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The ISES 2020 implementation and audit process can be separated into six different phases, in which the first three phases represent a linear process. The self assessment phase and the first audit follow the awareness raising phase. After that a cyclic process, the cycle of improvement consisting of the audit, the correction phase, the implementation phase and the re-audit follows.

These four phases have a cyclical progression as they are repeated in case of non-conformance with one or more requirements and or after a period of three years as a re-evaluation process. This assures continuous improvement together with the special and unique characteristics of ISES which consists of unannounced audits. All manufacturers must agree to them at the beginning of the certification process. They are all integral part of the ISES work and can be carried out at any time.

Awareness Raising Phase:

During an awareness raising workshop the main aspects of corporate social responsibility and the ISES 2020 are being explained. This first phase is meant as introductions in which the requirements of the ISES 2020 are being explained. During the workshop a guidance document is handed out. It gives detailed information about the single requirements of the standard and supports the self assessment process and preparation for the coming audit process.

Preparation and Self Assessment Phase:

For reasons of cost and efficiency a careful preparation for the audit is recommendable. Following the introductory workshop the company should start the self assessment phase on the basis of the information and the sheets for self assessment and for improvement.

Steps to be taken to prepare for the audit:

• Perform self assessment on the basis of the ISES 2020 checklist and evaluation sheets.
• Correction of deficiencies found wherever possible before the date of the audit.
• Provide auditors and audit company with all the information they require and ask for.
• Ensure responsible persons are available during audit and prepared in advance.
• Make available a separate room for the auditors if possible.

IGEP will give necessary advice and coaching during each stage of this pre audit phase.

Audit:

After thorough preparation the company should arrange for the first audit being conducted at the company. The audit will be conducted by audit and certification companies and/or specially trained auditors. The purpose of this audit is to analyze the social and environmental performance of the company, in order to identify any need for improvement and to agree on appropriate corrective action where necessary.

The audit normally comprises the following components:

• Introductory Meeting: Clarification of procedure, audit schedule, required documents, and questions.
• Interview with the management: Exchange of information, clarification, and questionnaire discussion.
• Inspection of the documents: Personnel files, bookkeeping, compliance records, etc.
• Site Inspection: Fire protection, safety, machines, cleanliness, amenities, etc.
• Interviews with employees: Confidential discussions to verify practices independently.
• Report based on Audit Results: A detailed written audit report is prepared.
• Final Meeting: Corrective actions are agreed with top management.

Correction and Implementation Phase:

This is a phase of constructive cooperation. Based on the results and reports about the audit, corrective actions are developed. A final social and environmental audit report sums up the audit results and corrective action plan.

Suggestions for implementation:

• Start with actions that prevent dangerous situations for employees and the company.
• Then implement actions requiring minimal effort with available resources.
• Give preference to actions that also provide economic benefits to the company.

During the implementation phase, employees should be involved in planning and solutions to build ownership and skills. Training in machinery and tools enhances safety and product quality. IGEP supports companies during this stage with consultancy to ensure sustainable changes and avoid unnecessary costs.

Re-Audit:

The re-audit checks corrective actions and verifies that deviations have been addressed. In case of non-conformities, a re-audit must be conducted within six months. If corrective actions are met, a second audit cycle will take place after two years. To ensure continuous improvement, unannounced control visits are also carried out.