When it comes to assessing social responsibility in factories, the COC (Code of Conduct) factory audit is a widely recognized standard. It is based on the principles of international labor conventions, often equivalent to those of the International Labour Organization (ILO). COC factory audits cover various aspects of a company’s social responsibility, meeting the requirements of most brands and buyers in the industry. In this article, we’ll walk you through the general steps of a COC factory audit.
- Initial Meeting
The audit process kicks off with an initial meeting between the auditors and the factory management team. During this meeting, the audit approach and procedures are thoroughly explained. Social responsibility audits are a collaborative effort, and the involvement of the factory’s leadership is critical.
During the initial meeting, the auditors should:
- Clarify the audit’s purpose and the standards or specifications it’s based on, including any relevant local laws and regulations.
- Confirm the documents that need to be audited, which may include: Documents related to management systems and processes, Employment contracts or written agreements, Employee handbooks and any documents outlining company policies, A list of all chemicals and solvents used on-site, Training records, Permits, licenses, business certificates, insurance, etc.Emergency procedures, evacuation plans, and health and safety protocols, Records of working hours and wages for the past 12 months.
- Obtain a layout plan for the site visit.
- Ensure that photography is permitted.
- Verify that all employees are aware of the audit and that relevant guidelines have been communicated.
- Reconfirm the auditors’ and audit firm’s own business ethics policies.
- Arrange for employee interviews and explain the interview process.
- On-Site Audit
Following the initial meeting, the auditors will schedule an on-site audit. This comprehensive audit covers a range of areas, including pollution control, product protection, site cleanliness, work instructions and reference samples, non-conformance control, factory building structural safety, dormitory conditions, chemical management, fire safety, electrical safety, child labor, forced labor, and more. These areas are compared against applicable standards.
As a general rule, auditors should be granted access to all areas on-site. During the on-site audit, regular production and operations should continue to allow the auditors to assess daily working conditions.
- Document Review
Auditors review all documents identified during the initial meeting to ensure compliance with the specified standards. Document review confirms information related to compliance with the standards and complements information obtained from other parts of the audit.
- Employee Interviews
Employee interviews are a crucial aspect of COC factory audits. Besides the on-site audit, information gathered from both management and employee interviews is vital.
After interviewing the management, individual or group interviews with employees are conducted to gather their opinions and personal views on working conditions. The number of workers interviewed should represent a certain proportion of the total employed on-site.
- Closing Meeting
Upon completion of the on-site audit, a closing meeting is held to discuss the audit results and any identified issues with the factory management.
During this meeting, auditors should provide:
A list of non-compliances and their reasons.
Corrective actions for addressing non-compliances.
Deadline for implementing corrective actions.
In conclusion, COC factory audits are instrumental in assessing social responsibility in the manufacturing industry. In addition to the standard audit process, custom COC audit systems can be tailored to meet specific customer requirements, including system documents, checklists, report formats, rating criteria, and more.
Understanding and complying with social responsibility standards are critical steps towards ensuring ethical and responsible business practices in the manufacturing sector.