Codigo de Conducta Costco
Codigo de Conducta Costco
Codigo de Conducta Costco
The Costco Code of Conduct audit pertains to the factory's compliance with the Costco Supplier Code of Conduct and
compliance with labor and health & safety laws (relative to the workers). The audit covers areas of Labor Practices, Wages &
Working Hours, Production, Health & Safety programs, and Environmental programs. For facilities outside of the United States,
there may also be additional questions in regards to your Supply Chain Security practices.
If you do not have a copy of the Costco Supplier Code of Conduct, please contact your Costco
buyer or email a request to vendorcompliance@costco.com.
HOW LONG DOES AN AUDIT TAKE AND HOW MANY AUDITORS WILL BE PRESENT?
Audit is conducted by a team of 1-3 auditors, and takes at least one full working day, depending on the size of the facility. For
most audits, the auditing team will consist of fluent native speakers (often with more than one dialect ability) and readers of the
manufacturing country’s language. In some cases, UL will coordinator a translator of our selection to assist the auditors during
the audit. For most audits, UL-Responsible Sourcing will confirm a specific audit date in advance with the facility. On occasion,
and if instructed by Costco, this audit may be unannounced.
Auditor Arrival – Auditors arrive at the facility and provide their business cards and identification badges upon entry.
Please be sure to notify your entry security guards in advance of their visit.
Opening Meeting – Auditors will hold an opening meeting with the Facility Contact, production and personnel
managers, and any other managers you wish to have present. During this meeting, the auditors will describe the
assessment process and answer questions.
Health & Safety Walkthrough – Escorted tour of the facility to evaluate health & safety conditions, production
capacity, use of subcontractors, waste water treatment, chemical and hazardous material containment, etc.. The
Health & Safety tour is not limited to the area where Costco production occurs and can include production areas,
warehouses, chemical storage houses, canteen and dormitories (as applicable). It should include all areas of the facility
as determined by the business license and the facility address. The auditor may take photos as necessary to document
non-compliance areas, if any.
Employee Interviews – A sample of employees will be asked to participate in voluntary interviews conducted in private
without management presence. These may be conducted as individual interviews or in groups. If the facility contracts
employees from a Staffing Agency, these employees will be within the scope of the assessment. The number of
employees sampled will be determined by the Auditor on the day of the assessment. Workers will be asked general
questions such as the facility’s hiring policies, length of employment, working conditions, employment practices,
disciplinary policies, freedom of movement during non-working hours, etc. It is acceptable for employees to be
notified that the audit will occur, but in no way should they be guided or instructed on how to answer the auditors’
questions.
Supply Chain Security – The auditor will review a Supply Chain Security checklist to identify/review compliance with
anti-terrorism preventative measures.
Closing Meeting – At the conclusion of the audit, a meeting will be held with the designated Facility Contact and other
management personnel as necessary. The auditors will review the audit results, answer questions, and provide law
clarifications and references as necessary. A Code of Conduct Audit Summary document will be provided that outlines
the audit results, the recommended corrective actions to make future improvements, and recommended timeframes
for action to be taken as determined by and acceptable to Costco. The designated Facility Contact signs the Code of
Conduct Audit Summary, verifies that he or she understands the findings, and makes any comments if so desired.
Post- Assessment – Within 5-10 business days from this audit, a formal, typed copy of this audit report will be sent to
all parties indicated on the initial UL-RS audit application form. A copy will be automatically sent to Costco. If you, the
facility, are not the actual Costco supplier or the direct audit applicant to UL-RS, please be sure the Costco supplier
authorizes UL-RS to release a copy of this audit report to you.
The facility will develop an Action Plan (AP) and submit to vendorcompliance@costco.com within 5 business days from
the audit. Instructions for the Action Plan will be provided by the Auditor at the Closing Meeting along with the Code
of Conduct Audit Summary. Please note that it is Costco’s desire that all parties work as a team to help the facility
achieve 100% full compliance within a reasonable timetable. Costco's Vendor Code of Conduct Dept. finalizes all
decisions on the audit results and any necessary follow up audits.
We encourage the facility to work with the auditors during the audit to understand the audit results. If after the audit
has been completed, you do not understand the results or are not sure how to achieve full compliance, a phone
consultation can be arranged. This Follow-Up Consultation service is included in the audit fee paid to UL-Responsible
Sourcing. Please contact the UL Client Service Manager to coordinate this.
Employee Documentation
q Payroll Records, Time Records: 1 full year of payroll records must be available for the auditor to select sample periods from on the
day of the audit. Payroll must include all regular and overtime payments as well as itemized deductions. Time records should
show daily start and stop times and include all regular and overtime work. *
q Production records, piece rate records
q Government waivers or special permissions regarding working hours and pay
q Records of issuance of employee benefits, i.e. annual leave, maternity leave, etc. *
q Employee contracts if required by country’s labor laws
q Employee files including employment application, labor notices, disciplinary notices, etc.
q Copies of adequate proof of age documents for all employees, including photo ID*
q In the US: employee I-9 forms*
Environmental
q Environmental permits and monitoring records (Air emissions, waste water discharge, etc.)
q Reports of analysis of drinking water
q Waste profiles/test results/waste analyses
q Hazardous and Non-Hazardous waste manifests or shipping paper
* Please note that if you use temporary/seasonal/contract agency workers provided by a Staffing Agency, a proportionate
number will be selected as part of the interview and documentation sample. This would include Production & Production
Support Workers (Maintenance, Sanitation, Warehouse/Shipping, Cleaning, Security, Canteen, etc.). Please communicate this to
all Staffing Agencies utilized prior to the audit date.
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