1、January 2002 INTERNATIONAL COUNCIL OF TOY INDUSTRIES, INC. Appendix II AUDITOR CHECKLIST References to tests in this document and the related Guidance Document mean tests conducted by factory management. 1a. Company Overview Company Name: _ (English & Local Language) Vendor Name: _ (English & Local
2、Language) Address: _ (English & Local Language) _ _ Phone: Fax:_ Senior Management Representative Responsible for ICTI Code: _ Address:_ _ Phone: Fax: _ _ E-Mail: _ ICTI CODE OF BUSINESS PRACTICES Appendix II Checklist page 1 of 21 January 2002 Principle Products Manufactured (Give Examples): _ Nort
3、h American Industry Classification System (NAICS) Code Number of Business:_ (Insert NAICS 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 Administrati
4、ve 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. ICTI CODE OF BUSINESS PRACTICES Appendix II Checklist page 2 of
5、 21 January 2002 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 Pack
6、aging Process Rooting Machine Rotocasting Sewing Machines Silk Screen Printing Spraying Operations Tampo Printing Tool Room ICTI CODE OF BUSINESS PRACTICES Appendix II Checklist page 3 of 21 January 2002 Ultrasonic Welding Wood Processing Other: 1f. Floor Plan (Manufacturing, Office, and/or Dormitor
7、y, 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 availa
8、ble 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 ritten policy for work hours? w Yes No 2.6 What are the ma
9、ximum 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 doctors certificate when sick or for materni
10、ty? Yes No ICTI CODE OF BUSINESS PRACTICES Appendix II Checklist page 4 of 21 January 2002 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 i
11、n 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
12、: _ 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 p
13、rior 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 rovided items reasonable and legal? p Yes No N/A 3.8 Are legally required benefits provided (bonus, paid vacation, meal allowances, etc.)? Describe. Yes No 3.9 Do employ
14、ees receive detailed paystubs? Yes No 3.10 Are employees paid in a timely manner? Yes No ICTI CODE OF BUSINESS PRACTICES Appendix II Checklist page 5 of 21 January 2002 3.11 Is the payment of wages made readily available to employees? Yes No 4. Underage Labor AUDIT QUESTIONS COMMENTS 4.1 For informa
15、tion 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 minimu
16、m age?_ Does it meet standard requirement? Yes Yes No No 4.3 In the absence of law, does the facilitys 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 wor
17、kers 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
18、 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 ICTI CODE OF BUSINESS PRACTICES Appendix II Checklist page 6 of 21 January 2002 5.4 Are employees permitted to leave employment after giving reasonable notice? Ye
19、s 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
20、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
21、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 d
22、iscipline workers? Yes No 6.6 Are unreasonable disciplinary fines used? If yes, record the fine(s) and the offense(s). Yes No ICTI CODE OF BUSINESS PRACTICES Appendix II Checklist page 7 of 21 January 2002 7. Discrimination AUDIT QUESTIONS COMMENTS 7.1 Does the facility have a written policy against
23、 discrimination? Date of Issue: _ Is the policy communicated to all? Yes Yes No No 7.2Is 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 manag
24、ement on issues of concern? Yes No 8.2 Are there employee epresentative(s) in place? r 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
25、 inutes on file? m 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
26、 8.7 Is there evidence of unequal treatment between employee representative(s) and other employees? Describe. Yes No ICTI CODE OF BUSINESS PRACTICES Appendix II Checklist page 8 of 21 January 2002 9. Facilities AUDIT QUESTIONS COMMENTS 9.1 Does facility have written policy to adopt the local laws go
27、verning 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
28、 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? Y
29、es 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? Ye
30、s No 9.10 Is there regular and systematic refuse collection? Date of Last Collection: _ Yes No ICTI CODE OF BUSINESS PRACTICES Appendix II Checklist page 9 of 21 January 2002 9.11 Has the physical and structural integrity of all buildings been professionally assessed ? This may be indicated by the f
31、actory having a “Certificate of Occupancy”. Date of Last Assessment: _ 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
32、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 availa
33、ble, 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 dequately trained? a Yes No 9.19 Are smoking rules observed? Yes No ICTI CODE OF BUSINESS PRAC
34、TICES Appendix II Checklist page 10 of 21 January 2002 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
35、 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 app
36、ropriate 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 1
37、0.8 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 trave
38、l, and without any special knowledge to open? Yes No 10.11 Does the site conduct annual emergency evacuation drills? Yes No ICTI CODE OF BUSINESS PRACTICES Appendix II Checklist page 11 of 21 January 2002 C) Housekeeping 10.12 Is trash stored in non-combustible containers and emptied on a regular ba
39、sis? 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 the areas free of excessive combustible materials ? Yes No 10.15 Are floors kept clean from spills and materials? Yes No
40、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,
41、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, cir
42、cuit 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 ICTI CODE OF BUSINESS PRACTICES Appendix II Checklist page 12 of 21 January 2002 E) Special Hazards 10.24 Are flammable material
