Audit Process and Methodology Reference tools · The Reference tools on Audit Process and Methodology detail the requirements that should be met by buying companies and auditors in

Global SocialCompliance Programme

Audit Process and MethodologyReference tools

October 2009

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

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

02_GLOBAL SOCIAL COMPLIANCE PROGRAMME

AUDIT PROCESS AND METHODOLOGY REFERENCE TOOLS - OCTOBER 2009

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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


• Initial communication with employement site• Collection of site information

• Reference Pre Audit Employment Site Profile (Appendix 2)

PREPARATION


• Background and content review• Audit organisation: type, team, length• Communicating audit arrangements• Supplier preparation

AUDIT


• 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


• 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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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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• 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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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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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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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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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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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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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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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;


• 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.

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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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STEM APPENDIX 1

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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APPENDIX 1: GSCP REFERENCE SELF ASSESSMENT QUESTIONNAIRE


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

udit Informati

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ppendix 7: GSCP Reference Sum

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Appendix 1: G

SCP Reference Self Assessm

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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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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


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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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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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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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

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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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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

…

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6. WAGES AND BENEFITS

Young* male

workers

Young* female

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Adult male

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Adult female

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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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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

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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.



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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Ass

essm

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INTR

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UCTIO

NA

UD

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UEST

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DIT EX

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NPR

EPAR

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DIT O

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APPENDIX 2: GSCP REFERENCE PRE-AUDIT EMPLOYMENT SITE PROFILE


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



Appendix 3: G


Appendix 4: G


otificati

on

Appendix 5: G


Appendix 6: G


udit Informati

on A



ve Acti

ons

Appendix 1: G


ent Questi

onnaire


INTR

OD

UCT

ION

AU

DIT

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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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INTR

OD

UCTIO

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IT REQ

UEST

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DIT EX

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DIT O

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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



Appendix 3: G


Appendix 4: G


otificati

on

Appendix 5: G


Appendix 6: G


udit Informati

on A



ve Acti

ons

Appendix 1: G


ent Questi

onnaire


INTR

OD

UCT

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DIT

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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)

Yes No App

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INTR

OD

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NA

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IT REQ

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DIT EX

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DIT O

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T SYSTEM



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



Appendix 3: G


Appendix 4: G


otificati

on

Appendix 5: G


Appendix 6: G


udit Informati

on A



ve Acti

ons

Appendix 1: G


ent Questi

onnaire


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OD

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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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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


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


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



Appendix 3: G


Appendix 4: G


otificati

on

Appendix 5: G


Appendix 6: G


udit Informati

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Appendix 1: G


ent Questi

onnaire


INTR

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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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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


Product:

Process:





Product:

Process:




Appendix 2: G



Appendix 3: G


Appendix 4: G


otificati

on

Appendix 5: G


Appendix 6: G


udit Informati

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ve Acti

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Appendix 1: G


ent Questi

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INTR

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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

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and

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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 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



Appendix 3: G


Appendix 4: G


otificati

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Appendix 5: G


Appendix 6: G


udit Informati

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ve Acti

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Appendix 1: G


ent Questi

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INTR

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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

…


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



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



Appendix 3: G


Appendix 4: G


otificati

on

Appendix 5: G


Appendix 6: G


udit Informati

on A



ve Acti

ons

Appendix 1: G


ent Questi

onnaire…


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


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

…


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



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



Appendix 3: G


Appendix 4: G


otificati

on

Appendix 5: G


Appendix 6: G


udit Informati

on A



ve Acti

ons

Appendix 1: G


ent Questi

onnaire…


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



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

…


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



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



Appendix 3: G


Appendix 4: G


otificati

on

Appendix 5: G


Appendix 6: G


udit Informati

on A



ve Acti

ons

Appendix 1: G


ent Questi

onnaire…


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



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

…


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



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



Appendix 3: G


Appendix 4: G


otificati

on

Appendix 5: G


Appendix 6: G


udit Informati

on A



ve Acti

ons

Appendix 1: G


ent Questi

onnaire…


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



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

…


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



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



Appendix 3: G


Appendix 4: G


otificati

on

Appendix 5: G


Appendix 6: G


udit Informati

on A



ve Acti

ons

Appendix 1: G


ent Questi

onnaire…


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



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

…


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



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



Appendix 3: G


Appendix 4: G


otificati

on

Appendix 5: G


Appendix 6: G


udit Informati

on A



ve Acti

ons

Appendix 1: G


ent Questi

onnaire…


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


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

…


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



❒ 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



Appendix 3: G


Appendix 4: G


otificati

on

Appendix 5: G


Appendix 6: G


udit Informati

on A



ve Acti

ons

Appendix 1: G


ent Questi

onnaire…


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



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

…


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



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



Appendix 3: G


Appendix 4: G


otificati

on

Appendix 5: G


Appendix 6: G


udit Informati

on A



ve Acti

ons

Appendix 1: G


ent Questi

onnaire…


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



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

…


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



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



Appendix 3: G


Appendix 4: G


otificati

on

Appendix 5: G


Appendix 6: G


udit Informati

on A



ve Acti

ons

Appendix 1: G


ent Questi

onnaire…


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



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

…


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



…

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



Appendix 3: G


Appendix 4: G


otificati

on

Appendix 5: G


Appendix 6: G


udit Informati

on A



ve Acti

ons

Appendix 1: G


ent Questi

onnaire…


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



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

…


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



❒ 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



Appendix 3: G


Appendix 4: G


otificati

on

Appendix 5: G


Appendix 6: G


udit Informati

on A



ve Acti

ons

Appendix 1: G


ent Questi

onnaire…


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



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

…


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



❒ 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



Appendix 3: G


Appendix 4: G


otificati

on

Appendix 5: G


Appendix 6: G


udit Informati

on A



ve Acti

ons

Appendix 1: G


ent Questi

onnaire…


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



… 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

…


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



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



Appendix 3: G


Appendix 4: G


otificati

on

Appendix 5: G


Appendix 6: G


udit Informati

on A



ve Acti

ons

Appendix 1: G


ent Questi

onnaire…


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



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

…


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



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



Appendix 3: G


Appendix 4: G


otificati

on

Appendix 5: G


Appendix 6: G


udit Informati

on A



ve Acti

ons

Appendix 1: G


ent Questi

onnaire…


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



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

…


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



❒ 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



Appendix 3: G


Appendix 4: G


otificati

on

Appendix 5: G


Appendix 6: G


udit Informati

on A



ve Acti

ons

Appendix 1: G


ent Questi

onnaire…


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



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

…


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



❒ 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



Appendix 3: G


Appendix 4: G


otificati

on

Appendix 5: G


Appendix 6: G


udit Informati

on A



ve Acti

ons

Appendix 1: G


ent Questi

onnaire…


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



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

…


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



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



Appendix 3: G


Appendix 4: G


otificati

on

Appendix 5: G


Appendix 6: G


udit Informati

on A



ve Acti

ons

Appendix 1: G


ent Questi

onnaire…


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



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

…


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



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



Appendix 3: G


Appendix 4: G


otificati

on

Appendix 5: G


Appendix 6: G


udit Informati

on A



ve Acti

ons

Appendix 1: G


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




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:


• 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;


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.

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

APPENDIX 4: GSCP REFERENCE ALERT NOTIFICATION


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



Appendix 3: G


Appendix 4: G


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


ent Questi

onnaire


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




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.

App

endi

x 2:

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P Re

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nce

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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

APPENDIX 5: GSCP REFERENCE AUDIT REPORT


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;


• 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:










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



Appendix 3: G


Appendix 4: G


otificati

on

Appendix 5: G


Appendix 6: G


udit Informati

on A



ve Acti

ons

Appendix 1: G


ent Questi

onnaire


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



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)

…

App

endi

x 2:

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nce

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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



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



Appendix 3: G


Appendix 4: G


otificati

on

Appendix 5: G


Appendix 6: G


udit Informati

on A



ve Acti

ons

Appendix 1: G


ent Questi

onnaire


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



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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endi

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nce

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Aud

it E

mpl

oym

ent S

ite

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le

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ppen

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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



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



Appendix 3: G


Appendix 4: G


otificati

on

Appendix 5: G


Appendix 6: G


udit Informati

on A



ve Acti

ons

Appendix 1: G


ent Questi

onnaire


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



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

App

endi

x 2:

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P Re

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nce

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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



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



Appendix 3: G


Appendix 4: G


otificati

on

Appendix 5: G


Appendix 6: G


udit Informati

on A



ve Acti

ons

Appendix 1: G


ent Questi

onnaire


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



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):

App

endi

x 2:

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P Re

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nce

Pre-

Aud

it E

mpl

oym

ent S

ite

Profi

le

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ppen

dix

3: G

SCP

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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



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



Appendix 3: G


Appendix 4: G


otificati

on

Appendix 5: G


Appendix 6: G


udit Informati

on A



ve Acti

ons

Appendix 1: G


ent Questi

onnaire


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



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


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



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:


• 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 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



Appendix 3: G


Appendix 4: G


otificati

on

Appendix 5: G


Appendix 6: G


udit Informati

on A



ve Acti

ons

Appendix 1: G


ent Questi

onnaire


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



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


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



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



Appendix 3: G


Appendix 4: G


otificati

on

Appendix 5: G


Appendix 6: G


udit Informati

on A



ve Acti

ons

Appendix 1: G


ent Questi

onnaire


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



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


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



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



Appendix 3: G


Appendix 4: G


otificati

on

Appendix 5: G


Appendix 6: G


udit Informati

on A



ve Acti

ons

Appendix 1: G


ent Questi

onnaire


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



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


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



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



Appendix 3: G


Appendix 4: G


otificati

on

Appendix 5: G


Appendix 6: G


udit Informati

on A



ve Acti

ons

Appendix 1: G


ent Questi

onnaire


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


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


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



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



Appendix 3: G


Appendix 4: G


otificati

on

Appendix 5: G


Appendix 6: G


udit Informati

on A



ve Acti

ons

Appendix 1: G


ent Questi

onnaire


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



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


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



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



Appendix 3: G


Appendix 4: G


otificati

on

Appendix 5: G


Appendix 6: G


udit Informati

on A



ve Acti

ons

Appendix 1: G


ent Questi

onnaire

END OF TEMPLATE


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




SUPPLEMENTARY REPORT

Auditors may feel the need to produce a separate, supplementary report for the audit requestor containing:










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


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


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



Appendix 3: G


Appendix 4: G


otificati

on

Appendix 5: G


Appendix 6: G


udit Informati

on A



ve Acti

ons

Appendix 1: G


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.


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


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


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



Appendix 3: G


Appendix 4: G


otificati

on

Appendix 5: G


Appendix 6: G


udit Informati

on A



ve Acti

ons A

ppendix 1: GSCP Reference Self A

ssessment Q

uestionnaire


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



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


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



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



Appendix 3: G


Appendix 4: G


otificati

on

Appendix 5: G


Appendix 6: G


udit Informati

on A



ve Acti

ons A


ssessment Q

uestionnaire


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



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




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



Appendix 3: G


Appendix 4: G


otificati

on

Appendix 5: G


Appendix 6: G


udit Informati

on A



ve Acti

ons A


ssessment Q

uestionnaire

EN

D O

F TE

MPL

ATE

The GSCP is facilitated byThe Consumer Goods Forum

22/24 rue du Gouverneur Gal Eboué92130 Issy‐les‐Moulineaux

France

www.gscpnet.com [email protected]

www.gscpnet.com

Documents

Audit Process and Methodology Reference tools · The Reference tools on Audit Process and Methodology detail the requirements that should be met by buying companies and auditors in