Documenting the limits of a supplier audit

An audit record should show what was examined and what fell outside the work. Keep the site, date, criteria, methods, access and sample beside the findings. A report with no recorded problem supports only a conclusion about the checks performed; it does not clear every worker, product, subcontractor or future production run.

Identify the audit

A factory quality-system audit, social audit and product inspection answer different questions. Ask who commissioned and performed the work, which criteria were used and whether the auditor had relevant competence. Identify the audited legal entity and physical site. A report for one facility does not automatically apply to another used by the same seller.

Record the period and activities reviewed. Where worker conditions were in scope, note whether the visit was announced, which records were sampled, how interviewees were selected and whether private conversations were possible. These details describe coverage; none alone proves the method was adequate.

Keep findings and limits together

Separate the auditor’s observation, the supplier’s explanation and the buyer’s decision. An unavailable record is an evidence gap, not proof that the underlying condition was satisfactory or unsatisfactory. If an issue was later corrected, retain the original finding and date the later evidence.

Ask whether subcontracted work and upstream materials were included. The report’s scope and work performed determine what its findings cover.

If a report raises a serious worker concern, use a safe, competent escalation process. Avoid improvised worker interviews or closing a concern solely on a supplier’s reassurance.

State the decision the audit supports

Write a bounded summary: The audit examined [criteria] at [site] during [period] using [methods]. It reported [findings]. [Matters] were outside scope or remain unresolved. Name the next action, such as reviewing corrective evidence, obtaining another assessment or holding an order.

For Australian consumer goods, an audit of factory practices does not replace evidence about the actual product. ACCC guidance also addresses raw-material checks, production controls, product testing and pre-shipment inspection. Assess any applicable mandatory standard for the goods supplied.

Keep the original report intact. Revisit its relevance when the site, subcontractor, process or risk changes.

Key Audit Documentation Requirements (Australia)