Factory audit refers to that the orderer puts forward factory inspection requirements in order to audit the output and capacity of the cooperative factory, and evaluates whether the production status, environmental sanitation, compliance with national laws and regulations and other items of the factory meet the capacity and quality requirements required by the trader. What does the factory audit include? What are the norms of factory audit? Here we talk about the 6 processes of factory audit.
Factory Audit Procedure – 6 Processes of Factory Audit
Step 1
After the auditors enter the factory, they will first hold a brief first meeting. The first meeting usually requires the factory director and the supervisors and managers responsible for production, personnel, wages and safety to attend, and if possible, the trade union representatives will be invited to attend. The purpose of the first meeting was to introduce the basic situation of the base factory, such as the distribution of factory buildings, warehouses and dormitories, introduce the purpose, method and schedule of factory inspection, put forward the list of documents to be reviewed, explain the methods and requirements of workers’ interviews, answer the questions raised by the factory representative, and so on.
Step 2
On site inspection
After the first meeting, the auditors will conduct on-site inspection according to the division of labor. The scope of on-site inspection includes production workshops, warehouses, dormitories, canteens, side posts, guards and infirmaries, mainly focusing on whether the factory employs child labor or forced labor, checking safety, fire protection and environmental protection, and understanding the production and operation of the factory. Some customers also need to take photos for archiving during factory inspection.
The auditor will generally arrange to inspect the workers’ canteen during the workers’ dining time and the workers’ dormitory during the workers’ lunch break to learn more about the real situation.
Step 3
Document review
Document review is a key point of the customer’s factory inspection. Important documents and records include factory profile, business license, employee registration, factory rules and disciplines, recruitment registration data, labor contract, working hour record, wage system, wage table, welfare policy, safety system, training records, meeting records, safety inspection and drill records, etc. Generally, customers need to check all personnel data, at least one-year working hours and wage records. Auditors will check the integrity and correctness of working hours and wage records, and whether wages and benefits meet the requirements of laws and regulations. Document review can also evaluate the overall management level of a factory.
Step 4
Worker interview
The worker interview is a necessary procedure for most customers to inspect the factory. Some customers do not arrange the worker interview, and some customers also require the worker interview to be conducted outside the factory or during non working hours. Worker interview is a separate conversation between auditors and worker representatives, which aims to understand the views and experiences of workers and the management system and operation of the factory, so as to make the audit results more authentic and complete. Workers’ interviews are generally conducted in groups or one-on-one, and factory management representatives are not invited. Workers’ representatives are generally selected by auditors themselves, rather than assigned by the factory.
Wage hours
1.When did you enter the factory? 2. How did you get this job? (advertisements, introductions of acquaintances, intermediaries or brokers) 3. How many days of rest do you usually have every month? 4. How many Saturdays do you work every month? 5. What are the normal working hours per day? What time do you go to and from work? 6. Do you have time to rest during work? How long is each break? 7. How long do you work overtime every night (from what time to what time)? 8. How long do you work overtime every night in peak season? 9. What is the peak season from to? 10. How do you punch in at ordinary times (paper card, IC card or no attendance record)? 11. Who is responsible for clocking in? Yourself or a supervisor or a security guard? 12. If the supervisor is responsible for clocking in, do you have the opportunity to determine the working hours? 13. Do you need to punch two sets of cards at ordinary times? 14. Is there any time when you don’t have to punch in at work? 15. Are you on a piecework, hourly or monthly basis? 16. How to calculate overtime pay at ordinary times? 17. How is the weekend overtime paid? 18. Can you check whether the amount is correct when paying wages? 19. How often do I get paid? When was the last salary paid? Which month is it sent? How much? 20. Did the factory explain the deductions in the salary to you? 21. Do you understand the deduction of expenses? 22. Does the factory charge for tools or deduct expenses such as meals, water and electricity? Are these deductions reasonable? 23. Do you work outside the factory? Is there any salary? 24. Do you know what is paid annual leave? 25. Do you know how long maternity leave is? 26. In order to get this job, do you owe the talent agency money?
Child labour
27.What is your date of birth? 28. How long have you worked here? 29. Have you ever seen children working here or helping their parents?
Forced labor
30.Can I work overtime at night? 31. Will there be punishment if you don’t work overtime? 32. Can I leave the factory after work? 33. Are there any rules for going to the bathroom? 34. Has the factory deducted your salary? 35. Does the factory keep your ID card or other identity documents? 36. How many days in advance must the factory be informed of resignation? 37. Do you think they will agree if you apply for resignation according to the time stipulated by the factory?
Coercion and harassment
38.Have you seen other people or yourself being sexually harassed, abused and beaten by the management?
Discrimination
39.Have you been treated lower than other colleagues in terms of salary, welfare, promotion, punishment, termination or retirement because of race, religion, age, nationality, social or ethnic groups, sexuality, gender, political views or disability?
Health and safety
40.Have you ever participated in a fire drill? how often? 41. Have you ever been injured? How does the factory deal with accidents and injuries? 42. Do you know how to use fire extinguishers? 43. Is there clean water to drink? 44. Is there a toilet for use? 45. Is the ventilation in the workshop good? 46. Can you understand the evacuation signs? 47. Is the emergency exit locked during working hours? 48. Is the door of the dormitory locked at night? 49. Can I cook in the dormitory? 50. If chemicals need to be used in work, does the factory provide training on how to use them? 51. Does the factory provide personal protective equipment (such as ear plugs, masks, gloves, etc.) when working?
Monitoring and compliance
52.Have you seen the production rules of Disney company?
Other laws
53.Have you ever been tested for pregnancy? If so, when? Before employment or after work? Are all female workers subject to the test? If the result is positive, what will be the result? 54. Have you received any physical examination? What did you check? 55. Does the factory require you to take drugs? If so, do you know what it is? 56. Do you join the trade union? If you are a union member, who pays the membership fee? 57. Do you know if any other colleagues have joined the trade union? 58. If you join the labor union, do you think the factory will continue to hire you?
Other
59.What do you think of this factory? 60. Do you have any opinions about the factory?
*The workers have not seen Disney’s production code, which is not a violation. The auditor should explain the brief content of the code to the workers.
Step 5
Management representative interview during the whole process of factory inspection, the factory management representative will accompany the auditor. The auditor will consult and verify with the management representative on relevant issues at any time, so as to understand the operation of the factory and avoid omissions or errors. Sometimes, auditors also arrange a separate time to interview with management representatives to confirm factory policies and practices.
Step 6
The last procedure of the customer’s factory inspection in the final meeting is the final meeting, and a few customers do not arrange the final meeting. Before the final meeting, the auditors will summarize the data collected during the audit and sort out an audit result. The final meeting was mainly to report the audit results to the factory representatives, point out the non-conforming items and the requirements of regulations and standards, and answer the questions raised by the factory.