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

Yes

No

No

 

7.2 Is there evidence of discrimination in recruitment?

In workplace

In patterns of dismissal

Yes

Yes

Yes

No

No

No

 




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




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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