ICTI

ethical toy
program ADVANCING ETHICAL MANUFACTURING

ICTI Ethical Toy Program

Audit Checklist
Version 3.0, March 2023
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Section 1 Audit Process

Checkpoint
Checkpoint Questions Compliance Guidance Text
No.

1.1 Transparency

Yes
1. Auditors must have full access to the factory for the purpose of the audit (e.g. documentation, areas in the facility, workers
for interview).
Zero
Has the factory allowed the audit to Tolerance Notes:
1.1.1 be conducted without denial of 1. Access to information must be under permission of factory management or accompanied by personnel authorized by the
access? factory.
On-site transparent 2. Access to workers' testimony through workers' interview should be managed in a safe way (especially handling sensitive
Critical
issues such as sexual harassment or abuse cases) with private space provided.

N/A

Yes
1. Examples of hidden audit scope include but is not limited to:
Zero a. hidden workers,
Has the factory allowed the audit to Tolerance b. hidden production sites, and
1.1.2 be conducted without intentional
c. hidden records (e.g. documents).
concealment or hidden audit scope? Critical On-site transparent

N/A

1.2 Interference

Yes

Is the whole assessment process free Zero

1.2.1 1. The whole assessment process must be free from bribery attempts of any kind.
from bribery attempts? Tolerance

N/A

Yes
1. Workers cannot be coached for audits.
Is the coaching of workers 2. Coaching examples:
1.2.2 Critical
prohibited? a. Workers are instructed to give false information (e.g. wages, working hours, living/working conditions), and
b. Workers are instructed to avoid answering certain questions or types of questions.
N/A

Audit Checklist Version 3.0 www.ethicaltoyprogram.org Section 1 Audit Process, Page 1

Section 2 Business Ethics

Checkpoint
Checkpoint Questions Compliance Guidance Text
No.

2.1 Policy

Yes
1. The Business Integrity policy needs to:
a. cover unethical behavior such as bribery, corruption, and fraud (e.g. credit card fraud);
Does the factory have a Business
2.1.1 Minor b. apply to the factory and its brokers/agents; and
Integrity policy?
c. indicate the reporting channel when fraudulent business practices occur.
N/A

Yes
Is there a designated staff member
1. The designated staff member needs to be aware of the policy for implementation.
2.1.2 responsible for implementing the Minor
2. The auditor may interview the designated staff member to assess his or her awareness of the policy.
Business Integrity policy?
N/A

2.2 Training

Yes
1. Staff who may be exposed to unethical behavior such as purchasing personnel, staff working with certification bodies.
Are staff, who may be exposed to
2. Even if the factory does not have a written policy, the designated staff must be trained on the contents (i.e. unethical
2.2.1 unethical behavior, trained on the Minor
behavior).
contents of the policy?
3. Training contents and records must be accurately maintained.
N/A

Audit Checklist Version 3.0 www.ethicaltoyprogram.org Section 2 Business Ethics, Page 2

Section 3 Employment Practices

Checkpoint
Checkpoint Questions Compliance Guidance Text
No.

3.1 Policy

1. The policy needs to:

Yes
a. be dated;
Does the factory have a responsible b. include the legal minimum working age requirement;
3.1.1 recruitment policy in line with legal Major c. include IETP minimum working age requirement, which is 15; and
and IETP requirements? d. state that the minimum working age in the factory is the legal requirement or IETP requirement, whichever is higher.
e. include but is not limited to, prevention of workers being hired with the charging of recruitment fees, under any form of forced
N/A labor or human trafficking.

1. Contents of the policy include, but are not limited to, minimum age and recruitment fee requirements.
2. At a minimum, the contents must be communicated to workers at employment orientation.
Yes 3. Other acceptable means of communication may include in the Worker Handbook, in workers contracts, or on notice boards
throughout the factory, and it must be communicated in a manner which workers are able to understand in the local legal
Are the contents of the policy made language.
3.1.2 available and effectively Major 4. Auditors must verify that the contents of the policy have been communicated to all workers (e.g. through orientation
communicated to all workers? records).
N/A 5. Workers to be notified of any changes to the contents.
6. Advisory support should be available to workers, and workers need to know where to get help and support when they need it
(e.g. through HR or Worker Services department).
7. Workers must be compensated according to appropriate hourly wage for training received.

3.2 Training

Yes 1. Designated staff must be trained to implement the responsible recruitment policy and related operation management.
2. Staff responsible for hiring and other personnel functions must be properly trained to:
Are staff responsible for hiring trained a. ensure no underage workers are hired, and
3.2.1 Major
with records maintained? b. verify age and ID validity.
c. ensure workers are not hired with the charging of recruitment fees, under any form of forced labor or human trafficking.
N/A

Audit Checklist Version 3.0 www.ethicaltoyprogram.org Section 3 Employment Practices, Page 3

Section 3 Employment Practices

Checkpoint
Checkpoint Questions Compliance Guidance Text
No.

3.3 Underage Workers

Yes 1. Underage worker means a worker whose age is lower than the factory minimum working age.
2. Minimum working age in the factory is the legal requirement or IETP requirement of 15 years old, whichever is higher.
Zero
Are underage workers prohibited in Tolerance Notes:
3.3.1
the factory? 1. If an underage worker has been hired, the factory must immediately stop them from working in the factory.
N/A 2. The factory must provide a health check for the underage worker (if they were found working on hazardous or chemical
processes, an occupational check must also be conducted).
3. The factory must proceed according to IETP Underage Worker Rescue Procedure.

1. No cases of historical underage workers have been discovered in the audit scope period.
Yes 2. Definition of historical underage workers:
Does the factory have no cases of a. workers who were below the minimum age when they were employed by the factory, but who have since reached the
3.3.2
historical underage workers? Major minimum age and are still working at the factory when the audit is conducted; or
b. workers who were below the minimum age when they were employed by the factory, but who have since left the factory. The
workers are no longer working at the factory when the audit is conducted.
N/A

3.4 Documentation

Yes

Are workers' personnel files 1. All workers' records must be accurate and traceable.
3.4.1 Critical
accurately maintained? 2. Workers' records must include a copy of workers' identification and age verification documents.

N/A

Yes

Are workers' identification 1. Auditors will sample workers and request their IDs to review for validation.
3.4.2 Critical
documents valid? 2. Invalid forms of IDs include, but are not limit to, falsified IDs, IDs belonging to other persons.

N/A

Audit Checklist Version 3.0 www.ethicaltoyprogram.org Section 3 Employment Practices, Page 4

Section 3 Employment Practices

Checkpoint
Checkpoint Questions Compliance Guidance Text
No.

3.5 Contracts
1. Labor contracts need to:
a. fulfill local legal requirements;
Yes
b. be in the local legal language;
c. be comprehensive, they must include, but are not limited to, employment conditions, rights, responsibilities, wages,
Major compensation, benefits, withholdings, deductions, and duties; and
d. include terms that are proper, they must include, but are not limited to, description of terms and conditions of employment
(including nature of work and terms of physical environment or housing) that are transparent, accurate, and understandable
N/A prior to employment.
Do workers' labor contracts meet
3.5.1 2. Original contract terms cannot be replaced, or changed, without consent from the factory and the workers affected.
regulatory and legal requirements?
3. Contracts are explained or translated free of charge accurately and thoroughly for workers who cannot read or understand.
This is done prior to signing the contracts.
4. Workers must only be required to sign the contract after all the required information that is listed has been explained.
5. A written agreement on labor rights and conditions between the factory and the worker is required, if a labor contact is not
applicable for the worker (e.g. in mainland China, dispatch workers, retired workers).

1. Workers may be required by law to enter into a labor contract within a certain period after commencing employment (e.g.
Is a labor contract signed with each
days after commencing work, completion of certain processes such as health check).
3.5.2 worker, where required and
applicable? Yes

Critical

N/A

Yes

Do workers receive the contract

3.5.3 Major 1. Each worker must receive their labor contract, signed by both parties, for their records.
signed by both parties?

N/A

Audit Checklist Version 3.0 www.ethicaltoyprogram.org Section 3 Employment Practices, Page 5

Section 3 Employment Practices

Checkpoint
Checkpoint Questions Compliance Guidance Text
No.
3.6 Homework and Cottage Work

Yes

Are homework and cottage work 1. Workers are not allowed to work outside of the factory production area (i.e. take work home or to dormitories).
3.6.1
prohibited? 2. Cottage work refers to work distributed by the factory to outsiders (e.g. villagers) for production.
Critical

N/A

3.7 Recruitment

1. The policy needs to:

a. be dated;
b. explicitly state that all workers, including foreign migrant workers, dispatch workers and agency workers must not pay fees,
Does the factory have a policy which deposits, or incur debt as part of the recruitment process;
identifies, prohibits and remediates c. include procedures to identify if workers have paid recruitment fees;
3.7.1
the charging of recruitment fees to d. have procedures on handling and remediation of violations of the policy where workers have paid unauthorized fees in their
workers? Yes recruitment process through brokers or agents; and
e. include the designated person responsible for communicating, deploying, and monitoring that the policy is enforced;
Minor 2. The policy can be part of the responsible recruitment policy.

N/A

1. The factory to validate and keep records of licenses for all dispatching companies, brokers/agents used.
Yes 2. The factory to sign and keep record of the dispatch / recruitment contract or agreement with the dispatching companies, brokers/agents
used.
Has the factory verified that any 3. The factory to ensure dispatch companies, brokers/agents used have policies on the local legal labor requirements and that they adhere
dispatching companies, recruitment to them.
3.7.2 Major
brokers, and/or agents used adhere a. The policy explicitly states that workers are hired on a voluntary basis.
to legal hiring practices? b. The policy explicitly states that all workers are not charged any fees and are not employed under any other financial or collateral
guarantee.
N/A c. This is applicable to any new or renewed contract from Jan 1st 2019.
4. The factory to monitor and keep records as labor contracts may be required by law between the dispatch company and workers.

Audit Checklist Version 3.0 www.ethicaltoyprogram.org Section 3 Employment Practices, Page 6

Section 3 Employment Practices

Checkpoint
Checkpoint Questions Compliance Guidance Text
No.

3.8 Foreign Migrant Workers

Yes
Does the employment of foreign
Zero
3.8.1 migrant workers comply with legal 1. Foreign migrant workers employed through brokers/agents or employed by the factory must comply with legal requirements.
Tolerance
requirements?
N/A

Yes
Does the factory prohibit charging
1. Any recruitment fees paid by workers during the recruitment process must be prohibited.
3.8.2 foreign migrant workers recruitment Major
related fees?
N/A

Audit Checklist Version 3.0 www.ethicaltoyprogram.org Section 3 Employment Practices, Page 7

Section 4 Special Protections

Checkpoint
Checkpoint Questions Compliance Guidance Text
No.

4.1 Young Workers

1. A young worker is defined as one above the minimum working age but below the legal age of adulthood (typically 18).
Yes
2. Where there are legal work restrictions for young and student workers, they must be followed (e.g. prohibiting working on
If young workers are present, are they
hazardous operations, or night shifts).
working on allowable assignments, as
4.1.1 Critical 3. IETP requires that young workers are:
specified by legal and IETP
a. not assigned to heavy machinery or chemical processes,
requirements?
b. not assigned to night shifts (i.e. working between 22:00 and 07:00 of the next day is prohibited), and
N/A c. provided health checks free of charge.

Yes
Does the factory keep a list of
1. The list records information accurately on young workers and their job assignments.
4.1.2 appropriate assignments for young Major
2. The list must be kept up-to-date.
workers?
N/A

Audit Checklist Version 3.0 www.ethicaltoyprogram.org Section 4 Special Protections, Page 8

Section 4 Special Protections

Checkpoint
Checkpoint Questions Compliance Guidance Text
No.

4.2 Pregnant Workers

Yes

Are pregnant workers assigned

4.2.1 Major 1. Pregnant workers are not to be assigned to labor-intensive work involving long hours standing, heavy lifting, etc.
appropriate job tasks?

N/A

Yes
Are pregnant workers given
4.2.2 additional necessary and reasonable Major
breaks?
N/A

Yes

Are female workers with

4.2.3 Major 1. Refer to legal requirements if any.
breastfeeding needs provided with
appropriate space and breaks?
N/A

Audit Checklist Version 3.0 www.ethicaltoyprogram.org Section 4 Special Protections, Page 9

Section 5 Working Hours

Checkpoint
Checkpoint Questions Compliance Guidance Text
No.

5.1 Policy

Yes
1. The policy needs to:
Does the factory have a written a. be dated;
5.1.1 working hours policy that meets IETP Major b. include working hours, working days, and overtime in line with IETP requirements; and
requirements? c. include the designated qualified person responsible for communicating, deploying, and monitoring that the policy is
N/A enforced.

1. Contents of the policy include, but are not limited to, working hours, working days and overtime.
2. At a minimum, the contents must be communicated to workers at employment orientation.
3. Other acceptable means of communication may include in the Worker Handbook, in workers contracts, or on notice boards
throughout the factory, and it must be communicated in a manner which workers are able to understand in the local legal
language.
Are the contents of the policy made 4. Even if the factory does not have a written policy, the contents (i.e. the factory's working hours, working days, and overtime)
5.1.2 available and effectively Yes still need to be communicated to workers.
communicated to all workers? 5. Auditors must verify that the contents of the policy have been communicated to all workers (e.g. through orientation
records).
Major 6. Workers to be notified of any changes to the contents.
7. Advisory support should be available to workers, and workers need to know where to get help and support when they need it
N/A (e.g. through HR or Worker Services department).
8. Workers must be compensated according to appropriate hourly wage for training received.

5.2 Documentation

Yes

Critical 1. Workers' time records must accurately reflect actual hours worked and show compensation.
Do working hour and payroll records
5.2.1
accurately reflect all time worked?
Major On-site
transparent

N/A

Audit Checklist Version 3.0 www.ethicaltoyprogram.org Section 5 Working Hours, Page 10

Section 5 Working Hours

Checkpoint
Checkpoint Questions Compliance Guidance Text
No.

Yes 1. Examples of acceptable time records:

a. time clock system (worker's signature confirmation is needed once per month),
> 20% sampled b. piece rate records (worker's signature confirmation is needed once per month),
Critical records are c. manual time recording system (worker's signature confirmation is needed once per week), or
incomplete or
with errors
d. computer recording system.
5.2.2 Are all hours worked documented? 2. Time records must be complete and include, but are not limited to:
≤ 20% sampled a. information about the worker, and
Major records are b. signature confirmation where required.
incomplete or 3. Time records must be provided for the required audit period (e.g. 12 months).
with errors
4. Time records must cover all workers in the factory.
N/A 5. The buffer time for each recording should be no more than 15 minutes.

Yes

No such
Major verification
channel exists / >
20% of sampled
workers cannot
verify or unaware
of the verification 1. Workers are able to freely verify their time records.
Are workers aware of, and able to channel 2. For electronic time cards, workers need to have the means to freely check their working hours (e.g. via a computer terminal,
5.2.3 verify, their working hours in their
printout).
time records?
3. The factory needs to ensure that all workers are aware of such verification channel.
≤ 20% of sampled
Minor workers cannot
verify or unaware
of the verification
channel

N/A

Audit Checklist Version 3.0 www.ethicaltoyprogram.org Section 5 Working Hours, Page 11

Section 5 Working Hours

Checkpoint
Checkpoint Questions Compliance Guidance Text
No.

5.3 Working Hours

Yes

Max. weekly
Critical working hours are
higher than 78
hours
Are maximum weekly working hours
5.3.1
within IETP requirements? Max. weekly
Major working hours are
higher than 72
hours, but less
than or equal to
78 hours

N/A

Audit Checklist Version 3.0 www.ethicaltoyprogram.org Section 5 Working Hours, Page 12

Section 5 Working Hours

Checkpoint
Checkpoint Questions Compliance Guidance Text
No.

5.4 Breaks

Yes

> 20% of sampled

Critical workers are not
given the day
off/1 sampled
worker has
worked more than 1. A pre-defined week refers to the factory's policy in defining the workers' work week. In the absence of a policy, the default is
Do workers receive 1 day off in a pre- 13 days Monday to Sunday.
5.4.1 consecutively
defined week? 2. Any change to the pre-defined week must be with valid reason and will be reviewed during audit (e.g. quarterly shift change).
Frequent changes are not allowed.

≤ 20% of sampled
Major workers are not
given the day off

N/A

Audit Checklist Version 3.0 www.ethicaltoyprogram.org Section 5 Working Hours, Page 13

Section 5 Working Hours

Checkpoint
Checkpoint Questions Compliance Guidance Text
No.

Yes

> 20% of sampled

Critical workers do not
receive such
breaks
Do workers receive meal breaks of at
5.4.2
least 30 minutes?
≤ 20% of sampled
Major workers do not
receive such
breaks

NA

Yes

> 20% of sampled

Critical workers do not
receive such
Do workers receive breaks of at least breaks
5.4.3 15 minutes after 6 consecutive hours
worked?
≤ 20% of sampled
Major workers do not
receive such
breaks

N/A

Audit Checklist Version 3.0 www.ethicaltoyprogram.org Section 5 Working Hours, Page 14

Section 5 Working Hours

Checkpoint
Checkpoint Questions Compliance Guidance Text
No.

Yes

> 20% of sampled

Critical workers are not
provided with
such rest / 1
sampled worker
has less than 8
Are workers provided with at least 10 hours 1. A pre-defined 24-hour cycle refers to a worker's day. The day starts when the worker's shift starts (e.g. if a worker starts
5.4.4 consecutive hours rest in a
their shift at 8:00, then the pre-defined 24-hour cycle is from 8:00 to 8:00 the next day).
predefined 24-hour cycle?
≤ 20% of sampled
workers are not
Major
provided with
such rest

N/A

Yes

Are workers allowed toilet and water

5.4.5 Critical 1. Workers are free to go to the toilet and to drink water at any time (i.e. there are no restrictions or special approval required).
breaks?

N/A

Audit Checklist Version 3.0 www.ethicaltoyprogram.org Section 5 Working Hours, Page 15

Section 6 Compensation

Checkpoint
Checkpoint Questions Compliance Guidance Text
No.

6.1 Policy

1. The policy needs to:

a. be dated;
Yes b. include wages and benefits that meet local laws and IETP requirements;
c. include minimum wage as per local legal requirements;
Does the factory have a written policy d. include any withholdings or deductions; and
6.1.1 for wages and benefits that meet Major e. include the designated qualified person responsible for communicating, deploying, and monitoring that the policy is enforced.
local laws and IETP requirements? f. include that wages for induction, training and probation periods are to be paid as required.
N/A 2. IETP requires:
a. 100% worker injury insurance coverage, and
b. wages are paid directly to workers.
3. Legally required withholdings or deductions can include, but are not limited to, taxes, retirement funds, and social insurance.

1. Contents of the policy include, but are not limited to, local legal and company minimum wage rates, withholdings, and
deductions.
2. At a minimum, the contents must be communicated to workers at employment orientation.
3. Other acceptable means of communication may include in the Worker Handbook, in workers contracts, or on notice boards
Yes throughout the factory, and it must be communicated in a manner which workers are able to understand in the local legal
Are the contents of the policy made language.
available and effectively 4. Even if the factory does not have a written policy, the contents (i.e. the factory's wages and benefits) still need to be
6.1.2 Major
communicated to all workers with communicated to workers.
advisory support made available? 5. Auditors must verify that the contents of the policy have been communicated to all workers (e.g. through orientation
N/A records).
6. Workers to be notified of any changes to the contents.
7. Advisory support should be available to workers, and workers need to know where to get help and support when they need it
(e.g. through HR or Worker Services department).
8. Workers must be compensated according to appropriate hourly wage for training received.

Audit Checklist Version 3.0 www.ethicaltoyprogram.org Section 6 Compensation, Page 16

Section 6 Compensation

Checkpoint
Checkpoint Questions Compliance Guidance Text
No.

6.2 Wages and Benefits

Yes

> 20% samples are

Critical incomplete or with
errors
1. Payroll records must include all legally required items (e.g. basic wage).
Are all wages and benefits 2. Payroll records must be provided for the required audit period (e.g. 12 months).
6.2.1
documented on payroll records? ≤ 20% samples are
3. Payroll records must cover all workers in the factory.
Major incomplete or with 4. Bank transfer records need to be available for review during audit.
errors

N/A

Yes

Do wages paid to workers meet legal 1. Wages paid cannot be lower than legal requirements.
6.2.2 Critical
requirements? 2. Wages paid cannot be lower than the amount agreed in the signed contract.

N/A

Yes
Does the factory provide 100%
1. IETP requires 100% coverage on worker injury insurance.
coverage on worker injury insurance
6.2.3 Critical 2. Legally required benefits can include, but are not limited to, annual leave, sick leave, and maternity leave
and other legally required benefits to
3. All provided benefits are in compliance with local legal requirements.
workers?
N/A

6.3 Withholdings and Deductions

Yes
1. Replacement items can include, but are not limited to, tools, personal protective equipment (PPE), and facilities.
Does the factory have a written policy
2. The policy needs to include:
6.3.1 for replacement items in the case of Minor a. item descriptions with replacement charges, and
loss or damage by workers?
b. explanation as to why workers would be required to pay such charges in the case of loss or damage.
N/A

Yes

Are deposits for factory provided Critical 1. Deposits cannot be required for factory provided items such as tools, personal protective equipment (PPE), uniforms, and
6.3.2
items prohibited? identification cards.

N/A

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Section 6 Compensation

Checkpoint
Checkpoint Questions Compliance Guidance Text
No.

Yes
1. No replacement charges can be more than the cost of the item itself.
Are withholdings or deductions
6.3.3 Critical 2. Replacement due to wear and tear or malfunction cannot be charged to workers.
reasonable?
3. The factory cannot access the worker's bank account for any reasonable withholdings or deductions.
N/A

Yes

>20% samples are not

Critical in line, not recorded, or
not paid to authority(s)
1. Legal withholdings or deductions can include, but are not limited to, taxes, retirement funds, and social insurance.
Are all legal withholdings or
2. Legally required withholdings must be recorded and provided to the relevant proper authority(s).
6.3.4 deductions recorded and paid to
3. Verification of records by auditors is required (e.g. payment slips to government authorities on taxes).
authority(s)?
Major
≤20% samples are not 4. All legal withholdings or deductions must comply with legal requirements.
in line, not recorded, or
not paid to authority(s)

N/A

Yes
1. Where the factory offers food, housing or transportation, workers are free to decide if they wish to enroll.
Are workers given the choice of 2. The total price for food and housing per paid period must be less than 50% of the legal minimum wage for the same period
Critical
6.3.5 enrollment in reasonably priced food, (excluding overtime and bonuses).
housing and transportation? 3. Workers must not be required to sign up to excessively long rental periods for accommodation or lodge excessive deposits
N/A with financial penalties for leaving employment early.

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Section 6 Compensation

Checkpoint
Checkpoint Questions Compliance Guidance Text
No.

6.4 Payroll and Pay slips

Yes
1. Workers must be paid in a timely manner as required by local law.
2. Workers must be paid no more than one month following the work period.
6.4.1 Are all workers paid on time? Critical 3. In China, resigned workers must be paid within 3 working days. For other countries, resigned workers must be paid in a
timeframe in compliance with local requirements.
N/A

Yes 1. This includes all wages and benefits which must be paid directly to the worker.
2. The factory can only carry out deposit transactions into the worker's bank account.
3. Paying workers through a recruitment agency, or any other person or group other than the worker themselves is prohibited.
6.4.2 Are workers paid directly? Critical
4. Where the local legal requirement differs from the IETP requirement, IETP will review and confirm if the compliance with the
local legal requirement is acceptable. (i.e. In China, workers are paid from their dispatching company, and the dispatching
N/A company is the legal employer that signs labor contracts with workers, which is acceptable by IETP).

1. Pay slip details need to include, where applicable:

Yes a. worker information, i.e. name, and department;
b. working hours, i.e. normal, overtime, holiday and national holiday overtime;
Are workers provided with detailed Major c. wages, i.e. normal, overtime, holiday and national holiday overtime, bonus, allowance, gross wages, and net income;
6.4.3
and accurate pay slips? d: details of the piece rate;
e. withholdings or deductions, i.e. social security, tax deductions, and fees for accommodation or meals; and
N/A f. leave, i.e. paid leave, and unpaid leave.
2. All details on the pay slips need to be accurate.

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Section 7 Disciplinary Practices

Checkpoint
Checkpoint Questions Compliance Guidance Text
No.
7.1 Policy

1. The policy needs to:

a. be dated;
b. comply with local laws on the subject of disciplinary practices;
Does the factory have a written policy Yes c. state that workers are free all forms of harassment and abuse such as verbal and mental abuse, physical coercion, corporal
for disciplinary practices detailing the punishment, intimidation, and threats;
7.1.1
handling procedures for disciplinary Minor d. have procedures on handling any disciplinary case including, but not limited to, fines, formal warning procedures, grounds for
cases? contract termination;
e. include guidance on unacceptable behavior, appropriate disciplinary actions for unacceptable behavior;
N/A f. include complaint procedures including the method of investigation and resultant actions; and
g. apply to the behavior of all workers, including supervisory and management personnel.

1. Contents of the policy include, but are not limited to, disciplinary practices and handling procedures.
2. At a minimum, the contents must be communicated to workers at employment orientation.
3. Other acceptable means of communication may include in the Worker Handbook, in workers contracts, or on notice boards
Yes
throughout the factory, and it must be communicated in a manner which workers are able to understand in the local legal
language.
Are the contents of the policy made Major 4. Even if the factory does not have a written policy, the contents (i.e. the factory's disciplinary practices and handing
7.1.2 available and effectively procedures) still need to be communicated to workers.
communicated to all workers? 5. Auditors must verify that the contents of the policy have been communicated to all workers (e.g. through orientation
N/A records).
6. Workers to be notified of any changes to the contents.
7. Advisory support should be available to workers, and workers need to know where to get help and support when they need it
(e.g. through HR or Worker Services department).
8. Workers must be compensated according to appropriate hourly wage for training received.

7.2 Training

Yes

Are supervisory staff trained on

7.2.1 Major 1. Training contents and records must be accurately maintained.
disciplinary policies and procedures?

N/A

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Section 7 Disciplinary Practices

Checkpoint
Checkpoint Questions Compliance Guidance Text
No.

7.3 Implementation

Yes
Are physical abuse, coercion, corporal
Zero
7.3.1 punishment and harassment
Tolerance
prohibited?
N/A

Yes
1. Examples of unacceptable behavior include, but are not limited to:
Is unacceptable behavior of any kind a. gestures;
7.3.2 Critical
prohibited? b. abusive language; or
c. mental and emotional abuse.
N/A

Yes
Is it prohibited to impose monetary 1. Monetary fines for disciplinary purposes must be prohibited.
7.3.3 fines on workers or demand excessive Critical 2. Examples of unreasonable economic compensation include, but are not limited to, charges which are extravagant, unethical,
economic compensation from them? unlawful or which exceed the cost (i.e. the cost of repairing/replacing damaged property).

N/A

Yes
Are security staff roles and 1. Security staff cannot execute disciplinary practices.
7.3.4 responsibilities appropriate and 2. Roles and responsibilities must be written and understood by the staff.
communicated? Minor

N/A

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Section 7 Disciplinary Practices

Checkpoint
Checkpoint Questions Compliance Guidance Text
No.

Yes

Do security staff adhere to their roles 1. Auditors will review the security staff, observe their behavior, and verify accordingly through interviews.
7.3.5 Critical
and responsibilities? 2. Security staff cannot execute disciplinary practices.

N/A

1. The factory to document investigation reports.

Yes 2. Examples of adequate measures include, but are not limited to:
Does the factory employ adequate
a. moving workers to different positions within the factory,
measures to avoid repeated instances
7.3.6 b. terminating employment of individuals who violate factory policies, and
of non-compliance in disciplinary Major c. conducting additional training to inform workers and supervisors about policies and procedures again.
practices?
3. The factory must have channels for workers to report abusive disciplinary practices to management rather than their direct
N/A supervisor.

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Section 8 Forced & Prison Labor

Checkpoint
Checkpoint Questions Compliance Guidance Text
No.

8.1 Policy

Yes
1. The policy needs to:
Does the factory have a written policy a. be dated;
8.1.1 for forced and prison labor that meets Major b. cover the scope of workers directly recruited by the factory and dispatched workers from agencies;
IETP requirements? c. cover the scope of factory facilities and subcontracting; and
d. include the designated qualified person responsible for communicating, deploying, and monitoring that the policy is enforced.
N/A

1. Contents of the policy include, but are not limited to, the scope of forced labor and different forms of practices.
2. At a minimum, the policy must be communicated to workers at employment orientation.
3. Other acceptable means of communication may include in the Worker Handbook, in workers contracts, or on notice boards
throughout the factory, and it must be communicated in a manner which workers are able to understand in the local legal
Yes
language.
Are the contents of the policy made 4. Even if the factory does not have a written policy the contents (i.e. the scope of forced labor and different forms of practices,
8.1.2 available and effectively Major prison labor is prohibited) still need to be communicated to workers.
communicated to all workers? 5. Auditors must verify that the contents of the policy have been communicated to all workers (e.g. through orientation
records).
N/A
6. Workers to be notified in advance of any changes to the policy.
7. Advisory support should be available to workers, and workers need to know where to get help and support when they need it
(e.g. through HR or Worker Services department).
8. Workers must be compensated according to appropriate hourly wage for training received.

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Section 8 Forced & Prison Labor

Checkpoint
Checkpoint Questions Compliance Guidance Text
No.

8.2 Training

1. Designated staff must be trained to implement the forced labor and prison labor prevention policy and related operation
management.
2. The factory must maintain hiring documents for all workers that affirm workers are agreeing to employment voluntarily.
Yes 3. Designated staff must be compensated according to appropriate hourly wage for training received.
Are staff responsible for hiring trained
8.2.1 Major Notes:
with records maintained?
1. Staff responsible for hiring and other personnel functions must be properly trained to:
a. ensure workers are hired of their own free will; and
N/A b. communicate, implement, and enforce the policy and practices of effectively prohibiting involuntary or forced labor;
2. Training contents and records to be accurately maintained.
3. Hiring documents must be verified as proof of voluntary employment.

8.3 Implementation

1. All workers cannot be pressured, coerced, or threatened in any way or forced to accept a job and/or maintain employment.
2. Young and student workers included.
Yes 3. Forms of forced labor may include, but are not limited to:
a. indebted workers (financial or collateral) or other forms of bondage or indenture;
Are workers free from any form of Zero b. workers subjected to physical violence;
8.3.1
forced labor? Tolerance c. workers subjected to threats to themselves or to their family; or
d. workers subjected to fear or detention.
4. If workers decide to break their contract, they cannot be physically prevented from leaving the factory.
N/A
5. Any individual worker cannot be under any form of constant surveillance (i.e. tracking of an individual's movements within the
premises at all times.)

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Section 8 Forced & Prison Labor

Checkpoint
Checkpoint Questions Compliance Guidance Text
No.

Yes

Is the withholding or confiscating of Zero

8.3.2 1. Examples of workers' belongings can include, but are not limited to, ID, passport, money, phone, and personal valuables.
workers' belongings prohibited? Tolerance

N/A

Yes

Are workers allowed freedom of Zero 1. Any individual worker cannot be under any form of constant surveillance (i.e. tracking of an individual's movements within the
8.3.3
movement during non-working hours? Tolerance premises at all times.)

N/A

Yes
1. Workers are expected to be present at their post during working hours, but their movement cannot be restricted (e.g.
Is the intentional retention of workers Zero workers must not be locked within the workshop).
8.3.4
within certain areas prohibited? Tolerance 2. Any individual worker cannot be under any form of constant surveillance (i.e. tracking of an individual's movements within the
premises at all times.)
N/A

Yes 1. Curfew instructed by local government in the case of emergencies is acceptable.

2. Factories can take security measures for the sake of residents safety, such as resident registration and ID verification after
certain hours.
8.3.5 Is unreasonable curfew prohibited? Critical 3. It is recognized that reasonable curfew times may be in place for the safety consideration of the residents, workers need to
be able to exit and re-enter the dormitory at will during the curfew time.
N/A 4. Any individual worker cannot be under any form of constant surveillance (i.e. tracking of an individual's movements within the
premises at all times.)

Yes
1. Reasonable notice period of resignation is the length of interval between payments to the worker, i.e. if workers are paid
every 30 days, 30 days would constitute reasonable notice by either party.
8.3.6 Are workers free to resign? Critical
2. The factory must not withhold wages or benefits to retain workers.
3. Workers must be paid for all time worked as well as accrued leave and benefits until termination of employment.
N/A

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Section 8 Forced & Prison Labor

Checkpoint
Checkpoint Questions Compliance Guidance Text
No.

Yes

Are workers informed of overtime 1. Workers must be informed of overtime expectations and procedures during the hiring process.
8.3.7 Major
expectations and procedures? 2. The overtime procedures, including the opt-out procedure, must be documented.

N/A

Yes

Zero Overtime work is not

1. Overtime work assignments must be voluntary.
Tolerance voluntary
2. Workers must not be asked to seek permission or approval if they do not want overtime work assignments.
8.3.8 Is forced overtime prohibited? 3. It is acceptable for workers to notify the factory, without permission or approval of any kind required , to opt-out of overtime
Workers seek permission work.
Critical to opt out of overtime 4. Verbal confirmation with the line supervisor can be regarded as an acceptable way to opt-out of overtime work.
work

N/A

Yes
1. Prison labor includes, but is not limited to:
Is prison labor and rehabilitation Zero a. using prison labor to carry out production in the factory, or
8.3.9
program labor prohibited? Tolerance b. subcontracting to prisons or facilities where prison labor is used.
2. Drug and alcohol rehabilitation program labors, or such programs acting as labor broker/agent are prohibited.
N/A

8.4 Human Trafficking

Yes
1. Human trafficking activity includes, but is not limited to, the recruitment, transportation, transferring, harboring or receipt of
persons by threat or use of force, coercion, abduction, fraud, deception, abuse of power or vulnerability, or giving payments or
Is human trafficking activity Zero
8.4.1 benefits to a person in control of the victim, for the purpose of exploitation, which includes forced labor and slavery.
prohibited? Tolerance 2. The factory needs to ensure recruitment process must be free from human trafficking activities.
N/A

Audit Checklist Version 3.0 www.ethicaltoyprogram.org Section 8 Forced & Prison Labor, Page 26
Section 9 Discrimination

Checkpoint
Checkpoint Questions Compliance Guidance Text
No.

9.1 Policy

1. The policy needs to:

a. be dated;
Yes b. comply with local laws and IETP requirements;
c. include discrimination in hiring, compensation, access to training, promotion, termination of employment, retirement, or any
Does the factory have a written policy
other aspect of employment based on race, caste, nationality, religion, age, disability, gender, marital status, pregnancy, sexual
9.1.1 for discrimination that meets legal Minor
orientation, union membership, or political affiliation or any other protected status;
and IETP requirements?
d. include the designated qualified person responsible for communicating, deploying, and monitoring that the policy is enforced;
N/A e. include a procedure for handling violations and remediation; and
f. be posted in local legal language.
2. The factory should have access to legal requirements on the subject of discrimination in the workplace.

Yes 1. Contents include but, are not limited to, discrimination.

2. At a minimum, the policy must be communicated to workers at employment orientation.
3. Other acceptable means of communication may include in the Worker Handbook, in workers contracts, or on notice boards
throughout the factory, and it must be communicated in a manner which workers are able to understand in the local legal
Major language.
4. Even if the factory does not have a written policy, the contents (i.e. discrimination of any kind is not permitted) still need to be
Are the contents of the policy made
communicated to workers.
9.1.2 available and effectively
5. Auditors must verify that the contents of the policy have been communicated to all workers (e.g. through orientation
communicated to all workers? N/A
records).
6. Workers to be notified of any changes to the contents.
7. Advisory support should be available to workers, and workers need to know where to get help and support when they need it
(e.g. through HR or Worker Services department).
8. Workers must be compensated according to appropriate hourly wage for training received.
9. If updated, the contents must be communicated with recruitment brokers and agents (if applicable).

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Section 9 Discrimination

Checkpoint
Checkpoint Questions Compliance Guidance Text
No.

9.2 Implementation

Yes
1. The factory adheres to legal requirements against discriminatory employment.
Is the factory free from
9.2.1 Critical 2. Training records, recruitment documents, promotion and demotion records, termination records, and complaint records to be
discrimination?
well maintained.
N/A

9.3 Reporting Mechanism

Yes
Is there an effective reporting
1. Reporting mechanisms for cases of discrimination which allow workers to alert and engage management to be developed in
mechanism in place which allows
9.3.1 Major an effective way.
workers to report concerns directly to
2. Traceability of report records and improvement progress shall be verified.
management?
N/A

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Section 10 Grievance Mechanisms

Checkpoint
Checkpoint Questions Compliance Guidance Text
No.

10.1 Policy

1. The policy needs to:

Yes a. be dated;
Does the factory have a written
b. include the right of workers to exercise their rights of freedom of association and collective bargaining;
policy on workers' rights in line with
10.1.1 c. include the designated qualified person responsible for communicating, deploying, and monitoring that the policy is
legal and IETP requirements? Minor
enforced; and
d. be posted in the local legal language.
N/A 2. The factory should have access to local laws on the subject of worker representation in the workplace.

1. Contents of the policy include, but are not limited to, workers' rights.
2. At a minimum, the policy must be communicated to workers at employment orientation.
3. Other acceptable means of communication may include in the Worker Handbook, in workers contracts, or on notice boards
throughout the factory, and it must be communicated in a manner which workers are able to understand in the local legal
Yes language.
Are the contents of the policy made 4. Even if the factory does not have a written policy, the contents (i.e. workers' rights) still need to be communicated to
10.1.2 available and effectively workers.
communicated to all workers? Major 5. Auditors must verify that the contents of the policy have been communicated to all workers (e.g. through orientation
records).
N/A 6. Workers to be notified in advance of any changes to the policy.
7. Advisory support should be available to workers, and workers need to know where to get help and support when they need it
(e.g. through HR or Worker Services department).
8. Workers must be compensated according to appropriate hourly wage for training received.

10.2 Employee Representation

1. Examples of effective communication channels to raise issues or concerns include, but are not limited to:
Yes a. a worker grievance procedure;
b. a physical complaint box which workers can easily reach at anytime;
Do workers have effective
c. an electronic mailbox, which workers can email, can be alternative form of complaint channel; or
communication channels with Critical No communication channel
10.2.1 d. worker representatives.
management and aware of such
2. At a minimum, during employee orientation workers should be made aware of the available communication channel(s).
means?
Major Ineffective communication 3. Ineffective communication can mean that there is a communication channel in place but it is not effectively used or
communicated (e.g. workers are not aware of the channel).
4. Workers should receive a response in a timely manner depending on the urgency and severity of the issues raised.
N/A

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Section 10 Grievance Mechanisms

Checkpoint
Checkpoint Questions Compliance Guidance Text
No.

Yes

Are there freely selected worker 1. Worker representatives are freely chosen, and participate voluntarily for the purpose of communicating with management.
10.2.2 Minor
representatives in place? 2. Worker representatives need to represent the entire factory population.

N/A

Yes

Are worker representatives treated

10.2.3 Minor 1. Worker representatives must be treated the same as other workers.
the same as other workers?

N/A

Yes

Are there management

10.2.4 Minor 1. Management representatives are responsible for communicating with worker representatives and workers.
representatives in place?

N/A

Yes

Are regular meetings scheduled with 1. Meetings to be scheduled between management and worker representatives on a regular basis, at least quarterly.
10.2.5 Major
minutes recorded? 2. Meeting minutes to be kept on file in the factory.

N/A

Yes
1. Examples of ways workers can raise issues or concerns include, but are not limited to:
Are effective actions taken when a. a worker grievance procedure, or
10.2.6 Major
issues are raised by workers? b. a suggestion system.
2. There should be objective evidence that management takes appropriate action on such matters.
N/A

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Section 10 Grievance Mechanisms

Checkpoint
Checkpoint Questions Compliance Guidance Text
No.

Yes

Are worker representatives aware of 1. Worker representatives need to be made aware of IETP requirements (i.e. working hours, wages, forced labor, overtime,
10.2.7 Minor
IETP requirements? employee representation).

N/A

10.3 Freedom of Association

1. Examples of unreasonable management intervention include, but are not limited to:
Yes
a. factory management or personnel interfering with or restricting union activities without significant rationale; or
Are union activities free from b. workers who have participated in union activities such as labor strike subsequently being punished in any way, dismissed, or
10.3.1 unreasonable management Critical having their wages, normal work hours, or benefits reduced.
intervention or punishment?
N/A

10.4 Worker Helpline

Yes

1. Helpline Cards and/or printed Helpline Card contents must be distributed to all workers.
Are workers given information on the Minor
10.4.1 2. Current and up-to-date information of the IETP Helpline must be displayed in the factory (e.g. Helpline Posters).
IETP Worker Helpline?
3. This applies to the countries and regions where Helpline Cards and Posters are distributed by IETP.
N/A

1. Any modification for the purpose of providing misleading information is not permitted.
Yes 2. This applies to the countries and regions where Helpline Cards and Posters are distributed by IETP.

Are IETP Helpline Cards and Posters Critical

10.4.2
free from alteration?

N/A

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Section 11 Facilities

Checkpoint
Checkpoint Questions Compliance Guidance Text
No.

11.1 Policy

Yes 1. The factory needs to have access to legal requirements.

Does the factory have a written
2. The factory needs to have a system to remain current with the legal requirements.
policy/policy statement to adopt
Major 3. The factory needs to develop a policy statement on the subjects of environmental, health, safety and working conditions,
11.1.1 legal requirements governing the
indicating management’s commitment to follow legal requirements at a minimum.
environmental, health, safety and
4. The policy statement must be accessible to workers.
working conditions in its facilities? N/A 5. The policy statement needs to be signed by the senior management of the factory.

Yes

Is there a senior management 1. There needs to be at least one senior management representative responsible for matters of health, safety, welfare, and
Major
11.1.2 representative responsible for health, general facilities.
safety, welfare, and general facilities? 2. Workers need to know who the representative is for matters of health, safety, welfare and general facilities.
N/A

11.2 Emergency Communication

Yes
1. Effective communication is necessary as a means of alerting occupants of an emergency, and as a way to mobilize external
emergency services such as a fire department or brigade, police, ambulance, etc.
a. Means of communication need to be available throughout the factory in accessible locations.
Is an effective means of Major b. Emergency telephone numbers to be posted along with directions for use of the communications system in the event of an
11.2.1 communication available for internal emergency.
and external emergency alerts? 2. Workers to be trained in the proper method of using the communication systems available in the factory.
3. Workers need to know how to raise the alarm internally, and designated workers need to be trained in further
N/A communications.
4. Workers must be compensated according to appropriate hourly wage for training received.

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Section 11 Facilities

Checkpoint
Checkpoint Questions Compliance Guidance Text
No.

11.3 Factory Security

Yes 1. Security guards must be trained on:

a. the safety policy, and be able to identify safety violations once detected;
Are security guards effectively and b. procedures to handle policy violations (i.e. workers violating the safety policy);
11.3.1 Major
adequately trained? c. emergency response and protection of facilities from unauthorized entry.
2. Training to be monitored for effectiveness.
N/A 3. Training records to be kept for review during audit.

Yes
1. Factory production areas such as production lines, manufacturing areas, and warehouses prohibit children from entering.
2. In this context children does not refer to underage workers. Examples include, but are not limited to, a young family member
Are children prohibited from entering of a worker who may live in the dormitory of the factory.
11.3.2 factory production areas and Critical 3. The passage of the worker's young family member cannot go through the factory production areas or warehouses.
warehouses? 4. Children must be accompanied by a factory representative at all times when within the factory area (i.e. passage outside
production areas, warehouses)
5. Children must not perform any type of work within the factory or dormitory areas.
N/A

11.4 Building Safety

Yes 1. If there is reasonable doubt concerning the integrity of the building(s) (i.e. major cracks or structural concerns), the factory
will be requested to show proof of a separate assessment by a certified professional or related government body to verify the
structure's safety. Auditor will assess all buildings in the factory and dormitory.
2. Cracks or other potential structural concerns will be photographed and recorded in the audit.
Has the physical and structural
Critical 3. Besides visually checking deficiencies, actual measurements shall be made on significant findings.
integrity of all buildings been
11.4.1 4. A copy of assessment results must be maintained on file by site management.
professionally assessed when there is
reasonable concern?
Notes:
N/A 1. The physical condition of buildings and surrounding property such as walls, floors, driveways, sidewalks, etc., must be well
maintained and kept free of damage which can cause personal injury.
2. Holes, uneven surfaces, and cracks can cause hazards if left in disrepair and can be indicative of structural integrity issues.

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Section 11 Facilities

Checkpoint
Checkpoint Questions Compliance Guidance Text
No.

Yes

Critical Any floor exceeding limit 1. Load limits for floors must be strictly followed.
2. The weight of materials, machinery, equipment, forklifts, people, etc., need to be analyzed to determine loading compliance.
Are allowable floor loading weights
11.4.2 3. Carried loads must be within the requirements, it's recommended that heavy machinery such as injection presses, metal
determined, posted, and adhered to? Minor Missing signage
casting machines, etc., are located on the ground floor.
4. Allowable floor-loading limits must be posted on each floor.
N/A

11.5 Housekeeping

Yes
1. The work environment must be safe, clean, and orderly.
Are factory areas clean and
11.5.1 Major 2. House keeping includes, but is not limited to, proper equipment maintenance, established inspection routines, facility
maintained in good condition?
structure maintenance, and proper fire prevention.
N/A

Yes

1. Housekeeping inspections must be conducted for all areas on a periodic basis.

Minor 2. Inspection records must be accurately maintained and available for review during audit, the records should include:
Are housekeeping inspections
11.5.2 a. date and time of the inspection,
conducted?
N/A b. information on the personnel who conducted the inspection, and
c. issues identified during inspections, and whether or not the issues were corrected.

Yes

1. Issues identified during the inspection are corrected and a corrective action plan (CAP), with the root cause identified and
Are housekeeping issues rectified Minor practices to be followed to prevent future issues, put in place.
11.5.3
with a corrective action plan? 2. The factory is encouraged to document all issues found along with root causes so that they can be corrected and prevented
N/A in the future through an established management system.

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Section 11 Facilities

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Checkpoint Questions Compliance Guidance Text
No.

1. Goods such as pallets, combustible materials, cartons or un-cartoned goods must be stored properly.
Yes 2. Examples of proper storage include, but are not limited to:
a. pallets must be stored in safe, stable stacks, of proper height in dedicated locations;
Are materials properly stored inside
11.5.4 Major b. storage practices include proper stacking and placement of cartons and un-cartoned goods;
and outside of the building?
c. goods stored outside must be covered; and
d. material must be clearly labelled on storage containers with correct contents indication together with notes for proper
N/A handling methods if necessary.

Yes

Is refuse properly managed and Minor 1. Refuse must be placed in dedicated container with cover.
11.5.5
promptly removed? 2. Refuse must be collected and removed from the factory on a regular basis and sent to an appropriate location for disposal.

N/A

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Section 11 Facilities

Checkpoint
Checkpoint Questions Compliance Guidance Text
No.

11.6 Working Conditions

1. The factory has established a hot/cold stress mediation program that references legal requirements.
2. The hot/cold stress mediation program is carried out according to the conditions.
3. Temperatures within the limits of the chart are deemed safe.
4. The factory need to keep temperatures within these limits by mechanical means such as air conditioners or heaters.
5. The factory can consider administrative controls such as production schedule re-arrangement.
6. Work practice controls such as special personal protective equipment and clothing may also be used to reduce temperature
stress but should be considered as the least effective means of control.
7. Safe ambient air temperatures should be provided in occupied areas of the factory.
Yes

Major

N/A
Does the factory have hot/cold
11.6.1
stress mediation program?

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Section 11 Facilities

Checkpoint
Checkpoint Questions Compliance Guidance Text
No.

1. Adequate ventilation to be provided in work areas.

2. Ventilation may be in the form of general ventilation or local exhaust ventilation.
a. Where airborne contaminants are being generated, local exhaust ventilation should be provided to capture and remove the
contaminant before it is released into the work environment. Airborne contaminants include, but are not limited to, dusts, vapors, gases,
and fumes.
b. When airborne contaminants are not being generated, general dilution ventilation should be provided to provide fresh air from
Yes outside.
3. If there is any concern that ventilation is not adequate, measurements can be taken if necessary to ensure that the ventilation and
concentrations are meeting one of the following two limits:
Major
a. For Air Conditioned or Forced Air Heated Premises - Outside Air Per Occupant:
• FUNCTIONAL AREA MINIMUM Cubic Feet Per Minute (CFM) per PERSON
Do general ventilation controls N/A General Office 20 cfm (10 L/s)
11.6.2
provide a safe working environment? General Factory 14 cfm (8 L/s)
Restrooms 40 cfm (24 L/s) per w/c or urinal
Warehouse 14 cfm (8 L/s)
Cafeteria 14 cfm (8 L/s)
Kitchen/Food Preparation 14 cfm (8 L/s)
b. Indoor Air Quality Monitoring:
• Measurements should be taken annually in the course of a normal working day to ensure that the concentrations of specific
contaminants are below threshold limits in the general office, general factory, restrooms, warehouse, cafeteria, and kitchen/food
preparation areas:
• CONTAMINANT MAXIMUM CONCENTRATION
Carbon dioxide (CO2) 1000 ppm
Carbon monoxide (CO) 9 ppm

Yes

1. Lighting for work areas to be adequate and in line with legal requirements, or in their absence, in line with IETP requirements.
11.6.3 Is lighting for work areas adequate? Minor 2. IETP lighting requirements can be found in IETP Audit Checklist Appendix I – Lighting Levels Guideline.

N/A

Yes
Have any citations or penalties for 1. Records of any violations, penalties, or citations of the factory not being in compliance with legal requirements on working
violations of laws on working Critical conditions must show objective evidence that they have been rectified within the required time frame established by the citing
11.6.4
conditions in the past 12 months authority.
been rectified? 2. Periodic follow-ups by management must be made to prevent future violations.
N/A

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Section 11 Facilities

Checkpoint
Checkpoint Questions Compliance Guidance Text
No.

Yes
Any citations or penalties for
violations of laws on working
11.6.5 conditions in the past 12 months Major
were reported to IETP within 48
hours?
N/A

11.7 Drinking Water

Yes

Critical Workers do not have access 1. Workers must have easy access to potable water for drinking purposes.
Do workers have access to clean
11.7.1 2. Potable drinking water dispensers are designed, constructed, and serviced so that sanitary conditions are maintained.
drinking water?
Major
Water provided is not 3. Containers for drinking water must be covered to protect against contamination of any kind.
protected

N/A

Yes
1. Testing for chemical detection levels according to the local standards must be conducted by a qualified entity on at least an
Major annual basis.
2. Qualified entities include the local water authorities or an independent testing company qualified by the authorities.
Is potable drinking water tested
11.7.2 3. Sampling and testing must be conducted on at least one drinking water tap per production facility, dormitory, and canteen.
periodically? N/A
4. Pass result or certification to be maintained for review during audit.
5. In the absence of a local standard, the factory needs to comply with the standards found in IETP Audit Checklist Appendix
II - Potable Water Quality Standard.

11.8 Sanitation

Yes

Are adequate toilet facilities Critical 1. Toilet facilities to be provided with an adequate quantity for each gender based on the number of workers of each gender.
11.8.1
available? Local regulations to be followed at a minimum.

N/A

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Section 11 Facilities

Checkpoint
Checkpoint Questions Compliance Guidance Text
No.

Yes
1. Toilet doors and side walls must be high enough to provide privacy.
Are toilet facilities maintained in good
11.8.2 Major 2. Toilet door locks need to be functional and well maintained.
condition?
3. Toilets must be clean, functioning, well-lit, well-ventilated, and stocked with toilet paper.

N/A

Yes
Are hand washing facilities available,
11.8.3 functional, sanitary, and located Major 1. Hand drying facility including paper towel or dryer is recommended.
within the toilet facilities area?
N/A

11.9 Medical Safeguards

Yes
1. The factory must have written procedures for handling medical emergencies in compliance with local laws, or where local
Does the factory have written
laws do not exist, based on the advice of local medical authorities.
11.9.1 procedures for handling medical Major
2. The procedure must include provisions for providing emergency medical treatment, training for first-aid personnel,
emergencies?
management and the location of first-aid supplies.
N/A

Yes
1. The in-house medical service needs to be staffed by certified medical personnel and needs to operate under legal
Is an on-site medical clinic or nearby
Major requirements.
11.9.2 public emergency medical treatment
2. If an in-house medical service is not available, a nearby hospital, medical center, or clinic must be located within a reasonable
facility available?
distance of less than 30 minutes travel time.
N/A

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1. Designated personnel must have valid first aid and cardiopulmonary resuscitation (CPR) certification.
Yes 2. Refresher training must be provided to designated personnel per certificate's validation period or at least every 3 years,
Does each shift have adequate whichever is stricter. If there is no validation period, annual training is required.
certified personnel in first aid and 3. Refresher training must be conducted by a certified trainer.
11.9.3 Major
cardiopulmonary resuscitation 4. Number of certified personnel must be adequate and in line with legal requirements, and at least 2 per shift.
(CPR)? 5. The number of certified personnel available must increase in proportion to factory size and number of workers, they must
N/A account for 1% of the total workforce.

1. First-aid supplies must be provided in a highly visible, accessible location.

Yes 2. If first-aid supplies are locked, workers must be able to access them within 3 minutes.
3. At a minimum, one first-aid kit per floor is required.
Are first-aid supplies reasonably Major 4. First-aid kits must contain basic supplies such as bandages, cotton balls, scissors, disposable gloves, adhesive tape, eyewash
11.9.4 available in the production facility and solution, antiseptic ointment and temperature or temperature related injuries' supplies (e.g. scald ointment, hot/cold packs,
dormitory? thermometer).
N/A 5. First-aid supplies must be sufficient and valid.
6. No medication intended to be taken orally is to be found in the first-aid kit.
7. First-aid stations must be posted with a first-aid sign.

Yes
1. The factory must segregate all medical waste from other waste.
Is medical waste segregated and 2. The factory must dispose of all medical waste in a manner that prevents accidental contact or contamination.
11.9.5 Minor
properly disposed of? 3. The disposal of needles must be into containers labeled to indicate that they contain sharp objects.
4. Blood contaminated waste disposal must be in accordance with legal requirements.
N/A

11.10 Vehicles

Yes
Are appropriate signs and visual-aid
1. Stop signs, mirrors, and speed limit signs must be posted in areas where vehicle and pedestrian traffic cross and where lines
11.10.1 tools used to help traffic awareness Minor
of sight are blocked.
for both vehicle and pedestrians?
N/A

Yes

Are trailers or containers secured

11.10.2 Minor 1. Dock-locks may be used to restrain trailers.
from movement by wheel locks?

N/A

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12.1 Policy

1. The emergency preparedness plan needs to be dated and include procedures to be followed in the event of an emergency.
2. According to the area where the factory is located, incidents for which emergency preparedness is required may include, but
are not limited to, fire, typhoon, hurricane, tsunami, flooding, earthquake, chemical emergency, or food poisoning.
3. The Emergency Preparedness Plan needs to include:
a. factory information describing key elements of the factory (e.g. location of chemical storage and power generator) – this is
useful for new workers and response agencies, such as local fire departments;
b. information so that workers know how to report an emergency – this may include the activation of pull alarms or notifying the
factory security center, consideration need to be given to methods of notifying local agencies such as the fire department;
Yes c. alarms and signals to alert workers must be identified – this may include audio alarms, highly visible lights, and/or public-
address systems, consideration needs to be given to the potential for loss of electrical power in the event of an emergency and
Does the factory have a written alternatives and “back-up” to mains powered alarms must be in place, management and workers need know what actions to
Major
emergency preparedness plan to take when an emergency alarm is activated;
12.1.1 handle natural disasters, fire d. all emergency phone numbers need to be identified, listed in the emergency preparedness plan, and posted – emergency
emergencies, and industrial N/A phone numbers need to include any factory numbers, local agencies, and any emergency-response personnel;
accidents? e. all responsibilities must be clearly defined for management and workers – management needs to determine its strategy for
responding to emergencies;
f. a chain of command must be established to minimize any confusion – personnel need to be identified to coordinate the
emergency-response actions;
g. detection and alarm systems must be identified and described, testing and preventative maintenance procedures must be
included;
h. assembly areas need to be established and safe from hazards and clear of emergency vehicle traffic and activities;
i. search and rescue procedures need to be established, only trained and authorized personnel can attempt search and rescue;
and
j. procedures for shutting down equipment during emergencies must be established, equipment operators must know the
proper actions to take during an emergency.

Yes
1. The fire prevention policy needs to include:
Does the factory have a written fire Major a. procedures for the storage and handling of combustible/flammable materials;
12.1.2
prevention policy? b. housekeeping, and maintenance of fire fighting equipment; and
c. fire hazard identification.
N/A

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Yes 1. Managers, supervisors, staff and workers must be knowledgeable and need to be informed of the fire prevention procedures.
2. All workers must understand basic emergency action plans including alarm signals, emergency shutdown, primary/secondary
Are employees trained on emergency Major exit routes, and assembly areas pertaining to their work assignments.
12.1.3
preparedness and fire prevention? 3. All workers must know how to safely evacuate their work areas and factory common areas during an emergency.
4. Training contents and records must be accurately maintained.
N/A 5. Workers must be compensated according to appropriate hourly wage for training received.

12.2 Emergency Response Personnel

Yes
1. Designated emergency response personnel must be trained to notify workers of an emergency, report emergencies to the
Critical No trained emergency fire department or designated emergency response organization, assist in the evacuation of workers, and verify that all workers
response personnel
have exited the building.
Have sufficient Emergency Response
2. Designated emergency response personnel must be trained annually on the use of fire extinguishers.
Personnel been designated and
3. At least two emergency response personnel must be available per shift and there must be one per floor.
12.2.1 trained to administer the fire Insufficient number of
Major 4. Emergency response personnel must be easily recognizable and identifiable during an emergency, methods may include, but
prevention procedures and emergency response
personnel / they cannot are not limited to:
emergency preparedness plans?
be easily recognized a. armbands,
b. visible badges or flags, or
c. uniforms of a different color to other workers.

N/A

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12.3 Fire Acceptance Certificate

Yes 1. The factory is required to have a valid Fire Acceptance Certificate as per legal requirements.
2. The Fire Acceptance Certificate must be renewed where there is any major renovation to existing buildings or construction of
additional building structure to be considered valid.
3. If the factory is missing a Fire Acceptance Certificate or an invalid Certificate, the factory must have the fire safety system
Invalid or missing Fire
Critical Acceptance Certificate inspected by an external qualified entity on an annual basis or at a frequency recommended by external qualified entity,
Does the factory have
and inadequate or missing whichever is stricter.
their fire safety system fire safety system 4. For factories that hold a valid Fire Acceptance Certificate, the fire safety system must be inspected by an external qualified
adequately inspected by inspection entity periodically to ensure effective use, at least on a biennial basis or at a frequency recommended by external qualified
a qualified entity
12.3.1 entity, whichever is stricter.
according to the validity
of their Fire Acceptance Major
Valid Fire Acceptance
Certificate and Notes:
Certificate?
inadequate or missing fire 1. Apply to all factories including ones where certificate was never issued. (i.e. factory built prior to 1998 in China).
safety system inspection 2. The external inspection entity may be a county or higher level governmental fire department representative, or an
independent fire inspection company qualified by the government. The factory to provide a copy of the qualification certificate
issued by government for review.
N/A 3. The contents of the external inspection must at a minimum include the fire extinguishers, fire alarm system, fire hydrant (if
installed), sprinkler system (if installed) and fire detection system (if installed).

12.4 Exit and Evacuation

1. Evacuation paths include any passage leading to an emergency exit including stairwells.
2. Emergency exits and evacuation paths must be built according to legal requirements (i.e. width, design, number required).
Yes
3. If legal requirements do not exist, the evacuation path must be at least 1 meter wide.
4. Evacuation paths can not be routed through boiler rooms and other high hazard areas.
Are emergency exits and evacuation Critical 5. The number of emergency exits must be in line with legal requirements or, in their absence, two exits must be provided per
12.4.1
paths built in line with legal floor.
requirements? N/A 6. Emergency exits on each floor must be reasonably located (e.g. appropriate distance apart, placed in opposition to each
other).
7. A landing must be present at the emergency exit in line with legal requirements. A landing is a level walking surface between
the doorframe and the stairs.

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Yes 1. Evacuation paths must be illuminated in an emergency to assist people in traveling to emergency exits (i.e. emergency lights
providing illumination during an emergency)
Critical 2. Evacuation paths must be clearly identifiable and clearly marked signs that are visible in all lighting conditions (i.e. self
illuminated)
Are emergency exits and evacuation
12.4.2 Insufficient inspections 3. Floor markings and arrows are often used to direct people to the emergency exit.
paths clearly marked, and illuminated? Major 4. Emergency exits must be marked with an illuminated sign at all times.
5. The factory is expected to conduct regular inspections, at a minimum on a monthly basis.
N/A 6. Inspection records must be accurately maintained.
7. Inspection records must include inspector(s) details, dates and testing result.

Yes
1. Emergency exits and evacuation paths must be clear from obstruction (in addition to physical objects obstructing exits or
Critical paths, obstruction can include locking of any kind)
Are emergency exits and evacuation 2. Each worker must have easy access to emergency exits (e.g. work stations must not be surrounded by goods preventing easy
12.4.3
paths clear from obstruction? access to emergency exits).
Major Insufficient inspections 3. There needs to be proper access for fire department vehicles and other fire-fighting equipment in the factory premises.
4. The factory is expected to conduct regular inspections, at a minimum on a weekly basis.
N/A

Yes

Are non-emergency exits marked 1. Doors, passageways, etc. which do not lead to emergency exit or exits not classified or designed as emergency exits must be
12.4.4 Major
appropriately? appropriately marked with a message such as "NOT EMERGENCY EXIT" or similar.

N/A

Yes
Are emergency lights installed in line
12.4.5 with legal requirements? Critical 1. Emergency lights must be installed in line with legal requirements (i.e. lumens, location, power supply).

N/A

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Yes

Critical
Are all emergency lights installed 1. At a minimum, the factory is expected to conduct monthly inspections. Inspection records must be accurately maintained.
12.4.6
functional? 2. Inspection records must include inspector(s) details, dates and testing result.
Major Insufficient inspections

N/A

1. Emergency exit doors need to be able to open freely in the direction of evacuation with a single motion (e.g. a door
Yes knob/handle to turn then push open).
2. Unacceptable exit door examples include, but are not limited to, a glass to be broken or button to press before opening.
Are emergency exit doors Critical 3. Emergency exits doors must be side-hinged.
12.4.7 appropriate, operable and can be 4. Revolving doors are not acceptable.
opened with a single motion? 5. Sliding and rolling doors are not acceptable.
N/A 6. Inward opening doors are not acceptable.
7. Acceptance by local legal requirements differ from IETP requirements above will be reviewed by IETP. (i.e. In China, certain
warehouse types located on ground floor, sliding doors emergency exits are excepted).

Yes 1. Evacuation floor plan needs to indicate the following up-to-date key information:
a. indication of current location (e.g. "you are here" marking),
b. emergency paths and exit doors,
Major c. exits,
Are evacuation floor plans with d. location of firefighting equipment; and
12.4.8
required information posted? e. designated safe assembly locations outside the building. (i.e. avoid location such as driving lane, chemical warehouse, loading
N/A area)
2. The evacuation floor plan must be displayed in all major areas (e.g. production shop, production floor, warehouse, injection
department, material warehouse) in a highly visible position.
3. Instructions must be in the local legal language which workers can read and understand.

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12.5 Fire Fighting System

Yes
1. The number of fire extinguishers must be in line with legal requirements.
Is the number of functional and
2. All extinguishers must be functional.
12.5.1. appropriate fire extinguishers in line Critical
3. The factory must ensure correct fire extinguisher types are used in specific areas in the factory (i.e. extinguisher for
with legal requirements?
flammable liquids or gases can be different).
N/A

Yes 1. Fire extinguishers need to be installed:

a. according to legal requirements;
b. high enough above floor level to be visible and identifiable;
Are fire extinguishers properly Major
12.5.2. c. safely, avoiding hazards like tipping and falling;
installed?
d. with a travel distance less than 23 meters (75 feet) or the legal requirement, whichever is lower; and
N/A e. in an upright position up to 1.5 meters (4.6 feet) to the top of the extinguishers or legal requirement, whichever is lower.
2. Fire extinguisher location must be marked and posted in visible areas.

Yes

Are fire extinguishers clear from

12.5.3. Critical 1. The factory is expected to conduct regular inspections.
obstruction?

N/A

Yes

Are fire extinguishers fully charged 1. A system of inspecting, maintaining, and recharging of all portable fire extinguishers must be in place.
12.5.4. Major
and inspected monthly? 2. Extinguishers must be inspected each month and recorded on a tag attached to each extinguisher.

N/A

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Yes

Is the sprinkler and fire hydrant

12.5.5. Critical
system functional?

N/A

Yes
Is the sprinkler and fire hydrant
12.5.6. Critical
system clear from obstructions?

N/A

Yes

Is the sprinkler and fire hydrant 1. At a minimum, the factory is expected to conduct monthly inspections. Inspection records must be accurately maintained.
12.5.7. Major
system inspected monthly? 2. Inspection records must include inspector(s) details, dates and testing result.

N/A

Yes 1. When a suction tank, elevated tank, or reservoir is present for fire hydrants and sprinklers, water level must be within 0.3
meter (1 foot) of the full level.
Is the water supply adequate for fire
12.5.8. Major 2. The factory must be able to prove that fire hydrant or sprinkler is connected to an adequate water supply.
hydrant or sprinkler system?
3. If the facility is connected to a public water source, they need to provide an external inspection report to prove they have
adequate water pressure (an external report must be provided at least annually).
N/A

Yes
1. Emergency response personnel and equipment operators need to be trained on how to use firefighting equipment such as
Are emergency response personnel
fire extinguisher, and fire hydrant.
12.5.9. trained on the proper usage of Minor
2. Training must be conducted at least annually.
firefighting equipment?
3. Training must be provided when new personnel and operator are selected.
N/A

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12.6 Alert System

1. The alarm system needs to:

Yes
a. cover all areas in factory,
b. have a back-up system in place in the event of loss of electrical power,
Critical c. be the proper type (e.g. a flashing alarm for areas of high noise levels),
Is a functional emergency alarm
12.6.1 d. have switches/control panels which are easily identifiable,
system installed appropriately?
e. be visually and aurally distinctive compared to other alerts (e.g. lunch bell),
N/A f. be functional.
2. The use of flashing type alarm must comply with legal requirements for areas having noise level > 90db.
3. Flashing type alarm is required for areas where typical alarm is difficult to be heard such as in sound proof rooms.

Yes
Are emergency alarm system
1. Emergency alarm system switches/control panels must be free from obstruction.
12.6.2 switches/control panels free from Major 2. The factory is expected to conduct regular inspections.
obstruction?
N/A

Yes

Is the installed alarm system 1. At a minimum, the factory is expected to conduct monthly inspections. Inspection records must be accurately maintained.
12.6.3 Major
inspected and tested monthly? 2. Inspection records must include inspector(s) details, dates and testing result.

N/A

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12.7 Emergency Drills

1. Emergency evacuation drills include fire and any drills that are legally required.
2. Drills conducted need to be in line with legal requirement, including minimum frequency requirements.
3. Auditors must record any violations of legal requirements.
4. In addition to legal requirements, IETP requirements for fire drills are, at a minimum:
Yes a. bi-annual drills are conducted;
b. quarterly fire drills are conducted for factories with no fire hydrant or sprinkler system installed; and
c. one of the fire drills is conducted during peak season.
Critical 5. For a factory in a shared building (i.e. other tenant(s) occupy the same building), the factory must:
a. invite the tenant(s) to participate in the emergency evacuation drill organized by the factory;
Does the factory conduct sufficient
N/A b. keep a record of the invitation for auditor's verification during audit; and
12.7.1 emergency evacuation drills in line
c. actual participation from the tenant(s) should be recorded by the factory for information only.
with legal and IETP requirements?
6. For a fire drill to be valid:
a. 100% on-site employee participation is a must;
b. the drill needs to cover production and dormitory areas;
c. the drill needs to cover all shifts (e.g. day and night);
d. video records of the drill must be kept for verification during audit; and
e. summary report with details such as evacuation time, date, which staff participated, on-site staff number, total employees,
etc. must be kept for verification during audit.
7. Workers with disabilities or special needs must be pre-assigned a partner to assist them in evacuating during a drill and in
case of an actual emergency.

Yes
1. Additional fire drill must to be scheduled to be conducted within a 2 month timeframe when:
Major a. any one conducted fire drill has a participation level of 70% or less of the total employees at the time, or
12.7.2 Does the factory plan additional fire
b. at any time when more than 30% of total employees have never participated in a drill (e.g. 30% employees newly hired just
drills where required?
after a drill conducted).
N/A

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12.8 Electrics

Yes 1. Wiring must be safe from:

a. tripping and overhead hazards;
Is electrical wiring properly b. impact and interference;
12.8.1 Critical
maintained, covered/insulated? c. frayed and worn cords; and
d. non-insulated wires and exposure of copper wires.
N/A 2. All electrical leads on factory equipment need to be three-prong grounded or double insulated.

Yes
1. Wires must be properly attached to fixtures, plugs, circuit breakers, and other equipment.
Are electrical wires properly
12.8.2 Critical 2. Fixtures, plugs, circuit breakers, and other equipment need to comply with recognized standards.
attached?
3. Improper temporary wiring connections (e.g. bare wires in a socket, without a plug) are not permitted.
N/A

Yes
Are electrical panels and junction
1. All junction boxes, outlets, and panel boards must be guarded with secured enclosures or covers.
12.8.3 boxes enclosed and readily Major
2. Electrical panels, junction boxes and outlets must be readily accessible and free from obstruction.
accessible?
N/A

Yes
1. Maintenance must be conducted by a certified electrician.
Is the electrical system maintained by
12.8.4 Major 2. The electrician's operating certificates need to be valid.
qualified personnel?
3. Maintenance records must be kept for review during audit.
N/A

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12.9 Flammable and Combustible Hazards

Yes

Are work areas free of excessive 1. Excessive flammable/combustible materials must be removed from the workplace to reduce the potential for fire.
12.9.1 Critical
flammable/combustible materials? 2. More than two days' usage is considered excessive.

N/A

Yes

Are floors kept clean from spillages

12.9.2 Critical 1. Spillages and loose materials (e.g. parts, waste items) must be promptly removed from all floor areas.
and materials?

N/A

Yes
Is flammable/combustible waste 1. Flammable/combustible waste includes, but is not limited to, industrial scraps, used oily rags, and other debris.
12.9.3 properly managed and removed from Major 2. Waste needs to be stored in metal containers, and glass containers for corrosive materials.
the work area promptly? 3. Waste must be promptly removed from the work area and properly disposed of.
N/A

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Yes
Are flammable/combustible materials
1. Flammable and combustible materials (including dust, grease, oil, and fibers) must be kept away from open flames or possible
12.9.4 kept away from open flames or Major
sources of ignition. For example, heat-producing equipment such as portable heaters, motors, ovens, etc.
possible sources of ignition?
N/A

Yes 1. Flammable/combustible dust-producing operations such as wood, textiles, plastic/polymers, metal such as zinc, aluminum.
2. Flammable/combustible dust-producing operations must be at least 6 meters (20 feet) from flames, sparks, electric motors,
Are areas for flammable/combustible
or ignition sources.
12.9.5 dust-producing operations properly Critical
3. The factory does not use flammable/combustible material such as cardboard for dust collection.
designed and maintained?
4. Dust collection equipment are used and cleaned regularly.
N/A 5. The dust concentration cannot exceed the limit specified by legal requirements.

1. Paint related operations include spraying, paint mixing, and coating areas.
Yes
2. Paint related operations must be at least 6 meters (20 feet) from flames, sparks, electric motors, or ignition sources.
3. Spray booths cannot be built with flammable/combustible materials to avoid spreading of fire.
Are areas for paint related operations Critical 4. When ventilation is not adequate, electrical equipment (lights, switches, outlets, motors, etc.) used in paint related operation
12.9.6
properly designed and maintained? areas must be designed and approved specifically for use in hazardous environments and atmospheres (i.e. explosion-proof).
5. At a minimum, spray residue must be cleaned on a monthly basis.
N/A
6. At a minimum, ducts and filters must be inspected and cleaned on a quarterly basis.
7. Contaminated air must not be circulated or allowed to re-enter into another makeup air unit intake.

Yes
1. All spraying areas must be presented with adequate local ventilation.
Is adequate local ventilation present 2. Spray booths using exhaust air filters must maintain an average air velocity of 0.5 meters per second (30 meters per minute)
12.9.7 Major
during spraying operations? at the position of work-pieces. This needs to be measured quarterly at a minimum.

N/A

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Yes
Is adequate overall ventilation
1. An adequate volume of fresh air must be provided. When fresh air is insufficient, ventilation facilities must be installed to
provided where chemicals and
12.9.8 Major guarantee air exchange 6 times per hour.
pollutants (e.g., solvents, solder, and
2. Contaminated air must not be circulated or redirected into another air unit intake.
dust) are used?
N/A

Yes
1. Only personnel trained in chemical safety, grounding, and fire prevention are allowed to transfer or withdraw flammable and
Are personnel properly trained on the
combustible liquids.
12.9.9 handling and use of Major
2. Where workers are employed in areas in which flammable and/or combustible materials are to be found, they must understand
flammable/combustible materials?
the proper handling procedures and the hazards such materials may present.
N/A

12.10 Smoking Rules

Yes 1. If local regulations prohibit smoking in the workplace, management must take actions to ensure this is communicated to all
personnel and enforced.
Are smoking rules in line with legal 2. If smoking is allowed by law, designated smoking areas are established and must be:
12.10.1 Major
requirements? a. located away from flammable and/or combustible materials,
b. formally posted "Designated Smoking Area", and
N/A c. equipped with fire extinguishers.

Yes

12.10.2 Are smoking rules followed? Critical 1. Smoking must not be observed in non-smoking areas.

N/A

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12.11 **This checkpoint has been removed from the checklist, the checkpoint number will not be replaced".

12.12 Emergency Investigation & Reporting

Yes
Are emergencies investigated to
1. Emergencies (e.g. fire) which have occurred in the factory are investigated in order to identify root causes and a strategy for
12.12.1 determine root causes and examined Critical
preventing recurrence is put in place.
to prevent a recurrence?
N/A

Yes 1. Any major worker related safety issues, major incidents, and emergencies are to be reported to IETP within 48 hours.
2. Examples of major incidents include, but are not limited to, worker strikes, fatality, worker injury resulting in possible
Are major factory incidents and
permanent disability, attempt/commit suicide, violence in plant/dormitory, emergencies requiring evacuation such as fire or
12.12.2 emergencies reported to IETP within Major earthquake.
48 hours?
3. Auditors will check for these incidents within the past 12 months and whether they were reported to IETP, and after launching
N/A this requirement.

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13.1 EHS Program

1. The program includes site-specific policies and/or procedures for identifying, evaluating, controlling, and documenting EHS
and working conditions risks.
Yes
2. The objectives of the EHS program is to:
Does the factory have an updated a. identify and put measures in place to control and prevent all possible hazards and risks;
13.1.1 and effective Environmental, Health Major b. develop and implement control actions to eliminate hazards and isolate employees from hazards; and
and Safety (EHS) program? c. investigate root causes and corrective actions, and strive for continual improvement should an incident occur.
3. EHS program requires commitment from all levels and functions within the organization.
N/A 4. EHS program is to be updated regularly with the latest legal requirements.
5. EHS program is to be monitored regularly for its effectiveness.

Yes

Does the factory promote workplace 1. Workplace EHS awareness can be achieved through effective communications such as EHS meetings, newsletters, bulletin
13.1.2 Major
EHS awareness? board postings, etc..

N/A

Yes
Are new materials and operations
Major 1. Controls must be in place to prevent new components, materials, chemicals, machinery and products which have not been
13.1.3 with potential EHS hazards
reviewed for potential EHS hazards from being introduced into the factory.
controlled?
N/A

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13.2 Training

Yes

> 20% of sampled workers

Critical have not been trained /
unaware of training
contents
1. Workers must be trained on EHS rules, safe operating procedures, EHS activities, and other EHS related information
pertinent to their job. Training must be conducted prior to starting their job or position.
Are workers trained on the contents
13.2.1 2. At a minimum, the EHS program must be communicated to workers at employment orientation.
of the EHS program?
Major ≤ 20% of sampled 3. Training contents and records must be accurately maintained.
workers have not been 4. Workers must be compensated according to appropriate hourly wage for training received.
trained / unaware of
training contents

N/A

Yes
1. Contractor personnel must receive training prior to commencing work. The training must include a review of the site EHS
Are contractors given site specific rules, which contractors must obey.
13.2.2 Major
training on EHS rules? 2. The contractors must be informed of any potential hazards at the factory to which they may be exposed.
3. Contractors must receive the EHS rules in written format.
N/A

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13.3 EHS Committee

Yes
1. Qualified EHS coordinators are appointed to facilitate the EHS program.
2. Consideration must be given to a system of proportionally increasing the number of EHS coordinator based on the number
Major of workers:
< 1000 workers = 1 coordinator
Does the factory have a designated N/A 1000 - 3000 workers = 2 coordinators
13.3.1
qualified EHS coordinator? 3001 - 6000 workers = 3 coordinators
> 6000 workers = 4 coordinators
3. The EHS coordinator is suitably trained with evidence of a local government certificate if available or, if not, a relevant
educational background plus a minimum of 18 months EHS experience.
4. The EHS coordinator assists factory management in establishing, developing, and administering the EHS program.

1. EHS committee/team to be established and comprise of members representing a variety of shifts, functions, and personnel
levels.
Yes 2. EHS committee/team to include workers who are responsible for handling and transportation of hazardous waste, these
workers need to attend each meeting.
Does the factory have an EHS 3. EHS committee/team to include at least one senior management representative (e.g. plant manager).
13.3.2 Major
committee/team? 4. EHS committee/team meetings to be conducted regularly (at least once in every two months) and the senior management
representative must attend every other meeting at a minimum.
5. EHS meeting minutes to be kept for review during audit.
N/A
6. EHS committee/team members provide guidance, encourage EHS awareness and interest, and actively promote worker
involvement to assist the factory management in implementing, evaluating, and improving the workplace EHS program.

Yes

1. Workers are given the opportunity to voice EHS opinions and concerns.
Are workers given the opportunity to Major
13.3.3 2. All feedback provided to the EHS committee/team must be addressed.
voice EHS opinions and concerns?
3. All feedback handled must be recorded and kept for review during audit.
N/A

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13.4 Occupational Health

1. Pre-Job, annual and post-job occupational health checks must be provided, in accordance with legal requirements, to
applicable workers who have had exposure to hazardous substances.
2. Hazardous substances/processes include, but are not limited to, spray painting, screen painting, hand coloring, paint mixing,
soldering, cotton filling, material smashing, powder/dust producing areas, powder coating, and heat cutting.
Yes 3. Applicable workers who require such health checks refers to:
a. any worker who will have regular exposure to these substances/processes; and
Are occupational health checks b. any worker leaving a job where they have had regular exposure to these substances/processes, who is available for a health
13.4.1 Major
provided to applicable workers? check.
4. Individual occupational health check reports are given to each worker.
N/A 5. The factory must follow the occupational health examination reports for actions, including, but not limited to, providing re-
checks for workers and transferring workers from their former posts where appropriate.
6. Occupational health checks are to be conducted by medical health institutions approved by the local administrative
department of health.
7. The factory must cover the expenses needed for the occupational health examination in accordance with legal requirements.

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1. All workers exposure to hazardous substances must be maintained at or below regulatory standards established in the
country where the factory is located.
Yes 2. Annual inspections must be conducted with inspection records kept to determine if exposures are in fact below established
standards.
3. This requirement applies to all areas including production, chemical use areas, laboratories, warehouse, and maintenance.
Are workers' exposure levels towards Major
hazardous substances maintained as
13.4.2 Notes:
required with test reports for
N/A 1. Where such regulatory standards do not exist, reference may be made to the American Conference of Governmental
verification?
Industrial Hygienists (ACGIH) exposure limits for relevant chemicals present in the factory processes, refer to IETP Audit
Checklist Appendix V – Permissible Exposure Limits for Hazardous Substances (ACGIH).
2. If not set out in the country’s regulatory standard, a respected sampling and testing method such as those approved by
NIOSH or OSHA in the United States or an equivalent standard in a major European Union country should be used.

Yes 1. The factory must have a bloodborne pathogen policy to prevent the potential transmission of communicable diseases
through contact with bodily fluids.
2. The policy needs to:
Major
Does the factory have a bloodborne a. be dated;
13.4.3
pathogen policy? b. include the identification of job classifications which may have exposure to bloodborne pathogens (i.e. nurses, first-aid
N/A personnel, cleaners, personnel handling and disposal of blood contaminated waste, needles, or other biohazardous waste);
c. include procedures to train any worker who can be exposed to bloodborn pathogens; and
d. include procedures to train all workers on bloodborne pathogen awareness at the time of recruitment.

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1. All workers must be trained on bloodborne pathogen awareness at the time of recruitment.
2. Worker who can be exposed to bloodborne pathogens must be trained on the following:
Yes a. general discussion of bloodborne diseases, including symptoms and modes of transmission;
b. use and limitations of methods that prevent or reduce exposure, including appropriate engineering controls, work practices,
Major and PPE;
c. information on types, proper use, location, removal, handling, decontamination, and disposal of PPE, including the basis for
Are workers trained on bloodborne the selection of PPE;
13.4.4 N/A
pathogens? d. information on the Hepatitis B vaccine and an explanation of the vaccination program;
e. information on the appropriate actions to take, persons to contact in an emergency involving bodily fluids, and an
explanation of the procedure to follow if an exposure incident occurs, including the method of reporting the incident and the
medical follow-up that is made available;
f. information on the post-exposure evaluation and follow-up that is provided for workers following an exposure incident; and
g. an explanation of the signs and labels and/or color-coding system used.
3. Training records for occupationally exposed personnel are maintained for a minimum of one year for review during audit.

13.5 Personal Protective Equipment (PPE)

Yes 1. A hazard assessment of each operation must be conducted and the correct Personal Protective Equipment (PPE) for each
Has a hazard assessment been
operation must be listed.
completed which identifies the
2. The hazard assessment should be authentic, accurate and updated according to the actual production conditions.
13.5.1 appropriate Personal Protective Major
3. PPE must be selected based on the hazard assessment of each operation.
Equipment (PPE) required for each
4. PPE should be weather-appropriate (i.e. breathable work gear).
operation?
N/A

Yes
Is appropriate signage posted in all
13.5.2 areas where Personal Protective Minor 1. Signage must be visible in the general area and/or at workstations indicating where and what type of PPE is required.
Equipment (PPE) must be worn?
N/A

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Yes

Workers are not provided with

Critical PPE free of charge
Are workers provided with
appropriate Personal Protective
1. Correct type of PPE must be provided, where necessary, without any charge to workers according to the hazard
13.5.3 Equipment (PPE) free of charge
The type of PPE provided is assessment.
according to the listed operational Major incorrect
hazard assessments?

N/A

Yes
Have applicable workers been trained
1. Workers must be trained on the proper use, cleaning and storage of the PPE that is provided.
on the proper use, cleaning and
13.5.4 Major 2. Annual PPE refresher training must be conducted to ensure continued awareness on the subject, with training records
storage of Personal Protective
accurately maintained.
Equipment (PPE)?
N/A

Yes

Are Personal Protective Equipment

13.5.5 Major 1. PPE must be used properly in areas where it is required.
(PPE) being properly used?

N/A

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13.6 Workplace Safety

Yes
1. All stairs in excess of 1 meter (3 feet) in height or leading to a platform of such height must be equipped with adequate stair
Are stairs provided with railings in line
13.6.1 Major railings according to legal requirements (i.e. height, width, number of sides).
with legal requirements?
2. Railings must be safe and proper consisting a top rail, intermediate rail, and adequate support.
N/A

Yes 1. Every open-sided floor or platform 1 meter (3 feet) or more above adjacent floor or ground must be equipped with adequate
railings on all open sides of proper height according to legal requirements.
Are open sides of all platforms, stairs, Major 2. Loading dock, when not in use and above 1 meter (3 feet) in height, must have a barrier (chain) to prevent falls.
13.6.2 and floors equipped with railings in 3. Fall protection such as safety harnesses must be provided when work is performed that exposes workers to a fall of more
line with legal requirements? than 1.8 meters (6 feet).
N/A Examples of tasks typically requiring fall protection include, but are not limited to, work near unprotected roof edges,
mezzanines, roof or floor openings, or open platforms.

Yes
Are elevated platforms secured to
1. Elevating platforms (e.g. baskets) must be secured to the lifting mechanism (e.g. forklifts) by a chain or locking mechanism
13.6.3 lifting devices (e.g. forklifts or high Major
prior to lifting any personnel.
lifts)?
N/A

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Yes

Are floor and roof openings covered 1. Skylight floor openings must be guarded by a skylight screen or fixed railing on all exposed sides.
13.6.4 Major
or protected to prevent falls? 2. Manhole floor openings must be guarded by a cover of sufficient strength and construction.

N/A

Yes
1. All fixed and portable ladders used in the factory must be inspected regularly for damages or defects to ensure good and
Are all ladders used in the factory in
13.6.5 Major working condition.
good condition?
2. Ladders that are damaged or defective must be identified with signage to prevent usage and removed from service.
N/A

Yes

Critical Unauthorized entry 1. Confined spaces include, but are not limited to, compressed air tanks, fuel or solvent storage tanks, silos, and catch basins.
2. All confined spaces must be identified by a posted sign stating “Restricted Entry” or similar meaning in local legal language.
Are confined spaces identified and
13.6.6 Missing signage / not locked or 3. All confined spaces must be secured or locked to prevent unauthorized entry.
secured from unauthorized entry? Major secured 4. A written permit must be issued and authorized by the EHS coordinator before entry. Where possible, work inside confined
spaces should be avoided.

N/A

1. All workers who will enter a confined space have to be trained on entry procedure which must include:
Yes a. provisions for energy and hazardous material source isolation;
b. testing of confined space atmosphere (oxygen, LEL, toxic air contaminants);
Are workers who enter confined c. ventilation;
13.6.7 Major
space trained? d. communication; and
e. entry and exit.
N/A 2. Training contents and records must be accurately maintained.
3. Training and understanding of the above will be one of the prerequisite in obtaining permit issued by the EHS coordinator.

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13.7 Machinery Safety

1. This procedure must be developed for the purpose of protecting workers during machine and equipment servicing and
Yes maintenance where the unexpected energization, startup, or release of stored energy could occur and cause injury.
2. Procedure must include:
Major a. ensuring all energy sources must be de-energized and where possible, locks must be placed on switches and valves to ensure
Does the factory have a written
that they are not inadvertently switched on during shutdown; and
procedure for the control of
13.7.1 b. signage with details such as the reason for any lockout and tagout machines must be present and visible.
hazardous energy lockout and N/A
tagout?
Notes:
1. Hazards being guarded against include being caught in, being crushed by, being struck by, being thrown from, or making
contact with live electrical circuits/parts.
2. Energy sources include electrical, mechanical, pneumatic, hydraulic, chemical, and thermal.

Yes
1.Lockout and tagout devices including locks, tags, group lock boxes, circuit breaker lockouts, valve lockouts, and lock hasps
Are sufficient lockout and tagout must be maintained and kept in a readily available location.
13.7.2 devices available, and used prior to Major 2. Each maintenance worker working on a piece of equipment must have their own personal lock for locking out that
service or maintenance? equipment.
3. The energy to equipment and machinery must be locked out prior to service or maintenance.
N/A

Yes
1. Persons who normally operate machines and equipment (affected workers) and persons who may be in the area of locked
out/tagged out equipment (other workers) must also receive training.
Are workers trained by qualified
Major 2. All workers must receive an overview of the relevant lockout and tagout program for their area so that they are able to
13.7.3 trainers prior to working on
recognize when energy controls are being implemented and understand the purpose of the procedures and the importance of
hazardous energy related operations?
not attempting to start up or use the machine/equipment that has been locked out.
N/A
3. Training for authorized workers must be provided at least annually with records kept.

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Yes 1. The factory must prohibit persons from working at or near moving machinery while wearing loose clothing, jewelry, or with
Are loose clothing, jewelry, and long hair exposed which could become entangled in machinery.
13.7.4 exposed long hair prohibited near Critical 2. Loose clothing includes, but is not limited to, loose shirts and baggy pants.
moving machinery? 3. Jewelry includes, but is not limited to, rings, bracelets, and necklaces.
4. Hair hanging loosely below the neckline must not be permitted.
N/A

Yes 1. Machine safeguarding must be provided on all machinery to prevent workers from coming into contact with any machine
Are machine safeguards provided for parts, functions, or processes that may cause injury.
all machines and operating points 2. Drive mechanisms such as pulleys and belts that are within 2.1 meters (7 feet) from the floor or working surface must be
13.7.5 Critical
that may potentially cause serious guarded.
injury? 3. Fan blades within 2.1 meters (7 feet) from the floor must be protected against accidental contact. A guard must be provided
with openings no larger than 12.5 mm (0.5 inch).
N/A

Yes

Missing system / system does 1. All start/stop controls must be accessible to the operator.
Are adequate start/stop controls and Critical not work 2. If there is more than one operator, separate controls must be provided for each operator's station.
13.7.6 protection systems manageable by 3. Start buttons are protected against accidental startup (i.e. ring guard).
the operator? Major Missing label 4. All start/stop controls are labeled as to their function and are appropriately colored.
5. Emergency stop buttons must be able to function quickly during an emergency.

N/A

Yes
1. Cords, plugs, rotating parts and safeguards on other machines are inspected frequently.
Are machines, equipment and fixtures
Major 2. All hand tools and portable power tools are free of defects.
13.7.7 inspected frequently and in safe
3. Defective tools are removed from the workplace and repaired or replaced.
operating condition?
4. Machinery and equipment are free of excessive dirt, grease, or oil that could present a hazard.
N/A

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Yes
1. All workers must be trained on machine safety before starting the position.
Have workers been trained on the
13.7.8 Major 2. Follow-up training must be conducted periodically to ensure continued awareness and implementation of safe practices.
subject of machine safety?
3. Training contents and records must be accurately maintained.
N/A

Yes
1. Machinery safety equipment must be well maintained, which includes a regular daily inspection to ensure it functions
Are maintenance and inspection
13.7.9 Major correctly.
records for all machines available?
2. Inspection and maintenance records must be accurately maintained.
N/A

13.8 Equipment Safety

Yes
1. Periodic external inspections must be conducted by an licensed third party per legal requirements.
Are inspections conducted on cranes,
2. Daily internal inspections must be conducted by a designated personnel for defects, wear, or abuse as well as cleaning and
13.8.1 hoists, slings, lifts and forklifts Major
lubrication of gears and motors, etc. Additional inspections should be performed as warranted by conditions.
regularly?
3. The sling and all fastenings and attachments must be visually inspected before use every day for damage and defects.
N/A

Yes
1. All cranes, slings, hoists, lifts and forklifts used in the factory must be in good working condition and free of damages and
defects.
Are cranes, hoists, slings, lifts and
13.8.2 Major 2. All cranes, slings, hoists, lifts and forklifts which are damaged or defective must be identified with signage to prevent usage
forklifts in good condition?
and removed from service.
3. Hoist hooks must be equipped with a safety latch to prevent the accidental release of the load.
N/A

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Yes
1. The maximum load limits must be conspicuously marked on all cranes, slings, hoists and lifts and the factory must ensure that
Are capacity limits clearly marked on
13.8.3 Minor those maximum loads are followed.
cranes, slings, hoists and lifts?
2. Load limit marking is required on all individual cranes to ensure total load is determined and within load limit of the system.
N/A

Yes

Major Absence of operator license

Are all crane, hoist, slings, lifts and 1. The operator must obtain a special operator's license as per legal requirements.
13.8.4 forklifts operators trained and with 2. The operator must be trained on operating rules before operation.
valid operating licenses? 3. Training contents and records must be accurately maintained.
Minor Absence of internal training

N/A

Yes
Have all boilers, unfired pressure 1. Boilers, unfired pressure vessels, and furnaces to be assessed annually, by a professional, to ensure that they are being
13.8.5 vessels, and furnaces been Major maintained in proper working condition.
professionally inspected? 2. A copy of assessment results must be maintained on file by site management.
N/A

Yes

Are boilers, unfired pressure vessels, 1. Visual inspection of boilers, unfired pressure vessels, and furnaces conducted at least monthly.
13.8.6 Major
and furnaces inspected monthly? 2. The inspection focus on general distortion, cracks or other hazardous defects.

N/A

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13.9 Hot-Work and Gas Cylinders

Yes 1. Hot-work is defined as the use of flames (e.g. cutting torch, brazing) or spark-producing activities (e.g. welding, grinding
metal) which are capable of igniting combustible materials.
2. The hot-work process policy needs to:
Does the factory have a written hot- Major
13.9.1 a. be dated;
work process policy?
b. cover all workers on-site including contractors; and
c. include, but is not limited to, hot work permits, permitted locations, controls, precautions, fire watch requirements, and
N/A equipment requirements.

1. The hot-work cannot be conducted in hazardous areas. Hazardous areas generally include areas with flammable liquids
and/or gases.
2. Prior to the commencement of hot-work:
a. a written permit must be issued and authorized by the EHS coordinator;
Yes b. flammable and combustible material must be removed and/or protected from the hot-work; and
c. special precautions are taken, such as using fire-resistant covers to cover areas/equipment that cannot be removed from the
Are hot-work processes implemented hot-work area.
13.9.2
and monitored properly? 3. Hot-work areas must be restricted against unauthorized usage. Warning signs such as "Authorized Personnel Only" are
Major recommended.
4. Fire extinguishing equipment suitable for potential hazards present must be maintained in a state of readiness for immediate
use.
5. Designated personnel must regularly and frequently monitor the fire watch process. Depending on the hazards present, the
N/A personnel may stay at the hot-work area for 30 to 60 minutes following completion of the hot-work.
6. All hot-work must be documented with records kept.

Yes
1. Operators who conduct hot-work processes must obtain a special operator's license as per legal requirements.
Are hot-work operators trained and
13.9.3 Major 2. Operators who conduct hot-work processes must be trained on operating rules before commencing hot-work processes.
certified?
3. Training contents and records must be accurately maintained.
N/A

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1. Usage and storage:

a. unapproved or makeshift compressed gas apparatuses cannot be used;
Yes
b. cylinders must be stored in an upright position, and be properly stored to prevent tipping and/or falling;
c. cylinders must not be used as rollers/supporters or other storage;
d. all flammable gas cylinders must be stored at least 7.5 meters (25 feet) from open flames or possible sources of ignition, in
Critical temperatures below 51°C (125°F), and away from contact with electrical apparatus;
e. oxygen cylinders must be separated from fuel gas cylinders by a minimum distance of 6 meters (20 feet) or by a non-
Are gas cylinders properly marked, combustible barrier at least 1.5 meters (5 feet) high, having a fire resistance of at least 30 minutes;
13.9.4
used, stored and secured? f. cylinders must be transported in a vertical position, cylinders must be moved by a means of a suitable handcart (or
N/A equivalent) with a chain or belt for securing the cylinder.
2. Signage:
a. content labels (e.g. propane, oxygen) must be legible, written in the appropriate language(s), and prominently displayed on
containers of hazardous chemicals, including all compressed gas cylinders.
3. Valve protection:
a. valve must be protected to avoid a serious hazard when it is impacted;
b. the valve must be closed when not in use, being transported, or when empty.

Yes

1. Personnel handling gas cylinders need to be trained on the proper usage and safety of gas cylinders.
13.9.5 Are gas cylinder operators trained? Major
2. Training content and records must be accurately maintained.

N/A

Yes
1. Inspection of gas cylinders must be conducted at least monthly.
13.9.6 Are gas cylinders inspected monthly? Major 2. The focus of the inspection should be on corrosion, general distortion, cracks, deep rust, leakage, or other hazardous
defects.
N/A

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13.10 Chemical Safety

Yes 1. The full list of all hazardous chemicals includes all chemicals currently being used or stored at the factory, and relevant
Material Safety Data Sheets (MSDS).
2. The list is to be used for:
Is a full list of in-house hazardous Major a. evaluating hazards,
13.10.1 chemicals kept and managed by the
b. training workers,
EHS coordinator or factory manager?
N/A c. disposing of hazardous waste,
d. discharging air and water, and
e. assessing and cleaning up spills.

Yes
1. An up-to-date MSDS is available in local language for each hazardous chemical produced, imported, stored, and used onsite.
Are up-to-date Material Safety Data
2. MSDS requirements:
13.10.2 Sheets (MSDS) for all chemicals
Major a. must be available to be found; and
available in the local legal language?
b. workers must be able to understand how to interpret the key safety, labeling, and handling points illustrated by the MSDS.
N/A

1. Complete MSDS information includes:

a. chemical product and company identification,
b. hazard identification,
c. composition/information on ingredients,
Yes d. first-aid measures,
e. fire-fighting measures,
f. accidental release measures,
Are up-to-date Material Safety Data Minor g. handling and storage,
Sheets (MSDS) with complete
13.10.3 h. exposure controls and personal protection,
information available for all
N/A i. physical and chemical properties,
chemicals?
j. stability and reactivity,
k. toxicological information,
l. ecological information,
m. disposal considerations,
n. transport information,
o. regulatory information, and
p. other information.

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1. Chemicals include all flammable/combustible liquids.

Yes 2. Containers of chemicals must not be combustible (a one-day supply in closed plastic bottles is acceptable at work stations
where no naked flame is present).
Major 3. When not in use, chemical storage containers must be closed to prevent ignition and the creation of hazardous atmospheres,
Are all chemicals stored in proper
and they must be stored in suitable cabinets, containers, or buildings.
containers, with the contents and
13.10.4 4. Glass is not to be used unless materials involved are corrosive.
hazard warnings labeled in the local N/A 5. Chemical storage containers must be labeled in the local legal language, and the contents of the label must contain key
legal language?
information including, but not limited to:
a. the name of the chemical;
b. indication of the potential hazard; and
c. any specific handling, storage, and emergency instructions.

Yes
1. Chemicals include all flammable/combustible liquids.
Are chemicals containers properly
2. Chemical storage rooms must be ventilated and constructed specifically for the storage and handling of chemicals.
13.10.5 stored in metal safety cabinets Critical
3. All electrical fixtures, switches, and circuits inside a chemical storage room must be appropriate for hazardous locations (i.e.
and/or in proper storage rooms?
explosion-proof).
N/A

Yes
1. Chemicals includes all flammable/combustible liquids.
Are the containers for chemicals
13.10.6 Major 2. Chemical storage drums and dispensing containers must be grounded during dispensing or transferring of the chemical to
properly grounded?
prevent sparking from the build-up of static charge.
N/A

Yes
Is secondary containment used in
13.10.7 work areas for bulk liquid chemical Major 1. Work areas can be an individual room, production line, workshop or warehouse.
storage?
N/A

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Yes
Is the size of the secondary 1. Applies to individual containers that have a volume of more than one liter.
13.10.8 containment adequately larger than Minor 2. Secondary containment volume must be greater than 110% of the biggest individual chemical container inside the
that of the individual container? containment.

N/A

Yes
1. Storage and process tanks, piping used to transfer chemicals, and valves used to control the flow of chemicals must be:
a. labeled or color-coded to communicate which substances are present in the system; and
Is storage and processing used for
13.10.9 Minor b. labeled to identify valves, connections, bleed valves, and other critical parts.
chemicals labeled or color-coded?
2. The color-coding system must be consistent throughout the factory and communicated by posting the color-code and what
each color identifies.
N/A

Yes
1. Emergency eyewash equipment must be functional and present in all areas of hazardous chemical use.
Are functional emergency eyewash Missing eyewash equipment or 2. Shower units must be installed if corrosive and toxic chemicals are being used. This requirement applies to both process
Critical shower
equipment and showers provided operations and laboratory facilities.
13.10.10 where workers come into contact 3. The eyewash equipment for non-corrosive chemicals must be located in the workshop or right outside the entrance to the
with corrosive chemicals or high Major Malfunctioning or mislocated
workshop and within 50 meters (165 feet)
volumes of solvents? eyewash equipment or shower 4. If corrosive chemicals are used, the eyewash equipment must be located within 19 meters (62 feet) travel distance from the
area of hazardous chemical use or have access to a mobile eyewash equipment in 10 seconds.
N/A

Yes
Are emergency eyewash equipment
1. Signs identifying emergency eyewash equipment and shower unit location must be clearly posted.
13.10.11 and showers indicated with signs and Minor 2. Regular inspections of emergency eyewash and shower equipment must be conducted on a monthly basis.
regularly inspected?
N/A

Yes

Have workers been trained on 1. Workers who have exposure to chemicals (e.g. handling, transport) must be trained on chemical safety including MSDS.
13.10.12 Major
chemical safety? 2. Training contents and records must be accurately maintained.

N/A

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13.11 Incident Investigation and Reporting

1. The procedure requiring workers and management to report all accidents and near misses.
Yes 2. Accidents and near misses include fires, spills, injures, overexposure to hazardous chemicals, property damage, and incidents
that did not result in injury or loss but had the potential to do so.
Are reporting procedures for 3. Consistent format must be used to ensure that the proper information is collected, details of the incidents, the immediate
Major
13.11.1 accidents and near misses in causes, root causes, corrective action plans and necessary system improvements are identified.
practice? 4. Workers must be reminded of the need to report all incidents. This can be accomplished by posting bulletins, safety meeting
N/A reminders, memoranda, etc.
5. Corrective actions must be tracked on a corrective action log and the status of items must be reviewed periodically to
ensure timely completion.

Yes

Critical > 3 accidents not investigated

/ actions not taken 1. All accidents must be investigated according to procedures and documented.
Are all accidents and near misses
13.11.2 2. Established relevant corrective/preventive actions must be taken and tracked to completion.
investigated?
≤ 3 accidents not investigated 3. Sample report can be found in IETP Audit Checklist Appendix IV – Accident/Near Miss Investigation Report.
Major / actions not taken

N/A

Yes

Are workers free to report accidents 1. Workers to be encouraged to promptly report any accidents.
13.11.3 Critical
without punitive actions? 2. Workers must not be discriminated against, reprimanded, or discouraged for reporting accidents.

N/A

Yes 1. The factory must maintain the accident records.

2. For injury records, the date of injury, name of injured person and a description of the injury and its causes must be included.
Does the factory keep records for all
13.11.4 Major 3. When clinic is applicable, the illness record must be maintained.
accidents, near misses and illness?
4. These logs should be analyzed periodically to identify occurrences or trends and for corrective action determination and
evaluations.
N/A

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13.12 Environmental

1. Hazardous waste must be properly contained and stored.

2. Waste containers are stored with lids, rings, and/or bungs in place.
3. Waste containers must be free from leaks and major dents.
Yes 4. Waste containers must have a hazardous waste label, in addition to appropriate hazard warning labels.
5. Containers of incompatible waste must be stored separately or have containment between the containers to prevent mixing.
Is indoor and outdoor hazardous Major 6. The base for warehouse hazardous waste storage must be free from cracks or gaps. In addition, the base must be sloped or
13.12.1
waste stored properly? the containment system designed and operated to drain and remove liquids resulting from leaks, spills, or precipitation. The
containment system must have sufficient capacity to contain 110% of the volume of the largest container.
N/A 7. Hazardous waste storage areas must have visible signage posted in a conspicuous location. The signage should identify the
area as a “Hazardous Waste Storage” area and indicate the type of hazardous waste present such as flammable or corrosive
waste.
8. The storage area must also have appropriate clean-up equipment and fire extinguishers.

Yes
Is indoor and outdoor hazardous
waste storage inspected on a weekly
13.12.2 Major 1.Inspection of the waste storage areas must be conducted weekly to ensure no leakage or deterioration of containers.
basis?

N/A

Yes
1. Annual inspection by certified entity is required to ensure the discharge is in compliance with legal requirements.
Is industrial waste water discharged 2. The factory must discharge industrial waste water in accordance to legal requirements (i.e. a permit maybe required for
13.12.3 Major
properly? certain type of waste).
3. Untreated waste water cannot be discharged into the local water source.
N/A

Yes
1. The factory must discharge domestic waste water in accordance to legal requirements.
Is domestic waste water discharged 2. Untreated waste water cannot be discharged into the local water source.
13.12.4 Major
properly? 3. The factory must have a regularly scheduled maintenance program for cleaning any septic system. Cleaning should be as
frequent as appropriate depending on the number of workers and the size of the septic system.
N/A

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Yes
1. Air pollution control systems must be maintained in effective, safe and clean working conditions (i.e. air filters are changed
Are air pollution control systems periodically).
13.12.5 Major
properly maintained and operated? 2. Legal requirements may require that periodic tests (air flow measurements) are performed to determine if controls are
operating correctly and efficiently.
N/A

Yes
1. Annual inspection by a certified entity is required to ensure air discharge is in compliance with legal requirements.
2. Factory must discharge according to legal requirements (i.e. a permit may be required for certain types of waste).
13.12.6 Is air discharged properly? Major 3. Facilities that emit chemical vapors into the atmosphere must evaluate that all discharge points, and the amount of
emissions discarded through each, are in line with legal requirements. It is suggested that a list of all discharge points are
identified and recorded.
N/A

Yes
1. The factory must dispose of all hazardous waste in accordance with legal requirements (i.e. certain types of hazardous
Is all hazardous waste disposed of wastes to be disposed of at special facilities by a qualified collector, or it may be required that waste is specially handled before
13.12.7 Major
properly? disposal).
2. Documentation (manifests) for all shipments of hazardous waste is kept onsite in accordance with legal requirements.
N/A

1. Storage tanks (such as gas, gasoline) include above ground storage tanks and underground storage tanks.
2. Secondary containment for underground storage tanks is required (e.g. double walled tank with sensors between the walls
Yes to detect leakages).
3. Underground storage tanks need to be professionally inspected periodically. Pressure testing should be performed to check
13.12.8 Are storage tanks properly managed?
Major the integrity of the underground tanks and piping.
4. Above ground tanks can be visually inspected.
5. Records of testing and inspections must be maintained.
N/A 6. Tanks that are leaking or in poor condition must be emptied and repaired before use.

Yes
1. Workers who handle or transport hazardous waste must be trained in the proper methods of collecting, storing, and
Are workers involved in hazardous
13.12.9 Minor disposing of the waste.
waste management trained?
2. Training contents and records must be accurately maintained.

N/A

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14.1 Facility

Yes
Are dormitory and childcare facilities
1. All dormitory and/or childcare facilities must be located in a separate non-industrial facility.
14.1.1 located in a separate non-industrial Critical
2. The nursery area must be located on the ground floor of a non-production area.
facility?
N/A

Yes

Is the maximum number of workers

14.1.2 Major 1. There must be no more than 8 workers per room.
per room limited to 8?

N/A

Yes

1. Each worker must be provided with an individual bed.

Does each worker have sufficient Critical Inadequate bed provided 2. Bed cannot be more than two levels (i.e. Only double bunk bed is acceptable)
14.1.3 living space and a secure locker in the 3. Sufficient space refers to the minimum amount of square footage allocated per worker, this must be at least 1.8m² (20ft²),
dormitory? Major
Insufficient space / this includes sleeping area and available floor space.
Lack of locker
4. Workers are provided with a secure locker/storage space of at least 0.03m³ (1ft³) and workers have sole access rights to it.

N/A

Yes
1. Adequate refers to a minimum of 1 shower or bath stall and 1 toilet per 12 workers must be available.
2. For dormitories built prior to November 2000, the bath and toilet ratio can be up to 15 workers per 1 shower or bath and 1
Are there adequate toilet and shower Major toilet.
14.1.4
facilities? 3. Toilets, and wherever possible showers, must be on the same floor as that of the dormitory room.
N/A 4. Hot water must be provided when the environment temperature can drop below 15°C (60°F).
5. Provisions must be made for residents to launder clothes in accordance with local expectations.

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Yes
Are there adequate recreation
1. Recreation facility is to be available for residents in the dormitory, such as basketball court, library, television, internet
14.1.5 facilities in the dormitory area (i.e. Minor
access, public resting areas, etc.
living area)?
N/A

Yes 1. Dormitory rooms, common areas, toilet, bath, and shower facilities are maintained in a functional, clean condition, and are
free of foul odor.
2. Toilets and showers must be functional, well-lit, and well-ventilated..
Are dormitories kept clean and Major
14.1.6 3. Effective flushing system (mechanical or manual) must be available.
maintained in good condition?
4. Adequate ventilation, including fans or heating (as appropriate for the conditions), must be available in the dormitory rooms.
N/A 5. The factory must establish a program to ensure regular cleaning of the dormitory rooms, toilets, and shower areas.
6. Effective insect, pest, and rodent control is required in all areas.

Yes
Are residents and guests well
1. Dormitories must have general rules posted in the local legal language for their residents and/or guests regarding hours for
14.1.7 informed of the written dormitory Minor
recreation, use of common areas, and for safety concerns.
rules?
N/A

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Yes
Are privacy and gender respected
1. Dormitory rooms, toilets, and showers must be separate for men and women.
14.1.8 with segregation for dormitory Major
2. Management must recognize and respect privacy when maintaining and supervising dormitory areas.
rooms, toilets, and showers?
N/A

Yes
1. Security provisions must be made to prevent unauthorized persons and vehicles from entering and exiting the dormitory
Are security measures taken to areas and to guard against theft at the site.
14.1.9 Major
protect workers and their property? 2. Procedures must be established for security personnel to conduct periodic inspection rounds of the dormitory areas for
security and hazard monitoring.
N/A

Yes

Is trash properly disposed of in 1. To minimize fire hazards, trash (rubbish) removal must be done regularly and in accordance with the rate of generation.
14.1.10 Major
dormitory facilities? 2. Dedicated containers for trash (rubbish) removal must be provided and in place both inside and outside of the dormitory.

N/A

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No.

14.2 Emergency Preparedness Policy

1. The factory can adopt the same emergency preparedness plan for the overall factory in Section 12 or create a dedicated one for the
dormitory area.
2. The emergency preparedness plan needs to be dated and include procedures to be followed in the event of an emergency.
3. According to the area where the factory is located, incidents for which emergency preparedness is required may include, but are not
limited to, fire, typhoon, hurricane, tsunami, flooding, earthquake, chemical emergency, or food poisoning.
4. The Emergency Preparedness Plan needs to include:
a. factory information describing key elements of the factory (i.e. location of chemical storage and power generator) – this is useful for new
workers and response agencies, such as local fire departments;
b. information so that workers know how to report an emergency – this may include the activation of pull alarms or notifying the factory
Does the factory have a written Yes security center, consideration need to be given to methods of notifying local agencies such as the fire department;
c. alarms and signals to alert workers must be identified – this may include audio alarms, highly visible lights, and/or public-address systems,
emergency preparedness plan for
14.2.1 consideration needs to be given to the potential for loss of electrical power in the event of an emergency and alternatives and “back-up” to
dormitory area to handle natural Major mains powered alarms must be in place, management and workers need know what actions to take when an emergency alarm is activated;
disasters and fire emergencies? d. all emergency phone numbers need to be identified, listed in the emergency preparedness plan, and posted – emergency phone numbers
need to include any factory numbers, local agencies, and any emergency-response personnel;
N/A e. all responsibilities must be clearly defined for management and workers – management needs to determine its strategy for responding to
emergencies;
f. a chain of command must be established to minimize any confusion – personnel need to be identified to coordinate the emergency-
response actions;
g. detection and alarm systems must be identified and described, testing and preventative maintenance procedures must be included;
h. assembly areas need to be established and safe from hazards and clear of emergency vehicle traffic and activities; and
i. search and rescue procedures need to be established, only trained and authorized personnel can attempt search and rescue.

Yes
1. The factory can adopt the same emergency preparedness plan for the overall factory in Section 12 or create a dedicated one
for the dormitory area.
Does dormitory have a written fire Major
14.2.2 2. The fire prevention policy needs to include:
prevention policy?
a. housekeeping, and maintenance of fire fighting equipment; and
N/A b. fire hazard identification.

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Yes 1. Residents, dormitory personnel (e.g. security guards) must be knowledgeable and need to be informed of the fire prevention
procedures.
Are residents and dormitory 2. Residents, dormitory personnel (e.g. security guards) must understand basic emergency action plans including alarm signals,
14.2.3 personnel trained on emergency Major emergency shutdown, primary/secondary exit routes, and assembly areas.
preparedness and fire prevention? 3. Residents, dormitory personnel (e.g. security guards) must know how to safely evacuate their residence and dormitory
common areas in an emergency.
N/A
4. Training contents and records must be accurately maintained.

14.3 Exit and Evacuation

1. Evacuation paths include any passage leading to an emergency exit including stairwells.
2. Emergency exits and evacuation paths must be built according to legal requirements (i.e. width, design, number required).
Yes 3. If legal requirements do not exist, the evacuation path must be at least 1 meter wide.
Are emergency exits and evacuation 4. The number of emergency exits must be in line with legal requirements or, in their absence, two exits must be provided per
14.3.1 paths built in line with legal Critical floor.
requirements? 5. Emergency exits on each floor must be reasonably located (e.g. appropriate distance apart, placed in opposition to each
other).
N/A 6. A landing must be present at the emergency exit in line with legal requirements. A landing is a level walking surface between
the doorframe and the stairs.

Yes 1. Evacuation paths must be illuminated in an emergency to assist people in traveling to emergency exits (i.e. emergency lights
providing illumination during an emergency in all lighting conditions)
2. Evacuation paths must be clearly identifiable and clearly marked signs that are visible in all lighting conditions (i.e. self
Critical illuminated)
Are emergency exits and evacuation
14.3.2 3. Floor markings and arrows are often used to direct people to the emergency exit.
paths clearly marked, and illuminated?
Major Insufficient inspections 4. Emergency exits must be marked with an illuminated sign at all times.
5. The factory is expected to conduct regular inspections, monthly inspection at a minimum.
6. Inspection records must be accurately maintained.
N/A 7. Inspection records must include inspector(s) details, dates and testing result.

Yes
1. Emergency exits and evacuation paths must be clear from obstruction (in addition to physical objects obstructing exits or
Critical paths, obstruction can include locking of any kind)
Are emergency exits and evacuation
14.3.3 2. Each worker must have access to emergency exits.
paths clear from obstruction?
Major Insufficient inspections
3. There needs to be proper access for fire department vehicles and other fire-fighting equipment in the factory premises.
4. The factory is expected to conduct regular inspections, weekly inspection at a minimum.

N/A

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Yes
Are emergency lights installed in line
14.3.4 with legal requirements? Critical 1. Emergency lights must be installed in line with legal requirements (i.e. lumens, location, power supply).

N/A

Yes

Critical
Are all emergency lights installed 1. At a minimum, the factory is expected to conduct monthly inspections. Inspection records must be accurately maintained.
14.3.5
functional? 2. Inspection records must include inspector(s) details, dates and testing result.
Major Insufficient inspections

N/A

1. Emergency exit doors need to be able to open freely in the direction of evacuation with a single motion (e.g. a door
knob/handle to turn then push open).
2. Unacceptable exit door examples include, but are not limited to, a glass to be broken or button to press before opening.
Are emergency exit doors Yes 3. Emergency exits doors must be side-hinged.
14.3.6 appropriate, operable and can be
4. Revolving doors are not acceptable.
opened with a single motion?
Critical 5. Sliding and rolling doors are not acceptable.
6. Inward opening doors are not acceptable.
7. Acceptance by local legal requirements differ from IETP requirements above will be reviewed by IETP.
N/A

1. Evacuation floor plan needs to indicate the following up-to-date key information:
Yes a. indication of current location (e.g. "you are here" marking),
b. emergency paths and exit doors,
Major c. exits,
Are evacuation floor plans with
14.3.7 d. location of firefighting equipment; and
required information posted?
e. designated safe assembly locations outside the building. (i.e. avoid location such as driving lane, chemical warehouse, loading
N/A area)
2. The evacuation floor plan must be displayed in all major areas (e.g. recreation room, canteen) in a highly visible position.
3. Instructions must be in the local legal language which workers can read and understand.

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14.4 Fire Fighting System

Yes
1. The number of fire extinguishers must be in line with legal requirements.
Is the number of functional and
2. All extinguishers must be functional.
14.4.1 appropriate fire extinguishers in line Critical
3. The factory must ensure correct fire extinguisher types are used in specific areas in the factory (i.e. extinguisher for
with legal requirements?
flammable liquids or gases can be different).
N/A

Yes
1. Fire extinguishers need to be installed:
Major a. according to legal requirements;
b. high enough above floor level to be visible and identifiable;
Are fire extinguishers properly
14.4.2 c. safely, avoiding hazards like tipping and falling;
installed? N/A d. with a travel distance less than 23 meters (75 feet) or the legal requirement, whichever is lower; and
e. in an upright position up to 1.5 meters (4.6 feet) to the top of the extinguishers or legal requirement, whichever is lower.
2. Fire extinguisher location must be marked posted in visible areas.

Yes

Are fire extinguishers clear from

14.4.3 Critical 1. The factory is expected to conduct regular inspections.
obstruction?

N/A

Yes

Are fire extinguishers fully charged Major 1. A system of inspecting, maintaining, and recharging of all portable fire extinguishers must be in place.
14.4.4
and inspected monthly? 2. Extinguishers must be inspected each month and recorded on a tag attached to each extinguisher.

N/A

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Yes

Is the sprinkler and fire hydrant

14.4.5 Critical
system functional?

N/A

Yes

Is the sprinkler and fire hydrant

14.4.6 Critical
system clear from obstructions?

N/A

Yes

Is the sprinkler and fire hydrant 1. At a minimum, the factory is expected to conduct monthly inspections. Inspection records must be accurately maintained.
14.4.7 Major
system inspected monthly? 2. Inspection records must include inspector(s) details, dates and testing result.

N/A

Yes
1. When a suction tank, elevated tank, or reservoir is present for fire hydrants and sprinklers, water level must be within 0.3
meter (1 foot) of the full level.
Is water supply adequate for fire Major
14.4.8 2. The factory must be able to prove that fire hydrant or sprinkler is connected to an adequate water supply.
hydrant or sprinkler system?
3. If the facility is connected to a public water source, they need to provide an external inspection report to prove they have
N/A adequate water pressure (an external report should be provided at least annually).

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14.5 Emergency Alert System

Yes 1. The alarm system needs to:

a. cover all areas in factory,
Critical b. have a back-up system in place in the event of loss of electrical power,
Is a functional emergency alarm
14.5.1 c. be the proper type (e.g. a flashing alarm for areas of high noise levels),
system installed appropriately?
d. have switches/control panels which are easily identifiable,
N/A e. be visually and aurally distinctive compared to other alerts (e.g. lunch bell),
f. be functional.

Yes
Are emergency alarm system
1. Emergency alarm system switches/control panels must be free from obstruction.
14.5.2 switches/control panels free from Major
2. The factory is expected to conduct regular inspections.
obstruction?
N/A

Yes

Is the installed alarm system 1. At a minimum, the factory is expected to conduct monthly inspections. Inspection records must be accurately maintained.
14.5.3 Major
inspected and tested monthly? 2. Inspection records must include inspector(s) details, dates and testing result.

N/A

14.6 Canteen

Yes
1. All catering service and dinning areas must meet legal requirements (i.e. environment, hygiene and facilities).
Do catering services meet legal 2. All catering service areas, equipment, and activities must meet the applicable laws, ordinances, and regulations of the
14.6.1 Major
requirements? jurisdiction in which they are located.
3. Where applicable, a copy of the license must be present and it must be in date.
N/A

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Yes 1. All catering service areas and activities must be carried out in accordance with sound hygienic principles.
2. The food dispensed must be wholesome, free from spoilage, and must be processed, prepared, handled, and stored in such a
Are catering service areas kept clean manner as to be protected against contamination.
14.6.2 Major
and hygienic? 3. Food service personnel must ensure that multi-use food preparation, serving equipment, and utensils are properly cleaned
before they are reused.
N/A 4. Food must be properly cooked.

Yes
1. Perishable food must be stored in appropriately temperature-controlled storage areas. There must be no sign of spoilage
and food must be within labelled expiry dates.
Are food storage methods and
14.6.3 Major 2. Cooked and uncooked food cannot be stored together.
controls adequate?
3. Food scraps and debris must be kept in containers and cleared of floor areas to prevent the likelihood of insects and vermin
being attracted to the food preparation and storage areas.
N/A

Yes

1. Trash must be managed for regular removal to be done in accordance with the rate of generation.
14.6.4 Is trash properly managed? Minor
2. A dedicated container with a cover for trash removal must be provided both inside and outside the canteen.

N/A

Yes
1. There must be a system in place that assures that personnel who handle, prepare, and/or serve food are in good health so as
Is there a system in place to ensure not to contaminate food with communicable diseases.
14.6.5 that food handlers are in good health Major 2. At a minimum, an annual physical exam record must be on file for such workers.
and well trained? 3. Workers who are found to have communicable diseases such as Hepatitis B or Tuberculosis, must not be allowed to work in
N/A the food service area.

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