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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