• Document No.

  • Audit Title

  • Client / Site

  • Conducted on

  • Prepared by

  • Location
  • Personnel

Denied acces

  • Full denied access to audit

  • Denied access to any requested documents

  • Denied access to any employees for interviews

  • Partial access denied to part of facility for factory tour

Time records

  • Direct evidence of two sets of conflicting records and/or more than 10% of employee testimony conflicts with payroll, timecards, or production records.

  • No time records maintained for all employees (systemic issue)

  • Incomplete or inadequate time records (e.g. only one pay period available for review, missing time cards)

  • Timecards or production records conflict with > 10% of employee testimony

  • Legal homeworker with no records and/or no monitoring

  • Some time cards are missing (non systemic issue)

  • Employees punch in early for work but don't commence before their shift

  • Unintentional missed punches or time calculation errors

  • Age documents not available for > 10% of employees

  • Age documents not available for ≤ 10% of employees


  • Payroll conflicts with employee testimony

  • No payroll / insufficient periods of payroll records maintained

Other demonstration of compliance

  • Subcontracting without authorization

  • Children present on workfloor but not working at time of audit

  • Evidence of off-clock work leading to inability to verify compliance

  • No proof that legally mandated benefits were paid to government

  • Proof of updated details for collective bargaining agreement not available for review

Not listed findings

  • High Risk Finding (Not Listed on the Matrix).

  • Moderate Risk Finding (Not Listed on the Matrix)

  • Minor Risk Finding (Not Listed on the Matrix)


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