Appendix II: Audit Checklist

Databases

Contributors

Date Certain

Retailer and Licensor

ICP Factory Database

Appendix II: Audit Checklist

1a. Company Overview

Company Name:
(English & Local Language)

Vendor Name:
(English & Local Language)

Address:
(English & Local Language)

Phone:

Fax:

Senior Management Representative Responsible for ICTI Code:

Address:

Phone:

Fax:

E-Mail:

Principle Products Manufactured (Give Examples):

Standard Industry Classification (SIC) Code Number of Business:
(Insert SIC Code Number)

1b. Company Organization
Please attach general organizational chart.

1c. Number of Employees:
Please indicate estimated number of employees in each area.

Department Number of Employees

Administrative - Factory

Administrative - Office

Engineering

Maintenance

Production

Quality Assurance

Quality Control

Warehouse/Distribution

Other

Total Number of Employees:

1d. Language(s) Spoken:
Please indicate primary languages spoken by employees.

1e. Production Process:
Please indicate which production processes and tool room machines the company possesses.

Production Process
Details

Blow Molding

Die Casting

Electronics Assembly

Flat Belt Conveyors

General Metalworking Shop

Injection Molding

Plating Process

Printing and Packaging Process

Rooting Machine

Rotocasting

Sewing Machines

Silk Screen Printing

Spraying Operations

Tampo Printing

Tool Room

Ultrasonic Welding

Wood Processing

Other:

1f. Floor Plan (Manufacturing, Office, and/or Dormitory, as applicable)
Please attach general layout of the facility.

2. Working Hours

AUDIT QUESTIONS				COMMENTS
2.1 Does facility have a written policy for working hours and overtime in compliance with local law(s)? Date of Issue:	Yes	No
2.2 Are legal working hours and facility working hours made available to all employees?	Yes	No
2.3 Are hours worked adequately documented (e.g., time cards)?	Yes	No
2.4 Is overtime voluntary?	Yes	No
2.5 What are the maximum hours worked per day ? ________hours. Per week ________hours Is this within the legal maximum and written policy for work hours?	Yes	No
2.6 What are the maximum overtime hours worked per month? _______hours. (Provide detailed analysis.) Is this within the legal maximum and written policy for work hours?	Yes	No	N/A
2.7 Are the employees allowed one day off in seven?	Yes	No
2.8 Are employees permitted time off with doctor's certificate when sick or for maternity?	Yes	No
2.9 Are workers allowed adequate: a) meal breaks? b) personal breaks?	Yes Yes	No No

3. Wages and Compensation

AUDIT QUESTIONS				COMMENTS
3.1 Does facility have written policy on wages and compensation which is in compliance with the local laws? Date of Issue:	Yes	No
3.2 Are legal and company minimum wage rates posted or available to employees?	Yes	No
3.3 Do wages and compensation meet legal and policy requirements? Minimum Hourly Rate: Minimum Overtime Rate: Regular Work Days: Rest Days: Holidays:	Yes	No		Legal Minimums: Hourly Rate: Overtime Rates: Regular Work Days: Rest Days: Holidays:
3.4 Are legally required withholdings being withheld correctly, and being paid to the proper agency(s)? Explain.	Yes	No
3.5 Are employees made aware of these withholdings and other deductions prior to employment?	Yes	No
3.6 Are deductions for food and housing reasonable and legal?	Yes	No	N/A
3.7 Are deductions for company provided items reasonable and legal?	Yes	No	N/A
3.8 Are legally required benefits provided (bonus, paid vacation, meal allowances, etc.)? Describe.	Yes	No
3.9 Do employees receive detailed paystubs?	Yes	No
3.10 Are employees paid in a timely manner?	Yes	No
3.11 Is the payment of wages made readily available to employees?	Yes	No

4. Underage Labor

AUDIT QUESTIONS				COMMENTS
4.1 For information purposes, record if there is a compulsory age for school attendance in the country/ region? If yes, up to what age is school compulsory?	Yes	No
4.2 Does the facility have a written policy specifying the youngest age for workers hired in the facility? Date of Issue: If yes what is the minimum age? Does it meet standard requirement?	Yes Yes	No No
4.3 In the absence of law, does the facility's policy meet the ICTI code?	Yes	No
4.4 Is the law and or policy communicated to all employees?	Yes	No
4.5 Are the employees' ages in compliance with the policy and local laws?	Yes	No
4.6 If young workers are employed, are they on assignments allowable, as specified by law?	Yes	No	N/A
4.7 Are documents supporting age information kept on record?	Yes	No

5a. Forced Labor

AUDIT QUESTIONS			COMMENTS
5.1 Does the facility have a written policy concerning forced labor, which meets the requirements of the ICTI Code? Date of Issue:	Yes	No
5.2 Does the facility use any forced labor?	Yes	No
5.3 Does the facility use any bonded labor?	Yes	No
5.4 Are employees permitted to leave employment after giving reasonable notice?	Yes	No
5.5 Is there any evidence of the use of security staff and/or supervision to coerce workers?	Yes	No

5b. Prison Labor

AUDIT QUESTIONS
COMMENTS

5.6 Does facility have a written policy against the use of prison labor in their facility or subcontracting to prisons?
Date of Issue:

Yes

No

5.7 Does the facility use any prison labor?

Yes

No

6. Disciplinary Practices

AUDIT QUESTIONS			COMMENTS
6.1 Does the facility have a written procedure regarding disciplinary practices which provides freedom from mental or physical abuse? Date of Issue: ___________________	Yes	No
6.2 Is the procedure communicated to all?	Yes	No
6.3 Is there any evidence of the use of corporal punishment or physical coercion?	Yes	No
6.4 Is there any evidence of the use of excessive mental or verbal abuse or intimidation?	Yes	No
6.5 Is there any evidence of the use of security staff or other nominated staff (other than supervisors) used to discipline workers?	Yes	No
6.6 Are unreasonable disciplinary fines used? If yes, record the fine(s) and the offense(s).	Yes	No

7. Discrimination

AUDIT QUESTIONS

COMMENTS

7.1 Does the facility have a written policy against discrimination?
Date of Issue:

Is the policy communicated to all?

Yes

7.2 Is there evidence of discrimination in recruitment?

In workplace

In patterns of dismissal

Yes

8. Employee Representation

AUDIT QUESTIONS			COMMENTS
8.1 Do employees have the ability to approach management on issues of concern?	Yes	No
8.2 Are there employee representative(s) in place?	Yes	No
8.3 Are there management representative(s) appointed to interface with employee representative(s)?	Yes	No
8.4 Are there regularly scheduled meetings between representative(s) and management, and are meeting minutes on file?	Yes	No
8.5 Are the employee representative(s) aware of the ICTI Code of Business Practices, and supporting documents, or the facility equivalent?	Yes	No
8.6 Is there evidence of management action on issues of concern relating to the ICTI Code of Business Practice? Describe.	Yes	No
8.7 Is there evidence of unequal treatment between employee representative(s) and other employees? Describe.	Yes	No

9. Facilities

AUDIT QUESTIONS				COMMENTS
9.1 Does facility have written policy to adopt the local laws governing the health, safety, environmental, and working conditions in its facilities? Date of Issue: __________________	Yes	No
9.2 Is there a senior management representative for health, safety, welfare, and general facilities? Name: ________________________	Yes	No
9.3 Is facility kept clean and maintained in good condition? - Walkways and Aisles - Yard and Storage Areas - Lifts and Stairways - Manufacturing Areas - Electrical Equipment - Other	Yes	No
9.4 Are routine facility inspections conducted?	Yes	No
9.5 Are all machinery, equipment, and facility maintained in safe working condition and adequately repaired following breakdown?	Yes	No
9.6 Is an effective means of communication available for internal and external emergency notification?	Yes	No
9.7 Do temperature and humidity controls meet safe working practices?	Yes	No
9.8 Do general ventilation controls provide a safe working environment?	Yes	No
9.9 Is lighting adequate?	Yes	No
9.10 Is there regular and systematic refuse collection? Date of Last Collection: __________	Yes	No
9.11 Has the physical and structural integrity of all buildings been professionally inspected? This may be indicated by the factory having a "Certificate of Occupancy". Date of Last Inspection: __________	Yes	No
9.12 Have the boilers, unfired pressure vessels, and furnaces been professionally inspected? Date of Last Inspection: __________	Yes	No
9.13 Are allowable floor loading weights determined, posted and adhered to?	Yes	No
9.14 If the facility had any citations or penalties from violations of working condition laws in the past 12 months, have they all been corrected within the required time frame?	Yes	No	N/A
9.15 Do all employees have access to potable water for drinking purposes?	Yes	No
9.16 Are adequate toilet facilities available, functional, and in clean condition?	Yes	No
9.17 Are hand-washing facilities available, functional, in clean condition, and located within the toilet facilities area?	Yes	No
9.18 Are security personnel adequately trained?	Yes	No
9.19 Are smoking rules observed?	Yes	No

10. Fire Protection

AUDIT QUESTIONS				COMMENTS
A) Emergency Preparedness
10.1 Does the site have an adequate written emergency preparedness plan?	Yes	No
10.2 Are personnel trained on fire prevention and emergency preparedness plans?	Yes	No
10.3 Has a site coordinator been designated to administer the fire prevention procedures and emergency preparedness plans?	Yes	No
B) Exit and Evacuation
10.4 Does the site have an emergency alarm system for notifying personnel to evacuate the site?	Yes	No
10.5 Is emergency powered lighting installed, in appropriate locations and inspected periodically?	Yes	No
10.6 Are aisles and emergency exit doors clearly marked, illuminated, accessible, and kept clear of obstructions, internally and externally?	Yes	No
10.7 Are evacuation routes posted in the work areas with clear directions on how to exit?	Yes	No
10.8 Does each employee have access to not less than two remotely located emergency exits?	Yes	No
10.9 Are doors, passageways, or those that could be mistaken for emergency exits, appropriately marked "NOT AN EXIT".	Yes	No
10.10 Do emergency exit doors open freely (unlocked) in the direction of travel, and without any special knowledge to open?	Yes	No
10.11 Does the site conduct annual emergency evacuation drills?	Yes	No
C) Housekeeping
10.12 Is trash stored in non-combustible containers and emptied on a regular basis?	Yes	No
10.13 Are combustible scraps, debris and waste materials (e.g. oily rags) stored in covered metal containers and removed from the work site promptly?	Yes	No
10.14 Are areas free of unnecessary combustible materials?	Yes	No
10.15 Are floors kept clean from spills and materials?	Yes	No
10.16 Are containers labeled with their contents and properly stored?	Yes	No
10.17 Are hazardous and other areas appropriately posted with "No Smoking" signs?	Yes	No
10.18 Is heat producing equipment such as portable heaters, motors, ovens, etc., kept clear of combustible materials (including dust, grease, oil, and fibers)?	Yes	No
10.19 Are materials properly stored inside and outside of the building?	Yes	No
D) Electrical
10.20 Is electrical equipment and wiring properly maintained, covered/insulated to prevent exposure of wires?	Yes	No
10.21 Are wires properly attached to fixtures, plugs, circuit breakers, and other equipment?	Yes	No
10.22 Are electrical covers in place for junction boxes, outlets, panel boards and are they free from obstruction?	Yes	No
10.23 Does the site have a lightning protection system?	Yes	No
E) Special Hazards
10.24 Are flammable liquids properly stored in safety cabinets and/or properly ventilated and electrically protected flammable storage rooms?	Yes	No	N/A
10.25 Are flammable liquids in use properly stored in safety dispensing containers?	Yes	No	N/A
10.26 Does the site have a hot-work procedure established for operations using flames or producing sparks (welding / grinding / cutting / brazing / soldering)?	Yes	No	N/A
10.27 Are gas cylinders properly marked, used, inspected, stored and secured?	Yes	No	N/A
10.28 Are combustible dust operation areas maintained and clean (wood / flour / starch)?	Yes	No	N/A
10.29 Are solvent spray painting or dust-producing operation areas maintained, clean and constructed of non-combustible materials and at least 20 feet from flames, sparks, operating electric motors, and other ignition sources?	Yes	No	N/A
10.30 Is adequate ventilation present to prevent accumulation of flammable vapors during spraying operations?	Yes	No	N/A
10.31 Are personnel properly trained in the handling and use of flammable and combustible materials? B) Alarms and Extinguishers	Yes	No
10.32 Are fire alarms clearly marked, accessible, and maintained operational?	Yes	No
10.33 Are adequate fire extinguishers available, clearly marked, and accessible?	Yes	No
10.34 Are fire extinguishers fully charged and visually inspected monthly?	Yes	No
10.35 Are emergency response personnel trained on proper operation of fire extinguishers?	Yes	No
10.36 Are fires investigated to determine root causes and examined to prevent a reoccurrence?	Yes	No
10.37 Are other fire fighting equipment routinely inspected and maintained?	Yes	No

11a. General Environmental Health and Safety (EHS)

AUDIT QUESTIONS				COMMENTS
11.1 Does the facility have a written EHS program that includes policies and procedures for environmental, health, safety (EHS) and working conditions? Date of Issue:	Yes	No
11.2 Are facility's written EHS programs available to all employees in the local language?	Yes	No
11.3 Has an EHS coordinator been designated? Name:	Yes	No
11.4 Does the facility have an EHS committee/team?	Yes	No
11.5 Does the facility promote workplace EHS awareness?
11.6 Is job-specific EHS training/ education provided to all employees prior to starting a new job?	Yes	No
11.7 Are all employees given the opportunity to voice EHSopinions/concerns? If so, describe.	Yes	No
11.8 Are there controls in place to prevent new components, materials, chemicals, machinery, and products from entering the facility, which have not been reviewed for potential EHS hazards?	Yes	No
11.9 Do containers coming onto the facility have legible affixed labels?	Yes	No
11.10 Are contractor personnel given site EHS rules and orientation?	Yes	No
11.11 Have the employees been trained on the subject of chemical safety?	Yes	No
11.12 Are up-to-date MSDS's present for all chemical produced, imported, or used, and are they available to all employees in the local language?	Yes	No
11.13 Is a current chemical inventory available for all hazardous chemicals produced, imported, and/or used at the site?	Yes	No
11.14 Are functional emergency eyewash stations and showers provided where corrosive chemicals or high volumes of solvents are handled and used?	Yes	No
11.15 Are storage and process tanks, piping, and valves containing hazardous chemicals labeled and/or color-coded?	Yes	No	N/A

11b. Health and Safety

AUDIT QUESTIONS				COMMENTS
11.16 Are all reported accidents and near misses investigated? a) Accident/near miss investigation form used and filled out completely? b) Employees instructed and encouraged to report accidents and near misses? c) Corrective/preventive actions tracked to completion?	Yes Yes Yes Yes	No No No No
11.17 Are employees discriminated against for reporting accidents?	Yes	No
11.18 Is loose clothing, jewelry, and long hair prohibited near moving machinery?	Yes	No
11.19 Have the employees been trained on the subject of machine safeguarding?	Yes	No
11.20 Are machine safeguards provided and used? a) Points of operation? b) Power transmission devices? c) Other hazardous moving parts? d) Pulleys and belts? e) Fan blades protected with a guard and have limited openings?	Yes Yes Yes Yes Yes Yes	No No No No No No
11.21 Are starting/stopping controls adequate? a) Provided for each operator? b) Protected from accidental activation? c) Labeled and/or properly color-coded? d) Emergency stops of the palm/mushroom type and colored red?	Yes Yes Yes Yes Yes	No No No No No
11.22 Are any machines, equipment, and fixtures not covered above, in safe operating condition?	Yes	No
11.23 Is adequate local exhaust ventilation present where paints and chemicals (e.g., solvents, solder, dust) are used?	Yes	No	N/A
11.24 Are all personnel exposures maintained at or below safe exposure levels? Describe	Yes	No
11.25 Does the facility have a written procedure for the control of hazardous energy? Date of Issue:	Yes	No
11.26 Is training provided to all authorized users, affected employees, or other employees who are impacted by the hazardous energy control procedure?	Yes	No
11.27 Is sufficient lockout and tagout isolation equipment available? Describe: [ ] Locks [ ] Tags [ ] Group lock box [ ] Breaker lockouts [ ] Valve lockouts [ ] Hasps	Yes	No
11.28 Is the energy to equipment and machinery locked out prior to service or maintenance?	Yes	No
11.29 Has a documented hazard assessment been completed which identifies the personal protective equipment (PPE) required for each operation?	Yes	No
11.30 Are the following provided and used? [ ] Eye/face protection [ ] Foot Protection [ ] Hearing Protection [ ] Hand Protection [ ] Head Protection [ ] Protective Clothing [ ] Respiratory Protection [ ] PPE Provided To Visitors	Yes	No
11.31 Have the employees been trained on the subject of personal protective equipment?	Yes	No
11.32 Are signs posted in all areas where personal protective equipment must be worn?	Yes	No	N/A
11.33 Have the authorized crane/hoist operators received job-specific safety training?	Yes	No	N/A
11.34 Are inspections conducted on cranes, hoists, and slings?	Yes	No	N/A
11.35 Are capacity limits clearly marked on cranes, slings, and hoists?	Yes	No	N/A
11.36 Are stairs provided with standard handrails and midrails?	Yes	No	N/A
11.37 Are open stairs, platforms, and elevated floors guarded by railings on open sides?	Yes	No	N/A
11.38 Are only approved working platforms used when employees are elevated to perform work?	Yes	No	N/A
11.39 Are elevated work platforms (i.e., baskets), secured to the lifting device (i.e., forklift, high lift, etc)?	Yes	No	N/A
11.40 Are all ladders in good condition for use?	Yes	No	N/A
11.41 Are floor and roof openings covered or protected to prevent falls?	Yes	No	N/A
11.42 Does the facility have a written procedure for entry into confined space areas? Date of Issue:	Yes	No	N/A
11.43 Have the employees who enter confined spaces been trained on the subject of entry into confined space areas?	Yes	No	N/A
11.44 Are confined spaces identified and secured? [ ] Storage tanks [ ] Process vessels [ ] Diked tank farms [ ] Boilers [ ] Ovens [ ] Silos [ ] Underground trenches [ ] Enclosed conveyors [ ] Other	Yes	No	N/A
11.45 Have the authorized forklift operators received forklift safety training?	Yes	No	N/A
11.46 Are forklifts inspected and maintained in good, safe, working condition?	Yes	No	N/A
11.47 Are there "Stop" signs, mirrors, and posted speed limits in areas where pedestrian traffic may be present?	Yes	No	N/A
11.48 Are trailers/containers secured from movement prior to entry for loading and unloading?	Yes	No

11c. Environmental

AUDIT QUESTIONS				COMMENTS
11.49 Is hazardous waste managed properly?	Yes	No	N/A
11.50 Is all hazardous waste disposed of at an approved government site?	Yes	No	N/A
11.51 Does the facility have a process waste water discharge permit?	Yes	No
11.52 Has the facility obtained the necessary registration from the local environmental agency for all air discharge points?	Yes	No
11.53 Does the facility have a septic system or discharge permit to dispose of sewage?	Yes	No

12a. Welfare-Dormitories

AUDIT QUESTIONS				COMMENTS
12a. Does the facility provide dormitory living for employees?	Yes	No	N/A	If yes, complete all questions. If no, skip to section 12b.
12.1 How many employees per room? # workers per room ________
12.2 Does each employee have sufficient living space in the dormitory.	Yes	No
12.3 Are there adequate toilet and shower facilities?	Yes	No
12.4 Are dormitories kept clean and maintained in good condition? [ ] General Dormitory [ ] Dormitory Rooms [ ] Toilets [ ] Showers	Yes	No
12.5 Is a laundry facility available?	Yes	No
12.6 Is a recreation area available?	Yes	No
12.7 Does building appear structurally sound and in good repair? Date of Last Inspection:	Yes	No
12.8 Are there written dormitory rules for residents and/or guests to follow? If so, are they posted in the local language?	Yes	No
12.9 Are appropriate actions taken for not following dormitory rules? Describe.	Yes	No
12.10 Are workers permitted to exit and re?enter the dormitory freely during their personal time off from work? Any curfew times?	Yes	No
12.11 Are dormitory rooms, toilets, and showers segregated between men and women?	Yes	No
12.12 Are security measures taken to protect workers and their property? Describe.	Yes	No
12.13 Does the dormitory have a written procedure for fire safety and emergency preparedness in compliance with Section 10? Date of Issue:	Yes	No

12b. Welfare-Canteen/Cafeteria Services

AUDIT QUESTIONS			COMMENTS
12.14 If food preparation areas are subject to local government audit or licensing, has approved audit/license been received? Date of Audit/License:	Yes	No
12.15 Are food service areas kept clean and hygienic?	Yes	No
12.16 Are food service personnel trained in food preparation hygiene?	Yes	No
12.17 Is there a system in place to ensure that food handlers are in good health?	Yes	No
12.18 Is food kept clear of the floor areas?	Yes	No
12.19 Are food storage methods and controls adequate to prevent spoilage?	Yes	No

12c. Welfare-Medical Services

AUDIT QUESTIONS			COMMENTS
12.20 Does facility have written procedure for handling medical emergencies? Date of Issue:	Yes	No
12.21 Is common emergency medical treatment available? Explain.If there is an on-site clinic, is the medical clinic in compliance with local laws and standards?	Yes	No
12.22 Does the facility keep injury/ illness records and are they used for corrective actions?	Yes	No
12.23 Does each shift have adequate personnel trained in first aid and cardiopulmonary resuscitation (CPR)?	Yes	No
12.24 Are first aid supplies reasonably available at the facility and dormitory?	Yes	No
12.25 Does the facility have a bloodborne pathogen process?	Yes	No
12.26 Is medical waste segregated and properly disposed of?	Yes	No

� International Council of Toy Industries Ltd. 2001

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NOTE: This document is to be used in conjunction with:

Code of Business Practices

Appendix I: Methodology for Evaluating Compliance

Appendix II: Audit Checklist

Appendix IIa: Guidance Document

Appendix III: Corrective Action Plan