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Preparation is key to the success of any compliance audit. We approach pre-audit planning as a strategic collaboration rather than a procedural formality. Our objective is to ensure manufacturing plants and supply chain facilities clearly understand what will be assessed, how it will be assessed, and why each step matters.
By aligning expectations early, we create third party audits that are efficient, transparent, and aligned with both operational realities and compliance requirements.
Understanding Expectations Before the Audit Begins
Before initiating social compliance audits, we connect with the client via a detailed phone call or an in-person meeting. This early conversation establishes clarity about the audit's scope, whether it applies to the company’s own facilities or to supplier locations. We take the time to understand business priorities, compliance goals, and any external standards that must be met. This alignment allows us to customize the audit approach while maintaining objectivity and consistency.
During this stage, we also explain the entire audit process to ensure there are no uncertainties. Facilities know exactly what to expect, how to prepare, and how their teams will be involved throughout the engagement.
Explaining the Full Audit Process in Advance
A critical part of pre-audit planning is providing a clear walkthrough of the audit lifecycle. We explain how initial contact with the facility is made, how the onsite schedule is structured, and what activities occur each day. This includes a review of policies, procedures, and records that demonstrate compliance with applicable standards.
We also outline how management and employee interviews are conducted. These conversations are essential for understanding how policies are implemented in practice. Additionally, we clarify that photographs may be taken as objective evidence, provided they are always in line with agreed confidentiality expectations. This transparency helps facilities remain confident and cooperative during the audit.
Defining Audit Scope and Duration
Audit length is determined during pre-audit planning by balancing budget considerations with code-specific requirements. Certain compliance programs require a defined number of audit days and a minimum number of employee interviews based on workforce size. For example, workforce scale directly impacts the depth of assessment required under recognized industry standards.
By addressing these requirements in advance, we ensure the audit is adequately resourced without unnecessary disruption to operations. This planning also prevents delays and ensures findings are credible and defensible.
Identifying Areas of Concern Early
Another essential component of pre-audit planning is identifying any specific areas of concern expressed by the company. These may include past nonconformities, new operational processes, or high-risk areas within the supply chain. Addressing these topics upfront allows us to allocate appropriate focus and expertise during the audit.
This proactive approach enhances the social compliance audit's value by ensuring it addresses real operational risks rather than serving as a checklist exercise.
Confidentiality and Trust Through Non-Disclosure Agreements
Trust is fundamental to effective audits. When requested, we formalize confidentiality expectations through a non-disclosure agreement between our organization and your company. This assures stakeholders that sensitive information, records, and images are protected and used solely for audit purposes. This commitment to confidentiality supports open communication and accurate assessments.
Why Pre Audit Planning Matters
Pre-audit planning sets the foundation for meaningful compliance outcomes. We believe that well-informed facilities perform better during audits and gain more actionable insights from the process. Our structured approach ensures audits are thorough, fair, and aligned with both regulatory expectations and business realities.
Take the first step toward a smoother social compliance audit experience today. Contact our team to discuss your facility requirements and compliance goals.
Frequently Asked Questions
1. What is the purpose of pre-audit planning?
Pre-audit planning clarifies scope, expectations, and requirements before the audit begins, reducing disruptions and surprises.
2. Who participates in the pre-audit planning discussion?
Typically, senior management, compliance representatives, and key operational leaders are involved to ensure alignment.
3. Will employees be informed about interviews in advance?
Yes, interview processes are explained during planning, so employees understand the purpose and approach.
4. Is a non-disclosure agreement mandatory?
A non-disclosure agreement is optional and can be signed upon request to support confidentiality needs.