (e.g. hospitals, clinics, restaurants, shops, recreation, fire protection, police, waste disposal, etc.);
• local perceptions of the employment site (e.g. work hours, labour issues, support for local community, waste discharge, etc.);
• other facilities located on the employment site property (e.g. dorms, canteen, clinic, water treatment vs. external water discharge);
• the physical construction and layout of the employment site (e.g. structures on the property, access to employment site via fences or gates, worker transport, exits off the grounds, etc.);
• other production units within the employment site property which are not part of the scope of the audit.
4.3 InterviewsInterviews with managers, Trade Union representatives (and/or other workers’ representatives) and workers will take place on‐site. However, it may be appropriate to carry out additional worker interviews off‐site.
4.3.1 Worker interviewsPoints raised by workers should be fed back as early as possible to members of the team carrying out management interviews or document review to facilitate verification.
Audit team members carrying out worker interviews must have the skills to make workers feel at ease. It is best practice to use interviewing techniques to encourage interviewees to identify the issues of most importance to them, and to uncover hidden issues such as discrimination and intimidation. In any case, the interviewer should use appropriate body language (e.g. avoid sitting behind a desk, make regular eye contact, smile, etc.).
Selection:
• the worker interview sample size should be based on the different numbers of permanent, temporary and agency workers as outlined in the methodology in section 3.2.2;
• workers within the three contract type categories should be randomly selected by the audit team only and never by management, from various locations around the employment site, and, if possible, during various shifts;
• the audit team must keep control of the selection of workers, using a variety of selection techniques throughout the audit;
• the selection of workers should be done as late as possible i.e. just before the interview is due to take place, in order to minimise the risk of workers being coached;
• workers selected must be representative of worker type and departments within the employment site;
• the interviewer should aim to talk to a wide range of workers including potentially vulnerable workers and those in less skilled positions, taking into account:
/ the gender balance of the workforce;
/ the spectrum of ethnic, national, linguistic, migrant or religious groups;
/ youngest and oldest workers;
/ different departments, including security and canteen workers as well as production workers;
/ different designations, for example rank and file workers and supervisors;
/ worker representatives;
/ health and safety committee representative(s);
/ new employees / trainees (to evaluate training quality);
/ workers in all pay grades (i.e. lowest pay grades, highest pay grades) in order to evaluate wages and working hours;
/ pregnant women;
/ employees from different shifts;
/ workers not wearing uniform;
/ workers who have taken leave recently.
Location:
• formal interviews should take place in a quiet, private area away from management offices with no representatives of management present;
• informal interviews may also take place during the physical tour of the employment site, at lunch time or in breaks. Workers should be interviewed individually and in groups;
• other suitable locations, e.g. in workers homes or in local shops and cafes used by workers;
• interview approach and language;
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AUDIT PROCESS AND METHODOLOGY REFERENCE TOOLS - OCTOBER 2009
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• interview approaches should be appropriate for the local situation, ideally semi‐structured interviews, focus groups, ranking and/or other participatory tools should be used;
• in cases where there is a multi‐lingual workforce, worker interviewers may work through a translator to access the views of workers from minority groups;
• translators should not be used to support interviews with language groups which make up 50% or more of the workforce. In these cases, the worker interviewer must be a native speaker of the language concerned;
• translators must be independent of employment site management and must speak the language concerned.
Prioritisation of workers:
• auditors must prioritise the protection of the workers interviewed;
• auditors should ensure that problems raised by workers are discussed with management in a non‐attributable way. Auditors must ensure that the comments they report cannot be traced back to an individual worker;
• auditors/worker interviewers should leave a contact telephone number, preferably their mobile number and their local office phone number, with all workers interviewed so that workers can alert the worker interviewer if there are reprisals or intimidation;
• the auditor should keep a confidential note of who is being interviewed;
• when workers raise issues which could be directly attributable to one particular worker and/or could result in reprisals against workers, these should be reported directly to the audit requestor (where this is not the employment site itself) for advice on how best to handle the issue at the closing meeting. If the audit requestor is not able to give guidance before the closing meeting, the issue should not be raised at the closing meeting [see Appendix 4 "Reference Alert Notification"].
In order to protect workers from retaliation, the names of workers involved in identifying an issue must never be divulged to the employment site, supplier or audit requestor. However, in circumstances where the best interests of the worker cannot be met without disclosure of information (for example, names of child workers who need to be removed from hazardous employment) the auditor will ensure that such details as may be required to identify workers who require immediate remediation are made known to the relevant parties, including customers of the site where appropriate.
Interview Structure:
• introduction: The audit team should introduce themselves and communicate the purpose of the audit. They should assure interviewees that all information shared during the interview will remain unattributed;
• confidentiality: No manager or representative of the employment site, apart from the workers concerned, should be present during any worker interview.
4.3.1.1 Individual interviews
Individual interviews are the most effective method for gathering specific details about the work environment and for discussing issues such as pay rates, management style, discrimination, harassment, etc. Some workers feel more comfortable talking about these issues on a one‐to‐one basis.
Auditors should respond to any signals (verbal and non verbal) from workers and may choose to convert an individual interview to a group interview or vice versa in order to accommodate workers’ needs.
4.3.1.2 Group interviews
Group interviews enable more rapid consultation with a larger number of people. Some workers may be encouraged to talk more freely in the presence of colleagues. Group interviews can be useful at the beginning of an audit to gather information quickly to inform the audit process. Group interviews are also effective for gathering data on specific issues, and exploring the nature or scope of a finding in greater depth. Auditors should never use group interviews to discuss personal issues such as an individual’s wages.
4.3.2 Management interviewsThe audit team should work through the relevant code talking in depth to the managers concerned on each issue area. Open questions and discursive interview techniques should be used. It is important to talk to the senior managers, but also less senior managers who may have a different perspective.
4.3.3 Administrative/clerical staff interviewsThe audit team should work with administration staff (such as payroll clerks and welfare officers) combining interviews with document review. Management should not be present.
4.3.4 Union and workers representative interviews The audit team should discuss with union and/or worker representatives their role at the employment site. Specific attention should be paid to any training and support given by the Trade Union, as well as the union representatives’ knowledge of collective bargaining agreements and union procedures for worker participation. The auditor should gain an understanding how the Trade Union is organised at a local level, its relationships with workers and management.
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AUDIT PROCESS AND METHODOLOGY REFERENCE TOOLS - OCTOBER 2009
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4.3.5 HomeworkersWhere an audit or a pre‐audit employment site profile has indicated that production processes are undertaken by homeworkers, then the auditor should aim to ensure that these workers are included in the audit process. In cases
where this is not possible, for example due to location constraints, then a separate audit of homeworkers and their working conditions should be conducted.
4.4 Document reviewIn countries where there are data protection requirements (e.g. all EU countries), auditors should obtain the written permission of workers to view personnel files during the
interviews. Workers should be assured that they are able to refuse permission to view their files if they so wish.
Example data protection consent form:
In order to administer your employment, your employer collects and uses certain personal information (such as your contact details and pay records). This information constitutes your personnel file.
(Insert Audit Company Name) has been engaged to review the working practices of your employer for the purposes of ensuring compliance with the (Insert Code(s)) about labour
standards. As part of this review, (Insert Audit Company Name) will need access to your personnel file.
You have confirmed that you are happy for (Insert Audit Company Name) to have access to your personnel file for the purposes of the review.
Please sign below to give your permission.
4.4.1 Document samplingThe documentation requested by the auditor should be available on‐site, including payroll and records of time, safety trainings, machinery maintenance, fire equipment and hazardous materials. Auditors should request time and payroll records for 12 consecutive months [see Section 3.3.1]. If records for the previous 12 months are not available, the employment site should explain why this is the case.
For example, the employment site has been operational for less than twelve months. From the 12‐month set of data, auditors should review at least three months’ worth of consecutive records and should include records for the low season, the peak season, holiday periods and the most recent period available.
The auditor should go through a comprehensive document trail including the following (this is not an exhaustive list):
• employment site layout / floor plan;
• company policies (including but not limited to child labour, discipline, discrimination and harassment, Health & Safety etc.);
• government Inspection Reports, e.g. sanitation, fire safety, structural safety, environmental compliance, etc.;
• procedures (e.g. grievance/complaints and disciplinary procedures);
• evidence that procedures are followed;
• collective Bargaining Agreements (CBA);
• employment contracts;
• personnel records;
• employee handbook;
• training records;
• health and safety documents:
/ hazardous chemicals list;
/ accident book;
/ chemical log;
/ machinery inspection/service logs;
/ accident and injury log;
/ emergency action procedures;
/ evacuation plan;
/ fire log drill;
/ minutes of joint committees on health and safety;
• payroll records:
/ pay records for high and low points of the season;
/ hours and/or attendance records;
/ evidence that payments have been made;
• piece rate records (if applicable);
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• time records;
• production records;
• minutes of meeting with workers representatives/unions;
• minutes of meetings on disciplinary matters;
• insurance, tax and other required receipts;
• permits, operating licences, Certificates of Operations, etc.;
• previous social trade audit reports/Corrective Action logs.
Particular emphasis should be placed on evidence that there is a systematic approach to managing all aspects of the relevant code.
4.4.2 Document inconsistenciesInconsistencies between different types of documents and worker testimony should be considered a critical non‐compliance and raised with the employment site management as early as possible during the audit. Management should be encouraged to provide accurate records which present the full picture of the employment site’s operations for review prior to the closing meeting.
If a non‐compliance related to working hours or compensation requirements is identified, the audit team should identify the context of the issue, and its frequency, the number of people impacted and the department(s) concerned both at the closing meeting and in the audit report.
4.5 Alert notifications Where a ‘critical’ non‐compliance is identified, the auditor should, wherever possible, inform the audit requestor within 24 hours. If the audit requestor is on site, the auditor should communicate the critical non‐compliance immediately. This will enable the audit requestor and the employment site to work together to plan an appropriate and timely resolution to the issue.
If an auditor believes they might be at risk as a result of communicating a critical non‐compliance, the audit team should wait until it is removed from that situation before issuing the alert notification.
Auditors should prioritise the welfare of workers when deciding how to inform employment site management of any critical non‐compliance. Auditors should follow the escalation policies of the audit requestor to minimise any risk to workers.
A description of how to evaluate non‐compliances can be found in paragraph “4.6.1 Non‐compliances, Observations and Good Practices Evaluation”
Examples of critical non‐compliances can be found in the tables in “4.6.1.1 Categorisation Examples”.
A reference alert notification is available in Appendix 4.
4.6 Audit team pre-closing meetingThe audit team should meet before the closing meeting to discuss the findings of the audit (interviews, document checks, employment site tour) and identify inconsistencies, non‐compliances, observations, and good practice. The analysis of evidence gathered is a pre‐requisite to the closing meeting. It must be completed even if the auditor is alone at the employment site.
The audit team should prepare for the closing meeting by identifying and agreeing:
• non‐compliances found including:
/ their status/severity (critical, major, minor);
/ specific evidence found;
/ recommended corrective actions, how these can be verified, and a suggested timeframe for completion;
• systematic problems and issues from one‐off, isolated, non‐systematic issues;
• the root cause of problems, where possible;
• good practice examples;
• a prioritisation of issues;
• any requests for additional information or evidence.
The reference Summary of Findings and Corrective Actions (Appendix 7) has been designed to provide a structure to the audit team’s findings and help the audit team develop a corrective action plan and structure a closing meeting.
The reference Summary of Findings and Corrective Actions includes:
• audit findings: Summary of non‐compliances, good practice, and evidence found;
• classification of non‐compliances;
• reference to the applicable code of conduct and/or law which has been contravened;
• recommended corrective actions: Auditors suggestion on how the audit findings can be resolved;
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• person/party responsible for corrective action;
• verification method: / a desk‐based follow up may be used to verify corrective
actions for minor non‐compliances but provide less assurance than a follow‐up audit. Desk‐based verification should check corrective actions through photos, copies of certificates, invoices, etc. submitted by the employment site. Desk‐based follow‐up cannot be used where actions need to be verified through worker testimony;
/ follow‐up audit are recommended for critical or major non‐compliances or when corrective actions can be evaluated only through interviews and extensive documentation reviews [see Section 5.4.1 for guidance on conducting follow-up audits];
• timescale for completion: the amount of time required for the issue to be closed. The time allocated for corrective actions to be completed should be appropriate, realistic and timely.
The Summary of Findings and Corrective Actions should:
• be clearly described and presented in both English and the language spoken by the employment site management;
• be distributed as follows:/ one original, signed copy for the employment site
manager;
/ a second original, signed copy retained by the auditor together with other audit documentation;
/ a hard or soft copy to the audit requestor.
4.6.1 Non-compliances, observations and good practice evaluationAuditors should classify non‐compliances, observations and good practice examples to indicate the relative importance of each.
Follow‐up audits are recommended for critical or major non‐compliances or when corrective actions can be evaluated only through interviews and extensive documentation reviews [see Section 5.4.1 for guidance on conducting follow-up audits].
Non‐compliance can be categorised as:
• minor non‐compliance;
• major non‐compliance;
• critical non‐compliance.
Auditors can also note Observations and instances of Good Practice.
Non‐compliances and observations should be classified according to:
• the frequency of the problem and whether the issue is an isolated occurrence;
• the potential severity of the problem;
• the probability of recurrence;
• the management system in place;
• the response of the management.
A minor non‐compliance is:
• an occasional or isolated problem;
• an issue which presents a low risk to workers/those on‐site;
• a policy issue or misunderstanding where there is no evidence of a material breach.
A major non‐compliance is:
• a breach which represents a danger to workers/those on‐site;
• a material breach of a code requirement/law. A systematic violation of a code requirement/law.
A critical non‐compliance is:
• an issue which presents imminent risk to workers’ safety/risk to life and limb or constitutes a significant breach of workers’ human rights, and/or;
• a major non‐compliance that has not been addressed or for which no significant improvement has been made by the time of a follow up audit, in spite of supplier commitment to resolve the issue;
• an attempt to pervert the course of the audit through fraud, coercion, deception or interference.
Critical non‐compliances include:
• inconsistencies between different types of documents and worker testimony [see Section 4.4.2];
• child labour (reported or confirmed through documentation);
• involuntary, indentured, or involuntary prison labour (including forced overtime and absence of payment);
• workers subjected to physical abuse;
• workers subjected to sexual harassment or abuse;
• workers in immediate danger;
• workers not being paid at all;
• workers subjected to discriminatory practices (e.g. during recruitment, workers are tested for medical conditions not required by law or product safety requirements, e.g. pregnancy, HIV/AIDS, hepatitis etc.);
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• union members, union or worker representatives are actively harassed, penalised or discriminated (directly or indirectly) against;
• attempted bribery;
• auditors denied access or obstructed from conducted from conducting a proper audit;
• evidence of the deliberate provision of false information to auditors so as to disguise unfair labour conditions.
Critical non-compliances should trigger an alert notification [see Section 4.5].
An observation is:
• the identification of an opportunity for improvement;
• a possible issue which may develop into a non-compliance without further action;
• an issue which the auditor has some evidence to indicate may be present, but is not confirmed by more than one data point.
A good practice example is:
• an issue that the auditor feels is over and above the standard against which the employment site was audited.
The auditor must be able to justify his/her classification with detailed evidence.
4.6.1.1 Categorisation examples
The below provides guidance on how to categorise different issues as good practice or minor, major or critical non-compliances. The list is not exhaustive but should give an indication of how various issues should be considered in light of the Reference guidelines and the Reference code. These examples are for illustration only; auditors should still use their discretion when classifying non-compliances.
Management systems
Good Practice Employment site policies and procedures are regularly reviewed, in consultation with internal and external stakeholders, to ensure that they meet international fair labour standards.
Management communicates the requirements of international labour standards to subcontractors, and requires them to work to adhere to them.
Management have implemented an auditing programme and audit all suppliers, subcontractors and labour providers.
Minor Non-Compliance The employment site’s fair labour policies and procedures have not been communicated to workers.
There are no relevant written policies or procedures at the employment site, but working practices are in line with international standards.
Major Non-Compliance Management does not keep a list of and the contracts with sub-contractors and suppliers.
There are no policies and procedures at the employment site, and conditions are not in line with international standards.
Critical Non-Compliance Management openly flouts the law despite knowledge of their responsibilities.
Management attempted to bribe the auditors.
False records were provided to the auditors or management refuse to give true records to auditors.
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AUDIT PROCESS AND METHODOLOGY REFERENCE TOOLS - OCTOBER 2009
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Forced, bonded, indentured and prison labour
Good Practice The employment site works with the government on a scheme for the rehabilitation of offenders, employing prisoners to build their skills before release.
Employee handbooks explain the process for workers to give notice if they wish to leave employment.
Workers interviewed are able to describe the process for giving notice.
Workers have access to no‐interest loans. Where used, workers have agreed loan amounts and repayment terms in writing, have a copy of their agreement, and workers clearly understand the repayment terms and conditions.
Minor Non-Compliance The process for workers to give notice is not effectively communicated in a language workers understand or a mechanism they can access.
A handful of personnel files do not contain evidence of workers’ written consent to deductions.
Monetary deposits are taken from workers (e.g. for accommodation or PPE).
Major Non-Compliance Prisoners work voluntarily, but are not paid at least the legally applicable wage for all hours worked.
The employment site restricts the movement of workers (e.g. workers cannot go to the toilets freely; workers cannot take their rest breaks; gate passes, toilet cards, aggressive prevention of movement, intimidation). This is valid for both the employment site and/or dormitory areas.
Unreasonable notice requirements or financial penalties for leaving. (e.g. the final payment for workers who leave employment is withheld for one month before being paid).
Deductions not stipulated in law take workers below the legal minimum wage.
Critical Non-Compliance Prison workers (or any other worker) have no choice about whether they work or not.
Workers are working to pay off a debt to their employer and have no choice about their work and/or feel unable to leave.
Workers are unable to leave employment because their deposits or other money they are owed are withheld, or because management refuses to give workers their original identity papers.
Workers are not paid at all.
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AUDIT PROCESS AND METHODOLOGY REFERENCE TOOLS - OCTOBER 2009
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Child labour
Good Practice The employment site has a robust age verification process, including stringent checks on the validity of documentation and a requirement for two forms of photo ID.
Young workers are registered with local authority where required by local legal requirements.
Management takes steps to ensure suppliers are aware of child labour policies and carries out regular checks on supplier sites to ensure that there are no children employed.
The employment site has a robust young worker management system in place, which ensures that young workers do not work in hazardous positions, at night or longer than they are supposed to as specified by the law.
Minor Non-Compliance A handful of personnel files do not contain a copy of country appropriate age verification documentation.
The personnel files of young workers do not contain written consent from a parent or guardian (if required by law).
The employment site has no formal policy on child labour.
Major Non-Compliance Management do not know the minimum legal working age in their country and/or how to verify age of workers.
The employment site does not have any age verification process when recruiting new workers.
Critical Non-Compliance The employment site consciously employs child labour and is complicit in forging documents.
Child workers have presented fake ID cards during the recruitment process and employment site failed to spot them.
There are one or more children working at the employment site.
Young workers engage in hazardous, night or overtime work.
The employment site refuses to engage in a proper remediation programme for child labourers.
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22_GLOBAL SOCIAL COMPLIANCE PROGRAMME
AUDIT PROCESS AND METHODOLOGY REFERENCE TOOLS - OCTOBER 2009
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Freedom of association and the effective recognition of the right to collective bargaining
Good Practice Management pays representatives for the time they spend carrying out their representative functions.
Worker representatives are allocated time every month to discuss union matters with union members. This is over and above normal union commitments.
Management actively engages in day to day conversations with workers to understand their needs and suggestions.
The union (or parallel means) has been effective in defusing disagreement between workers and management. They have successfully negotiated conditions that are over and above legal and industry norms.
Minor Non-Compliance Workers do not have a copy of their union dues deduction agreements but workers report knowing about these deductions and have given their written consent for these deductions to be taken.
Management sometimes postpones Trade Union meetings during peak production periods.
The employment site does not provide union representatives with adequate facilities for them to carry out their activities.
Workers are unaware of how to raise issues with management or they are unaware of who their representatives are.
Major Non-Compliance Information relating to collective bargaining agreements is not circulated to workers. Management does not permit union/committee notices to be posted publicly on notice boards.
Management does not restrict the activities of Trade Union representatives, but do not pay them for reasonable time spent on union activities.
Management does not allow regular Trade Union meetings to be held.
The employment site does not comply with collective agreements.
Collective Bargaining Agreements are not confirmed in writing.
Critical Non-Compliance Management prevents workers from organising themselves.
Membership of Trade Unions is prohibited and/or workers are prevented from becoming members of a union.
Management actively harasses, penalises or discriminates (directly or indirectly) against union members, union or worker representatives.
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Discrimination, harassment and abuse
Good Practice Workers’ contracts of employment confirm that all workers in the same roles are engaged under the same terms and conditions. (e.g. equal pay for roles of equal value).
Full explanations of all policies are available to all workers in relevant language(s).
Workers understand the discipline and grievance procedures of the employment site and report that they are fair and easy to access.
When observing interaction between workers and workers and management, there is a supportive atmosphere. Workers are supported to improve their performance in a helpful manner.
Workers think that promotion is possible and open to all. They can provide examples of where this has happened in the past.
Minor Non-Compliance The employment site does not have written policies on discrimination, harassment, or abuse.
Discipline and/or grievance procedures are not communicated to workforce.
Management and/or supervisors do not understand/follow the discipline and/or grievance procedures.
Major Non-Compliance Workers feel discriminated against by management and/or other workers.
Workers are shouted at by management.
Management uses fines as a disciplinary measure.
Critical Non-Compliance There is evidence of sexual, physical or verbal abuse.
Discrimination in recruitment is practiced e.g .age, caste, disability, ethnic and/or national origin, gender, membership in unions, political affiliation, race, religion, sexual orientation, marital status, family responsibilities, social background.
During recruitment, workers are tested for medical conditions not required by law or product safety requirements, e.g. pregnancy, HIV/AIDS, hepatitis etc.
Workers are dismissed when they become pregnant.
Workers are subject to different treatment and/or terms and conditions and/or different working conditions based on criteria which do not relate to skill or merit e.g. age, caste, disability, ethnic and/or national origin, gender, membership in unions, political affiliation, race, religion, sexual orientation, marital status, family responsibilities, social background or other personal characteristics.
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24_GLOBAL SOCIAL COMPLIANCE PROGRAMME
AUDIT PROCESS AND METHODOLOGY REFERENCE TOOLS - OCTOBER 2009
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Health and safety
Good Practice Management provide health and safety training for all workers both on the employment site and those engaged in work on other sites on behalf of the employment site.
Management takes steps to prevent accidents before they happen. Use H&S information to refine systems and take action to improve overall process.
The employment site has a functioning H&S committee with a high proportion of workers, which meets regularly with management and is very effective in managing H&S on site.
Health and Safety training is conducted for all new workers, and repeated periodically for all workers to ensure that they are aware of risks, changes to their working environment or new requirements.
Minor Non-Compliance Fire/Emergency Evacuation• Evacuation plans are not posted for workers to see.• Incomplete/absent records from fire evacuation drills in factory and/or accommodation.• Fire extinguishers are not installed at correct height/other non‐functional requirements are
not met.
Housekeeping• Poor or inadequate lighting in production or other areas.• Inadequate and/or unhygienic facilities for washing and/or drying hands.• No testing of water potability.• Isolated failures to carry out medical examinations.
Accommodation / Canteen• Isolated failures in maintenance in accommodation.• Insufficient seating in canteen/dining area.
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Major Non-Compliance Chemical Handling• No training on safe use and/or safe handling of chemicals.• Unsafe practice when handling chemicals.• No process in place to ensure vulnerable workers such as young workers or pregnant women
are not working with or in vicinity of chemicals.
PPE• Management do not provide the correct PPE to workers.• Workers do not have or do not always wear the correct PPE for the work, chemicals and machines
that they are using.
Fire/Evacuation• Emergency escape routes are not clearly signalled.
Housekeeping • Inadequate extraction in areas where chemicals are used.• Extremely bad ventilation, air conditioning or lighting in any part of the production area.• Toilets are not hygienic and/or are not cleaned on at least a daily basis.
Canteen • Canteen and/or food storage is unhygienic.• Canteen/kitchen employees have not had appropriate health checks and/or obtained appropriate
hygiene certificates.
First aid • First Aid boxes not freely accessible and/or not appropriately/adequately stocked. • There is no member of staff trained in administering basic first aid.
Training• Lack of appropriate training on safe use of equipment or handling of loads.• No senior manager designated with responsibility for health and safety.
Critical Non-Compliance Fire/Emergency Evacuation • There are less than 2 accessible, unlocked and unblocked fire exits on each floor.
PPE/Machinery • Machinery / equipment do not have the required safety guards and pose a direct threat to workers’
lives or limbs. • The employment site requires non‐refundable monetary deposits from workers to get their job,
protective equipment, training or other items.
Canteen• Accommodation is unsafe and poses immediate risk to workers’ lives or limb.
Housekeeping• Dangerous storage of production materials causing any risks to workers’ lives or health. • No access to potable water.
Others• Premises are not structurally safe.
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Wages, benefits and terms of employment
Good Practice Workers are paid regularly, at least once per month and in line with their contract of employment.
Work outside normal hours (e.g. at night or at weekend) is paid a premium over and above local law and/or industry requirements.
Workers are paid above legal requirements and industry standards.
Workers are able to significantly increase their earning potential through a production bonus or other bonus scheme.
All workers have a signed copy of their contract of employment and this reflects how their terms and conditions operate in the place of employment.
The contract is written in their native language and details their regular hours, remuneration, notice period and all other applicable terms and conditions.
Minor Non-Compliance Workers are dependent on overtime pay to achieve total take‐home pay that allows them to meet their basic needs and provides some discretionary income.
Workers have a copy of their contract, but do not understand some of the key applicable terms and condition.
Individual payroll records are missing or incomplete (assuming this is due to human error rather than falsification or hiding of records).
Workers report that mistakes in their pay packages are common, but they are rectified quickly.
Major Non-Compliance Workers on probation or trainees are kept in these positions for prolonged periods to prevent them being paid the same as their permanent or qualified counterparts.
Workers are fired and re‐hired, or kept on temporary or agency contracts in order to avoid providing them with employment rights under the relevant national law.
The employment site requires monetary deposits from workers to get their job, protective equipment, training or other items.
Workers were not provided with a copy of their contract of employment or are not clear on what their terms and conditions are.
Wage slips do not detail rates payable, number of hours worked (standard and overtime) and any deductions.
Wage slips are not in a language workers understand.
Legal overtime premiums are not paid to workers.
Workers are not participating in all benefits schemes required by law.
Late payment of wages for some or all workers.
Workers report that mistakes in their pay packet are common, and they are difficult to rectify and/or it takes a long time.
Workers are underpaid for the time that they have worked (i.e. overtime).
Critical Non-Compliance Workers have unauthorised or illegal deductions made from their wages.
Money is deducted from workers for payment of social insurance premiums, but the company does not pay the premiums into the workers’ fund.
Workers are not paid at all.
There is verifiable evidence that records have been falsified.
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AUDIT PROCESS AND METHODOLOGY REFERENCE TOOLS - OCTOBER 2009
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Working hours
Good Practice The employment site has a robust system for recording working hours and uses this information to monitor and control overtime.
Workers always receive the legally mandated number of rest days in a period.
Workers are able to earn above minimum and/or industry standards whilst hours are controlled within legal requirements.
Though there are still challenges with controlling overtime within legal limits, management are improving productivity and HR systems to begin to reduce working hours.
Minor Non-Compliance Rest days are occasionally cancelled due to production back‐logs.
There are minor gaps in time records.
There is no clear policy on overtime working.
Overtime exceeds 12 hours per week, or relevant legal limit, in isolated cases.
Major Non-Compliance Workers ability to take paid leave is restricted or non‐existent.
Workers do not receive the legally mandated breaks during their working shift.
Workers are required to use a toilet card system or other restrictions are imposed on them in order to take a toilet or other kind of break.
Working hours (including all applicable overtime) regularly exceed the legal limit or the code of conduct maximum (whichever provides the greater protection).
Workers are not able to take public or national holidays off work and are not provided with compensatory rest.
Critical Non-Compliance Management refuses access to true hours records.
There is verifiable evidence that records have been falsified.
Overtime is compulsory.
Workers work excessive hours that pose a direct risk to their health and safety.
Workers do not consistently receive at least one rest day in seven.
4.7 Closing meetingThe purpose of the closing meeting is to go through the findings, agree them and agree the corrective action plan which sets out areas for improvement, actions and timeframes. Corrective actions should focus on long term sustainable solutions which take account of the root cause of any problem. This meeting should involve all those attending the opening meeting and should:
• reconfirm the purpose of the assessment;
• recognise good practices;
• agree any non‐compliances;
• suggest corrective actions, timing, and responsibility (with management);
• record non‐compliances which can be corrected immediately;
• answer any questions management have;
• explain when the full report will be completed and who it will be sent to;
• get sign‐off on the Summary of Findings and Corrective Actions by both auditor and factory;
/ a copy should be left with management leave a copy of the corrective action plan;
/ the corrective actions should include a timeframe for completion and the type of verification needed;
• if the Summary of Findings and Corrective Actions is not agreed, the auditor should leave a copy with the factory and report disputed points to the audit requestor, copying the factory.
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28_GLOBAL SOCIAL COMPLIANCE PROGRAMME
AUDIT PROCESS AND METHODOLOGY REFERENCE TOOLS - OCTOBER 2009
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5. AUDIT OUTPUTS
5.1 Audit reportThe context, findings, issues and actions against each area of the audit standard used should be reported to the audit requestor. A reference audit report is provided in Appendix 5.
The report should be available in English to ensure that it can be shared with various stakeholders, as well as in the language of the management wherever this is possible. The report should be delivered to the audit requestor within 10 business days of the audit.
For each provision of the audit standard, the report should set out:
• description of the current situation, including how specific requirements are managed by the employment site;
• provide evidence and information to substantiate the findings;
• for each non‐compliance or observation, the report should provide a:
/ description of the non‐compliance or observation, its frequency and the number of people concerned;
/ evidence found to substantiate it;
/ classification to applicable law, code of conduct, etc.;
/ recommended corrective action with a timeframe for completion, responsibility and verification method required.
The report should not include any information that could be used to identify specific workers – such as names, ID numbers, job descriptions and/or work location. However the exception to this requirement is where the best interests of affected workers (i.e. working children) are served through disclosing their identities.
Where it is imperative to pass on the identity of a worker in order to guarantee their welfare, this should be done using the Reference Supplementary Audit Information, Appendix 6.
The report should include photos of the employment site such as:
• outside general overview;
• inside general overview;
• various stages of the manufacturing process;
• safety equipment;
• machines guards;
• drinking water;
• first aid equipment;
• break room / staff room;
• toilets and showers as applicable;
• dormitories where applicable;
• canteen where applicable;
• kitchen where applicable;
• best practices which can be photographed;
• non‐compliances which can be photographed.
A Reference Audit Report is available in Appendix 5.
Unless agreed by all parties in writing, the audit organisation will not distribute the report to any entities except the audit requestor.
However, the audit requestor should share the report with the employment site/customer/supplier as soon as possible in order to facilitate co‐operation on continuous improvement.
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5.2 Supplementary audit informationAuditors may feel the need to produce a separate, supplementary report for the audit requestor containing:
• information too sensitive for the audit report;
• concerns which cannot be substantiated through evidence and/or interviews;
• attitude of management towards the non‐compliances or the audit process as a whole.
Supplementary reports may be appropriate:
• if workers appear to be under undue pressure from management on the day of audit;
• if workers appear to have been coached;
• if management was obstructive or reluctant to accept findings and the need for remediation;
• where the auditor has concerns about the possibility of double books or falsified records;
• where sensitive issues could not be discussed during the closing meeting because of a potential risk to workers’ wellbeing.
This type of report may not be appropriate where the audit requestor is the employment site itself.
A Reference Supplementary Audit Information is available in Appendix 6.
5.3 Information managementWithin 10 days of the completion of each audit, the auditor should provide the following documents to the audit requestor:
• the Pre‐Audit Employment Site Profile;
• the completed audit report, including photos;
• summary of findings and corrective actions;
• supplementary audit information where applicable;
• copies of any alert notification that were issued during the audit.
The auditor or audit organisation should:
• be available after the audit to further clarify or explain decisions and ratings to the employment site and/ or audit requestor as needed;
• have an appeals procedure should the employment site or audit requestor challenge one of the findings and in case of any complaint by the employment site against the auditor.
5.3.1 Audit recordsAll documents, hand written notes, signed Summary of Findings and Corrective Actions and audit report should be retained by the auditor for reference for at least five years.
It is recommended that the auditor retain copies of at least the following documents:
• official documents on legal status of the company (business licence);
• insurance policies/certificates (relating to buildings and people);
• blank Employment contracts (at least in blank format);
• payroll sample (at least in blank format);
• risk assessments employment site;
• collective bargaining agreement;
• evidence relating to non‐compliances, wherever possible.
If copying facilities are not available, auditors may photograph these documents.
Data and privacy laws in some countries prohibit copies being made of certain documents; in such cases, auditors should respect these restrictions.
Supplementary audit inform
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5.4 Audit follow-upThe audit follow‐up focuses on the corrective actions agreed during the audit and closing meeting.
• the auditor will be responsible for verifying whether actions have been taken and recording verification of actions;
• for corrective actions where desk‐based verification is adequate, the auditor will review evidence submitted [see Section 4.6];
• where a follow‐up audit is required, for example on issues surrounding working hours and wages or where the original issue was raised by workers, the length of time taken at the follow‐up should be related to the number and severity of issues to be verified.
If one person is carrying out both the auditor and worker interviewer roles at the follow‐up audit, person must be of the same gender as the majority of the workforce.
5.4.1 Follow-up auditsFollow‐up audits are recommended for critical or major non‐compliances or when corrective actions can be evaluated only through interviews and extensive documentation reviews.
• a full follow‐up audit should include a full review of all areas of the standard audit process, including the complete re‐sampling of documents, conducting interviews and the employment site tour. The auditor should focus on identifying changes which would address issues raised in the initial report, but also investigate potential additional issues;
• a partial follow‐up audit does not include a full review but only focuses on the issues identified in the corrective action plan.
Follow‐up Audit Guidance:
• the audit should be carried out once the deadline for addressing all of the issues has passed;
• follow‐up audits generally take place within six months of the date of the initial audit;
• a follow‐up report should be issued. This is an updated version of the original report, with all new issues and updates to previous issues clearly highlighted;
/ for all sections where non‐compliances have previously been raised there should be a clear explanation of the evidence reviewed, comments on applicability and effectiveness and whether the issue is now considered closed or remains open;
/ improvements should be mentioned even if the non‐compliances are not fully corrected;
/ if new non‐compliances are found these should be recorded and marked as “new” and should be reported in as much detail as they would have been in the initial report;
/ a desk‐based follow up may be used to verify corrective actions for minor non‐compliances but provide less assurance than a follow‐up audit. Desk‐based verification should check corrective actions through photos, copies of certificates, invoices, submitted by the employment site. Desk‐based verification cannot be used where actions need to be verified through worker testimony.
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AAgency worker
Agency workers are workers that are employed by an employment agency but that undertake work for one of the employment agency’s clients (e.g. an employment site). Agency workers are paid by the employment agency and the labour user (e.g. the employment site) will pay the employment agency a fee for the use of its workers.
Announced audit
An audit which is undertaken on a specified date that is chosen in agreement with the employment site.
Audit requestor
Generic term referring to any entity that has requested and commissioned an audit, including the requesting entity’s customers (where known) where agreements allowing such disclosure are in place.
CCasual worker
A worker who are not part of the permanent workforce, but who supply services on an irregular or flexible basis, often to meet a fluctuating demand for work.
Civil Society Organisation
Non‐governmental and not‐for‐profit organisations that have a presence in public life, expressing the interests and values of their members or others, based on ethical, cultural, political, scientific, religious or philanthropic considerations. These organisations include community groups, non‐governmental organisations (NGOs), Trade Unions, indigenous groups, charitable organizations, faith‐based organisations, professional associations and foundations.
Code of conduct
A set of standards concerning labour practices adopted by a company and applied to its suppliers, employment sites and subcontractors.
Comply / compliance
To meet local labour laws and regulations, applicable codes of conduct and international labour standards requirements.
Corrective action
Measures taken to eliminate a non‐compliance identified during an audit.
Corrective Action Plan
A plan of action drawn up at the end of an audit that records what measures have to be taken and within what time limit to remedy the non‐compliance.
EEmployment site
An individual/specific production site, farm, winery, quarry, mine, service site etc. (including where applicable selected sub‐contractors/homeworkers).
FFollow-up audit
An audit to assess the effectiveness of corrective actions, undertaken to address issues from a previous audit. A follow‐up audit can be either a full or a partial follow‐up audit (see definitions below).
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Full follow-up audit
An audit to assess the effectiveness of corrective actions, undertaken to address issues from a previous audit. The audit should include a full review of all areas of the standard audit process, including the complete re‐sampling of documents, conducting interviews and the employment site tour.
HHomeworker
A homeworker can be defined as someone who, for a fixed rate of remuneration, carries out work in his or her home for an employer who is not the final consumer of the product or service provided.
IInternational Labour Organization (ILO)
The ILO is a United Nations specialised agency which seeks to promote labour rights internationally. It defines international minimum labour standards in the form of ‘Conventions’ and ‘Recommendations’ which are negotiated and developed by government, employers’ and workers’ organisations.
Initial audit
The first audit undertaken on an employment site which assesses compliance against a specific code of conduct, or is requested by a specific customer.
LLabour law
Legal requirements developed by governments that constitute minimum requirements which must be met by employers and workers within the employment relationship. Labour laws can also be developed through collective or contractual agreements.
Labour standards
Rules and principles defined by international organisations, governments and corporations which determine the conditions under which people should work.
MMigrant worker
A person who is engaged in a remunerated activity, who has moved to a country, province or region of which he or she is not a native, where he/she is not eligible to or does not intend to become permanent residents.
PPartial follow-up audit
An audit to assess the effectiveness of corrective actions, undertaken to address issues from a previous audit. The audit does not include a full review, but only focuses on the issues identified in the corrective action plan.
Permanent worker
Permanent workers are workers who are employed directly by the employment site and have a contract of employment that is not limited by time.
RRe-audit
A new audit which is performed on an employment site that has already been audited under the same code of conduct or by the same customer.
SSemi-announced audit
An audit which is undertaken on an un‐specified date, scheduled within a set period,, (between 2 weeks and 2 months) which is agreed with the employment site. The employment site will be informed that an audit will take place during this period but will not be informed of the exact date.
Social audit (hereafter referred to as ‘audit’)
Systematic, independent and documented process for obtaining evidence and evaluating it objectively to determine the extent to which ethical/ labour standards criteria are met.
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Stakeholder
Any person, company, organisation or other party that is affected by the activity and / or operations of a company.
Subcontractor
An individual or a group of individuals to whom a contractor outsources the manufacture of a product or part‐product.
Summary of Findings and Corrective Actions
A summary document which provides information about all issues and other findings from an audit, as well as corrective actions and time frames for completing these.
Supplier
Any contract partner which supplies the retailer/ brand with goods or services.
TTemporary worker
A temporary worker is a worker who is employed directly by the employer, but on a contract that is for a specified period of time. When the contract ends there is no obligation for the employer to continue the employment agreement.
Trade Union
A membership organisation of workers which seeks to represent the views of workers and promote/ enforce their rights within the workplace and the society as a whole. The organisation must conform to local legal requirements, and be able to engage in collective bargaining with employers and employers’ organisations.
UUnannounced audit
An audit carried out without prior warning to the employment site.
VVerification
Examination of claims made about the actual observance of code or standard provisions by suppliers or of claims made about the activities that a company undertakes to give effect to its code. Verification implies that participating companies must have internal auditing or monitoring systems in place.
WWorker
A person working on an employment site, in any capacity.
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GSCP Reference Self‐Assessment Questionnaire
This tool is part of the broader set of Reference Tools designed to provide a common interpretation of fair labour requirements and their implementation. They will enable buying companies around the world to work towards mutual recognition of audit results.
The GSCP Reference tools are based on the GSCP Reference Code but can be adopted and tailored to other codes of conduct.
Note: The GSCP Reference Code gathers, in a single framework, the main international standards for fair labour conditions and fundamental labour rights. The GSCP Reference Code is not a substitute for existing codes or existing systems but brings together the standards and best practices that could be applied.
A Self-Assessment Questionnaire enables a supplier or employment site to provide information about the employment site, how it manages social compliance and its performance against local and international labour standards.
The employment site is asked to respond to a series of questions and provide supporting documentation. The buying company may then use this information as the basis of a risk assessment.
The auditor may also use information from the self‐assessment questionnaire to focus on‐site investigation on high risk areas.
Companies should communicate the following to employment sites when requesting this information:
• reason for the information request;
• how the risk assessment fits within the audit process;
• to whom to send the completed self assessment (or how to upload the self assessment on to a database);
• timeframe for completion;
• process and timeframe for updating the self‐assessment.
A Self‐Assessment Questionnaire may be based on a specific code of conduct thus allowing companies to identify potential risks more easily. The Reference tool below is structured according to the GSCP Reference Code.
Employment sites should be encouraged to answer the self assessment questionnaire in full and add commentary and/or evidence against each point rather than just marking Yes or No.
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AUDIT PROCESS AND METHODOLOGY REFERENCE TOOLS - OCTOBER 2009
REFERENCE SELF-ASSESSMENT QUESTIONNAIRE
COMPANY OVERVIEW
Name of company which owns the employment site to be audited
Mailing address (if different to that of the employment site)
Telephone Number: Fax Number:
Ownership type (e.g. Joint Venture, Partnership, Corporation, Foreign Investment, Other)
Year company formed
Legal status
Business Licence No.
Is the Company part of a group?If Yes, name of parent company
Yes No
Does the company own any other employment sites?If yes, how many?
Annual turnover (USD)
Company Capital (USD)
Does the Company have any management systems certifications?E.g. ISO 9001
Yes No
If yes, please detail certifications and validity Please append copies of all current certificates to the completed self assessment questionnaire
Appendix 2: G
SCP Reference Pre-Audit Em
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Appendix 3: G
SCP Reference Audit Checks
Appendix 4: G
SCP Reference Alert N
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Appendix 5: G
SCP Reference Audit Report
Appendix 6: G
SCP Reference Supplementary A
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AUDIT PROCESS AND METHODOLOGY REFERENCE TOOLS - OCTOBER 2009
EMPLOYMENT SITE CONTACT DETAILS
Employment site name
Full address
Full address (in local language, if applicable)
Country
Is this site in an Export Processing Zone (EPZ)?
Yes No
Employment site telephone number: Employment site fax number: Employment site email address:
Employment site manager:
Languages of the employment site management: Please list the main languages spoken by employment site managers
Key contact: Key contact job title: Key contact telephone number:
Employment site website (if available)
Closest Airport/railway station
Distance from the above: please specify time and distance plus traffic conditions if relevant
Regular shift times:
Does this employment site require any permits or certificates in order to undertake any of its functions?If Yes, then please provide details:
Yes No
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AUDIT PROCESS AND METHODOLOGY REFERENCE TOOLS - OCTOBER 2009
WORKFORCE DETAILS
WORKFORCE NUMBERSPEAK SEASON LOW SEASON
Male Female Male Female
TOTAL WORKERS AT THIS EMPLOYMENT SITE
No. permanent workers
No. temporary workers
No. of agency workers
No. of piece rate workers
No. salaried workers
No. of hourly paid workers
No. of homeworkers
No. of young workers
No. part time workers
No. night workers
No. of workers in accommodation provided by the employment site
Percentage of migrant* workers
Percentage of migrant workers working at night
YOUNG WORKER DETAILSPEAK SEASON LOW SEASON
Male Female Male Female
Age of youngest worker
No. of workers under 18
Language(s) spoken Detail the different native languages of the workforce, together with the proportion of workers who speak that language as their first language.
Nationality of workers Detail the different nationalities of the workforce, together with the proportion of workers of that nationality
* The term ‘migrant worker’ refers to, a person who is engaged in a remunerated activity in a country, province or region of which he or she is not a native and where he or she is not eligible or does not intend to become permanent resident.
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Appendix 3: G
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SCP Reference Audit Report
Appendix 6: G
SCP Reference Supplementary A
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AUDIT PROCESS AND METHODOLOGY REFERENCE TOOLS - OCTOBER 2009
0. MANAGEMENT SYSTEMS
0.1 Do you have a policy defining your approach to labour standards and ethical trading? If yes, please attach
Yes No
0.2 Are you committed to any Codes of Conduct?If yes, please detail:
Yes No
0.3 Do you have a dedicated manager in charge of ensuring that the requirements of the policy are met? if yes, please specify exact title and name
Yes No
Name:Title:
0.4 Do you have a system in place that will alert you to changes in any applicable labour laws?
Yes No
0.5 Do you have a procedure in place to evaluate and select your suppliers based on their ability to meet your defined standards?
Yes No
1. FORCED, BONDED, INDENTURED & PRISON LABOUR
1.1 Are all workers free to leave the employment site during non-working hours or at the end of their shift? (including workers who live on-site)Please explain any restrictions or how this freedom is assured
Yes No
1.2 Are all workers free to leave their employment upon giving reasonable notice?Please define the notice period required
Yes No
1.3 Do you hold workers’ ID Cards/Passports?
If yes, please specify whether this is an original or a copy
If Originals, then is holding original ID papers a legal requirement in your country?
Yes No
Original Copy
Yes No
1.4 Are workers required to lodge deposits?If yes, please specify how much and the reasons for these
Yes No
1.5 Do you use prison labour? If yes, please specify:• how many workers are prisoners;• whether prisoners are paid, and if so, how much;• whether prisoners have a choice of whether to work or not;• the name of any specific government prison work scheme.
Yes No
1.6 Do you have a signed contract of employment for every directly employed worker?If Yes, do all workers have a copy?
Yes No
Yes No
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2. CHILD LABOUR
2.1 What is the legal minimum age for work in your country?
2.2 What is the date of birth of the youngest worker and when did they start working in the company?
Date of birth:
Date of recruitment:
2.3 Do you ask for a proof of age when recruiting workers?If yes, please detail all checks you make(e.g. ID card, birth certificate, medical checks, etc.)
Yes No
2.4 Do you have copies of proof of age documentation in workers’ personnel files? Yes No
2.5 Have you ever found child workers* on your employment site?If yes, what did you do?
Yes No
2.6 Do you have any workers below the age of 18, or do you have any apprentices in the employment site? If yes, please specify how many
Yes No
Young workers: Apprentices:
2.7 Do you make sure that young workers are exempt from overtime, night work and hazardous work?If Yes, Describe your systems for doing this:
Yes No
2.8 Do you participate in any apprenticeship schemes?If yes, please provide the following information:• Number of apprentices working• Name(s) of the apprenticeship scheme• Name(s) of the educational institutions involved
Yes No
* Child workers are workers under the age of 15 or under the legal minimum working age, whichever is higher. If however, local minimum age law is set at 14 years of age in accordance with developing country exceptions under ILO Convention 138, then a child worker may be considered to be a worker below the age of 14.
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Appendix 3: G
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Appendix 4: G
SCP Reference Alert N
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SCP Reference Audit Report
Appendix 6: G
SCP Reference Supplementary A
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3. FREEDOM OF ASSOCIATION AND RIGHT TO COLLECTIVE BARGAINING
3.1 Do you recognise any Trade Unions in your workplace?If yes, please specify which Trade Unions
Yes No
3.2 Are any workers in your workplace members of a Trade Union?If yes, please specify which Trade Unions
Yes No
3.3 Are workers free to join Trade Unions?If yes, please specify which Trade Unions
Yes No
3.4 Are workers free to join other types of workers’ organisation? (other than Trade Unions)If yes, please specify which organisations
Yes No
3.5 Do you have any workers’ committees or other worker representative bodies in your workplace? If yes, please specify the committees or bodies represented
Yes No
3.6 Are workers’ representatives on workers’ committees/other worker representative bodies elected by the workforce?If no, how are they selected?
Yes No
3.7 Are all workers’ representatives permitted to carry out their duty within working hours without sacrificing pay to do so?
Yes No
3.8 Do you have regular meetings with the main Trade Union or workers’ committee representatives in your workplace? If yes, please specify how often
Yes No
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AUDIT PROCESS AND METHODOLOGY REFERENCE TOOLS - OCTOBER 2009
4. DISCRIMINATION, HARASSMENT AND GRIEVANCE PROCEDURES
4.1 Do you have an equal opportunities policy? If yes, please attach
Yes No
4.2 Do workers receive equal pay for equal work, regardless of gender, age, religion, marital status, race, caste, social background, diseases, disability, pregnancy, ethnic and national origin, nationality, membership in worker organisations including unions, political affiliation, sexual orientation, or any other personal characteristics?
Yes No
4.3 Are union representatives treated in the same way as other workers? Yes No
4.4 Do you use pregnancy testing for current/prospective workers? Yes No
4.5 Do you dismiss workers who become pregnant? Yes No
4.6 Do you clearly and strictly forbid any form of verbal, physical or psychological threats, abuse or harassment in your company
Yes No
4.7 Do you have a formal, documented disciplinary procedure? Yes No
4.8 Do you have a formal, documented grievance procedure? Yes No
4.9 Do you record all disciplinary actions taken and any grievance procedures? Yes No
4.10 Do you conduct physical searches of workers? Yes No
Appendix 2: G
SCP Reference Pre-Audit Em
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Appendix 3: G
SCP Reference Audit Checks
Appendix 4: G
SCP Reference Alert N
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Appendix 5: G
SCP Reference Audit Report
Appendix 6: G
SCP Reference Supplementary A
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AUDIT PROCESS AND METHODOLOGY REFERENCE TOOLS - OCTOBER 2009
5. HEALTH AND SAFETY
5.1 Is there a senior manager responsible for health and safety? If yes, specify their exact title and name
Yes No Title: Name:
5.2 Is there a health and safety committee on which workers are represented? Yes No
5.3 Do you carry out health and safety risk assessments?If yes, please specify any high risk areas identified through the risk assessment process
Yes No
5.4 Do you implement action plans for all risk areas identified? If yes please provide an example
Yes No
5.5 When was the last health and safety risk assessment carried out?
5.6 Do you have a written evacuation procedure for emergencies? Yes No
5.7 Are all workers (including temporary workers) trained on health, safety and hygiene?
Yes No
5.8 Is this training repeated on a regular basis?If yes, how often does this occur?
Yes No
5.9 Do you have records of the names of all personnel trained and the dates they were trained?
Yes No
5.10 Are all workers provided with appropriate personal protective equipment?If yes, is this provided free of charge to workers?
Yes No
5.11 Do you have an accident book where all accidents are recorded? Yes No
5.12 Is each shift covered by a trained first aider? Yes No
5.13 Do you have a fire alarm that can be heard in all areas of the employment site?If Yes, how often is this alarm tested?
Yes No
5.14 Do you conduct regular evacuation drills? Yes No
5.15 Are there enough fire exits for all workers to leave all buildings safely in an emergency?
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APPENDIX 1: GSCP REFERENCE SELF ASSESSMENT QUESTIONNAIRE
AUDIT PROCESS AND METHODOLOGY REFERENCE TOOLS - OCTOBER 2009
5. HEALTH AND SAFETY
5.16 Are all fire exits unobstructed and unlocked?
5.17 Do all machines have appropriate safety guards?
5.18 Do you have a material safety data sheet (MSDS) for each chemical in a language workers understand?
Yes No
5.19 Do you have written procedures for the safe storage, use and disposal of hazardous materials in a language workers understand?
Yes No
5.20 Do you provide unlimited access to clean drinking water during working hours?
Yes No
5.21 Do you provide proper sanitary facilities? Yes No
5.22 Is any accommodation provided? If yes, what is their location in relation to the employment site?
If no, please go to section 6
Yes No
5.23 Is all accommodation in a separate building to production areas? Yes No
5.24 Are there at least 2 fire exits from each floor of the accommodation areas? Yes No
5.25 Does all accommodation have fire alarms? Yes No
…
Appendix 2: G
SCP Reference Pre-Audit Em
ployment Site Profile
Appendix 3: G
SCP Reference Audit Checks
Appendix 4: G
SCP Reference Alert N
otificati
on
Appendix 5: G
SCP Reference Audit Report
Appendix 6: G
SCP Reference Supplementary A
udit Informati
on A
ppendix 7: GSCP Reference Sum
mary of Findings and Correcti
ve Acti
ons
Appendix 1: G
SCP Reference Self Assessm
ent Questi
onnaire
11_GLOBAL SOCIAL COMPLIANCE PROGRAMME
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APPENDIX 1: GSCP REFERENCE SELF ASSESSMENT QUESTIONNAIRE
AUDIT PROCESS AND METHODOLOGY REFERENCE TOOLS - OCTOBER 2009
6. WAGES AND BENEFITS
Young* male
workers
Young* female
workers
Adult male
workers
Adult female
workers
6.1 What is the legal minimum wage per month applicable to your industry? (in local currency)
6.2 How much does the lowest paid permanent worker earn in standard working hours per month? (in local currency)
6.3 How much does the lowest paid temporary worker earn in standard working hours per month? (in local currency)
6.4 How much does the lowest paid piece-rate worker earn in standard working hours per month? (in local currency)
6.5 How much does the lowest paid subcontractor/home-worker earn in standard working hours per month? (in local currency)
6.6 Do you pay a premium rate for overtime? If yes, please specify the rate
Yes No
6.7 Do you make any deductions from workers’ pay?If yes, please provide details of:• Legally Required Deductions• Other Deductions
Yes No
6.8 After deductions are made, do any workers receive less than the legally applicable minimum wage* ?
Yes No
6.9 Do workers receive payslips clearly setting out how their wages are calculated and any deductions made?
Yes No
6.10 How often do workers receive their wages?(please specify the frequency and exact date, if any)
Frequency:Exact date, if any:
6.11 How are workers paid?If other please provide details
Cash Cheque Bank transfer Other
6.12 Do you provide any social benefits to the workers (e.g. health insurance, pension fund, child care, education, accommodation etc.)? If yes, please describe what is provided
Yes No
6.13 Do all workers receive paid annual leave i n accordance with the law?If yes, please describe how much paid annual leave is provided
Yes No
* Young workers are workers younger than 18 years of age, but older than the legal minimum working age
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APPENDIX 1: GSCP REFERENCE SELF ASSESSMENT QUESTIONNAIRE
AUDIT PROCESS AND METHODOLOGY REFERENCE TOOLS - OCTOBER 2009
7. WORKING HOURS
7.1 What is the legal maximum number of working hours per week (including overtime) in your country?
7.2 Are any exceptions to this maximum allowed?If yes, please describe
Yes No
7.3 What are your employees’ standard weekly working hours? Per week:
7.4 What is the average number of weekly overtime hours per person? Per week:
7.5 What is the maximum number of overtime hours that employees work per week in peak season?
Per week:
7.6 Is overtime compulsory? Yes No
7.7 Do workers have at least one day off per week? Yes No
7.8 How are working hours recorded?
END OF QUESTIONNAIRE
Appendix 2: G
SCP Reference Pre-Audit Em
ployment Site Profile
Appendix 3: G
SCP Reference Audit Checks
Appendix 4: G
SCP Reference Alert N
otificati
on
Appendix 5: G
SCP Reference Audit Report
Appendix 6: G
SCP Reference Supplementary A
udit Informati
on A
ppendix 7: GSCP Reference Sum
mary of Findings and Correcti
ve Acti
ons
Appendix 1: G
SCP Reference Self Assessm
ent Questi
onnaire
01_GLOBAL SOCIAL COMPLIANCE PROGRAMME
INTR
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STEM APPENDIX 2
GSCP Reference Pre‐Audit Employment Site Profile
This tool is part of the broader set of Reference tools designed to provide a common interpretation of fair labour requirements and their implementation. They will enable buying companies around the world to work towards mutual recognition of audit results.
The GSCP Reference tools are based on the GSCP Reference Code but can be adopted and tailored to other codes of conduct.
Note: The GSCP Reference Code gathers, in a single framework, the main international standards for fair labour conditions and fundamental labour rights. The GSCP Reference Code is not a substitute for existing codes or existing systems but brings together the standards and best practices that could be applied.
When an audit request is made, the auditor should send the employment site a Pre-Audit Employment Site Profile questionnaire asking for general information about location, size, workforce profile and production processes. This information allows auditors to:
• prepare relevant briefing materials (industry or country‐specific);
• plan the assessment, for example the gender and language capabilities of the audit team members and the required number of audit days.
Each employment site to be audited should complete a pre‐audit employment site profile. The information provided should be used by the auditor to make the necessary preparations for the audit and may also be used during audits to focus the auditor on high risk areas.
The audit company should communicate the following to each employment site to be audited and any relevant parties, such as agents, in the supply chain:
• the importance of accuracy in completing in the pre‐audit employment site profile;
• timeframe for completion of the pre‐audit employment site profile;
• to whom to send the completed pre‐audit employment site profile.
Recommended timeframe:
• the auditor should supply the pre‐audit employment site profile questionnaire to the employment site within five working days of the audit being confirmed;
• the pre‐audit employment site profile questionnaire should be completed and returned to the auditor two weeks from the date of the request being made;
• if an audit is requested and scheduled in less than two weeks, the auditor and employment site should work together to ensure the pre‐audit employment site profile is returned as soon as possible and in any event before the audit is carried out.
A Pre‐Audit Employment Site Profile should have four main areas:
1. company overview;
2. supplier overview;
3. employment site details;
4. subcontracting activities.
Where the employment site itself is the audit requestor, the auditor should ensure that an agreement is in place with the employment site to allow the auditor to communicate audit findings and any alert notifications to any buyers, brands or retailers concerned.
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GLOBAL SOCIAL COMPLIANCE PROGRAMME_02
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APPENDIX 2: GSCP REFERENCE PRE-AUDIT EMPLOYMENT SITE PROFILE
AUDIT PROCESS AND METHODOLOGY REFERENCE TOOLS - OCTOBER 2009
1. COMPANY OVERVIEW
Where possible, the pre‐audit employment site profile should detail the following overview of the company.
1. COMPANY OVERVIEW
Name of company which owns the employment site to be audited
Mailing address (if different to that of the employment site)
Telephone Number: Fax Number:
Ownership type (e.g. Joint Venture, Partnership, Corporation, Foreign Investment, Other)
Year company formed
Legal status
Business licence no. (if applicable)
Is the company part of a group?If Yes, name of parent company
Yes No
Does the company own any other employment sites?If yes, how many?
Annual turnover (USD)
Company capital (USD)
Does the company have any management systems certifications?
Yes No
If yes, please detail certifications and validity Please append copies of all current certificates to the completed self assessment questionnaire
Appendix 2: G
SCP Reference Pre-Audit Em
ployment Site Profile
Appendix 3: G
SCP Reference Audit Checks
Appendix 4: G
SCP Reference Alert N
otificati
on
Appendix 5: G
SCP Reference Audit Report
Appendix 6: G
SCP Reference Supplementary A
udit Informati
on A
ppendix 7: GSCP Reference Sum
mary of Findings and Correcti
ve Acti
ons
Appendix 1: G
SCP Reference Self Assessm
ent Questi
onnaire
03_GLOBAL SOCIAL COMPLIANCE PROGRAMME
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APPENDIX 2: GSCP REFERENCE PRE-AUDIT EMPLOYMENT SITE PROFILE
AUDIT PROCESS AND METHODOLOGY REFERENCE TOOLS - OCTOBER 2009
2. SUPPLIER OVERVIEW
Where relevant, the pre‐audit employment site profile should detail the following information concerning any intermediate supplier.
2. SUPPLIER OVERVIEW
Supplier name:
Full address:
Country:
Supplier telephone number: Supplier fax number: Supplier email address:
Key contact: Key contact telephone number:
Supplier website (if available):
Supplier website (if available):
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APPENDIX 2: GSCP REFERENCE PRE-AUDIT EMPLOYMENT SITE PROFILE
AUDIT PROCESS AND METHODOLOGY REFERENCE TOOLS - OCTOBER 2009
3. EMPLOYMENT SITE DETAILS
3.1 Employment Site Contact DetailsThe pre‐audit employment site profile questionnaire should request the following contact information:
3.1 EMPLOYMENT SITE CONTACT DETAILS
Employment site name:
Full address:
Full address (in local language, if applicable):
Country
Is this site in an Export processing zone (EPZ)?
Yes No
Employment site telephone number: Employment site fax number: Employment site email address:
Employment site manager:
Languages of the employment site management. Please list the main languages spoken by employment site managers:
Key contact: Key contact job title: Key contact telephone number:
Employment site website (if available)
Closest airport/railway station
Distance from the above. Please specify time and distance plus traffic conditions if relevant
Regular shift times:
Does this employment site require any permits or certificates in order to undertake any of its functions?If Yes, then please provide details:
Yes No
Appendix 2: G
SCP Reference Pre-Audit Em
ployment Site Profile
Appendix 3: G
SCP Reference Audit Checks
Appendix 4: G
SCP Reference Alert N
otificati
on
Appendix 5: G
SCP Reference Audit Report
Appendix 6: G
SCP Reference Supplementary A
udit Informati
on A
ppendix 7: GSCP Reference Sum
mary of Findings and Correcti
ve Acti
ons
Appendix 1: G
SCP Reference Self Assessm
ent Questi
onnaire
05_GLOBAL SOCIAL COMPLIANCE PROGRAMME
INTR
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APPENDIX 2: GSCP REFERENCE PRE-AUDIT EMPLOYMENT SITE PROFILE
AUDIT PROCESS AND METHODOLOGY REFERENCE TOOLS - OCTOBER 2009
3.2 Employment Site ManagementThe following information is requested to understand internal management systems and processes regarding social compliance.
3.2 EMPLOYMENT SITE MANAGEMENT
Name and position of person responsible for Social Compliance Issues:
Name and position of person responsible for health & safety:
Name and position of person responsible for recruitment and personnel issues:
Name and position of person responsible for production planning:
Name and position of person responsible for payroll issues:
Names, position and responsibilities of other management personnel:
Are any workers represented by a Trade Union? If yes, then please name the union(s) and worker representative(s):
Yes No
Is there a workers committee or health and safety committee?If yes, name the committee(s) and workers’ representative(s)
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APPENDIX 2: GSCP REFERENCE PRE-AUDIT EMPLOYMENT SITE PROFILE
AUDIT PROCESS AND METHODOLOGY REFERENCE TOOLS - OCTOBER 2009
3.3 Employment Site area & FacilitiesThe pre‐audit employment site profile questionnaire should detail the following information concerning the size and facilities of the employment site area. Depending on the nature of the employment site, some of the headings may need to be changed (e.g. to differentiate between farms and factories).
Where relevant, the employment site should be asked to submit a floor plan.
3.3 EMPLOYMENT SITE AREA & FACILITIES
Employment site size: Production area (m2):Administration area (m2): Storage area (m2):Total area (m2):
Do you provide canteen facilities?If yes, size of canteen facilities (m2):
Yes No
Are canteen facilities located on or off site? On‐site Off‐site N/A
Do you provide dormitory or other living accommodation facilities?If Yes, size of dormitories or other accommodation (m2):
Yes No
Is accommodation located on or off site?If off-site, then please detail the street address of ALL accommodation and the distance from the employment site:
On‐site Off‐site
Appendix 2: G
SCP Reference Pre-Audit Em
ployment Site Profile
Appendix 3: G
SCP Reference Audit Checks
Appendix 4: G
SCP Reference Alert N
otificati
on
Appendix 5: G
SCP Reference Audit Report
Appendix 6: G
SCP Reference Supplementary A
udit Informati
on A
ppendix 7: GSCP Reference Sum
mary of Findings and Correcti
ve Acti
ons
Appendix 1: G
SCP Reference Self Assessm
ent Questi
onnaire
07_GLOBAL SOCIAL COMPLIANCE PROGRAMME
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APPENDIX 2: GSCP REFERENCE PRE-AUDIT EMPLOYMENT SITE PROFILE
AUDIT PROCESS AND METHODOLOGY REFERENCE TOOLS - OCTOBER 2009
3.4 Employment Site Production and Processes OverviewThe pre‐audit employment site profile should detail the following information concerning the employment site’s production systems and production processes. Some employment sites may not be willing to provide some of the information requested because of confidentiality agreements with other customers.
3.4 EMPLOYMENT SITE PRODUCTION SYSTEMS AND PROCESSES
Industry sector:
Principal products:
Main export markets:
Proportion of output supplied to audit requestor:
Other major customers:
Peak & low seasons: Peak season:Low season:
Maximum capacity per month*:
Typical production level as a percentage of total capacity (by month):
Jan Feb Mar Apr May June
July Aug Sept Oct Nov Dec
Main production processes (e.g. Stitching, labelling, injection, moulding, baking, harvesting, dyeing etc.):
Main production equipment:
Main raw materials used:
List of hazardous chemicals used employment site:
Shift times (broken down by section):
Regular overtime hours:
* Auditor should check if an appropriate unit has been communicated (tonnes, number of pieces, containers…).
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APPENDIX 2: GSCP REFERENCE PRE-AUDIT EMPLOYMENT SITE PROFILE
AUDIT PROCESS AND METHODOLOGY REFERENCE TOOLS - OCTOBER 2009
3.5 Employment Site WorkforceThe following information is an essential requirement, both to understand potential risks posed by the employment site’s operations and to plan for the audit. Any missing details should be clarified with the employment site directly.
3.5 EMPLOYMENT SITE WORKFORCE
WORKFORCE NUMBERSPEAK SEASON LOW SEASON
Male Female Male Female
TOTAL WORKERS AT THIS EMPLOYMENT SITE:
No. permanent workers:
No. temporary workers:
No. of agency workers:
No. of piece rate workers:
No. salaried workers:
No. of hourly paid workers:
No. of homeworkers:
No. of young workers:
No. part time workers:
No. night workers:
No. of workers in accommodation provided by the employment site:
Percentage of migrant workers:
Percentage of migrant workers working at night:
YOUNG WORKER DETAILSPEAK SEASON LOW SEASON
Male Female Male Female
Age of youngest worker:
No. of workers under 18:
Language(s) spoken Detail the different native languages of the workforce, together with the proportion of workers who speak that language as their first language:
Nationality of workers Detail the different nationalities of the workforce, together with the proportion of workers of that nationality:
Appendix 2: G
SCP Reference Pre-Audit Em
ployment Site Profile
Appendix 3: G
SCP Reference Audit Checks
Appendix 4: G
SCP Reference Alert N
otificati
on
Appendix 5: G
SCP Reference Audit Report
Appendix 6: G
SCP Reference Supplementary A
udit Informati
on A
ppendix 7: GSCP Reference Sum
mary of Findings and Correcti
ve Acti
ons
Appendix 1: G
SCP Reference Self Assessm
ent Questi
onnaire
09_GLOBAL SOCIAL COMPLIANCE PROGRAMME
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APPENDIX 2: GSCP REFERENCE PRE-AUDIT EMPLOYMENT SITE PROFILE
AUDIT PROCESS AND METHODOLOGY REFERENCE TOOLS - OCTOBER 2009
3.6 Details of Previous Social Audits and OutcomesThis section provides the audit history of the employment site. This information helps determine the type of audit required (i.e a full audit, a verification audit, etc.) and if a current audit report can be shared instead of conducting a new audit.
3.6 EMPLOYMENT SITE PREVIOUS SOCIAL AUDITS AND OUTCOMES
Are you a participant in any social initiative(s)?e.g. BSCI, ICS, ICTI, FLA, Fair Trade If Yes, which initiatives and please provide evidence:
Yes No
Are you a member of any social reporting systems?If yes, please specify which ones:
Do you have your own social policy or code of conduct?If Yes, please supply a copy.
Yes No
Are you operating to any other codes of conduct?If Yes, please list Codes you are using:
Yes No
Has your employment site previously been audited for social compliance?
Yes No
If yes, please provide details of previous audits: Date of Audit Code audited against
Auditing company/organisation
Would you be prepared to share previous audit reports and, improvement/action plans conducted for other customers?
Yes No
Have any previous corrective actions been completed?
Yes No
Please detail outstanding corrective actions and your expected completion date?
Issue found Corrective action
Timescale Person responsible
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GSC
P Re
fere
nce
Self
Ass
essm
ent Q
uesti
onna
ire
GLOBAL SOCIAL COMPLIANCE PROGRAMME_10
INTR
OD
UCTIO
NA
UD
IT REQ
UEST
AU
DIT EX
ECUTIO
NPR
EPAR
ATION
AU
DIT O
UTPU
TSG
LOSSA
RY
APPEN
DICES
RISK A
SSESSMEN
T SYSTEM
APPENDIX 2: GSCP REFERENCE PRE-AUDIT EMPLOYMENT SITE PROFILE
AUDIT PROCESS AND METHODOLOGY REFERENCE TOOLS - OCTOBER 2009
4. SUBCONTRACTING
4.1 Products / Processes Subcontracted OverviewThe pre‐audit employment site profile should detail the following information on the products and/or processes that are subcontracted by the employment site:
4.1 PRODUCTS/PROCESSES SUBCONTRACTED
List any production or processes sub-contracted:
Are any processes sub-contracted to homeworkers?
Yes No If yes, please complete Section 3.4.2
Subcontractor details: please complete the table below for each process subcontracted. Add more tables as required.
Subcontracted Process 1
Process:
Products involved:
No. of subcontracting companies:
Names and ranking by volume of business:
Have you audited these contractors? Yes No
Subcontracted Process 2
Product:
Process:
No. of subcontracting companies:
Names and ranking by volume of business:
Have you audited these contractors? Yes No
Subcontracted Process 3
Product:
Process:
No. of subcontracting companies:
Names and ranking by volume of business:
Have you audited these contractors? Yes No
Appendix 2: G
SCP Reference Pre-Audit Em
ployment Site Profile
Appendix 3: G
SCP Reference Audit Checks
Appendix 4: G
SCP Reference Alert N
otificati
on
Appendix 5: G
SCP Reference Audit Report
Appendix 6: G
SCP Reference Supplementary A
udit Informati
on A
ppendix 7: GSCP Reference Sum
mary of Findings and Correcti
ve Acti
ons
Appendix 1: G
SCP Reference Self Assessm
ent Questi
onnaire
11_GLOBAL SOCIAL COMPLIANCE PROGRAMME
INTR
OD
UCT
ION
AU
DIT
REQ
UES
TA
UD
IT E
XEC
UTI
ON
PR
EPA
RAT
ION
A
UD
IT O
UTP
UTS
GLO
SSA
RY
APP
END
ICES
RIS
K A
SSES
SMEN
T SY
STEM
APPENDIX 2: GSCP REFERENCE PRE-AUDIT EMPLOYMENT SITE PROFILE
AUDIT PROCESS AND METHODOLOGY REFERENCE TOOLS - OCTOBER 2009
4.2 HomeworkingThe following information is required if an employment site has stated that they use homeworkers. This is an essential requirement of the pre‐audit employment site profile, both to understand potential risks and to plan the audit.
4.2 HOMEWORKING
Are any processes undertaken by homeworkers? Yes No
What processes are undertaken by homeworkers?
Names and addresses of any ‘middlemen’ or homeworking contractors used:
Number of homeworkers used:
Location(s) of homeworkers and approximate distance of their homes from the employment site:
Describe how you select homeworkers and or ‘middlemen’ if used?
How are homeworkers paid?Describe how rates are set, how payment is made and detail any middle-men in the process:
Are working conditions monitored?If so, please outline how:
If yes, describe how they are monitored and outline your findings:
Yes No
Do you have written contracts, policies or procedures relating to the conditions of homeworkers?If yes, please provide a copy of all relevant documentation
App
endi
x 2:
GSC
P Re
fere
nce
Pre-
Aud
it E
mpl
oym
ent S
ite
Profi
le
A
ppen
dix
3: G
SCP
Refe
renc
e A
udit
Che
cks
A
ppen
dix
4: G
SCP
Refe
renc
e A
lert
Noti
ficati
on
App
endi
x 5:
GSC
P Re
fere
nce
Aud
it R
epor
t
App
endi
x 6:
GSC
P Re
fere
nce
Supp
lem
enta
ry A
udit
Info
rmati
on
A
ppen
dix
7: G
SCP
Refe
renc
e Su
mm
ary
of F
indi
ngs
and
Corr
ecti
ve A
ction
s
App
endi
x 1:
GSC
P Re
fere
nce
Self
Ass
essm
ent Q
uesti
onna
ire
GLOBAL SOCIAL COMPLIANCE PROGRAMME_01
INTR
OD
UCTIO
NA
UD
IT REQ
UEST
AU
DIT EX
ECUTIO
NPR
EPAR
ATION
AU
DIT O
UTPU
TSG
LOSSA
RY
APPEN
DICES
RISK A
SSESSMEN
T SYSTEM
APPENDIX 3
GSCP Reference Audit Checks
This tool part of the broader set of Reference tools designed to provide a common interpretation of fair labour requirements and their implementation. They will enable buying companies around the world to work towards mutual recognition of audit results.
The GSCP Reference tools are based on the GSCP Reference Code but can be adopted and tailored to other codes of conduct.
Note: The GSCP Reference Code gathers, in a single framework, the main international standards for fair labour conditions and fundamental labour rights. The GSCP Reference Code is not a substitute for existing codes or existing systems but brings together the standards and best practices that could be applied.
The Reference Audit Checks have been designed to provide auditors with the minimum requirements regarding audit methodology and evidence gathering. The audit checks are structured around the eight areas of the GSCP Reference Code and include guidance on:
• documents checks;
• worker interviews;
• management Interviews, Employment site Procedures and Processes;
• physical employment site inspection.
The list of checks should be used as guidance by auditors, and should not limit audit activities.
Appendix 2: G
SCP Reference Pre-Audit Em
ployment Site Profile
Appendix 3: G
SCP Reference Audit Checks
Appendix 4: G
SCP Reference Alert N
otificati
on
Appendix 5: G
SCP Reference Audit Report
Appendix 6: G
SCP Reference Supplementary A
udit Informati
on A
ppendix 7: GSCP Reference Sum
mary of Findings and Correcti
ve Acti
ons
Appendix 1: G
SCP Reference Self Assessm
ent Questi
onnaire
02_GLOBAL SOCIAL COMPLIANCE PROGRAMME
INTR
OD
UCT
ION
AU
DIT
REQ
UES
TA
UD
IT E
XEC
UTI
ON
PR
EPA
RAT
ION
A
UD
IT O
UTP
UTS
GLO
SSA
RY
APP
END
ICES
RIS
K A
SSES
SMEN
T SY
STEM
APPENDIX 3: GSCP REFERENCE AUDIT CHECKS
AUDIT PROCESS AND METHODOLOGY REFERENCE TOOLS - OCTOBER 2009 AU
DIT
CH
ECKS
0. M
anag
emen
t Pro
cess
esEm
ploy
men
t sit
e Re
quir
emen
ts:
1. th
e em
ploy
men
t site
has
cle
arly
defi
ned,
doc
umen
ted
and
supe
rvis
ed p
olic
y an
d pr
oced
ures
for t
he im
plem
enta
tion
and
the
man
agem
ent o
f fai
r lab
our c
ondi
tions
;
2. th
e em
ploy
men
t si
te m
anag
emen
t en
sure
s an
effe
ctive
com
mun
icati
on o
f th
e po
licy
and
proc
edur
es fo
r th
e im
plem
enta
tion
and
the
man
agem
ent
of f
air
labo
ur
cond
ition
s;
3. th
e em
ploy
men
t site
has
a m
etho
d of
ass
essi
ng th
e ri
sk in
term
s of
fair
labo
ur c
ondi
tions
at s
ubco
ntra
ctor
em
ploy
men
t site
s.
The
follo
win
g ch
ecks
are
inte
nded
as
guid
ance
and
sho
uld
not l
imit
aud
it a
ctivi
ties
.
EVID
ENCE
GAT
HER
ING
ON
MA
NA
GEM
ENT
PRO
CESS
ESCO
MM
ENTS
0.1
Doc
umen
t Che
cks
❒ P
olic
ies
and
proc
edur
es fo
r th
e im
plem
enta
tion
and
the
man
agem
ent o
f fai
r la
bour
con
diti
ons
shou
ld m
eet
reco
gnis
ed in
tern
ation
al s
tand
ards
, inc
ludi
ng th
ose
deta
iled
in th
e re
leva
nt c
ode
of c
ondu
ct.
❒ A
mem
ber
of t
he s
enio
r m
anag
emen
t te
am w
ith
resp
onsi
bilit
y fo
r th
e ap
plic
ation
of f
air
labo
ur re
quir
emen
ts
shou
ld h
ave
sign
ed a
nd d
ated
any
pol
icie
s an
d pr
oced
ures
det
ailin
g th
e im
plem
enta
tion
and
the
man
agem
ent
of fa
ir la
bour
con
diti
ons.
❒ T
here
are
fina
ncia
l and
hum
an re
sour
ces
allo
cate
d to
impl
emen
t the
pro
cedu
res.
❒ P
olic
ies
and
proc
edur
es in
clud
e a
clea
r de
finiti
on o
f how
they
app
ly a
nd to
whi
ch p
erso
nnel
at t
he w
orks
ite.
❒ P
olic
ies
and
proc
edur
es a
ssig
n re
spon
sibi
lities
and
tim
esca
les
for
each
sta
ge o
f im
plem
enta
tion
.
❒ P
olic
ies
and
proc
edur
es s
tate
the
empl
oym
ent
site
’s in
tenti
ons
to w
ork
wit
h pa
rtne
rs th
at m
eet i
ts fa
ir la
bour
re
quir
emen
ts, o
r w
ho s
how
com
mit
men
t to
wor
k to
war
ds th
ese
requ
irem
ents
.
❒ P
olic
ies
and
proc
edur
es a
re re
gula
rly
revi
ewed
, in
cons
ulta
tion
wit
h in
tern
al a
nd e
xter
nal s
take
hold
ers,
to e
nsur
e
that
they
mee
t int
erna
tion
al fa
ir la
bour
sta
ndar
ds.
0.2
Wor
ker
Inte
rvie
ws
Dur
ing
wor
ker i
nter
view
s, c
orro
bora
te w
orke
r tes
tim
ony
with
doc
umen
t che
cks
and
man
agem
ent i
nter
view
s. A
sk w
orke
rs:
❒ W
heth
er th
e em
ploy
men
t si
te’s
fair
labo
ur p
olic
ies
and
proc
edur
es h
ave
been
com
mun
icat
ed to
wor
kers
, and
thro
ugh
wha
t mea
ns.
❒ W
heth
er th
e fa
ir la
bour
pol
icie
s an
d pr
oced
ures
are
ava
ilabl
e in
the
lang
uage
of t
he w
orke
rs.
❒ W
heth
er w
orke
rs h
ave
rece
ived
wri
tten
com
mun
icati
ons
or tr
aini
ng o
n th
e fa
ir la
bour
pol
icie
s an
d pr
oced
ures
, an
d if
so, w
hen
this
hap
pene
d.
❒ W
heth
er a
ny w
orke
rs w
ho a
re n
ot a
ble
to re
ad, h
ave
had
the
fair
labo
ur p
olic
ies
and
proc
edur
es c
omm
unic
ated
in
an
alte
rnati
ve m
eans
, and
if s
o, w
hat
thos
e m
eans
wer
e.
0.3
Man
agem
ent I
nter
view
s, E
mpl
oym
ent
site
Pro
cedu
res
and
Proc
esse
s
❒ T
he e
mpl
oym
ent s
ite
take
s al
l rea
sona
ble
step
s to
ext
end
its
know
ledg
e of
the
prov
enan
ce o
f all
prod
ucts
an
d m
ater
ials
pro
duce
d or
sou
rced
. Fo
r exa
mpl
e, th
is c
ould
be
done
thro
ugh
reco
rdin
g th
e co
untr
y/re
gion
of m
anuf
actu
re/p
rodu
ction
, or t
hrou
gh tr
aini
ng
of s
uppl
iers
of r
aw m
ater
ials
, ing
redi
ents
, etc
.
❒ C
heck
whe
ther
the
empl
oym
ent s
ite
has
a lis
t of s
ubco
ntra
ctor
s.
❒ T
he e
mpl
oym
ent s
ite
hold
s co
ntra
cts
and
reco
rds
of a
rran
gem
ents
mad
e w
ith
any
subc
ontr
acto
r(s)
.
❒ M
anag
ers
at s
uppl
ying
sit
es s
houl
d ha
ve c
omm
unic
ated
the
rele
vant
labo
ur s
tand
ard
requ
irem
ents
to th
eir
subc
ontr
acto
rs, a
nd th
at th
ey a
re a
war
e of
the
situ
ation
on
sub-
cont
ract
or s
ites
(for
exa
mpl
e th
roug
h di
scus
sion
s
and
visi
t his
torie
s).
❒ O
vera
ll au
dit
hist
ory
of th
e su
bcon
trac
tor(
s) a
nd re
view
any
non
-com
plia
nces
whi
ch h
ave
been
rais
ed.
Whe
re p
ossi
ble,
the
em
ploy
men
t sit
e sh
ould
hol
d re
cord
s of
aud
its
cond
ucte
d on
any
sub
cont
ract
or.
❒ R
isk
asse
ssm
ents
sho
uld
incl
ude
such
sou
rces
of i
nfor
mati
on a
s pr
ovid
ed b
y Tr
ade
Uni
ons
(loca
l, na
tion
al
and
inte
rnati
onal
), N
GO
s, th
e IL
O, l
ocal
lega
l rec
ords
, etc
.
❒ R
isk
asse
ssm
ents
and
agr
eem
ents
wit
h su
bcon
trac
tors
are
hel
d ce
ntra
lly, a
re re
adily
acc
essi
ble
and
are
regu
larl
y up
date
d.
App
endi
x 2:
GSC
P Re
fere
nce
Pre-
Aud
it E
mpl
oym
ent S
ite
Profi
le
A
ppen
dix
3: G
SCP
Refe
renc
e A
udit
Che
cks
A
ppen
dix
4: G
SCP
Refe
renc
e A
lert
Noti
ficati
on
App
endi
x 5:
GSC
P Re
fere
nce
Aud
it R
epor
t
App
endi
x 6:
GSC
P Re
fere
nce
Supp
lem
enta
ry A
udit
Info
rmati
on
A
ppen
dix
7: G
SCP
Refe
renc
e Su
mm
ary
of F
indi
ngs
and
Corr
ecti
ve A
ction
s
App
endi
x 1:
GSC
P Re
fere
nce
Self
Ass
essm
ent Q
uesti
onna
ire
…
GLOBAL SOCIAL COMPLIANCE PROGRAMME_03
INTR
OD
UCTIO
NA
UD
IT REQ
UEST
AU
DIT EX
ECUTIO
NPR
EPAR
ATION
AU
DIT O
UTPU
TSG
LOSSA
RY
APPEN
DICES
RISK A
SSESSMEN
T SYSTEM
APPENDIX 3: GSCP REFERENCE AUDIT CHECKS
AUDIT PROCESS AND METHODOLOGY REFERENCE TOOLS - OCTOBER 2009
AUD
IT C
HEC
KS
0. M
anag
emen
t Pro
cess
esEm
ploy
men
t sit
e Re
quir
emen
ts:
1. th
e em
ploy
men
t site
has
cle
arly
defi
ned,
doc
umen
ted
and
supe
rvis
ed p
olic
y an
d pr
oced
ures
for t
he im
plem
enta
tion
and
the
man
agem
ent o
f fai
r lab
our c
ondi
tions
;
2. th
e em
ploy
men
t si
te m
anag
emen
t en
sure
s an
effe
ctive
com
mun
icati
on o
f th
e po
licy
and
proc
edur
es fo
r th
e im
plem
enta
tion
and
the
man
agem
ent
of f
air
labo
ur
cond
ition
s;
3. th
e em
ploy
men
t site
has
a m
etho
d of
ass
essi
ng th
e ri
sk in
term
s of
fair
labo
ur c
ondi
tions
at s
ubco
ntra
ctor
em
ploy
men
t site
s.
The
follo
win
g ch
ecks
are
inte
nded
as
guid
ance
and
sho
uld
not l
imit
aud
it a
ctivi
ties
.
EVID
ENCE
GAT
HER
ING
ON
MA
NA
GEM
ENT
PRO
CESS
ESCO
MM
ENTS
0.1
Doc
umen
t Che
cks
❒ P
olic
ies
and
proc
edur
es fo
r th
e im
plem
enta
tion
and
the
man
agem
ent o
f fai
r la
bour
con
diti
ons
shou
ld m
eet
reco
gnis
ed in
tern
ation
al s
tand
ards
, inc
ludi
ng th
ose
deta
iled
in th
e re
leva
nt c
ode
of c
ondu
ct.
❒ A
mem
ber
of t
he s
enio
r m
anag
emen
t te
am w
ith
resp
onsi
bilit
y fo
r th
e ap
plic
ation
of f
air
labo
ur re
quir
emen
ts
shou
ld h
ave
sign
ed a
nd d
ated
any
pol
icie
s an
d pr
oced
ures
det
ailin
g th
e im
plem
enta
tion
and
the
man
agem
ent
of fa
ir la
bour
con
diti
ons.
❒ T
here
are
fina
ncia
l and
hum
an re
sour
ces
allo
cate
d to
impl
emen
t the
pro
cedu
res.
❒ P
olic
ies
and
proc
edur
es in
clud
e a
clea
r de
finiti
on o
f how
they
app
ly a
nd to
whi
ch p
erso
nnel
at t
he w
orks
ite.
❒ P
olic
ies
and
proc
edur
es a
ssig
n re
spon
sibi
lities
and
tim
esca
les
for
each
sta
ge o
f im
plem
enta
tion
.
❒ P
olic
ies
and
proc
edur
es s
tate
the
empl
oym
ent
site
’s in
tenti
ons
to w
ork
wit
h pa
rtne
rs th
at m
eet i
ts fa
ir la
bour
re
quir
emen
ts, o
r w
ho s
how
com
mit
men
t to
wor
k to
war
ds th
ese
requ
irem
ents
.
❒ P
olic
ies
and
proc
edur
es a
re re
gula
rly
revi
ewed
, in
cons
ulta
tion
wit
h in
tern
al a
nd e
xter
nal s
take
hold
ers,
to e
nsur
e
that
they
mee
t int
erna
tion
al fa
ir la
bour
sta
ndar
ds.
0.2
Wor
ker
Inte
rvie
ws
Dur
ing
wor
ker i
nter
view
s, c
orro
bora
te w
orke
r tes
tim
ony
with
doc
umen
t che
cks
and
man
agem
ent i
nter
view
s. A
sk w
orke
rs:
❒ W
heth
er th
e em
ploy
men
t si
te’s
fair
labo
ur p
olic
ies
and
proc
edur
es h
ave
been
com
mun
icat
ed to
wor
kers
, and
thro
ugh
wha
t mea
ns.
❒ W
heth
er th
e fa
ir la
bour
pol
icie
s an
d pr
oced
ures
are
ava
ilabl
e in
the
lang
uage
of t
he w
orke
rs.
❒ W
heth
er w
orke
rs h
ave
rece
ived
wri
tten
com
mun
icati
ons
or tr
aini
ng o
n th
e fa
ir la
bour
pol
icie
s an
d pr
oced
ures
, an
d if
so, w
hen
this
hap
pene
d.
❒ W
heth
er a
ny w
orke
rs w
ho a
re n
ot a
ble
to re
ad, h
ave
had
the
fair
labo
ur p
olic
ies
and
proc
edur
es c
omm
unic
ated
in
an
alte
rnati
ve m
eans
, and
if s
o, w
hat
thos
e m
eans
wer
e.
0.3
Man
agem
ent I
nter
view
s, E
mpl
oym
ent
site
Pro
cedu
res
and
Proc
esse
s
❒ T
he e
mpl
oym
ent s
ite
take
s al
l rea
sona
ble
step
s to
ext
end
its
know
ledg
e of
the
prov
enan
ce o
f all
prod
ucts
an
d m
ater
ials
pro
duce
d or
sou
rced
. Fo
r exa
mpl
e, th
is c
ould
be
done
thro
ugh
reco
rdin
g th
e co
untr
y/re
gion
of m
anuf
actu
re/p
rodu
ction
, or t
hrou
gh tr
aini
ng
of s
uppl
iers
of r
aw m
ater
ials
, ing
redi
ents
, etc
.
❒ C
heck
whe
ther
the
empl
oym
ent s
ite
has
a lis
t of s
ubco
ntra
ctor
s.
❒ T
he e
mpl
oym
ent s
ite
hold
s co
ntra
cts
and
reco
rds
of a
rran
gem
ents
mad
e w
ith
any
subc
ontr
acto
r(s)
.
❒ M
anag
ers
at s
uppl
ying
sit
es s
houl
d ha
ve c
omm
unic
ated
the
rele
vant
labo
ur s
tand
ard
requ
irem
ents
to th
eir
subc
ontr
acto
rs, a
nd th
at th
ey a
re a
war
e of
the
situ
ation
on
sub-
cont
ract
or s
ites
(for
exa
mpl
e th
roug
h di
scus
sion
s
and
visi
t his
torie
s).
❒ O
vera
ll au
dit
hist
ory
of th
e su
bcon
trac
tor(
s) a
nd re
view
any
non
-com
plia
nces
whi
ch h
ave
been
rais
ed.
Whe
re p
ossi
ble,
the
em
ploy
men
t sit
e sh
ould
hol
d re
cord
s of
aud
its
cond
ucte
d on
any
sub
cont
ract
or.
❒ R
isk
asse
ssm
ents
sho
uld
incl
ude
such
sou
rces
of i
nfor
mati
on a
s pr
ovid
ed b
y Tr
ade
Uni
ons
(loca
l, na
tion
al
and
inte
rnati
onal
), N
GO
s, th
e IL
O, l
ocal
lega
l rec
ords
, etc
.
❒ R
isk
asse
ssm
ents
and
agr
eem
ents
wit
h su
bcon
trac
tors
are
hel
d ce
ntra
lly, a
re re
adily
acc
essi
ble
and
are
regu
larl
y up
date
d.
Appendix 2: G
SCP Reference Pre-Audit Em
ployment Site Profile
Appendix 3: G
SCP Reference Audit Checks
Appendix 4: G
SCP Reference Alert N
otificati
on
Appendix 5: G
SCP Reference Audit Report
Appendix 6: G
SCP Reference Supplementary A
udit Informati
on A
ppendix 7: GSCP Reference Sum
mary of Findings and Correcti
ve Acti
ons
Appendix 1: G
SCP Reference Self Assessm
ent Questi
onnaire…
04_GLOBAL SOCIAL COMPLIANCE PROGRAMME
INTR
OD
UCT
ION
AU
DIT
REQ
UES
TA
UD
IT E
XEC
UTI
ON
PR
EPA
RAT
ION
A
UD
IT O
UTP
UTS
GLO
SSA
RY
APP
END
ICES
RIS
K A
SSES
SMEN
T SY
STEM
APPENDIX 3: GSCP REFERENCE AUDIT CHECKS
AUDIT PROCESS AND METHODOLOGY REFERENCE TOOLS - OCTOBER 2009 1.
For
ced,
Bon
ded,
Inde
ntur
ed a
nd P
riso
n La
bour
Empl
oym
ent s
ite
Requ
irem
ents
:
1. a
ll w
ork
is c
ondu
cted
on
a vo
lunt
ary
basi
s, a
nd n
ot u
nder
thre
at o
f any
pen
alty
or
sanc
tion;
2. th
e us
e of
forc
ed o
r co
mpu
lsor
y la
bour
in a
ll its
form
s, in
clud
ing
pris
on la
bour
whe
n no
t in
acco
rdan
ce w
ith IL
O C
onve
ntion
29,
is p
rohi
bite
d;
3. e
mpl
oym
ent s
ites
do n
ot re
ques
t wor
kers
to m
ake
depo
sits
/ fin
anci
al g
uara
ntee
s an
d do
not
reta
in id
entit
y do
cum
ents
;
4. b
onde
d la
bour
is p
rohi
bite
d;
5. in
dent
ured
labo
ur is
pro
hibi
ted.
The
follo
win
g ch
ecks
are
inte
nded
as
guid
ance
and
sho
uld
not l
imit
aud
it a
ctivi
ties
.
EVID
ENCE
GAT
HER
ING
ON
FO
RCE
D, B
ON
DED
, IN
DEN
TUR
E, P
RIS
ON
LA
BO
UR
COM
MEN
TS
1.1
Doc
umen
t Che
cks
1.1.
1 Co
ntra
cts
❒ T
here
is a
pro
cess
in p
lace
for
wor
kers
to g
ive
noti
ce if
they
wis
h to
leav
e em
ploy
men
t.
❒ W
orke
rs c
an v
olun
tari
ly e
nd t
heir
em
ploy
men
t.
❒ W
orke
rs a
re n
ot fi
ned
and/
or d
o no
t lo
se t
heir
resi
denc
y pa
pers
if th
ey le
ave
the
empl
oyer
.
❒ W
orke
rs re
ceiv
e th
eir
final
sal
ary
paym
ent
whe
n th
ey le
ave
empl
oym
ent.
❒ J
ob d
escr
ipti
ons
/ ta
sks
of th
e se
curi
ty g
uard
s do
not
men
tion
rest
ricti
ons
on w
orke
r m
ovem
ents
.
❒ A
ll w
orke
rs (i
nclu
ding
pri
son
labo
urer
s) h
ave
a co
ntra
ct o
f em
ploy
men
t whi
ch d
etai
ls th
eir
righ
ts a
nd o
blig
ation
s,
as w
ell a
s no
tice
per
iods
and
gri
evan
ce p
roce
dure
s.
❒ W
orke
r co
ntra
cts
do n
ot h
ave
any
clau
ses
that
wou
ld e
ffec
tive
ly re
stri
ct th
e ab
ility
of w
orke
rs to
leav
e
thei
r em
ploy
men
t.
❒ L
oans
or
othe
r fin
anci
al a
gree
men
ts b
etw
een
the
wor
ker
and
the
empl
oyer
are
not
incl
uded
in th
e co
ntra
ct
of e
mpl
oym
ent.
1.1.
2 Pe
rson
nel F
iles
❒ M
anag
emen
t re
tain
cop
ies
only
of I
D a
nd r
ight
to w
ork
docu
men
tati
on.
❒ M
anag
emen
t re
turn
s al
l ori
gina
l doc
umen
tati
on to
wor
kers
, wit
hin
a re
ason
able
tim
e, o
nce
it h
as b
een
copi
ed.
Man
agem
ent
shou
ld n
ot re
tain
ori
gina
l doc
umen
tati
on lo
nger
than
is re
quir
ed fo
r th
e pu
rpos
e of
cop
ying
it.
❒ If
em
ploy
ers
mus
t ret
ain
wor
kers
’ ori
gina
l ID
bec
ause
of l
ocal
lega
l req
uire
men
ts, c
heck
that
: •
sign
ed a
nd in
form
ed c
onse
nt le
tter
s fr
om w
orke
rs a
utho
rise
em
ploy
ers
to h
old
thei
r ID
; •
ther
e is
a s
yste
m w
here
by w
orke
rs c
an re
trie
ve th
eir
ID a
t any
tim
e;•
empl
oyer
s in
form
wor
kers
of t
hese
pro
cedu
res.
❒ M
anag
emen
t m
ust h
ave
sign
ed a
gree
men
t bet
wee
n w
orke
r an
d m
anag
emen
t rel
ating
to a
ny lo
ans
mad
e by
the
com
pany
to th
e w
orke
r, sti
pula
ting
repa
ymen
t ter
ms
and
cond
ition
s.
❒ If
the
empl
oyer
mak
es a
ny d
educ
tion
s (in
clud
ing
repa
ymen
t of l
oans
) fro
m w
orke
rs’ p
ay, e
xcep
t man
dato
ry
dedu
ction
s, c
heck
that
:•
dedu
ction
s ar
e le
gally
per
mitt
ed;
• w
orke
rs h
ave
sign
ed a
doc
umen
t setti
ng o
ut th
e am
ount
of t
he d
educ
tion
and
givi
ng th
eir
cons
ent;
• w
orke
rs h
ave
a co
py o
f thi
s do
cum
ent;
• de
ducti
ons
are
reas
onab
le a
nd n
eith
er re
duce
pay
bel
ow le
gal m
inim
um w
age
leve
ls fo
r ho
urs
wor
ked
nor
brea
ch lo
cal
lega
l lim
its;
• no
ded
uctio
ns a
re m
ade
for
disc
iplin
ary
reas
ons;
• no
ded
uctio
ns a
re m
ade
for
esse
ntial
item
s su
ch a
s pr
otec
tive
equi
pmen
t and
/or
cloc
k‐in
car
ds.
❒ If
wor
kers
pay
dep
osit
s or
dep
osit
s ar
e w
ithh
eld
from
sal
arie
s, c
heck
that
:•
depo
sits
are
lega
lly p
erm
itted
;•
wor
kers
hav
e si
gned
a d
ocum
ent s
etting
out
the
amou
nt o
f the
dep
osit,
the
term
s of
its
retu
rn a
nd th
e w
orke
r’s
cons
ent;
• w
orke
rs h
ave
a co
py o
f thi
s do
cum
ent;
• am
ount
s ar
e re
ason
able
and
nei
ther
redu
ce p
ay b
elow
lega
l min
imum
wag
e le
vels
for
hour
s w
orke
d no
r br
each
loca
l le
gal l
imits
;•
ther
e is
evi
denc
e of
dep
osits
bei
ng re
turn
ed to
wor
kers
as
set o
ut in
the
agre
emen
t;•
depo
sits
are
not
a c
ompu
lsor
y co
nditi
on fo
r w
orke
rs to
gai
n em
ploy
men
t.
App
endi
x 2:
GSC
P Re
fere
nce
Pre-
Aud
it E
mpl
oym
ent S
ite
Profi
le
A
ppen
dix
3: G
SCP
Refe
renc
e A
udit
Che
cks
A
ppen
dix
4: G
SCP
Refe
renc
e A
lert
Noti
ficati
on
App
endi
x 5:
GSC
P Re
fere
nce
Aud
it R
epor
t
App
endi
x 6:
GSC
P Re
fere
nce
Supp
lem
enta
ry A
udit
Info
rmati
on
A
ppen
dix
7: G
SCP
Refe
renc
e Su
mm
ary
of F
indi
ngs
and
Corr
ecti
ve A
ction
s
App
endi
x 1:
GSC
P Re
fere
nce
Self
Ass
essm
ent Q
uesti
onna
ire
…
GLOBAL SOCIAL COMPLIANCE PROGRAMME_05
INTR
OD
UCTIO
NA
UD
IT REQ
UEST
AU
DIT EX
ECUTIO
NPR
EPAR
ATION
AU
DIT O
UTPU
TSG
LOSSA
RY
APPEN
DICES
RISK A
SSESSMEN
T SYSTEM
APPENDIX 3: GSCP REFERENCE AUDIT CHECKS
AUDIT PROCESS AND METHODOLOGY REFERENCE TOOLS - OCTOBER 2009
1. F
orce
d, B
onde
d, In
dent
ured
and
Pri
son
Labo
urEm
ploy
men
t sit
e Re
quir
emen
ts:
1. a
ll w
ork
is c
ondu
cted
on
a vo
lunt
ary
basi
s, a
nd n
ot u
nder
thre
at o
f any
pen
alty
or
sanc
tion;
2. th
e us
e of
forc
ed o
r co
mpu
lsor
y la
bour
in a
ll its
form
s, in
clud
ing
pris
on la
bour
whe
n no
t in
acco
rdan
ce w
ith IL
O C
onve
ntion
29,
is p
rohi
bite
d;
3. e
mpl
oym
ent s
ites
do n
ot re
ques
t wor
kers
to m
ake
depo
sits
/ fin
anci
al g
uara
ntee
s an
d do
not
reta
in id
entit
y do
cum
ents
;
4. b
onde
d la
bour
is p
rohi
bite
d;
5. in
dent
ured
labo
ur is
pro
hibi
ted.
The
follo
win
g ch
ecks
are
inte
nded
as
guid
ance
and
sho
uld
not l
imit
aud
it a
ctivi
ties
.
EVID
ENCE
GAT
HER
ING
ON
FO
RCE
D, B
ON
DED
, IN
DEN
TUR
E, P
RIS
ON
LA
BO
UR
COM
MEN
TS
1.1
Doc
umen
t Che
cks
1.1.
1 Co
ntra
cts
❒ T
here
is a
pro
cess
in p
lace
for
wor
kers
to g
ive
noti
ce if
they
wis
h to
leav
e em
ploy
men
t.
❒ W
orke
rs c
an v
olun
tari
ly e
nd t
heir
em
ploy
men
t.
❒ W
orke
rs a
re n
ot fi
ned
and/
or d
o no
t lo
se t
heir
resi
denc
y pa
pers
if th
ey le
ave
the
empl
oyer
.
❒ W
orke
rs re
ceiv
e th
eir
final
sal
ary
paym
ent
whe
n th
ey le
ave
empl
oym
ent.
❒ J
ob d
escr
ipti
ons
/ ta
sks
of th
e se
curi
ty g
uard
s do
not
men
tion
rest
ricti
ons
on w
orke
r m
ovem
ents
.
❒ A
ll w
orke
rs (i
nclu
ding
pri
son
labo
urer
s) h
ave
a co
ntra
ct o
f em
ploy
men
t whi
ch d
etai
ls th
eir
righ
ts a
nd o
blig
ation
s,
as w
ell a
s no
tice
per
iods
and
gri
evan
ce p
roce
dure
s.
❒ W
orke
r co
ntra
cts
do n
ot h
ave
any
clau
ses
that
wou
ld e
ffec
tive
ly re
stri
ct th
e ab
ility
of w
orke
rs to
leav
e
thei
r em
ploy
men
t.
❒ L
oans
or
othe
r fin
anci
al a
gree
men
ts b
etw
een
the
wor
ker
and
the
empl
oyer
are
not
incl
uded
in th
e co
ntra
ct
of e
mpl
oym
ent.
1.1.
2 Pe
rson
nel F
iles
❒ M
anag
emen
t re
tain
cop
ies
only
of I
D a
nd r
ight
to w
ork
docu
men
tati
on.
❒ M
anag
emen
t re
turn
s al
l ori
gina
l doc
umen
tati
on to
wor
kers
, wit
hin
a re
ason
able
tim
e, o
nce
it h
as b
een
copi
ed.
Man
agem
ent
shou
ld n
ot re
tain
ori
gina
l doc
umen
tati
on lo
nger
than
is re
quir
ed fo
r th
e pu
rpos
e of
cop
ying
it.
❒ If
em
ploy
ers
mus
t ret
ain
wor
kers
’ ori
gina
l ID
bec
ause
of l
ocal
lega
l req
uire
men
ts, c
heck
that
: •
sign
ed a
nd in
form
ed c
onse
nt le
tter
s fr
om w
orke
rs a
utho
rise
em
ploy
ers
to h
old
thei
r ID
; •
ther
e is
a s
yste
m w
here
by w
orke
rs c
an re
trie
ve th
eir
ID a
t any
tim
e;•
empl
oyer
s in
form
wor
kers
of t
hese
pro
cedu
res.
❒ M
anag
emen
t m
ust h
ave
sign
ed a
gree
men
t bet
wee
n w
orke
r an
d m
anag
emen
t rel
ating
to a
ny lo
ans
mad
e by
the
com
pany
to th
e w
orke
r, sti
pula
ting
repa
ymen
t ter
ms
and
cond
ition
s.
❒ If
the
empl
oyer
mak
es a
ny d
educ
tion
s (in
clud
ing
repa
ymen
t of l
oans
) fro
m w
orke
rs’ p
ay, e
xcep
t man
dato
ry
dedu
ction
s, c
heck
that
:•
dedu
ction
s ar
e le
gally
per
mitt
ed;
• w
orke
rs h
ave
sign
ed a
doc
umen
t setti
ng o
ut th
e am
ount
of t
he d
educ
tion
and
givi
ng th
eir
cons
ent;
• w
orke
rs h
ave
a co
py o
f thi
s do
cum
ent;
• de
ducti
ons
are
reas
onab
le a
nd n
eith
er re
duce
pay
bel
ow le
gal m
inim
um w
age
leve
ls fo
r ho
urs
wor
ked
nor
brea
ch lo
cal
lega
l lim
its;
• no
ded
uctio
ns a
re m
ade
for
disc
iplin
ary
reas
ons;
• no
ded
uctio
ns a
re m
ade
for
esse
ntial
item
s su
ch a
s pr
otec
tive
equi
pmen
t and
/or
cloc
k‐in
car
ds.
❒ If
wor
kers
pay
dep
osit
s or
dep
osit
s ar
e w
ithh
eld
from
sal
arie
s, c
heck
that
:•
depo
sits
are
lega
lly p
erm
itted
;•
wor
kers
hav
e si
gned
a d
ocum
ent s
etting
out
the
amou
nt o
f the
dep
osit,
the
term
s of
its
retu
rn a
nd th
e w
orke
r’s
cons
ent;
• w
orke
rs h
ave
a co
py o
f thi
s do
cum
ent;
• am
ount
s ar
e re
ason
able
and
nei
ther
redu
ce p
ay b
elow
lega
l min
imum
wag
e le
vels
for
hour
s w
orke
d no
r br
each
loca
l le
gal l
imits
;•
ther
e is
evi
denc
e of
dep
osits
bei
ng re
turn
ed to
wor
kers
as
set o
ut in
the
agre
emen
t;•
depo
sits
are
not
a c
ompu
lsor
y co
nditi
on fo
r w
orke
rs to
gai
n em
ploy
men
t.
…
Appendix 2: G
SCP Reference Pre-Audit Em
ployment Site Profile
Appendix 3: G
SCP Reference Audit Checks
Appendix 4: G
SCP Reference Alert N
otificati
on
Appendix 5: G
SCP Reference Audit Report
Appendix 6: G
SCP Reference Supplementary A
udit Informati
on A
ppendix 7: GSCP Reference Sum
mary of Findings and Correcti
ve Acti
ons
Appendix 1: G
SCP Reference Self Assessm
ent Questi
onnaire…
06_GLOBAL SOCIAL COMPLIANCE PROGRAMME
INTR
OD
UCT
ION
AU
DIT
REQ
UES
TA
UD
IT E
XEC
UTI
ON
PR
EPA
RAT
ION
A
UD
IT O
UTP
UTS
GLO
SSA
RY
APP
END
ICES
RIS
K A
SSES
SMEN
T SY
STEM
APPENDIX 3: GSCP REFERENCE AUDIT CHECKS
AUDIT PROCESS AND METHODOLOGY REFERENCE TOOLS - OCTOBER 2009 1.
2 W
orke
r In
terv
iew
s
Dur
ing
wor
ker i
nter
view
s, c
orro
bora
te w
orke
r tes
tim
ony
with
doc
umen
t che
cks
and
man
agem
ent i
nter
view
s. A
sk w
orke
rs:
❒ W
hat
the
proc
edur
es a
re fo
r gi
ving
noti
ce a
nd le
avin
g th
eir
empl
oym
ent.
❒ W
heth
er th
ere
are
any
rest
ricti
ons
in t
heir
abi
lity
to m
ove
arou
nd o
r le
ave
the
empl
oym
ent s
ite.
❒ W
heth
er th
ey a
re in
pos
sess
ion
of th
eir
iden
tity
doc
umen
ts (o
r, if
the
empl
oyer
mus
t kee
p or
igin
al d
ocum
ents
by
law
, th
at w
orke
rs a
re a
war
e of
the
proc
edur
e fo
r re
trie
ving
doc
umen
ts a
nd th
at th
is p
roce
dure
is o
pera
tion
al)
❒ W
heth
er th
ey a
re c
omfo
rtab
le w
ith
secu
rity
mea
sure
s, w
heth
er th
ey fe
el th
at th
eir
mov
emen
ts a
re u
nrea
sona
bly
rest
rict
ed in
any
way
.
❒ W
heth
er a
ny d
educ
tion
s ar
e m
ade
from
thei
r sa
lari
es, i
f so
whe
ther
they
hav
e ag
reed
the
amou
nt a
nd h
ave
a co
py
of th
eir
agre
emen
t
❒ W
heth
er th
ey h
ave
been
giv
en a
ny lo
ans
by th
e co
mpa
ny m
anag
emen
t, a
nd if
so
whe
ther
they
hav
e ag
reed
the
amou
nt, h
ave
a co
py o
f the
ir a
gree
men
t, a
nd u
nder
stan
d th
e re
paym
ent t
erm
s an
d co
nditi
ons.
❒ W
heth
er a
ny d
epos
its
have
bee
n ta
ken
from
the
wor
kers
, if s
o w
hat t
he d
epos
its
are
for,
and
whe
n th
e de
posi
ts w
ill
be re
paid
and
und
er w
hat c
ircu
mst
ance
s. W
heth
er w
orke
rs h
ave
a co
py o
f the
agr
eem
ent r
elati
ng to
the
depo
sit.
❒ F
or a
ll de
ducti
ons,
loan
s or
dep
osit
s, w
orke
rs:
• ha
ve a
gree
d th
e am
ount
;•
are
awar
e of
the
term
s;•
stat
e th
at th
e am
ount
s ar
e re
ason
able
.
❒ W
heth
er a
ll w
orke
rs, i
nclu
ding
pri
son
labo
urer
s, a
re v
olun
tari
ly e
mpl
oyed
and
can
end
thei
r em
ploy
men
t at a
ny ti
me.
❒ W
heth
er w
orke
rs a
re a
ble
to le
ave
acco
mm
odati
on w
itho
ut le
avin
g th
eir
empl
oym
ent.
1.3
Man
agem
ent I
nter
view
s, E
mpl
oym
ent
site
Pro
cedu
res
and
Proc
esse
s
❒ T
he e
mpl
oym
ent s
ite
is a
war
e of
loca
l law
and
fair
labo
ur c
ondi
tion
s re
gard
ing
the
use
of d
epos
its,
loan
s, d
educ
tion
s,
pris
on la
bour
, and
the
rete
ntion
of I
D p
aper
s.
❒ C
heck
that
a w
orke
r to
who
m lo
ans
have
bee
n m
ade
is n
ot ti
ed to
the
empl
oyer
for
the
dura
tion
of t
he lo
an (t
his
can
incl
ude
proc
edur
es fo
r re
-ass
igni
ng th
e lo
an to
a n
ew e
mpl
oyer
or
for
earl
y re
paym
ent)
.
❒ S
ecur
ity
proc
edur
es d
o no
t unr
easo
nabl
y re
stri
ct th
e fr
ee m
ovem
ent o
f wor
kers
.
❒ M
anag
emen
t do
es n
ot p
erm
it o
r en
cour
age
wor
kers
to in
cur
debt
thro
ugh
recr
uitm
ent f
ees,
fine
s or
oth
er m
eans
, be
fore
dur
ing
or a
fter
em
ploy
men
t.
❒ P
riso
n la
bour
:•
the
rele
vant
doc
umen
tatio
n is
in p
lace
whi
ch a
llow
s /
auth
oris
es th
e us
e of
pri
son
labo
ur o
n th
e em
ploy
men
t site
;•
activ
ities
are
und
er th
e su
perv
isio
n an
d co
ntro
l of t
he p
ublic
aut
hori
ty;
• m
anag
emen
t has
a li
st o
f any
pri
son
labo
urer
s w
ho a
re p
rese
nt o
n th
e em
ploy
men
t site
at a
ny o
ne ti
me;
• pa
y an
d ho
urs
are
in li
ne w
ith le
gal r
egul
ation
s;•
pris
oner
s w
ork
volu
ntar
ily.
1.4
Phys
ical
Em
ploy
men
t sit
e In
spec
tion
❒ F
ire
exit
s, a
ll do
ors
and
win
dow
s ar
e un
lock
ed d
urin
g w
orki
ng h
ours
.
❒ W
orke
rs a
re a
ble
to le
ave
the
empl
oym
ent s
ite
free
ly d
urin
g br
eaks
and
rest
-tim
e.
❒ D
orm
itor
ies
are
secu
re, b
ut w
orke
rs a
re a
ble
to le
ave
them
whe
n th
ey w
ish.
❒ A
ny re
stri
ction
s (e
.g. c
urfe
ws)
are
reas
onab
le.
❒ W
orke
rs a
re n
ot re
stri
cted
from
leav
ing
or m
ovin
g ar
ound
the
empl
oym
ent s
ite.
❒ D
orm
itor
y ac
com
mod
ation
(if p
rovi
ded)
has
indi
vidu
al s
ecur
ed lo
cker
s to
sto
re d
ocum
ents
and
oth
er p
erso
nal
poss
essi
ons.
❒ S
ecur
ity
guar
ds a
re n
ot a
ble
to re
stri
ct t
he fr
ee m
ovem
ent o
f wor
kers
or
thei
r ri
ght t
o le
ave
the
wor
kpla
ce a
t the
end
of
thei
r sh
ift.
❒ S
ecur
ity
guar
ds a
re n
ot th
reat
enin
g to
wor
kers
❒ W
orki
ng c
ondi
tion
s of
pri
son
labo
urer
s ar
e in
line
wit
h le
gal r
egul
ation
s.
…A
ppen
dix
2: G
SCP
Refe
renc
e Pr
e-A
udit
Em
ploy
men
t Sit
e Pr
ofile
App
endi
x 3:
GSC
P Re
fere
nce
Aud
it C
heck
s
App
endi
x 4:
GSC
P Re
fere
nce
Ale
rt N
otific
ation
App
endi
x 5:
GSC
P Re
fere
nce
Aud
it R
epor
t
App
endi
x 6:
GSC
P Re
fere
nce
Supp
lem
enta
ry A
udit
Info
rmati
on
A
ppen
dix
7: G
SCP
Refe
renc
e Su
mm
ary
of F
indi
ngs
and
Corr
ecti
ve A
ction
s
App
endi
x 1:
GSC
P Re
fere
nce
Self
Ass
essm
ent Q
uesti
onna
ire
…
GLOBAL SOCIAL COMPLIANCE PROGRAMME_07
INTR
OD
UCTIO
NA
UD
IT REQ
UEST
AU
DIT EX
ECUTIO
NPR
EPAR
ATION
AU
DIT O
UTPU
TSG
LOSSA
RY
APPEN
DICES
RISK A
SSESSMEN
T SYSTEM
APPENDIX 3: GSCP REFERENCE AUDIT CHECKS
AUDIT PROCESS AND METHODOLOGY REFERENCE TOOLS - OCTOBER 2009
1.2
Wor
ker
Inte
rvie
ws
Dur
ing
wor
ker i
nter
view
s, c
orro
bora
te w
orke
r tes
tim
ony
with
doc
umen
t che
cks
and
man
agem
ent i
nter
view
s. A
sk w
orke
rs:
❒ W
hat
the
proc
edur
es a
re fo
r gi
ving
noti
ce a
nd le
avin
g th
eir
empl
oym
ent.
❒ W
heth
er th
ere
are
any
rest
ricti
ons
in t
heir
abi
lity
to m
ove
arou
nd o
r le
ave
the
empl
oym
ent s
ite.
❒ W
heth
er th
ey a
re in
pos
sess
ion
of th
eir
iden
tity
doc
umen
ts (o
r, if
the
empl
oyer
mus
t kee
p or
igin
al d
ocum
ents
by
law
, th
at w
orke
rs a
re a
war
e of
the
proc
edur
e fo
r re
trie
ving
doc
umen
ts a
nd th
at th
is p
roce
dure
is o
pera
tion
al)
❒ W
heth
er th
ey a
re c
omfo
rtab
le w
ith
secu
rity
mea
sure
s, w
heth
er th
ey fe
el th
at th
eir
mov
emen
ts a
re u
nrea
sona
bly
rest
rict
ed in
any
way
.
❒ W
heth
er a
ny d
educ
tion
s ar
e m
ade
from
thei
r sa
lari
es, i
f so
whe
ther
they
hav
e ag
reed
the
amou
nt a
nd h
ave
a co
py
of th
eir
agre
emen
t
❒ W
heth
er th
ey h
ave
been
giv
en a
ny lo
ans
by th
e co
mpa
ny m
anag
emen
t, a
nd if
so
whe
ther
they
hav
e ag
reed
the
amou
nt, h
ave
a co
py o
f the
ir a
gree
men
t, a
nd u
nder
stan
d th
e re
paym
ent t
erm
s an
d co
nditi
ons.
❒ W
heth
er a
ny d
epos
its
have
bee
n ta
ken
from
the
wor
kers
, if s
o w
hat t
he d
epos
its
are
for,
and
whe
n th
e de
posi
ts w
ill
be re
paid
and
und
er w
hat c
ircu
mst
ance
s. W
heth
er w
orke
rs h
ave
a co
py o
f the
agr
eem
ent r
elati
ng to
the
depo
sit.
❒ F
or a
ll de
ducti
ons,
loan
s or
dep
osit
s, w
orke
rs:
• ha
ve a
gree
d th
e am
ount
;•
are
awar
e of
the
term
s;•
stat
e th
at th
e am
ount
s ar
e re
ason
able
.
❒ W
heth
er a
ll w
orke
rs, i
nclu
ding
pri
son
labo
urer
s, a
re v
olun
tari
ly e
mpl
oyed
and
can
end
thei
r em
ploy
men
t at a
ny ti
me.
❒ W
heth
er w
orke
rs a
re a
ble
to le
ave
acco
mm
odati
on w
itho
ut le
avin
g th
eir
empl
oym
ent.
1.3
Man
agem
ent I
nter
view
s, E
mpl
oym
ent
site
Pro
cedu
res
and
Proc
esse
s
❒ T
he e
mpl
oym
ent s
ite
is a
war
e of
loca
l law
and
fair
labo
ur c
ondi
tion
s re
gard
ing
the
use
of d
epos
its,
loan
s, d
educ
tion
s,
pris
on la
bour
, and
the
rete
ntion
of I
D p
aper
s.
❒ C
heck
that
a w
orke
r to
who
m lo
ans
have
bee
n m
ade
is n
ot ti
ed to
the
empl
oyer
for
the
dura
tion
of t
he lo
an (t
his
can
incl
ude
proc
edur
es fo
r re
-ass
igni
ng th
e lo
an to
a n
ew e
mpl
oyer
or
for
earl
y re
paym
ent)
.
❒ S
ecur
ity
proc
edur
es d
o no
t unr
easo
nabl
y re
stri
ct th
e fr
ee m
ovem
ent o
f wor
kers
.
❒ M
anag
emen
t do
es n
ot p
erm
it o
r en
cour
age
wor
kers
to in
cur
debt
thro
ugh
recr
uitm
ent f
ees,
fine
s or
oth
er m
eans
, be
fore
dur
ing
or a
fter
em
ploy
men
t.
❒ P
riso
n la
bour
:•
the
rele
vant
doc
umen
tatio
n is
in p
lace
whi
ch a
llow
s /
auth
oris
es th
e us
e of
pri
son
labo
ur o
n th
e em
ploy
men
t site
;•
activ
ities
are
und
er th
e su
perv
isio
n an
d co
ntro
l of t
he p
ublic
aut
hori
ty;
• m
anag
emen
t has
a li
st o
f any
pri
son
labo
urer
s w
ho a
re p
rese
nt o
n th
e em
ploy
men
t site
at a
ny o
ne ti
me;
• pa
y an
d ho
urs
are
in li
ne w
ith le
gal r
egul
ation
s;•
pris
oner
s w
ork
volu
ntar
ily.
1.4
Phys
ical
Em
ploy
men
t sit
e In
spec
tion
❒ F
ire
exit
s, a
ll do
ors
and
win
dow
s ar
e un
lock
ed d
urin
g w
orki
ng h
ours
.
❒ W
orke
rs a
re a
ble
to le
ave
the
empl
oym
ent s
ite
free
ly d
urin
g br
eaks
and
rest
-tim
e.
❒ D
orm
itor
ies
are
secu
re, b
ut w
orke
rs a
re a
ble
to le
ave
them
whe
n th
ey w
ish.
❒ A
ny re
stri
ction
s (e
.g. c
urfe
ws)
are
reas
onab
le.
❒ W
orke
rs a
re n
ot re
stri
cted
from
leav
ing
or m
ovin
g ar
ound
the
empl
oym
ent s
ite.
❒ D
orm
itor
y ac
com
mod
ation
(if p
rovi
ded)
has
indi
vidu
al s
ecur
ed lo
cker
s to
sto
re d
ocum
ents
and
oth
er p
erso
nal
poss
essi
ons.
❒ S
ecur
ity
guar
ds a
re n
ot a
ble
to re
stri
ct t
he fr
ee m
ovem
ent o
f wor
kers
or
thei
r ri
ght t
o le
ave
the
wor
kpla
ce a
t the
end
of
thei
r sh
ift.
❒ S
ecur
ity
guar
ds a
re n
ot th
reat
enin
g to
wor
kers
❒ W
orki
ng c
ondi
tion
s of
pri
son
labo
urer
s ar
e in
line
wit
h le
gal r
egul
ation
s.
Appendix 2: G
SCP Reference Pre-Audit Em
ployment Site Profile
Appendix 3: G
SCP Reference Audit Checks
Appendix 4: G
SCP Reference Alert N
otificati
on
Appendix 5: G
SCP Reference Audit Report
Appendix 6: G
SCP Reference Supplementary A
udit Informati
on A
ppendix 7: GSCP Reference Sum
mary of Findings and Correcti
ve Acti
ons
Appendix 1: G
SCP Reference Self Assessm
ent Questi
onnaire…
08_GLOBAL SOCIAL COMPLIANCE PROGRAMME
INTR
OD
UCT
ION
AU
DIT
REQ
UES
TA
UD
IT E
XEC
UTI
ON
PR
EPA
RAT
ION
A
UD
IT O
UTP
UTS
GLO
SSA
RY
APP
END
ICES
RIS
K A
SSES
SMEN
T SY
STEM
APPENDIX 3: GSCP REFERENCE AUDIT CHECKS
AUDIT PROCESS AND METHODOLOGY REFERENCE TOOLS - OCTOBER 2009 2.
Chi
ld L
abou
r an
d Yo
ung
Wor
kers
Empl
oym
ent s
ite
Requ
irem
ents
:
1. n
o ch
ildre
n ar
e em
ploy
ed;
2. s
ensi
tive
and
appr
opri
ate
solu
tions
are
sou
ght i
n ca
se o
f chi
ld la
bour
;
3. s
peci
fic c
ondi
tions
are
app
lied
to p
rote
ct y
oung
wor
kers
.
The
follo
win
g ch
ecks
are
inte
nded
as
guid
ance
and
sho
uld
not l
imit
aud
it a
ctivi
ties
.
NB:
Chi
ld w
orke
rs a
re w
orke
rs u
nder
the
age
of 1
5 or
und
er th
e le
gal m
inim
um w
orki
ng a
ge, w
hich
ever
is h
ighe
r. If
how
ever
, loc
al m
inim
um a
ge la
w is
set
at 1
4 ye
ars
of a
ge in
acc
orda
nce
with
dev
elop
ing
coun
try
exce
ption
s un
der
ILO
Con
venti
on 1
38, t
hen
a ch
ild w
orke
r m
ay b
e co
nsid
ered
to b
e a
wor
ker
belo
w th
e ag
e of
14.
Youn
g w
orke
rs a
re w
orke
rs y
oung
er th
an 1
8 ye
ars
of a
ge, b
ut o
lder
than
the
lega
l min
imum
wor
king
age
.
EVID
ENCE
GAT
HER
ING
ON
CH
ILD
LA
BO
UR
CO
MM
ENTS
2.1
Doc
umen
t Che
cks
2.1.
1 Pe
rson
nel F
iles
❒ T
he e
mpl
oyer
hol
ds a
n in
divi
dual
per
sonn
el re
cord
for
each
wor
ker.
❒ P
erso
nnel
reco
rds
spec
ify t
he d
ate
of b
irth
of e
ach
wor
ker;
the
follo
win
g do
cum
enta
tion
may
be
perm
issi
ble:
• vo
ter
iden
tity
card
s w
ith p
hoto
;•
birt
h ce
rtific
ate;
• no
tary
or
med
ical
cer
tifica
te;
• na
tiona
l / s
ocia
l ins
uran
ce n
umbe
r;•
med
ical
exa
min
ation
pri
or to
em
ploy
men
t;•
ratio
n ca
rds,
etc
.;•
mul
tiple
wri
tten
doc
umen
ts a
nd a
ffida
vits
;•
scho
ol le
avin
g ce
rtific
ate;
• sc
hool
dip
lom
a.
❒ A
ll do
cum
enta
tion
pro
vide
d is
val
id a
nd g
enui
ne.
❒ N
o w
orke
r is
und
er t
he a
ge o
f 15
or u
nder
the
lega
l min
imum
wor
king
age
, whi
chev
er is
hig
her.
If, h
owev
er, l
ocal
m
inim
um a
ge la
w is
set
at 1
4 ye
ars
of a
ge in
acc
orda
nce
wit
h de
velo
ping
cou
ntry
exc
epti
ons
unde
r IL
O C
onve
ntion
13
8, th
is lo
wer
age
may
app
ly.
❒ A
ll yo
ung
wor
kers
on
the
empl
oym
ent s
ite a
re re
gist
ered
with
loca
l aut
hori
ty w
here
requ
ired
by lo
cal l
egal
requ
irem
ents
.
❒ C
heck
if y
oung
wor
kers
hav
e co
nsen
t of
a p
aren
t or
guar
dian
, whe
re re
quir
ed b
y la
w a
nd/o
r w
here
pos
sibl
e.
❒ E
ach
youn
g w
orke
r’s
pers
onne
l file
sho
uld
cont
ain
repo
rts
of m
edic
al e
xam
inati
ons.
❒ C
ontr
acts
and
job
desc
ripti
ons
for
youn
g w
orke
rs s
tate
the
limit
ation
s on
the
natu
re o
f wor
k pe
rmitt
ed.
❒ Y
oung
wor
kers
eng
aged
und
er a
voc
ation
al o
r ot
her
trai
ning
cou
rse
have
info
rmati
on p
erta
inin
g to
that
cou
rse
wit
hin
thei
r pe
rson
nel fi
les.
2.1.
2 Po
licy
Doc
umen
ts
❒ T
he e
mpl
oym
ent s
ite
has
a ro
bust
sys
tem
for
age
veri
ficati
on.
❒ T
he e
mpl
oym
ent s
ite
hold
s do
cum
enta
tion
rega
rdin
g tr
aini
ng a
nd a
ppre
ntice
ship
sch
emes
whe
re a
pplic
able
.
❒ T
he e
mpl
oym
ent s
ite
mai
ntai
ns a
list
of y
oung
wor
kers
and
thei
r ro
les
on-s
ite.
❒ T
he e
mpl
oym
ent s
ite
has
a pr
oced
ure
for
the
rem
edia
tion
of a
ny c
hild
labo
ur fo
und
on th
e em
ploy
men
t sit
e.
❒ T
he re
med
iati
on p
roce
dure
was
dev
elop
ed in
con
junc
tion
wit
h lo
cal p
artn
er o
rgan
isati
ons.
❒ C
hild
labo
ur re
med
iati
on p
olic
ies
and
proc
edur
es a
re in
line
wit
h lo
cal l
egal
regu
lati
ons,
and
est
ablis
hed
inte
rnati
onal
re
quir
emen
ts.
❒ V
erify
the
succ
ess
of a
ny re
med
iati
on p
rogr
amm
es a
nd a
ny s
ubse
quen
t cha
nges
to th
e sy
stem
s at
the
empl
oym
ent s
ite:
• en
sure
that
chi
ldre
n ar
e in
edu
catio
n an
d ar
e su
ppor
ted
by th
e fa
ctor
y or
oth
er s
take
hold
er to
ens
ure
that
they
are
ab
le to
con
tinue
in e
duca
tion
until
they
reac
h th
e le
gal w
orki
ng a
ge. T
he p
rogr
amm
e sh
ould
be
driv
en b
y th
e be
st
inte
rest
s of
the
child
in q
uesti
on.
❒ C
heck
the
risk
ass
essm
ent p
olic
y to
ens
ure
that
you
ng w
orke
rs a
nd th
e ri
sks
asso
ciat
ed w
ith
empl
oyin
g th
em a
re
spec
ifica
lly c
over
ed.
❒ C
heck
that
ther
e is
a p
olic
y re
gard
ing
the
use
of v
ocati
onal
trai
ning
sch
emes
.
❒ C
heck
that
ther
e is
a w
ritt
en a
gree
men
t bet
wee
n th
e sc
hool
and
the
empl
oym
ent s
ite
rega
rdin
g al
l wor
kers
who
are
en
gage
d on
a v
ocati
onal
tra
inin
g pr
ogra
mm
e.
2.1.
3 Su
b‐co
ntra
cting
Doc
umen
ts
❒ T
he e
mpl
oym
ent s
ite
hold
s a
list o
f sub
-con
trac
tors
or
supp
liers
of a
ll pr
oduc
ts a
nd m
ater
ials
.
❒ T
he e
mpl
oym
ent s
ite
has
a w
ritt
en c
ontr
act
wit
h th
e su
b-su
pplie
r w
hich
incl
udes
com
mit
men
ts to
pre
vent
and
pr
ohib
it t
he u
se o
f chi
ld la
bour
.
❒ P
roce
dure
s fo
r th
e pr
ohib
ition
of c
hild
labo
ur a
t sub
-sup
plie
rs e
mpl
oym
ent s
ites
are
in p
lace
, and
are
in li
ne w
ith
loca
l le
gal r
egul
ation
s, a
nd e
stab
lishe
d in
tern
ation
al re
quir
emen
ts.
❒ R
evie
w a
udit
his
tory
of s
ub-s
uppl
iers
em
ploy
men
t sit
es to
gai
n vi
sibi
lity
of c
ondi
tion
s at
sub
-sup
plie
r em
ploy
men
t si
tes.
It is
impo
rtan
t to
ensu
re t
hat t
he e
mpl
oym
ent s
ite
is a
war
e of
thei
r ro
le in
ens
urin
g th
at th
eir
sub-
supp
liers
ar
e co
mm
itted
to th
e pr
ohib
ition
of c
hild
labo
ur, a
nd a
re a
ble
to re
view
thei
r pr
acti
ces.
Che
cks
shou
ld th
eref
ore
be
mad
e to
incr
ease
tra
nspa
renc
y an
d kn
owle
dge
of th
ese
unit
s to
ens
ure
that
sub
-sup
plie
rs a
re a
dher
ing
to c
hild
labo
ur
requ
irem
ents
.
App
endi
x 2:
GSC
P Re
fere
nce
Pre-
Aud
it E
mpl
oym
ent S
ite
Profi
le
A
ppen
dix
3: G
SCP
Refe
renc
e A
udit
Che
cks
A
ppen
dix
4: G
SCP
Refe
renc
e A
lert
Noti
ficati
on
App
endi
x 5:
GSC
P Re
fere
nce
Aud
it R
epor
t
App
endi
x 6:
GSC
P Re
fere
nce
Supp
lem
enta
ry A
udit
Info
rmati
on
A
ppen
dix
7: G
SCP
Refe
renc
e Su
mm
ary
of F
indi
ngs
and
Corr
ecti
ve A
ction
s
App
endi
x 1:
GSC
P Re
fere
nce
Self
Ass
essm
ent Q
uesti
onna
ire
…
GLOBAL SOCIAL COMPLIANCE PROGRAMME_09
INTR
OD
UCTIO
NA
UD
IT REQ
UEST
AU
DIT EX
ECUTIO
NPR
EPAR
ATION
AU
DIT O
UTPU
TSG
LOSSA
RY
APPEN
DICES
RISK A
SSESSMEN
T SYSTEM
APPENDIX 3: GSCP REFERENCE AUDIT CHECKS
AUDIT PROCESS AND METHODOLOGY REFERENCE TOOLS - OCTOBER 2009
2. C
hild
Lab
our
and
Youn
g W
orke
rsEm
ploy
men
t sit
e Re
quir
emen
ts:
1. n
o ch
ildre
n ar
e em
ploy
ed;
2. s
ensi
tive
and
appr
opri
ate
solu
tions
are
sou
ght i
n ca
se o
f chi
ld la
bour
;
3. s
peci
fic c
ondi
tions
are
app
lied
to p
rote
ct y
oung
wor
kers
.
The
follo
win
g ch
ecks
are
inte
nded
as
guid
ance
and
sho
uld
not l
imit
aud
it a
ctivi
ties
.
NB:
Chi
ld w
orke
rs a
re w
orke
rs u
nder
the
age
of 1
5 or
und
er th
e le
gal m
inim
um w
orki
ng a
ge, w
hich
ever
is h
ighe
r. If
how
ever
, loc
al m
inim
um a
ge la
w is
set
at 1
4 ye
ars
of a
ge in
acc
orda
nce
with
dev
elop
ing
coun
try
exce
ption
s un
der
ILO
Con
venti
on 1
38, t
hen
a ch
ild w
orke
r m
ay b
e co
nsid
ered
to b
e a
wor
ker
belo
w th
e ag
e of
14.
Youn
g w
orke
rs a
re w
orke
rs y
oung
er th
an 1
8 ye
ars
of a
ge, b
ut o
lder
than
the
lega
l min
imum
wor
king
age
.
EVID
ENCE
GAT
HER
ING
ON
CH
ILD
LA
BO
UR
CO
MM
ENTS
2.1
Doc
umen
t Che
cks
2.1.
1 Pe
rson
nel F
iles
❒ T
he e
mpl
oyer
hol
ds a
n in
divi
dual
per
sonn
el re
cord
for
each
wor
ker.
❒ P
erso
nnel
reco
rds
spec
ify t
he d
ate
of b
irth
of e
ach
wor
ker;
the
follo
win
g do
cum
enta
tion
may
be
perm
issi
ble:
• vo
ter
iden
tity
card
s w
ith p
hoto
;•
birt
h ce
rtific
ate;
• no
tary
or
med
ical
cer
tifica
te;
• na
tiona
l / s
ocia
l ins
uran
ce n
umbe
r;•
med
ical
exa
min
ation
pri
or to
em
ploy
men
t;•
ratio
n ca
rds,
etc
.;•
mul
tiple
wri
tten
doc
umen
ts a
nd a
ffida
vits
;•
scho
ol le
avin
g ce
rtific
ate;
• sc
hool
dip
lom
a.
❒ A
ll do
cum
enta
tion
pro
vide
d is
val
id a
nd g
enui
ne.
❒ N
o w
orke
r is
und
er t
he a
ge o
f 15
or u
nder
the
lega
l min
imum
wor
king
age
, whi
chev
er is
hig
her.
If, h
owev
er, l
ocal
m
inim
um a
ge la
w is
set
at 1
4 ye
ars
of a
ge in
acc
orda
nce
wit
h de
velo
ping
cou
ntry
exc
epti
ons
unde
r IL
O C
onve
ntion
13
8, th
is lo
wer
age
may
app
ly.
❒ A
ll yo
ung
wor
kers
on
the
empl
oym
ent s
ite a
re re
gist
ered
with
loca
l aut
hori
ty w
here
requ
ired
by lo
cal l
egal
requ
irem
ents
.
❒ C
heck
if y
oung
wor
kers
hav
e co
nsen
t of
a p
aren
t or
guar
dian
, whe
re re
quir
ed b
y la
w a
nd/o
r w
here
pos
sibl
e.
❒ E
ach
youn
g w
orke
r’s
pers
onne
l file
sho
uld
cont
ain
repo
rts
of m
edic
al e
xam
inati
ons.
❒ C
ontr
acts
and
job
desc
ripti
ons
for
youn
g w
orke
rs s
tate
the
limit
ation
s on
the
natu
re o
f wor
k pe
rmitt
ed.
❒ Y
oung
wor
kers
eng
aged
und
er a
voc
ation
al o
r ot
her
trai
ning
cou
rse
have
info
rmati
on p
erta
inin
g to
that
cou
rse
wit
hin
thei
r pe
rson
nel fi
les.
2.1.
2 Po
licy
Doc
umen
ts
❒ T
he e
mpl
oym
ent s
ite
has
a ro
bust
sys
tem
for
age
veri
ficati
on.
❒ T
he e
mpl
oym
ent s
ite
hold
s do
cum
enta
tion
rega
rdin
g tr
aini
ng a
nd a
ppre
ntice
ship
sch
emes
whe
re a
pplic
able
.
❒ T
he e
mpl
oym
ent s
ite
mai
ntai
ns a
list
of y
oung
wor
kers
and
thei
r ro
les
on-s
ite.
❒ T
he e
mpl
oym
ent s
ite
has
a pr
oced
ure
for
the
rem
edia
tion
of a
ny c
hild
labo
ur fo
und
on th
e em
ploy
men
t sit
e.
❒ T
he re
med
iati
on p
roce
dure
was
dev
elop
ed in
con
junc
tion
wit
h lo
cal p
artn
er o
rgan
isati
ons.
❒ C
hild
labo
ur re
med
iati
on p
olic
ies
and
proc
edur
es a
re in
line
wit
h lo
cal l
egal
regu
lati
ons,
and
est
ablis
hed
inte
rnati
onal
re
quir
emen
ts.
❒ V
erify
the
succ
ess
of a
ny re
med
iati
on p
rogr
amm
es a
nd a
ny s
ubse
quen
t cha
nges
to th
e sy
stem
s at
the
empl
oym
ent s
ite:
• en
sure
that
chi
ldre
n ar
e in
edu
catio
n an
d ar
e su
ppor
ted
by th
e fa
ctor
y or
oth
er s
take
hold
er to
ens
ure
that
they
are
ab
le to
con
tinue
in e
duca
tion
until
they
reac
h th
e le
gal w
orki
ng a
ge. T
he p
rogr
amm
e sh
ould
be
driv
en b
y th
e be
st
inte
rest
s of
the
child
in q
uesti
on.
❒ C
heck
the
risk
ass
essm
ent p
olic
y to
ens
ure
that
you
ng w
orke
rs a
nd th
e ri
sks
asso
ciat
ed w
ith
empl
oyin
g th
em a
re
spec
ifica
lly c
over
ed.
❒ C
heck
that
ther
e is
a p
olic
y re
gard
ing
the
use
of v
ocati
onal
trai
ning
sch
emes
.
❒ C
heck
that
ther
e is
a w
ritt
en a
gree
men
t bet
wee
n th
e sc
hool
and
the
empl
oym
ent s
ite
rega
rdin
g al
l wor
kers
who
are
en
gage
d on
a v
ocati
onal
tra
inin
g pr
ogra
mm
e.
2.1.
3 Su
b‐co
ntra
cting
Doc
umen
ts
❒ T
he e
mpl
oym
ent s
ite
hold
s a
list o
f sub
-con
trac
tors
or
supp
liers
of a
ll pr
oduc
ts a
nd m
ater
ials
.
❒ T
he e
mpl
oym
ent s
ite
has
a w
ritt
en c
ontr
act
wit
h th
e su
b-su
pplie
r w
hich
incl
udes
com
mit
men
ts to
pre
vent
and
pr
ohib
it t
he u
se o
f chi
ld la
bour
.
❒ P
roce
dure
s fo
r th
e pr
ohib
ition
of c
hild
labo
ur a
t sub
-sup
plie
rs e
mpl
oym
ent s
ites
are
in p
lace
, and
are
in li
ne w
ith
loca
l le
gal r
egul
ation
s, a
nd e
stab
lishe
d in
tern
ation
al re
quir
emen
ts.
❒ R
evie
w a
udit
his
tory
of s
ub-s
uppl
iers
em
ploy
men
t sit
es to
gai
n vi
sibi
lity
of c
ondi
tion
s at
sub
-sup
plie
r em
ploy
men
t si
tes.
It is
impo
rtan
t to
ensu
re t
hat t
he e
mpl
oym
ent s
ite
is a
war
e of
thei
r ro
le in
ens
urin
g th
at th
eir
sub-
supp
liers
ar
e co
mm
itted
to th
e pr
ohib
ition
of c
hild
labo
ur, a
nd a
re a
ble
to re
view
thei
r pr
acti
ces.
Che
cks
shou
ld th
eref
ore
be
mad
e to
incr
ease
tra
nspa
renc
y an
d kn
owle
dge
of th
ese
unit
s to
ens
ure
that
sub
-sup
plie
rs a
re a
dher
ing
to c
hild
labo
ur
requ
irem
ents
.
…
Appendix 2: G
SCP Reference Pre-Audit Em
ployment Site Profile
Appendix 3: G
SCP Reference Audit Checks
Appendix 4: G
SCP Reference Alert N
otificati
on
Appendix 5: G
SCP Reference Audit Report
Appendix 6: G
SCP Reference Supplementary A
udit Informati
on A
ppendix 7: GSCP Reference Sum
mary of Findings and Correcti
ve Acti
ons
Appendix 1: G
SCP Reference Self Assessm
ent Questi
onnaire…
10_GLOBAL SOCIAL COMPLIANCE PROGRAMME
INTR
OD
UCT
ION
AU
DIT
REQ
UES
TA
UD
IT E
XEC
UTI
ON
PR
EPA
RAT
ION
A
UD
IT O
UTP
UTS
GLO
SSA
RY
APP
END
ICES
RIS
K A
SSES
SMEN
T SY
STEM
APPENDIX 3: GSCP REFERENCE AUDIT CHECKS
AUDIT PROCESS AND METHODOLOGY REFERENCE TOOLS - OCTOBER 2009 2.
2 W
orke
r In
terv
iew
s
Dur
ing
wor
ker
inte
rvie
ws,
cor
robo
rate
wor
ker
testi
mon
y w
ith
docu
men
t che
cks
and
man
agem
ent i
nter
view
s.
Ensu
re th
at y
oung
wor
kers
are
incl
uded
in th
e in
terv
iew
poo
l. A
sk w
orke
rs:
❒ W
heth
er th
ere
are
any
child
ren
wor
king
on
the
empl
oym
ent s
ite.
❒ W
heth
er y
oung
wor
kers
are
eng
aged
on
the
empl
oym
ent s
ite
in h
azar
dous
, nig
ht o
r ov
erti
me
wor
k or
wor
k th
at
wou
ld in
terf
ere
wit
h th
eir
educ
ation
.
❒ W
heth
er y
oung
wor
kers
are
hap
py /
com
fort
able
wit
h th
eir
empl
oym
ent c
ondi
tion
s.
❒ W
heth
er y
oung
wor
kers
’ em
ploy
men
t con
diti
ons
are
in li
ne w
ith
loca
l and
inte
rnati
onal
requ
irem
ents
.
2.3
Man
agem
ent I
nter
view
s, S
ite
Proc
edur
es a
nd P
roce
sses
❒ T
he e
mpl
oym
ent s
ite
shou
ld b
e aw
are
of lo
cal l
aws
rega
rdin
g th
e m
inim
um a
ge o
f em
ploy
men
t and
regu
lati
ons
conc
erni
ng y
oung
wor
kers
.
❒ T
he e
mpl
oym
ent s
ite
shou
ld b
e aw
are
of e
stab
lishe
d in
tern
ation
al re
quir
emen
ts re
gard
ing
the
min
imum
age
of
empl
oym
ent a
nd re
gula
tion
s co
ncer
ning
you
ng w
orke
rs, s
uch
as th
ose
deta
iled
in th
e re
leva
nt c
ode
of c
ondu
ct:
• em
ploy
men
t site
s sh
all n
ot e
mpl
oy a
ny p
erso
n un
der
the
age
of 1
5 or
und
er th
e le
gal m
inim
um w
orki
ng a
ge,
whi
chev
er is
the
high
er. I
f, ho
wev
er, l
ocal
min
imum
age
law
is s
et a
t 14
year
s of
age
in a
ccor
danc
e w
ith d
evel
opin
g co
untr
y ex
cepti
ons
unde
r IL
O C
onve
ntion
138
, thi
s lo
wer
age
may
app
ly.
❒ T
he a
ge v
erifi
cati
on s
yste
ms
at s
ub-s
uppl
ier
empl
oym
ent s
ites
are
robu
st.
❒ C
heck
recr
uitm
ent a
nd d
ism
issa
l rec
ords
to d
eter
min
e w
heth
er a
ny c
hild
ren
or y
oung
wor
kers
hav
e be
en h
ired
or
fired
by
the
empl
oym
ent s
ite
in th
e pa
st 1
2 m
onth
s.
2.3.
1 Ch
ild L
abou
r Re
med
iatio
n
❒ R
evie
w d
ocum
enta
tion
on
the
impl
emen
tati
on o
f pol
icie
s an
d pr
oced
ures
con
cern
ing
the
rem
edia
tion
of c
hild
labo
ur.
❒ D
eter
min
e w
heth
er lo
cal o
rgan
isati
ons
wer
e in
volv
ed in
the
deve
lopm
ent o
f the
pol
icie
s an
d pr
oced
ures
.
❒ C
heck
if lo
cal o
rgan
isati
ons
have
bee
n in
volv
ed in
the
rem
edia
tion
of a
ny c
hild
labo
ur fo
und
on th
e em
ploy
men
t sit
e;
supp
orti
ng th
em o
r pr
ovid
ing
them
wit
h ed
ucati
on /
voc
ation
al tr
aini
ng.
❒ C
heck
whe
ther
ther
e ha
ve b
een
any
rem
edia
tion
pla
ns o
r w
ritt
en s
tate
men
ts w
ithi
n th
e pa
st 1
2 m
onth
s.
❒ E
stab
lish
the
com
mit
men
t of t
he e
mpl
oym
ent s
ite
to e
ngag
e in
a re
med
iati
on p
lan
for
all u
nder
age
wor
kers
.
❒ E
nsur
e th
at th
e em
ploy
men
t sit
e si
gns
a w
ritt
en a
gree
men
t / c
omm
itm
ent f
or th
e re
med
iati
on p
rogr
amm
e re
quir
ed,
whi
ch in
clud
es:
• en
suri
ng th
e ch
ild n
o lo
nger
wor
ks;
• es
tabl
ishi
ng a
met
hod
of k
eepi
ng th
e ch
ild p
rote
cted
and
saf
e w
ithou
t the
m b
eing
at r
isk
or re
quire
d to
wor
k;•
cont
act d
etai
ls o
f the
chi
ld a
nd th
eir
pare
nts;
• pa
ymen
t of a
stip
end;
• id
entifi
catio
n of
edu
catio
n pr
ogra
mm
es fo
r th
e ch
ild.
❒ A
ssig
n or
ask
the
man
agem
ent
to a
ssig
n a
cont
act w
ith
who
m th
e au
dit r
eque
stor
/ a
udit
or /
Civ
il so
ciet
y or
gani
sati
on
can
liais
e re
gard
ing
the
prog
ram
me.
❒ E
nsur
e th
at th
e em
ploy
men
t sit
e ag
rees
to m
eet t
he re
quir
emen
ts o
f ind
ustr
y be
st p
racti
ce in
the
deve
lopm
ent a
nd
man
agem
ent o
f the
rem
edia
tion
pro
gram
me.
2.3.
2 Yo
ung
Wor
kers
❒ M
anag
emen
t ve
rify
fitn
ess
of y
oung
wor
kers
to w
ork
thro
ugh
regu
lar
(at l
east
onc
e pe
r ye
ar) m
edic
al c
heck
-ups
by
a qu
alifi
ed p
hysi
cian
.
❒ R
egis
ters
of y
oung
wor
kers
mus
t:•
be u
p‐to
‐dat
e;•
reco
rd n
ames
, age
s an
d da
tes
of b
irth
;•
indi
cate
the
job
role
s of
you
ng w
orke
rs.
❒ C
heck
whe
ther
the
abili
ty o
f you
ng w
orke
rs to
att
end
scho
ol o
r pe
rfor
m s
choo
l-rel
ated
resp
onsi
biliti
es is
pre
serv
ed.
❒ O
verti
me
wor
k is
pro
hibi
ted
for
youn
g w
orke
rs.
❒ T
he p
rodu
ction
pro
cess
es in
whi
ch y
oung
wor
kers
are
invo
lved
con
form
to lo
cal a
nd in
tern
ation
al re
gula
tion
s.
❒ T
here
is a
min
imum
of 1
2 ho
urs’
nig
ht re
st b
etw
een
shift
s fo
r yo
ung
wor
kers
.
❒ Y
oung
wor
kers
’ hol
iday
s ar
e at
leas
t eq
ual t
o th
ose
of a
dult
s an
d /
or in
line
wit
h lo
cal l
egal
requ
irem
ents
.
❒ S
ocia
l sec
urit
y ap
plie
d to
you
ng w
orke
rs is
equ
al to
that
of a
dult
s.
❒ S
uffici
ent n
ight
rest
is g
iven
to y
oung
wor
kers
.
❒ T
he w
orki
ng c
ondi
tion
s of
you
ng w
orke
rs s
houl
d be
car
eful
ly m
onit
ored
to e
nsur
e th
ey m
eet l
ocal
and
inte
rnati
onal
le
gal r
equi
rem
ents
.
❒ Y
oung
wor
kers
rece
ivin
g vo
cati
onal
ori
enta
tion
or
trai
ning
sho
uld
be a
lloca
ted
to s
uita
ble
task
s (i.
e. n
ot in
con
tact
w
ith
haza
rdou
s ch
emic
als
or o
pera
ting
hea
vy m
achi
nery
) and
to s
uita
ble
shift
s (i.
e. n
ot n
ight
wor
k).
2.4
Phys
ical
Em
ploy
men
t Sit
e In
spec
tion
❒ Y
oung
-look
ing
wor
kers
on-
site
.
❒ A
ccom
mod
ation
on-
site
ded
icat
ed to
chi
ld c
are,
if a
ny, i
s ap
prop
riat
ely
staff
ed, e
quip
ped
and
safe
. The
re s
houl
d be
su
ffici
ent p
rote
ction
and
/or
dist
ance
from
the
wor
kpla
ce to
ens
ure
that
wor
kers
’ chi
ldre
n ca
nnot
ent
er th
e w
orkp
lace
or
be
expo
sed
to a
ny h
azar
ds.
❒ Y
oung
wor
kers
onl
y se
en to
be
wor
king
in lo
w r
isk
role
s an
d ar
eas
whi
ch a
re n
ot h
azar
dous
.
…A
ppen
dix
2: G
SCP
Refe
renc
e Pr
e-A
udit
Em
ploy
men
t Sit
e Pr
ofile
App
endi
x 3:
GSC
P Re
fere
nce
Aud
it C
heck
s
App
endi
x 4:
GSC
P Re
fere
nce
Ale
rt N
otific
ation
App
endi
x 5:
GSC
P Re
fere
nce
Aud
it R
epor
t
App
endi
x 6:
GSC
P Re
fere
nce
Supp
lem
enta
ry A
udit
Info
rmati
on
A
ppen
dix
7: G
SCP
Refe
renc
e Su
mm
ary
of F
indi
ngs
and
Corr
ecti
ve A
ction
s
App
endi
x 1:
GSC
P Re
fere
nce
Self
Ass
essm
ent Q
uesti
onna
ire
…
GLOBAL SOCIAL COMPLIANCE PROGRAMME_11
INTR
OD
UCTIO
NA
UD
IT REQ
UEST
AU
DIT EX
ECUTIO
NPR
EPAR
ATION
AU
DIT O
UTPU
TSG
LOSSA
RY
APPEN
DICES
RISK A
SSESSMEN
T SYSTEM
APPENDIX 3: GSCP REFERENCE AUDIT CHECKS
AUDIT PROCESS AND METHODOLOGY REFERENCE TOOLS - OCTOBER 2009
2.2
Wor
ker
Inte
rvie
ws
Dur
ing
wor
ker
inte
rvie
ws,
cor
robo
rate
wor
ker
testi
mon
y w
ith
docu
men
t che
cks
and
man
agem
ent i
nter
view
s.
Ensu
re th
at y
oung
wor
kers
are
incl
uded
in th
e in
terv
iew
poo
l. A
sk w
orke
rs:
❒ W
heth
er th
ere
are
any
child
ren
wor
king
on
the
empl
oym
ent s
ite.
❒ W
heth
er y
oung
wor
kers
are
eng
aged
on
the
empl
oym
ent s
ite
in h
azar
dous
, nig
ht o
r ov
erti
me
wor
k or
wor
k th
at
wou
ld in
terf
ere
wit
h th
eir
educ
ation
.
❒ W
heth
er y
oung
wor
kers
are
hap
py /
com
fort
able
wit
h th
eir
empl
oym
ent c
ondi
tion
s.
❒ W
heth
er y
oung
wor
kers
’ em
ploy
men
t con
diti
ons
are
in li
ne w
ith
loca
l and
inte
rnati
onal
requ
irem
ents
.
2.3
Man
agem
ent I
nter
view
s, S
ite
Proc
edur
es a
nd P
roce
sses
❒ T
he e
mpl
oym
ent s
ite
shou
ld b
e aw
are
of lo
cal l
aws
rega
rdin
g th
e m
inim
um a
ge o
f em
ploy
men
t and
regu
lati
ons
conc
erni
ng y
oung
wor
kers
.
❒ T
he e
mpl
oym
ent s
ite
shou
ld b
e aw
are
of e
stab
lishe
d in
tern
ation
al re
quir
emen
ts re
gard
ing
the
min
imum
age
of
empl
oym
ent a
nd re
gula
tion
s co
ncer
ning
you
ng w
orke
rs, s
uch
as th
ose
deta
iled
in th
e re
leva
nt c
ode
of c
ondu
ct:
• em
ploy
men
t site
s sh
all n
ot e
mpl
oy a
ny p
erso
n un
der
the
age
of 1
5 or
und
er th
e le
gal m
inim
um w
orki
ng a
ge,
whi
chev
er is
the
high
er. I
f, ho
wev
er, l
ocal
min
imum
age
law
is s
et a
t 14
year
s of
age
in a
ccor
danc
e w
ith d
evel
opin
g co
untr
y ex
cepti
ons
unde
r IL
O C
onve
ntion
138
, thi
s lo
wer
age
may
app
ly.
❒ T
he a
ge v
erifi
cati
on s
yste
ms
at s
ub-s
uppl
ier
empl
oym
ent s
ites
are
robu
st.
❒ C
heck
recr
uitm
ent a
nd d
ism
issa
l rec
ords
to d
eter
min
e w
heth
er a
ny c
hild
ren
or y
oung
wor
kers
hav
e be
en h
ired
or
fired
by
the
empl
oym
ent s
ite
in th
e pa
st 1
2 m
onth
s.
2.3.
1 Ch
ild L
abou
r Re
med
iatio
n
❒ R
evie
w d
ocum
enta
tion
on
the
impl
emen
tati
on o
f pol
icie
s an
d pr
oced
ures
con
cern
ing
the
rem
edia
tion
of c
hild
labo
ur.
❒ D
eter
min
e w
heth
er lo
cal o
rgan
isati
ons
wer
e in
volv
ed in
the
deve
lopm
ent o
f the
pol
icie
s an
d pr
oced
ures
.
❒ C
heck
if lo
cal o
rgan
isati
ons
have
bee
n in
volv
ed in
the
rem
edia
tion
of a
ny c
hild
labo
ur fo
und
on th
e em
ploy
men
t sit
e;
supp
orti
ng th
em o
r pr
ovid
ing
them
wit
h ed
ucati
on /
voc
ation
al tr
aini
ng.
❒ C
heck
whe
ther
ther
e ha
ve b
een
any
rem
edia
tion
pla
ns o
r w
ritt
en s
tate
men
ts w
ithi
n th
e pa
st 1
2 m
onth
s.
❒ E
stab
lish
the
com
mit
men
t of t
he e
mpl
oym
ent s
ite
to e
ngag
e in
a re
med
iati
on p
lan
for
all u
nder
age
wor
kers
.
❒ E
nsur
e th
at th
e em
ploy
men
t sit
e si
gns
a w
ritt
en a
gree
men
t / c
omm
itm
ent f
or th
e re
med
iati
on p
rogr
amm
e re
quir
ed,
whi
ch in
clud
es:
• en
suri
ng th
e ch
ild n
o lo
nger
wor
ks;
• es
tabl
ishi
ng a
met
hod
of k
eepi
ng th
e ch
ild p
rote
cted
and
saf
e w
ithou
t the
m b
eing
at r
isk
or re
quire
d to
wor
k;•
cont
act d
etai
ls o
f the
chi
ld a
nd th
eir
pare
nts;
• pa
ymen
t of a
stip
end;
• id
entifi
catio
n of
edu
catio
n pr
ogra
mm
es fo
r th
e ch
ild.
❒ A
ssig
n or
ask
the
man
agem
ent
to a
ssig
n a
cont
act w
ith
who
m th
e au
dit r
eque
stor
/ a
udit
or /
Civ
il so
ciet
y or
gani
sati
on
can
liais
e re
gard
ing
the
prog
ram
me.
❒ E
nsur
e th
at th
e em
ploy
men
t sit
e ag
rees
to m
eet t
he re
quir
emen
ts o
f ind
ustr
y be
st p
racti
ce in
the
deve
lopm
ent a
nd
man
agem
ent o
f the
rem
edia
tion
pro
gram
me.
2.3.
2 Yo
ung
Wor
kers
❒ M
anag
emen
t ve
rify
fitn
ess
of y
oung
wor
kers
to w
ork
thro
ugh
regu
lar
(at l
east
onc
e pe
r ye
ar) m
edic
al c
heck
-ups
by
a qu
alifi
ed p
hysi
cian
.
❒ R
egis
ters
of y
oung
wor
kers
mus
t:•
be u
p‐to
‐dat
e;•
reco
rd n
ames
, age
s an
d da
tes
of b
irth
;•
indi
cate
the
job
role
s of
you
ng w
orke
rs.
❒ C
heck
whe
ther
the
abili
ty o
f you
ng w
orke
rs to
att
end
scho
ol o
r pe
rfor
m s
choo
l-rel
ated
resp
onsi
biliti
es is
pre
serv
ed.
❒ O
verti
me
wor
k is
pro
hibi
ted
for
youn
g w
orke
rs.
❒ T
he p
rodu
ction
pro
cess
es in
whi
ch y
oung
wor
kers
are
invo
lved
con
form
to lo
cal a
nd in
tern
ation
al re
gula
tion
s.
❒ T
here
is a
min
imum
of 1
2 ho
urs’
nig
ht re
st b
etw
een
shift
s fo
r yo
ung
wor
kers
.
❒ Y
oung
wor
kers
’ hol
iday
s ar
e at
leas
t eq
ual t
o th
ose
of a
dult
s an
d /
or in
line
wit
h lo
cal l
egal
requ
irem
ents
.
❒ S
ocia
l sec
urit
y ap
plie
d to
you
ng w
orke
rs is
equ
al to
that
of a
dult
s.
❒ S
uffici
ent n
ight
rest
is g
iven
to y
oung
wor
kers
.
❒ T
he w
orki
ng c
ondi
tion
s of
you
ng w
orke
rs s
houl
d be
car
eful
ly m
onit
ored
to e
nsur
e th
ey m
eet l
ocal
and
inte
rnati
onal
le
gal r
equi
rem
ents
.
❒ Y
oung
wor
kers
rece
ivin
g vo
cati
onal
ori
enta
tion
or
trai
ning
sho
uld
be a
lloca
ted
to s
uita
ble
task
s (i.
e. n
ot in
con
tact
w
ith
haza
rdou
s ch
emic
als
or o
pera
ting
hea
vy m
achi
nery
) and
to s
uita
ble
shift
s (i.
e. n
ot n
ight
wor
k).
2.4
Phys
ical
Em
ploy
men
t Sit
e In
spec
tion
❒ Y
oung
-look
ing
wor
kers
on-
site
.
❒ A
ccom
mod
ation
on-
site
ded
icat
ed to
chi
ld c
are,
if a
ny, i
s ap
prop
riat
ely
staff
ed, e
quip
ped
and
safe
. The
re s
houl
d be
su
ffici
ent p
rote
ction
and
/or
dist
ance
from
the
wor
kpla
ce to
ens
ure
that
wor
kers
’ chi
ldre
n ca
nnot
ent
er th
e w
orkp
lace
or
be
expo
sed
to a
ny h
azar
ds.
❒ Y
oung
wor
kers
onl
y se
en to
be
wor
king
in lo
w r
isk
role
s an
d ar
eas
whi
ch a
re n
ot h
azar
dous
.
Appendix 2: G
SCP Reference Pre-Audit Em
ployment Site Profile
Appendix 3: G
SCP Reference Audit Checks
Appendix 4: G
SCP Reference Alert N
otificati
on
Appendix 5: G
SCP Reference Audit Report
Appendix 6: G
SCP Reference Supplementary A
udit Informati
on A
ppendix 7: GSCP Reference Sum
mary of Findings and Correcti
ve Acti
ons
Appendix 1: G
SCP Reference Self Assessm
ent Questi
onnaire…
12_GLOBAL SOCIAL COMPLIANCE PROGRAMME
INTR
OD
UCT
ION
AU
DIT
REQ
UES
TA
UD
IT E
XEC
UTI
ON
PR
EPA
RAT
ION
A
UD
IT O
UTP
UTS
GLO
SSA
RY
APP
END
ICES
RIS
K A
SSES
SMEN
T SY
STEM
APPENDIX 3: GSCP REFERENCE AUDIT CHECKS
AUDIT PROCESS AND METHODOLOGY REFERENCE TOOLS - OCTOBER 2009 3.
Fre
edom
of A
ssoc
iati
on a
nd th
e Ri
ght
to C
olle
ctive
Bar
gain
ing
Empl
oym
ent s
ite
Requ
irem
ents
:
1. w
orke
rs h
ave
the
righ
t to
join
or
form
Tra
de U
nion
s an
d to
bar
gain
col
lecti
vely
with
out p
rior
aut
hori
satio
n fr
om e
mpl
oym
ent s
ite m
anag
emen
t;
2. w
hen
need
ed, a
ltern
ative
form
s of
inde
pend
ent a
nd fr
ee w
orke
r re
pres
enta
tion
and
nego
tiatio
n ar
e no
t hin
dere
d;
3. th
ere
is n
o di
scri
min
ation
aga
inst
wor
ker
repr
esen
tativ
es o
r Tr
ade
Uni
on m
embe
rs;
4. w
orke
rs re
pres
enta
tives
are
giv
en a
cces
s to
the
wor
kpla
ce in
ord
er to
car
ry o
ut th
eir
repr
esen
tativ
e fu
nctio
ns.
The
follo
win
g ch
ecks
are
inte
nded
as
guid
ance
and
sho
uld
not l
imit
aud
it a
ctivi
ties
.
EVID
ENCE
GAT
HER
ING
ON
FR
EED
OM
OF
ASS
OCI
ATIO
N A
ND
TH
E R
IGH
T TO
CO
LLEC
TIV
E B
AR
GA
ININ
GCO
MM
ENTS
3.1
Doc
umen
t Che
cks
3.1.
1 Pe
rson
nel F
iles
❒ If
the
empl
oyer
take
s de
ducti
ons
for
unio
n fe
es, e
nsur
e:
• de
ducti
ons
are
lega
lly p
erm
itted
; •
wor
kers
hav
e si
gned
a d
ocum
ent s
etting
out
the
amou
nt o
f the
ded
uctio
n an
d gi
ving
thei
r co
nsen
t;•
wor
kers
hav
e a
copy
of t
his
docu
men
t;•
pays
lips
reco
rd th
e de
ducti
ons;
• de
ducti
ons
are
paid
to th
e un
ion.
❒ P
erso
nnel
file
s of
uni
on re
pres
enta
tive
s co
ntai
n:•
any
disc
iplin
ary
reco
rds
issu
ed b
y m
anag
emen
t;
• ev
iden
ce o
f uni
on m
embe
rs b
eing
dis
mis
sed;
•
any
evid
ence
of d
iffer
entia
l tre
atm
ent.
❒ M
anag
emen
t pa
ys re
pres
enta
tive
s fo
r th
e ti
me
they
spe
nd c
arry
ing
out t
heir
repr
esen
tati
ve fu
ncti
on.
3.1.
2 U
nion
Doc
umen
tatio
n
❒ T
rade
uni
on m
eeti
ng m
inut
es re
cord
any
dis
cuss
ions
and
all
agre
ed a
ction
s an
d th
e re
spon
sibi
lities
and
dea
dlin
es
rela
ting
to th
ese
acti
ons.
❒ C
omm
unic
ation
s fr
om e
mpl
oyer
s re
spon
d to
any
pro
posa
ls o
r co
ncer
ns a
risi
ng fr
om m
eeti
ngs
wit
h Tr
ade
Uni
ons.
❒ L
ook
for
evid
ence
that
uni
ons
are
acti
ve a
t the
em
ploy
men
t sit
e, w
hich
may
incl
ude:
• no
tices
abo
ut jo
inin
g un
ions
; •
mee
ting
repo
rts;
• el
ectio
n re
port
s;•
list o
f uni
on re
pres
enta
tives
and
thei
r fu
nctio
ns;
• st
rike
his
tory
in th
e em
ploy
men
t site
;•
the
unio
n co
nstit
ution
.
❒ C
olle
ctive
bar
gain
ing
agre
emen
ts (i
f in
plac
e) a
re fa
ir a
nd re
ason
able
(rea
d th
e ag
reem
ents
to a
sses
s th
e eff
ecti
vene
ss
of th
e un
ion)
.
3.1.
3 O
ther
For
ms
of W
orke
r Re
pres
enta
tion
❒ If
no
Trad
e U
nion
is a
ctive
at
the
empl
oym
ent s
ite,
man
agem
ent s
houl
d in
stiga
te a
n al
tern
ative
form
of w
orke
r re
pres
enta
tion
(e.g
. inf
orm
al w
orke
rs g
roup
s, c
omm
ittee
s).
❒ A
sses
s th
e eff
ecti
vene
ss o
f wor
ker
repr
esen
tati
on th
roug
h m
eeti
ng m
inut
es, r
epor
ts, a
nd n
otice
s th
at h
ave
been
co
mm
unic
ated
to th
e w
orkf
orce
.
❒ A
ny g
roup
inte
nded
to re
pres
ent w
orke
rs’ v
iew
s sh
ould
be
repr
esen
tati
ve o
f the
wor
kfor
ce, i
ndep
ende
nt
of m
anag
emen
t and
abl
e to
repr
esen
t the
vie
ws
of w
orke
rs e
ffec
tive
ly.
❒ W
orke
rs’ c
omm
ittee
s /
orga
nisa
tion
s m
ust n
ot b
e us
ed to
pre
vent
wor
kers
from
see
king
the
righ
t to
colle
ctive
ly
barg
ain
wit
h th
eir
empl
oyer
s.
3.2
Wor
ker
Inte
rvie
ws
Dur
ing
wor
ker i
nter
view
s, c
orro
bora
te w
orke
r tes
tim
ony
with
doc
umen
t che
cks
and
man
agem
ent i
nter
view
s. A
sk w
orke
rs:
❒ W
heth
er w
orke
rs h
ave
join
ed a
Tra
de U
nion
or
are
awar
e of
a T
rade
Uni
on o
pera
ting
on
the
empl
oym
ent s
ite.
❒ W
heth
er w
orke
rs a
re a
war
e of
thei
r ri
ghts
to o
rgan
ise
and
barg
ain
colle
ctive
ly.
❒ If
they
are
aw
are
of a
ny u
nion
fee
dedu
ction
s.
❒ W
heth
er T
rade
Uni
on m
embe
rs c
an c
ondu
ct th
eir
acti
viti
es w
itho
ut u
nrea
sona
ble
rest
ricti
ons
and/
or in
terf
eren
ce
by th
e em
ploy
men
t si
te o
r m
anag
emen
t.
❒ W
orke
r re
pres
enta
tion
:•
whe
ther
wor
kers
are
aw
are
who
thei
r re
pres
enta
tives
are
; •
if w
orke
rs a
re a
war
e of
the
func
tion
of e
ach
repr
esen
tativ
e an
d ho
w re
pres
enta
tion
wor
ks;
• w
heth
er w
orke
rs a
re a
ble
to e
lect
thei
r re
pres
enta
tives
free
ly;
• w
heth
er w
orke
rs a
re s
atisfi
ed w
ith th
eir r
epre
sent
ative
s an
d fe
el th
at th
e re
pres
enta
tive
func
tion
on‐s
ite is
effe
ctive
.
❒ W
heth
er w
orke
rs c
an h
ave
reas
onab
le ti
me
off to
eng
age
in u
nion
acti
viti
es, a
nd if
this
tim
e is
pai
d (w
here
lega
lly
requ
ired
).
❒ W
heth
er p
olic
ies
and
proc
edur
es h
ave
been
eff
ecti
vely
com
mun
icat
ed to
wor
kers
(wri
tten
pol
icy,
em
ploy
ee
hand
book
, oth
er),
and
if so
in w
hich
lang
uage
s:
• if
som
e w
orke
rs a
re u
nabl
e to
read
, ask
wor
kers
if e
ffort
s ar
e m
ade
to c
omm
unic
ate
polic
ies,
pro
cedu
res,
de
cisi
ons
and
min
utes
to w
orke
rs th
roug
h an
alte
rnati
ve m
etho
d.
App
endi
x 2:
GSC
P Re
fere
nce
Pre-
Aud
it E
mpl
oym
ent S
ite
Profi
le
A
ppen
dix
3: G
SCP
Refe
renc
e A
udit
Che
cks
A
ppen
dix
4: G
SCP
Refe
renc
e A
lert
Noti
ficati
on
App
endi
x 5:
GSC
P Re
fere
nce
Aud
it R
epor
t
App
endi
x 6:
GSC
P Re
fere
nce
Supp
lem
enta
ry A
udit
Info
rmati
on
A
ppen
dix
7: G
SCP
Refe
renc
e Su
mm
ary
of F
indi
ngs
and
Corr
ecti
ve A
ction
s
App
endi
x 1:
GSC
P Re
fere
nce
Self
Ass
essm
ent Q
uesti
onna
ire
…
GLOBAL SOCIAL COMPLIANCE PROGRAMME_13
INTR
OD
UCTIO
NA
UD
IT REQ
UEST
AU
DIT EX
ECUTIO
NPR
EPAR
ATION
AU
DIT O
UTPU
TSG
LOSSA
RY
APPEN
DICES
RISK A
SSESSMEN
T SYSTEM
APPENDIX 3: GSCP REFERENCE AUDIT CHECKS
AUDIT PROCESS AND METHODOLOGY REFERENCE TOOLS - OCTOBER 2009
3. F
reed
om o
f Ass
ocia
tion
and
the
Righ
t to
Col
lecti
ve B
arga
inin
gEm
ploy
men
t sit
e Re
quir
emen
ts:
1. w
orke
rs h
ave
the
righ
t to
join
or
form
Tra
de U
nion
s an
d to
bar
gain
col
lecti
vely
with
out p
rior
aut
hori
satio
n fr
om e
mpl
oym
ent s
ite m
anag
emen
t;
2. w
hen
need
ed, a
ltern
ative
form
s of
inde
pend
ent a
nd fr
ee w
orke
r re
pres
enta
tion
and
nego
tiatio
n ar
e no
t hin
dere
d;
3. th
ere
is n
o di
scri
min
ation
aga
inst
wor
ker
repr
esen
tativ
es o
r Tr
ade
Uni
on m
embe
rs;
4. w
orke
rs re
pres
enta
tives
are
giv
en a
cces
s to
the
wor
kpla
ce in
ord
er to
car
ry o
ut th
eir
repr
esen
tativ
e fu
nctio
ns.
The
follo
win
g ch
ecks
are
inte
nded
as
guid
ance
and
sho
uld
not l
imit
aud
it a
ctivi
ties
.
EVID
ENCE
GAT
HER
ING
ON
FR
EED
OM
OF
ASS
OCI
ATIO
N A
ND
TH
E R
IGH
T TO
CO
LLEC
TIV
E B
AR
GA
ININ
GCO
MM
ENTS
3.1
Doc
umen
t Che
cks
3.1.
1 Pe
rson
nel F
iles
❒ If
the
empl
oyer
take
s de
ducti
ons
for
unio
n fe
es, e
nsur
e:
• de
ducti
ons
are
lega
lly p
erm
itted
; •
wor
kers
hav
e si
gned
a d
ocum
ent s
etting
out
the
amou
nt o
f the
ded
uctio
n an
d gi
ving
thei
r co
nsen
t;•
wor
kers
hav
e a
copy
of t
his
docu
men
t;•
pays
lips
reco
rd th
e de
ducti
ons;
• de
ducti
ons
are
paid
to th
e un
ion.
❒ P
erso
nnel
file
s of
uni
on re
pres
enta
tive
s co
ntai
n:•
any
disc
iplin
ary
reco
rds
issu
ed b
y m
anag
emen
t;
• ev
iden
ce o
f uni
on m
embe
rs b
eing
dis
mis
sed;
•
any
evid
ence
of d
iffer
entia
l tre
atm
ent.
❒ M
anag
emen
t pa
ys re
pres
enta
tive
s fo
r th
e ti
me
they
spe
nd c
arry
ing
out t
heir
repr
esen
tati
ve fu
ncti
on.
3.1.
2 U
nion
Doc
umen
tatio
n
❒ T
rade
uni
on m
eeti
ng m
inut
es re
cord
any
dis
cuss
ions
and
all
agre
ed a
ction
s an
d th
e re
spon
sibi
lities
and
dea
dlin
es
rela
ting
to th
ese
acti
ons.
❒ C
omm
unic
ation
s fr
om e
mpl
oyer
s re
spon
d to
any
pro
posa
ls o
r co
ncer
ns a
risi
ng fr
om m
eeti
ngs
wit
h Tr
ade
Uni
ons.
❒ L
ook
for
evid
ence
that
uni
ons
are
acti
ve a
t the
em
ploy
men
t sit
e, w
hich
may
incl
ude:
• no
tices
abo
ut jo
inin
g un
ions
; •
mee
ting
repo
rts;
• el
ectio
n re
port
s;•
list o
f uni
on re
pres
enta
tives
and
thei
r fu
nctio
ns;
• st
rike
his
tory
in th
e em
ploy
men
t site
;•
the
unio
n co
nstit
ution
.
❒ C
olle
ctive
bar
gain
ing
agre
emen
ts (i
f in
plac
e) a
re fa
ir a
nd re
ason
able
(rea
d th
e ag
reem
ents
to a
sses
s th
e eff
ecti
vene
ss
of th
e un
ion)
.
3.1.
3 O
ther
For
ms
of W
orke
r Re
pres
enta
tion
❒ If
no
Trad
e U
nion
is a
ctive
at
the
empl
oym
ent s
ite,
man
agem
ent s
houl
d in
stiga
te a
n al
tern
ative
form
of w
orke
r re
pres
enta
tion
(e.g
. inf
orm
al w
orke
rs g
roup
s, c
omm
ittee
s).
❒ A
sses
s th
e eff
ecti
vene
ss o
f wor
ker
repr
esen
tati
on th
roug
h m
eeti
ng m
inut
es, r
epor
ts, a
nd n
otice
s th
at h
ave
been
co
mm
unic
ated
to th
e w
orkf
orce
.
❒ A
ny g
roup
inte
nded
to re
pres
ent w
orke
rs’ v
iew
s sh
ould
be
repr
esen
tati
ve o
f the
wor
kfor
ce, i
ndep
ende
nt
of m
anag
emen
t and
abl
e to
repr
esen
t the
vie
ws
of w
orke
rs e
ffec
tive
ly.
❒ W
orke
rs’ c
omm
ittee
s /
orga
nisa
tion
s m
ust n
ot b
e us
ed to
pre
vent
wor
kers
from
see
king
the
righ
t to
colle
ctive
ly
barg
ain
wit
h th
eir
empl
oyer
s.
3.2
Wor
ker
Inte
rvie
ws
Dur
ing
wor
ker i
nter
view
s, c
orro
bora
te w
orke
r tes
tim
ony
with
doc
umen
t che
cks
and
man
agem
ent i
nter
view
s. A
sk w
orke
rs:
❒ W
heth
er w
orke
rs h
ave
join
ed a
Tra
de U
nion
or
are
awar
e of
a T
rade
Uni
on o
pera
ting
on
the
empl
oym
ent s
ite.
❒ W
heth
er w
orke
rs a
re a
war
e of
thei
r ri
ghts
to o
rgan
ise
and
barg
ain
colle
ctive
ly.
❒ If
they
are
aw
are
of a
ny u
nion
fee
dedu
ction
s.
❒ W
heth
er T
rade
Uni
on m
embe
rs c
an c
ondu
ct th
eir
acti
viti
es w
itho
ut u
nrea
sona
ble
rest
ricti
ons
and/
or in
terf
eren
ce
by th
e em
ploy
men
t si
te o
r m
anag
emen
t.
❒ W
orke
r re
pres
enta
tion
:•
whe
ther
wor
kers
are
aw
are
who
thei
r re
pres
enta
tives
are
; •
if w
orke
rs a
re a
war
e of
the
func
tion
of e
ach
repr
esen
tativ
e an
d ho
w re
pres
enta
tion
wor
ks;
• w
heth
er w
orke
rs a
re a
ble
to e
lect
thei
r re
pres
enta
tives
free
ly;
• w
heth
er w
orke
rs a
re s
atisfi
ed w
ith th
eir r
epre
sent
ative
s an
d fe
el th
at th
e re
pres
enta
tive
func
tion
on‐s
ite is
effe
ctive
.
❒ W
heth
er w
orke
rs c
an h
ave
reas
onab
le ti
me
off to
eng
age
in u
nion
acti
viti
es, a
nd if
this
tim
e is
pai
d (w
here
lega
lly
requ
ired
).
❒ W
heth
er p
olic
ies
and
proc
edur
es h
ave
been
eff
ecti
vely
com
mun
icat
ed to
wor
kers
(wri
tten
pol
icy,
em
ploy
ee
hand
book
, oth
er),
and
if so
in w
hich
lang
uage
s:
• if
som
e w
orke
rs a
re u
nabl
e to
read
, ask
wor
kers
if e
ffort
s ar
e m
ade
to c
omm
unic
ate
polic
ies,
pro
cedu
res,
de
cisi
ons
and
min
utes
to w
orke
rs th
roug
h an
alte
rnati
ve m
etho
d.
…
Appendix 2: G
SCP Reference Pre-Audit Em
ployment Site Profile
Appendix 3: G
SCP Reference Audit Checks
Appendix 4: G
SCP Reference Alert N
otificati
on
Appendix 5: G
SCP Reference Audit Report
Appendix 6: G
SCP Reference Supplementary A
udit Informati
on A
ppendix 7: GSCP Reference Sum
mary of Findings and Correcti
ve Acti
ons
Appendix 1: G
SCP Reference Self Assessm
ent Questi
onnaire…
14_GLOBAL SOCIAL COMPLIANCE PROGRAMME
INTR
OD
UCT
ION
AU
DIT
REQ
UES
TA
UD
IT E
XEC
UTI
ON
PR
EPA
RAT
ION
A
UD
IT O
UTP
UTS
GLO
SSA
RY
APP
END
ICES
RIS
K A
SSES
SMEN
T SY
STEM
APPENDIX 3: GSCP REFERENCE AUDIT CHECKS
AUDIT PROCESS AND METHODOLOGY REFERENCE TOOLS - OCTOBER 2009 ❒
Whe
ther
info
rmati
on re
lati
ng to
col
lecti
ve b
arga
inin
g ag
reem
ents
is c
ircu
late
d to
wor
kers
.
❒ W
heth
er h
omew
orke
rs a
re c
over
ed b
y co
llecti
ve b
arga
inin
g ag
reem
ents
and
enj
oy th
e sa
me
righ
ts a
s w
orke
rs
on th
e em
ploy
men
t sit
e.
❒ W
heth
er w
orke
rs a
re a
war
e of
any
alt
erna
tive
form
s of
wor
ker
repr
esen
tati
on (e
.g. i
nfor
mal
wor
kers
gro
ups,
co
mm
ittee
s).
❒ W
heth
er w
orke
rs b
elie
ve th
at a
ny e
xisti
ng c
omm
ittee
s or
cou
ncils
repr
esen
t a g
enui
ne m
eans
by
whi
ch w
orke
rs
can
rais
e th
eir
conc
erns
and
dis
cuss
sol
ution
s w
ith
man
agem
ent.
3.2.
1 U
nion
and
Wor
kers
Rep
rese
ntati
ve In
terv
iew
s
Dur
ing
inte
rvie
ws
wit
h un
ion
and
wor
ker
repr
esen
tati
ves,
cor
robo
rate
thei
r te
stim
ony
wit
h do
cum
ent c
heck
s an
d m
anag
emen
t int
ervi
ews.
Ask
the
m:
❒ If
they
are
free
from
man
agem
ent i
nter
fere
nce
and
are
able
to re
pres
ent w
orke
rs’ v
iew
s in
depe
nden
tly.
❒ H
ow w
orke
rs’ r
epre
sent
ative
s ar
e el
ecte
d by
the
wor
kfor
ce, a
nd w
heth
er th
is p
roce
ss is
free
and
dem
ocra
tic.
❒ W
heth
er w
orke
rs’ r
epre
sent
ative
s fe
el th
at t
heir
role
is e
ffec
tive
at r
epre
senti
ng a
nd p
rom
oting
the
view
s of
wor
kers
.
❒ If
faci
lities
are
pro
vide
d fo
r w
orke
rs’ r
epre
sent
ative
to c
arry
out
thei
r fu
ncti
ons.
❒ W
heth
er re
pres
enta
tive
s ar
e pa
id fo
r th
e ti
me
they
spe
nd c
arry
ing
out t
heir
repr
esen
tati
ve fu
ncti
on.
❒ W
heth
er T
rade
Uni
on n
otice
s ca
n be
pos
ted
on n
otice
boa
rds
on th
e pr
emis
es.
❒ W
heth
er th
ere
is a
ny re
cour
se in
pla
ce fo
r w
orke
rs' r
epre
sent
ative
s w
ho c
onsi
der
that
thei
r em
ploy
men
t has
bee
n un
justi
fiabl
y te
rmin
ated
, or
that
the
y ha
ve b
een
subj
ecte
d un
fair
trea
tmen
t or
an u
nfav
oura
ble
chan
ge in
thei
r co
nditi
ons
of e
mpl
oym
ent.
❒ W
heth
er th
ere
have
bee
n an
y in
stan
ces
whe
re th
e em
ploy
men
t of a
wor
kers
' rep
rese
ntati
ve h
as b
een
term
inat
ed,
that
ther
e w
as a
val
id re
ason
for
this
acti
on.
❒ W
heth
er th
ere
has
been
any
evi
denc
e of
wor
kers
’ rep
rese
ntati
ves
bein
g di
scri
min
ated
aga
inst
, or
faci
ng re
dund
ancy
be
fore
oth
er w
orke
rs.
❒ W
heth
er w
orke
rs’ r
epre
sent
ative
s ar
e ab
le to
con
tact
all
of th
e w
orke
rs th
at a
re w
orki
ng fo
r th
e em
ploy
men
t sit
e,
incl
udin
g ho
mew
orke
rs.
❒ W
heth
er re
pres
enta
tive
s ar
e pr
ovid
ed w
ith
trai
ning
on
how
to n
egoti
ate
effec
tive
ly w
ith
man
agem
ent.
❒ W
heth
er re
pres
enta
tive
s ar
e ab
le to
com
mun
icat
e gr
ieva
nces
to m
anag
emen
t, in
clud
ing
thro
ugh
docu
men
ted
com
mun
icati
on s
yste
ms
for
reso
lvin
g di
sput
es b
etw
een
co-w
orke
rs, s
uper
viso
rs, e
tc.
❒ W
heth
er w
orke
rs’ r
epre
sent
ative
s ar
e ab
le to
neg
otiat
e an
d co
llecti
vely
bar
gain
wit
h m
anag
emen
t. T
his
may
invo
lve
revi
ewin
g do
cum
ents
and
mee
ting
not
es fr
om u
nion
or
com
mitt
ee m
eeti
ngs.
3.3
Man
agem
ent I
nter
view
s, E
mpl
oym
ent
site
Pro
cedu
res
and
Proc
esse
s
❒ M
anag
emen
t is
aw
are
of lo
cal l
aws
/ re
gula
tion
s co
ncer
ning
free
dom
of a
ssoc
iati
on a
nd c
olle
ctive
bar
gain
ing.
❒ M
anag
emen
t is
aw
are
of e
stab
lishe
d in
tern
ation
al re
quir
emen
ts c
once
rnin
g fr
eedo
m o
f ass
ocia
tion
and
col
lecti
ve
barg
aini
ng, s
uch
as th
ose
deta
iled
in th
e re
leva
nt c
ode
of c
ondu
ct.
❒ T
he e
mpl
oym
ent s
ite
has
effec
tive
pol
icie
s an
d pr
ovis
ions
for
the
reco
gniti
on o
f Tra
de U
nion
s.
❒ M
anag
emen
t ha
s a
list o
f rel
evan
t uni
ons
whi
ch a
re e
stab
lishe
d in
the
coun
try
/ re
gion
.
❒ If
man
agem
ent
has
had
any
cont
act /
dea
lings
wit
h an
y Tr
ade
Uni
ons,
and
pre
viou
s de
alin
gs w
ith
any
of th
ese
unio
ns,
and
the
stat
us o
f the
ir u
nion
col
labo
rati
on a
t the
tim
e of
the
asse
ssm
ent.
❒ M
anag
emen
t is
sup
porti
ve o
f wor
ker
repr
esen
tati
ves
and
loca
l uni
ons
and
do n
ot tr
y to
redu
ce th
e eff
ecti
vene
ss
or p
rese
nce
of u
nion
s /
wor
ker
repr
esen
tati
ves
on-s
ite.
❒ In
depe
nden
t thi
rd p
arti
es a
re u
sed
to m
edia
te a
ny d
ispu
tes
over
unf
air t
reat
men
t, in
clud
ing
for w
orke
rs’ r
epre
sent
ative
s.
❒ M
anag
emen
t do
es n
ot p
lace
rest
ricti
ons
on th
e es
tabl
ishm
ent a
nd g
row
th, o
n a
volu
ntar
y ba
sis,
of f
ree,
inde
pend
ent
and
repr
esen
tati
ve w
orke
rs’ o
rgan
isati
ons.
❒ M
anag
emen
t do
es n
ot p
erm
it in
terf
eren
ce w
ith,
obs
truc
tion
or
prev
enti
on o
f Tra
de U
nion
acti
viti
es.
❒ T
rade
uni
on p
olic
ies
and
proc
edur
es a
pply
to h
omew
orke
rs a
s w
ell a
s w
orke
rs o
n-si
te.
❒ U
nion
s ha
ve a
cces
s to
hom
ewor
kers
as
wel
l as
wor
kers
on-
site
.
❒ P
olic
ies
and
proc
edur
es re
gard
ing
wor
ker
repr
esen
tati
on a
re e
ffec
tive
ly c
omm
unic
ated
to a
ll w
orke
rs (w
ritt
en p
olic
y,
empl
oyee
han
dboo
k, o
ther
).
3.4
Phys
ical
Em
ploy
men
t sit
e In
spec
tion
❒ C
heck
for
evid
ence
suc
h as
:•
notic
es a
bout
Tra
de U
nion
s an
d ot
her
form
s of
wor
ker
repr
esen
tatio
n;
• co
mm
unic
ation
s on
noti
ce b
oard
s;•
mee
ting
repo
rts/
min
utes
are
dis
play
ed fo
r al
l wor
kers
to s
ee (i
.e. o
n no
tice
boar
ds) i
n re
leva
nt la
ngua
ges;
• el
ectio
n re
port
s;•
list o
f uni
on re
pres
enta
tives
and
thei
r fu
nctio
ns.
…A
ppen
dix
2: G
SCP
Refe
renc
e Pr
e-A
udit
Em
ploy
men
t Sit
e Pr
ofile
App
endi
x 3:
GSC
P Re
fere
nce
Aud
it C
heck
s
App
endi
x 4:
GSC
P Re
fere
nce
Ale
rt N
otific
ation
App
endi
x 5:
GSC
P Re
fere
nce
Aud
it R
epor
t
App
endi
x 6:
GSC
P Re
fere
nce
Supp
lem
enta
ry A
udit
Info
rmati
on
A
ppen
dix
7: G
SCP
Refe
renc
e Su
mm
ary
of F
indi
ngs
and
Corr
ecti
ve A
ction
s
App
endi
x 1:
GSC
P Re
fere
nce
Self
Ass
essm
ent Q
uesti
onna
ire
…
GLOBAL SOCIAL COMPLIANCE PROGRAMME_15
INTR
OD
UCTIO
NA
UD
IT REQ
UEST
AU
DIT EX
ECUTIO
NPR
EPAR
ATION
AU
DIT O
UTPU
TSG
LOSSA
RY
APPEN
DICES
RISK A
SSESSMEN
T SYSTEM
APPENDIX 3: GSCP REFERENCE AUDIT CHECKS
AUDIT PROCESS AND METHODOLOGY REFERENCE TOOLS - OCTOBER 2009
❒ W
heth
er in
form
ation
rela
ting
to c
olle
ctive
bar
gain
ing
agre
emen
ts is
cir
cula
ted
to w
orke
rs.
❒ W
heth
er h
omew
orke
rs a
re c
over
ed b
y co
llecti
ve b
arga
inin
g ag
reem
ents
and
enj
oy th
e sa
me
righ
ts a
s w
orke
rs
on th
e em
ploy
men
t sit
e.
❒ W
heth
er w
orke
rs a
re a
war
e of
any
alt
erna
tive
form
s of
wor
ker
repr
esen
tati
on (e
.g. i
nfor
mal
wor
kers
gro
ups,
co
mm
ittee
s).
❒ W
heth
er w
orke
rs b
elie
ve th
at a
ny e
xisti
ng c
omm
ittee
s or
cou
ncils
repr
esen
t a g
enui
ne m
eans
by
whi
ch w
orke
rs
can
rais
e th
eir
conc
erns
and
dis
cuss
sol
ution
s w
ith
man
agem
ent.
3.2.
1 U
nion
and
Wor
kers
Rep
rese
ntati
ve In
terv
iew
s
Dur
ing
inte
rvie
ws
wit
h un
ion
and
wor
ker
repr
esen
tati
ves,
cor
robo
rate
thei
r te
stim
ony
wit
h do
cum
ent c
heck
s an
d m
anag
emen
t int
ervi
ews.
Ask
the
m:
❒ If
they
are
free
from
man
agem
ent i
nter
fere
nce
and
are
able
to re
pres
ent w
orke
rs’ v
iew
s in
depe
nden
tly.
❒ H
ow w
orke
rs’ r
epre
sent
ative
s ar
e el
ecte
d by
the
wor
kfor
ce, a
nd w
heth
er th
is p
roce
ss is
free
and
dem
ocra
tic.
❒ W
heth
er w
orke
rs’ r
epre
sent
ative
s fe
el th
at t
heir
role
is e
ffec
tive
at r
epre
senti
ng a
nd p
rom
oting
the
view
s of
wor
kers
.
❒ If
faci
lities
are
pro
vide
d fo
r w
orke
rs’ r
epre
sent
ative
to c
arry
out
thei
r fu
ncti
ons.
❒ W
heth
er re
pres
enta
tive
s ar
e pa
id fo
r th
e ti
me
they
spe
nd c
arry
ing
out t
heir
repr
esen
tati
ve fu
ncti
on.
❒ W
heth
er T
rade
Uni
on n
otice
s ca
n be
pos
ted
on n
otice
boa
rds
on th
e pr
emis
es.
❒ W
heth
er th
ere
is a
ny re
cour
se in
pla
ce fo
r w
orke
rs' r
epre
sent
ative
s w
ho c
onsi
der
that
thei
r em
ploy
men
t has
bee
n un
justi
fiabl
y te
rmin
ated
, or
that
the
y ha
ve b
een
subj
ecte
d un
fair
trea
tmen
t or
an u
nfav
oura
ble
chan
ge in
thei
r co
nditi
ons
of e
mpl
oym
ent.
❒ W
heth
er th
ere
have
bee
n an
y in
stan
ces
whe
re th
e em
ploy
men
t of a
wor
kers
' rep
rese
ntati
ve h
as b
een
term
inat
ed,
that
ther
e w
as a
val
id re
ason
for
this
acti
on.
❒ W
heth
er th
ere
has
been
any
evi
denc
e of
wor
kers
’ rep
rese
ntati
ves
bein
g di
scri
min
ated
aga
inst
, or
faci
ng re
dund
ancy
be
fore
oth
er w
orke
rs.
❒ W
heth
er w
orke
rs’ r
epre
sent
ative
s ar
e ab
le to
con
tact
all
of th
e w
orke
rs th
at a
re w
orki
ng fo
r th
e em
ploy
men
t sit
e,
incl
udin
g ho
mew
orke
rs.
❒ W
heth
er re
pres
enta
tive
s ar
e pr
ovid
ed w
ith
trai
ning
on
how
to n
egoti
ate
effec
tive
ly w
ith
man
agem
ent.
❒ W
heth
er re
pres
enta
tive
s ar
e ab
le to
com
mun
icat
e gr
ieva
nces
to m
anag
emen
t, in
clud
ing
thro
ugh
docu
men
ted
com
mun
icati
on s
yste
ms
for
reso
lvin
g di
sput
es b
etw
een
co-w
orke
rs, s
uper
viso
rs, e
tc.
❒ W
heth
er w
orke
rs’ r
epre
sent
ative
s ar
e ab
le to
neg
otiat
e an
d co
llecti
vely
bar
gain
wit
h m
anag
emen
t. T
his
may
invo
lve
revi
ewin
g do
cum
ents
and
mee
ting
not
es fr
om u
nion
or
com
mitt
ee m
eeti
ngs.
3.3
Man
agem
ent I
nter
view
s, E
mpl
oym
ent
site
Pro
cedu
res
and
Proc
esse
s
❒ M
anag
emen
t is
aw
are
of lo
cal l
aws
/ re
gula
tion
s co
ncer
ning
free
dom
of a
ssoc
iati
on a
nd c
olle
ctive
bar
gain
ing.
❒ M
anag
emen
t is
aw
are
of e
stab
lishe
d in
tern
ation
al re
quir
emen
ts c
once
rnin
g fr
eedo
m o
f ass
ocia
tion
and
col
lecti
ve
barg
aini
ng, s
uch
as th
ose
deta
iled
in th
e re
leva
nt c
ode
of c
ondu
ct.
❒ T
he e
mpl
oym
ent s
ite
has
effec
tive
pol
icie
s an
d pr
ovis
ions
for
the
reco
gniti
on o
f Tra
de U
nion
s.
❒ M
anag
emen
t ha
s a
list o
f rel
evan
t uni
ons
whi
ch a
re e
stab
lishe
d in
the
coun
try
/ re
gion
.
❒ If
man
agem
ent
has
had
any
cont
act /
dea
lings
wit
h an
y Tr
ade
Uni
ons,
and
pre
viou
s de
alin
gs w
ith
any
of th
ese
unio
ns,
and
the
stat
us o
f the
ir u
nion
col
labo
rati
on a
t the
tim
e of
the
asse
ssm
ent.
❒ M
anag
emen
t is
sup
porti
ve o
f wor
ker
repr
esen
tati
ves
and
loca
l uni
ons
and
do n
ot tr
y to
redu
ce th
e eff
ecti
vene
ss
or p
rese
nce
of u
nion
s /
wor
ker
repr
esen
tati
ves
on-s
ite.
❒ In
depe
nden
t thi
rd p
arti
es a
re u
sed
to m
edia
te a
ny d
ispu
tes
over
unf
air t
reat
men
t, in
clud
ing
for w
orke
rs’ r
epre
sent
ative
s.
❒ M
anag
emen
t do
es n
ot p
lace
rest
ricti
ons
on th
e es
tabl
ishm
ent a
nd g
row
th, o
n a
volu
ntar
y ba
sis,
of f
ree,
inde
pend
ent
and
repr
esen
tati
ve w
orke
rs’ o
rgan
isati
ons.
❒ M
anag
emen
t do
es n
ot p
erm
it in
terf
eren
ce w
ith,
obs
truc
tion
or
prev
enti
on o
f Tra
de U
nion
acti
viti
es.
❒ T
rade
uni
on p
olic
ies
and
proc
edur
es a
pply
to h
omew
orke
rs a
s w
ell a
s w
orke
rs o
n-si
te.
❒ U
nion
s ha
ve a
cces
s to
hom
ewor
kers
as
wel
l as
wor
kers
on-
site
.
❒ P
olic
ies
and
proc
edur
es re
gard
ing
wor
ker
repr
esen
tati
on a
re e
ffec
tive
ly c
omm
unic
ated
to a
ll w
orke
rs (w
ritt
en p
olic
y,
empl
oyee
han
dboo
k, o
ther
).
3.4
Phys
ical
Em
ploy
men
t sit
e In
spec
tion
❒ C
heck
for
evid
ence
suc
h as
:•
notic
es a
bout
Tra
de U
nion
s an
d ot
her
form
s of
wor
ker
repr
esen
tatio
n;
• co
mm
unic
ation
s on
noti
ce b
oard
s;•
mee
ting
repo
rts/
min
utes
are
dis
play
ed fo
r al
l wor
kers
to s
ee (i
.e. o
n no
tice
boar
ds) i
n re
leva
nt la
ngua
ges;
• el
ectio
n re
port
s;•
list o
f uni
on re
pres
enta
tives
and
thei
r fu
nctio
ns.
Appendix 2: G
SCP Reference Pre-Audit Em
ployment Site Profile
Appendix 3: G
SCP Reference Audit Checks
Appendix 4: G
SCP Reference Alert N
otificati
on
Appendix 5: G
SCP Reference Audit Report
Appendix 6: G
SCP Reference Supplementary A
udit Informati
on A
ppendix 7: GSCP Reference Sum
mary of Findings and Correcti
ve Acti
ons
Appendix 1: G
SCP Reference Self Assessm
ent Questi
onnaire…
16_GLOBAL SOCIAL COMPLIANCE PROGRAMME
INTR
OD
UCT
ION
AU
DIT
REQ
UES
TA
UD
IT E
XEC
UTI
ON
PR
EPA
RAT
ION
A
UD
IT O
UTP
UTS
GLO
SSA
RY
APP
END
ICES
RIS
K A
SSES
SMEN
T SY
STEM
APPENDIX 3: GSCP REFERENCE AUDIT CHECKS
AUDIT PROCESS AND METHODOLOGY REFERENCE TOOLS - OCTOBER 2009 4.
Dis
crim
inati
on, H
aras
smen
t and
Abu
seEm
ploy
men
t sit
e Re
quir
emen
ts:
1. e
qual
opp
ortu
nitie
s ar
e th
orou
ghly
resp
ecte
d;
2. th
ere
is n
o di
scri
min
ation
in a
ny fo
rm a
nd w
orke
rs a
re tr
eate
d w
ith re
spec
t and
dig
nity
;
3. a
ll re
crui
tmen
t and
pro
moti
onal
acti
vitie
s ar
e de
term
ined
by
abili
ty to
do
the
job;
4. n
o bu
llyin
g, h
aras
smen
t or
abus
e of
any
kin
d ex
ists
;
5. d
isci
plin
ary
proc
edur
es a
re a
vaila
ble,
com
preh
ensi
ble,
pub
licis
ed a
nd re
cord
ed.
The
follo
win
g ch
ecks
are
inte
nded
as
guid
ance
and
sho
uld
not l
imit
aud
it a
ctivi
ties
.
EVID
ENCE
GAT
HER
ING
ON
DIS
CRIM
INAT
ION
, HA
RA
SSM
ENT
AN
D A
BU
SECO
MM
ENTS
4.1
Doc
umen
t Che
cks
4.1.
1 Pa
yrol
l Rec
ords
❒ T
here
is n
o pa
y in
equa
lity
base
d on
unf
air
or u
nlaw
ful d
iscr
imin
ation
.
❒ A
ll w
orke
rs re
ceiv
e th
e be
nefit
s an
d ot
her
rew
ards
to w
hich
they
are
enti
tled
.
❒ N
o de
ducti
ons
are
mad
e fo
r di
scip
linar
y re
ason
s.
4.1.
2 Pe
rson
nel R
ecor
ds
❒ W
orke
rs re
cord
s’ in
clud
e:•
trai
ning
Rec
ords
;•
empl
oym
ent c
ontr
act o
r le
tter
s of
eng
agem
ent;
•
atten
danc
e re
cord
s;
• te
rmin
ation
reco
rds;
• re
cord
s of
dis
cipl
inar
y ac
tion
and
grie
vanc
es.
❒ M
anag
emen
t re
tain
s w
orke
rs’ s
igne
d an
d da
ted
trai
ning
reco
rds
of:
• di
scri
min
ation
pol
icy;
• fa
ir tr
eatm
ent p
olic
y;•
disc
iplin
ary
and
grie
vanc
e pr
oced
ures
;•
equa
l opp
ortu
nitie
s po
licy;
• eq
ualit
y of
trea
tmen
ts p
olic
y;•
trea
tmen
t of w
orke
rs;
• se
curi
ty p
roce
dure
s.
❒ In
terv
iew
not
es a
nd a
pplic
ation
form
s do
not
indi
cate
dis
crim
inati
on in
hir
ing
wor
kers
pra
ctice
s (e
.g. f
emal
e w
orke
rs
aske
d if
they
are
like
ly to
mar
ry /
hav
e a
fam
ily, o
lder
peo
ple
turn
ed a
way
, rel
ative
ly lo
w p
ropo
rtion
of m
igra
nt o
r pa
rticu
lar
nati
onal
ity
of w
orke
rs).
❒ W
orke
rs’ c
ontr
acts
of e
mpl
oym
ent c
onfir
m t
hat a
ll w
orke
rs in
the
sam
e ro
les
are
enga
ged
unde
r th
e sa
me
term
s
and
cond
ition
s.
❒ P
regn
ant W
orke
rs. C
heck
per
sonn
el re
cord
s fo
r:•
mat
erni
ty le
ave
reco
rds;
• ca
ses
of w
orke
rs re
turn
ing
to th
eir
job
after
mat
erni
ty le
ave;
• ev
iden
ce th
at p
ost‐
nata
l ben
efits
are
pro
vide
d;•
evid
ence
of o
ther
mat
erni
ty o
r pa
rent
al b
enefi
ts b
eing
pro
vide
d to
wor
kers
; •
evid
ence
of p
ater
nity
leav
e an
d be
nefit
s be
ing
prov
ided
to m
ale
wor
kers
whe
re re
quire
d by
law
; •
case
s of
wor
kers
bei
ng m
oved
from
haz
ardo
us w
ork
whi
lst p
regn
ant o
r br
eastf
eedi
ng.
4.1.
3 Po
licy
Doc
umen
ts
❒ T
here
are
pol
icy
docu
men
ts in
pla
ce c
over
ing
the
follo
win
g:•
recr
uitm
ent &
em
ploy
men
t;•
com
pens
ation
; •
acce
ss to
trai
ning
; •
prom
otion
; •
term
inati
on a
nd re
tirem
ent;
•
equa
l opp
ortu
nitie
s;
• di
scri
min
ation
;•
heal
th &
saf
ety;
•
phys
ical
abu
se a
nd d
isci
plin
e;•
sexu
al o
r ot
her
hara
ssm
ent;
• ab
usiv
e to
ne o
r la
ngua
ge;
• ot
her
form
s of
intim
idati
on;
• pe
riod
s of
noti
ce b
efor
e te
rmin
ation
.
❒ F
ull e
xpla
nati
ons
of a
ll po
licie
s ar
e av
aila
ble
to a
ll w
orke
rs in
rele
vant
lang
uage
(s).
Whe
re li
tera
cy is
an
issu
e, p
olic
ies
shou
ld b
e co
mm
unic
ated
by
othe
r m
eans
to e
nsur
e th
at w
orke
rs a
re a
war
e of
them
. Ref
eren
ce s
houl
d be
mad
e to
ap
prop
riat
e po
licie
s w
ithi
n a
wor
ker’
s co
ntra
ct o
f em
ploy
men
t.
App
endi
x 2:
GSC
P Re
fere
nce
Pre-
Aud
it E
mpl
oym
ent S
ite
Profi
le
A
ppen
dix
3: G
SCP
Refe
renc
e A
udit
Che
cks
A
ppen
dix
4: G
SCP
Refe
renc
e A
lert
Noti
ficati
on
App
endi
x 5:
GSC
P Re
fere
nce
Aud
it R
epor
t
App
endi
x 6:
GSC
P Re
fere
nce
Supp
lem
enta
ry A
udit
Info
rmati
on
A
ppen
dix
7: G
SCP
Refe
renc
e Su
mm
ary
of F
indi
ngs
and
Corr
ecti
ve A
ction
s
App
endi
x 1:
GSC
P Re
fere
nce
Self
Ass
essm
ent Q
uesti
onna
ire
…
GLOBAL SOCIAL COMPLIANCE PROGRAMME_17
INTR
OD
UCTIO
NA
UD
IT REQ
UEST
AU
DIT EX
ECUTIO
NPR
EPAR
ATION
AU
DIT O
UTPU
TSG
LOSSA
RY
APPEN
DICES
RISK A
SSESSMEN
T SYSTEM
APPENDIX 3: GSCP REFERENCE AUDIT CHECKS
AUDIT PROCESS AND METHODOLOGY REFERENCE TOOLS - OCTOBER 2009
4. D
iscr
imin
ation
, Har
assm
ent a
nd A
buse
Empl
oym
ent s
ite
Requ
irem
ents
:
1. e
qual
opp
ortu
nitie
s ar
e th
orou
ghly
resp
ecte
d;
2. th
ere
is n
o di
scri
min
ation
in a
ny fo
rm a
nd w
orke
rs a
re tr
eate
d w
ith re
spec
t and
dig
nity
;
3. a
ll re
crui
tmen
t and
pro
moti
onal
acti
vitie
s ar
e de
term
ined
by
abili
ty to
do
the
job;
4. n
o bu
llyin
g, h
aras
smen
t or
abus
e of
any
kin
d ex
ists
;
5. d
isci
plin
ary
proc
edur
es a
re a
vaila
ble,
com
preh
ensi
ble,
pub
licis
ed a
nd re
cord
ed.
The
follo
win
g ch
ecks
are
inte
nded
as
guid
ance
and
sho
uld
not l
imit
aud
it a
ctivi
ties
.
EVID
ENCE
GAT
HER
ING
ON
DIS
CRIM
INAT
ION
, HA
RA
SSM
ENT
AN
D A
BU
SECO
MM
ENTS
4.1
Doc
umen
t Che
cks
4.1.
1 Pa
yrol
l Rec
ords
❒ T
here
is n
o pa
y in
equa
lity
base
d on
unf
air
or u
nlaw
ful d
iscr
imin
ation
.
❒ A
ll w
orke
rs re
ceiv
e th
e be
nefit
s an
d ot
her
rew
ards
to w
hich
they
are
enti
tled
.
❒ N
o de
ducti
ons
are
mad
e fo
r di
scip
linar
y re
ason
s.
4.1.
2 Pe
rson
nel R
ecor
ds
❒ W
orke
rs re
cord
s’ in
clud
e:•
trai
ning
Rec
ords
;•
empl
oym
ent c
ontr
act o
r le
tter
s of
eng
agem
ent;
•
atten
danc
e re
cord
s;
• te
rmin
ation
reco
rds;
• re
cord
s of
dis
cipl
inar
y ac
tion
and
grie
vanc
es.
❒ M
anag
emen
t re
tain
s w
orke
rs’ s
igne
d an
d da
ted
trai
ning
reco
rds
of:
• di
scri
min
ation
pol
icy;
• fa
ir tr
eatm
ent p
olic
y;•
disc
iplin
ary
and
grie
vanc
e pr
oced
ures
;•
equa
l opp
ortu
nitie
s po
licy;
• eq
ualit
y of
trea
tmen
ts p
olic
y;•
trea
tmen
t of w
orke
rs;
• se
curi
ty p
roce
dure
s.
❒ In
terv
iew
not
es a
nd a
pplic
ation
form
s do
not
indi
cate
dis
crim
inati
on in
hir
ing
wor
kers
pra
ctice
s (e
.g. f
emal
e w
orke
rs
aske
d if
they
are
like
ly to
mar
ry /
hav
e a
fam
ily, o
lder
peo
ple
turn
ed a
way
, rel
ative
ly lo
w p
ropo
rtion
of m
igra
nt o
r pa
rticu
lar
nati
onal
ity
of w
orke
rs).
❒ W
orke
rs’ c
ontr
acts
of e
mpl
oym
ent c
onfir
m t
hat a
ll w
orke
rs in
the
sam
e ro
les
are
enga
ged
unde
r th
e sa
me
term
s
and
cond
ition
s.
❒ P
regn
ant W
orke
rs. C
heck
per
sonn
el re
cord
s fo
r:•
mat
erni
ty le
ave
reco
rds;
• ca
ses
of w
orke
rs re
turn
ing
to th
eir
job
after
mat
erni
ty le
ave;
• ev
iden
ce th
at p
ost‐
nata
l ben
efits
are
pro
vide
d;•
evid
ence
of o
ther
mat
erni
ty o
r pa
rent
al b
enefi
ts b
eing
pro
vide
d to
wor
kers
; •
evid
ence
of p
ater
nity
leav
e an
d be
nefit
s be
ing
prov
ided
to m
ale
wor
kers
whe
re re
quire
d by
law
; •
case
s of
wor
kers
bei
ng m
oved
from
haz
ardo
us w
ork
whi
lst p
regn
ant o
r br
eastf
eedi
ng.
4.1.
3 Po
licy
Doc
umen
ts
❒ T
here
are
pol
icy
docu
men
ts in
pla
ce c
over
ing
the
follo
win
g:•
recr
uitm
ent &
em
ploy
men
t;•
com
pens
ation
; •
acce
ss to
trai
ning
; •
prom
otion
; •
term
inati
on a
nd re
tirem
ent;
•
equa
l opp
ortu
nitie
s;
• di
scri
min
ation
;•
heal
th &
saf
ety;
•
phys
ical
abu
se a
nd d
isci
plin
e;•
sexu
al o
r ot
her
hara
ssm
ent;
• ab
usiv
e to
ne o
r la
ngua
ge;
• ot
her
form
s of
intim
idati
on;
• pe
riod
s of
noti
ce b
efor
e te
rmin
ation
.
❒ F
ull e
xpla
nati
ons
of a
ll po
licie
s ar
e av
aila
ble
to a
ll w
orke
rs in
rele
vant
lang
uage
(s).
Whe
re li
tera
cy is
an
issu
e, p
olic
ies
shou
ld b
e co
mm
unic
ated
by
othe
r m
eans
to e
nsur
e th
at w
orke
rs a
re a
war
e of
them
. Ref
eren
ce s
houl
d be
mad
e to
ap
prop
riat
e po
licie
s w
ithi
n a
wor
ker’
s co
ntra
ct o
f em
ploy
men
t.
…
Appendix 2: G
SCP Reference Pre-Audit Em
ployment Site Profile
Appendix 3: G
SCP Reference Audit Checks
Appendix 4: G
SCP Reference Alert N
otificati
on
Appendix 5: G
SCP Reference Audit Report
Appendix 6: G
SCP Reference Supplementary A
udit Informati
on A
ppendix 7: GSCP Reference Sum
mary of Findings and Correcti
ve Acti
ons
Appendix 1: G
SCP Reference Self Assessm
ent Questi
onnaire…
18_GLOBAL SOCIAL COMPLIANCE PROGRAMME
INTR
OD
UCT
ION
AU
DIT
REQ
UES
TA
UD
IT E
XEC
UTI
ON
PR
EPA
RAT
ION
A
UD
IT O
UTP
UTS
GLO
SSA
RY
APP
END
ICES
RIS
K A
SSES
SMEN
T SY
STEM
APPENDIX 3: GSCP REFERENCE AUDIT CHECKS
AUDIT PROCESS AND METHODOLOGY REFERENCE TOOLS - OCTOBER 2009 4.
2 W
orke
r In
terv
iew
s
Dur
ing
wor
ker i
nter
view
s, c
orro
bora
te w
orke
r tes
tim
ony
with
doc
umen
t che
cks
and
man
agem
ent i
nter
view
s. A
sk w
orke
rs:
❒ W
heth
er th
ey a
re a
war
e of
all
of t
he re
leva
nt p
roce
dure
s th
at a
re in
pla
ce o
n th
e em
ploy
men
t sit
e.
❒ W
heth
er w
orke
rs h
ave
used
the
grie
vanc
e pr
oced
ures
, and
if s
o:•
if th
ey th
ink
the
proc
edur
es a
re e
ffecti
ve;
• if
they
feel
abl
e to
util
ise
the
grie
vanc
e pr
oced
ures
to ra
ise
issu
es w
ith m
anag
emen
t;
• if
man
agem
ent d
eal w
ith a
ny g
riev
ance
s op
enly
and
fair
ly.
❒ W
heth
er w
orke
rs t
hink
the
dis
cipl
inar
y ru
les
and
proc
edur
es a
re fa
ir.
❒ W
heth
er w
orke
rs fe
el d
iscr
imin
ated
aga
inst
wit
h re
gard
to a
ny a
spec
t of t
heir
em
ploy
men
t.
❒ W
heth
er w
orke
rs a
re s
ubje
ct to
ver
bal o
r ph
ysic
al a
buse
. [Pl
ease
Not
e: th
is is
a s
ensi
tive
sub
ject
and
sho
uld
be
appr
oach
ed c
auti
ousl
y an
d w
ith
resp
ect f
or t
he fe
elin
gs o
f wor
kers
.]
❒ W
heth
er w
orke
rs a
re s
ubje
ct to
any
unf
air
trea
tmen
t or
hara
ssm
ent.
[Not
e: th
is is
a s
ensi
tive
sub
ject
and
sho
uld
be
appr
oach
ed c
auti
ousl
y an
d w
ith
resp
ect f
or t
he fe
elin
gs o
f wor
kers
.]
❒ W
heth
er w
orke
rs a
re a
war
e of
mat
erni
ty o
r pa
tern
ity
bene
fits,
and
whe
ther
they
hav
e kn
owle
dge
of a
ny w
orke
rs
bein
g pr
ovid
ed w
ith
mat
erni
ty le
ave,
oth
er p
aren
tal b
enefi
ts a
nd b
eing
abl
e to
retu
rn to
wor
k aft
er m
ater
nity
leav
e.
4.3
Man
agem
ent I
nter
view
s, E
mpl
oym
ent
site
Pro
cess
es a
nd P
roce
dure
s
❒ T
he e
mpl
oym
ent s
ite
is fu
lly a
war
e of
lega
l req
uire
men
ts o
n di
scri
min
ation
, har
assm
ent a
nd a
buse
.
❒ T
he e
mpl
oym
ent s
ite
is a
war
e of
est
ablis
hed
inte
rnati
onal
requ
irem
ents
con
cern
ing
disc
rim
inati
on, h
aras
smen
t an
d ab
use,
suc
h as
thos
e de
taile
d in
the
rele
vant
cod
e of
con
duct
.
❒ M
anag
emen
t ha
ve im
plem
ente
d an
eff
ecti
ve s
yste
m (e
.g. s
ugge
stion
s bo
x, a
nony
mou
s ph
one
line,
etc
.) w
hich
allo
ws
wor
kers
to le
ave
anon
ymou
s co
mm
ents
for
the
empl
oym
ent s
ite
man
agem
ent.
❒ T
he e
mpl
oym
ent s
ite’s
recr
uitm
ent a
dver
tisin
g is
com
plia
nt w
ith th
e la
w a
nd th
e re
quire
men
ts o
f rel
evan
t cod
es o
f con
duct
.
❒ P
regn
ancy
test
s do
not
form
par
t of t
he re
crui
tmen
t pro
cess
.
❒ M
anag
emen
t fo
llow
est
ablis
hed
polic
ies
and
proc
edur
es re
gard
ing
the
follo
win
g:•
recr
uitm
ent &
em
ploy
men
t;
• co
mpe
nsati
on;
• ac
cess
to tr
aini
ng;
• pr
omoti
on;
• te
rmin
ation
and
retir
emen
t;•
equa
l opp
ortu
nitie
s;
• di
scri
min
ation
;•
heal
th &
saf
ety;
•
phys
ical
abu
se a
nd d
isci
plin
e;•
sexu
al o
r ot
her
hara
ssm
ent;
• ab
usiv
e to
ne o
r la
ngua
ge;
• ot
her
form
s of
intim
idati
on;
• pe
riod
s of
noti
ce b
efor
e te
rmin
ation
;•
wor
ker
appe
als
agai
nst u
nfai
r di
smis
sal;
• di
scip
linar
y/G
riev
ance
pro
cedu
res.
❒ M
anag
emen
t ar
e ab
le to
tra
ck p
ay ra
tes
acro
ss d
iffer
ent g
roup
s, to
ens
ure
that
pol
icie
s on
equ
al p
ay a
re b
eing
ad
here
d to
and
enf
orce
d.
❒ M
anag
emen
t ha
ve a
n op
en a
ttitu
de to
man
agin
g th
e w
orkf
orce
, and
are
com
mitt
ed to
the
prin
cipl
es
of n
on-d
iscr
imin
ation
, equ
alit
y an
d fa
ir t
reat
men
t.
4.4
Phys
ical
Em
ploy
men
t sit
e In
spec
tion
❒ W
here
app
ropr
iate
, noti
ce b
oard
s ar
e us
ed to
com
mun
icat
e th
e fo
llow
ing:
•
anon
ymou
s he
lp‐li
ne n
umbe
rs fo
r w
orke
rs to
use
if th
ey w
ant t
o ra
ise
an is
sue;
• gr
ieva
nce
proc
edur
es d
etai
ling
the
empl
oym
ent s
ite’s
com
mitm
ent t
o co
nfide
ntial
ity;
• a
righ
t of a
ppea
l for
wor
kers
;•
disc
iplin
ary
proc
edur
es.
❒ A
ny o
ccur
renc
es o
f ver
bal o
r ph
ysic
al a
buse
sho
uld
be n
oted
.
❒ A
ny e
vide
nce
that
wor
kers
are
anx
ious
or
fear
ful o
f man
ager
s/su
perv
isor
s sh
ould
be
note
d.
…A
ppen
dix
2: G
SCP
Refe
renc
e Pr
e-A
udit
Em
ploy
men
t Sit
e Pr
ofile
App
endi
x 3:
GSC
P Re
fere
nce
Aud
it C
heck
s
App
endi
x 4:
GSC
P Re
fere
nce
Ale
rt N
otific
ation
App
endi
x 5:
GSC
P Re
fere
nce
Aud
it R
epor
t
App
endi
x 6:
GSC
P Re
fere
nce
Supp
lem
enta
ry A
udit
Info
rmati
on
A
ppen
dix
7: G
SCP
Refe
renc
e Su
mm
ary
of F
indi
ngs
and
Corr
ecti
ve A
ction
s
App
endi
x 1:
GSC
P Re
fere
nce
Self
Ass
essm
ent Q
uesti
onna
ire
…
GLOBAL SOCIAL COMPLIANCE PROGRAMME_19
INTR
OD
UCTIO
NA
UD
IT REQ
UEST
AU
DIT EX
ECUTIO
NPR
EPAR
ATION
AU
DIT O
UTPU
TSG
LOSSA
RY
APPEN
DICES
RISK A
SSESSMEN
T SYSTEM
APPENDIX 3: GSCP REFERENCE AUDIT CHECKS
AUDIT PROCESS AND METHODOLOGY REFERENCE TOOLS - OCTOBER 2009
4.2
Wor
ker
Inte
rvie
ws
Dur
ing
wor
ker i
nter
view
s, c
orro
bora
te w
orke
r tes
tim
ony
with
doc
umen
t che
cks
and
man
agem
ent i
nter
view
s. A
sk w
orke
rs:
❒ W
heth
er th
ey a
re a
war
e of
all
of t
he re
leva
nt p
roce
dure
s th
at a
re in
pla
ce o
n th
e em
ploy
men
t sit
e.
❒ W
heth
er w
orke
rs h
ave
used
the
grie
vanc
e pr
oced
ures
, and
if s
o:•
if th
ey th
ink
the
proc
edur
es a
re e
ffecti
ve;
• if
they
feel
abl
e to
util
ise
the
grie
vanc
e pr
oced
ures
to ra
ise
issu
es w
ith m
anag
emen
t;
• if
man
agem
ent d
eal w
ith a
ny g
riev
ance
s op
enly
and
fair
ly.
❒ W
heth
er w
orke
rs t
hink
the
dis
cipl
inar
y ru
les
and
proc
edur
es a
re fa
ir.
❒ W
heth
er w
orke
rs fe
el d
iscr
imin
ated
aga
inst
wit
h re
gard
to a
ny a
spec
t of t
heir
em
ploy
men
t.
❒ W
heth
er w
orke
rs a
re s
ubje
ct to
ver
bal o
r ph
ysic
al a
buse
. [Pl
ease
Not
e: th
is is
a s
ensi
tive
sub
ject
and
sho
uld
be
appr
oach
ed c
auti
ousl
y an
d w
ith
resp
ect f
or t
he fe
elin
gs o
f wor
kers
.]
❒ W
heth
er w
orke
rs a
re s
ubje
ct to
any
unf
air
trea
tmen
t or
hara
ssm
ent.
[Not
e: th
is is
a s
ensi
tive
sub
ject
and
sho
uld
be
appr
oach
ed c
auti
ousl
y an
d w
ith
resp
ect f
or t
he fe
elin
gs o
f wor
kers
.]
❒ W
heth
er w
orke
rs a
re a
war
e of
mat
erni
ty o
r pa
tern
ity
bene
fits,
and
whe
ther
they
hav
e kn
owle
dge
of a
ny w
orke
rs
bein
g pr
ovid
ed w
ith
mat
erni
ty le
ave,
oth
er p
aren
tal b
enefi
ts a
nd b
eing
abl
e to
retu
rn to
wor
k aft
er m
ater
nity
leav
e.
4.3
Man
agem
ent I
nter
view
s, E
mpl
oym
ent
site
Pro
cess
es a
nd P
roce
dure
s
❒ T
he e
mpl
oym
ent s
ite
is fu
lly a
war
e of
lega
l req
uire
men
ts o
n di
scri
min
ation
, har
assm
ent a
nd a
buse
.
❒ T
he e
mpl
oym
ent s
ite
is a
war
e of
est
ablis
hed
inte
rnati
onal
requ
irem
ents
con
cern
ing
disc
rim
inati
on, h
aras
smen
t an
d ab
use,
suc
h as
thos
e de
taile
d in
the
rele
vant
cod
e of
con
duct
.
❒ M
anag
emen
t ha
ve im
plem
ente
d an
eff
ecti
ve s
yste
m (e
.g. s
ugge
stion
s bo
x, a
nony
mou
s ph
one
line,
etc
.) w
hich
allo
ws
wor
kers
to le
ave
anon
ymou
s co
mm
ents
for
the
empl
oym
ent s
ite
man
agem
ent.
❒ T
he e
mpl
oym
ent s
ite’s
recr
uitm
ent a
dver
tisin
g is
com
plia
nt w
ith th
e la
w a
nd th
e re
quire
men
ts o
f rel
evan
t cod
es o
f con
duct
.
❒ P
regn
ancy
test
s do
not
form
par
t of t
he re
crui
tmen
t pro
cess
.
❒ M
anag
emen
t fo
llow
est
ablis
hed
polic
ies
and
proc
edur
es re
gard
ing
the
follo
win
g:•
recr
uitm
ent &
em
ploy
men
t;
• co
mpe
nsati
on;
• ac
cess
to tr
aini
ng;
• pr
omoti
on;
• te
rmin
ation
and
retir
emen
t;•
equa
l opp
ortu
nitie
s;
• di
scri
min
ation
;•
heal
th &
saf
ety;
•
phys
ical
abu
se a
nd d
isci
plin
e;•
sexu
al o
r ot
her
hara
ssm
ent;
• ab
usiv
e to
ne o
r la
ngua
ge;
• ot
her
form
s of
intim
idati
on;
• pe
riod
s of
noti
ce b
efor
e te
rmin
ation
;•
wor
ker
appe
als
agai
nst u
nfai
r di
smis
sal;
• di
scip
linar
y/G
riev
ance
pro
cedu
res.
❒ M
anag
emen
t ar
e ab
le to
tra
ck p
ay ra
tes
acro
ss d
iffer
ent g
roup
s, to
ens
ure
that
pol
icie
s on
equ
al p
ay a
re b
eing
ad
here
d to
and
enf
orce
d.
❒ M
anag
emen
t ha
ve a
n op
en a
ttitu
de to
man
agin
g th
e w
orkf
orce
, and
are
com
mitt
ed to
the
prin
cipl
es
of n
on-d
iscr
imin
ation
, equ
alit
y an
d fa
ir t
reat
men
t.
4.4
Phys
ical
Em
ploy
men
t sit
e In
spec
tion
❒ W
here
app
ropr
iate
, noti
ce b
oard
s ar
e us
ed to
com
mun
icat
e th
e fo
llow
ing:
•
anon
ymou
s he
lp‐li
ne n
umbe
rs fo
r w
orke
rs to
use
if th
ey w
ant t
o ra
ise
an is
sue;
• gr
ieva
nce
proc
edur
es d
etai
ling
the
empl
oym
ent s
ite’s
com
mitm
ent t
o co
nfide
ntial
ity;
• a
righ
t of a
ppea
l for
wor
kers
;•
disc
iplin
ary
proc
edur
es.
❒ A
ny o
ccur
renc
es o
f ver
bal o
r ph
ysic
al a
buse
sho
uld
be n
oted
.
❒ A
ny e
vide
nce
that
wor
kers
are
anx
ious
or
fear
ful o
f man
ager
s/su
perv
isor
s sh
ould
be
note
d.
Appendix 2: G
SCP Reference Pre-Audit Em
ployment Site Profile
Appendix 3: G
SCP Reference Audit Checks
Appendix 4: G
SCP Reference Alert N
otificati
on
Appendix 5: G
SCP Reference Audit Report
Appendix 6: G
SCP Reference Supplementary A
udit Informati
on A
ppendix 7: GSCP Reference Sum
mary of Findings and Correcti
ve Acti
ons
Appendix 1: G
SCP Reference Self Assessm
ent Questi
onnaire…
20_GLOBAL SOCIAL COMPLIANCE PROGRAMME
INTR
OD
UCT
ION
AU
DIT
REQ
UES
TA
UD
IT E
XEC
UTI
ON
PR
EPA
RAT
ION
A
UD
IT O
UTP
UTS
GLO
SSA
RY
APP
END
ICES
RIS
K A
SSES
SMEN
T SY
STEM
APPENDIX 3: GSCP REFERENCE AUDIT CHECKS
AUDIT PROCESS AND METHODOLOGY REFERENCE TOOLS - OCTOBER 2009 5.
Hea
lth
and
Safe
tyEm
ploy
men
t sit
e Re
quir
emen
ts:
1. a
ll w
ork
and
resi
denti
al fa
ciliti
es p
rovi
de s
afe
and
clea
n co
nditi
ons
for
wor
kers
;
2. a
dequ
ate
step
s ar
e ta
ken
by m
anag
emen
t to
prev
ent a
ccid
ents
and
inju
ries
;
3. w
orke
rs a
re p
rovi
ded
with
acc
ess
to a
dequ
ate
med
ical
ass
ista
nce
and
faci
lities
;
4. w
orke
rs a
re p
rovi
ded
with
acc
ess
to c
lean
toile
t fac
ilitie
s, d
rink
able
wat
er a
nd s
anita
ry fa
ciliti
es;
5. re
side
ntial
faci
lities
for
wor
kers
, whe
re p
rovi
ded,
are
cle
an a
nd s
afe;
6. re
spon
sibi
lity
for
heal
th a
nd s
afet
y is
ass
igne
d to
a s
enio
r m
anag
emen
t rep
rese
ntati
ve;
7. w
orke
rs a
nd m
anag
emen
t are
pro
vide
d w
ith re
gula
r he
alth
and
saf
ety
trai
ning
;
8. a
dequ
ate
safe
guar
ds a
gain
st fi
re a
re p
rovi
ded,
plu
s st
abili
ty a
nd s
afet
y of
bui
ldin
gs a
nd e
quip
men
t;
9. s
uffici
ent t
rain
ing
of w
orke
rs a
nd m
anag
emen
t is
unde
rtak
en in
was
te m
anag
emen
t, h
andl
ing
and
disp
osal
of c
hem
ical
s an
d ot
her
dang
erou
s m
ater
ials
.
The
follo
win
g ch
ecks
are
inte
nded
as
guid
ance
and
sho
uld
not l
imit
aud
it a
ctivi
ties
.
EVID
ENCE
GAT
HER
ING
ON
HEA
LTH
AN
D S
AFE
TYCO
MM
ENTS
5.1
Doc
umen
t Che
cks
5.1.
1 Re
cord
s
❒ E
vide
nce
of t
he fo
llow
ing
docu
men
tati
on s
houl
d be
see
n:•
valid
equ
ipm
ent i
nspe
ction
cer
tifica
tes
as p
er a
ny a
pplic
able
loca
l reg
ulati
ons;
• m
achi
ne m
aint
enan
ce re
port
s;•
fire
drill
repo
rts;
• ap
prop
riat
e bu
ildin
g lic
ence
s or
pro
ducti
on u
nit c
onst
ructi
on a
ppro
val g
iven
by
the
loca
l aut
hori
ties;
• sa
fety
com
mitt
ee re
port
s an
d an
y m
inut
es fr
om c
omm
ittee
mee
tings
, inc
ludi
ng is
sues
rais
ed a
nd a
ction
s un
dert
aken
;•
empl
oym
ent s
ite s
afet
y ce
rtific
ates
;•
safe
ty tr
aini
ng re
port
s;•
acci
dent
/ in
jury
/ s
ickn
ess
regi
ster
;•
risk
ass
essm
ent d
ocum
ents
(e.g
. rep
orts
and
reco
rds)
for
wor
k, re
side
ntial
and
hom
e w
orki
ng fa
ciliti
es;
• co
rrec
tive
actio
n pl
ans
for
elim
inati
ng o
r re
duci
ng th
e eff
ect o
f the
ris
ks id
entifi
ed in
the
risk
ass
essm
ent;
• ha
zard
ous
was
te in
vent
ory
and
trac
king
reco
rds
(e.g
. dis
posa
l cer
tifica
tes,
was
te m
anife
sts,
etc
.);•
bloo
d po
licy
and
proc
edur
es (l
inke
d to
Firs
t Aid
);•
need
le a
nd b
lade
con
trol
pol
icie
s;•
wor
kers
’ tra
inin
g ce
rtific
ation
;•
elec
tric
al s
afet
y po
licie
s an
d m
aint
enan
ce c
heck
s;•
wat
er te
st re
cord
s to
ens
ure
that
wat
er is
con
sist
ently
saf
e to
dri
nk;
• em
ploy
men
t site
was
te m
anag
emen
t sys
tem
s, p
roce
sses
, pro
cedu
res
and
cont
rols
;•
PPE
dist
ribu
tion
reco
rds.
❒ T
he e
mpl
oym
ent s
ite
mus
t hav
e in
sura
nce
for:
• w
orkp
lace
str
uctu
re a
nd c
onte
nts;
• em
ploy
ers’
liab
ility
;•
wor
ker
acci
dent
s;•
fire.
❒ M
anag
emen
t sho
uld
prov
ide
heal
th a
nd s
afet
y tr
aini
ng fo
r al
l wor
kers
bot
h on
-sit
e an
d en
gage
d in
wor
k on
oth
er s
ites
on
beh
alf o
f the
em
ploy
men
t si
te (i
.e. h
omew
orke
rs e
tc).
❒ H
ealt
h an
d sa
fety
trai
ning
sho
uld
be a
ppro
pria
te to
the
task
s pe
rfor
med
by
the
wor
kers
incl
udin
g de
mon
stra
tion
s
and
info
rmati
on a
bout
:•
mac
hine
ry;
• ch
emic
als;
• fir
st a
id a
nd s
afet
y;•
hous
ekee
ping
;•
PPE;
• ot
her
job‐
rela
ted
trai
ning
.
❒ A
ll ne
w o
r re
assi
gned
wor
kers
sho
uld
be g
iven
a re
fres
her
trai
ning
cou
rse
on h
ealt
h an
d sa
fety
.
❒ R
elev
ant w
orke
rs s
houl
d be
giv
en a
ppro
pria
te tr
aini
ng o
n th
e us
e of
haz
ardo
us m
ater
ials
.
In th
e fo
llow
ing
area
s, th
e do
cum
enta
tion
sho
uld
be c
heck
ed a
s in
dica
ted:
❒ F
ood
hygi
ene:
• hy
gien
e ce
rtific
ates
of t
he fo
od p
repa
ratio
n ar
ea (i
f req
uire
d by
law
) mus
t be
up to
dat
e;•
conf
orm
ance
with
rele
vant
food
hyg
iene
law
and
regu
latio
ns;
• cu
rren
t rec
ords
of k
itche
n st
aff’s
trai
ning
and
cer
tifica
tion
dem
onst
rate
wor
kers
are
ade
quat
ely
trai
ned.
❒ M
achi
nery
:•
mac
hine
ry s
afet
y ce
rtific
ation
(if r
equi
red)
pre
sent
for
each
pie
ce o
f mac
hine
ry;
• m
achi
nery
/ e
quip
men
t ins
pecti
on a
nd m
aint
enan
ce re
cord
s ke
pt u
p to
dat
e, a
nd d
emon
stra
ting
that
all
mac
hine
s ar
e w
orki
ng a
dequ
atel
y.
❒ C
hem
ical
s an
d ha
zard
ous
mat
eria
ls:
• a
Mat
eria
l Saf
ety
Dat
a Sh
eet (
MSD
S) m
ust b
e he
ld o
n re
cord
for
each
haz
ardo
us c
hem
ical
hel
d on
‐site
;•
chec
k av
aila
bilit
y of
ris
k as
sess
men
t rep
orts
for
info
rmati
on o
n ch
emic
als
expo
sure
;•
chec
k av
aila
bilit
y of
was
te m
anag
emen
t rec
ords
for
haza
rdou
s m
ater
ials
.
❒ V
enti
lati
on:
• re
view
ass
essm
ent r
epor
t and
acti
on p
lan
to e
nsur
e ad
equa
te v
entil
ation
on‐
site
;•
chec
k sy
stem
insp
ectio
n re
cord
s ar
e up
to d
ate;
• ai
r qu
alit
y te
sts
shou
ld h
ave
been
car
ried
out
sho
uld
dem
onst
rate
that
the
air
qual
ity
is s
uffici
ent.
App
endi
x 2:
GSC
P Re
fere
nce
Pre-
Aud
it E
mpl
oym
ent S
ite
Profi
le
A
ppen
dix
3: G
SCP
Refe
renc
e A
udit
Che
cks
A
ppen
dix
4: G
SCP
Refe
renc
e A
lert
Noti
ficati
on
App
endi
x 5:
GSC
P Re
fere
nce
Aud
it R
epor
t
App
endi
x 6:
GSC
P Re
fere
nce
Supp
lem
enta
ry A
udit
Info
rmati
on
A
ppen
dix
7: G
SCP
Refe
renc
e Su
mm
ary
of F
indi
ngs
and
Corr
ecti
ve A
ction
s
App
endi
x 1:
GSC
P Re
fere
nce
Self
Ass
essm
ent Q
uesti
onna
ire
…
GLOBAL SOCIAL COMPLIANCE PROGRAMME_21
INTR
OD
UCTIO
NA
UD
IT REQ
UEST
AU
DIT EX
ECUTIO
NPR
EPAR
ATION
AU
DIT O
UTPU
TSG
LOSSA
RY
APPEN
DICES
RISK A
SSESSMEN
T SYSTEM
APPENDIX 3: GSCP REFERENCE AUDIT CHECKS
AUDIT PROCESS AND METHODOLOGY REFERENCE TOOLS - OCTOBER 2009
…
5. H
ealt
h an
d Sa
fety
Empl
oym
ent s
ite
Requ
irem
ents
:
1. a
ll w
ork
and
resi
denti
al fa
ciliti
es p
rovi
de s
afe
and
clea
n co
nditi
ons
for
wor
kers
;
2. a
dequ
ate
step
s ar
e ta
ken
by m
anag
emen
t to
prev
ent a
ccid
ents
and
inju
ries
;
3. w
orke
rs a
re p
rovi
ded
with
acc
ess
to a
dequ
ate
med
ical
ass
ista
nce
and
faci
lities
;
4. w
orke
rs a
re p
rovi
ded
with
acc
ess
to c
lean
toile
t fac
ilitie
s, d
rink
able
wat
er a
nd s
anita
ry fa
ciliti
es;
5. re
side
ntial
faci
lities
for
wor
kers
, whe
re p
rovi
ded,
are
cle
an a
nd s
afe;
6. re
spon
sibi
lity
for
heal
th a
nd s
afet
y is
ass
igne
d to
a s
enio
r m
anag
emen
t rep
rese
ntati
ve;
7. w
orke
rs a
nd m
anag
emen
t are
pro
vide
d w
ith re
gula
r he
alth
and
saf
ety
trai
ning
;
8. a
dequ
ate
safe
guar
ds a
gain
st fi
re a
re p
rovi
ded,
plu
s st
abili
ty a
nd s
afet
y of
bui
ldin
gs a
nd e
quip
men
t;
9. s
uffici
ent t
rain
ing
of w
orke
rs a
nd m
anag
emen
t is
unde
rtak
en in
was
te m
anag
emen
t, h
andl
ing
and
disp
osal
of c
hem
ical
s an
d ot
her
dang
erou
s m
ater
ials
.
The
follo
win
g ch
ecks
are
inte
nded
as
guid
ance
and
sho
uld
not l
imit
aud
it a
ctivi
ties
.
EVID
ENCE
GAT
HER
ING
ON
HEA
LTH
AN
D S
AFE
TYCO
MM
ENTS
5.1
Doc
umen
t Che
cks
5.1.
1 Re
cord
s
❒ E
vide
nce
of t
he fo
llow
ing
docu
men
tati
on s
houl
d be
see
n:•
valid
equ
ipm
ent i
nspe
ction
cer
tifica
tes
as p
er a
ny a
pplic
able
loca
l reg
ulati
ons;
• m
achi
ne m
aint
enan
ce re
port
s;•
fire
drill
repo
rts;
• ap
prop
riat
e bu
ildin
g lic
ence
s or
pro
ducti
on u
nit c
onst
ructi
on a
ppro
val g
iven
by
the
loca
l aut
hori
ties;
• sa
fety
com
mitt
ee re
port
s an
d an
y m
inut
es fr
om c
omm
ittee
mee
tings
, inc
ludi
ng is
sues
rais
ed a
nd a
ction
s un
dert
aken
;•
empl
oym
ent s
ite s
afet
y ce
rtific
ates
;•
safe
ty tr
aini
ng re
port
s;•
acci
dent
/ in
jury
/ s
ickn
ess
regi
ster
;•
risk
ass
essm
ent d
ocum
ents
(e.g
. rep
orts
and
reco
rds)
for
wor
k, re
side
ntial
and
hom
e w
orki
ng fa
ciliti
es;
• co
rrec
tive
actio
n pl
ans
for
elim
inati
ng o
r re
duci
ng th
e eff
ect o
f the
ris
ks id
entifi
ed in
the
risk
ass
essm
ent;
• ha
zard
ous
was
te in
vent
ory
and
trac
king
reco
rds
(e.g
. dis
posa
l cer
tifica
tes,
was
te m
anife
sts,
etc
.);•
bloo
d po
licy
and
proc
edur
es (l
inke
d to
Firs
t Aid
);•
need
le a
nd b
lade
con
trol
pol
icie
s;•
wor
kers
’ tra
inin
g ce
rtific
ation
;•
elec
tric
al s
afet
y po
licie
s an
d m
aint
enan
ce c
heck
s;•
wat
er te
st re
cord
s to
ens
ure
that
wat
er is
con
sist
ently
saf
e to
dri
nk;
• em
ploy
men
t site
was
te m
anag
emen
t sys
tem
s, p
roce
sses
, pro
cedu
res
and
cont
rols
;•
PPE
dist
ribu
tion
reco
rds.
❒ T
he e
mpl
oym
ent s
ite
mus
t hav
e in
sura
nce
for:
• w
orkp
lace
str
uctu
re a
nd c
onte
nts;
• em
ploy
ers’
liab
ility
;•
wor
ker
acci
dent
s;•
fire.
❒ M
anag
emen
t sho
uld
prov
ide
heal
th a
nd s
afet
y tr
aini
ng fo
r al
l wor
kers
bot
h on
-sit
e an
d en
gage
d in
wor
k on
oth
er s
ites
on
beh
alf o
f the
em
ploy
men
t si
te (i
.e. h
omew
orke
rs e
tc).
❒ H
ealt
h an
d sa
fety
trai
ning
sho
uld
be a
ppro
pria
te to
the
task
s pe
rfor
med
by
the
wor
kers
incl
udin
g de
mon
stra
tion
s
and
info
rmati
on a
bout
:•
mac
hine
ry;
• ch
emic
als;
• fir
st a
id a
nd s
afet
y;•
hous
ekee
ping
;•
PPE;
• ot
her
job‐
rela
ted
trai
ning
.
❒ A
ll ne
w o
r re
assi
gned
wor
kers
sho
uld
be g
iven
a re
fres
her
trai
ning
cou
rse
on h
ealt
h an
d sa
fety
.
❒ R
elev
ant w
orke
rs s
houl
d be
giv
en a
ppro
pria
te tr
aini
ng o
n th
e us
e of
haz
ardo
us m
ater
ials
.
In th
e fo
llow
ing
area
s, th
e do
cum
enta
tion
sho
uld
be c
heck
ed a
s in
dica
ted:
❒ F
ood
hygi
ene:
• hy
gien
e ce
rtific
ates
of t
he fo
od p
repa
ratio
n ar
ea (i
f req
uire
d by
law
) mus
t be
up to
dat
e;•
conf
orm
ance
with
rele
vant
food
hyg
iene
law
and
regu
latio
ns;
• cu
rren
t rec
ords
of k
itche
n st
aff’s
trai
ning
and
cer
tifica
tion
dem
onst
rate
wor
kers
are
ade
quat
ely
trai
ned.
❒ M
achi
nery
:•
mac
hine
ry s
afet
y ce
rtific
ation
(if r
equi
red)
pre
sent
for
each
pie
ce o
f mac
hine
ry;
• m
achi
nery
/ e
quip
men
t ins
pecti
on a
nd m
aint
enan
ce re
cord
s ke
pt u
p to
dat
e, a
nd d
emon
stra
ting
that
all
mac
hine
s ar
e w
orki
ng a
dequ
atel
y.
❒ C
hem
ical
s an
d ha
zard
ous
mat
eria
ls:
• a
Mat
eria
l Saf
ety
Dat
a Sh
eet (
MSD
S) m
ust b
e he
ld o
n re
cord
for
each
haz
ardo
us c
hem
ical
hel
d on
‐site
;•
chec
k av
aila
bilit
y of
ris
k as
sess
men
t rep
orts
for
info
rmati
on o
n ch
emic
als
expo
sure
;•
chec
k av
aila
bilit
y of
was
te m
anag
emen
t rec
ords
for
haza
rdou
s m
ater
ials
.
❒ V
enti
lati
on:
• re
view
ass
essm
ent r
epor
t and
acti
on p
lan
to e
nsur
e ad
equa
te v
entil
ation
on‐
site
;•
chec
k sy
stem
insp
ectio
n re
cord
s ar
e up
to d
ate;
• ai
r qu
alit
y te
sts
shou
ld h
ave
been
car
ried
out
sho
uld
dem
onst
rate
that
the
air
qual
ity
is s
uffici
ent.
Appendix 2: G
SCP Reference Pre-Audit Em
ployment Site Profile
Appendix 3: G
SCP Reference Audit Checks
Appendix 4: G
SCP Reference Alert N
otificati
on
Appendix 5: G
SCP Reference Audit Report
Appendix 6: G
SCP Reference Supplementary A
udit Informati
on A
ppendix 7: GSCP Reference Sum
mary of Findings and Correcti
ve Acti
ons
Appendix 1: G
SCP Reference Self Assessm
ent Questi
onnaire…
22_GLOBAL SOCIAL COMPLIANCE PROGRAMME
INTR
OD
UCT
ION
AU
DIT
REQ
UES
TA
UD
IT E
XEC
UTI
ON
PR
EPA
RAT
ION
A
UD
IT O
UTP
UTS
GLO
SSA
RY
APP
END
ICES
RIS
K A
SSES
SMEN
T SY
STEM
APPENDIX 3: GSCP REFERENCE AUDIT CHECKS
AUDIT PROCESS AND METHODOLOGY REFERENCE TOOLS - OCTOBER 2009 ❒
Lig
hting
:•
chec
k re
cord
s of
ligh
ting
test
s to
ens
ure
that
ligh
ting
is c
onsi
sten
tly o
f a re
ason
able
sta
ndar
d.
❒ T
empe
ratu
re:
• re
view
ther
mal
str
ess
asse
ssm
ent r
epor
t and
acti
on p
lan
to e
nsur
e ap
prop
riat
e te
mpe
ratu
re o
n‐si
te;
• ch
eck
tem
pera
ture
test
reco
rds
for
the
past
yea
r to
ens
ure
that
the
tem
pera
ture
rem
ains
com
fort
able
eve
n
at th
e ho
ttes
t and
col
dest
tim
e of
yea
r.
❒ N
oise
and
vib
rati
ons:
• re
view
the
nois
e an
d vi
brati
on r
isk
asse
ssm
ent r
epor
t to
iden
tify
whe
ther
any
ris
ks e
xist
to w
orke
rs;
• re
view
any
em
ploy
men
t site
acti
on p
lans
on
nois
e an
d vi
brati
ons.
❒ F
ire: • re
view
eva
cuati
on p
lans
for
all a
reas
of t
he e
mpl
oym
ent s
ite a
nd a
ny a
ccom
mod
ation
to e
nsur
e th
ey a
re d
etai
led
and
appr
opri
ate;
•
all b
uild
ings
mus
t hav
e ev
acua
tion
plan
s po
sted
in p
reva
lent
are
as a
nd n
otice
boa
rds;
•
all w
orke
rs m
ust r
ecei
ve fi
re p
reve
ntion
and
eva
cuati
on tr
aini
ng; r
ecor
ds s
houl
d be
kep
t for
all
wor
kers
;•
revi
ew fi
re r
isk
asse
ssm
ents
and
ens
ure
they
are
up
to d
ate
and
actio
ns a
re b
eing
follo
wed
to m
inim
ise
risk
;•
revi
ew fi
re s
afet
y ce
rtific
ation
for
the
empl
oym
ent s
ite a
nd a
ccom
mod
ation
whe
re p
ossi
ble;
• ev
ery
empl
oym
ent s
ite m
ust h
ave
an e
mer
genc
y pl
an /
pro
cedu
re /
arr
ange
men
ts (e
.g. fi
re w
arde
ns, c
oord
inati
on
with
loca
l fire
bri
gade
, etc
.);•
revi
ew re
cord
s of
any
fire
eva
cuati
on d
rills
to e
nsur
e tim
e ta
ken
to e
vacu
ate
build
ing
is w
ithin
lega
l lim
its;
• fir
e ev
acua
tion
drill
s m
ust b
e co
nduc
ted
on a
regu
lar
and
freq
uent
bas
is.
5.1.
2 Pe
rson
nel F
iles
❒ A
ll w
orke
rs m
ust h
ave
rece
ived
hea
lth
and
safe
ty tr
aini
ng a
nd re
cord
s sh
ould
be
kept
in th
eir
pers
onne
l file
s.
❒ A
ny w
orke
r (w
orke
r or
hom
ewor
ker)
usi
ng h
eavy
mac
hine
ry m
ust h
ave
rece
ived
trai
ning
, and
reco
rds
shou
ld b
e ke
pt.
❒ A
ll w
orke
rs s
houl
d ha
ve re
ceiv
ed fi
re s
afet
y tr
aini
ng.
❒ S
afet
y in
stru
ction
s an
d fir
e ev
acua
tion
rout
es m
ust b
e co
mm
unic
ated
to a
ll w
orke
rs (e
.g. t
hrou
gh p
oste
rs).
❒ S
afet
y in
stru
ction
s ar
e fu
lly u
nder
stan
dabl
e, a
nd d
ispl
ayed
in w
orke
rs’ n
ative
lang
uage
(s).
❒ W
here
som
e w
orke
rs a
re n
ot a
ble
to re
ad, i
nstr
ucti
ons
shou
ld b
e co
mm
unic
ated
in a
n al
tern
ative
man
ner.
❒ A
ny w
orke
r na
med
as
a fir
st a
ider
mus
t rec
eive
ade
quat
e tr
aini
ng, a
nd re
cord
s sh
ould
be
kept
in th
eir
pers
onne
l file
.
5.2
Wor
ker
Inte
rvie
ws
Dur
ing
wor
ker i
nter
view
s, c
orro
bora
te w
orke
r tes
tim
ony
with
doc
umen
t che
cks
and
man
agem
ent i
nter
view
s. A
sk w
orke
rs:
❒ W
heth
er th
ere
is a
ny w
orke
r re
pres
enta
tion
on
the
Hea
lth
& S
afet
y co
mm
ittee
.
❒ W
heth
er th
ey a
re a
war
e of
any
of t
he fo
llow
ing:
• H
&S
proc
edur
es (a
nd h
ave
been
trai
ned
on);
• ac
cide
nts
and
inju
ries
that
hav
e oc
curr
ed o
n‐si
te;
• w
hat t
o do
in th
e ca
se o
f an
acci
dent
; •
the
H&
S co
mm
ittee
, how
to u
se it
and
who
the
repr
esen
tativ
es a
re;
• fir
e ev
acua
tion
proc
edur
es;
• th
e re
quire
men
ts fo
r PP
E an
d co
nfirm
that
they
use
it o
n da
ys w
hen
audi
tors
or
cust
omer
s ar
e no
t pre
sent
.
❒ W
heth
er w
orke
rs h
ave
been
invo
lved
in a
fire
dri
ll in
the
past
12
mon
ths.
❒ W
heth
er w
orke
rs fe
el s
afe
and
secu
re in
the
wor
kpla
ce.
❒ W
heth
er w
orke
rs a
re h
appy
wit
h th
e ge
nera
l wor
king
con
diti
ons
on-s
ite,
incl
udin
g:•
cant
een,
food
sto
rage
and
hyg
iene
faci
lities
;•
hous
ekee
ping
;•
lighti
ng;
• te
mpe
ratu
re;
• ve
ntila
tion
and
air
qual
ity;
❒ W
hat i
nfor
mati
on h
as b
een
prov
ided
to h
omew
orke
rs o
n he
alth
and
saf
ety
haza
rds
and
pers
onal
pro
tecti
ve e
quip
men
t?
❒ In
rela
tion
to c
hem
ical
s an
d ha
zard
ous
mat
eria
ls:
• w
heth
er th
at th
e he
alth
of w
orke
rs w
ho h
andl
e ha
zard
ous
mat
eria
ls is
mon
itore
d. A
nd if
so,
how
?•
whe
ther
wor
kers
are
aw
are
of th
e ha
zard
s as
soci
ated
with
exp
osur
e to
the
chem
ical
s us
ed;
• w
heth
er w
orke
rs h
ave
rece
ived
trai
ning
on
how
to o
btai
n an
d us
e th
e in
form
ation
pro
vide
d on
labe
ls a
nd M
SDS.
5.3
Man
agem
ent I
nter
view
s, E
mpl
oym
ent
site
Pro
cedu
res
and
Proc
esse
s
❒ M
anag
emen
t is
aw
are
of th
e na
tion
al /
loca
l law
s on
hea
lth
and
safe
ty in
clud
ing:
• ac
cide
nts;
• m
edic
al a
ssis
tanc
e an
d fir
st a
id;
• w
orke
r fa
ciliti
es a
nd re
sour
ces
(acc
omm
odati
on, t
oile
ts, c
ante
ens
etc)
;•
man
agem
ent;
• w
aste
and
dan
gero
us m
ater
ials
;•
mac
hine
ry a
nd tr
ansp
ort;
• pr
otec
tive
equi
pmen
t.
❒ T
he e
mpl
oym
ent s
ite
has
H&
S po
licy
and
proc
edur
es in
pla
ce, c
over
ing:
• oc
cupa
tiona
l hea
lth a
nd s
afet
y;•
both
wor
k an
d re
side
ntial
faci
lities
.
…A
ppen
dix
2: G
SCP
Refe
renc
e Pr
e-A
udit
Em
ploy
men
t Sit
e Pr
ofile
App
endi
x 3:
GSC
P Re
fere
nce
Aud
it C
heck
s
App
endi
x 4:
GSC
P Re
fere
nce
Ale
rt N
otific
ation
App
endi
x 5:
GSC
P Re
fere
nce
Aud
it R
epor
t
App
endi
x 6:
GSC
P Re
fere
nce
Supp
lem
enta
ry A
udit
Info
rmati
on
A
ppen
dix
7: G
SCP
Refe
renc
e Su
mm
ary
of F
indi
ngs
and
Corr
ecti
ve A
ction
s
App
endi
x 1:
GSC
P Re
fere
nce
Self
Ass
essm
ent Q
uesti
onna
ire
…
GLOBAL SOCIAL COMPLIANCE PROGRAMME_23
INTR
OD
UCTIO
NA
UD
IT REQ
UEST
AU
DIT EX
ECUTIO
NPR
EPAR
ATION
AU
DIT O
UTPU
TSG
LOSSA
RY
APPEN
DICES
RISK A
SSESSMEN
T SYSTEM
APPENDIX 3: GSCP REFERENCE AUDIT CHECKS
AUDIT PROCESS AND METHODOLOGY REFERENCE TOOLS - OCTOBER 2009
❒ L
ighti
ng:
• ch
eck
reco
rds
of li
ghtin
g te
sts
to e
nsur
e th
at li
ghtin
g is
con
sist
ently
of a
reas
onab
le s
tand
ard.
❒ T
empe
ratu
re:
• re
view
ther
mal
str
ess
asse
ssm
ent r
epor
t and
acti
on p
lan
to e
nsur
e ap
prop
riat
e te
mpe
ratu
re o
n‐si
te;
• ch
eck
tem
pera
ture
test
reco
rds
for
the
past
yea
r to
ens
ure
that
the
tem
pera
ture
rem
ains
com
fort
able
eve
n
at th
e ho
ttes
t and
col
dest
tim
e of
yea
r.
❒ N
oise
and
vib
rati
ons:
• re
view
the
nois
e an
d vi
brati
on r
isk
asse
ssm
ent r
epor
t to
iden
tify
whe
ther
any
ris
ks e
xist
to w
orke
rs;
• re
view
any
em
ploy
men
t site
acti
on p
lans
on
nois
e an
d vi
brati
ons.
❒ F
ire: • re
view
eva
cuati
on p
lans
for
all a
reas
of t
he e
mpl
oym
ent s
ite a
nd a
ny a
ccom
mod
ation
to e
nsur
e th
ey a
re d
etai
led
and
appr
opri
ate;
•
all b
uild
ings
mus
t hav
e ev
acua
tion
plan
s po
sted
in p
reva
lent
are
as a
nd n
otice
boa
rds;
•
all w
orke
rs m
ust r
ecei
ve fi
re p
reve
ntion
and
eva
cuati
on tr
aini
ng; r
ecor
ds s
houl
d be
kep
t for
all
wor
kers
;•
revi
ew fi
re r
isk
asse
ssm
ents
and
ens
ure
they
are
up
to d
ate
and
actio
ns a
re b
eing
follo
wed
to m
inim
ise
risk
;•
revi
ew fi
re s
afet
y ce
rtific
ation
for
the
empl
oym
ent s
ite a
nd a
ccom
mod
ation
whe
re p
ossi
ble;
• ev
ery
empl
oym
ent s
ite m
ust h
ave
an e
mer
genc
y pl
an /
pro
cedu
re /
arr
ange
men
ts (e
.g. fi
re w
arde
ns, c
oord
inati
on
with
loca
l fire
bri
gade
, etc
.);•
revi
ew re
cord
s of
any
fire
eva
cuati
on d
rills
to e
nsur
e tim
e ta
ken
to e
vacu
ate
build
ing
is w
ithin
lega
l lim
its;
• fir
e ev
acua
tion
drill
s m
ust b
e co
nduc
ted
on a
regu
lar
and
freq
uent
bas
is.
5.1.
2 Pe
rson
nel F
iles
❒ A
ll w
orke
rs m
ust h
ave
rece
ived
hea
lth
and
safe
ty tr
aini
ng a
nd re
cord
s sh
ould
be
kept
in th
eir
pers
onne
l file
s.
❒ A
ny w
orke
r (w
orke
r or
hom
ewor
ker)
usi
ng h
eavy
mac
hine
ry m
ust h
ave
rece
ived
trai
ning
, and
reco
rds
shou
ld b
e ke
pt.
❒ A
ll w
orke
rs s
houl
d ha
ve re
ceiv
ed fi
re s
afet
y tr
aini
ng.
❒ S
afet
y in
stru
ction
s an
d fir
e ev
acua
tion
rout
es m
ust b
e co
mm
unic
ated
to a
ll w
orke
rs (e
.g. t
hrou
gh p
oste
rs).
❒ S
afet
y in
stru
ction
s ar
e fu
lly u
nder
stan
dabl
e, a
nd d
ispl
ayed
in w
orke
rs’ n
ative
lang
uage
(s).
❒ W
here
som
e w
orke
rs a
re n
ot a
ble
to re
ad, i
nstr
ucti
ons
shou
ld b
e co
mm
unic
ated
in a
n al
tern
ative
man
ner.
❒ A
ny w
orke
r na
med
as
a fir
st a
ider
mus
t rec
eive
ade
quat
e tr
aini
ng, a
nd re
cord
s sh
ould
be
kept
in th
eir
pers
onne
l file
.
5.2
Wor
ker
Inte
rvie
ws
Dur
ing
wor
ker i
nter
view
s, c
orro
bora
te w
orke
r tes
tim
ony
with
doc
umen
t che
cks
and
man
agem
ent i
nter
view
s. A
sk w
orke
rs:
❒ W
heth
er th
ere
is a
ny w
orke
r re
pres
enta
tion
on
the
Hea
lth
& S
afet
y co
mm
ittee
.
❒ W
heth
er th
ey a
re a
war
e of
any
of t
he fo
llow
ing:
• H
&S
proc
edur
es (a
nd h
ave
been
trai
ned
on);
• ac
cide
nts
and
inju
ries
that
hav
e oc
curr
ed o
n‐si
te;
• w
hat t
o do
in th
e ca
se o
f an
acci
dent
; •
the
H&
S co
mm
ittee
, how
to u
se it
and
who
the
repr
esen
tativ
es a
re;
• fir
e ev
acua
tion
proc
edur
es;
• th
e re
quire
men
ts fo
r PP
E an
d co
nfirm
that
they
use
it o
n da
ys w
hen
audi
tors
or
cust
omer
s ar
e no
t pre
sent
.
❒ W
heth
er w
orke
rs h
ave
been
invo
lved
in a
fire
dri
ll in
the
past
12
mon
ths.
❒ W
heth
er w
orke
rs fe
el s
afe
and
secu
re in
the
wor
kpla
ce.
❒ W
heth
er w
orke
rs a
re h
appy
wit
h th
e ge
nera
l wor
king
con
diti
ons
on-s
ite,
incl
udin
g:•
cant
een,
food
sto
rage
and
hyg
iene
faci
lities
;•
hous
ekee
ping
;•
lighti
ng;
• te
mpe
ratu
re;
• ve
ntila
tion
and
air
qual
ity;
❒ W
hat i
nfor
mati
on h
as b
een
prov
ided
to h
omew
orke
rs o
n he
alth
and
saf
ety
haza
rds
and
pers
onal
pro
tecti
ve e
quip
men
t?
❒ In
rela
tion
to c
hem
ical
s an
d ha
zard
ous
mat
eria
ls:
• w
heth
er th
at th
e he
alth
of w
orke
rs w
ho h
andl
e ha
zard
ous
mat
eria
ls is
mon
itore
d. A
nd if
so,
how
?•
whe
ther
wor
kers
are
aw
are
of th
e ha
zard
s as
soci
ated
with
exp
osur
e to
the
chem
ical
s us
ed;
• w
heth
er w
orke
rs h
ave
rece
ived
trai
ning
on
how
to o
btai
n an
d us
e th
e in
form
ation
pro
vide
d on
labe
ls a
nd M
SDS.
5.3
Man
agem
ent I
nter
view
s, E
mpl
oym
ent
site
Pro
cedu
res
and
Proc
esse
s
❒ M
anag
emen
t is
aw
are
of th
e na
tion
al /
loca
l law
s on
hea
lth
and
safe
ty in
clud
ing:
• ac
cide
nts;
• m
edic
al a
ssis
tanc
e an
d fir
st a
id;
• w
orke
r fa
ciliti
es a
nd re
sour
ces
(acc
omm
odati
on, t
oile
ts, c
ante
ens
etc)
;•
man
agem
ent;
• w
aste
and
dan
gero
us m
ater
ials
;•
mac
hine
ry a
nd tr
ansp
ort;
• pr
otec
tive
equi
pmen
t.
❒ T
he e
mpl
oym
ent s
ite
has
H&
S po
licy
and
proc
edur
es in
pla
ce, c
over
ing:
• oc
cupa
tiona
l hea
lth a
nd s
afet
y;•
both
wor
k an
d re
side
ntial
faci
lities
.
…
Appendix 2: G
SCP Reference Pre-Audit Em
ployment Site Profile
Appendix 3: G
SCP Reference Audit Checks
Appendix 4: G
SCP Reference Alert N
otificati
on
Appendix 5: G
SCP Reference Audit Report
Appendix 6: G
SCP Reference Supplementary A
udit Informati
on A
ppendix 7: GSCP Reference Sum
mary of Findings and Correcti
ve Acti
ons
Appendix 1: G
SCP Reference Self Assessm
ent Questi
onnaire…
24_GLOBAL SOCIAL COMPLIANCE PROGRAMME
INTR
OD
UCT
ION
AU
DIT
REQ
UES
TA
UD
IT E
XEC
UTI
ON
PR
EPA
RAT
ION
A
UD
IT O
UTP
UTS
GLO
SSA
RY
APP
END
ICES
RIS
K A
SSES
SMEN
T SY
STEM
APPENDIX 3: GSCP REFERENCE AUDIT CHECKS
AUDIT PROCESS AND METHODOLOGY REFERENCE TOOLS - OCTOBER 2009 ❒
Man
agem
ent
shou
ld e
nsur
e th
at s
teps
are
take
n to
min
imis
e ac
cide
nts
and
inju
ries
on-
site
.
❒ M
anag
emen
t sh
ould
und
erta
ke a
ppro
pria
te h
ealt
h an
d sa
fety
ris
k as
sess
men
ts o
n a
regu
lar
basi
s, to
incl
ude:
•
wor
king
env
ironm
ent;
• m
achi
nery
, che
mic
als
and
othe
r ha
zard
s;•
wor
kers
in h
azar
dous
role
s;•
youn
g w
orke
rs, t
he d
isab
led,
wom
en a
nd o
ther
pot
entia
lly v
ulne
rabl
e w
orke
rs;
• ni
ght w
orke
rs;
• fir
e ri
sks;
• w
orke
r fa
ciliti
es a
nd re
sour
ces.
❒ M
anag
emen
t m
ust e
nsur
e th
at a
ppro
pria
te a
nd e
ffec
tive
per
sona
l pro
tecti
ve e
quip
men
t is
prov
ided
to w
orke
rs
(see
PPE
bel
ow, f
or m
ore
deta
iled
info
rmati
on).
❒ C
hem
ical
han
dlin
g an
d di
spos
al p
roce
dure
s m
ust b
e in
pla
ce (s
ee b
elow
for
mor
e de
taile
d in
form
ation
).
❒ E
quip
men
t an
d m
aint
enan
ce p
roce
dure
s fo
r m
achi
nery
and
tool
s m
ust b
e in
pla
ce (s
ee b
elow
for
mor
e de
taile
d in
form
ation
).
❒ V
enti
lati
on, l
ighti
ng, t
empe
ratu
re, n
oise
and
vib
rati
on m
onit
orin
g pr
oced
ures
mus
t be
in p
lace
(see
bel
ow fo
r m
ore
deta
iled
info
rmati
on).
❒ R
evie
w e
mer
genc
y an
d ac
cide
nt p
roce
dure
s. S
peci
fical
ly:
• fir
e ev
acua
tion
proc
edur
es;
• ac
cide
nts
proc
edur
es;
• fir
st a
id a
rran
gem
ents
.
❒ T
here
sho
uld
be a
Hea
lth
and
safe
ty C
omm
ittee
on-
site
, and
ther
e m
ust b
e w
orke
r re
pres
enta
tion
on
the
com
mitt
ee.
❒ A
ppro
pria
te H
&S
trai
ning
sho
uld
be a
vaila
ble
for
all w
orke
rs.
❒ F
irst
aid
ris
k as
sess
men
ts a
nd re
cord
s of
inju
ries
and
acc
iden
ts s
houl
d be
che
cked
to e
nsur
e th
at r
isks
are
min
imis
ed
and
acci
dent
s ar
e in
vesti
gate
d to
pre
vent
sim
ilar
occu
rren
ces
in th
e fu
ture
.
5.4
Phys
ical
Em
ploy
men
t sit
e In
spec
tion
❒ T
here
are
at l
east
2 u
nloc
ked/
unbl
ocke
d fir
e ex
its
on e
ach
floor
of t
he e
mpl
oym
ent s
ite.
❒ T
here
are
a s
uffici
ent n
umbe
r of
fire
exti
ngui
sher
s, fi
re h
ydra
nts
and
spri
nkle
rs to
pro
vide
suffi
cien
t cov
erag
e
for
the
who
le e
mpl
oym
ent
site
.
❒ A
ll fir
e sa
fety
equ
ipm
ent s
houl
d be
app
ropr
iate
and
hav
e be
en c
heck
ed w
ithi
n th
e pa
st y
ear.
❒ A
ll fir
e ex
it s
igna
ge s
houl
d be
cle
arly
vis
ible
and
fire
exi
ts m
ust n
ot b
e bl
ocke
d.
❒ T
here
are
Mat
eria
l Saf
ety
Dat
a Sh
eets
(MSD
S) fo
r al
l haz
ardo
us m
ater
ials
/ c
hem
ical
s.
❒ R
evie
w s
afet
y ar
rang
emen
ts a
t wor
k st
ation
s.
❒ M
SDS
shou
ld b
e pr
esen
t in
all
area
s w
here
che
mic
als
are
stor
ed a
nd h
andl
ed.
❒ A
ll ha
zard
ous
chem
ical
s m
ust b
e ap
prop
riat
ely
labe
lled.
❒ C
heck
mac
hine
ry a
nd/o
r to
ols
to e
nsur
e th
at s
afet
y de
vice
s ar
e in
pla
ce a
nd th
at s
taff
use
PPE
cor
rect
ly.
❒ R
evie
w v
enti
lati
on, l
ighti
ng; t
empe
ratu
re, n
oise
and
vib
rati
on to
ens
ure
all a
re a
ppro
pria
te
(see
bel
ow fo
r m
ore
deta
iled
info
rmati
on).
5.4.
1 A
ccom
mod
ation
❒ T
he a
ccom
mod
ation
bui
ldin
g (if
pro
vide
d) is
not
att
ache
d to
the
prod
ucti
on a
rea.
❒ A
ny a
ccom
mod
ation
bui
ldin
g sh
ould
be
stab
le a
nd s
afe.
❒ M
anag
emen
t m
ust p
rovi
de s
uffici
ent
toile
t fa
ciliti
es a
nd w
ashi
ng fa
ciliti
es fo
r al
l wor
kers
livi
ng in
the
acco
mm
odati
on.
❒ T
he e
mpl
oym
ent s
ite
shou
ld h
ave
loca
l fire
saf
ety
certi
ficati
on.
❒ T
here
are
at l
east
2 u
nloc
ked/
unbl
ocke
d fir
e ex
its
on e
ach
floor
.
❒ M
anag
emen
t sh
ould
ens
ure
that
they
pro
vide
a c
omfo
rtab
le a
nd s
afe
livin
g en
viro
nmen
t for
wor
kers
.
❒ T
he c
ooki
ng a
rea
shou
ld b
e sa
fe a
nd h
ygie
nic.
5.4.
2 Pe
rson
al P
rote
ctive
Equ
ipm
ent
❒ E
nsur
e PP
E is
free
ly a
vaila
ble
in th
e w
orkp
lace
(e.g
. dis
trib
ution
poi
nts)
.
❒ E
nsur
e PP
E is
free
ly a
vaila
ble
for
hom
ewor
kers
.
❒ R
evie
w w
orke
rs’ u
se o
f PPE
in th
e w
orkp
lace
and
at h
ome
(for
hom
ewor
kers
).
❒ E
nsur
e th
at a
ll w
orke
rs a
re u
sing
PPE
whe
re it
is n
eces
sary
.
5.4.
3 M
achi
nery
and
Too
ls
❒ M
achi
nery
sho
uld
be in
goo
d co
nditi
on, w
ith
brea
k do
wns
kep
t to
a m
inim
um.
❒ R
evie
w m
achi
nery
han
dboo
ks to
und
erst
and
freq
uenc
y of
bre
akdo
wns
.
…A
ppen
dix
2: G
SCP
Refe
renc
e Pr
e-A
udit
Em
ploy
men
t Sit
e Pr
ofile
App
endi
x 3:
GSC
P Re
fere
nce
Aud
it C
heck
s
App
endi
x 4:
GSC
P Re
fere
nce
Ale
rt N
otific
ation
App
endi
x 5:
GSC
P Re
fere
nce
Aud
it R
epor
t
App
endi
x 6:
GSC
P Re
fere
nce
Supp
lem
enta
ry A
udit
Info
rmati
on
A
ppen
dix
7: G
SCP
Refe
renc
e Su
mm
ary
of F
indi
ngs
and
Corr
ecti
ve A
ction
s
App
endi
x 1:
GSC
P Re
fere
nce
Self
Ass
essm
ent Q
uesti
onna
ire
…
GLOBAL SOCIAL COMPLIANCE PROGRAMME_25
INTR
OD
UCTIO
NA
UD
IT REQ
UEST
AU
DIT EX
ECUTIO
NPR
EPAR
ATION
AU
DIT O
UTPU
TSG
LOSSA
RY
APPEN
DICES
RISK A
SSESSMEN
T SYSTEM
APPENDIX 3: GSCP REFERENCE AUDIT CHECKS
AUDIT PROCESS AND METHODOLOGY REFERENCE TOOLS - OCTOBER 2009
❒ M
anag
emen
t sh
ould
ens
ure
that
ste
ps a
re ta
ken
to m
inim
ise
acci
dent
s an
d in
juri
es o
n-si
te.
❒ M
anag
emen
t sh
ould
und
erta
ke a
ppro
pria
te h
ealt
h an
d sa
fety
ris
k as
sess
men
ts o
n a
regu
lar
basi
s, to
incl
ude:
•
wor
king
env
ironm
ent;
• m
achi
nery
, che
mic
als
and
othe
r ha
zard
s;•
wor
kers
in h
azar
dous
role
s;•
youn
g w
orke
rs, t
he d
isab
led,
wom
en a
nd o
ther
pot
entia
lly v
ulne
rabl
e w
orke
rs;
• ni
ght w
orke
rs;
• fir
e ri
sks;
• w
orke
r fa
ciliti
es a
nd re
sour
ces.
❒ M
anag
emen
t m
ust e
nsur
e th
at a
ppro
pria
te a
nd e
ffec
tive
per
sona
l pro
tecti
ve e
quip
men
t is
prov
ided
to w
orke
rs
(see
PPE
bel
ow, f
or m
ore
deta
iled
info
rmati
on).
❒ C
hem
ical
han
dlin
g an
d di
spos
al p
roce
dure
s m
ust b
e in
pla
ce (s
ee b
elow
for
mor
e de
taile
d in
form
ation
).
❒ E
quip
men
t an
d m
aint
enan
ce p
roce
dure
s fo
r m
achi
nery
and
tool
s m
ust b
e in
pla
ce (s
ee b
elow
for
mor
e de
taile
d in
form
ation
).
❒ V
enti
lati
on, l
ighti
ng, t
empe
ratu
re, n
oise
and
vib
rati
on m
onit
orin
g pr
oced
ures
mus
t be
in p
lace
(see
bel
ow fo
r m
ore
deta
iled
info
rmati
on).
❒ R
evie
w e
mer
genc
y an
d ac
cide
nt p
roce
dure
s. S
peci
fical
ly:
• fir
e ev
acua
tion
proc
edur
es;
• ac
cide
nts
proc
edur
es;
• fir
st a
id a
rran
gem
ents
.
❒ T
here
sho
uld
be a
Hea
lth
and
safe
ty C
omm
ittee
on-
site
, and
ther
e m
ust b
e w
orke
r re
pres
enta
tion
on
the
com
mitt
ee.
❒ A
ppro
pria
te H
&S
trai
ning
sho
uld
be a
vaila
ble
for
all w
orke
rs.
❒ F
irst
aid
ris
k as
sess
men
ts a
nd re
cord
s of
inju
ries
and
acc
iden
ts s
houl
d be
che
cked
to e
nsur
e th
at r
isks
are
min
imis
ed
and
acci
dent
s ar
e in
vesti
gate
d to
pre
vent
sim
ilar
occu
rren
ces
in th
e fu
ture
.
5.4
Phys
ical
Em
ploy
men
t sit
e In
spec
tion
❒ T
here
are
at l
east
2 u
nloc
ked/
unbl
ocke
d fir
e ex
its
on e
ach
floor
of t
he e
mpl
oym
ent s
ite.
❒ T
here
are
a s
uffici
ent n
umbe
r of
fire
exti
ngui
sher
s, fi
re h
ydra
nts
and
spri
nkle
rs to
pro
vide
suffi
cien
t cov
erag
e
for
the
who
le e
mpl
oym
ent
site
.
❒ A
ll fir
e sa
fety
equ
ipm
ent s
houl
d be
app
ropr
iate
and
hav
e be
en c
heck
ed w
ithi
n th
e pa
st y
ear.
❒ A
ll fir
e ex
it s
igna
ge s
houl
d be
cle
arly
vis
ible
and
fire
exi
ts m
ust n
ot b
e bl
ocke
d.
❒ T
here
are
Mat
eria
l Saf
ety
Dat
a Sh
eets
(MSD
S) fo
r al
l haz
ardo
us m
ater
ials
/ c
hem
ical
s.
❒ R
evie
w s
afet
y ar
rang
emen
ts a
t wor
k st
ation
s.
❒ M
SDS
shou
ld b
e pr
esen
t in
all
area
s w
here
che
mic
als
are
stor
ed a
nd h
andl
ed.
❒ A
ll ha
zard
ous
chem
ical
s m
ust b
e ap
prop
riat
ely
labe
lled.
❒ C
heck
mac
hine
ry a
nd/o
r to
ols
to e
nsur
e th
at s
afet
y de
vice
s ar
e in
pla
ce a
nd th
at s
taff
use
PPE
cor
rect
ly.
❒ R
evie
w v
enti
lati
on, l
ighti
ng; t
empe
ratu
re, n
oise
and
vib
rati
on to
ens
ure
all a
re a
ppro
pria
te
(see
bel
ow fo
r m
ore
deta
iled
info
rmati
on).
5.4.
1 A
ccom
mod
ation
❒ T
he a
ccom
mod
ation
bui
ldin
g (if
pro
vide
d) is
not
att
ache
d to
the
prod
ucti
on a
rea.
❒ A
ny a
ccom
mod
ation
bui
ldin
g sh
ould
be
stab
le a
nd s
afe.
❒ M
anag
emen
t m
ust p
rovi
de s
uffici
ent
toile
t fa
ciliti
es a
nd w
ashi
ng fa
ciliti
es fo
r al
l wor
kers
livi
ng in
the
acco
mm
odati
on.
❒ T
he e
mpl
oym
ent s
ite
shou
ld h
ave
loca
l fire
saf
ety
certi
ficati
on.
❒ T
here
are
at l
east
2 u
nloc
ked/
unbl
ocke
d fir
e ex
its
on e
ach
floor
.
❒ M
anag
emen
t sh
ould
ens
ure
that
they
pro
vide
a c
omfo
rtab
le a
nd s
afe
livin
g en
viro
nmen
t for
wor
kers
.
❒ T
he c
ooki
ng a
rea
shou
ld b
e sa
fe a
nd h
ygie
nic.
5.4.
2 Pe
rson
al P
rote
ctive
Equ
ipm
ent
❒ E
nsur
e PP
E is
free
ly a
vaila
ble
in th
e w
orkp
lace
(e.g
. dis
trib
ution
poi
nts)
.
❒ E
nsur
e PP
E is
free
ly a
vaila
ble
for
hom
ewor
kers
.
❒ R
evie
w w
orke
rs’ u
se o
f PPE
in th
e w
orkp
lace
and
at h
ome
(for
hom
ewor
kers
).
❒ E
nsur
e th
at a
ll w
orke
rs a
re u
sing
PPE
whe
re it
is n
eces
sary
.
5.4.
3 M
achi
nery
and
Too
ls
❒ M
achi
nery
sho
uld
be in
goo
d co
nditi
on, w
ith
brea
k do
wns
kep
t to
a m
inim
um.
❒ R
evie
w m
achi
nery
han
dboo
ks to
und
erst
and
freq
uenc
y of
bre
akdo
wns
.
…
Appendix 2: G
SCP Reference Pre-Audit Em
ployment Site Profile
Appendix 3: G
SCP Reference Audit Checks
Appendix 4: G
SCP Reference Alert N
otificati
on
Appendix 5: G
SCP Reference Audit Report
Appendix 6: G
SCP Reference Supplementary A
udit Informati
on A
ppendix 7: GSCP Reference Sum
mary of Findings and Correcti
ve Acti
ons
Appendix 1: G
SCP Reference Self Assessm
ent Questi
onnaire…
26_GLOBAL SOCIAL COMPLIANCE PROGRAMME
INTR
OD
UCT
ION
AU
DIT
REQ
UES
TA
UD
IT E
XEC
UTI
ON
PR
EPA
RAT
ION
A
UD
IT O
UTP
UTS
GLO
SSA
RY
APP
END
ICES
RIS
K A
SSES
SMEN
T SY
STEM
APPENDIX 3: GSCP REFERENCE AUDIT CHECKS
AUDIT PROCESS AND METHODOLOGY REFERENCE TOOLS - OCTOBER 2009
… 5.4.
4 Ch
emic
als
❒ M
anag
emen
t sh
ould
kee
p a
haza
rdou
s ch
emic
als
inve
ntor
y.
❒ M
anag
emen
t sh
ould
ens
ure
that
che
mic
als
hand
ling
& s
tora
ge p
racti
ces
in th
e w
orkp
lace
(inc
lude
d la
belli
ng
and
disp
osal
) are
wel
l defi
ned
and
com
mun
icat
ed to
all
wor
kers
.
❒ W
here
nec
essa
ry, i
nfor
mati
on re
lati
ng to
the
use
of h
azar
dous
che
mic
als
shou
ld b
e pr
ovid
ed in
alte
rnati
ve la
ngua
ge(s
).
5.4.
5 Ve
ntila
tion
❒ E
nsur
e th
e ve
ntila
tion
sys
tem
is s
uffici
ent a
nd s
uita
ble.
❒ C
heck
whe
ther
ven
tila
tion
is n
atur
al o
r ar
tific
ial o
r bo
th.
❒ V
enti
lati
on is
sup
plyi
ng fr
esh
or p
urifi
ed a
ir.
5.4.
6 Li
ghtin
g
❒ T
he li
ghti
ng s
yste
m is
suffi
cien
t an
d su
itab
le.
❒ W
heth
er it
is n
atur
al li
ghti
ng.
❒ R
evie
w li
ghti
ng d
istr
ibuti
on a
nd u
sage
con
diti
ons.
5.4.
7 Te
mpe
ratu
re
❒ T
he te
mpe
ratu
re o
f the
em
ploy
men
t si
te is
com
fort
able
and
doe
s no
t fluc
tuat
e.
❒ A
ir c
ondi
tion
ing
and
heati
ng u
nits
are
in u
se to
ens
ure
that
the
tem
pera
ture
is re
ason
able
at a
ll ti
mes
.
5.4.
8 N
oise
and
Vib
ratio
ns
❒ W
heth
er n
oise
and
vib
rati
on le
vels
are
like
ly to
hav
e ha
rmfu
l eff
ects
on
wor
kers
.
❒ P
PE is
pro
vide
d to
pre
vent
har
mfu
l eff
ects
on
wor
kers
as
a re
sult
of n
oise
or
vibr
ation
.
5.4.
9 Fi
rst A
id
❒ R
evie
w a
vaila
bilit
y of
app
ropr
iate
firs
t aid
/med
ical
faci
lities
on-
site
:•
chec
k di
spen
sary
or
first
‐aid
pos
ts, c
upbo
ards
, box
es o
r ki
ts;
• ex
pira
tion
date
of fi
rst a
id s
uppl
ies.
5.4.
10 M
anuf
actu
ring
Hyg
iene
Man
agem
ent (
food
and
non
food
)
❒ E
mpl
oym
ent
site
sho
uld
have
pro
cedu
res
for
the
follo
win
g:•
craw
ling
and
flyin
g pe
st c
ontr
ols;
• co
ntro
l of f
orei
gn b
odie
s.
5.4.
11 D
rink
ing
Wat
er
❒ P
otab
le w
ater
mus
t be
mad
e fr
eely
ava
ilabl
e fo
r al
l wor
kers
.
❒ W
orke
rs h
ave
free
acc
ess
to p
otab
le w
ater
wit
hin
acco
mm
odati
on.
❒ W
orke
rs a
re a
ble
to le
ave
thei
r w
ork
stati
ons
at w
ill fo
r th
e pu
rpos
e of
acc
essi
ng d
rink
ing
wat
er.
5.4.
12 T
oile
t Fac
ilitie
s
❒ T
here
are
suffi
cien
t nu
mbe
rs o
f cle
an a
nd h
ygie
nic
toile
ts, w
hich
are
sep
arat
ed b
y ge
nder
. Th
ere
may
be
lega
l reg
ulati
ons
re: t
he n
umbe
r of
toile
ts w
hich
are
requ
ired
dep
endi
ng o
n th
e si
ze o
f the
wor
kfor
ce.
❒ E
nsur
e th
e cl
eani
ng a
rran
gem
ents
(e.g
.: ex
tern
al o
r in
tern
al c
lean
ers,
cle
anin
g fr
eque
ncy,
etc
.) a
re s
uffici
ent a
nd
freq
uent
eno
ugh
to m
aint
ain
clea
n to
ilet f
acili
ties
.
❒ A
ll w
orke
rs h
ave
free
acc
ess
to to
ilets
and
are
abl
e to
leav
e th
eir w
ork
stati
ons
at w
ill in
ord
er to
acc
ess
thes
e fa
ciliti
es.
5.4.
13 F
ood
Prep
arati
on a
nd S
tora
ge
❒ M
anag
emen
t sh
ould
ens
ure
hygi
enic
con
diti
ons
of th
e fo
od p
repa
rati
on a
nd fo
od s
tora
ge a
reas
.
5.4.
14 F
ire S
afet
y Pr
ecau
tions
❒ S
afeg
uard
s ag
ains
t fire
are
pro
vide
d, in
clud
ing:
• fir
e ex
tingu
ishe
rs a
nd /
or
hose
s;•
fire
and
smok
e de
tect
ors;
•
emer
genc
y ex
its w
hich
ope
n ou
twar
ds a
nd a
re u
nloc
ked
/ un
bloc
ked
at a
ll tim
es;
• fir
e ex
it an
d w
arni
ng s
igna
ge;
• ha
zard
/ e
mer
genc
y lig
hting
whi
ch r
uns
in th
e ev
ent o
f a p
ower
cut
or
emer
genc
y;•
fire
alar
ms
whi
ch c
an b
e ac
tivat
ed b
y de
tect
ors
or w
orke
rs a
nd c
an b
e he
ard
thro
ugho
ut th
e em
ploy
men
t site
.
❒ F
ire
safe
ty e
quip
men
t is
regu
larl
y m
aint
aine
d w
ith
wri
tten
doc
umen
tati
on a
nd th
at it
is in
goo
d co
nditi
ons.
❒ T
here
are
at l
east
2 u
nloc
ked/
unbl
ocke
d fir
e ex
its
on e
ach
floor
in th
e em
ploy
men
t sit
e an
d an
y ac
com
mod
ation
.
App
endi
x 2:
GSC
P Re
fere
nce
Pre-
Aud
it E
mpl
oym
ent S
ite
Profi
le
A
ppen
dix
3: G
SCP
Refe
renc
e A
udit
Che
cks
A
ppen
dix
4: G
SCP
Refe
renc
e A
lert
Noti
ficati
on
App
endi
x 5:
GSC
P Re
fere
nce
Aud
it R
epor
t
App
endi
x 6:
GSC
P Re
fere
nce
Supp
lem
enta
ry A
udit
Info
rmati
on
A
ppen
dix
7: G
SCP
Refe
renc
e Su
mm
ary
of F
indi
ngs
and
Corr
ecti
ve A
ction
s
App
endi
x 1:
GSC
P Re
fere
nce
Self
Ass
essm
ent Q
uesti
onna
ire
…
GLOBAL SOCIAL COMPLIANCE PROGRAMME_27
INTR
OD
UCTIO
NA
UD
IT REQ
UEST
AU
DIT EX
ECUTIO
NPR
EPAR
ATION
AU
DIT O
UTPU
TSG
LOSSA
RY
APPEN
DICES
RISK A
SSESSMEN
T SYSTEM
APPENDIX 3: GSCP REFERENCE AUDIT CHECKS
AUDIT PROCESS AND METHODOLOGY REFERENCE TOOLS - OCTOBER 2009
5.4.
4 Ch
emic
als
❒ M
anag
emen
t sh
ould
kee
p a
haza
rdou
s ch
emic
als
inve
ntor
y.
❒ M
anag
emen
t sh
ould
ens
ure
that
che
mic
als
hand
ling
& s
tora
ge p
racti
ces
in th
e w
orkp
lace
(inc
lude
d la
belli
ng
and
disp
osal
) are
wel
l defi
ned
and
com
mun
icat
ed to
all
wor
kers
.
❒ W
here
nec
essa
ry, i
nfor
mati
on re
lati
ng to
the
use
of h
azar
dous
che
mic
als
shou
ld b
e pr
ovid
ed in
alte
rnati
ve la
ngua
ge(s
).
5.4.
5 Ve
ntila
tion
❒ E
nsur
e th
e ve
ntila
tion
sys
tem
is s
uffici
ent a
nd s
uita
ble.
❒ C
heck
whe
ther
ven
tila
tion
is n
atur
al o
r ar
tific
ial o
r bo
th.
❒ V
enti
lati
on is
sup
plyi
ng fr
esh
or p
urifi
ed a
ir.
5.4.
6 Li
ghtin
g
❒ T
he li
ghti
ng s
yste
m is
suffi
cien
t an
d su
itab
le.
❒ W
heth
er it
is n
atur
al li
ghti
ng.
❒ R
evie
w li
ghti
ng d
istr
ibuti
on a
nd u
sage
con
diti
ons.
5.4.
7 Te
mpe
ratu
re
❒ T
he te
mpe
ratu
re o
f the
em
ploy
men
t si
te is
com
fort
able
and
doe
s no
t fluc
tuat
e.
❒ A
ir c
ondi
tion
ing
and
heati
ng u
nits
are
in u
se to
ens
ure
that
the
tem
pera
ture
is re
ason
able
at a
ll ti
mes
.
5.4.
8 N
oise
and
Vib
ratio
ns
❒ W
heth
er n
oise
and
vib
rati
on le
vels
are
like
ly to
hav
e ha
rmfu
l eff
ects
on
wor
kers
.
❒ P
PE is
pro
vide
d to
pre
vent
har
mfu
l eff
ects
on
wor
kers
as
a re
sult
of n
oise
or
vibr
ation
.
5.4.
9 Fi
rst A
id
❒ R
evie
w a
vaila
bilit
y of
app
ropr
iate
firs
t aid
/med
ical
faci
lities
on-
site
:•
chec
k di
spen
sary
or
first
‐aid
pos
ts, c
upbo
ards
, box
es o
r ki
ts;
• ex
pira
tion
date
of fi
rst a
id s
uppl
ies.
5.4.
10 M
anuf
actu
ring
Hyg
iene
Man
agem
ent (
food
and
non
food
)
❒ E
mpl
oym
ent
site
sho
uld
have
pro
cedu
res
for
the
follo
win
g:•
craw
ling
and
flyin
g pe
st c
ontr
ols;
• co
ntro
l of f
orei
gn b
odie
s.
5.4.
11 D
rink
ing
Wat
er
❒ P
otab
le w
ater
mus
t be
mad
e fr
eely
ava
ilabl
e fo
r al
l wor
kers
.
❒ W
orke
rs h
ave
free
acc
ess
to p
otab
le w
ater
wit
hin
acco
mm
odati
on.
❒ W
orke
rs a
re a
ble
to le
ave
thei
r w
ork
stati
ons
at w
ill fo
r th
e pu
rpos
e of
acc
essi
ng d
rink
ing
wat
er.
5.4.
12 T
oile
t Fac
ilitie
s
❒ T
here
are
suffi
cien
t nu
mbe
rs o
f cle
an a
nd h
ygie
nic
toile
ts, w
hich
are
sep
arat
ed b
y ge
nder
. Th
ere
may
be
lega
l reg
ulati
ons
re: t
he n
umbe
r of
toile
ts w
hich
are
requ
ired
dep
endi
ng o
n th
e si
ze o
f the
wor
kfor
ce.
❒ E
nsur
e th
e cl
eani
ng a
rran
gem
ents
(e.g
.: ex
tern
al o
r in
tern
al c
lean
ers,
cle
anin
g fr
eque
ncy,
etc
.) a
re s
uffici
ent a
nd
freq
uent
eno
ugh
to m
aint
ain
clea
n to
ilet f
acili
ties
.
❒ A
ll w
orke
rs h
ave
free
acc
ess
to to
ilets
and
are
abl
e to
leav
e th
eir w
ork
stati
ons
at w
ill in
ord
er to
acc
ess
thes
e fa
ciliti
es.
5.4.
13 F
ood
Prep
arati
on a
nd S
tora
ge
❒ M
anag
emen
t sh
ould
ens
ure
hygi
enic
con
diti
ons
of th
e fo
od p
repa
rati
on a
nd fo
od s
tora
ge a
reas
.
5.4.
14 F
ire S
afet
y Pr
ecau
tions
❒ S
afeg
uard
s ag
ains
t fire
are
pro
vide
d, in
clud
ing:
• fir
e ex
tingu
ishe
rs a
nd /
or
hose
s;•
fire
and
smok
e de
tect
ors;
•
emer
genc
y ex
its w
hich
ope
n ou
twar
ds a
nd a
re u
nloc
ked
/ un
bloc
ked
at a
ll tim
es;
• fir
e ex
it an
d w
arni
ng s
igna
ge;
• ha
zard
/ e
mer
genc
y lig
hting
whi
ch r
uns
in th
e ev
ent o
f a p
ower
cut
or
emer
genc
y;•
fire
alar
ms
whi
ch c
an b
e ac
tivat
ed b
y de
tect
ors
or w
orke
rs a
nd c
an b
e he
ard
thro
ugho
ut th
e em
ploy
men
t site
.
❒ F
ire
safe
ty e
quip
men
t is
regu
larl
y m
aint
aine
d w
ith
wri
tten
doc
umen
tati
on a
nd th
at it
is in
goo
d co
nditi
ons.
❒ T
here
are
at l
east
2 u
nloc
ked/
unbl
ocke
d fir
e ex
its
on e
ach
floor
in th
e em
ploy
men
t sit
e an
d an
y ac
com
mod
ation
.
Appendix 2: G
SCP Reference Pre-Audit Em
ployment Site Profile
Appendix 3: G
SCP Reference Audit Checks
Appendix 4: G
SCP Reference Alert N
otificati
on
Appendix 5: G
SCP Reference Audit Report
Appendix 6: G
SCP Reference Supplementary A
udit Informati
on A
ppendix 7: GSCP Reference Sum
mary of Findings and Correcti
ve Acti
ons
Appendix 1: G
SCP Reference Self Assessm
ent Questi
onnaire…
28_GLOBAL SOCIAL COMPLIANCE PROGRAMME
INTR
OD
UCT
ION
AU
DIT
REQ
UES
TA
UD
IT E
XEC
UTI
ON
PR
EPA
RAT
ION
A
UD
IT O
UTP
UTS
GLO
SSA
RY
APP
END
ICES
RIS
K A
SSES
SMEN
T SY
STEM
APPENDIX 3: GSCP REFERENCE AUDIT CHECKS
AUDIT PROCESS AND METHODOLOGY REFERENCE TOOLS - OCTOBER 2009 6.
Wag
es, B
enefi
ts a
nd T
erm
s of
Em
ploy
men
tEm
ploy
men
t sit
e Re
quir
emen
ts:
1. w
ork
perf
orm
ed is
on
the
basi
s of
a re
cogn
ised
em
ploy
men
t rel
ation
ship
;
2. o
blig
ation
s to
wor
kers
and
man
agem
ent a
re m
et;
3. w
ages
, ov
ertim
e pa
y, b
enefi
ts a
nd p
aid
leav
es a
re d
uly
prov
ided
to
wor
kers
and
mee
t or
exc
eed
lega
l m
inim
um a
nd/o
r in
dust
ry b
ench
mar
k st
anda
rds
and/
or
colle
ctive
agr
eem
ents
, whi
chev
er is
hig
her.
Com
pens
ation
sho
uld
also
mee
t bas
ic n
eeds
and
pro
vide
som
e di
scre
tiona
ry in
com
e to
wor
kers
and
thei
r fa
mily
;
4. w
orke
rs a
re p
rovi
ded
with
wri
tten
and
com
preh
ensi
ble
info
rmati
on a
bout
the
ir e
mpl
oym
ent
cond
ition
s, in
clud
ing
wag
es, b
efor
e th
ey e
nter
into
em
ploy
men
t; a
nd
they
rece
ive
deta
ils o
f the
ir w
ages
for
the
pay
peri
od c
once
rned
eac
h tim
e th
ey a
re p
aid;
5. n
o de
ducti
ons
are
mad
e fr
om w
ages
for u
naut
horis
ed re
ason
s or
reas
ons
not p
rovi
ded
for b
y na
tiona
l law
and
that
suc
h de
ducti
ons
are
not u
sed
as a
dis
cipl
inar
y m
easu
re;
6. a
ll w
orke
rs a
re p
rovi
ded
with
all
lega
lly re
quire
d be
nefit
s, in
clud
ing
paid
leav
e;
7. w
orke
rs a
re c
ompe
nsat
ed fo
r al
l ove
rtim
e at
a p
rem
ium
rate
.
The
follo
win
g ch
ecks
are
inte
nded
as
guid
ance
and
sho
uld
not l
imit
aud
it a
ctivi
ties
.
EVID
ENCE
GAT
HER
ING
ON
WA
GES
, BEN
EFIT
S A
ND
TER
MS
OF
EMPL
OYM
ENT
COM
MEN
TS
6.1
Doc
umen
t Che
cks
6.1.
1 Pa
yrol
l and
Att
enda
nce
❒ A
ll w
orke
rs (i
nclu
ding
par
t-ti
me,
hom
e, a
genc
y an
d ca
sual
wor
kers
) rec
eive
at l
east
the
lega
l min
imum
wag
e fo
r al
l sta
ndar
d w
orki
ng h
ours
. (W
here
ther
e ar
e le
gal m
inim
um w
ages
gra
des,
for
exam
ple
base
d on
ski
ll, th
e au
dito
r sh
ould
che
ck th
at w
orke
rs re
ceiv
e th
e ap
plic
able
lega
l min
imum
wag
e).
❒ W
orke
rs a
re n
ot d
epen
dent
on
over
tim
e pa
y to
ach
ieve
a w
age
that
allo
ws
wor
kers
to m
eet b
asic
nee
ds a
nd p
rovi
des
them
wit
h so
me
disc
reti
onar
y in
com
e.
❒ W
orke
rs a
re p
aid
regu
larl
y, a
t lea
st o
nce
per
mon
th a
nd in
line
wit
h th
eir
cont
ract
of e
mpl
oym
ent.
❒ W
orke
rs a
re p
aid
by c
ash,
che
que
or b
ank
tran
sfer
and
not
in k
ind.
❒ N
ight
wor
kers
are
pai
d a
prem
ium
whi
ch is
at l
east
in li
ne w
ith
loca
l law
.
❒ R
ecor
ds p
erta
inin
g to
ex-
wor
kers
sho
uld
be c
heck
ed to
ens
ure
that
they
hav
e re
ceiv
ed:
• fin
al s
alar
y pa
ymen
ts;
• pa
y fo
r un
used
leav
e or
oth
er o
utst
andi
ng p
aym
ents
;•
all r
equi
red
bene
fits;
•
any
seve
ranc
e pa
y du
e to
them
.
❒ C
ross
che
ck a
tten
danc
e re
cord
s, p
ay re
cord
s an
d ho
liday
reco
rds
to e
nsur
e th
at th
ey a
re c
onsi
sten
t.
❒ P
iece
rate
wor
kers
:•
chec
k th
e w
age
calc
ulati
on s
yste
m a
pplic
able
to p
iece
rate
s;•
piec
e ra
te w
orke
rs s
houl
d be
pai
d at
leas
t the
lega
l min
imum
wag
e fo
r al
l hou
rs w
orke
d;•
chec
k th
e m
ode
and
freq
uenc
y of
pay
men
ts to
pie
ce ra
te w
orke
rs;
• ch
eck
that
wag
e re
cord
s cl
earl
y de
mon
stra
te h
ow o
verti
me
rate
s ar
e ca
lcul
ated
.
❒ O
verti
me
shou
ld b
e pa
id a
t a p
rem
ium
(the
re m
ay b
e le
gal r
equi
rem
ents
whi
ch h
ave
to b
e m
et. I
n an
y ca
se th
e pr
emiu
m s
houl
d be
sig
nific
ant e
noug
h fo
r it
to b
e co
nsid
ered
a ‘p
rem
ium
’ e.g
. 125
% o
f the
nor
mal
rate
).
❒ M
inim
um le
gal r
equi
rem
ents
for
over
tim
e pr
emiu
ms
shou
ld b
e pa
id to
all
wor
kers
for:
• w
ork
over
nor
mal
dai
ly w
orki
ng h
ours
;•
wor
k ov
er n
orm
al w
eekl
y w
orki
ng h
ours
;•
wor
k on
wee
kly
rest
day
s;•
wor
k on
pub
lic h
olid
ays;
• w
ork
duri
ng a
nnua
l lea
ve d
ays;
• ni
ght w
ork.
❒ F
or h
ourl
y pa
id w
orke
rs, o
verti
me
pay
shou
ld b
e ca
lcul
ated
usi
ng th
e co
rrec
t mul
tipl
es o
f eac
h w
orke
r’s
basi
c w
age.
❒ D
educ
tion
s:•
dedu
ction
s sh
ould
be
clea
r, le
gal a
nd in
pro
porti
on to
the
tota
l wag
e (t
here
may
be
lega
l res
tric
tions
on
the
max
imum
am
ount
whi
ch c
an b
e ta
ken
for
one
sing
le d
educ
tion,
and
the
tota
l am
ount
whi
ch c
an b
e de
duct
ed fr
om w
ages
for
each
pay
per
iod)
;•
whe
re d
educ
tions
are
for
the
reim
burs
emen
t of l
oss
of o
r da
mag
e to
the
empl
oyer
’s p
rope
rty,
che
ck th
at th
ey
only
occ
ur w
here
it is
lega
lly p
erm
issi
ble
to d
o so
and
whe
n it
can
be c
lear
ly s
how
n th
at th
e w
orke
r co
ncer
ned
w
as re
spon
sibl
e. In
suc
h si
tuati
ons,
ded
uctio
ns s
houl
d be
fair
and
sho
uld
not e
xcee
d th
e am
ount
of l
oss
or d
amag
e ca
used
.
❒ P
art-
tim
e w
orke
rs:
• ch
eck
the
num
ber
of h
ours
wor
ked
by p
art‐
time
wor
kers
to e
nsur
e th
at th
ey a
re tr
uly
part
tim
e
(the
re m
ay b
e le
gal r
egul
ation
s on
the
max
imum
num
ber
of h
ours
they
can
wor
k.
6.1.
2 Pa
yslip
s
❒ R
evie
w a
sam
ple
of w
orke
rs’ p
aysl
ips
[hav
ing
soug
ht p
erm
issi
on];
the
follo
win
g in
form
ation
sho
uld
be in
clud
ed o
n w
age
or p
aysl
ips:
•
rate
s pa
yabl
e (b
ased
on
hour
s w
orke
d: s
tand
ard
and
over
time)
;•
the
num
ber
of h
ours
wor
ked
(sta
ndar
d an
d ov
ertim
e) a
nd a
ny d
educ
tions
;•
the
met
hod
of c
alcu
latin
g w
ages
;•
the
freq
uenc
y of
wag
e pa
ymen
ts;
• th
e pa
y pe
riod
con
cern
ed;
• th
e m
etho
d of
pay
men
t;•
any
dedu
ction
s fr
om w
ages
(e.g
. tax
, soc
ial /
nati
onal
insu
ranc
e, re
nt, t
rans
port
etc
) and
the
cond
ition
s un
der
whi
ch
dedu
ction
s ha
ve b
een
mad
e.
App
endi
x 2:
GSC
P Re
fere
nce
Pre-
Aud
it E
mpl
oym
ent S
ite
Profi
le
A
ppen
dix
3: G
SCP
Refe
renc
e A
udit
Che
cks
A
ppen
dix
4: G
SCP
Refe
renc
e A
lert
Noti
ficati
on
App
endi
x 5:
GSC
P Re
fere
nce
Aud
it R
epor
t
App
endi
x 6:
GSC
P Re
fere
nce
Supp
lem
enta
ry A
udit
Info
rmati
on
A
ppen
dix
7: G
SCP
Refe
renc
e Su
mm
ary
of F
indi
ngs
and
Corr
ecti
ve A
ction
s
App
endi
x 1:
GSC
P Re
fere
nce
Self
Ass
essm
ent Q
uesti
onna
ire
…
GLOBAL SOCIAL COMPLIANCE PROGRAMME_29
INTR
OD
UCTIO
NA
UD
IT REQ
UEST
AU
DIT EX
ECUTIO
NPR
EPAR
ATION
AU
DIT O
UTPU
TSG
LOSSA
RY
APPEN
DICES
RISK A
SSESSMEN
T SYSTEM
APPENDIX 3: GSCP REFERENCE AUDIT CHECKS
AUDIT PROCESS AND METHODOLOGY REFERENCE TOOLS - OCTOBER 2009
6. W
ages
, Ben
efits
and
Ter
ms
of E
mpl
oym
ent
Empl
oym
ent s
ite
Requ
irem
ents
:
1. w
ork
perf
orm
ed is
on
the
basi
s of
a re
cogn
ised
em
ploy
men
t rel
ation
ship
;
2. o
blig
ation
s to
wor
kers
and
man
agem
ent a
re m
et;
3. w
ages
, ov
ertim
e pa
y, b
enefi
ts a
nd p
aid
leav
es a
re d
uly
prov
ided
to
wor
kers
and
mee
t or
exc
eed
lega
l m
inim
um a
nd/o
r in
dust
ry b
ench
mar
k st
anda
rds
and/
or
colle
ctive
agr
eem
ents
, whi
chev
er is
hig
her.
Com
pens
ation
sho
uld
also
mee
t bas
ic n
eeds
and
pro
vide
som
e di
scre
tiona
ry in
com
e to
wor
kers
and
thei
r fa
mily
;
4. w
orke
rs a
re p
rovi
ded
with
wri
tten
and
com
preh
ensi
ble
info
rmati
on a
bout
the
ir e
mpl
oym
ent
cond
ition
s, in
clud
ing
wag
es, b
efor
e th
ey e
nter
into
em
ploy
men
t; a
nd
they
rece
ive
deta
ils o
f the
ir w
ages
for
the
pay
peri
od c
once
rned
eac
h tim
e th
ey a
re p
aid;
5. n
o de
ducti
ons
are
mad
e fr
om w
ages
for u
naut
horis
ed re
ason
s or
reas
ons
not p
rovi
ded
for b
y na
tiona
l law
and
that
suc
h de
ducti
ons
are
not u
sed
as a
dis
cipl
inar
y m
easu
re;
6. a
ll w
orke
rs a
re p
rovi
ded
with
all
lega
lly re
quire
d be
nefit
s, in
clud
ing
paid
leav
e;
7. w
orke
rs a
re c
ompe
nsat
ed fo
r al
l ove
rtim
e at
a p
rem
ium
rate
.
The
follo
win
g ch
ecks
are
inte
nded
as
guid
ance
and
sho
uld
not l
imit
aud
it a
ctivi
ties
.
EVID
ENCE
GAT
HER
ING
ON
WA
GES
, BEN
EFIT
S A
ND
TER
MS
OF
EMPL
OYM
ENT
COM
MEN
TS
6.1
Doc
umen
t Che
cks
6.1.
1 Pa
yrol
l and
Att
enda
nce
❒ A
ll w
orke
rs (i
nclu
ding
par
t-ti
me,
hom
e, a
genc
y an
d ca
sual
wor
kers
) rec
eive
at l
east
the
lega
l min
imum
wag
e fo
r al
l sta
ndar
d w
orki
ng h
ours
. (W
here
ther
e ar
e le
gal m
inim
um w
ages
gra
des,
for
exam
ple
base
d on
ski
ll, th
e au
dito
r sh
ould
che
ck th
at w
orke
rs re
ceiv
e th
e ap
plic
able
lega
l min
imum
wag
e).
❒ W
orke
rs a
re n
ot d
epen
dent
on
over
tim
e pa
y to
ach
ieve
a w
age
that
allo
ws
wor
kers
to m
eet b
asic
nee
ds a
nd p
rovi
des
them
wit
h so
me
disc
reti
onar
y in
com
e.
❒ W
orke
rs a
re p
aid
regu
larl
y, a
t lea
st o
nce
per
mon
th a
nd in
line
wit
h th
eir
cont
ract
of e
mpl
oym
ent.
❒ W
orke
rs a
re p
aid
by c
ash,
che
que
or b
ank
tran
sfer
and
not
in k
ind.
❒ N
ight
wor
kers
are
pai
d a
prem
ium
whi
ch is
at l
east
in li
ne w
ith
loca
l law
.
❒ R
ecor
ds p
erta
inin
g to
ex-
wor
kers
sho
uld
be c
heck
ed to
ens
ure
that
they
hav
e re
ceiv
ed:
• fin
al s
alar
y pa
ymen
ts;
• pa
y fo
r un
used
leav
e or
oth
er o
utst
andi
ng p
aym
ents
;•
all r
equi
red
bene
fits;
•
any
seve
ranc
e pa
y du
e to
them
.
❒ C
ross
che
ck a
tten
danc
e re
cord
s, p
ay re
cord
s an
d ho
liday
reco
rds
to e
nsur
e th
at th
ey a
re c
onsi
sten
t.
❒ P
iece
rate
wor
kers
:•
chec
k th
e w
age
calc
ulati
on s
yste
m a
pplic
able
to p
iece
rate
s;•
piec
e ra
te w
orke
rs s
houl
d be
pai
d at
leas
t the
lega
l min
imum
wag
e fo
r al
l hou
rs w
orke
d;•
chec
k th
e m
ode
and
freq
uenc
y of
pay
men
ts to
pie
ce ra
te w
orke
rs;
• ch
eck
that
wag
e re
cord
s cl
earl
y de
mon
stra
te h
ow o
verti
me
rate
s ar
e ca
lcul
ated
.
❒ O
verti
me
shou
ld b
e pa
id a
t a p
rem
ium
(the
re m
ay b
e le
gal r
equi
rem
ents
whi
ch h
ave
to b
e m
et. I
n an
y ca
se th
e pr
emiu
m s
houl
d be
sig
nific
ant e
noug
h fo
r it
to b
e co
nsid
ered
a ‘p
rem
ium
’ e.g
. 125
% o
f the
nor
mal
rate
).
❒ M
inim
um le
gal r
equi
rem
ents
for
over
tim
e pr
emiu
ms
shou
ld b
e pa
id to
all
wor
kers
for:
• w
ork
over
nor
mal
dai
ly w
orki
ng h
ours
;•
wor
k ov
er n
orm
al w
eekl
y w
orki
ng h
ours
;•
wor
k on
wee
kly
rest
day
s;•
wor
k on
pub
lic h
olid
ays;
• w
ork
duri
ng a
nnua
l lea
ve d
ays;
• ni
ght w
ork.
❒ F
or h
ourl
y pa
id w
orke
rs, o
verti
me
pay
shou
ld b
e ca
lcul
ated
usi
ng th
e co
rrec
t mul
tipl
es o
f eac
h w
orke
r’s
basi
c w
age.
❒ D
educ
tion
s:•
dedu
ction
s sh
ould
be
clea
r, le
gal a
nd in
pro
porti
on to
the
tota
l wag
e (t
here
may
be
lega
l res
tric
tions
on
the
max
imum
am
ount
whi
ch c
an b
e ta
ken
for
one
sing
le d
educ
tion,
and
the
tota
l am
ount
whi
ch c
an b
e de
duct
ed fr
om w
ages
for
each
pay
per
iod)
;•
whe
re d
educ
tions
are
for
the
reim
burs
emen
t of l
oss
of o
r da
mag
e to
the
empl
oyer
’s p
rope
rty,
che
ck th
at th
ey
only
occ
ur w
here
it is
lega
lly p
erm
issi
ble
to d
o so
and
whe
n it
can
be c
lear
ly s
how
n th
at th
e w
orke
r co
ncer
ned
w
as re
spon
sibl
e. In
suc
h si
tuati
ons,
ded
uctio
ns s
houl
d be
fair
and
sho
uld
not e
xcee
d th
e am
ount
of l
oss
or d
amag
e ca
used
.
❒ P
art-
tim
e w
orke
rs:
• ch
eck
the
num
ber
of h
ours
wor
ked
by p
art‐
time
wor
kers
to e
nsur
e th
at th
ey a
re tr
uly
part
tim
e
(the
re m
ay b
e le
gal r
egul
ation
s on
the
max
imum
num
ber
of h
ours
they
can
wor
k.
6.1.
2 Pa
yslip
s
❒ R
evie
w a
sam
ple
of w
orke
rs’ p
aysl
ips
[hav
ing
soug
ht p
erm
issi
on];
the
follo
win
g in
form
ation
sho
uld
be in
clud
ed o
n w
age
or p
aysl
ips:
•
rate
s pa
yabl
e (b
ased
on
hour
s w
orke
d: s
tand
ard
and
over
time)
;•
the
num
ber
of h
ours
wor
ked
(sta
ndar
d an
d ov
ertim
e) a
nd a
ny d
educ
tions
;•
the
met
hod
of c
alcu
latin
g w
ages
;•
the
freq
uenc
y of
wag
e pa
ymen
ts;
• th
e pa
y pe
riod
con
cern
ed;
• th
e m
etho
d of
pay
men
t;•
any
dedu
ction
s fr
om w
ages
(e.g
. tax
, soc
ial /
nati
onal
insu
ranc
e, re
nt, t
rans
port
etc
) and
the
cond
ition
s un
der
whi
ch
dedu
ction
s ha
ve b
een
mad
e.
…
Appendix 2: G
SCP Reference Pre-Audit Em
ployment Site Profile
Appendix 3: G
SCP Reference Audit Checks
Appendix 4: G
SCP Reference Alert N
otificati
on
Appendix 5: G
SCP Reference Audit Report
Appendix 6: G
SCP Reference Supplementary A
udit Informati
on A
ppendix 7: GSCP Reference Sum
mary of Findings and Correcti
ve Acti
ons
Appendix 1: G
SCP Reference Self Assessm
ent Questi
onnaire…
30_GLOBAL SOCIAL COMPLIANCE PROGRAMME
INTR
OD
UCT
ION
AU
DIT
REQ
UES
TA
UD
IT E
XEC
UTI
ON
PR
EPA
RAT
ION
A
UD
IT O
UTP
UTS
GLO
SSA
RY
APP
END
ICES
RIS
K A
SSES
SMEN
T SY
STEM
APPENDIX 3: GSCP REFERENCE AUDIT CHECKS
AUDIT PROCESS AND METHODOLOGY REFERENCE TOOLS - OCTOBER 2009 ❒
Gui
danc
e sh
ould
be
avai
labl
e to
wor
kers
to h
elp
them
und
erst
and
thei
r pa
y sl
ips.
❒ P
aysl
ips
shou
ld b
e pr
esen
ted
in a
lang
uage
that
wor
kers
can
und
erst
and.
6.1.
3 Co
ntra
cts
❒ A
wri
tten
and
sig
ned
cont
ract
or
lett
er o
f eng
agem
ent i
s av
aila
ble.
❒ W
orke
rs h
ave
a si
gned
cop
y of
thei
r co
ntra
ct in
thei
r po
sses
sion
.
❒ C
ontr
act s
houl
d be
wri
tten
in a
lang
uage
that
wor
kers
und
erst
and.
Whe
re li
tera
cy is
an
issu
e eff
orts
mus
t be
mad
e
to e
xpla
in te
rms
and
cond
ition
s to
wor
kers
.
❒ C
ontr
acts
or
lett
ers
of e
ngag
emen
t, fo
r al
l typ
es o
f wor
ker,
shou
ld in
clud
e:•
job
desc
ripti
on;
• cl
ear
term
s an
d co
nditi
ons
of e
mpl
oym
ent;
• na
me
of w
orke
r an
d em
ploy
er;
• le
ngth
of e
mpl
oym
ent (
shou
ld s
tate
if it
is in
defin
ite);
• pr
esen
ce a
nd le
ngth
of a
ny p
roba
tiona
ry p
erio
d;•
leav
e;•
notic
e pe
riod
s;•
disc
iplin
e an
d gr
ieva
nce
proc
edur
es;
• pa
y;•
wor
king
hou
rs.
❒ P
roba
tion
ary
peri
ods
do n
ot e
xcee
d th
e m
axim
um s
peci
fied
by n
ation
al la
w.
❒ C
heck
any
spe
cial
con
trac
tual
arr
ange
men
t for
hom
ewor
kers
.
❒ C
heck
any
spe
cial
con
trac
tual
arr
ange
men
ts fo
r m
igra
nt w
orke
rs.
❒ C
heck
the
cont
ract
ual t
erm
s an
d co
nditi
ons
and
wor
king
arr
ange
men
ts o
f hom
ewor
kers
and
par
t-tim
e w
orke
rs. I
nclu
ding
:•
hour
s of
wor
k;•
cont
ribu
tions
and
oth
er fi
nanc
ial c
ompe
nsati
on in
add
ition
to b
asic
wag
es;
• w
ages
;•
soci
al s
ecur
ity b
enefi
ts;
• fr
eque
ncy
of w
ork;
• no
tice
peri
ods.
6.1.
4 Pe
rson
nel F
iles
❒ E
ntitl
emen
t to
wor
k ca
n be
evi
denc
ed b
y:•
copi
es o
f leg
al d
ocum
ents
for
mig
rant
wor
kers
;•
copi
es o
f app
licab
le w
ork
perm
its;
• co
pies
of I
D d
ocum
enta
tion.
❒ L
eave
and
ben
efits
to w
hich
wor
kers
are
con
trac
tual
ly e
ntitl
ed s
houl
d be
reco
rded
in p
erso
nnel
file
s.
❒ S
igne
d co
pies
of c
ontr
acts
or
othe
r re
quir
ed d
ocum
enta
tion
sho
uld
be h
eld
in p
erso
nnel
file
s.
❒ R
evie
w a
pplic
ation
form
s an
d in
terv
iew
not
es to
ens
ure
that
they
are
con
sist
ent w
ith
othe
r do
cum
enta
tion
an
d w
orke
r te
stim
ony.
❒ D
educ
tion
s fr
om w
ages
requ
ire
ther
e to
be
a si
gned
con
sent
form
s w
ithi
n th
e pe
rson
nel fi
les.
❒ D
isci
plin
ary
reco
rds
for
any
fines
that
hav
e be
en le
vied
aga
inst
wor
kers
sho
uld
be h
eld
on fi
le.
❒ T
erm
inati
on re
cord
s w
ithi
n pe
rson
nel fi
les
for
all w
orke
rs (i
nclu
ding
hom
ewor
kers
, cas
ual w
orke
rs, a
genc
y w
orke
rs
and
part
tim
e w
orke
rs) s
houl
d sh
ow th
at th
e te
rmin
ation
pro
cess
follo
wed
was
con
sist
ent w
ith
the
cont
ract
ual t
erm
s an
d co
nditi
ons.
6.1.
5 Po
licie
s
❒ T
he e
mpl
oym
ent s
ite
shou
ld h
ave
clea
r w
ritt
en p
olic
ies
on th
e fo
llow
ing:
• th
e us
e of
fixe
d‐te
rm c
ontr
acts
, par
t‐tim
e w
ork,
cas
ual w
ork
and
hom
ewor
k (t
o en
sure
no
exce
ssiv
e us
e of
thes
e ty
pes
of c
ontr
act)
;•
the
use
of a
genc
y or
con
trac
t lab
oure
rs;
• th
e le
gal m
inim
um w
age;
• w
age
calc
ulati
ons;
• m
ode
and
freq
uenc
y of
pay
men
t;•
the
appl
icab
le s
tand
ards
for
wor
kers
’ com
pens
ation
(bas
ic n
eeds
mus
t be
met
for
all w
orke
rs a
fter
app
licab
le
com
pany
ded
uctio
ns h
ave
been
take
n ou
t, s
uch
as p
aym
ents
for
acco
mm
odati
on a
nd fo
od);
• be
nefit
s an
d in
sura
nce;
• eq
ual p
ay fo
r w
ork
of e
qual
val
ue;
• eq
ual o
ppor
tuni
ties;
• th
e pr
ohib
ition
of p
uniti
ve fi
nes;
• de
ducti
ons;
• w
orke
rs’ r
ight
of a
ppea
l reg
ardi
ng fi
nes;
• pa
ymen
t for
pub
lic h
olid
ays;
• so
cial
insu
ranc
e (in
clud
ing
the
paym
ent o
f mon
ies
dedu
cted
from
wag
es to
the
appr
opri
ate
auth
oriti
es);
• si
ck le
ave;
• ca
sual
leav
e;•
mat
erni
ty a
nd p
ater
nity
leav
e an
d be
nefit
s;•
wor
kers
’ abi
lity
to a
ppea
l dec
isio
ns re
gard
ing
dedu
ction
s m
ade
from
thei
r w
ages
;•
paym
ent o
f ove
rtim
e;•
the
cove
rage
of t
he h
ealth
, saf
ety
and
wel
fare
of w
orke
rs, i
n pa
rticu
lar
thro
ugh:
‐ ann
ual l
eave
; ‐ s
ick
leav
e en
title
men
ts a
nd p
ay;
‐ mat
erni
ty a
nd p
ater
nity
ben
efits
;‐ p
art ti
me
wor
ker
cond
ition
s;•
nigh
t wor
k pr
ovis
ions
.
…A
ppen
dix
2: G
SCP
Refe
renc
e Pr
e-A
udit
Em
ploy
men
t Sit
e Pr
ofile
App
endi
x 3:
GSC
P Re
fere
nce
Aud
it C
heck
s
App
endi
x 4:
GSC
P Re
fere
nce
Ale
rt N
otific
ation
App
endi
x 5:
GSC
P Re
fere
nce
Aud
it R
epor
t
App
endi
x 6:
GSC
P Re
fere
nce
Supp
lem
enta
ry A
udit
Info
rmati
on
A
ppen
dix
7: G
SCP
Refe
renc
e Su
mm
ary
of F
indi
ngs
and
Corr
ecti
ve A
ction
s
App
endi
x 1:
GSC
P Re
fere
nce
Self
Ass
essm
ent Q
uesti
onna
ire
…
GLOBAL SOCIAL COMPLIANCE PROGRAMME_31
INTR
OD
UCTIO
NA
UD
IT REQ
UEST
AU
DIT EX
ECUTIO
NPR
EPAR
ATION
AU
DIT O
UTPU
TSG
LOSSA
RY
APPEN
DICES
RISK A
SSESSMEN
T SYSTEM
APPENDIX 3: GSCP REFERENCE AUDIT CHECKS
AUDIT PROCESS AND METHODOLOGY REFERENCE TOOLS - OCTOBER 2009
❒ G
uida
nce
shou
ld b
e av
aila
ble
to w
orke
rs to
hel
p th
em u
nder
stan
d th
eir
pay
slip
s.
❒ P
aysl
ips
shou
ld b
e pr
esen
ted
in a
lang
uage
that
wor
kers
can
und
erst
and.
6.1.
3 Co
ntra
cts
❒ A
wri
tten
and
sig
ned
cont
ract
or
lett
er o
f eng
agem
ent i
s av
aila
ble.
❒ W
orke
rs h
ave
a si
gned
cop
y of
thei
r co
ntra
ct in
thei
r po
sses
sion
.
❒ C
ontr
act s
houl
d be
wri
tten
in a
lang
uage
that
wor
kers
und
erst
and.
Whe
re li
tera
cy is
an
issu
e eff
orts
mus
t be
mad
e
to e
xpla
in te
rms
and
cond
ition
s to
wor
kers
.
❒ C
ontr
acts
or
lett
ers
of e
ngag
emen
t, fo
r al
l typ
es o
f wor
ker,
shou
ld in
clud
e:•
job
desc
ripti
on;
• cl
ear
term
s an
d co
nditi
ons
of e
mpl
oym
ent;
• na
me
of w
orke
r an
d em
ploy
er;
• le
ngth
of e
mpl
oym
ent (
shou
ld s
tate
if it
is in
defin
ite);
• pr
esen
ce a
nd le
ngth
of a
ny p
roba
tiona
ry p
erio
d;•
leav
e;•
notic
e pe
riod
s;•
disc
iplin
e an
d gr
ieva
nce
proc
edur
es;
• pa
y;•
wor
king
hou
rs.
❒ P
roba
tion
ary
peri
ods
do n
ot e
xcee
d th
e m
axim
um s
peci
fied
by n
ation
al la
w.
❒ C
heck
any
spe
cial
con
trac
tual
arr
ange
men
t for
hom
ewor
kers
.
❒ C
heck
any
spe
cial
con
trac
tual
arr
ange
men
ts fo
r m
igra
nt w
orke
rs.
❒ C
heck
the
cont
ract
ual t
erm
s an
d co
nditi
ons
and
wor
king
arr
ange
men
ts o
f hom
ewor
kers
and
par
t-tim
e w
orke
rs. I
nclu
ding
:•
hour
s of
wor
k;•
cont
ribu
tions
and
oth
er fi
nanc
ial c
ompe
nsati
on in
add
ition
to b
asic
wag
es;
• w
ages
;•
soci
al s
ecur
ity b
enefi
ts;
• fr
eque
ncy
of w
ork;
• no
tice
peri
ods.
6.1.
4 Pe
rson
nel F
iles
❒ E
ntitl
emen
t to
wor
k ca
n be
evi
denc
ed b
y:•
copi
es o
f leg
al d
ocum
ents
for
mig
rant
wor
kers
;•
copi
es o
f app
licab
le w
ork
perm
its;
• co
pies
of I
D d
ocum
enta
tion.
❒ L
eave
and
ben
efits
to w
hich
wor
kers
are
con
trac
tual
ly e
ntitl
ed s
houl
d be
reco
rded
in p
erso
nnel
file
s.
❒ S
igne
d co
pies
of c
ontr
acts
or
othe
r re
quir
ed d
ocum
enta
tion
sho
uld
be h
eld
in p
erso
nnel
file
s.
❒ R
evie
w a
pplic
ation
form
s an
d in
terv
iew
not
es to
ens
ure
that
they
are
con
sist
ent w
ith
othe
r do
cum
enta
tion
an
d w
orke
r te
stim
ony.
❒ D
educ
tion
s fr
om w
ages
requ
ire
ther
e to
be
a si
gned
con
sent
form
s w
ithi
n th
e pe
rson
nel fi
les.
❒ D
isci
plin
ary
reco
rds
for
any
fines
that
hav
e be
en le
vied
aga
inst
wor
kers
sho
uld
be h
eld
on fi
le.
❒ T
erm
inati
on re
cord
s w
ithi
n pe
rson
nel fi
les
for
all w
orke
rs (i
nclu
ding
hom
ewor
kers
, cas
ual w
orke
rs, a
genc
y w
orke
rs
and
part
tim
e w
orke
rs) s
houl
d sh
ow th
at th
e te
rmin
ation
pro
cess
follo
wed
was
con
sist
ent w
ith
the
cont
ract
ual t
erm
s an
d co
nditi
ons.
6.1.
5 Po
licie
s
❒ T
he e
mpl
oym
ent s
ite
shou
ld h
ave
clea
r w
ritt
en p
olic
ies
on th
e fo
llow
ing:
• th
e us
e of
fixe
d‐te
rm c
ontr
acts
, par
t‐tim
e w
ork,
cas
ual w
ork
and
hom
ewor
k (t
o en
sure
no
exce
ssiv
e us
e of
thes
e ty
pes
of c
ontr
act)
;•
the
use
of a
genc
y or
con
trac
t lab
oure
rs;
• th
e le
gal m
inim
um w
age;
• w
age
calc
ulati
ons;
• m
ode
and
freq
uenc
y of
pay
men
t;•
the
appl
icab
le s
tand
ards
for
wor
kers
’ com
pens
ation
(bas
ic n
eeds
mus
t be
met
for
all w
orke
rs a
fter
app
licab
le
com
pany
ded
uctio
ns h
ave
been
take
n ou
t, s
uch
as p
aym
ents
for
acco
mm
odati
on a
nd fo
od);
• be
nefit
s an
d in
sura
nce;
• eq
ual p
ay fo
r w
ork
of e
qual
val
ue;
• eq
ual o
ppor
tuni
ties;
• th
e pr
ohib
ition
of p
uniti
ve fi
nes;
• de
ducti
ons;
• w
orke
rs’ r
ight
of a
ppea
l reg
ardi
ng fi
nes;
• pa
ymen
t for
pub
lic h
olid
ays;
• so
cial
insu
ranc
e (in
clud
ing
the
paym
ent o
f mon
ies
dedu
cted
from
wag
es to
the
appr
opri
ate
auth
oriti
es);
• si
ck le
ave;
• ca
sual
leav
e;•
mat
erni
ty a
nd p
ater
nity
leav
e an
d be
nefit
s;•
wor
kers
’ abi
lity
to a
ppea
l dec
isio
ns re
gard
ing
dedu
ction
s m
ade
from
thei
r w
ages
;•
paym
ent o
f ove
rtim
e;•
the
cove
rage
of t
he h
ealth
, saf
ety
and
wel
fare
of w
orke
rs, i
n pa
rticu
lar
thro
ugh:
‐ ann
ual l
eave
; ‐ s
ick
leav
e en
title
men
ts a
nd p
ay;
‐ mat
erni
ty a
nd p
ater
nity
ben
efits
;‐ p
art ti
me
wor
ker
cond
ition
s;•
nigh
t wor
k pr
ovis
ions
.
…
Appendix 2: G
SCP Reference Pre-Audit Em
ployment Site Profile
Appendix 3: G
SCP Reference Audit Checks
Appendix 4: G
SCP Reference Alert N
otificati
on
Appendix 5: G
SCP Reference Audit Report
Appendix 6: G
SCP Reference Supplementary A
udit Informati
on A
ppendix 7: GSCP Reference Sum
mary of Findings and Correcti
ve Acti
ons
Appendix 1: G
SCP Reference Self Assessm
ent Questi
onnaire…
32_GLOBAL SOCIAL COMPLIANCE PROGRAMME
INTR
OD
UCT
ION
AU
DIT
REQ
UES
TA
UD
IT E
XEC
UTI
ON
PR
EPA
RAT
ION
A
UD
IT O
UTP
UTS
GLO
SSA
RY
APP
END
ICES
RIS
K A
SSES
SMEN
T SY
STEM
APPENDIX 3: GSCP REFERENCE AUDIT CHECKS
AUDIT PROCESS AND METHODOLOGY REFERENCE TOOLS - OCTOBER 2009 ❒
Che
ck th
at s
taff
han
dboo
ks c
over
the
follo
win
g em
ploy
men
t asp
ects
:•
job
desc
ripti
on;
• pe
rfor
man
ce ta
rget
s;•
annu
al a
nd s
ick
leav
e;•
stan
dard
wor
king
hou
rs;
• ov
ertim
e re
gula
tions
incl
udin
g th
e ri
ght t
o re
fuse
ove
rtim
e;•
appl
icab
le w
age
rate
s;•
holid
ays;
• be
nefit
s;•
prom
otion
pro
cess
;•
disc
iplin
e;•
grie
vanc
e pr
oced
ures
and
term
inati
on p
olic
ies.
6.1.
6 A
genc
y A
gree
men
ts
❒ T
here
is a
n ag
reem
ent b
etw
een
the
empl
oym
ent s
ite
and
the
agen
cy /
labo
ur p
rovi
der.
❒ T
here
are
agr
eem
ents
bet
wee
n th
e ag
ency
/ la
bour
pro
vide
r an
d ea
ch w
orke
r on
-sit
e.
❒ T
he c
harg
e ra
tes
of a
genc
ies
are
suffi
cien
t to
pay
wor
kers
all
wag
es a
nd o
ther
enti
tlem
ents
as
wel
l as
agen
cy c
osts
an
d an
am
ount
for
profi
t (th
ere
may
be
regi
onal
or
nati
onal
gui
danc
e on
how
muc
h th
is s
houl
d be
).
6.1.
7 Pr
oduc
tion
Reco
rds
❒ P
rodu
ction
reco
rds
of p
art-
tim
e w
orke
rs a
nd h
omew
orke
rs s
houl
d be
refe
renc
ed a
s a
cros
s-ch
eck
agai
nst w
orki
ng
hour
s re
cord
s.
6.1.
8 W
orke
r Re
cord
s
❒ T
he e
mpl
oym
ent s
ite
shou
ld h
ave
an u
p to
dat
e lis
t of w
orke
rs –
incl
udin
g pe
rman
ent,
cas
ual,
tem
pora
ry, s
easo
nal,
agen
cy, a
ppre
ntice
s, v
ocati
onal
trai
nees
.
6.2
Wor
ker
Inte
rvie
ws
Dur
ing
wor
ker i
nter
view
s, c
orro
bora
te w
orke
r tes
tim
ony
with
doc
umen
t che
cks
and
man
agem
ent i
nter
view
s. A
sk w
orke
rs:
❒ W
heth
er w
orke
rs (i
nclu
ding
age
ncy,
cas
ual,
part
-tim
e an
d ho
me-
wor
kers
) und
erst
and:
• ho
w th
eir
wag
es a
re c
alcu
late
d, a
nd th
eir
hour
ly a
nd to
tal p
ay ra
tes;
• w
heth
er th
ere
are
any
dedu
ction
s m
ade
from
thei
r w
ages
, and
if s
o, h
ow m
uch?
❒ W
heth
er w
orke
rs (i
nclu
ding
age
ncy,
cas
ual,
part
-tim
e an
d ho
me-
wor
kers
) are
aw
are
of:
• de
ducti
ons
or fi
nes
that
com
e fr
om th
eir
pay,
and
that
they
hav
e ag
reed
to th
em;
• th
eir
term
s an
d co
nditi
ons,
and
hav
e a
sign
ed c
opy
of th
eir
cont
ract
;•
all b
enefi
ts a
nd s
ocia
l sec
urity
to w
hich
they
are
enti
tled.
❒ W
heth
er th
ey:
• re
ceiv
e a
pays
lip e
ach
time
they
are
pai
d, a
nd th
at th
is is
acc
urat
e;
• ar
e fin
anci
ally
sta
ble
and
are
able
to e
arn
enou
gh to
mak
e en
ds m
eet a
nd h
ave
som
e di
scre
tiona
ry in
com
e;•
are
perm
anen
t wor
kers
whe
reve
r po
ssib
le, a
nd th
at fi
xed
term
or
agen
cy w
orke
rs a
re a
ble
to ta
ke p
erm
anen
t po
sitio
ns w
here
pos
sibl
e;•
are
able
to ta
ke p
aid
mat
erni
ty o
r pa
tern
ity le
ave,
as
wel
l as
paid
sic
k le
ave;
• ha
ve e
xper
ienc
e of
any
mis
take
s be
ing
mad
e by
pay
roll,
and
if s
o, h
ow q
uick
ly a
ny in
accu
raci
es a
re c
orre
cted
.
6.3
Man
agem
ent I
nter
view
s, E
mpl
oym
ent
site
Pro
cess
es a
nd P
roce
dure
s
❒ M
anag
emen
t is
aw
are
of th
e na
tion
al/l
ocal
law
s an
d in
tern
ation
al a
nd in
dust
ry g
uide
lines
on:
• em
ploy
men
t;•
wag
es, o
verti
me
pay
and
bene
fits,
wor
kers
’ bas
ic n
eeds
and
dis
creti
onar
y in
com
e;•
the
com
mun
icati
on o
f em
ploy
men
t con
ditio
ns;
• de
ducti
ons;
• co
mpe
nsati
on fo
r ov
ertim
e.[N
ote:
Whe
n re
ferr
ing
to in
dust
ry b
ench
mar
k st
anda
rds,
wag
es th
roug
hout
the
indu
stry
as
a w
hole
sho
uld
be e
xam
ined
to
dec
ide
wha
t “m
inim
um w
age”
sho
uld
be. T
his
coul
d be
don
e in
a m
ulti
-sta
keho
lder
foru
m th
at in
clud
es in
ter
alia
go
vern
men
ts, i
ndus
try
repr
esen
tati
ves,
etc
.]
❒ M
anag
emen
t sh
ould
ens
ure
that
em
ploy
men
t is
mut
ually
ben
efici
al fo
r al
l wor
kers
– th
at th
ere
are
no w
orke
rs
trea
ted
diff
eren
tly
or le
ss fa
vour
ably
bec
ause
of t
heir
em
ploy
men
t sta
tus
(incl
udin
g ca
sual
or
part
-tim
e w
orke
rs).
❒ M
anag
emen
t sh
ould
not
eng
age
‘cas
ual’
or p
art-
tim
e w
orke
rs o
n a
sem
i-per
man
ent b
asis
to a
void
cha
rges
and
oth
er
oblig
ation
s on
the
part
of t
he e
mpl
oyer
.
…A
ppen
dix
2: G
SCP
Refe
renc
e Pr
e-A
udit
Em
ploy
men
t Sit
e Pr
ofile
App
endi
x 3:
GSC
P Re
fere
nce
Aud
it C
heck
s
App
endi
x 4:
GSC
P Re
fere
nce
Ale
rt N
otific
ation
App
endi
x 5:
GSC
P Re
fere
nce
Aud
it R
epor
t
App
endi
x 6:
GSC
P Re
fere
nce
Supp
lem
enta
ry A
udit
Info
rmati
on
A
ppen
dix
7: G
SCP
Refe
renc
e Su
mm
ary
of F
indi
ngs
and
Corr
ecti
ve A
ction
s
App
endi
x 1:
GSC
P Re
fere
nce
Self
Ass
essm
ent Q
uesti
onna
ire
…
GLOBAL SOCIAL COMPLIANCE PROGRAMME_33
INTR
OD
UCTIO
NA
UD
IT REQ
UEST
AU
DIT EX
ECUTIO
NPR
EPAR
ATION
AU
DIT O
UTPU
TSG
LOSSA
RY
APPEN
DICES
RISK A
SSESSMEN
T SYSTEM
APPENDIX 3: GSCP REFERENCE AUDIT CHECKS
AUDIT PROCESS AND METHODOLOGY REFERENCE TOOLS - OCTOBER 2009
❒ C
heck
that
sta
ff h
andb
ooks
cov
er th
e fo
llow
ing
empl
oym
ent a
spec
ts:
• jo
b de
scri
ption
;•
perf
orm
ance
targ
ets;
• an
nual
and
sic
k le
ave;
• st
anda
rd w
orki
ng h
ours
;•
over
time
regu
latio
ns in
clud
ing
the
righ
t to
refu
se o
verti
me;
• ap
plic
able
wag
e ra
tes;
• ho
liday
s;•
bene
fits;
• pr
omoti
on p
roce
ss;
• di
scip
line;
• gr
ieva
nce
proc
edur
es a
nd te
rmin
ation
pol
icie
s.
6.1.
6 A
genc
y A
gree
men
ts
❒ T
here
is a
n ag
reem
ent b
etw
een
the
empl
oym
ent s
ite
and
the
agen
cy /
labo
ur p
rovi
der.
❒ T
here
are
agr
eem
ents
bet
wee
n th
e ag
ency
/ la
bour
pro
vide
r an
d ea
ch w
orke
r on
-sit
e.
❒ T
he c
harg
e ra
tes
of a
genc
ies
are
suffi
cien
t to
pay
wor
kers
all
wag
es a
nd o
ther
enti
tlem
ents
as
wel
l as
agen
cy c
osts
an
d an
am
ount
for
profi
t (th
ere
may
be
regi
onal
or
nati
onal
gui
danc
e on
how
muc
h th
is s
houl
d be
).
6.1.
7 Pr
oduc
tion
Reco
rds
❒ P
rodu
ction
reco
rds
of p
art-
tim
e w
orke
rs a
nd h
omew
orke
rs s
houl
d be
refe
renc
ed a
s a
cros
s-ch
eck
agai
nst w
orki
ng
hour
s re
cord
s.
6.1.
8 W
orke
r Re
cord
s
❒ T
he e
mpl
oym
ent s
ite
shou
ld h
ave
an u
p to
dat
e lis
t of w
orke
rs –
incl
udin
g pe
rman
ent,
cas
ual,
tem
pora
ry, s
easo
nal,
agen
cy, a
ppre
ntice
s, v
ocati
onal
trai
nees
.
6.2
Wor
ker
Inte
rvie
ws
Dur
ing
wor
ker i
nter
view
s, c
orro
bora
te w
orke
r tes
tim
ony
with
doc
umen
t che
cks
and
man
agem
ent i
nter
view
s. A
sk w
orke
rs:
❒ W
heth
er w
orke
rs (i
nclu
ding
age
ncy,
cas
ual,
part
-tim
e an
d ho
me-
wor
kers
) und
erst
and:
• ho
w th
eir
wag
es a
re c
alcu
late
d, a
nd th
eir
hour
ly a
nd to
tal p
ay ra
tes;
• w
heth
er th
ere
are
any
dedu
ction
s m
ade
from
thei
r w
ages
, and
if s
o, h
ow m
uch?
❒ W
heth
er w
orke
rs (i
nclu
ding
age
ncy,
cas
ual,
part
-tim
e an
d ho
me-
wor
kers
) are
aw
are
of:
• de
ducti
ons
or fi
nes
that
com
e fr
om th
eir
pay,
and
that
they
hav
e ag
reed
to th
em;
• th
eir
term
s an
d co
nditi
ons,
and
hav
e a
sign
ed c
opy
of th
eir
cont
ract
;•
all b
enefi
ts a
nd s
ocia
l sec
urity
to w
hich
they
are
enti
tled.
❒ W
heth
er th
ey:
• re
ceiv
e a
pays
lip e
ach
time
they
are
pai
d, a
nd th
at th
is is
acc
urat
e;
• ar
e fin
anci
ally
sta
ble
and
are
able
to e
arn
enou
gh to
mak
e en
ds m
eet a
nd h
ave
som
e di
scre
tiona
ry in
com
e;•
are
perm
anen
t wor
kers
whe
reve
r po
ssib
le, a
nd th
at fi
xed
term
or
agen
cy w
orke
rs a
re a
ble
to ta
ke p
erm
anen
t po
sitio
ns w
here
pos
sibl
e;•
are
able
to ta
ke p
aid
mat
erni
ty o
r pa
tern
ity le
ave,
as
wel
l as
paid
sic
k le
ave;
• ha
ve e
xper
ienc
e of
any
mis
take
s be
ing
mad
e by
pay
roll,
and
if s
o, h
ow q
uick
ly a
ny in
accu
raci
es a
re c
orre
cted
.
6.3
Man
agem
ent I
nter
view
s, E
mpl
oym
ent
site
Pro
cess
es a
nd P
roce
dure
s
❒ M
anag
emen
t is
aw
are
of th
e na
tion
al/l
ocal
law
s an
d in
tern
ation
al a
nd in
dust
ry g
uide
lines
on:
• em
ploy
men
t;•
wag
es, o
verti
me
pay
and
bene
fits,
wor
kers
’ bas
ic n
eeds
and
dis
creti
onar
y in
com
e;•
the
com
mun
icati
on o
f em
ploy
men
t con
ditio
ns;
• de
ducti
ons;
• co
mpe
nsati
on fo
r ov
ertim
e.[N
ote:
Whe
n re
ferr
ing
to in
dust
ry b
ench
mar
k st
anda
rds,
wag
es th
roug
hout
the
indu
stry
as
a w
hole
sho
uld
be e
xam
ined
to
dec
ide
wha
t “m
inim
um w
age”
sho
uld
be. T
his
coul
d be
don
e in
a m
ulti
-sta
keho
lder
foru
m th
at in
clud
es in
ter
alia
go
vern
men
ts, i
ndus
try
repr
esen
tati
ves,
etc
.]
❒ M
anag
emen
t sh
ould
ens
ure
that
em
ploy
men
t is
mut
ually
ben
efici
al fo
r al
l wor
kers
– th
at th
ere
are
no w
orke
rs
trea
ted
diff
eren
tly
or le
ss fa
vour
ably
bec
ause
of t
heir
em
ploy
men
t sta
tus
(incl
udin
g ca
sual
or
part
-tim
e w
orke
rs).
❒ M
anag
emen
t sh
ould
not
eng
age
‘cas
ual’
or p
art-
tim
e w
orke
rs o
n a
sem
i-per
man
ent b
asis
to a
void
cha
rges
and
oth
er
oblig
ation
s on
the
part
of t
he e
mpl
oyer
.
Appendix 2: G
SCP Reference Pre-Audit Em
ployment Site Profile
Appendix 3: G
SCP Reference Audit Checks
Appendix 4: G
SCP Reference Alert N
otificati
on
Appendix 5: G
SCP Reference Audit Report
Appendix 6: G
SCP Reference Supplementary A
udit Informati
on A
ppendix 7: GSCP Reference Sum
mary of Findings and Correcti
ve Acti
ons
Appendix 1: G
SCP Reference Self Assessm
ent Questi
onnaire…
34_GLOBAL SOCIAL COMPLIANCE PROGRAMME
INTR
OD
UCT
ION
AU
DIT
REQ
UES
TA
UD
IT E
XEC
UTI
ON
PR
EPA
RAT
ION
A
UD
IT O
UTP
UTS
GLO
SSA
RY
APP
END
ICES
RIS
K A
SSES
SMEN
T SY
STEM
APPENDIX 3: GSCP REFERENCE AUDIT CHECKS
AUDIT PROCESS AND METHODOLOGY REFERENCE TOOLS - OCTOBER 2009 7.
Wor
king
Hou
rsEm
ploy
men
t sit
e Re
quir
emen
ts:
1. w
orki
ng h
ours
sho
uld
com
ply
with
nati
onal
law
s, b
ench
mar
ked
indu
stry
sta
ndar
ds o
r re
leva
nt in
tern
ation
al s
tand
ards
– w
hich
ever
affo
rds
the
grea
ter
prot
ectio
n to
th
e w
elfa
re o
f the
wor
kers
;
2. th
e st
anda
rd a
llow
able
wor
king
hou
rs in
a w
eek
are
48, e
xclu
ding
ove
rtim
e. W
orke
rs s
hall
not o
n a
regu
lar b
asis
be
requ
ired
to w
ork
in e
xces
s of
48
hour
s pe
r wee
k;
3. o
verti
me
shal
l be
volu
ntar
y, s
hall
not e
xcee
d tw
elve
hou
rs p
er w
eek
and
shal
l not
be
requ
este
d on
a re
gula
r ba
sis;
4. m
anag
emen
t sho
uld
ensu
re th
at w
orke
rs re
ceiv
e at
leas
t one
free
day
follo
win
g si
x co
nsec
utive
day
s of w
orki
ng. T
his i
s giv
en in
add
ition
to p
ublic
and
ann
ual h
olid
ays;
The
follo
win
g ch
ecks
are
inte
nded
as
guid
ance
and
sho
uld
not l
imit
aud
it a
ctivi
ties
.
EVID
ENCE
GAT
HER
ING
ON
WO
RK
ING
HO
UR
SCO
MM
ENTS
7.1
Doc
umen
t Che
cks
7.1.
1 Re
cord
s
❒ T
he p
roce
ss fo
r re
cord
ing
wor
kers
’ hou
rs m
ust b
e ac
cura
te.
❒ P
rodu
ction
reco
rds
sepa
rate
sta
ndar
d ti
me
and
over
tim
e.
❒ T
he e
mpl
oym
ent s
ite
shou
ld h
ave
polic
ies
and
proc
edur
es o
n w
orki
ng h
ours
cov
erin
g th
e fo
llow
ing:
• te
rms
of e
mpl
oym
ent –
regu
lar
wor
king
hou
rs a
nd d
ays;
• ov
ertim
e re
quire
men
ts a
nd p
ay;
• no
n di
scri
min
ation
and
equ
al o
ppor
tuni
ties;
• di
scip
linar
y an
d gr
ieva
nce
proc
edur
es fo
r la
tene
ss a
nd o
ther
hou
rs is
sues
.
❒ P
ay s
lips
and
payr
oll d
etai
ls s
houl
d sh
ow th
e to
tal n
umbe
r of
hou
rs w
orke
d.
❒ C
heck
the
mon
thly
wor
king
hou
rs o
f sel
ecte
d em
ploy
ees
for
a m
inim
um p
erio
d of
3 m
onth
s an
d no
te:
• th
e av
erag
e;•
the
high
est;
• th
e lo
wes
t;
• da
ys re
st;
• da
ys le
ave;
• da
ys s
ick.
❒ C
heck
wor
king
hou
rs a
gain
st p
ay re
cord
s to
ens
ure
ther
e ar
e no
inco
nsis
tenc
ies.
❒ N
orm
al h
ours
of w
ork
for h
omew
orke
rs a
re c
ompa
rabl
e to
thos
e w
orke
rs p
erfo
rmin
g si
mila
r or c
ompa
rabl
e w
ork
on-s
ite.
❒ Q
ualit
y re
cord
s an
d cr
oss-
chec
k w
ith
the
wor
king
hou
rs re
cord
s to
est
ablis
h w
heth
er q
ualit
y is
sues
and
wor
king
hou
rs
are
linke
d.
❒ T
he e
mpl
oym
ent s
ite
has
a co
py o
f any
requ
ired
lega
l aut
hori
sati
ons
from
loca
l aut
hori
ties
giv
ing
disp
ensa
tion
fo
r w
orki
ng h
ours
dur
ing
peak
sea
sons
.
❒ A
ny p
eak
peri
ods,
whe
n au
thor
ised
, are
cle
arly
defi
ned
and
limit
ed in
tim
e.
7.1.
2 Pe
rson
nel F
iles
❒ C
heck
wor
kers
’ con
trac
ts o
r le
tter
s of
eng
agem
ent f
or d
etai
ls o
n:•
wor
kers
’ sta
ndar
d w
orki
ng h
ours
;•
wor
kers
’ enti
tlem
ent t
o re
st d
ays;
• ov
ertim
e re
ques
ts a
nd c
ondi
tions
;•
holid
ay a
llow
ance
s.
❒ P
rodu
ction
and
pla
nnin
g re
cord
s, a
nd re
cord
s on
wor
king
hou
rs m
ust b
e co
nsis
tent
.
❒ C
heck
the
follo
win
g de
tails
in w
orke
rs’ p
erso
nnel
file
s:•
disc
iplin
ary
and
grie
vanc
es re
latin
g to
wor
king
hou
rs/a
tten
danc
e;•
deta
ils o
f ove
rtim
e re
ques
ts.
❒ W
orki
ng h
ours
sho
uld
be in
clud
ed in
any
hea
lth
and
safe
ty r
isk
asse
ssm
ent t
o en
able
the
empl
oym
ent s
ite
to
und
erst
and
the
impl
icati
ons
of lo
ng h
ours
on
the
safe
ty a
nd h
ealt
h of
the
wor
kers
.
❒ W
orke
rs a
re o
ffer
ed t
he p
ossi
bilit
y of
sw
itch
ing
from
full-
tim
e to
par
t-ti
me
wor
k (o
r vi
ce v
ersa
) if w
ork
of th
at n
atur
e be
com
es a
vaila
ble.
•
if su
ch a
cha
nge
is re
ques
ted
by th
e em
ploy
men
t site
but
reje
cted
by
the
wor
ker,
this
sho
uld
not c
onsti
tute
a v
alid
re
ason
for
term
inati
on o
f em
ploy
men
t.
❒ A
ny m
easu
res
that
may
lim
it o
r re
duce
the
tim
e sp
ent b
y w
orke
rs tr
avel
ling
betw
een
thei
r re
side
nce
and
wor
kpla
ce,
such
as:
• co
‐ord
inati
on o
f shi
ft ti
mes
(inc
ludi
ng n
ight
shi
fts)
with
loca
l pub
lic tr
ansp
ort ti
met
able
s;•
prov
isio
n of
col
lecti
ve m
eans
of t
rans
port
(suc
h as
bus
es);
• pa
ymen
t of a
ppro
pria
te c
ompe
nsati
on fo
r ad
ditio
nal t
rave
lling
exp
ense
s;•
build
ing
of h
ousi
ng c
ompl
exes
with
in a
reas
onab
le d
ista
nce
of th
e w
orkp
lace
.
App
endi
x 2:
GSC
P Re
fere
nce
Pre-
Aud
it E
mpl
oym
ent S
ite
Profi
le
A
ppen
dix
3: G
SCP
Refe
renc
e A
udit
Che
cks
A
ppen
dix
4: G
SCP
Refe
renc
e A
lert
Noti
ficati
on
App
endi
x 5:
GSC
P Re
fere
nce
Aud
it R
epor
t
App
endi
x 6:
GSC
P Re
fere
nce
Supp
lem
enta
ry A
udit
Info
rmati
on
A
ppen
dix
7: G
SCP
Refe
renc
e Su
mm
ary
of F
indi
ngs
and
Corr
ecti
ve A
ction
s
App
endi
x 1:
GSC
P Re
fere
nce
Self
Ass
essm
ent Q
uesti
onna
ire
…
GLOBAL SOCIAL COMPLIANCE PROGRAMME_35
INTR
OD
UCTIO
NA
UD
IT REQ
UEST
AU
DIT EX
ECUTIO
NPR
EPAR
ATION
AU
DIT O
UTPU
TSG
LOSSA
RY
APPEN
DICES
RISK A
SSESSMEN
T SYSTEM
APPENDIX 3: GSCP REFERENCE AUDIT CHECKS
AUDIT PROCESS AND METHODOLOGY REFERENCE TOOLS - OCTOBER 2009
7. W
orki
ng H
ours
Empl
oym
ent s
ite
Requ
irem
ents
:
1. w
orki
ng h
ours
sho
uld
com
ply
with
nati
onal
law
s, b
ench
mar
ked
indu
stry
sta
ndar
ds o
r re
leva
nt in
tern
ation
al s
tand
ards
– w
hich
ever
affo
rds
the
grea
ter
prot
ectio
n to
th
e w
elfa
re o
f the
wor
kers
;
2. th
e st
anda
rd a
llow
able
wor
king
hou
rs in
a w
eek
are
48, e
xclu
ding
ove
rtim
e. W
orke
rs s
hall
not o
n a
regu
lar b
asis
be
requ
ired
to w
ork
in e
xces
s of
48
hour
s pe
r wee
k;
3. o
verti
me
shal
l be
volu
ntar
y, s
hall
not e
xcee
d tw
elve
hou
rs p
er w
eek
and
shal
l not
be
requ
este
d on
a re
gula
r ba
sis;
4. m
anag
emen
t sho
uld
ensu
re th
at w
orke
rs re
ceiv
e at
leas
t one
free
day
follo
win
g si
x co
nsec
utive
day
s of w
orki
ng. T
his i
s giv
en in
add
ition
to p
ublic
and
ann
ual h
olid
ays;
The
follo
win
g ch
ecks
are
inte
nded
as
guid
ance
and
sho
uld
not l
imit
aud
it a
ctivi
ties
.
EVID
ENCE
GAT
HER
ING
ON
WO
RK
ING
HO
UR
SCO
MM
ENTS
7.1
Doc
umen
t Che
cks
7.1.
1 Re
cord
s
❒ T
he p
roce
ss fo
r re
cord
ing
wor
kers
’ hou
rs m
ust b
e ac
cura
te.
❒ P
rodu
ction
reco
rds
sepa
rate
sta
ndar
d ti
me
and
over
tim
e.
❒ T
he e
mpl
oym
ent s
ite
shou
ld h
ave
polic
ies
and
proc
edur
es o
n w
orki
ng h
ours
cov
erin
g th
e fo
llow
ing:
• te
rms
of e
mpl
oym
ent –
regu
lar
wor
king
hou
rs a
nd d
ays;
• ov
ertim
e re
quire
men
ts a
nd p
ay;
• no
n di
scri
min
ation
and
equ
al o
ppor
tuni
ties;
• di
scip
linar
y an
d gr
ieva
nce
proc
edur
es fo
r la
tene
ss a
nd o
ther
hou
rs is
sues
.
❒ P
ay s
lips
and
payr
oll d
etai
ls s
houl
d sh
ow th
e to
tal n
umbe
r of
hou
rs w
orke
d.
❒ C
heck
the
mon
thly
wor
king
hou
rs o
f sel
ecte
d em
ploy
ees
for
a m
inim
um p
erio
d of
3 m
onth
s an
d no
te:
• th
e av
erag
e;•
the
high
est;
• th
e lo
wes
t;
• da
ys re
st;
• da
ys le
ave;
• da
ys s
ick.
❒ C
heck
wor
king
hou
rs a
gain
st p
ay re
cord
s to
ens
ure
ther
e ar
e no
inco
nsis
tenc
ies.
❒ N
orm
al h
ours
of w
ork
for h
omew
orke
rs a
re c
ompa
rabl
e to
thos
e w
orke
rs p
erfo
rmin
g si
mila
r or c
ompa
rabl
e w
ork
on-s
ite.
❒ Q
ualit
y re
cord
s an
d cr
oss-
chec
k w
ith
the
wor
king
hou
rs re
cord
s to
est
ablis
h w
heth
er q
ualit
y is
sues
and
wor
king
hou
rs
are
linke
d.
❒ T
he e
mpl
oym
ent s
ite
has
a co
py o
f any
requ
ired
lega
l aut
hori
sati
ons
from
loca
l aut
hori
ties
giv
ing
disp
ensa
tion
fo
r w
orki
ng h
ours
dur
ing
peak
sea
sons
.
❒ A
ny p
eak
peri
ods,
whe
n au
thor
ised
, are
cle
arly
defi
ned
and
limit
ed in
tim
e.
7.1.
2 Pe
rson
nel F
iles
❒ C
heck
wor
kers
’ con
trac
ts o
r le
tter
s of
eng
agem
ent f
or d
etai
ls o
n:•
wor
kers
’ sta
ndar
d w
orki
ng h
ours
;•
wor
kers
’ enti
tlem
ent t
o re
st d
ays;
• ov
ertim
e re
ques
ts a
nd c
ondi
tions
;•
holid
ay a
llow
ance
s.
❒ P
rodu
ction
and
pla
nnin
g re
cord
s, a
nd re
cord
s on
wor
king
hou
rs m
ust b
e co
nsis
tent
.
❒ C
heck
the
follo
win
g de
tails
in w
orke
rs’ p
erso
nnel
file
s:•
disc
iplin
ary
and
grie
vanc
es re
latin
g to
wor
king
hou
rs/a
tten
danc
e;•
deta
ils o
f ove
rtim
e re
ques
ts.
❒ W
orki
ng h
ours
sho
uld
be in
clud
ed in
any
hea
lth
and
safe
ty r
isk
asse
ssm
ent t
o en
able
the
empl
oym
ent s
ite
to
und
erst
and
the
impl
icati
ons
of lo
ng h
ours
on
the
safe
ty a
nd h
ealt
h of
the
wor
kers
.
❒ W
orke
rs a
re o
ffer
ed t
he p
ossi
bilit
y of
sw
itch
ing
from
full-
tim
e to
par
t-ti
me
wor
k (o
r vi
ce v
ersa
) if w
ork
of th
at n
atur
e be
com
es a
vaila
ble.
•
if su
ch a
cha
nge
is re
ques
ted
by th
e em
ploy
men
t site
but
reje
cted
by
the
wor
ker,
this
sho
uld
not c
onsti
tute
a v
alid
re
ason
for
term
inati
on o
f em
ploy
men
t.
❒ A
ny m
easu
res
that
may
lim
it o
r re
duce
the
tim
e sp
ent b
y w
orke
rs tr
avel
ling
betw
een
thei
r re
side
nce
and
wor
kpla
ce,
such
as:
• co
‐ord
inati
on o
f shi
ft ti
mes
(inc
ludi
ng n
ight
shi
fts)
with
loca
l pub
lic tr
ansp
ort ti
met
able
s;•
prov
isio
n of
col
lecti
ve m
eans
of t
rans
port
(suc
h as
bus
es);
• pa
ymen
t of a
ppro
pria
te c
ompe
nsati
on fo
r ad
ditio
nal t
rave
lling
exp
ense
s;•
build
ing
of h
ousi
ng c
ompl
exes
with
in a
reas
onab
le d
ista
nce
of th
e w
orkp
lace
.
…
Appendix 2: G
SCP Reference Pre-Audit Em
ployment Site Profile
Appendix 3: G
SCP Reference Audit Checks
Appendix 4: G
SCP Reference Alert N
otificati
on
Appendix 5: G
SCP Reference Audit Report
Appendix 6: G
SCP Reference Supplementary A
udit Informati
on A
ppendix 7: GSCP Reference Sum
mary of Findings and Correcti
ve Acti
ons
Appendix 1: G
SCP Reference Self Assessm
ent Questi
onnaire…
36_GLOBAL SOCIAL COMPLIANCE PROGRAMME
INTR
OD
UCT
ION
AU
DIT
REQ
UES
TA
UD
IT E
XEC
UTI
ON
PR
EPA
RAT
ION
A
UD
IT O
UTP
UTS
GLO
SSA
RY
APP
END
ICES
RIS
K A
SSES
SMEN
T SY
STEM
APPENDIX 3: GSCP REFERENCE AUDIT CHECKS
AUDIT PROCESS AND METHODOLOGY REFERENCE TOOLS - OCTOBER 2009 7.
2 W
orke
r In
terv
iew
Che
cks
Dur
ing
wor
ker i
nter
view
s, c
orro
bora
te w
orke
r tes
tim
ony
with
doc
umen
t che
cks
and
man
agem
ent i
nter
view
s. A
sk w
orke
rs:
❒ W
hat
thei
r st
anda
rd w
orki
ng h
ours
are
.
❒ W
heth
er th
ey fe
el u
nder
pre
ssur
e to
wor
k lo
ng h
ours
.
❒ W
heth
er a
ny o
verti
me
hour
s th
ey d
o ar
e vo
lunt
ary,
and
whe
ther
wor
kers
can
refu
se to
wor
k ov
erti
me
wit
hout
ex
peri
enci
ng a
ny re
perc
ussi
ons.
❒ W
heth
er w
orke
rs’ s
tand
ard
mon
thly
sal
ary
is s
uffici
ent t
o m
eet t
heir
fam
ily’s
cos
t of l
ivin
g, o
r w
heth
er it
is n
eces
sary
fo
r a
wor
ker
to c
ompl
ete
over
tim
e to
reac
h th
is le
vel.
❒ W
hen
the
brea
ks a
re d
urin
g th
e da
y, a
nd h
ow lo
ng th
ey la
st.
❒ W
heth
er th
e br
eaks
the
y ar
e gi
ven
are
suffi
cien
t to
rest
and
eat
.
❒ W
heth
er th
ey h
ave
an e
ntitl
emen
t to
annu
al le
ave,
whe
n th
ey c
an ta
ke it
, and
how
they
app
ly fo
r th
at le
ave.
❒ W
heth
er th
ey a
re a
ble
to c
laim
oth
er t
ypes
of p
aid
and
unpa
id le
ave
such
as:
•
mat
erni
ty /
pat
erni
ty le
ave;
• si
ck le
ave;
• de
pend
ants
/ c
ompa
ssio
nate
leav
e;•
mar
riag
e or
wed
ding
leav
e;•
othe
r le
gally
man
date
d le
ave
(e.g
. for
sta
te o
r re
ligio
us h
olid
ays)
.
7.3
Man
agem
ent I
nter
view
s, E
mpl
oym
ent
site
pro
cedu
res
and
Proc
esse
s
❒ T
he e
mpl
oym
ent s
ite
is a
war
e of
loca
l law
rega
rdin
g w
orki
ng h
ours
, lea
ve a
nd b
reak
s.
❒ T
he e
mpl
oym
ent s
ite
is a
war
e of
est
ablis
hed
inte
rnati
onal
requ
irem
ents
on
wor
king
hou
rs, l
eave
and
bre
aks,
su
ch a
s th
ose
deta
iled
in th
e re
leva
nt c
ode
of c
ondu
ct.
❒ A
ll br
eaks
and
rest
per
iods
thr
ough
out t
he w
orki
ng d
ay m
ust b
e gi
ven
in a
ccor
danc
e w
ith
appl
icab
le la
ws.
❒ T
he e
mpl
oym
ent s
ite
mus
t allo
w a
per
iod
of re
st b
etw
een
shift
s th
at is
in a
ccor
danc
e w
ith
the
law
.
❒ A
ll w
orke
rs m
ust r
ecei
ve th
e re
st o
ppor
tuni
ties
aff
orde
d to
them
by
law
.
❒ R
est
peri
ods
give
n to
wor
kers
ope
rati
ng h
eavy
mac
hine
ry m
ust b
e in
acc
orda
nce
wit
h th
e la
w.
❒ P
regn
ant w
orke
rs h
ave
the
oppo
rtun
ity
to s
wit
ch fr
om n
ight
shi
fts
to d
ay w
ork
wit
h no
cha
nge
in p
ay.
❒ N
orm
al h
ours
of w
ork
for
nigh
t w
orke
rs a
re c
ompa
rabl
e to
the
wor
king
hou
rs o
f day
wor
kers
.
7.4
Phys
ical
Em
ploy
men
t sit
e In
spec
tion
❒ R
evie
w n
otice
boa
rds
to c
heck
whe
ther
the
follo
win
g in
form
ation
is c
omm
unic
ated
to w
orke
rs:
• w
orki
ng h
ours
(ful
l tim
e /
part
tim
e /
nigh
t/ o
verti
me
/ pe
ak p
erio
ds);
• da
ys o
ff a
nd re
st p
erio
ds;
• an
nual
and
oth
er le
ave;
•
arra
ngem
ents
rega
rdin
g w
orki
ng h
ours
for
hom
e w
orke
rs, p
art‐
time
wor
kers
, nig
ht w
orke
rs o
r m
igra
nt w
orke
rs.
❒ In
form
ation
sho
uld
be c
omm
unic
ated
in re
leva
nt w
orke
r la
ngua
ges.
❒ T
here
sho
uld
be a
reas
aw
ay fr
om th
e pr
oduc
tion
are
a w
here
wor
kers
can
rest
or
eat.
❒ R
evie
w th
e fa
ciliti
es o
n off
er in
wor
kers
’ res
t are
as. F
or e
xam
ple,
is th
ere
prov
isio
n of
food
and
bev
erag
es fo
r w
orke
rs?
❒ O
bser
ve re
st b
reak
s an
d cl
ocki
ng in
/ o
ut w
here
ver
poss
ible
.
…A
ppen
dix
2: G
SCP
Refe
renc
e Pr
e-A
udit
Em
ploy
men
t Sit
e Pr
ofile
App
endi
x 3:
GSC
P Re
fere
nce
Aud
it C
heck
s
App
endi
x 4:
GSC
P Re
fere
nce
Ale
rt N
otific
ation
App
endi
x 5:
GSC
P Re
fere
nce
Aud
it R
epor
t
App
endi
x 6:
GSC
P Re
fere
nce
Supp
lem
enta
ry A
udit
Info
rmati
on
A
ppen
dix
7: G
SCP
Refe
renc
e Su
mm
ary
of F
indi
ngs
and
Corr
ecti
ve A
ction
s
App
endi
x 1:
GSC
P Re
fere
nce
Self
Ass
essm
ent Q
uesti
onna
ire
…
GLOBAL SOCIAL COMPLIANCE PROGRAMME_37
INTR
OD
UCTIO
NA
UD
IT REQ
UEST
AU
DIT EX
ECUTIO
NPR
EPAR
ATION
AU
DIT O
UTPU
TSG
LOSSA
RY
APPEN
DICES
RISK A
SSESSMEN
T SYSTEM
APPENDIX 3: GSCP REFERENCE AUDIT CHECKS
AUDIT PROCESS AND METHODOLOGY REFERENCE TOOLS - OCTOBER 2009
7.2
Wor
ker
Inte
rvie
w C
heck
s
Dur
ing
wor
ker i
nter
view
s, c
orro
bora
te w
orke
r tes
tim
ony
with
doc
umen
t che
cks
and
man
agem
ent i
nter
view
s. A
sk w
orke
rs:
❒ W
hat
thei
r st
anda
rd w
orki
ng h
ours
are
.
❒ W
heth
er th
ey fe
el u
nder
pre
ssur
e to
wor
k lo
ng h
ours
.
❒ W
heth
er a
ny o
verti
me
hour
s th
ey d
o ar
e vo
lunt
ary,
and
whe
ther
wor
kers
can
refu
se to
wor
k ov
erti
me
wit
hout
ex
peri
enci
ng a
ny re
perc
ussi
ons.
❒ W
heth
er w
orke
rs’ s
tand
ard
mon
thly
sal
ary
is s
uffici
ent t
o m
eet t
heir
fam
ily’s
cos
t of l
ivin
g, o
r w
heth
er it
is n
eces
sary
fo
r a
wor
ker
to c
ompl
ete
over
tim
e to
reac
h th
is le
vel.
❒ W
hen
the
brea
ks a
re d
urin
g th
e da
y, a
nd h
ow lo
ng th
ey la
st.
❒ W
heth
er th
e br
eaks
the
y ar
e gi
ven
are
suffi
cien
t to
rest
and
eat
.
❒ W
heth
er th
ey h
ave
an e
ntitl
emen
t to
annu
al le
ave,
whe
n th
ey c
an ta
ke it
, and
how
they
app
ly fo
r th
at le
ave.
❒ W
heth
er th
ey a
re a
ble
to c
laim
oth
er t
ypes
of p
aid
and
unpa
id le
ave
such
as:
•
mat
erni
ty /
pat
erni
ty le
ave;
• si
ck le
ave;
• de
pend
ants
/ c
ompa
ssio
nate
leav
e;•
mar
riag
e or
wed
ding
leav
e;•
othe
r le
gally
man
date
d le
ave
(e.g
. for
sta
te o
r re
ligio
us h
olid
ays)
.
7.3
Man
agem
ent I
nter
view
s, E
mpl
oym
ent
site
pro
cedu
res
and
Proc
esse
s
❒ T
he e
mpl
oym
ent s
ite
is a
war
e of
loca
l law
rega
rdin
g w
orki
ng h
ours
, lea
ve a
nd b
reak
s.
❒ T
he e
mpl
oym
ent s
ite
is a
war
e of
est
ablis
hed
inte
rnati
onal
requ
irem
ents
on
wor
king
hou
rs, l
eave
and
bre
aks,
su
ch a
s th
ose
deta
iled
in th
e re
leva
nt c
ode
of c
ondu
ct.
❒ A
ll br
eaks
and
rest
per
iods
thr
ough
out t
he w
orki
ng d
ay m
ust b
e gi
ven
in a
ccor
danc
e w
ith
appl
icab
le la
ws.
❒ T
he e
mpl
oym
ent s
ite
mus
t allo
w a
per
iod
of re
st b
etw
een
shift
s th
at is
in a
ccor
danc
e w
ith
the
law
.
❒ A
ll w
orke
rs m
ust r
ecei
ve th
e re
st o
ppor
tuni
ties
aff
orde
d to
them
by
law
.
❒ R
est
peri
ods
give
n to
wor
kers
ope
rati
ng h
eavy
mac
hine
ry m
ust b
e in
acc
orda
nce
wit
h th
e la
w.
❒ P
regn
ant w
orke
rs h
ave
the
oppo
rtun
ity
to s
wit
ch fr
om n
ight
shi
fts
to d
ay w
ork
wit
h no
cha
nge
in p
ay.
❒ N
orm
al h
ours
of w
ork
for
nigh
t w
orke
rs a
re c
ompa
rabl
e to
the
wor
king
hou
rs o
f day
wor
kers
.
7.4
Phys
ical
Em
ploy
men
t sit
e In
spec
tion
❒ R
evie
w n
otice
boa
rds
to c
heck
whe
ther
the
follo
win
g in
form
ation
is c
omm
unic
ated
to w
orke
rs:
• w
orki
ng h
ours
(ful
l tim
e /
part
tim
e /
nigh
t/ o
verti
me
/ pe
ak p
erio
ds);
• da
ys o
ff a
nd re
st p
erio
ds;
• an
nual
and
oth
er le
ave;
•
arra
ngem
ents
rega
rdin
g w
orki
ng h
ours
for
hom
e w
orke
rs, p
art‐
time
wor
kers
, nig
ht w
orke
rs o
r m
igra
nt w
orke
rs.
❒ In
form
ation
sho
uld
be c
omm
unic
ated
in re
leva
nt w
orke
r la
ngua
ges.
❒ T
here
sho
uld
be a
reas
aw
ay fr
om th
e pr
oduc
tion
are
a w
here
wor
kers
can
rest
or
eat.
❒ R
evie
w th
e fa
ciliti
es o
n off
er in
wor
kers
’ res
t are
as. F
or e
xam
ple,
is th
ere
prov
isio
n of
food
and
bev
erag
es fo
r w
orke
rs?
❒ O
bser
ve re
st b
reak
s an
d cl
ocki
ng in
/ o
ut w
here
ver
poss
ible
.
Appendix 2: G
SCP Reference Pre-Audit Em
ployment Site Profile
Appendix 3: G
SCP Reference Audit Checks
Appendix 4: G
SCP Reference Alert N
otificati
on
Appendix 5: G
SCP Reference Audit Report
Appendix 6: G
SCP Reference Supplementary A
udit Informati
on A
ppendix 7: GSCP Reference Sum
mary of Findings and Correcti
ve Acti
ons
Appendix 1: G
SCP Reference Self Assessm
ent Questi
onnaire…
01_Global Social compliance proGramme
intr
od
uct
ion
au
dit
req
ueS
ta
ud
it e
xec
uti
on
pr
epa
rat
ion
a
ud
it o
utp
utS
Glo
SSa
ry
app
end
iceS
riS
k a
SSeS
Smen
t Sy
Stem
appendix 4
GSCP Reference Alert Notification
This tool is part of the broader set of Reference tools designed to provide a common interpretation of fair labour requirements and their implementation. They will enable buying companies around the world to work towards mutual recognition of audit results.
The GSCP Reference tools are based on the GSCP Reference Code but can be adopted and tailored to other codes of conduct.
Note: The GSCP Reference Code gathers, in a single framework, the main international standards for fair labour conditions and fundamental labour rights. The GSCP Reference Code is not a substitute for existing codes or existing systems but brings together the standards and best practices that could be applied.
Where a ‘critical’ non-compliance is identified, the auditor should, wherever possible, inform the audit requestor within 24 hours. If the audit requestor is on site, the auditor should communicate the critical non-compliance immediately. This will enable the audit requestor and the employment site to work together to plan an appropriate and timely resolution to the issue.
Please note, that if an auditor believes they might be at risk as a result of communicating a critical non-compliance, the audit team should wait until it is removed from that situation before issuing the alert notification.
Auditors should prioritise the welfare of workers when deciding how to inform employment site management of any critical non-compliance. Auditors should follow the escalation policies of the audit requestor to minimise any risk to workers.
A critical non-compliance is:
• an issue which presents imminent risk to workers’ safety/risk to life and limb or constitutes a significant breach of workers’ human rights, and/or;
• a major non-compliance that has not been addressed or for which no significant improvement has been made by the time of a follow up audit, in spite of supplier commitment to resolve the issue;
• an attempt to pervert the course of the audit through fraud, coercion, deception or interference.
Critical non-compliances include:
• inconsistencies between different types of documents and worker testimony [see Section 4.4.2];
• child labour (reported or confirmed through documentation);
• involuntary, indentured, or involuntary prison labour (including forced overtime and absence of payment);
• workers subjected to physical abuse;
• workers subjected to sexual harassment or abuse;
• workers in immediate danger;
• workers not being paid at all;
• workers subjected to discriminatory practices (e.g. during recruitment, workers are tested for medical conditions not required by law or product safety requirements, e.g. pregnancy, HIV/AIDS, hepatitis etc.);
• union members, union or worker representatives are actively harassed, penalised or discriminated (directly or indirectly) against;
• attempted bribery;
• auditors denied access or obstructed from conducted from conducting a proper audit;
• evidence of the deliberate provision of false information to auditors so as to disguise unfair labour conditions.
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udit
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endi
x 4:
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rt N
otific
ation
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endi
x 5:
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P Re
fere
nce
Aud
it R
epor
t
App
endi
x 6:
GSC
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nce
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enta
ry A
udit
Info
rmati
on
A
ppen
dix
7: G
SCP
Refe
renc
e Su
mm
ary
of F
indi
ngs
and
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ecti
ve A
ction
s
App
endi
x 1:
GSC
P Re
fere
nce
Self
Ass
essm
ent Q
uesti
onna
ire
GLOBAL SOCIAL COMPLIANCE PROGRAMME_02
INTR
OD
UCTIO
NA
UD
IT REQ
UEST
AU
DIT EX
ECUTIO
NPR
EPAR
ATION
AU
DIT O
UTPU
TSG
LOSSA
RY
APPEN
DICES
RISK A
SSESSMEN
T SYSTEM
APPENDIX 4: GSCP REFERENCE ALERT NOTIFICATION
AUDIT PROCESS AND METHODOLOGY REFERENCE TOOLS - OCTOBER 2009
REFERENCE ALERT NOTIFICATION
1. Key Information
EMPLOYMENT SITE AND AUDIT INFORMATION
Name of the audited company:
Supplier name:
Employment site name:
Country:
Audit date:
Date of alert:
Lead auditor:
Issue area(s):
2. Details of critical non-compliance(s)Critical non‐compliances should be presented in a consistent format, with sufficient detail concerning the issue(s) and its context to enable useful remediation discussions to begin. A table should be completed for each issue found.
CRITICAL NON-COMPLIANCE
Code or labour law provision in breach:
Description of critical non-compliance:
Auditor findings (description, extent of issue, etc.):
Documentary, interview and other evidence found:
Management response:
Proposed corrective actions:
Appendix 2: G
SCP Reference Pre-Audit Em
ployment Site Profile
Appendix 3: G
SCP Reference Audit Checks
Appendix 4: G
SCP Reference Alert N
otificati
on A
ppendix 5: GSCP Reference A
udit Report A
ppendix 6: GSCP Reference Supplem
entary Audit Inform
ation
Appendix 7: G
SCP Reference Summ
ary of Findings and Corrective A
ctions
Appendix 1: G
SCP Reference Self Assessm
ent Questi
onnaire
01_GLOBAL SOCIAL COMPLIANCE PROGRAMME
INTR
OD
UCT
ION
AU
DIT
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UES
TA
UD
IT E
XEC
UTI
ON
PR
EPA
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ION
A
UD
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UTP
UTS
GLO
SSA
RY
APP
END
ICES
RIS
K A
SSES
SMEN
T SY
STEM
APPENDIX 5
GSCP Reference Audit Report
This tool is part of the broader set of Reference tools designed to provide a common interpretation of fair labour requirements and their implementation. They will enable buying companies around the world to work towards mutual recognition of audit results.
The GSCP Reference tools are based on the GSCP Reference Code but can be adopted and tailored to other codes of conduct.
Note: The GSCP Reference Code gathers, in a single framework, the main international standards for fair labour conditions and fundamental labour rights. The GSCP Reference Code is not a substitute for existing codes or existing systems but brings together the standards and best practices that could be applied.
The context, findings, issues and actions against each area of the audit standard used should be reported to the audit requestorThe report should be available in English to ensure that it can be shared with various stakeholders, as well as in the language of the management wherever this is possible. The report should be delivered to the audit requestor within 10 business days of the audit.
For each provision of the audit standard, the report should set out:
• description of the current situation, including how specific requirements are managed by the employment site;
• provide evidence and information to substantiate the findings;
• for each non‐compliance or observation, the report should provide a:
/ description of the non‐compliance or observation, its frequency and the number of people concerned;
/ evidence found to substantiate it;
/ classification to applicable law, code of conduct, etc.;
/ recommended corrective action with a timeframe for completion, responsibility and verification method required.
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it R
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SCP
Refe
renc
e Su
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of F
indi
ngs
and
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ecti
ve A
ction
s
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endi
x 1:
GSC
P Re
fere
nce
Self
Ass
essm
ent Q
uesti
onna
ire
GLOBAL SOCIAL COMPLIANCE PROGRAMME_02
INTR
OD
UCTIO
NA
UD
IT REQ
UEST
AU
DIT EX
ECUTIO
NPR
EPAR
ATION
AU
DIT O
UTPU
TSG
LOSSA
RY
APPEN
DICES
RISK A
SSESSMEN
T SYSTEM
APPENDIX 5: GSCP REFERENCE AUDIT REPORT
AUDIT PROCESS AND METHODOLOGY REFERENCE TOOLS - OCTOBER 2009
The report should include photos of the employment site such as:
• outside general overview;
• inside general overview;
• various stages of the manufacturing process;
• safety equipment;
• machines guards;
• drinking water;
• first aid equipment;
• break room / staff room;
• toilets and showers as applicable;
• dormitories where applicable;
• canteen where applicable;
• kitchen where applicable;
• best practices which can be photographed;
• non‐compliances which can be photographed.
Unless agreed by all parties in writing, the audit organisation will not distribute the report to any entities except the audit requestor. However, the audit requestor should share the report with the employment site/customer/supplier as soon as possible in order to facilitate co‐operation on continuous improvement.
Auditors may feel the need to produce a separate, supplementary report for the audit requestor containing:
• information too sensitive for the audit report;
• concerns which cannot be substantiated through evidence and/or interviews;
• attitude of management towards the non‐compliances or the audit process as a whole.
Supplementary reports may be appropriate:
• if workers appear to be under undue pressure from management on the day of audit;
• if workers appear to have been coached;
• if management was obstructive or reluctant to accept findings and the need for remediation;
• where the auditor has concerns about the possibility of double books or falsified records;
• where sensitive issues could not be discussed during the closing meeting because of a potential risk to workers’ wellbeing.
Please refer to the Appendix 6, Reference Supplementary Audit Information for guidance on communicating this type of information to the audit requestor.
Appendix 2: G
SCP Reference Pre-Audit Em
ployment Site Profile
Appendix 3: G
SCP Reference Audit Checks
Appendix 4: G
SCP Reference Alert N
otificati
on
Appendix 5: G
SCP Reference Audit Report
Appendix 6: G
SCP Reference Supplementary A
udit Informati
on A
ppendix 7: GSCP Reference Sum
mary of Findings and Correcti
ve Acti
ons
Appendix 1: G
SCP Reference Self Assessm
ent Questi
onnaire
03_GLOBAL SOCIAL COMPLIANCE PROGRAMME
INTR
OD
UCT
ION
AU
DIT
REQ
UES
TA
UD
IT E
XEC
UTI
ON
PR
EPA
RAT
ION
A
UD
IT O
UTP
UTS
GLO
SSA
RY
APP
END
ICES
RIS
K A
SSES
SMEN
T SY
STEM
APPENDIX 5: GSCP REFERENCE AUDIT REPORT
AUDIT PROCESS AND METHODOLOGY REFERENCE TOOLS - OCTOBER 2009
1. GENERAL INFORMATION
1.0 Employment site contact details:
Name:
Address:
Country:
Telephone:
Fax/email:
GPS cordinates:
Is this site in an Export processing zone (EPZ)*? Yes ❒ No ❒
1.1 Audit date(s):
1.2 Report issue date:
1.3 Audit type: Initial Follow‐up
Full audit Partial audit
Announced Semi‐announced Unannounced
1.4 Audit conducted by: Auditing company (please provide name below)
Retailer Brand Owner Purchaser NGO Union Multiple parties. If yes, please list.
1.5 Audit personnel (please specify the names and titles of the auditors and worker interviewers who conducted the audit)
Name: Title:
Name: Title:
Name: Title:
Name: Title:
1.6 Time in and time out: In: Out:
1.7 Previous audit details (if any): • Audited conducted by:
• Standard against which the audit was conducted:
• Audit date:
• Audit type:
* “Industrial zones with special incentives set up to attract foreign investors, in which imported materials undergo some degree of processing before being re‐exported” (ILO, 2007)
…
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x 5:
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epor
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ppen
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SCP
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e Su
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of F
indi
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and
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ecti
ve A
ction
s
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endi
x 1:
GSC
P Re
fere
nce
Self
Ass
essm
ent Q
uesti
onna
ire
GLOBAL SOCIAL COMPLIANCE PROGRAMME_04
INTR
OD
UCTIO
NA
UD
IT REQ
UEST
AU
DIT EX
ECUTIO
NPR
EPAR
ATION
AU
DIT O
UTPU
TSG
LOSSA
RY
APPEN
DICES
RISK A
SSESSMEN
T SYSTEM
APPENDIX 5: GSCP REFERENCE AUDIT REPORT
AUDIT PROCESS AND METHODOLOGY REFERENCE TOOLS - OCTOBER 2009
1.8 Supplier name:
1.9 Main employment site contact: Name:
Position:
Telephone:
1.10 Is the employment site involved with any local Trade Unions or NGOs? If yes, provide nature of the involvement
Yes No
1.11 Name and job title of employment site representative who signed the Summary of Findings and Corrective Actions
Name: Title:
1.12 Audits results reviewed by employment site management?
Yes No
1.13 Audit report author:
1.14 Audit report reviewer:
1.15 General remarks:
…
Appendix 2: G
SCP Reference Pre-Audit Em
ployment Site Profile
Appendix 3: G
SCP Reference Audit Checks
Appendix 4: G
SCP Reference Alert N
otificati
on
Appendix 5: G
SCP Reference Audit Report
Appendix 6: G
SCP Reference Supplementary A
udit Informati
on A
ppendix 7: GSCP Reference Sum
mary of Findings and Correcti
ve Acti
ons
Appendix 1: G
SCP Reference Self Assessm
ent Questi
onnaire
05_GLOBAL SOCIAL COMPLIANCE PROGRAMME
INTR
OD
UCT
ION
AU
DIT
REQ
UES
TA
UD
IT E
XEC
UTI
ON
PR
EPA
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ION
A
UD
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UTS
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RY
APP
END
ICES
RIS
K A
SSES
SMEN
T SY
STEM
APPENDIX 5: GSCP REFERENCE AUDIT REPORT
AUDIT PROCESS AND METHODOLOGY REFERENCE TOOLS - OCTOBER 2009
2. EMPLOYMENT SITE INFORMATION
2.1 Production Systems and Processes
2.1.1 Industry sector:
2.1.2 Principal products:
2.1.3 Main export markets:
2.1.4 Other major customers:
2.1.5 Peak & low seasons: Peak season:Low season:
2.1.6 Maximum capacity per month*:
2.1.7 Typical production level as a percentage of total capacity (by month):
Jan Feb Mar Apr May June
July Aug Sept Oct Nov Dec
2.1.8 Main production processes (e.g. Stitching, labelling, injection, moulding, baking, harvesting, dyeing etc.):
2.1.9 Main production equipment:
2.1.10 Main raw materials used:
2.1.11 List of hazardous chemicals used employment site:
2.1.12 Shift times (broken down by section):
2.1.13 Regular overtime hours:
* Auditor should check if an appropriate unit has been communicated (tonnes, number of pieces, containers…).
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ppen
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renc
e Su
mm
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of F
indi
ngs
and
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ecti
ve A
ction
s
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endi
x 1:
GSC
P Re
fere
nce
Self
Ass
essm
ent Q
uesti
onna
ire
GLOBAL SOCIAL COMPLIANCE PROGRAMME_06
INTR
OD
UCTIO
NA
UD
IT REQ
UEST
AU
DIT EX
ECUTIO
NPR
EPAR
ATION
AU
DIT O
UTPU
TSG
LOSSA
RY
APPEN
DICES
RISK A
SSESSMEN
T SYSTEM
APPENDIX 5: GSCP REFERENCE AUDIT REPORT
AUDIT PROCESS AND METHODOLOGY REFERENCE TOOLS - OCTOBER 2009
2.2 Audit Overview and History
2.2.1 Applicable Code of conduct
2.2.2 Did management display a positive attitude towards the applicable code of conduct?
Yes No
2.2.3 Were management co-operative during the audit? Yes No
2.2.4 Were workers aware of the audit?If yes, what was their attitude to the audit?
Yes No
2.2.5 Were workers’ representatives involved during the audit? Yes No
2.2.6 Were workers’ representatives present at opening and closing meetings?
Opening meeting:
Yes No
Closing meeting:
Yes No
2.2.7 Were any inconsistencies found? (If yes, please describe the nature of the inconsistencies – e.g. poor record keeping, isolated incident, repeated occurrence, etc.
Yes No
2.2.8 Was a perimeter survey undertaken? (If Yes, please detail the results)Result of Perimeter Survey:
Yes No
2.2.9 Were any alert notifications issued as part of this audit?If yes, how many?
Yes No
Appendix 2: G
SCP Reference Pre-Audit Em
ployment Site Profile
Appendix 3: G
SCP Reference Audit Checks
Appendix 4: G
SCP Reference Alert N
otificati
on
Appendix 5: G
SCP Reference Audit Report
Appendix 6: G
SCP Reference Supplementary A
udit Informati
on A
ppendix 7: GSCP Reference Sum
mary of Findings and Correcti
ve Acti
ons
Appendix 1: G
SCP Reference Self Assessm
ent Questi
onnaire
07_GLOBAL SOCIAL COMPLIANCE PROGRAMME
INTR
OD
UCT
ION
AU
DIT
REQ
UES
TA
UD
IT E
XEC
UTI
ON
PR
EPA
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ION
A
UD
IT O
UTP
UTS
GLO
SSA
RY
APP
END
ICES
RIS
K A
SSES
SMEN
T SY
STEM
APPENDIX 5: GSCP REFERENCE AUDIT REPORT
AUDIT PROCESS AND METHODOLOGY REFERENCE TOOLS - OCTOBER 2009
2.3 Management Information
EMPLOYMENT SITE MANAGEMENT
2.3.1 Nationality of management:
2.3.2 Number of workers recruited in past year:
2.3.3 Number of workers leaving in past year:
2.3.4 Worker turnover in past year (no. leavers divided by the average total number of workers during the year)
2.3.5 Were management open and helpful? Yes No
2.3.6 Were true records shown on first request? Yes No
2.3.7 Was documentation provided easily? Yes No
2.3.8 Were managers open to recommendations? Yes No
2.3.9 Do managers appear to have the capacity to implement changes? Yes No
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it R
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ppen
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Refe
renc
e Su
mm
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of F
indi
ngs
and
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ecti
ve A
ction
s
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endi
x 1:
GSC
P Re
fere
nce
Self
Ass
essm
ent Q
uesti
onna
ire
GLOBAL SOCIAL COMPLIANCE PROGRAMME_08
INTR
OD
UCTIO
NA
UD
IT REQ
UEST
AU
DIT EX
ECUTIO
NPR
EPAR
ATION
AU
DIT O
UTPU
TSG
LOSSA
RY
APPEN
DICES
RISK A
SSESSMEN
T SYSTEM
APPENDIX 5: GSCP REFERENCE AUDIT REPORT
AUDIT PROCESS AND METHODOLOGY REFERENCE TOOLS - OCTOBER 2009
3. WORKFORCE
3.1 WORKFORCE SIZE
Male (#) Female (#) TOTAL (#)
3.1.1 Permanent workers:
3.1.2 Temporary workers:
3.1.3 Agency workers
3.1.4 TOTAL WORKFORCE (sum of above)
3.1.5 Piece rate workers:
3.1.6 Salaried workers:
3.1.7 Hourly paid workers:
3.1.8 Homeworkers:
3.1.9 Young workers:
3.1.10 Part-time workers:
3.1.11 Night workers:
3.2 MIGRANT WORKFORCE
3.2.1 Percentage of migrant* workers!
3.2.2 Percentage of migrant* workers working at night:
* The term ‘migrant worker’ refers to a person who is engaged in a remunerated activity, who has moved to a country, province or region of which he or she is not a native, where they are not eligible or does not intend to become permanent residents.
3.3 YOUNG WORKER DETAILS
Peak Season Low Season
3.3.1 Age of youngest worker: Male: Female:
Male: Female:
Appendix 2: G
SCP Reference Pre-Audit Em
ployment Site Profile
Appendix 3: G
SCP Reference Audit Checks
Appendix 4: G
SCP Reference Alert N
otificati
on
Appendix 5: G
SCP Reference Audit Report
Appendix 6: G
SCP Reference Supplementary A
udit Informati
on A
ppendix 7: GSCP Reference Sum
mary of Findings and Correcti
ve Acti
ons
Appendix 1: G
SCP Reference Self Assessm
ent Questi
onnaire
09_GLOBAL SOCIAL COMPLIANCE PROGRAMME
INTR
OD
UCT
ION
AU
DIT
REQ
UES
TA
UD
IT E
XEC
UTI
ON
PR
EPA
RAT
ION
A
UD
IT O
UTP
UTS
GLO
SSA
RY
APP
END
ICES
RIS
K A
SSES
SMEN
T SY
STEM
APPENDIX 5: GSCP REFERENCE AUDIT REPORT
AUDIT PROCESS AND METHODOLOGY REFERENCE TOOLS - OCTOBER 2009
3.5 WORKER INTERVIEWS AND WORKER NUMBERS
Male (#) Female (#) TOTAL (#)
3.5.1 Individual interviews (# of workers):
3.5.2 Group interviews (# of workers):
3.5.3 TOTAL NUMBER OF WORKERS INTERVIEWED:
3.5.4 Permanent workers interviewed:
3.5.5 Temporary workers interviewed:
3.5.6 Agency workers interviewed:
3.5.7 Piece rate workers interviewed:
3.5.8 Salaried workers interviewed:
3.5.9 Hourly paid workers interviewed:
3.5.10 Homeworkers interviewed:
3.5.11 Young workers interviewed:
3.5.12 Part-time workers interviewed:
3.5.13 Night workers interviewed:
3.4 OTHER INFORMATION
3.4.1 Main languages spoken by workers:
3.4.2 Nationality of workers:
3.4.3 Average length of employment: Permanent workers (please specify period):
Temporary/ agency workers (please specify period):
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SCP
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it R
epor
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x 6:
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enta
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udit
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ppen
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SCP
Refe
renc
e Su
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indi
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and
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ction
s
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x 1:
GSC
P Re
fere
nce
Self
Ass
essm
ent Q
uesti
onna
ire
GLOBAL SOCIAL COMPLIANCE PROGRAMME_10
INTR
OD
UCTIO
NA
UD
IT REQ
UEST
AU
DIT EX
ECUTIO
NPR
EPAR
ATION
AU
DIT O
UTPU
TSG
LOSSA
RY
APPEN
DICES
RISK A
SSESSMEN
T SYSTEM
APPENDIX 5: GSCP REFERENCE AUDIT REPORT
AUDIT PROCESS AND METHODOLOGY REFERENCE TOOLS - OCTOBER 2009
4. S
UM
MA
RY O
F G
OO
D P
RACT
ICE,
OBS
ERVA
TIO
N
& N
ON
-CO
MPL
IAN
CES
TOPI
C A
REA
NU
MB
ER
OF
GO
OD
PR
ACT
ICES
NU
MB
ER O
F O
BSE
RVA
-TI
ON
S
NU
MB
ER
OF
NO
N-C
OM
PLIA
NCE
S.Pl
ease
indi
cate
if z
ero
NO
N-C
OM
PLIA
NCE
S O
BSE
RV
ED.
Plea
se in
dica
te if
zer
o
Criti
cal
Maj
orM
inor
Code
of
cond
uct
Loca
l La
w
4.0
Man
agem
ent s
yste
ms
4.1
Forc
ed, b
onde
d, in
dent
ured
&
pri
son
labo
ur
4.2
Child
labo
ur a
nd y
oung
wor
kers
4.3
Free
dom
of a
ssoc
iati
on a
nd r
ight
to
col
lecti
ve b
arga
inin
g
4.4
Dis
crim
inati
on, h
aras
smen
t an
d ab
use
4.5
Hea
lth
and
safe
ty
4.6
Wag
es a
nd b
enefi
ts
4.7
Wor
king
hou
rs
OV
ERA
LL
Appendix 2: G
SCP Reference Pre-Audit Em
ployment Site Profile
Appendix 3: G
SCP Reference Audit Checks
Appendix 4: G
SCP Reference Alert N
otificati
on
Appendix 5: G
SCP Reference Audit Report
Appendix 6: G
SCP Reference Supplementary A
udit Informati
on A
ppendix 7: GSCP Reference Sum
mary of Findings and Correcti
ve Acti
ons
Appendix 1: G
SCP Reference Self Assessm
ent Questi
onnaire
11_GLOBAL SOCIAL COMPLIANCE PROGRAMME
INTR
OD
UCT
ION
AU
DIT
REQ
UES
TA
UD
IT E
XEC
UTI
ON
PR
EPA
RAT
ION
A
UD
IT O
UTP
UTS
GLO
SSA
RY
APP
END
ICES
RIS
K A
SSES
SMEN
T SY
STEM
APPENDIX 5: GSCP REFERENCE AUDIT REPORT
AUDIT PROCESS AND METHODOLOGY REFERENCE TOOLS - OCTOBER 2009 5.
REP
ORT
ING
TEM
PLAT
E
The
audi
t rep
ort s
houl
d in
clud
e a
tabl
e as
per
the
exam
ple
belo
w fo
r eac
h se
ction
of t
he a
pplic
able
cod
e of
con
duct
aga
inst
whi
ch th
e au
dit w
as c
ondu
cted
. The
tabl
es
belo
w re
fer
to th
e G
SCP
Refe
renc
e Co
de.
For
follo
w-u
p au
dits
, the
rep
ort
issu
ed s
houl
d be
an
upda
ted
vers
ion
of t
he o
rigi
nal r
epor
t, w
ith
all n
ew is
sues
and
upd
ates
to
prev
ious
issu
es c
lear
ly h
ighl
ight
ed.
An
exam
ple
of h
ow to
incl
ude
follo
w-u
p in
form
ation
in th
e au
dit
repo
rt te
mpl
ate
is s
how
n be
low
.
DES
CRIP
TIO
N(S
ubje
ct a
rea
[und
erlin
ed],
desc
ripti
on o
f the
find
ing,
det
ails
of
the
man
agem
ent p
ositi
on, a
ny m
anag
emen
t inv
olve
men
t and
ele
men
t of
the
law
/cod
e th
at h
as b
een
viol
ated
)
EVID
ENCE
(A
des
crip
tion
of th
e ev
iden
ce o
bser
ved
and
rela
ted
to th
e au
dit
chec
k gu
idel
ines
. Ple
ase
indi
cate
the
type
of e
vide
nce
liste
d e.
g. w
orke
r
inte
rvie
w, d
ocum
enta
ry, o
bser
vatio
nal)
e.g.
Pol
icie
s an
d Pr
oced
ures
Man
agem
ent h
ad e
stab
lishe
d a
polic
y on
the
impl
emen
tatio
n of
fair
labo
ur
stan
dard
s, b
ut n
o re
spon
sibi
lity
had
been
ass
igne
d an
d w
orke
rs /
man
agem
ent
wer
e no
t aw
are
of th
e po
licy.
Follo
w u
p 01
/06/
09 –
M
anag
emen
t has
allo
cate
d re
spon
sibi
lity
for
the
impl
emen
tatio
n of
the
polic
y.
This
pol
icy
was
com
mun
icat
ed to
all
wor
kers
on
01/0
4/09
in th
e em
ploy
men
t site
’s
mon
thly
mee
ting.
Doc
umen
tary
0.1P
olic
ies
seen
wer
e no
t sig
ned
by a
ny m
anag
er.
Man
agem
ent I
nter
view
0.3
Man
ager
s re
port
ed th
at n
o in
divi
dual
had
bee
n gi
ven
resp
onsi
bilit
y.
Follo
w-u
p 01
/06/
09 –
D
ocum
enta
ryJo
b de
scri
ption
of M
r. Sm
ith d
etai
ls re
spon
sibi
lities
aro
und
fair
labo
ur s
tand
ards
Man
agem
ent a
nd w
orke
r in
terv
iew
sM
anag
emen
t and
wor
ker
inte
rvie
ws
confi
rmed
com
mun
icati
on a
t the
mee
ting
on
01/0
4/09
.
Follo
w u
p 01
/06/
09 –
New
Issu
ePo
licie
s an
d Pr
oced
ures
The
empl
oym
ent s
ite h
as n
ot c
omm
unic
ated
revi
sed
com
plia
nce
requ
irem
ents
to
subc
ontr
acto
rs
Follo
w u
p 01
/06/
09 –
New
issu
eM
anag
emen
t Int
ervi
ews
Man
agem
ent s
ay th
at th
ey a
re m
eetin
g w
ith a
ll su
bcon
trac
tors
indi
vidu
ally
ove
r th
e co
urse
of t
he n
ext 3
mon
ths
to d
etai
l cha
nges
to p
rodu
ction
met
hods
and
to
re‐it
erat
e co
mpl
ianc
e re
quire
men
ts.
App
endi
x 2:
GSC
P Re
fere
nce
Pre-
Aud
it E
mpl
oym
ent S
ite
Profi
le
A
ppen
dix
3: G
SCP
Refe
renc
e A
udit
Che
cks
App
endi
x 4:
GSC
P Re
fere
nce
Ale
rt N
otific
ation
App
endi
x 5:
GSC
P Re
fere
nce
Aud
it R
epor
t
App
endi
x 6:
GSC
P Re
fere
nce
Supp
lem
enta
ry A
udit
Info
rmati
on
A
ppen
dix
7: G
SCP
Refe
renc
e Su
mm
ary
of F
indi
ngs
and
Corr
ecti
ve A
ction
s
App
endi
x 1:
GSC
P Re
fere
nce
Self
Ass
essm
ent Q
uesti
onna
ire
GLOBAL SOCIAL COMPLIANCE PROGRAMME_12
INTR
OD
UCTIO
NA
UD
IT REQ
UEST
AU
DIT EX
ECUTIO
NPR
EPAR
ATION
AU
DIT O
UTPU
TSG
LOSSA
RY
APPEN
DICES
RISK A
SSESSMEN
T SYSTEM
APPENDIX 5: GSCP REFERENCE AUDIT REPORT
AUDIT PROCESS AND METHODOLOGY REFERENCE TOOLS - OCTOBER 2009
Definitions:A non-compliance is a specific breach of the standard or code against which the employment site was audited.
Non‐compliances may be Critical, Major or Minor
A minor non-compliance is:
• an occasional or isolated problem;
• an issue which presents a low risk to workers/ those on‐site;
• a policy issue or misunderstanding where there is no evidence of a material breach.
A major non-compliance is:
• a breach which represents a danger to workers/ those on‐site;
• a material breach of a code requirement/ law;
• a systematic violation of a code requirement/ law.
A critical non-compliance is:
• an issue which presents imminent risk to workers’ safety/risk to life and limb or constitutes a significant breach of workers’ human rights, and/or;
• a major non‐compliance that has not been addressed or for which no significant improvement has been made by the time of a follow up audit, in spite of supplier commitment to resolve the issue;
• an attempt to pervert the course of the audit through fraud, coercion, deception or interference.
An observation is:
• the identification of an opportunity for improvement;
• a possible issue which may develop into a non‐compliance without further action;
• an issue which the auditor has some evidence to indicate may be present, but is not confirmed by more than one data point.
A good practice example is:
• an issue that the auditor feels is over and above the standard against which the employment site was audited.
The auditor must be able to justify his/her classification with detailed evidence.
Appendix 2: G
SCP Reference Pre-Audit Em
ployment Site Profile
Appendix 3: G
SCP Reference Audit Checks
Appendix 4: G
SCP Reference Alert N
otificati
on
Appendix 5: G
SCP Reference Audit Report
Appendix 6: G
SCP Reference Supplementary A
udit Informati
on A
ppendix 7: GSCP Reference Sum
mary of Findings and Correcti
ve Acti
ons
Appendix 1: G
SCP Reference Self Assessm
ent Questi
onnaire
13_GLOBAL SOCIAL COMPLIANCE PROGRAMME
INTR
OD
UCT
ION
AU
DIT
REQ
UES
TA
UD
IT E
XEC
UTI
ON
PR
EPA
RAT
ION
A
UD
IT O
UTP
UTS
GLO
SSA
RY
APP
END
ICES
RIS
K A
SSES
SMEN
T SY
STEM
APPENDIX 5: GSCP REFERENCE AUDIT REPORT
AUDIT PROCESS AND METHODOLOGY REFERENCE TOOLS - OCTOBER 2009
MA
NA
GEM
ENT
PRA
CTI
CES
Repo
rt
Goo
dPr
actic
eO
bser
-va
tion
Non
-com
plia
nce
Ty
peD
escr
ipti
on(S
ubje
ct a
rea
[und
erlin
ed],
desc
ripti
on o
f the
find
ing,
de
tails
of t
he m
anag
emen
t pos
ition
, any
man
agem
ent
invo
lvem
ent a
nd e
lem
ent o
f the
law
/cod
e th
at h
as
been
vio
late
d)
Evid
ence
(A
des
crip
tion
of th
e ev
iden
ce o
bser
ved
and
rela
ted
to th
e au
dit c
heck
gui
delin
es. P
leas
e in
dica
te th
e ty
pe o
f evi
denc
e lis
ted
e.g.
wor
ker
inte
rvie
w, d
ocum
enta
ry, o
bser
vatio
nal)
Non
-com
plia
nce
viol
ation
Criti
cal
Maj
orM
inor
Code
of
cond
uct
Loca
l La
w
❒❒
❒❒
e.g.
Pol
icie
s an
d Pr
oced
ures
Man
agem
ent h
ad e
stab
lishe
d a
polic
y on
the
impl
emen
tatio
n of
fair
labo
ur s
tand
ards
, but
no
resp
onsi
bilit
y ha
d be
en a
ssig
ned
and
wor
kers
/
man
agem
ent w
ere
not a
war
e of
the
polic
y.
Doc
umen
tary
0.1
Polic
ies
seen
wer
e no
t sig
ned
by a
ny
man
ager
.M
anag
emen
t Int
ervi
ew0.
3 M
anag
ers
repo
rted
that
no
indi
vidu
al
had
been
giv
en re
spon
sibi
lity.
❒
❒❒
❒❒
❒❒
❒
❒❒
❒❒
❒❒
❒
App
endi
x 2:
GSC
P Re
fere
nce
Pre-
Aud
it E
mpl
oym
ent S
ite
Profi
le
A
ppen
dix
3: G
SCP
Refe
renc
e A
udit
Che
cks
App
endi
x 4:
GSC
P Re
fere
nce
Ale
rt N
otific
ation
App
endi
x 5:
GSC
P Re
fere
nce
Aud
it R
epor
t
App
endi
x 6:
GSC
P Re
fere
nce
Supp
lem
enta
ry A
udit
Info
rmati
on
A
ppen
dix
7: G
SCP
Refe
renc
e Su
mm
ary
of F
indi
ngs
and
Corr
ecti
ve A
ction
s
App
endi
x 1:
GSC
P Re
fere
nce
Self
Ass
essm
ent Q
uesti
onna
ire
GLOBAL SOCIAL COMPLIANCE PROGRAMME_14
INTR
OD
UCTIO
NA
UD
IT REQ
UEST
AU
DIT EX
ECUTIO
NPR
EPAR
ATION
AU
DIT O
UTPU
TSG
LOSSA
RY
APPEN
DICES
RISK A
SSESSMEN
T SYSTEM
APPENDIX 5: GSCP REFERENCE AUDIT REPORT
AUDIT PROCESS AND METHODOLOGY REFERENCE TOOLS - OCTOBER 2009
MA
NA
GEM
ENT
PRA
CTI
CES
Repo
rt
Goo
dPr
actic
eO
bser
-va
tion
Non
-com
plia
nce
Ty
peD
escr
ipti
on(S
ubje
ct a
rea
[und
erlin
ed],
desc
ripti
on o
f the
find
ing,
de
tails
of t
he m
anag
emen
t pos
ition
, any
man
agem
ent
invo
lvem
ent a
nd e
lem
ent o
f the
law
/cod
e th
at h
as
been
vio
late
d)
Evid
ence
(A
des
crip
tion
of th
e ev
iden
ce o
bser
ved
and
rela
ted
to th
e au
dit c
heck
gui
delin
es. P
leas
e in
dica
te th
e ty
pe o
f evi
denc
e lis
ted
e.g.
wor
ker
inte
rvie
w, d
ocum
enta
ry, o
bser
vatio
nal)
Non
-com
plia
nce
viol
ation
Criti
cal
Maj
orM
inor
Code
of
cond
uct
Loca
l La
w
❒❒
❒❒
e.g.
Pol
icie
s an
d Pr
oced
ures
Man
agem
ent h
ad e
stab
lishe
d a
polic
y on
the
impl
emen
tatio
n of
fair
labo
ur s
tand
ards
, but
no
resp
onsi
bilit
y ha
d be
en a
ssig
ned
and
wor
kers
/
man
agem
ent w
ere
not a
war
e of
the
polic
y.
Doc
umen
tary
0.1
Polic
ies
seen
wer
e no
t sig
ned
by a
ny
man
ager
.M
anag
emen
t Int
ervi
ew0.
3 M
anag
ers
repo
rted
that
no
indi
vidu
al
had
been
giv
en re
spon
sibi
lity.
❒
❒❒
❒❒
❒❒
❒
❒❒
❒❒
❒❒
❒
FOR
CED
, BO
ND
ED, I
ND
ENTU
RED
AN
D P
RIS
ON
LA
BO
UR
Repo
rt
Goo
dPr
actic
eO
bser
-va
tion
Non
-com
plia
nce
Ty
peD
escr
ipti
on(S
ubje
ct a
rea
[und
erlin
ed],
desc
ripti
on o
f the
find
ing,
de
tails
of t
he m
anag
emen
t pos
ition
, any
man
agem
ent
invo
lvem
ent a
nd e
lem
ent o
f the
law
/cod
e th
at h
as
been
vio
late
d)
Evid
ence
(A
des
crip
tion
of th
e ev
iden
ce o
bser
ved
and
rela
ted
to th
e au
dit c
heck
gui
delin
es. P
leas
e in
dica
te th
e ty
pe o
f evi
denc
e lis
ted
e.g.
wor
ker
inte
rvie
w, d
ocum
enta
ry, o
bser
vatio
nal)
Non
-com
plia
nce
viol
ation
Criti
cal
Maj
orM
inor
Code
of
cond
uct
Loca
l La
w
❒❒
❒
❒
e.g.
Bon
ded
Labo
urO
rigin
al c
opie
s of
wor
ker p
assp
orts
are
hel
d by
m
anag
emen
t. T
his
is n
ot a
lega
l req
uire
men
t in
this
co
untr
y.Vi
olati
on o
f GSC
P Re
fere
nce
Code
1.3
Doc
umen
tary
1.2
Pers
onne
l file
s he
ld o
rigin
al c
opie
s of
pa
sspo
rts.
Wor
ker
Inte
rvie
w1.
3 W
orke
r int
ervi
ews
confi
rmed
that
they
ca
nnot
leav
e th
eir j
obs
beca
use
they
don
’t
can’
t ret
rieve
pas
spor
ts
❒
❒❒
❒❒
❒❒
❒
❒❒
❒❒
❒❒
❒
Appendix 2: G
SCP Reference Pre-Audit Em
ployment Site Profile
Appendix 3: G
SCP Reference Audit Checks
Appendix 4: G
SCP Reference Alert N
otificati
on
Appendix 5: G
SCP Reference Audit Report
Appendix 6: G
SCP Reference Supplementary A
udit Informati
on A
ppendix 7: GSCP Reference Sum
mary of Findings and Correcti
ve Acti
ons
Appendix 1: G
SCP Reference Self Assessm
ent Questi
onnaire
15_GLOBAL SOCIAL COMPLIANCE PROGRAMME
INTR
OD
UCT
ION
AU
DIT
REQ
UES
TA
UD
IT E
XEC
UTI
ON
PR
EPA
RAT
ION
A
UD
IT O
UTP
UTS
GLO
SSA
RY
APP
END
ICES
RIS
K A
SSES
SMEN
T SY
STEM
APPENDIX 5: GSCP REFERENCE AUDIT REPORT
AUDIT PROCESS AND METHODOLOGY REFERENCE TOOLS - OCTOBER 2009
CHIL
D L
AB
OU
R A
ND
YO
UN
G W
OR
KER
S
Repo
rt
Goo
dPr
actic
eO
bser
-va
tion
Non
-com
plia
nce
Ty
peD
escr
ipti
on(S
ubje
ct a
rea
[und
erlin
ed],
desc
ripti
on o
f the
find
ing,
de
tails
of t
he m
anag
emen
t pos
ition
, any
man
agem
ent
invo
lvem
ent a
nd e
lem
ent o
f the
law
/cod
e th
at h
as
been
vio
late
d)
Evid
ence
(A
des
crip
tion
of th
e ev
iden
ce o
bser
ved
and
rela
ted
to th
e au
dit c
heck
gui
delin
es. P
leas
e in
dica
te th
e ty
pe o
f evi
denc
e lis
ted
e.g.
wor
ker
inte
rvie
w, d
ocum
enta
ry, o
bser
vatio
nal)
Non
-com
plia
nce
viol
ation
Criti
cal
Maj
orM
inor
Code
of
cond
uct
Loca
l La
w
❒❒
❒
❒
e.g.
You
ng W
orke
rsYo
ung
Wor
kers
wer
e fo
und
to b
e w
orki
ng b
oth
over
time
and
at n
ight
in s
ome
secti
ons
of th
e fa
ctor
y. Y
oung
wor
kers
inte
rvie
wed
sai
d th
at th
ere
wer
e no
rest
rictio
ns o
n th
eir w
orki
ng h
ours
, des
pite
m
anag
emen
t cla
ims
that
ove
rtim
e an
d ni
ght w
ork
was
rest
ricte
d to
wor
kers
ove
r the
age
of 1
8.Vi
olati
on o
f GSC
P Re
fere
nce
Code
2.3
Wor
ker
Inte
rvie
w2.
2 W
orke
r int
ervi
ews
confi
rmed
you
ng
wor
ker w
ork
nigh
t-sh
ifts
and
over
time.
❒
❒❒
❒❒
❒❒
❒
❒❒
❒❒
❒❒
❒
App
endi
x 2:
GSC
P Re
fere
nce
Pre-
Aud
it E
mpl
oym
ent S
ite
Profi
le
A
ppen
dix
3: G
SCP
Refe
renc
e A
udit
Che
cks
App
endi
x 4:
GSC
P Re
fere
nce
Ale
rt N
otific
ation
App
endi
x 5:
GSC
P Re
fere
nce
Aud
it R
epor
t
App
endi
x 6:
GSC
P Re
fere
nce
Supp
lem
enta
ry A
udit
Info
rmati
on
A
ppen
dix
7: G
SCP
Refe
renc
e Su
mm
ary
of F
indi
ngs
and
Corr
ecti
ve A
ction
s
App
endi
x 1:
GSC
P Re
fere
nce
Self
Ass
essm
ent Q
uesti
onna
ire
GLOBAL SOCIAL COMPLIANCE PROGRAMME_16
INTR
OD
UCTIO
NA
UD
IT REQ
UEST
AU
DIT EX
ECUTIO
NPR
EPAR
ATION
AU
DIT O
UTPU
TSG
LOSSA
RY
APPEN
DICES
RISK A
SSESSMEN
T SYSTEM
APPENDIX 5: GSCP REFERENCE AUDIT REPORT
AUDIT PROCESS AND METHODOLOGY REFERENCE TOOLS - OCTOBER 2009
FREE
DO
M O
F A
SSO
CIAT
ION
AN
D E
FFEC
TIV
E R
ECO
GN
ITIO
N O
F TH
E R
IGH
T TO
CO
LLEC
TIV
E B
AR
GA
ININ
G
Repo
rt
Goo
dPr
actic
eO
bser
-va
tion
Non
-com
plia
nce
Ty
peD
escr
ipti
on(S
ubje
ct a
rea
[und
erlin
ed],
desc
ripti
on o
f the
find
ing,
de
tails
of t
he m
anag
emen
t pos
ition
, any
man
agem
ent
invo
lvem
ent a
nd e
lem
ent o
f the
law
/cod
e th
at h
as
been
vio
late
d)
Evid
ence
(A
des
crip
tion
of th
e ev
iden
ce o
bser
ved
and
rela
ted
to th
e au
dit c
heck
gui
delin
es. P
leas
e in
dica
te th
e ty
pe o
f evi
denc
e lis
ted
e.g.
wor
ker
inte
rvie
w, d
ocum
enta
ry, o
bser
vatio
nal)
Non
-com
plia
nce
viol
ation
Criti
cal
Maj
orM
inor
Code
of
cond
uct
Loca
l La
w
❒❒
❒
❒
e.g.
Col
lecti
ve B
arga
inin
gW
orke
rs re
port
inst
ance
s w
here
ele
men
ts o
f co
llecti
ve b
arga
inin
g ag
reem
ents
hav
e no
t bee
n up
held
– in
par
ticul
ar th
e pa
ymen
t of a
pre
miu
m
for w
eekd
ay o
verti
me
wor
k.
Man
agem
ent c
laim
that
this
is d
ue to
a
mis
unde
rsta
ndin
g du
ring
nego
tiatio
ns
and
that
this
was
nev
er p
art o
f the
agr
eem
ent.
Viol
ation
of G
SCP
Refe
renc
e Co
de 3
.1
Doc
umen
tary
3.1.
2 D
ocum
ents
sho
w re
fere
nce
to
“app
ropr
iate
ove
rtim
e pr
emiu
ms”
bu
t do
not s
peci
fy a
n am
ount
.W
orke
r In
terv
iew
3.2
Wor
kers
repo
rt th
at th
ey th
ough
t the
ag
reem
ent r
each
ed w
as th
at o
verti
me
wou
ld b
e pa
id a
t tw
ice
the
hour
ly ra
te.
❒
❒
❒❒
❒
Free
dom
of A
ssoc
iati
onW
orke
r rep
rese
ntati
ves
repo
rt th
at s
ometi
mes
su
perv
isor
s co
mm
ent o
n th
eir a
bsen
ce w
hen
they
ha
ve b
een
perf
orm
ing
thei
r rep
rese
ntati
ve d
uties
Wor
ker
Inte
rvie
w3.
2.1,
3.2
– W
orke
rs c
onfir
m th
at m
anag
ers
som
etim
es m
ake
com
men
ts, b
ut h
ave
neve
r tr
ied
to p
reve
nt a
repr
esen
tativ
e fr
om
atten
ding
any
mee
tings
.
❒
❒
❒❒
❒
Free
dom
of A
ssoc
iati
onW
orke
r rep
rese
ntati
ves
are
give
n 10
min
utes
at
the
end
of e
very
mon
thly
pro
ducti
on m
eetin
g
to d
iscu
ss u
nion
matt
ers
with
uni
on m
embe
rs.
Non
-uni
on m
embe
rs a
re n
ot o
blig
ed to
att
end
but
can
if th
ey w
ish
to.
Wor
ker
Inte
rvie
ws
3.2
– W
orke
rs c
onfir
m th
at th
is is
the
case
Man
agem
ent I
nter
view
s3.
3 –
Man
agem
ent s
ay th
at th
ey
impl
emen
ted
this
initi
ative
bec
ause
it h
elpe
d im
prov
e re
latio
ns w
ith th
e Tr
ade
Uni
on.
❒❒
❒❒
❒❒
❒❒
❒
❒❒
❒❒
❒❒
❒
CHIL
D L
AB
OU
R A
ND
YO
UN
G W
OR
KER
S
Repo
rt
Goo
dPr
actic
eO
bser
-va
tion
Non
-com
plia
nce
Ty
peD
escr
ipti
on(S
ubje
ct a
rea
[und
erlin
ed],
desc
ripti
on o
f the
find
ing,
de
tails
of t
he m
anag
emen
t pos
ition
, any
man
agem
ent
invo
lvem
ent a
nd e
lem
ent o
f the
law
/cod
e th
at h
as
been
vio
late
d)
Evid
ence
(A
des
crip
tion
of th
e ev
iden
ce o
bser
ved
and
rela
ted
to th
e au
dit c
heck
gui
delin
es. P
leas
e in
dica
te th
e ty
pe o
f evi
denc
e lis
ted
e.g.
wor
ker
inte
rvie
w, d
ocum
enta
ry, o
bser
vatio
nal)
Non
-com
plia
nce
viol
ation
Criti
cal
Maj
orM
inor
Code
of
cond
uct
Loca
l La
w
❒❒
❒
❒
e.g.
You
ng W
orke
rsYo
ung
Wor
kers
wer
e fo
und
to b
e w
orki
ng b
oth
over
time
and
at n
ight
in s
ome
secti
ons
of th
e fa
ctor
y. Y
oung
wor
kers
inte
rvie
wed
sai
d th
at th
ere
wer
e no
rest
rictio
ns o
n th
eir w
orki
ng h
ours
, des
pite
m
anag
emen
t cla
ims
that
ove
rtim
e an
d ni
ght w
ork
was
rest
ricte
d to
wor
kers
ove
r the
age
of 1
8.Vi
olati
on o
f GSC
P Re
fere
nce
Code
2.3
Wor
ker
Inte
rvie
w2.
2 W
orke
r int
ervi
ews
confi
rmed
you
ng
wor
ker w
ork
nigh
t-sh
ifts
and
over
time.
❒
❒❒
❒❒
❒❒
❒
❒❒
❒❒
❒❒
❒
Appendix 2: G
SCP Reference Pre-Audit Em
ployment Site Profile
Appendix 3: G
SCP Reference Audit Checks
Appendix 4: G
SCP Reference Alert N
otificati
on
Appendix 5: G
SCP Reference Audit Report
Appendix 6: G
SCP Reference Supplementary A
udit Informati
on A
ppendix 7: GSCP Reference Sum
mary of Findings and Correcti
ve Acti
ons
Appendix 1: G
SCP Reference Self Assessm
ent Questi
onnaire
17_GLOBAL SOCIAL COMPLIANCE PROGRAMME
INTR
OD
UCT
ION
AU
DIT
REQ
UES
TA
UD
IT E
XEC
UTI
ON
PR
EPA
RAT
ION
A
UD
IT O
UTP
UTS
GLO
SSA
RY
APP
END
ICES
RIS
K A
SSES
SMEN
T SY
STEM
APPENDIX 5: GSCP REFERENCE AUDIT REPORT
AUDIT PROCESS AND METHODOLOGY REFERENCE TOOLS - OCTOBER 2009
DIS
CRIM
INAT
ION
, HA
RA
SSM
ENT
AN
D A
BU
SE
Repo
rt
Goo
dPr
actic
eO
bser
-va
tion
Non
-com
plia
nce
Ty
peD
escr
ipti
on(S
ubje
ct a
rea
[und
erlin
ed],
desc
ripti
on o
f the
find
ing,
de
tails
of t
he m
anag
emen
t pos
ition
, any
man
agem
ent
invo
lvem
ent a
nd e
lem
ent o
f the
law
/cod
e th
at h
as
been
vio
late
d)
Evid
ence
(A
des
crip
tion
of th
e ev
iden
ce o
bser
ved
and
rela
ted
to th
e au
dit c
heck
gui
delin
es. P
leas
e in
dica
te th
e ty
pe o
f evi
denc
e lis
ted
e.g.
wor
ker
inte
rvie
w, d
ocum
enta
ry, o
bser
vatio
nal)
Non
-com
plia
nce
viol
ation
Criti
cal
Maj
orM
inor
Code
of
cond
uct
Loca
l La
w
❒❒
❒
❒
e.g.
Dis
crim
inati
onSo
me
wor
kers
repo
rted
that
wor
kers
of o
ther
na
tiona
lities
are
giv
en p
refe
renti
al tr
eatm
ent w
hen
jobs
are
allo
cate
d at
the
begi
nnin
g of
the
day.
Vi
olati
on o
f GSC
P Re
fere
nce
Code
4.2
Doc
umen
tary
4.1.
2 Att
enda
nce
reco
rds
show
that
wor
kers
of
cer
tain
nati
onal
ities
are
mor
e lik
ely
to
wor
k in
cer
tain
are
as.
Wor
ker
Inte
rvie
w4.
2 W
orke
rs g
ave
spec
ific
exam
ples
of
pre
fere
ntial
trea
tmen
t to
wor
kers
of
a p
artic
ular
nati
onal
ity.
Man
agem
ent I
nter
view
4.3
Man
agem
ent w
ere
unab
le to
exp
lain
th
e re
ason
for t
he a
lloca
tion
of jo
bs to
ce
rtai
n na
tiona
lities
❒
❒❒
❒❒
❒❒
❒
App
endi
x 2:
GSC
P Re
fere
nce
Pre-
Aud
it E
mpl
oym
ent S
ite
Profi
le
A
ppen
dix
3: G
SCP
Refe
renc
e A
udit
Che
cks
App
endi
x 4:
GSC
P Re
fere
nce
Ale
rt N
otific
ation
App
endi
x 5:
GSC
P Re
fere
nce
Aud
it R
epor
t
App
endi
x 6:
GSC
P Re
fere
nce
Supp
lem
enta
ry A
udit
Info
rmati
on
A
ppen
dix
7: G
SCP
Refe
renc
e Su
mm
ary
of F
indi
ngs
and
Corr
ecti
ve A
ction
s
App
endi
x 1:
GSC
P Re
fere
nce
Self
Ass
essm
ent Q
uesti
onna
ire
GLOBAL SOCIAL COMPLIANCE PROGRAMME_18
INTR
OD
UCTIO
NA
UD
IT REQ
UEST
AU
DIT EX
ECUTIO
NPR
EPAR
ATION
AU
DIT O
UTPU
TSG
LOSSA
RY
APPEN
DICES
RISK A
SSESSMEN
T SYSTEM
APPENDIX 5: GSCP REFERENCE AUDIT REPORT
AUDIT PROCESS AND METHODOLOGY REFERENCE TOOLS - OCTOBER 2009
HEA
LTH
AN
D S
AFE
TY
Repo
rt
Goo
dPr
actic
eO
bser
-va
tion
Non
-com
plia
nce
Ty
peD
escr
ipti
on(S
ubje
ct a
rea
[und
erlin
ed],
desc
ripti
on o
f the
find
ing,
de
tails
of t
he m
anag
emen
t pos
ition
, any
man
agem
ent
invo
lvem
ent a
nd e
lem
ent o
f the
law
/cod
e th
at h
as
been
vio
late
d)
Evid
ence
(A
des
crip
tion
of th
e ev
iden
ce o
bser
ved
and
rela
ted
to th
e au
dit c
heck
gui
delin
es. P
leas
e in
dica
te th
e ty
pe o
f evi
denc
e lis
ted
e.g.
wor
ker
inte
rvie
w, d
ocum
enta
ry, o
bser
vatio
nal)
Non
-com
plia
nce
viol
ation
Criti
cal
Maj
orM
inor
Code
of
cond
uct
Loca
l La
w
❒❒
❒
❒
e.g.
Acc
omm
odati
onW
orke
rs’ a
ccom
mod
ation
has
onl
y on
e em
erge
ncy
exit.
All
acco
mm
odati
on re
quire
s at
leas
t 2
emer
genc
y ex
its. M
anag
emen
t rep
orte
d th
at
they
wer
e un
awar
e of
this
regu
latio
n an
d w
ill
mak
e pl
ans
to a
dd a
sec
ond
exit.
Viol
ation
of G
SCP
Refe
renc
e Co
de 5
.5
Obs
erva
tion
al5.
4.1
Aud
itor o
bser
ved
that
ther
e w
as o
nly
one
emer
genc
y ex
it fr
om a
ccom
mod
ation
ar
eas.
❒
❒❒
❒❒
❒❒
❒
❒❒
❒❒
❒❒
❒
DIS
CRIM
INAT
ION
, HA
RA
SSM
ENT
AN
D A
BU
SE
Repo
rt
Goo
dPr
actic
eO
bser
-va
tion
Non
-com
plia
nce
Ty
peD
escr
ipti
on(S
ubje
ct a
rea
[und
erlin
ed],
desc
ripti
on o
f the
find
ing,
de
tails
of t
he m
anag
emen
t pos
ition
, any
man
agem
ent
invo
lvem
ent a
nd e
lem
ent o
f the
law
/cod
e th
at h
as
been
vio
late
d)
Evid
ence
(A
des
crip
tion
of th
e ev
iden
ce o
bser
ved
and
rela
ted
to th
e au
dit c
heck
gui
delin
es. P
leas
e in
dica
te th
e ty
pe o
f evi
denc
e lis
ted
e.g.
wor
ker
inte
rvie
w, d
ocum
enta
ry, o
bser
vatio
nal)
Non
-com
plia
nce
viol
ation
Criti
cal
Maj
orM
inor
Code
of
cond
uct
Loca
l La
w
❒❒
❒
❒
e.g.
Dis
crim
inati
onSo
me
wor
kers
repo
rted
that
wor
kers
of o
ther
na
tiona
lities
are
giv
en p
refe
renti
al tr
eatm
ent w
hen
jobs
are
allo
cate
d at
the
begi
nnin
g of
the
day.
Vi
olati
on o
f GSC
P Re
fere
nce
Code
4.2
Doc
umen
tary
4.1.
2 Att
enda
nce
reco
rds
show
that
wor
kers
of
cer
tain
nati
onal
ities
are
mor
e lik
ely
to
wor
k in
cer
tain
are
as.
Wor
ker
Inte
rvie
w4.
2 W
orke
rs g
ave
spec
ific
exam
ples
of
pre
fere
ntial
trea
tmen
t to
wor
kers
of
a p
artic
ular
nati
onal
ity.
Man
agem
ent I
nter
view
4.3
Man
agem
ent w
ere
unab
le to
exp
lain
th
e re
ason
for t
he a
lloca
tion
of jo
bs to
ce
rtai
n na
tiona
lities
❒
❒❒
❒❒
❒❒
❒
Appendix 2: G
SCP Reference Pre-Audit Em
ployment Site Profile
Appendix 3: G
SCP Reference Audit Checks
Appendix 4: G
SCP Reference Alert N
otificati
on
Appendix 5: G
SCP Reference Audit Report
Appendix 6: G
SCP Reference Supplementary A
udit Informati
on A
ppendix 7: GSCP Reference Sum
mary of Findings and Correcti
ve Acti
ons
Appendix 1: G
SCP Reference Self Assessm
ent Questi
onnaire
19_GLOBAL SOCIAL COMPLIANCE PROGRAMME
INTR
OD
UCT
ION
AU
DIT
REQ
UES
TA
UD
IT E
XEC
UTI
ON
PR
EPA
RAT
ION
A
UD
IT O
UTP
UTS
GLO
SSA
RY
APP
END
ICES
RIS
K A
SSES
SMEN
T SY
STEM
APPENDIX 5: GSCP REFERENCE AUDIT REPORT
AUDIT PROCESS AND METHODOLOGY REFERENCE TOOLS - OCTOBER 2009 PR
ELIM
INA
RY IN
FORM
ATIO
N T
O T
OPI
CS 5
.6 (W
ages
& B
enefi
ts) a
nd 5
.7 (W
orki
ng H
ours
):
WO
RK
ING
HO
UR
S A
ND
WA
GES
SU
MM
AR
Y TA
BLE
Is th
ere
a le
gally
app
licab
le m
inim
um w
age?
Yes
No
If y
es, a
re th
ere
diff
eren
t le
gal m
inim
um w
age
grad
es?
Yes
No
Plea
se in
dica
te th
e le
gally
app
licab
le m
inim
um w
age.
W
here
app
licab
le, p
leas
e pr
ovid
e th
e de
tails
for
all
of th
e di
ffer
ent g
rade
s.
Whe
re t
here
are
lega
lly a
pplic
able
min
imum
wag
e gr
ades
in
ope
rati
on, a
re a
ll w
orke
rs g
rade
d co
rrec
tly?
Yes
No
WA
GES
AN
D H
OU
RS
DAT
APr
oces
s O
pera
tor (
Hig
hest
pai
d)Pr
oces
s O
pera
tor (
Aver
age
paid
)Pr
oces
s O
pera
tor (
Low
est p
aid)
Pay
Peri
od (m
onth
/wee
k)
Empl
oyee
Iden
tific
ation
/ S
taff
ID#
/ D
ept
Cont
ract
Hou
rs (M
onth
ly/D
aily
)
Regu
lar
Wor
king
Hou
rs
Pay
Rate
for
stan
dard
tim
e
Regu
lar
Day
OT
(Hou
rs)
Regu
lar
Day
OT
(Pay
)
Rest
Day
OT
(Hou
rs)
Rest
Day
OT
(Pay
)
Stat
utor
y H
olid
ay O
T (H
ours
)
Stat
utor
y H
olid
ay O
T (P
ay)
TOTA
L O
T H
OU
RS
IN P
AY P
ERIO
D
Ince
ntive
s /
Bonu
s /
Allo
wan
ces,
etc
.
Gro
ss W
ages
Soci
al In
sura
nce
and
Oth
er D
educ
tion
s
Act
ual W
age
Paid
aft
er D
educ
tion
App
endi
x 2:
GSC
P Re
fere
nce
Pre-
Aud
it E
mpl
oym
ent S
ite
Profi
le
A
ppen
dix
3: G
SCP
Refe
renc
e A
udit
Che
cks
App
endi
x 4:
GSC
P Re
fere
nce
Ale
rt N
otific
ation
App
endi
x 5:
GSC
P Re
fere
nce
Aud
it R
epor
t
App
endi
x 6:
GSC
P Re
fere
nce
Supp
lem
enta
ry A
udit
Info
rmati
on
A
ppen
dix
7: G
SCP
Refe
renc
e Su
mm
ary
of F
indi
ngs
and
Corr
ecti
ve A
ction
s
App
endi
x 1:
GSC
P Re
fere
nce
Self
Ass
essm
ent Q
uesti
onna
ire
GLOBAL SOCIAL COMPLIANCE PROGRAMME_20
INTR
OD
UCTIO
NA
UD
IT REQ
UEST
AU
DIT EX
ECUTIO
NPR
EPAR
ATION
AU
DIT O
UTPU
TSG
LOSSA
RY
APPEN
DICES
RISK A
SSESSMEN
T SYSTEM
APPENDIX 5: GSCP REFERENCE AUDIT REPORT
AUDIT PROCESS AND METHODOLOGY REFERENCE TOOLS - OCTOBER 2009
WA
GES
, BEN
EFIT
S A
ND
TER
MS
OF
EMPL
OYM
ENT
Repo
rt
Goo
dPr
actic
eO
bser
-va
tion
Non
-com
plia
nce
Ty
peD
escr
ipti
on(S
ubje
ct a
rea
[und
erlin
ed],
desc
ripti
on o
f the
find
ing,
de
tails
of t
he m
anag
emen
t pos
ition
, any
man
agem
ent
invo
lvem
ent a
nd e
lem
ent o
f the
law
/cod
e th
at h
as
been
vio
late
d)
Evid
ence
(A
des
crip
tion
of th
e ev
iden
ce o
bser
ved
and
rela
ted
to th
e au
dit c
heck
gui
delin
es. P
leas
e in
dica
te th
e ty
pe o
f evi
denc
e lis
ted
e.g.
wor
ker
inte
rvie
w, d
ocum
enta
ry, o
bser
vatio
nal)
Non
-com
plia
nce
viol
ation
Criti
cal
Maj
orM
inor
Code
of
cond
uct
Loca
l La
w
❒❒
❒
❒
e.g.
Ter
ms
of e
mpl
oym
ent
Wor
kers
wer
e no
t in
poss
essi
on o
f a c
opy
of th
eir
cont
ract
of e
mpl
oym
ent.
Man
agem
ent r
epor
ted
that
cop
ies
wer
e av
aila
ble
on re
ques
t, h
owev
er
wor
kers
wer
e un
awar
e of
this
.Vi
olati
on o
f GSC
P Re
fere
nce
Code
6.1
Doc
umen
tary
6.1.
5 Th
ere
is n
o pr
oced
ure
in p
lace
that
se
ts o
ut w
hen
to g
ive
wor
kers
a s
igne
d co
py
of th
eir c
ontr
act.
Wor
ker
Inte
rvie
w6.
2 W
orke
rs re
port
that
they
hav
e no
t be
en g
iven
cop
ies
of th
eir c
ontr
act o
f em
ploy
men
t.
❒
❒❒
❒❒
❒❒
❒
❒❒
❒❒
❒❒
❒
Appendix 2: G
SCP Reference Pre-Audit Em
ployment Site Profile
Appendix 3: G
SCP Reference Audit Checks
Appendix 4: G
SCP Reference Alert N
otificati
on
Appendix 5: G
SCP Reference Audit Report
Appendix 6: G
SCP Reference Supplementary A
udit Informati
on A
ppendix 7: GSCP Reference Sum
mary of Findings and Correcti
ve Acti
ons
Appendix 1: G
SCP Reference Self Assessm
ent Questi
onnaire
21_GLOBAL SOCIAL COMPLIANCE PROGRAMME
INTR
OD
UCT
ION
AU
DIT
REQ
UES
TA
UD
IT E
XEC
UTI
ON
PR
EPA
RAT
ION
A
UD
IT O
UTP
UTS
GLO
SSA
RY
APP
END
ICES
RIS
K A
SSES
SMEN
T SY
STEM
APPENDIX 5: GSCP REFERENCE AUDIT REPORT
AUDIT PROCESS AND METHODOLOGY REFERENCE TOOLS - OCTOBER 2009
WO
RK
ING
HO
UR
S
Repo
rt
Goo
dPr
actic
eO
bser
-va
tion
Non
-com
plia
nce
Ty
peD
escr
ipti
on(S
ubje
ct a
rea
[und
erlin
ed],
desc
ripti
on o
f the
find
ing,
de
tails
of t
he m
anag
emen
t pos
ition
, any
man
agem
ent
invo
lvem
ent a
nd e
lem
ent o
f the
law
/cod
e th
at h
as
been
vio
late
d)
Evid
ence
(A
des
crip
tion
of th
e ev
iden
ce o
bser
ved
and
rela
ted
to th
e au
dit c
heck
gui
delin
es. P
leas
e in
dica
te th
e ty
pe o
f evi
denc
e lis
ted
e.g.
wor
ker
inte
rvie
w, d
ocum
enta
ry, o
bser
vatio
nal)
Non
-com
plia
nce
viol
ation
Criti
cal
Maj
orM
inor
Code
of
cond
uct
Loca
l La
w
❒❒
❒
❒
e.g.
Exc
essi
ve H
ours
Wor
kers
wer
e fo
und
to b
e w
orki
ng m
ore
than
60
hou
rs p
er w
eek
in s
ome
area
s of
the
empl
oym
ent s
ite. M
anag
emen
t sai
d th
at th
is
was
due
to th
e tim
e of
yea
r, ho
wev
er re
cord
s
show
that
this
has
bee
n ha
ppen
ing
cons
iste
ntly
ov
er th
e pa
st 4
mon
ths.
Viol
ation
of G
SCP
Refe
renc
e Co
de 7
.2 a
nd 7
.
Doc
umen
tary
7.1.
1 W
orki
ng h
ours
reco
rds
show
wor
k ov
er 6
0 ho
urs
per w
eek
Wor
ker
Inte
rvie
w7.
2 W
orke
rs re
port
ed w
orki
ng o
ver
60 h
ours
per
wee
k
❒
❒❒
❒❒
❒❒
❒
❒❒
❒❒
❒❒
❒
App
endi
x 2:
GSC
P Re
fere
nce
Pre-
Aud
it E
mpl
oym
ent S
ite
Profi
le
A
ppen
dix
3: G
SCP
Refe
renc
e A
udit
Che
cks
App
endi
x 4:
GSC
P Re
fere
nce
Ale
rt N
otific
ation
App
endi
x 5:
GSC
P Re
fere
nce
Aud
it R
epor
t
App
endi
x 6:
GSC
P Re
fere
nce
Supp
lem
enta
ry A
udit
Info
rmati
on
A
ppen
dix
7: G
SCP
Refe
renc
e Su
mm
ary
of F
indi
ngs
and
Corr
ecti
ve A
ction
s
App
endi
x 1:
GSC
P Re
fere
nce
Self
Ass
essm
ent Q
uesti
onna
ire
GLOBAL SOCIAL COMPLIANCE PROGRAMME_22
INTR
OD
UCTIO
NA
UD
IT REQ
UEST
AU
DIT EX
ECUTIO
NPR
EPAR
ATION
AU
DIT O
UTPU
TSG
LOSSA
RY
APPEN
DICES
RISK A
SSESSMEN
T SYSTEM
APPENDIX 5: GSCP REFERENCE AUDIT REPORT
AUDIT PROCESS AND METHODOLOGY REFERENCE TOOLS - OCTOBER 2009
WO
RK
ING
HO
UR
S
Repo
rt
Goo
dPr
actic
eO
bser
-va
tion
Non
-com
plia
nce
Ty
peD
escr
ipti
on(S
ubje
ct a
rea
[und
erlin
ed],
desc
ripti
on o
f the
find
ing,
de
tails
of t
he m
anag
emen
t pos
ition
, any
man
agem
ent
invo
lvem
ent a
nd e
lem
ent o
f the
law
/cod
e th
at h
as
been
vio
late
d)
Evid
ence
(A
des
crip
tion
of th
e ev
iden
ce o
bser
ved
and
rela
ted
to th
e au
dit c
heck
gui
delin
es. P
leas
e in
dica
te th
e ty
pe o
f evi
denc
e lis
ted
e.g.
wor
ker
inte
rvie
w, d
ocum
enta
ry, o
bser
vatio
nal)
Non
-com
plia
nce
viol
ation
Criti
cal
Maj
orM
inor
Code
of
cond
uct
Loca
l La
w
❒❒
❒
❒
e.g.
Exc
essi
ve H
ours
Wor
kers
wer
e fo
und
to b
e w
orki
ng m
ore
than
60
hou
rs p
er w
eek
in s
ome
area
s of
the
empl
oym
ent s
ite. M
anag
emen
t sai
d th
at th
is
was
due
to th
e tim
e of
yea
r, ho
wev
er re
cord
s
show
that
this
has
bee
n ha
ppen
ing
cons
iste
ntly
ov
er th
e pa
st 4
mon
ths.
Viol
ation
of G
SCP
Refe
renc
e Co
de 7
.2 a
nd 7
.
Doc
umen
tary
7.1.
1 W
orki
ng h
ours
reco
rds
show
wor
k ov
er 6
0 ho
urs
per w
eek
Wor
ker
Inte
rvie
w7.
2 W
orke
rs re
port
ed w
orki
ng o
ver
60 h
ours
per
wee
k
❒
❒❒
❒❒
❒❒
❒
❒❒
❒❒
❒❒
❒ 6. ON-SITE PICTURES
Auditors should include any relevant photos that were taken as part of the audit in this section of the audit report. Relevant photos may include general pictures of the employment site – such as pictures of the employment site or pictures of the production floor, or they may be specific to the details of the audit report – such as a picture of a non‐compliance, observation or best practice.
The suggested photos below are examples, and the auditor should include all relevant photos.
Photo Photo Photo
Outside view of employment site buildings Employment site entrance Processes
Photo Photo Photo
Sanitary Facilities Drinking water First aid box
Photo Photo Photo
Non-compliance 1 Observation 1 Best Practice 1
Photo Photo Photo
Photo Photo Photo
Appendix 2: G
SCP Reference Pre-Audit Em
ployment Site Profile
Appendix 3: G
SCP Reference Audit Checks
Appendix 4: G
SCP Reference Alert N
otificati
on
Appendix 5: G
SCP Reference Audit Report
Appendix 6: G
SCP Reference Supplementary A
udit Informati
on A
ppendix 7: GSCP Reference Sum
mary of Findings and Correcti
ve Acti
ons
Appendix 1: G
SCP Reference Self Assessm
ent Questi
onnaire
END OF TEMPLATE
01_GLOBAL SOCIAL COMPLIANCE PROGRAMME
INTR
OD
UCT
ION
AU
DIT
REQ
UES
TA
UD
IT E
XEC
UTI
ON
PR
EPA
RAT
ION
A
UD
IT O
UTP
UTS
GLO
SSA
RY
APP
END
ICES
RIS
K A
SSES
SMEN
T SY
STEM APPENDIX 6
GSCP Reference Supplementary Audit Information
This tool is part of the broader set of Reference tools designed to provide a common interpretation of fair labour requirements and their implementation. They will enable buying companies around the world to work towards mutual recognition of audit results.
The GSCP Reference tools are based on the GSCP Reference Code but can be adopted and tailored to other codes of conduct.
Note: The GSCP Reference Code gathers, in a single framework, the main international standards for fair labour conditions and fundamental labour rights. The GSCP Reference Code is not a substitute for existing codes or existing systems but brings together the standards and best practices that could be applied.
SUPPLEMENTARY REPORT
Auditors may feel the need to produce a separate, supplementary report for the audit requestor containing:
• information too sensitive for the audit report;
• concerns which cannot be substantiated through evidence and/or interviews;
• attitude of management towards the non‐compliances or the audit process as a whole.
Supplementary reports may be appropriate:
• if workers appear to be under undue pressure from management on the day of audit;
• if workers appear to have been coached;
• if management was obstructive or reluctant to accept findings and the need for remediation;
• where the auditor has concerns about the possibility of double books or falsified records;
• where sensitive issues could not be discussed during the closing meeting because of a potential risk to workers’ wellbeing.
This type of report may not be appropriate where the audit requestor is the employment site itself.
App
endi
x 2:
GSC
P Re
fere
nce
Pre-
Aud
it E
mpl
oym
ent S
ite
Profi
le
A
ppen
dix
3: G
SCP
Refe
renc
e A
udit
Che
cks
App
endi
x 4:
GSC
P Re
fere
nce
Ale
rt N
otific
ation
App
endi
x 5:
GSC
P Re
fere
nce
Aud
it R
epor
t
App
endi
x 6:
GSC
P Re
fere
nce
Supp
lem
enta
ry A
udit
Info
rmati
on
A
ppen
dix
7: G
SCP
Refe
renc
e Su
mm
ary
of F
indi
ngs
and
Corr
ecti
ve A
ction
s
App
endi
x 1:
GSC
P Re
fere
nce
Self
Ass
essm
ent Q
uesti
onna
ire
GLOBAL SOCIAL COMPLIANCE PROGRAMME_02
INTR
OD
UCTIO
NA
UD
IT REQ
UEST
AU
DIT EX
ECUTIO
NPR
EPAR
ATION
AU
DIT O
UTPU
TSG
LOSSA
RY
APPEN
DICES
RISK A
SSESSMEN
T SYSTEM
APPENDIX 6: GSCP REFERENCE SUPPLEMENTARY AUDIT INFORMATION
AUDIT PROCESS AND METHODOLOGY REFERENCE TOOLS - OCTOBER 2009
Reference supplementary audit information
AREA OF CONCERN(Description of the issue, who was involved or effected,
and when this occurred)
EVIDENCE / OBSERVATIONS (a description of the evidence
observed)
RELATED LABOUR STANDARD(S)
Appendix 2: G
SCP Reference Pre-Audit Em
ployment Site Profile
Appendix 3: G
SCP Reference Audit Checks
Appendix 4: G
SCP Reference Alert N
otificati
on
Appendix 5: G
SCP Reference Audit Report
Appendix 6: G
SCP Reference Supplementary A
udit Informati
on A
ppendix 7: GSCP Reference Sum
mary of Findings and Correcti
ve Acti
ons
Appendix 1: G
SCP Reference Self Assessm
ent Questi
onnaire
END OF TEMPLATE
01_Global Social compliance proGramme
intr
od
uct
ion
au
dit
req
ueS
ta
ud
it e
xec
uti
on
pr
epa
rat
ion
a
ud
it o
utp
utS
Glo
SSa
ry
app
end
iceS
riS
k a
SSeS
Smen
t Sy
Stem appendix 7
GSCP Reference Summary of Findings and Corrective Actions
This tool part of the broader set of Reference tools designed to provide a common interpretation of fair labour requirements and their implementation. They will enable buying companies around the world to work towards mutual recognition of audit results.
The GSCP Reference tools are based on the GSCP Reference Code but can be adopted and tailored to other codes of conduct.
note: The GSCP Reference Code gathers, in a single framework, the main international standards for fair labour conditions and fundamental labour rights. The GSCP Reference Code is not a substitute for existing codes or existing systems but brings together the standards and best practices that could be applied.
The Reference Summary of Findings and Corrective Actions has been designed to provide a structure to the audit team’s findings and help the audit team develop a corrective action plan and structure a closing meeting.
The Summary of Findings and Corrective Actions template includes:
• audit findings: Summary of non compliances, good practice, and evidence found;
• classification of non compliances;
• reference to the applicable code of conduct and/or law which has been contravened;
• recommended corrective actions: Auditors suggestion on how the audit findings can be resolved;
• person/party responsible for corrective action;
• verification method:
/ a desk-based follow up may be used to verify corrective actions for minor non-compliances but provide less assurance than a follow-up audit. Desk-based verification should check corrective actions through photos, copies of certificates, invoices, etc. submitted by the employment site. Desk-based follow-up cannot be used where actions need to be verified through worker testimony;
/ follow-up audits are recommended for critical or major non-compliances or when corrective actions can be evaluated only through interviews and extensive documentation reviews [see Section 5.4.1];
• timescale for completion: the amount of time required for the issue to be closed. The time allocated for corrective actions to be completed should be appropriate, realistic and timely.
The Summary of Findings and Corrective Actions should:
• be clearly described and written in both English and the language spoken by the employment site management;
• be distributed as follows:
/ a signed copy for the employment site manager;
/ a signed copy retained by the auditor together with other audit documentation;
/ a hard or soft copy to the audit requestor.
NB: where employment site representatives are unwilling to sign an English language copy of the Summary of Findings and Corrective Actions, the auditor should still sign their English language copy and should indicate that they have witnessed the representative’s signature on the copy signed by management.
App
endi
x 2:
GSC
P Re
fere
nce
Pre-
Aud
it E
mpl
oym
ent S
ite
Profi
le
a
ppen
dix
3: G
Scp
refe
renc
e a
udit
che
cks
App
endi
x 4:
GSC
P Re
fere
nce
Ale
rt N
otific
ation
App
endi
x 5:
GSC
P Re
fere
nce
Aud
it R
epor
t
App
endi
x 6:
GSC
P Re
fere
nce
Supp
lem
enta
ry A
udit
Info
rmati
on
A
ppen
dix
7: G
SCP
Refe
renc
e Su
mm
ary
of F
indi
ngs
and
Corr
ecti
ve A
ction
s
App
endi
x 1:
GSC
P Re
fere
nce
Self
Ass
essm
ent Q
uesti
onna
ire
GLOBAL SOCIAL COMPLIANCE PROGRAMME_02
INTR
OD
UCTIO
NA
UD
IT REQ
UEST
AU
DIT EX
ECUTIO
NPR
EPAR
ATION
AU
DIT O
UTPU
TSG
LOSSA
RY
APPEN
DICES
RISK A
SSESSMEN
T SYSTEM
APPENDIX 7: GSCP REFERENCE SUMMARY OF FINDINGS AND CORRECTIVE ACTIONS
AUDIT PROCESS AND METHODOLOGY REFERENCE TOOLS - OCTOBER 2009
REFERENCE SUMMARY OF FINDINGS AND CORRECTIVE ACTIONS
1. Employment site and auditor details
Employment site name: Client:
Employment site address: Auditor name and organisation:
Employment site representative (name and position): Audit Date:
Time In:
Time Out:
Appendix 2: G
SCP Reference Pre-Audit Em
ployment Site Profile
Appendix 3: G
SCP Reference Audit Checks
Appendix 4: G
SCP Reference Alert N
otificati
on
Appendix 5: G
SCP Reference Audit Report
Appendix 6: G
SCP Reference Supplementary A
udit Informati
on A
ppendix 7: GSCP Reference Sum
mary of Findings and Correcti
ve Acti
ons A
ppendix 1: GSCP Reference Self A
ssessment Q
uestionnaire
03_GLOBAL SOCIAL COMPLIANCE PROGRAMME
INTR
OD
UCT
ION
AU
DIT
REQ
UES
TA
UD
IT E
XEC
UTI
ON
PR
EPA
RAT
ION
A
UD
IT O
UTP
UTS
GLO
SSA
RY
APP
END
ICES
RIS
K A
SSES
SMEN
T SY
STEM
APPENDIX 7: GSCP REFERENCE SUMMARY OF FINDINGS AND CORRECTIVE ACTIONS
AUDIT PROCESS AND METHODOLOGY REFERENCE TOOLS - OCTOBER 2009
2. D
etai
ls o
f non
-com
plia
nces
and
cor
recti
ve a
ction
sTh
e au
dit fi
ndin
gs a
re b
ased
upo
n on
‐site
obs
erva
tion,
inte
rvie
ws
with
em
ploy
ees,
que
stion
naire
dat
a, a
nd e
xam
inati
on o
f com
pany
reco
rds:
Aud
it fi
ndin
gs (n
on
com
plia
nce,
obs
erva
tion
)
Clas
sific
ation
of
non
- co
mpl
ianc
es
Refe
renc
e
to a
pplic
able
co
de
Reco
mm
ende
d co
rrec
tive
A
ction
s Pe
rson
/ p
arty
re
spon
sibl
eVe
rific
ation
m
etho
dTi
mes
cale
for
com
pleti
on
App
endi
x 2:
GSC
P Re
fere
nce
Pre-
Aud
it E
mpl
oym
ent S
ite
Profi
le
A
ppen
dix
3: G
SCP
Refe
renc
e A
udit
Che
cks
App
endi
x 4:
GSC
P Re
fere
nce
Ale
rt N
otific
ation
App
endi
x 5:
GSC
P Re
fere
nce
Aud
it R
epor
t
App
endi
x 6:
GSC
P Re
fere
nce
Supp
lem
enta
ry A
udit
Info
rmati
on
A
ppen
dix
7: G
SCP
Refe
renc
e Su
mm
ary
of F
indi
ngs
and
Corr
ecti
ve A
ction
s
App
endi
x 1:
GSC
P Re
fere
nce
Self
Ass
essm
ent Q
uesti
onna
ire
GLOBAL SOCIAL COMPLIANCE PROGRAMME_04
INTR
OD
UCTIO
NA
UD
IT REQ
UEST
AU
DIT EX
ECUTIO
NPR
EPAR
ATION
AU
DIT O
UTPU
TSG
LOSSA
RY
APPEN
DICES
RISK A
SSESSMEN
T SYSTEM
APPENDIX 7: GSCP REFERENCE SUMMARY OF FINDINGS AND CORRECTIVE ACTIONS
AUDIT PROCESS AND METHODOLOGY REFERENCE TOOLS - OCTOBER 2009
2. D
etai
ls o
f non
-com
plia
nces
and
cor
recti
ve a
ction
sTh
e au
dit fi
ndin
gs a
re b
ased
upo
n on
‐site
obs
erva
tion,
inte
rvie
ws
with
em
ploy
ees,
que
stion
naire
dat
a, a
nd e
xam
inati
on o
f com
pany
reco
rds:
Aud
it fi
ndin
gs (n
on
com
plia
nce,
obs
erva
tion
)
Clas
sific
ation
of
non
- co
mpl
ianc
es
Refe
renc
e
to a
pplic
able
co
de
Reco
mm
ende
d co
rrec
tive
A
ction
s Pe
rson
/ p
arty
re
spon
sibl
eVe
rific
ation
m
etho
dTi
mes
cale
for
com
pleti
on
3. D
etai
ls o
f goo
d pr
acti
ces
and
obse
rvati
ons
Aud
it fi
ndin
gs (g
ood
prac
tice
s
and
obse
rvati
ons)
Refe
renc
e to
ap
plic
able
cod
e
Reco
mm
ende
d co
rrec
tive
A
ction
s (w
here
app
licab
le)
Pers
on /
par
ty
resp
onsi
ble
(whe
re re
quire
d)
Veri
ficati
on
met
hod
(whe
re
requ
ired
)
Tim
esca
le fo
r co
mpl
etion
(w
here
requ
ired)
Appendix 2: G
SCP Reference Pre-Audit Em
ployment Site Profile
Appendix 3: G
SCP Reference Audit Checks
Appendix 4: G
SCP Reference Alert N
otificati
on
Appendix 5: G
SCP Reference Audit Report
Appendix 6: G
SCP Reference Supplementary A
udit Informati
on A
ppendix 7: GSCP Reference Sum
mary of Findings and Correcti
ve Acti
ons A
ppendix 1: GSCP Reference Self A
ssessment Q
uestionnaire
05_GLOBAL SOCIAL COMPLIANCE PROGRAMME
INTR
OD
UCT
ION
AU
DIT
REQ
UES
TA
UD
IT E
XEC
UTI
ON
PR
EPA
RAT
ION
A
UD
IT O
UTP
UTS
GLO
SSA
RY
APP
END
ICES
RIS
K A
SSES
SMEN
T SY
STEM
APPENDIX 7: GSCP REFERENCE SUMMARY OF FINDINGS AND CORRECTIVE ACTIONS
AUDIT PROCESS AND METHODOLOGY REFERENCE TOOLS - OCTOBER 2009
4. E
mpl
oym
ent s
ite
com
men
ts o
r di
sput
e of
find
ings
Whe
re a
n ag
reem
ent
cann
ot b
e re
ache
d be
twee
n em
ploy
men
t si
te m
anag
emen
t an
d au
dito
rs r
egar
ding
find
ings
and
/or
corr
ectiv
e ac
tions
, em
ploy
men
t si
tes
can
outli
ne th
e di
sagr
eem
ents
in th
e bo
x be
low
: Com
men
tsEm
ploy
men
t sit
e re
pres
enta
tive
si
gnat
ure
Dat
e
App
endi
x 2:
GSC
P Re
fere
nce
Pre-
Aud
it E
mpl
oym
ent S
ite
Profi
le
A
ppen
dix
3: G
SCP
Refe
renc
e A
udit
Che
cks
App
endi
x 4:
GSC
P Re
fere
nce
Ale
rt N
otific
ation
App
endi
x 5:
GSC
P Re
fere
nce
Aud
it R
epor
t
App
endi
x 6:
GSC
P Re
fere
nce
Supp
lem
enta
ry A
udit
Info
rmati
on
A
ppen
dix
7: G
SCP
Refe
renc
e Su
mm
ary
of F
indi
ngs
and
Corr
ecti
ve A
ction
s
App
endi
x 1:
GSC
P Re
fere
nce
Self
Ass
essm
ent Q
uesti
onna
ire
INTR
OD
UCTIO
NA
UD
IT REQ
UEST
AU
DIT EX
ECUTIO
NPR
EPAR
ATION
AU
DIT O
UTPU
TSG
LOSSA
RY
APPEN
DICES
RISK A
SSESSMEN
T SYSTEM
GLOBAL SOCIAL COMPLIANCE PROGRAMME_06
APPENDIX 7: GSCP REFERENCE SUMMARY OF FINDINGS AND CORRECTIVE ACTIONS
AUDIT PROCESS AND METHODOLOGY REFERENCE TOOLS - OCTOBER 2009
4. E
mpl
oym
ent s
ite
com
men
ts o
r di
sput
e of
find
ings
Whe
re a
n ag
reem
ent
cann
ot b
e re
ache
d be
twee
n em
ploy
men
t si
te m
anag
emen
t an
d au
dito
rs r
egar
ding
find
ings
and
/or
corr
ectiv
e ac
tions
, em
ploy
men
t si
tes
can
outli
ne th
e di
sagr
eem
ents
in th
e bo
x be
low
: Com
men
tsEm
ploy
men
t sit
e re
pres
enta
tive
si
gnat
ure
Dat
e
5. A
ccep
tanc
e of
find
ings
and
cor
recti
ve a
ction
sA
clo
sing
mee
ting
has
been
und
erta
ken
and
the
abov
e fin
ding
s an
d co
rrec
tive
actio
ns w
ere
disc
usse
d an
d ag
reed
:
Sign
atur
e –
audi
tor
Dat
eEm
ploy
men
t sit
e re
pres
enta
tive
nam
e A
nd p
ositi
onSi
gnat
ure
- em
ploy
men
t si
te re
pres
enta
tive
Dat
e
Doe
s th
e em
ploy
men
t sit
e Re
pres
enta
tive
abo
ve h
ave
the
auth
orit
y to
com
plet
e al
l acti
ons
liste
d?
Yes
No
If N
o, w
ho w
ould
hav
e th
e ne
cess
ary
auth
ority
to ta
ke d
ecis
ions
on
thes
e po
ints
?
(Ple
ase
prov
ide
nam
es, p
ositi
ons
and
cont
act d
etai
ls o
f add
ition
al m
anag
ers)
:
Appendix 2: G
SCP Reference Pre-Audit Em
ployment Site Profile
Appendix 3: G
SCP Reference Audit Checks
Appendix 4: G
SCP Reference Alert N
otificati
on
Appendix 5: G
SCP Reference Audit Report
Appendix 6: G
SCP Reference Supplementary A
udit Informati
on A
ppendix 7: GSCP Reference Sum
mary of Findings and Correcti
ve Acti
ons A
ppendix 1: GSCP Reference Self A
ssessment Q
uestionnaire
EN
D O
F TE
MPL
ATE
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