NTERNATIONALCOUNCILOFTOYINDUSTRIESINC

January2002INTERNATIONALCOUNCILOFTOYINDUSTRIES,INC.AppendixIIAUDITORCHECKLISTReferencestotestsinthisdocumentandtherelatedGuidanceDocumentmeantestsconductedbyfactorymanagement.1a.CompanyOverviewCompanyName:_____________________________________________________________________(English&LocalLanguage)VendorName:______________________________________________________________________(English&LocalLanguage)Address:______________________________________________________________________(English&LocalLanguage)____________________________________________________________________________________________________________________________________________Phone:Fax:_______________________________SeniorManagementRepresentativeResponsibleforICTICode:_______________________________________________________Address:________________________________________________________________________________________________________________Phone:Fax:________________________E-Mail:______________________________________________________ICTICODEOFBUSINESSPRACTICES–AppendixIIChecklist–page1of21January2002PrincipleProductsManufactured(GiveExamples):____________________________________________________________________________________NorthAmericanIndustryClassificationSystem(NAICS)CodeNumberofBusiness:_______________________________(InsertNAICSCodeNumber)1b.CompanyOrganizationPleaseattachgeneralorganizationalchart.1c.NumberofEmployees:Pleaseindicateestimatednumberofemployeesineacharea.DepartmentNumberofEmployeesAdministrative–FactoryAdministrative–OfficeEngineeringMaintenanceProductionQualityAssuranceQualityControlWarehouse/DistributionOtherTotalNumberofEmployees:1d.Language(s)Spoken:Pleaseindicateprimarylanguagesspokenbyemployees.ICTICODEOFBUSINESSPRACTICES–AppendixIIChecklist–page2of21January20021e.ProductionProcess:Pleaseindicatewhichproductionprocessesandtoolroommachinesthecompanypossesses.ProductionProcessDetailsBlowMoldingDieCastingElectronicsAssemblyFlatBeltConveyorsGeneralMetalworkingShopInjectionMoldingPlatingProcessPrintingandPackagingProcessRootingMachineRotocastingSewingMachinesSilkScreenPrintingSprayingOperationsTampoPrintingToolRoomICTICODEOFBUSINESSPRACTICES–AppendixIIChecklist–page3of21January2002UltrasonicWeldingWoodProcessingOther:1f.FloorPlan(Manufacturing,Office,and/orDormitory,asapplicable)Pleaseattachgenerallayoutofthefacility.2.WorkingHoursAUDITQUESTIONSCOMMENTS2.1Doesfacilityhaveawrittenpolicyforworkinghoursandovertimeincompliancewithlocallaw(s)?DateofIssue:__________________[]Yes[]No2.2Arelegalworkinghoursandfacilityworkinghoursmadeavailabletoallemployees?[]Yes[]No2.3Arehoursworkedadequatelydocumented(e.g.,timecards)?[]Yes[]No2.4Isovertimevoluntary?[]Yes[]No2.5Whatarethemaximumhoursworkedperday?________hours.Perweek________hoursIsthiswithinthelegalmaximumandrittenpolicyforworkhours?w[]Yes[]No2.6Whatarethemaximumovertimehoursworkedpermonth?_______hours.(Providedetailedanalysis.)Isthiswithinthelegalmaximumandwrittenpolicyforworkhours?[]Yes[]No[]N/A2.7Aretheemployeesallowedonedayoffinseven?[]Yes[]No2.8Areemployeespermittedtimeoffwithdoctor’scertificatewhensickorformaternity?[]Yes[]NoICTICODEOFBUSINESSPRACTICES–AppendixIIChecklist–page4of21January20022.9Areworkersallowedadequate:a)mealbreaks?b)personalbreaks?[]Yes[]Yes[]No[]No3.WagesandCompensationAUDITQUESTIONSCOMMENTS3.1Doesfacilityhavewrittenpolicyonwagesandcompensationwhichisincompliancewiththelocallaws?DateofIssue:___________________[]Yes[]No3.2Arelegalandcompanyminimumwageratespostedoravailabletoemployees?[]Yes[]No3.3Dowagesandcompensationmeetlegalandpolicyrequirements?MinimumHourlyRate:________MinimumOvertimeRate:_______RegularWorkDays:________RestDays:________Holidays:_________[]Yes[]NoLegalMinimums:_________HourlyRate:______________OvertimeRates:__________RegularWorkDays:_______RestDays:_______Holidays:_______3.4Arelegallyrequiredwithholdingsbeingwithheldcorrectly,andbeingpaidtotheproperagency(s)?Explain.[]Yes[]No3.5Areemployeesmadeawareofthesewithholdingsandotherdeductionspriortoemployment?[]Yes[]No3.6Aredeductionsforfoodandhousingreasonableandlegal?[]Yes[]No[]N/A3.7Aredeductionsforcompanyrovideditemsreasonableandlegal?p[]Yes[]No[]N/A3.8Arelegallyrequiredbenefitsprovided(bonus,paidvacation,mealallowances,etc.)?Describe.[]Yes[]No3.9Doemployeesreceivedetailedpaystubs?[]Yes[]No3.10Areemployeespaidinatimelymanner?[]Yes[]NoICTICODEOFBUSINESSPRACTICES–AppendixIIChecklist–page5of21January20023.11Isthepaymentofwagesmadereadilyavailabletoemployees?[]Yes[]No4.UnderageLaborAUDITQUESTIONSCOMMENTS4.1Forinformationpurposes,recordifthereisacompulsoryageforschoolattendanceinthecountry/region?Ifyes,uptowhatageisschoolcompulsory?________[]Yes[]No4.2Doesthefacilityhaveawrittenpolicyspecifyingtheyoungestageforworkershiredinthefacility?DateofIssue:___________Ifyeswhatistheminimumage?____Doesitmeetstandardrequirement?[]Yes[]Yes[]No[]No4.3Intheabsenceoflaw,doesthefacility’spolicymeettheICTIcode?[]Yes[]No4.4Isthelawandorpolicycommunicatedtoallemployees?[]Yes[]No4.5Aretheemployees’agesincompliancewitht