social compliance audit report

Home > Our Services > Factory Audits & Supplier Audits > Social Compliance Audits. With this report you obtain a clear picture of whether everything is in place for your company to all social compliance requirements. Found inside – Page 104... social and ethical accountability and high-quality auditing and reporting ... the 'Ethics Compliance Standard' in 1999 which was amended in 2000. 150% of normal wage for overtime at working days, 200% of normal wage for overtime on rest days and 300% of normal wage for overtime on public holidays.All workers shall be provided with written and understandable information about their employment conditions in respect to wages before they enter employment and about the particulars of their wages for the period concerned, each time that they are paid.X1 out of 5 interviewees had no labour contracts.Deductions from wages as a disciplinary measure shall not be permitted nor shall any deductions from wages not provided for by national law be permitted without the express permission of the worker concerned. This is especially true where image and brand are critical assets. l a� p� (See image 16) CIntake drugs should not be stored in the first aid box.3.24 No fire alarm was installed in the factory. 50% is planned for Pacific Brands. XNo risk assessments for Health & Safety concerns were carried out.Workers shall receive regular and recorded health and safety training, and such training shall be repeated for new and reassigned workers. t �� - preparation of an Environmental Compliance Audit Report including a discussion of non-compliances, observations, and recommendations. � The conditions under which products are manufactured have become an element of quality and an important part of the business value proposition. XIs fire fighting equipment easily at hand? Social Compliance Audit Report Project Number: 53376-001 October 2020 IND: DBL Highway Project Prepared by Setu Resources and Livelihoods Solutions Pvt Ltd. � Bed, cabinet, etc.What is the condition of the toilet faculties? Li Xiu Hai (QA Supervisor) reports to Mr. Sun Wei Gang (Factory Manager).Is there adequate storage for incoming materials? Toilet.25. • MCS violations identified as a result of an ILS Audit are not remediated within the required time periods, as evidenced by a subsequent ILS Audit. (See image 9) All sewing machines had no needle guards. BOvertime rate should be made clearly to all employees.5.14 Fine rule was posted in the factory. XAre there any apprenticeship or work experience schemes in the factory? CProvide overtime remuneration according to the rates determined by local law: 150% of normal wage for normal working day; 200% of normal wage for Saturday and Sunday; 300% of normal wage for public holiday. t �� ���� �0 � � � � � � ��)� � � �� �� �� �4� XWhat lab testing does the factory conduct for chemicals on their product? XNo metal gloves were provided to the cutting operator. Companies applying this code are expected to comply with national and other applicable law and where the provisions of the law and this Code address the same subject, to apply that provision which affords greater protection. It belongs to the factory.What accreditations does the factory have? 3. Sedex houses one of the world’s leading collaborative platforms for buyers and suppliers to store, share and report on ethical and social compliance audit information quickly and easily. XNo written document detailing overtime policy was established.How much overtime is performed on average by workers in the factory on a daily, weekly and monthly basis? ' The sewing machine had no needle guard.13. � If Is there documentation to prove this? CSick leave benefit should be provided to workers. XOutgoing shipments were not weighed.M, OWhat is the ratio of QC to workers?1:6 12. t �� The amfori Business Social Compliance Initiative (BSCI) is an industry-driven movement that aims to monitor and assess workplace standards across the global supply chain. In 2017, third-party audit firms – supported by companies that rely on social compliance audits, audit programs and NGOs – established the Association of Professional Social Compliance Auditors (APSCA). BWritten policy regarding forced or prison labour should be established. Found inside – Page 41Auditors render a qualified opinion when they identify one or more specific ... Auditors for CNMI rendered qualified opinions on CNMI's compliance with the ... All suppliers are expected to operate in compliance with our Vendor Code of Conduct, which reflects standards and requirements that were developed in consultation with 2. The amfori BSCI platform provides a single point for all supply chain performance information. 6.2 Typically, workers worked 9 hours per day and 6 days per week, total 54 hours per week. BSCI, a program of the Foreign Trade Association of Europe, is designed to improve working conditions for the suppliers of BSCI's participating member companies. Allow the auditor to complete the independent verification process and then compare his results with the internal observations of the functional group leading your social responsibility effort. In order to ensure that your company meets standards of social compliance, it may be necessary to conduct a social compliance audit with the following steps: 1. Review your company’s code of conduct and its code of ethics. The objective of our audit was to determine compliance with policies set forth in the State Administrative Manual, and the terms and What is Social Compliance Audit? Sometimes workers need to work overtime on Sunday.How many breaks do the workers have during their working day? XNo position of fire extinguisher, emergency route and viewer�s location was shown on the evacuation plan. Definition. Social Compliance Audit Content . XThe bathroom was not functional. In any event, wages should always be enough to meet basic needs and to provide some discretionary income.XAs below. ���� � Compiling a compliance audit report see 2.4.2 Developing a follow-up action program see 2.4.3 Conducting a regulatory review see 2.4.4 It is important to understand that an audit’s activities are not restricted to the site visit. Incoming material; 2. t ��0 � � � � � � ��)� � � � � � � � � � �� � � � � � � � �� � � � � � � � �� � � � � � � � �4� All factories/locations manufacturing or converting raw materials or components into Target owned brand products and packaging, Target exclusive products, Target-distributed products and/or nationally-branded products for which Target is the importer of record are required to disclose locations to Target and participate in Target’s Responsible Sourcing and Sustainability audit program. XHealth exam was not provided to young workers.Is there any provision for workers under 18 to further their studies? Packing area.20. The band knife was not equipped with safety guard.10. A Business Social Compliance Initiative (BSCI) audit is the process of assessing an organization's social compliance in the global supply chain. 1 out of 5 interviewees� ID card copy couldn�t be provided during this audit.If any child labour is found, what is the factory�s explanation or justification for this? — REUTERS/DADO RUVIC/ILLUSTRATION By Beatrice M. Laforga, Reporter THE Bureau of Internal Revenue (BIR) is set to investigate 250 top-earning social media influencers for tax compliance, as the government tries to address revenue leakage. Finally all pictures we've been displayed in this website will inspire you all. To determine where regular audits will be required, we assign countries a classification of their potential social compliance risk level based on the World Bank governance indicators. If a social audit report fails to signal instances of non-compliance with social and safety standards, lead firms may continue to source from these suppliers without engaging them on these issues and implementing measures urgently needed to protect workers. Are the floors non-slippery? XFine rule was posted in the factory. l a� p� The audit process is a sampling exercise only and does not guarantee that the audited facility prior, during or post audit are in full compliance with the code being audited against. 15 payroll records was selected for wage calculation, 7% employees were paid below the minimum wage.What bonus schemes exist? Found inside – Page 1REPORT OF THE AUDITOR - GENERAL ON THE FINANCIAL STATEMENTS OF THE SOCIAL RELIEF FUND ... the maintenance of effective control measures and compliance with ... XIs the factory certified for Oeko-Tex 100 standard or the equivalent? � (See image 2&11)How often does the factory practice a fire evacuation drill? In any event, workers shall not on a regular basis be required to work in excess of 48 hours per week.XTypically, workers worked 9 hours per day and 6 days per week, total 54 hours per week.What is the local legal requirement relating to overtime? Finally all pictures we've been … CAt least 12 months� attendance records should be provided for verification. The ELEVATE Responsible Sourcing Standard and associated protocol offers facilities, retailers and brands a suite of resources to proactively manage social compliance. Found inside – Page 23... while under the clear requirement of compliance with internal audit IIA's ... while 41.7% of the respondents shared the opinion that internal audit ... n XAre minimum social insurance covered? Child labour shall not be usedNoQuestion CPCNCNARemarks / CommentsThere shall be no recruitment of child labourXHistorical child labour was found in the factory, for example, one sampled worker was born in September 1993 and joined in the factory in July 2009. July 28, 2021. ���� & XAre emergency routes posted clearly in local language? 3.40 The toilets were dirty and smelly. CEnsure all the buildings should be inspected regularly and keep all the records.3.11 Machinery maintenance records were not kept. We are a reputed agency who assists organizations in getting SMETA Audit done. featured audit report Our Audit reports may contain sensitive and confidential information requiring safeguarding or limited disclosure consistent with law, regulations and Government-wide policies. XMAre there documented procedures for dealing with security breaches? (See image 2&11)CHave the fire fighting equipment checked and ensure they are in functional condition. Cash monthly.Are the workers paid by any other means besides national currency? XOvertime shall not exceed 12 hours per week.XTypically, the overtime was 14 hours per week.Overtime shall not be demanded on a regular basis. The process includes a thorough review of the 12 Principles, the WRAP Audit Report Template, and the standard operating procedures of the Certification Program, for any necessary updates to address new and evolving developments in social compliance auditing. Most suppliers will require a new audit annually, however a risk-based assessment may allow for a longer period between audits. 7. � ��ࡱ� > �� � � 4. Or, does factory use statistical sampling plan e.g. { r r $If gd�i� � kdv $$If �l � �0 ��\ |) � � BRisk assessments for Health & Safety concerns should be carried out.3.5 No injury or accident record was kept. No discrimination is practisedNoQuestion CPCNCNARemarks / CommentsThere is no discrimination in hiring, compensation, access to training, promotion, termination or retirement based on race, caste, national origin, religion, age, disability, gender, marital status, sexual orientation, union membership or political affiliation. t �� The normal working day was 6 days per week. � XDoes the factory use formaldehyde in their production? (See image 30)Are dormitories and common areas safe for both women and men? Define your company’s “stakeholders” by identifying every individual or group that is affected by the performance or success of your business. ���� �0 � � � � � � ��)� � � � �� � �� � �� � �4� Following Internal Audit’s March 2011 report on compliance with policies and procedures, the Corporate Governance Manager implemented a number actions designed to help managers to raise staff awareness of policies and identify areas of non-compliance. We offer a range of EHS audits, including: Sector-based good practice or IFC Principles (Equator Principles) audits. � Ethical audits also help the companies and brands to manage social compliance risks that could impact the company financially. l a� p� GB-2828? 1.4 General limitations to environmental information The findings of this audit are based on the objectives and scope of the services provided. We offer a range of practical auditing tools to help our members manage their risk and effectively monitor their supply chain. Absolutely! XIs there any evidence of pollution from chemicals or paints in the air? The auditor must present and discuss the report and makes recommendations to address any areas of risk at the final meeting. (See image 23)Does the company have written records of regular risk assessments for Health & Safety concerns? In case of the social compliance audits of facilities, the inversion may be as fast as the next day. Message from the UC Chief Compliance and Audit Officer It is with pleasure that I present the third Annual Report for the University of California (University) Office of Ethics and Compliance Services (ECS), which outlines key accomplishments of this Office. When was the last one? XNo any provision.These policies and procedures shall conform to the provisions of the relevant ILO standards. BOutgoing shipments should be weighed.12.5 No documented procedures for dealing with security breaches were established. � These kinds of reports are usually created by an external auditing team to prevent bias and outside influences. XO Are incoming goods inspected before being used in production? Internal Audit Checklist. Evidence of abusive or illegal treatment within your company or supply chain can damage your company’s brand. 1 out of 5 interviewees� ID card copy couldn�t be provided during this audit. Based upon the results of the audit, The Home Depot SER Team or its representatives will provide the Factory with any necessary corrective actions. CMinimum social insurance should be provided to workers.10.3 No written environmental policy was established. HQTS is a Social Compliance Audit Company with the capability and resources to support your efforts to develop an effective ethical audit program, as well as conduct audits of compliance-related processes and controls for you. Contract Compliance Audit . An approach tailored for your supply chain. V-Trust’s SMETA audit report is widely accepted by different brands and businesses because V-Trust is an Affiliate Audit Company (AAC) of Sedex, as well as a member firm of APSCA (Association of Professional Social Compliance Auditors). ManagementNoQuestionGradingRemarks/ CommentsCodeCPCNCNADescribe the overall management style of the factory? Buyers may have their own Compliance Team or they may ask other Third Party Auditors like Intertek, Bureau Veritas, SGS, Level Works etc., to audit on their behalf. This Social Audit is in compliance with Rule 11 of the Revised Implementing Rules and Regulations of RA 9520 and Memorandum Circular No. However, with certain ex-ceptions, sections 400, 600, 700, and 900 generally cannot be adapted to a com-pliance audit because they address the auditor's report on an audit of financial statements and other topics that are not applicable to a compliance audit. APSCA is helping increase professionalism and credibility within the social-compliance industry. � 6.9 As shown in the provided attendance records, workers had no one day off in seven. Audited byChecked byApproved byName Title DateViola Lu Auditor 21 December, 2009Name Title DateFrank Duan Audit Coordinator 25 December, 2009Name Title DateJulia Hou Audit Manager 25 December, 2009 CORRECTIVE ACTION PLAN CODE OF CONDUCT ISSUESNon-ComplianceGradeCorrective Action Advised Proposed Complete date1.7 No written policy regarding forced or prison labour was established. XAre fire evacuation plans clearly explained in local language? Walmart’s expectation of compliance with our Standards for Suppliers extends throughout the supply chain. Found inside – Page 3626 The Law on Social Services (Lietuvos Respublikos socialinių paslaugų įstatymas, ... Report by the National Audit Office on compliance of existing social ... No fire alarm was installed in the factory.Are there fire alarms on each floor and emergency lighting above exits? Intake drugs were stored in the first aid box.17. Found inside – Page 360Social Audit The inadequate reflection of the social performance of the ... A report on the company's compliance with statutory and voluntary quality and ... XChildren and young persons under 18 shall not be employed at night or in hazardous conditions. To prioritize and manage the facility audits, Kroger evaluates its supplier base using multiple criteria, such KUALA LUMPUR (Nov 2): Top Glove Corp Bhd has been downgraded from A to D in the Amfori Business Social Compliance (BSCI) audit, as no evidence has been given to support the A rating given in June, reported Malaysiakini. � No position of fire extinguisher, emergency route and viewer�s location was shown on the evacuation plan.4. XAre warning posters visible in areas where hazardous chemicals are stored or used? BWritten grievance procedure should be established and communicated to workers.2.10 The factory representative claimed that the grievances raised by workers were resolved but no relevant records were kept. SOC 2 compliance applies to service providers who store customer data in the cloud and requires them to follow strict policies and procedures to protect information security. social compliance. Result of conformance to the rules of social accountability by the extended organization including not only the organization's own policies and practices but also those of its supply and distribution chains. The views E � Dormitory.29. �����٩��n�ُT�T��Iُ ha7� 5�CJ OJ QJ 2h*� B*CJ OJ QJ aJ mH nHo(ph � sH tH #h]� ha7� 5�CJ OJ QJ mH sH ha7� 5�CJ OJ QJ mH sH 2ha7� B*CJ OJ QJ aJ mH nHo(ph � sH tH 2h~!y B*CJ OJ QJ aJ mH nHo(ph � sH tH *ha7� B*CJ OJ QJ aJ nHo(ph � tH h�/@ ha7� 5�CJ OJ QJ ha7� OJ QJ ha7� B*CJ OJ QJ aJ ph � n Are these workers visibly identified by some means? � Typical Dorm in a Chinese Factory – 8ppl to a room � � ���� �0 � � � � � � ��)� � � � �� � �� � �� � �4� BID badges should be given to visitors before they enter into the factory. Airport Lease Follow Up Audit (PDF: 175 kB). Found inside – Page 242... interview with social compliance auditor. more extensive five-day audit ... Chain Audits Work for Corporations, but Not the Planet, Says New Report,” ... Social Compliance Best Practices •Even the most progressive of approaches to auditing will not suffice if auditing is all you do –Social compliance is a two-way street •Engagement necessary at all levels –Understanding the practical challenges faced –Being consistent with message •No “disconnect” between sourcing and compliance XThe band knife was not equipped with safety guard. The major customers are OBS (20%), Lindex (20%), K-mart (10%), etc. XSame as above#18.Are there records to show that workers have been trained in the correct use and importance of PPE? WRAP will review the monitor's audit report and decide whether to certify the facility. Our experts identify and report on major and minor non-compliances. A compliance audit checklist is a tool used by external and internal auditors to determine the organization’s compliance with government regulations, industry standards, or internal policies. t �� Social Compliance Audit Report Sample And Sample Compliance Report To Board Of Directors can be beneficial inspiration for those who seek an image according specific categories, you will find it in this website. Sewing workshop.11. XAre workers compensated for overtime and how is this calculated? Yes.OAre there any inspection records for in-process inspections?XWhen checking finished products, does the factory use the same inspection criteria as their customers?XIs there 100% inspection of finished goods? Social compliance refers to how a company protects the health and safety as well as the rights of its employees, the community, and the environment where it operates in addition to the lives and communities of workers in its distribution chain and its supply chain. BKeep such records from now on.3.3 No risk assessments for Health & Safety concerns were carried out. � � � 2.7 No written grievance procedure was established. l a� p� Found inside – Page 247The PricewaterhouseCoopers report (1999) found that the SBFEP was well ... see how the compliance and management system audit processes could work together. X 5. BWritten document detailing overtime policy should be established.6.5 As shown on the attendance records of October 2009, the maximum overtime was 105 hours in October 2009. Once an audit is complete, buyer and supplier businesses can work together to address any issues, based on a Corrective Action Plan (CAPR). � { r r $If gd�i� � kd� $$If �l � �0 ��\ |) � � 68 Mid Hongkong Road, Qingdao, ChinaSupplier Contact AliceSupplier Telephone and E-mailTel: 86 532 85708633 E-mail: Aliceliu@Qdxinweite.ComFactory NameQingdao Jinshuangyu Garments Co LtdFactory and Full AddressNorth Dragon Industrial Park, Jimo, Qingdao, ChinaFactory ContactLiu Mei HongFactory Telephone and E-mailTel: 86 532 89769170 E-mail: JINSHUANGYU888@163.COMAudit date21 December, 2009Standard Pacific Brands Code of ConductType of audit Full AuditProducts currently or proposed to be suppliedGarmentAudit starting time11:50Audit ending time18:10 Overall gradingKEY A = Factory is fully compliant B = Minor issues found C = Moderate issues found D = Major issues found E = Critical issues found (See end of report for notes and audit methodology) Overall Results (Non Compliances)GradeTotalMinorModerateMajorCriticalCode of ConductD45192510Quality SystemsC53200 Executive SummaryThis is a small scale factory which was established in year 2001 with 113 employees in total, it occupied 12,000 square meters with 4 buildings. l a� p� XOIs there a broken needle control procedure in place (where relevant)? X 8. A social compliance officer from Pacific Brands Asia will contact with the supplier to follow up on the corrective action plan and arrangement for re-audit later. However, with certain ex-ceptions, sections 400, 600, 700, and 900 generally cannot be adapted to a com-pliance audit because they address the auditor's report on an audit of financial statements and other topics that are not applicable to a compliance audit. ���� �0 � � � � � � ��)� � � � �� � �� � �� � �4� It is absolutely crucial that from the very beginning, your organization’s ethical sourcing policy includes all of Walmart’s regulations and procedures for ensuring your supply chain is in complete compliance … XDo valid records and reasons justify recent company dismissals? { v m $If gd�i� gd�i� � kd� ���� � � � � { r r $If gd�i� � kd $$If �l � �0 ��\ |) � � N.A Accommodation, where provided, shall be clean, safe, and meet the basic needs of the workers. � As, How to Source clothing from China: Tips For Finding The Right Manufacturer China is one of, China has become a world leader for exporting goods, with 2591.1 Billion USD worth of imports, HQTS recently interviews Steven Andrews, a RoHS environmental expert about Trends, Regulations and explains any of, Uzbekistan Certificate of Conformity (COC), Procurement and Supply Chain Management Services, How to Source Clothing from China: Tips For Finding The Right Manufacturer, The Complete Guide to China Pre-shipment Inspections, HQTS Interviews Steven Andrews, RoHS Environmental expert from Assent Compliance, China Inspection Body and Laboratory Mandatory Approval. Pacific Brands expects the supplier to send in a corrective action plan within 2 weeks of this report to her social compliance officer. 35“Audit Report: Annual Verification of 2017 for Forestry Management Of Ouesso Forest Industry,” The Rainforest Alliance, April 2018. t �� l a� p� (See image 7)CProvide applicable personal protective equipments to workers and ensure them are correctly used during working time. of Buildings4Equipment/ MachinesTypeNumberCutting machine, sewing machine, metal detector, etc.Around 190 setsTotal Number of Employees TotalMaleFemale1133281Total Number of Employees113Breakdown of employeesManagersAdminEngineeringQA/QCWorkersPart-time39215840Ethnic background of workersChinese113N/AN/ADoes the factory provide accommodation to workers? t �� XNo one was trained for first aid.Are there sufficient First Aid boxes on each floor and easily accessible? Technical Compliance If not, how does it ensure that products remain formaldehyde free and what evidence of this is there? XNo fire alarm was installed in the factory. XNo waiver document from a local authority.What is the normal working day or shift for the workers? (See image 23) CThe electric switch box should be covered and unblocked.3.10 No evidence to show the structural integrity of the building was inspected. Found inside – Page 232In particular, the IASB conceptual framework for financial reporting should be ... and perhaps similar distinctions between compliance audit and fair ... Previously, we limited the distribution of reports containing this type of information. � l a� p� 2 out of 5 interviewees couldn�t state the overtime rate.What is the local legal requirement for special overtime pay? Our Audit Checklist is regularly reviewed to respond to the evolving needs of toy factories, brands and retailers, reflect changes in regulation and to integrate good practice. l a� p� ���� - . All sewing machines should be equipped with needle guards.3.18 No metal gloves were provided to the cutting operator. The views expressed herein do not necessarily represent those of ADB's Board of Directors, Management, or staff, and may ���� � � � & No emergency light was installed above the fire exit.7. BThe kitchen should obtain hygiene permit and the chef should have valid health certificate.3.46 No pest control procedure was established. � � The first audit will be paid for and scheduled by Globe Electric and all subsequent audits will be the responsibility of the factory, including an annual audit prior to sample or bulk production. Manager, Compliance, Corporate Head Office, Mr. rrr said “we have a form of Commitment to Social Responsibility and Questionnaire to suppliers on Social Accountability which are very much related to SA pp requirement but we need to developing more regarding this issue”. The Compliance Audit report assigns providers a green, amber or red grade based on the number and severity of breaches recorded. & Drinking water.16. X 9. l a� p� XThe electric switch box was uncovered and blocked. 4. XThe kitchen had no hygiene permit and the health certificates of chefs were expired.Are kitchen and canteen areas clean and hygienic, and free from pest infestation?XWhat provisions does the factory make for pest control? � ���� �0 � � � � � � ��)� � � � �� � �� � �� � �4� o ���� �0 � � � � � � ��)� � � � �� � �� � �� � �4�

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