Opening Meeting 開(kāi)始會(huì)議
During the opening meeting, the auditor should:
? Exchange business cards.
? Introduce auditors and firm.
? Clearly explain the purpose of the visit.
? Present an overview of the SGP in the local language.
? Present an overview of the assessment procedures to be performed.
? Explain the inspection time frame to complete each portion.
? Solicit staff support.
? Inform factory management of the level of confidentiality of the assessment results (in general, results will not be shared with any parties other than TCCC, the service provider, and facility management)
? Explain what the auditor(s) will be doing.
? Use an educational approach/emphasize collaboration.
? Avoid surprises; keep the facility informed throughout the process.
? Throughout the process, allow the facility to correct any minor issues that can be resolved during the time it takes to conduct the assessment.
The auditor should then reconfirm what was previously communicated to the facility management:
Employee Interviews
? Locate a private room away from management presence.
? Offer ideas to minimize disruption of work.
? Obtain 25% of employees up to 25 individuals from multiple shifts.
? Use Employee Interview Notes form as your interview guide.
? Do not allow management to observe or participate.
? Allow union representatives or other observers at the request of the employee (note the presence of any observers in the assessment report).
? Assure employees of the confidentiality of the interview.
? No reference to the employee’s name will be used.
? All interview documentation is not shared with management, taken away from the facility, and destroyed.
? If Non-employee workers are LESS than 10% of the workforce:
- The workforce will be included in the scope of the assessment.
- A proportionate number of interviews will be conducted with these workers.
? If Non-employee workers are MORE than 10% of the workforce:
- The workforce will NOT be included in the scope of the assessment.
- No interviews or document review will be conducted for these workers.
? Ask for permission, as interviews are voluntary.
? Protect employees in all situations.
Select employees from:
? Different production lines.
? Different genders.
? Different ethnic and religious backgrounds.
? Same production lines (for wage comparisons).
? Employees who appear to be very young
? Pregnant women.
? Union representatives (where applicable).
? New and long-term employees.
Document Review
? Business/operating license
? Facility regulations/policies handbook
? One year of most recent payroll, including: payroll journal, timecards, production records, attendance sheets and broken needle records
? Proof of social security benefit payments
? Employee files with age documentation and, if applicable, labor contracts, medical certificates and government registration
? Official union agreement contract from management
? Environmental permits/waste disposal records/health and safety training records
? Subcontractor info (company name, address, contact info, specialty, % of TCCC goods)
? In the U.S. only, worker’s compensation insurance, I-9s and W-4s
? Floor plan of the entire facility to ensure every room is toured (i.e., kitchen and dormitories)
? List of any potentially hazardous chemicals used or stored at the facility