Ensure Supplier Preparedness: Before submitting an audit request to an audit body, it is critical for the leading brand to ensure supplier preparedness by taking several key actions with a supplier to ensure the process runs smoothly and aligns with both parties’ expectations. Here are the typical actions that a brand should take:
- Subscribed to the Supplier Engagement Programme (SEP): Verify through the Supplier List in your Dashboard that the supplier has:
- a. An active SEP annual subscription.
- b. A valid subscription (i.e., not expired).
- c. Their unique SEP number. (If the supplier does not have an active subscription, direct them to the sign-up page and ask them to confirm once completed.)
- Review previous Audit Report and Non-compliances: Review past audits or assessments the supplier has undergone to check for any non-compliance issues, audit findings, or corrective actions taken and ensure that the supplier is meeting the required standard.
- Confirm Supplier’s Understanding of Audit Process: Review the audit and improvement process with supplier to ensure they have completed the pre-audit preparation and understand what to expect, how the audit will be conducted, including the possibility of corrective actions and continuous improvement.
- Review Audit Scope and Business details record: Review the suppliers Audit Scope and Business Details Record ensuring it is completed correctly by ensuring:
- a. Must be completed in digital format, handwritten submissions will not be accepted.
- b. All sections marked with a * red asterisk must be completed or the audit request will be rejected and can delay the audit process.
- c. Should be completed and returned to the commissioning brand.
- d. Full, candid and truthful responses are required to ensure best outcome in the audit
- Prepare Documentation and Records: Ensure that the supplier has completed all the necessary checklists, certificates, policies and are submitted with the Audit Scope document to the Audit Body by email. This should include:
- a. Stronger Together – Employer Good Practice Implementation Checklist– completed digitally
- b. Fast Forward – Audit Documentation Checklist
- c. Company Registration Certificate
- d. Employer’s Liability Insurance Certificate
- e. VAT Registration Certificate
- g. PAYE Registration Certificate
- Define Audit Scope and Clarify Objectives: Set clear goals for the audit or any particular risks to assess compliance (e.g. financial performance, quality control, health and safety, minimum wage).
Type of Audit: Labour Standards
Coordinate on Audit Timing: Audit Body will provide time frame of the audit and ensure that the supplier is available to support the audit process.
- Designate Points of Contact: Agree on the main contacts for both the brand and the supplier during the audit process. This could include the audit coordinator, supplier’s compliance officer, or relevant department heads.
Identify Audit Participants: Determine which members of the supplier’s team will be involved or available to participate in the audit (e.g., production managers, quality control staff, compliance officers).
Return to Step 3 – Brand and Auditor Guidance | Audit and Improvement Process
By following these actions, the brand can help ensure that the audit process with the supplier is well-organised, thorough, and efficient, setting the stage for a successful outcome.
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