Appendix I: Methodology for Evaluating Compliance

While evaluating compliance, the following procedures are deemed necessary:

  • check local laws
  • conduct on-site visit/inspection
  • interview workers
  1. Child Labor

    1. Check local laws
    2. Check written factory policy and procedures
    3. Check worker's identification by random sampling
    4. Check personnel record of "questionable" young workers
    5. Interview "questionable" workers
    6. Check any other evidence

  2. Prison/Forced Labor
    1. Prison Labor
      1. Check local laws
      2. Check written factory policy and procedures
      3. Perform unannounced visit
      4. Check subcontractors list
      5. Check any other evidence
    2. Forced Labor
      1. Check local laws
      2. Interview workers
      3. Check written factory policy and procedures
      4. Check voluntary overtime record
      5. Check any other evidence

  3. Working Hours
    1. Check written factory policy and procedures
    2. Check local laws
    3. Conduct random punch card checks and compare with payroll records
    4. Interview workers
    5. Check any other evidence

  4. Wages and Compensation
    1. Check written factory policy and procedures (e.g., insurance, medical, accommodation, etc.)
    2. Check local laws
    3. Check payroll records
    4. Interview workers
    5. Check any other evidence

  5. Discrimination
    1. Check written factory policy and procedures
    2. Check local laws
    3. Check any other evidence

  6. Working Conditions
    1. Conduct on-site inspection(s)
    2. Interview workers
    3. Check written factory policy and procedures
    4. Check local laws
    5. Check injury/illness records
    6. Check any other evidence

  7. Industrial Safety
    1. Check local laws
    2. Check written factory policy and procedures
    3. Conduct on-site inspection(s)
    4. Inspect factory accident log
    5. Refer to "ICTI Fire Prevention & Emergency Preparedness Manual"
    6. Check any other evidence

International Council of Toy Industries Ltd. 2001




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

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