1. First meeting
Upon arrival, the auditor will first schedule an initial meeting with the factory management team to detail the audit methodology and procedures. Social responsibility audits are a collaborative process, and the participation of factory managers in this initial meeting is a critical component of the audit.
The auditor will need to state the purpose of the audit and the standards or specifications against which the audit was conducted, as well as any relevant local laws or regulations. They will also:
● Reconfirm the documents that need to be reviewed
- Documentation of relevant management systems and processes
- Employment contract/written employment agreement
- Employee handbook and any related documents detailing company policies
- List of all chemicals and solvents used on site
- Training records
- Permits, business licenses, business certificates, insurance, etc.
- Emergency procedures, evacuation plans, and health and safety procedures.
- Work hours and wage records for the past 12 months
● Get a site visit floor plan
● Confirm that you have permission to take photos
● Check that all employees are aware of the audit and that relevant guidelines have been communicated to them
● Reconfirm the auditor/audit firm’s own business ethics policy
● Arrange employee interviews and explain the interview process
2. On-site audit
After the initial meeting, the auditor will arrange an on-site audit, including the risk of production contamination, product protection, site cleanliness, work instructions and reference samples, non-conformity control, factory building structure safety, dormitory location, chemical management, fire safety, electrical safety, child labor, forced labor, etc., and compare with the corresponding applicable standards.
As a general rule, auditors should be allowed to view all areas of the site. During the on-site audit, production and operations should be conducted normally to allow auditors to check daily working conditions.
3. Document review
The auditor reviews all documents presented at the initial meeting to ensure compliance. The review of records will confirm information on performance relative to the standard and information obtained from other parts of the audit.
4. Employee Interviews
Employee interviews are an important aspect of a general COC audit. In addition to on-site audits, obtaining information from interviews with responsible persons and employees is equally important.
After the interview with the responsible person, it is important to interview the employees individually or in groups to get their opinions and personal views on the working conditions at the site. The number of workers interviewed should be a certain proportion of the total number of workers employed at the site.
5. Final meeting
After the auditor completes the on-site audit, a final meeting is held to explain the audit results and any problems to the person in charge.
The auditor requires a corrective plan for the overflow:
● Non-conformities and reasons;
● Corrective actions for non-conformities;
● Deadline for rectification of corrective measures.
