Management Trainee Officer

Weekly Presentation
Week- 11
Assigned Department: Compliance
Assigned Topics:
 3rd Party Audit
 CAP on the Audit Findings
 Risk Assessment

Mentors: Presenters:
Mr. Rajeev Sinha,
GM, HR & Compliance

Mr. Jahangir Hossain,

Assistance Manager, Compliance
 Compliance
 Conforming to a rule, such as a specification,
policy, standard or law.

Compliance mainly focus on 4 basic areas:

Implementation
i) Human right
ii) Labor working environment
iii) Environmental laws
iv) Anti-corruption.
Sustainability Auditing

Compliance

Reviewing Recapping
Functions of Compliance
 Developing, implementing and managing an organization’s compliance standard

 Preparing different programs and keep the documentation related to audit & compliance

 Assisting in developing, implementing, maintaining and reviewing of company policies, rules and regulations

 Monitoring the floor for checking all kinds of compliance issues

 Motivating the employees for maintaining all kind of personal and health safety issues

 Finding out the non-compliance issues by the daily monitoring & internal audit in the factory

 Conducting internal audit in the light of Labor Law, Factory Rules, Buyers’ COC & other national & international
legal instruments

 Monitoring compliance certification BSCI, ICS, SEDEX, NEXT, INDITEX, PRIMEMARK, ACCORD & Alliance etc. and
handle their different audits with requirements

 To adopt, maintain and implement environmental, chemical standard as, Higg Index for the sake of the
organization in a sustainable manner etc.

 Updating to management all compliance reports in regular interval etc.

Legal Licenses Maintained by Compliance
 Certificate of incorporation
 Memorandum of association
 Trade License
 TIN Certificate
 VAT Registration
 Fire License
 Import Registration Certificate
 Export Registration Certificate
 Group Insurance
 Factory Fire Insurance
Only for Washing Factory
 Building Approval from City Corporation
 Factory Layout Approval  Gas Connection
 Factory License  Efficiency Certificate for Gas
 Boiler License Connection
 Generator License  Explosion Certificate for Gas
 Electricity Connection Connection
 Bond License  Road Cutting Permission for Gas
 Deep Tube well Permission Connection
 Environmental position Clearance  Membership from washing
 Environmental Clearance association
 Water test Report  NOC for diesel storage
 Acid use license
 What is Audit Types of Audit
 A comprehensive review of an
organization's adherence to regulatory
guidelines
1st Party
 Audit reports evaluate the strength of Audit
compliance preparations, security policies,
user access controls and risk management

Benefits of Audit 2nd Party

Audit
 Drives company values into action
 Enhances company and brand reputation
 Improves employee recruitment, retention and productivity
 Clear and credible assurance for ethical purchasing decisions
3rd Party
 Identification of ethically made products and companies Audit
committed to ethical sourcing
Code of Conduct (COC)
Major Issues of COC
 Defines how a company's employees
should act on a day-to-day basis

 Reflects the organization's daily  Compliance with Laws  Freedom of Association

operations, core values and overall  Forced Labor & the right to collective
company culture. bargain
 Child Labor
 Environment  Business Honesty &

 Discrimination Anti- corruption

 Harassment  Waste & Chemical

 Working Hours Management

 Working Condition  Grievance Mechanism

 Wages & Benefits  Equal Treatment

Audit Report & CAP

  Factory Information  
Name Sterling Styles Ltd.  
Address Baron, Earpur Union, Ashulia, Savar, Dhaka - 1341  
Contact
person Md. Jahangir Hossain, Asst. Manager (Compliance).  
Phone +8801930180792  
Email
address compliance@sterlingbd.com  

Audit Information
7th Jan Shovan Chowdhury
Audit date . 2020 Audit type 3rd party Audited by
  Shariful Islam
SL no. Finding Description Evidence & Picture Location/ Section Target Date Comment/
Feedback

1. Bin card missing Finished Cartoon Store

(Ground floor)

2. Aisle blocked Finished Cartoon Store

(Ground floor)

3. Fire extinguisher blocked Finished Cartoon Store

(Ground floor)

4. Cartoon kept touching the Finished Cartoon Store

wall (Ground floor)
SL no. Finding Description Evidence & Picture Location/ Section Target Date Comment/
Feedback

5. Humidity check list Finished Cartoon Store

missing (Ground floor)

6. Food package found Fabric Store

7. Unauthorized Tag-Gun Fabric Store

found

8. Using stapler pin in Fabric Store

documents
SL no. Finding Description Evidence & Picture Location/ Section Target Date Comment/
Feedback

9. Garments found from Finished Cartoon Store

dustbin (Ground floor)

10. Protected poly missing Fabric Store

11. Huge dust on fabric Fabric Store

12. Found open scissors from Fabric Store

electrician room
SL no. Finding Description Evidence & Picture Location/ Section Target Date Comment/
Feedback

13. Working on aisle Finishing- 1

14. Using Thinner by sub- Finishing- 1

contract people

15. Worker blocked. Finishing- 1

16. Huge dust Finishing- 1

SL no. Finding Description Evidence & Picture Location/ Section Target Date Comment/
Feedback

17. Cutter found in stair-3. Finishing- 1

18. Using unsafe label cutter  

machine. Sewing- 1

19. C-TPAT door was open Finishing- 3

20. Broken needle & knife Sewing- 3

found from mechanic
room.
SL no. Finding Description Evidence & Picture Location/ Section Target Date Comment/
Feedback

21.

22.

23.

24.
Risk Assessment
Risk Assessment
Risk Assessment
Existing Trainings on
Compliance
Improvement Ideas
Improvement Ideas
Thank You