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QIMA - Ethical Audit Preparation Document - EN

This document outlines the scope and procedures for an upcoming one-day ethical audit of a factory based on SA8000 standards and customer requirements. The audit will include a factory tour, document review, and interviews with managers, supervisors, and workers. The factory is asked to have production processes running and relevant personnel available during the audit. A list of 47 documents is provided for the factory to have ready. The audit plan details the schedule, including opening and closing meetings, factory tour, document review, interviews, and presentation of findings.

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MD Nurul Huda
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652 views

QIMA - Ethical Audit Preparation Document - EN

This document outlines the scope and procedures for an upcoming one-day ethical audit of a factory based on SA8000 standards and customer requirements. The audit will include a factory tour, document review, and interviews with managers, supervisors, and workers. The factory is asked to have production processes running and relevant personnel available during the audit. A list of 47 documents is provided for the factory to have ready. The audit plan details the schedule, including opening and closing meetings, factory tour, document review, interviews, and presentation of findings.

Uploaded by

MD Nurul Huda
Copyright
© © All Rights Reserved
We take content rights seriously. If you suspect this is your content, claim it here.
Available Formats
Download as PDF, TXT or read online on Scribd
You are on page 1/ 3

Ethical Audit Preparation Document

ETHICAL AUDIT STANDARD AND SCOPE

Dear Sir/Madam,

This Ethical Audit (EA) is based on SA8000 standards, customer’s requirements, etc., including, but not limited to the followings:

1. Health & Safety, Hygiene


2. Waste Management
3. Child Labor
4. Hours, Wages & Benefits
5. Labor Practices

The audit will consist of on-site factory tour (warehouse, production area, dormitory area, canteen & kitchen), document review
and interview. Please make sure all production processes are running and related managers/supervisors are available during
audit day. You need to provide the related evidence or document to auditor when conducting audit. For details pls. refer to
attached Document List and General Audit Plan.

Please note that we are not authorized to provide any checklist to factory.

Hope these can help you.


Thanks!

QIMA Limited
Audit Services Department

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Ethical Audit Preparation Document

DOCUMENTS LIST FOR FACTORY ETHICAL AUDIT


DOCUMENT
No.
01 Factory Floor Plans
02 Business License
03 Organization Chart
04 Employees' Personal Files/Roster
05 Employee Manual/ Factory Rules / Disciplinary Practices Policy And Records
06 Local Minimum Wages Standard
07 Recruitment Policies & Procedures
08 Child Labor Policy
09 Labour/Employment Contract
10 Personnel file
11 Young Worker Registration & Health Certificate/ Record (If Applicable)
12 Social Insurance Purchase Record
13 Payroll Records (Last 12 Months)
14 Pay slip
15 Piece Rate Record(If Applicable)
16 Time Cards/Attendant Records (Last 12 Months)
17 Overtime Permit Consolidated Working Hours Permit By Local Labor Bureau/Extended Overtime Hours Waiver (If
Applicable)
18 Risk Analysis Reports
19 Health & Safety Representative Appointment Document Or Certificate For Safety Representative
20 Health And Safety Training Records (New Workers/Changing Workstation)
21 Chemical/Hazardous Materials Using/Handling Procedure & Training Records
22 Personal Protection Equipment Guidelines/Training Records
23 Machine Operation Training Records /Certificates
24 Accidents/ Injuries Records
25 Test Report Of Drinking Water (Non-Bottle Water)
26 Register/Certificate Of Medical Staff (If Applicable)
First Aider
27 Building Construction Report/ Certificate
28 Building Fire Inspection Certificate
29 Inspection/Maintenance Records Of Fire Extinguishing Systems
30 Fire Drills Records/Photos With Date for last 12 months
31 Fire/Evacuation Procedures
32 Evacuation Plan
33 Regular inspection/ registration for special equipment (elevator/boiler/Forklift/pressure vessels, etc.) &
34 Specialized safety training certificate (electrician/Elevator operator, etc.)
35 Maintenance/Inspection Records For Machine
36 Security Instructions (For All Machines)
37 Regular health checkup for occupational disease
38 Material Safety Data Sheet of chemicals
39 Hygiene Permit/Health Certificate for kitchen staff
40 Environmental Impact Assessment Report (If Applicable)
41 Approval Report Of Environmental Impact Assessment
42 Environmental check and acceptance report
43 Pollutant Discharge Permit (If Applicable)
44 Inventory Records of Solid Waste/ Hazardous Wastes/Waste Water/Air Emissions
45 Dangerous Chemical Waste Handling Contract/Transport Records (If Applicable)
46 Operational Licenses (Business License, Transportation Permit, Etc) of The Hazardous Waste Subcontractor (If Applicable)
47 Lab Testing Report of Waste Water/ Air Emissions/ Noise Level (If Applicable)

Page 2 of 3
Ethical Audit Preparation Document

AUDIT PLAN – 1 DAY ETHICAL AUDIT


Time Auditor Procedure, Department or Function Key contact

DAY1 09:30am Arrive on site

Opening meeting
- Validate information provided before audit Whole factory
09:45am
- Introduce the activities of the day Management
- Get an introduction of factory
Factory tour
H&S Manager
10:15am - Assess working environment
Production Manager
- Health & Safety Tour
12:30pm Lunch
HR/Admin Manager
Document Review and Management Interview
1:00pm H&S Manager
- Get objective evidence of compliance and non-conformity
Production Manager

Workers Interviews
2:30pm - Individually and in focus groups
- In strict confidentiality and without presence of management

Pre-closing meeting
4:30pm - Prepare the Corrective Action Plan (CAP) Auditor alone
- Review potentially forgotten documents

Closing meeting
Whole factory
5:00pm - Present findings of the audit (compliance/Non-compliance)
Management
- Signing CAP/CAR with factory

5:30pm Leave site

Notes to client:
 Times are estimates and will be confirmed at the opening meeting prior to commencement of the audit.
 QIMA auditors reserve the right to change or add to the elements listed before for during the audit depending on the result of on-site investigation.
 A private place for preparation, review and conferencing is requested for the auditor’s use.
 A private place for workers interview is requested for auditor’s use.
 If more than 1 day on-site necessary, the activities will extend on the whole audit timing, but remain the same.

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