---
name: ethical-sourcing-compliance-tracker
description: "Transforms a raw supplier list and audit data into a portfolio-level compliance status table showing audit dates, findings severity, corrective action plan (CAP) status, risk tier, and next audit due dates — plus a prioritized escalation list and remediation follow-up schedule. Use when monitoring social compliance across a supplier base, preparing compliance status reports, tracking CAP closure, or identifying which suppliers need immediate attention or re-audit."
argument-hint: "[supplier-list] [audit-data]"
allowed-tools: ["Read"]
---

# Ethical Sourcing Compliance Tracker

## Purpose
Turn scattered audit records into a single portfolio-level compliance dashboard — showing every supplier's audit status, findings severity, CAP progress, and next audit due date — so compliance managers can see risk across the whole supply base at a glance and know exactly which suppliers to act on first.

## When to Use
Invoke this skill when the user asks to:
- Build a supplier compliance status summary or dashboard
- Track corrective action plan (CAP) status across suppliers
- Prepare a compliance report for leadership, buyers, or a brand's sustainability team
- Identify which suppliers are overdue for audit or re-audit
- Flag high-risk suppliers based on findings severity
- Consolidate audit data from multiple facilities into one monitoring view

## Inputs Required
Before starting, collect:
- **Supplier list**: Names/IDs of facilities to track, and location/country if available
- **Audit data**: For each supplier — audit type (e.g., SMETA, SLCP, BSCI, WRAP, internal), last audit date, and findings
- **Findings detail**: Non-conformances by category and severity (critical/major/minor or Zero-Tolerance/high/medium/low)
- **CAP status**: Whether a corrective action plan exists and its current state (open, in progress, verified/closed)
- **Audit cycle policy**: Required re-audit frequency by risk tier (e.g., annual, biannual) — or use the default below
- **Escalation thresholds**: What triggers escalation (e.g., any Zero-Tolerance finding, CAP overdue by 30+ days)
- **Reporting date**: The "as of" date for the snapshot

If audit cycle policy is missing, default to: high-risk = every 6 months, medium-risk = every 12 months, low-risk = every 18 months. If severity scales differ across audit standards, normalize to a Critical / Major / Minor scale and note the mapping.

## Instructions

### Step 1: Normalize and Validate the Data
Standardize inputs before building the table:
- Map each supplier's audit standard-specific findings to a common scale: **Zero-Tolerance/Critical**, **Major**, **Minor**
- Flag any supplier with missing critical fields (no audit date, no findings, no CAP status) as **Data Gap** — do not silently drop them
- Confirm audit dates are real dates; flag placeholders or "unknown" as **Unverified**

### Step 2: Assign Risk Tier
Classify each supplier into High / Medium / Low risk using:
- **High**: Any open Zero-Tolerance/Critical finding, OR audit older than the required cycle, OR CAP overdue
- **Medium**: Open Major findings with a CAP in progress, OR audit within cycle but approaching due date
- **Low**: Only Minor findings or all findings verified closed, audit current
- Country/sourcing-geography risk may bump a supplier up one tier where relevant

### Step 3: Calculate CAP Status and Next Audit Due Date
For each supplier:
- **CAP status**: Not Required / Open / In Progress / Verified-Closed / Overdue (overdue = past agreed remediation deadline)
- **Next audit due date**: Last audit date + cycle interval for that risk tier
- **Days to next audit**: Difference between reporting date and next audit due date (negative = overdue)

### Step 4: Build the Compliance Status Table
Produce the master table (see Output Format) with one row per supplier, sorted by risk tier (High → Low), then by days-overdue.

### Step 5: Build the Escalation List
Extract the subset of suppliers requiring immediate action:
- Any Zero-Tolerance/Critical finding open
- Any CAP overdue
- Any audit overdue by 30+ days
- Any Data Gap on a previously high-risk supplier
For each, state the trigger and the single recommended next action.

### Step 6: Build the Remediation Follow-Up Schedule
List suppliers with open or in-progress CAPs, sorted by remediation deadline, with the next check-in date and owner-action to prompt (e.g., "request CAP evidence," "schedule verification visit").

### Step 7: Portfolio Summary
Write a short rollup: total suppliers, count by risk tier, count with open Critical findings, count overdue for audit, and CAP closure rate (verified-closed ÷ total CAPs).

## Output Format
- **Structure**: Portfolio summary → master compliance status table → escalation list → remediation follow-up schedule
- **Length**: Table-driven; supporting prose kept to 300–500 words total
- **Format**: Markdown tables for the master table, escalation list, and follow-up schedule; brief prose for the summary
- **Sections**:
  - **Portfolio Summary** (bullet rollup with counts and CAP closure rate)
  - **Compliance Status Table** — columns: Supplier | Country | Audit Standard | Last Audit Date | Findings (Critical/Major/Minor counts) | CAP Status | Risk Tier | Next Audit Due | Days to Next Audit
  - **Escalation List** — Supplier | Trigger | Recommended Next Action
  - **Remediation Follow-Up Schedule** — Supplier | Open CAP Items | Remediation Deadline | Next Check-In | Action to Prompt
- **Tone**: Compliance operations — precise, factual, no editorializing; findings and status only, action items direct

## Quality Checklist
Before delivering output, verify:
- [ ] Every supplier from the input list appears in the master table (count them against the input)
- [ ] Findings are normalized to a single Critical/Major/Minor scale with the mapping noted if standards differed
- [ ] Every row has a Risk Tier and a Next Audit Due date (or is explicitly flagged as Data Gap / Unverified)
- [ ] Days to Next Audit is calculated relative to the stated reporting date, with overdue shown as negative
- [ ] Escalation list contains only suppliers meeting a defined trigger — each with a stated trigger
- [ ] CAP closure rate in the summary matches the CAP statuses in the master table

## Notes
- The most common real-world failure is silent data gaps — a supplier with no recent audit that never surfaces. Always flag missing data rather than excluding the supplier.
- Zero-Tolerance findings (child labor, forced labor, life-safety) should never be buried in a Major count — surface them separately in both the table and escalation list.
- When multiple audit standards are in play, keep the original standard visible in the table so buyers and auditors can trace findings back to source.
- Recommended cadence: regenerate this snapshot monthly, and always before a leadership or buyer compliance review.

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## How to use this skill

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