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Audits, or “social audits” as it is also called, are the visits performed at suppliers and factories, in order to ensure compliance to the code of conduct. Inspectors conducting the audits are employed by the customer or hired by external audit firms. Inspections may be pre-registered or unannounced, depending on the desired effect. Today it is common for companies to combine pre-registered and unannounced inspections in order to obtain the most accurate view of the supplier’s operation and compliance to the code of conduct. During an audit, documentation such as payrolls, employment listings and other documents that may be of importance, are inspected. Inspectors also visit factories, where aspects like workers' safety, health and the ventilation are examined. Interviews are conducted with management and employees working in the factory. If errors in code of conduct-compliance, or other demerits are discovered, action plans are made which the factory has to follow. According to a report written, based upon the member meeting "getting smarter at auditing" that ETIS (Ethical Trading Initiative) held at CCT Venues Barbican, Aldersgate House in London on 16 November 2006, a well-designed audit includes seven points:
1. The entire audit-team must hold the confidence of all the stakeholders and possess appropriate knowledge about what is going to be inspected.
2. During interviews, the open-ending technique should be used in order to receive detailed answers instead of only yes and no answers.
3. It has to be ensured that all interviews are anonymous.
4. The interviews should be distributed in a way that allows all sorts of employees to make their voices heard, for example women, men and contracted employees.
5. The interviews should also include questions that find out how the primary parts of the code of conduct, concerning freedom of association and discrimination, are followed.
6. After completing the interviews, extensive feedback should be given to management and employees.
7. Finally, an action plan should be made, with the purpose of following up the work.
Source
The report "Getting smarter at auditing", Report from ETI members' meeting, 16 November 2006