Social and Ethical Compliance Audit
Our team helps buyers review supplier labour records, working conditions, workplace safety and management controls against an agreed checklist before supplier approval or during ongoing supply-chain monitoring.
The audit scope is agreed before the site visit
A social compliance audit should not use a vague universal checklist. Our office team reviews the buyer’s code, requested topics, supplier site and available records before arranging the audit.
Employment and worker records
Selected age and identity evidence, employment terms, recruitment records, training records and worker-list consistency, depending on the agreed scope and permitted access.
Working time and payroll controls
Attendance systems, overtime records, selected payroll and benefit records, rest-day arrangements and consistency between different sources of evidence.
Treatment, representation and safety
Disciplinary rules, non-discrimination controls, worker communication channels, freedom-of-association topics where applicable, and workplace safety conditions.
Findings should separate verified evidence from supplier statements
The audit combines several evidence sources. A single document or interview answer is not treated as proof for every topic. Conflicts, missing records and access restrictions are recorded for buyer review.
The checklist must identify the reference basis and the service boundary
The audit may be based on the buyer’s code of conduct, an approved custom checklist, selected supplier policies and applicable local requirements identified by the client. The ILO’s fundamental principles cover freedom of association and collective bargaining, forced labour, child labour, non-discrimination, and a safe and healthy working environment.[1]
- Confirm the audit topics and evidence expectations before scheduling
- Identify which legal or buyer requirements the client wants included
- Record criteria that cannot be assessed because evidence is unavailable
- Avoid presenting guidance documents as certification standards
Visible safety conditions are checked together with supporting records
Documented procedures alone do not show whether controls are working. The audit compares selected records with what is visible and accessible at the site.
- Emergency exits, routes and access conditions
- Fire-safety equipment and inspection records where included
- Machine guarding and required personal protective equipment
- First-aid arrangements and selected training evidence
- Sanitation, drinking water and welfare areas when included
- Dormitory or canteen areas only when they are part of the agreed scope
Project coordination and evidence review follow a defined sequence
Our project service team coordinates requirements and scheduling with the client. The on-site audit team works from the approved checklist and records evidence for internal report review.
Requirements review
Confirm the site, audit topics, buyer code, language needs and requested records.
Audit planning
Prepare the checklist, evidence plan and visit schedule for the approved scope.
On-site review
Review available records, workplace conditions and interviews where included.
Finding classification
Compare evidence with the agreed criteria and document gaps or restrictions.
Report and follow-up
Provide the report for client review and support corrective-action follow-up when requested.
Records and site conditions should tell a consistent story
These examples do not automatically prove noncompliance. They are signals that may require clarification, expanded evidence review or corrective action.
Record inconsistency
Headcount, attendance, payroll or overtime information does not align across the reviewed documents.
Restricted evidence
Requested records, worker areas or relevant facilities are unavailable during the planned audit window.
Control not implemented
A written policy exists, but visible site conditions or selected interviews indicate that the control may not be consistently applied.
The report should support corrective action without overstating certainty
After the audit, our team provides the report for client review. The buyer remains responsible for supplier approval, escalation and any legal or contractual decision.
Scope and evidence
Site details, audit criteria, reviewed areas, selected records, interviews and photographs where permitted.
Documented findings
Findings linked to the relevant checklist item, available evidence and any access or information limitation.
Follow-up points
Corrective-action items, supplier clarification needs and re-audit considerations when requested by the buyer.
Social and ethical compliance audit questions
These answers clarify the criteria, evidence methods and boundary of the service.
Does a UTS social compliance audit issue a certificate?
No. UTS provides a third-party supplier audit report for buyer review. It is not a certification audit, legal opinion or guarantee of full compliance.
What criteria can be used for the audit?
The criteria are agreed before scheduling and may include the buyer’s code of conduct, an approved checklist, selected supplier policies and applicable local requirements identified by the client.
What evidence is usually reviewed?
Depending on the scope and site access, the audit may review selected employment, attendance, payroll, training and safety records, observe workplace conditions and conduct management or worker interviews.
Does the audit replace legal due diligence?
No. The audit documents evidence against an agreed checklist. Buyers should obtain legal advice when they need an interpretation of labour law or regulatory obligations.
How are access restrictions or missing records handled?
Unavailable records, inaccessible areas and other evidence gaps are documented so the buyer can distinguish verified observations from unconfirmed supplier statements.
Send the supplier site and required social-audit criteria
Include the supplier name, address, product category, buyer code or approved checklist, requested records and target audit date.