Audit Firm: UL Responsible Sourcing Date: 21/11/14
Audit Report Private and Confidential
Factory Registration number: P000000003589 Audit Reference Number: A000000009125 ICP-F06 Ver.03
ICTI CARE Process Audit Report Factory Information Factory Registration Number:
P000000003589
Factory Name (English):
Xi Fu Plastic Product Co., Ltd.
Factory Name (Local Language):
东莞市喜富塑胶制品有限公司
Factory Address (English): Factory Address (Local Language):
Bldg. No. 8, Nanshan 2nd Industrial District, Yantian Village, Fenggang Town, Dongguan City, Guangdong Province, China 中国广东省东莞市凤岗镇雁田村南山第二工业区第8栋(营业执照地址:东莞市凤 岗镇雁田村南山第二工业区第8栋) Phone: 86-769-8756 4799
Factory Phone & Fax no.: Fax: Shiming
86-769-8756 4598
Factory Key Contact:
HE
No. of workers:
cdj-china@163.com/alee923@126.com 90
Total no. of employees:
116
Products:
Plastic Toys
Industries: Toy Associations:
Toys/Premiums Others - 其它地方玩具协会
Company Information Holding Company Name:
Xi Fu Plastic Product Co., Ltd.
Holding Company Address:
Bldg. No. 8, Nanshan 2nd Industrial District, Yantian Village, Fenggang Town, Dongguan City, Guangdong Province, China
Holding Company Phone no.:
86-0769-87564598
Holding Company Key Contact:
Shiming HE cdj-china@163.com
Audit Information Audit Date:
From 11/11/14 to 12/11/14
Audit Type:
IAA-Initial Annual Audit(2013)
Audit Firm:
UL Responsible Sourcing Lead Auditor: Penny Peng - 87
Auditors: Auditors: Kalon Xie - 4922|Penny Peng - 87
Executive Summary Seal A is recommended.
Audit Firm Conclusion Recommended * The final conclusion should be approved by ICP.
Findings Summary Finding Type Only for survey(not a finding) Only for survey(not a finding)
Finding Category
Finding Details
1.4 Smoke Sensor
The facility is not equipped with smoke sensor.
1.5 Fire Sprinkler System
The facility is not equipped with fire sprinkler system.
Audit Checklist Section 1: Factory & Audit Overview 1.1 General Information of this Audit None
Specific Situation observed:
The facility appeared well organized. All production related documentation were well filed and well checked.
Good Practices observed:
October 2013 to November 2014
Period of Time Records reviewed:
October 2013 to September 2014
Period of Payroll Records reviewed:
20
Sample Size: 1.2 General Description of the Factory
Disney, TRU, Hellokitty, Wal-mart
Major Customers:
On January 6, 2014
Date of Establishment as per Business License:
July to September
Peak Production Months: Dormitory Available?
Yes No more than 6 workers share one room
Number of Person per Room:
8
Number of Rooms for Female:
8
Number of Rooms for Male:
RMB60 per month
Rent for Dormitory:
None
Other Charges for Dormitory:
Guangji Hospital
Name of Nearest Hospital:
5-minute-driving
Time to Drive to Nearest Hospital: Clinic inside factory? Canteen inside factory? Meal Price in Canteen: Recreation Facilities Inside Factory: Factory Working Days System (5/6 days): Normal Work Hours and Shift Arrangement: Department(s) Running 2 Shifts: Department(s) Running 3 Shifts: Waivers from Government(please specify): Languages(s) Spoken by Workers:
No Yes RMB150 per month TV, Snooker 5 days 8 hours a day, Monday through Friday Injection molding section None None Mandarin
Mr. HE Shiming / General Manager Ms. LI Sicheng / HR Officer Ms. ZHENG Hongmei / Accountant
Key Management Staff (with job title):
In 2002
Year of the Main Building Constructed: Survey-Construction Fire Prevention Inspection Certificate available?
Yes
Issued on January 8, 2014 covering the production building and dormitory building
Survey-Final Acceptance of Construction available?
Yes
Issued on June 17, 2002 covering the production building and dormitory building
Survey-Smoke Sensor fixed?
No
The facility is not equipped with smoke sensor.
Survey-Fire Sprinkler System fixed?
No
The facility is not equipped with fire sprinkler system.
1.3 Factory Premises Description Multiple factories within a boundary?
No
Factory owns other sites outside the address of Business License?
No
Site 1 outside the address of Business License:
No
Site 2 outside the address of Business License:
No
Site 3 outside the address of Business License:
No
Site 4 outside the address of Business License:
No
Site 5 outside the address of Business License:
No
Total floor area of occupancy(m2): Total no. of buildings: No. of buildings (Production): No. of buildings (Warehouse): No. of buildings (Dormitory): No. of buildings (Others):
4868m2 2 1 0 1 0
1.4 Number of Employees Total number of employees(during Audit/Peak season/Low season):
:116/ 140/ 100
Manufacturing(during Audit/Peak season/Low season):
:78/102/62
Warehouse/Distribution(during Audit/Peak season/Low season):
:4/4/4
Quality Assurance/Control(during Audit/Peak season/Low season):
:8/8/8
Engineering(during Audit/Peak season/Low season):
:3/3/3
Maintenance(during Audit/Peak season/Low season):
:1/1/1
Administrative(during Audit/Peak season/Low season):
:14/14/14
Others(Please specify, during Audit/Peak season/Low season):
:8/8/8
1.5 Manufacturing Process and Capacity List
Injection molding, spraying painting, tempo printing, assembly and packing.
Key Manufacturing Process(please specify, e.g. injection molding, decoration, electronic, assembly, etc.)
When production is rush, the facility may use subcontractors to finish part of spraying painting and injection molding: Injection molding subcontractor name: Dongguan City Fenggang Xiufeng Plastic Toys Factory / Address: Huangniuling Industrial Zone, Jintou Village, Fenggang City, Dongguan City; Spraying painting subcontractor: Dongguan City Jinlongxin Toys Co., Ltd. / Address: JIA Bldg 5. Nanshan 2nd Industrial Park, Yantian Village, Fenggang Town, Dongguan City, Guangdong Province, China.
Major Subcontracted Process(please specify):
Blow Molding(Yes/No, and Units of machinery/facilities):
No
Rotational Molding(Yes/No, and Units of machinery/facilities):
No
Injection Molding(Yes/No, and Units of machinery/facilities):
Yes/ 10
Die Casting(Yes/No, and Units of machinery/facilities):
No
Spraying Painting(Yes/No, and Units of machinery/facilities):
Yes/ 2 spraying lines
Silk Screen Printing(Yes/No, and Units of machinery/facilities):
No
Tempo Printing(Yes/No, and Units of machinery/facilities):
Yes/ 20
Vacuum Plating(Yes/No, and Units of machinery/facilities):
No
Sewing(Yes/No, and Units of machinery/facilities):
No
Hair Rooting(Yes/No, and Units of machinery/facilities):
No
General Metal Work(Yes/No, and Units of machinery/facilities):
No
Metal Plating(Yes/No, and Units of machinery/facilities):
No
Wood Processing(Yes/No, and Units of machinery/facilities):
No
IC Bonding(Yes/No, and Units of machinery/facilities):
No
SMT-Surface Mount Technology(Yes/No, and Units of machinery/facilities):
No
Electronics Assembly(Yes/No, and Units of machinery/facilities):
No
Flat Belt Conveyor(Yes/No, and Units of machinery/facilities):
Yes/ 2
Paper Printing(Yes/No, and Units of machinery/facilities):
No
Others Manufacturing Process(Please specify, and Units of machinery/facilities):
Yes / Ultra-sonic machine: 3; grinding machine: 3
Section 2: Audit Checklist Part 02. Working Hours 2.1 Does the factory have a written policy for working hours and overtime in compliance with national and local law(s) or ICTI CARE Process requirements? 2.2 Do labor contracts meet regulatory and legal requirements? 2.3 Are working hours communicated and made available to all workers (such as Orientation, Employee Handbook, Notice
Yes
Employee working hours and wages regulations / XF-COC-004/ July 15, 2010
Yes
Yes
By orientation
Board, Library etc.)?
2.4 Are all hours worked documented (e.g., time cards)?
2.5 Do working hour and payroll records accurately reflect all time worked? 2.6 Are all hours worked per week within the ICP requirements?(Please refer to the details below)
Yes
All employees swipe IC cards to record their working hours. The established working hours of the facility is from 8:00-12:00, 13ďźš30 to 17:30. Night overtime is arranged from 18:30-21:30, on regular basis from Monday through Friday. The injection molding workers work on two shifts: day shift from 8:00-20:00ďźŒ night shift from 20:00-8:00, with two half hour meal breaks provided in the middle of each shift. Eight to 11 hours of rest day overtime is conducted on Saturday on regular basis. Sunday is always a rest day.
Yes In the past 12 full months, the weekly working hours of all the sampled workers are within 66 but over 60.
2.6.2 No. of weeks >60 and <=66 hours in past 12 months(if applicable):
> 12
2.6.3 No. of weeks >66 and <=72 hours in past 12 months(if applicable):
0
2.6.4 No. of weeks >72 hours in past 12 months(if applicable):
0
2.6.5 No. of occasional cases >72 hours in past 12 months(if applicable): 2.6-1st month(Full or partial month)Maximum working hours per day/per week in the retrieved period: 2.6-2nd month-Maximum working hours per day/per week in the retrieved period:
0
2.6-3rd month-Maximum working hours per day/per week in the retrieved period:
2014-01: 11 hours/ day & 66 hours/week
2.6-4th month-Maximum working hours per day/per week in the retrieved period:
2014-02: 11 hours/ day & 66 hours/week
2.6-5th month-Maximum working hours per day/per week in the retrieved period:
2014-03: 11 hours/ day & 66 hours/week
2.6-6th month-Maximum working hours per day/per week in the retrieved period:
2014-04: 11 hours/ day & 66 hours/week
2.6-7th month-Maximum working hours per day/per week in the retrieved period:
2014-05: 11 hours/ day & 66 hours/week
2.6-8th month-Maximum working hours per day/per week in the retrieved period:
2014-06: 11 hours/ day & 66 hours/week
2.6-9th month-Maximum working hours per day/per week in the retrieved period:
2014-07: 11 hours/ day & 66 hours/week
2.6-10th month-Maximum working hours per day/per week in the retrieved period:
2014-08: 11 hours/ day & 66 hours/week
2.6-11th month-Maximum working hours per day/per week in the retrieved period:
2014-09: 11 hours/ day & 66 hours/week
2.6-12th month-Maximum working hours per day/per week in the retrieved period: 2.6-13th month(Current, full or partial month)-Maximum working hours per day/per week in the retrieved period:
2014-10: 11 hours/ day & 66 hours/week
2013-11: 11 hours/ day & 66 hours/week 2013-12: 11 hours/ day & 66 hours/week
2014-11: 11 hours/ day & 66 hours/week
2.7 Are workers entitled at least one day off in a predefined week?
Yes
2.8 Are workers allowed adequate breaks?
Yes
A week is defined from Monday to Sunday. At least one rest day is provided in every week.
Part 03. Wages and Compensation 3.1 Does the factory have written policy on wages, benefits and compensation, which is in compliance with the national and local laws?
Yes
Wages and Compensation Policy / XF-COC-011/ May 6, 2013
3.2 Are legal and company minimum wage rates posted or available to workers (such as Orientation, Employee Handbook, Notice Board, Library etc.)?
Yes
3.3 Do wages and compensation meet legal and policy requirements?
Yes
3.4 Are workers aware of these withholdings and other deductions in writing prior to employment (such as Orientation, Employee Handbook, Written Policy, Employment Contract, Notice Board, Library etc.)?
Yes
By orientation and policy posted on work floor.
Minimum Wages: RMB 1310 per month/Effective Date: May 1, 2013/Minimum Hourly Rate: RMB 7.53/Work Day OT Rate: RMB 11.3/Rest Day OT Rate: RMB 15.06 /Holiday OT Rate: RMB 22.59. According to the provided payroll registers, all workers are paid by hours. The hourly wage ranges from RMB7.53 to 13.22 based on different position and skill level. The regular,rest day and statutory holiday overtime hours are compensated at 150%, 200% and 300% of the regular wage. In addition, the workers are paid with position subsidy of RMB140 per month, attendance bonus of RMB30 per month. Night shift workers are paid with night shift subsidy of RMB2 per night. In the latest paid month, the net wages of the sampled workers range from RMB2500 to RMB2900.
By orientation
RMB144.96 per month for pension. The facility bears employees' part of withholding for medical and unemployment insurance. In addition, the actual pension withholding for employee should be RMB159.46 per month since August 2014, while the facility still withhold RMB144.96 from the workers on the consideration of it is hard to recruite workers recently and most of the workers have a conflict psychology regarding social insurance. The facility bears the rest withholding for the workers.
3.5 Are legally required withholdings being withheld correctly, and being paid to the proper agency(s)?
Yes
3.6 Are deductions for food and housing reasonable and legal?
Yes
Food is charged at RMB150 per month, housing is charged at 60 per month.
3.7 Is the replacement cost for factory provided items reasonable and legal?
N/A
The facility does not charge for the provided items and the replacement of the items are also free of charge.
3.8 Are legally required benefits provided (social insurance, annual leave, sick leave, maternity leave)?
Yes
3.9 Do workers receive detailed pay stubs?
Yes
3.10 Are workers paid in a timely manner?
Yes
3.11 Are wages paid directly to workers?
Yes
No. of workers covered by Medical: 92 /Retirement: 23/Unemployment: 23 /Maternity: 23 /Work place injury insruance: 92. In addition, the facility provided commercial accident insurance to 50 employees. Currently, all employees hired are covered by work place injury insurance or accident insurance.
Wages are paid off to the employees on about 30th of each month by cash. The terminated workers are paid off within 3 days of termination. All wages are paid by cash.
Part 04. Underage Labor 4.1 Does the factory have a written policy specifying the youngest age for workers in the factory in compliance with national and local law? 4.2 Does the factory have a written policy/procedure specifying restrictions on young workers in compliance with national and local law? 4.3 In the absence of law, does the factoryâ&#x20AC;&#x2122;s policy meet the ICTI CARE Process requirements? 4.4 Are persons responsible for hiring
Yes
Child labor and Young Worker Management Procedures / XF-COC009/ July 15, 2010
Yes
Child labor and Young Worker Management Procedures / XF-COC009/ July 15, 2010
N/A
China has law regarding local minimum working age. The facility meets the law.
workers adequately trained to ensure no underage workers are employed and young workers are identified and assigned to legally permitted work positions? 4.5 Are local laws and/or policies communicated to all workers? 4.6 Are hiring practices in compliance with the policy and local laws?
Yes
Yes Yes
4.7 If young workers are present, are they on assignments allowable, as specified by law?
Yes
4.8 Are documents supporting age information kept on record?
Yes
Ms. LI Sicheng / HR Officer
By orientation and policy posted on work floor. 16 years old Currently there is one young worker hired at the facility. The young worker is provided with free health check and assigned in Assembly position.
Part 05. Forced Labor & Prison Labor 5.1 Does the factory have a written policy concerning forced labor, which meets the requirements of the ICTI CARE Process requirements? 5.2 Is there trained staff responsible for ensuring voluntary hiring? 5.3* Is force labor being prohibited in the factory?
Yes
Yes
Ms. LI Sicheng / HR Officer
Yes
5.4 Is overtime voluntary?
Yes
5.5 Do hiring documents indicate voluntary employment?
Yes
5.6 Is there broker/agent confirmation of voluntary hiring?
N/A
5.7* Is bonded labor being prohibited in the factory? 5.8* Are workers permitted to leave employment after giving reasonable notice? 5.9* Is there no evidence of the use of security staff and/or supervisor to coerce workers? 5.10* Do workers have freedom of movement during the course of their employment? 5.11 Does the factory have a written policy against the use of prison labor in their facility or subcontracting to prisons? 5.12* Is there no evidence of the use of prison labor?
Voluntary Labor Policy / XF-COC-007 / July 15, 2010
Employee working hours and wages regulations / XF-COC-004/ July 15, 2010
All employees are directly hired by the facility. No broker or agent is used.
Yes Yes Yes
3 days within probation period, 30 days after probation. Security Guard Job Description / XF-COC-032/ July 16, 2010
Yes
Yes
No prison Labor policy / XF-COC-010/ July 15, 2010
Yes
Part 06. Disciplinary Practices 6.1 Does the factory have a written policy/procedure regarding disciplinary practices which provides freedom from mental, physical or verbal abuse? 6.2 Is the procedure communicated to all workers? 6.3 Is there a training program to effect the procedure? 6.4* Is the use of corporal punishment or physical coercion being prohibited in the factory? 6.5* Is the use of mental or verbal abuse or intimidation being prohibited in the factory? 6.6* Is the use of security staff to discipline workers being prohibited in the factory? 6.7 Do workers have means to report
Yes
Yes Yes
Employee Handbook / No number / No issue date
By orientation upon recruitment. LU Lusheng / Assembly worker - Hired and trained on November 6, 2014
Yes Yes Yes Via suggestion box, or report to the facility management, employee
abusive disciplinary practices to someone other than a direct supervisor? 6.8 If instances of non-compliance have occurred in disciplinary practices, have adequate measures been taken to ensure the offence is not repeated? 6.9 Are disciplinary fines or economic compensations reasonable and in compliance with local laws?
Yes
representative directly
Yes
N/A
No fine or economic compensation is conducted at the facility.
Part 07. Discrimination 7.1 Does the factory have a written policy against discrimination in compliance with national and local laws? 7.2 Has the factory designated a person with responsibility for communicating, implementing, and enforcing the nondiscrimination policy? 7.3 Has the factory communicated the policy, practices and procedures to the workers and in writing to any third parties that may recruit and screen applicants on its behalf? 7.4* Is the discrimination in recruitment, workplace or patterns of dismissal being prohibited in the factory?
Yes
Yes
Yes
No discrimination policy / XF-COC-002/ July 15, 2010
Mr. LUO Langping / Project Manager
By orientation
Yes
Part 08. Employee Representation 8.1 Does the factory have written policies that recognize and respect the right of employees to exercise their lawful rights of free association and collective bargaining? 8.2 Do workers have the ability to approach upper management, in addition to their direct supervisor, on issues of concern? 8.3 Are there freely selected employee representative(s) in place? 8.4 Are there management representative (s) appointed to interface with employee representative(s)? 8.5* Are there regularly scheduled meetings between worker representative(s) and management? 8.6 Are the employee representative(s) aware of the ICTI CARE Process, and supporting documents, or the factory equivalent? 8.7 Is there evidence of management action on issues or concerns relating to the ICTI CARE Process? 8.8 Do workers being informed of the ICTI CARE Process Helpline information? 8.9* Is the unequal treatment between employee representative(s) and other employees being prohibited in the factory?
Yes
Employee Representative Working Regulations / XF-COC-012/ July 15, 2010
Yes
Via suggestion box, or report to the facility management, employee representative directly
Yes
Yes
Yes
Yes
Yes
On August 11, 2014 / a total of 6 employee representative: LONG Shiqin &PANG Ping / Assembly workers; CHEN Jie & PAN Hongqiong / Injection molding workers ; LIANG Jinhua/ Spraying painting worker; ZHANG Fenbai -QC worker. Mr. HE Shiming / General Manager
Bi-monthly meeting, latest meeting on October 20, 2014
PANG Ping / Assembly worker
The workers are free to raise their suggestion or grievance via suggestion box, or report to facility management and employee representatives directly. According to the meeting minutes and suggestion box open records, no grievance or suggestion raised by any one in the past 12 months.
Yes Yes
Part 09. Facilities 9.1 Does the factory have a written policy to adopt the national and local laws governing the health, safety, environmental and working conditions in its facilities?
Yes
Procedure No.:XF-COC-003, Name:EHS Policy, Issue date: July 15,2010
9.2 Is there a senior management representative responsible for health, safety, welfare, and general facilities? 9.3* Is the factory cleaned and maintained in good condition? 9.4 Are routine housekeeping inspections conducted? 9.5 Are issues identified during the inspection corrected? 9.6 Are all machinery, equipment, and facility maintained in safe working condition and adequately repaired following breakdown? 9.7 Is an effective means of communication available for internal and external emergency notification?
Yes Yes Yes N/A
Yes
Ways of Communication, Internal:13537021177,13827235836,87564799, External: 119/120/110
9.9 Do general ventilation controls provide a safe working environment?
Yes
9.10 Is lighting adequate?
Yes
9.11 Is there regular and systematic refuse collection?
Yes
Yes
N/A
9.15 If the factory had any citations or penalties from violations of working condition laws in the past 12 months, have they all been corrected within the required time frame?
N/A
9.19 Are security guards trained to identify unsafe behaviors and unsafe conditions?
Temperature during the audit: 24 degrees/Comments on historical records, controls and the program:The facility had established procedure on it: when the temperature is over 30 centi degree, fans had been turned on; when the temperature is below 4 centi degree, employees are reminded to warm more clothing, or the facility would re-arrange the working time. And meters had been installed on work floors for monitoring the temperature.
Frequency of collection: daily, Date of latest collection: November 10,2014
Yes
9.14 Have the boilers, unfired pressure vessels, and furnaces been professionally inspected?
9.17 Are adequate toilet facilities available, functional, and in clean condition? 9.18 Are hand-washing facilities available, functional, in clean condition, and located within the toilet facilities area?
Date of the last CAP was closed: N/A Frequency of safety check: Daily and date of latest safety check: November 11,2014
Yes
9.16 Do all workers have access to potable water for drinking purposes?
Frequency of inspection:Weekly, Date of latest inspection: November 03,2014
Yes
9.8 Does the factory have heat/cold stress mediation program?
9.12 Has the physical and structural integrity of all buildings been professionally assessed? 9.13 Are allowable floor loading weights determined, posted and adhered to?
Name and title of representative(s): Luo Lanping/Safety Director
Yes Yes
550kg/m2 As per TSG-R0003-2007 Simple Pressure Vessels Safety and Technical Regulations, qualified regular inspection for simple pressure vessel is not required.
No such case.
Date of latest test: March 13,2014, Testing lab: Shenzhen Qinghua Huanke Testing CO.,LTD Ratio of toilet for men: 1:3; Ratio of toilet for women: 1:6
Yes
Yes
Date of latest training on security qualification: Not reflected on certificate,Date of latest training on health and safety : September 23,2014
Yes
Procedure No.:XF-COC-038, Name:Emergency Accident handle Procedure and Emergency fire preparedness Plan and Response Control Procedure, Issue date: July 16,2010
Part 10. Fire Protection 10.1 Does the factory have an adequate written emergency preparedness plan to handle natural disasters, fire emergencies, and industrial accidents?
10.2 Are workers trained on fire prevention and emergency preparedness plans during orientation training and semi-annual refresher training? 10.3 Have sufficient site coordinators been designated and trained to administer the fire prevention procedures and emergency preparedness plans? 10.4 Does the site have an emergency alarm system for notifying personnel to evacuate the site? 10.5 Are functional emergency lightings installed in appropriate locations and inspected periodically? 10.6* Are aisles and emergency exit doors clearly marked, illuminated, accessible, and kept clear of obstructions, internally and externally? 10.7 Are evacuation routes posted in the work areas with clear directions in the native language on how to exit? 10.8 Does each worker have access to an appropriate number of properly located emergency exits? 10.9 Are doors, passageways, or those that could be mistaken for emergency exits, appropriately marked “NOT AN EXIT”? 10.10 Do emergency exits doors open freely (unlocked) in the direction of travel, and without any special knowledge to open? 10.11* Have semi-annual emergency evacuation drills been conducted with detailed records including dates and results? 10.12 Is trash stored in non-combustible containers and emptied on a regular basis? 10.13 Are inflammable scraps, debris and waste materials (e.g. oily rags) stored in covered metal containers and removed from the work site promptly? 10.14 Are the areas free of excessive combustible materials? 10.15 Are floors kept clean from spills and materials? 10.16 Are containers of flammable and combustible materials properly stored, and labeled with their contents and hazard warnings in local language? 10.17 Are smoking rules observed? 10.18 Is heat producing equipment such as portable heaters, motors, ovens, etc., kept clear of combustible materials (including dust, grease, oil, and fibers)? 10.19 Are materials properly stored inside and outside of the building?
Yes
The latest training date:October 21,2014,Department:Injection molding section
Yes
Name and title of the coordinators:Luo Lanping,Date of training: June 19,2013
Yes
Frequency of test:Monthly,The latest date of test: November 03,2014
Yes
Yes
Frequency of test: Weekly,The latest date of test: November 03,2014 / Remark: 1 out of 2 emergency exits in the dormitory was missing the emergency lights. The facility corrected this during the audit. Frequency of inspection:Weekly,The latest date of inspection: November 03,2014
Yes
Yes
Yes
Yes
Yes
Yes
Production area： Yes,Dormitory areas: Yes, Latest drill date: June 21,2014, participant percentage:95.9%, and evacuation time: 2'30'' Frequency of collection: daily
Yes
Yes Yes
Yes
Yes
Non-smoking areas: the whole production workshop
Yes
Yes
10.20 Are electrical equipment and wiring properly maintained, covered/insulated to prevent exposure of wires?
Yes
10.21 Are wires properly attached to fixtures, plugs, circuit breakers, and other equipment?
Yes
Number:One and name of qualified electrician:Chen Shuisheng,Certification number:T440923196808105730, and expiry date:October 31,2018
10.22 Are covers in place for junction boxes, outlets, panel boards and are they free from obstruction? 10.23 Is there a lightning protection system? 10.24 Are flammable materials properly stored in metal safety cabinets and/or properly ventilated flammable storage rooms with appropriately protected electrical systems? 10.25 Are flammable liquids stored in appropriate containers and equipped to prevent the build-up of static charge during dispensing 10.26 Is secondary containment used for bulk liquid chemical storage? 10.27 Does the site have a hot-work procedure established for operations using flames or producing sparks (welding/grinding/cutting/brazing/soldering)? 10.28 Are gas cylinders properly marked, used, inspected, stored and secured? 10.29 Are combustible dust operation areas maintained and clean (wood/flour/starch)? 10.30 Are solvent spraying, coating or dustproducing operation areas maintained and constructed of non-combustible materials with adequate ventilation and/or at least 20 feet(6 meters) from flames, sparks, electric motors, ignition source? 10.31* Is adequate local ventilation present to prevent accumulation of flammable vapors during spraying operations? 10.32 Are personnel properly trained in the handling and use of flammable and combustible materials? 10.33 Are adequate and appropriate fire extinguishers available, clearly marked, visible, and accessible? 10.34* Are fire extinguishers fully charged and visually inspected monthly?
Yes
Yes
Date of the latest inspection/maintenance: October 12,2010, The inspection company:Lighning Prevetion Equipment Inspection and Testing Institute of Dongguan City
Yes
Yes
Yes
Yes
N/A
Procedure No.:XF-COC-055, Name:Hot-working Management Rule, Issue date: October 24,2010. The latest hot-work permit issue date:August 11,2014, and expiry date:August 11,2014, Qualified workers number:One, name:Liu Zhengtao and ID:T420684198412282513,Fire watch person:Luo Lanping No gas cylinder in the facility.
Yes
Yes
Yes
Velocity measurement frequency: daily,measurement result:0.85 to 0.92m/s, Filter cleaning frequency: Daily
Yes
Date of the latest training:October 21,2014,departments and workers name:Tang Hecheng/ Injection molding section
Yes Yes
Frequency of inspection, date of the latest inspection:
10.35 Are emergency response personnel trained on proper use of fire extinguishers?
Yes
Frequency of the training: 6 months per time, and date of the latest training:June 21,2014,Names of the trained department: all department, and number of the trained workers: 6
10.36 Are other fire fighting equipment routinely inspected and maintained?
Yes
Frequency of inspection: Weekly, and date of the latest inspection: November 03,2014
10.37 Are fires investigated to determine root causes and examined to prevent a reoccurrence?
N/A
No such case occurred before.
Part 11. Environmental, Health, and Safety(EHS) 11.1 Does the factory have a written EHS management system that includes policies and procedures for environmental, health, safety (EHS) and working conditions? 11.2 Is the factory’s EHS policy available to all workers in the local language? 11.3 Has the factory designated a qualified EHS coordinator?
Yes
Procedure No.:XF-COC-046, Name:EHS Guiding Priciple, Issue date:July 17,2010
Yes
Yes
Name, position and qualification details of the coordinators:Luo Lanping/ID No.: 43052319810327111X,Certificate No.: 粤安初 G203282， issue date: June 19,2013.
11.4* Does the factory have an EHS committee/team?
Yes
11.5 Does the factory promote workplace EHS awareness?
Yes
11.6* Is job-specific EHS training/education provided to all workers prior to starting a new job?
Yes
11.7 Are all workers given the opportunity to voice EHS opinions/concerns?
Yes
11.8 Are there controls in place to prevent new components, materials, chemicals, machinery, and products from being introduced into the factory, which have not been reviewed for potential EHS hazards? 11.9 Are all chemical containers properly labeled with their respective hazards? 11.10 Have workers been trained on chemical safety? 11.11 Are up-to-date MSDS available for all chemicals produced, imported, stored and used onsite? 11.12 Is a current chemical inventory available for all hazardous chemicals produced, imported, stored and used onsite? 11.13 Are functional emergency eyewash stations and showers provided where corrosive chemicals or high volumes of solvents are handled and used? 11.14 Are storage and process tanks, piping, and valves containing hazardous chemicals labeled and/or color-coded? 11.15 Are contractors given site specific training on EHS rules? 11.16 Does the factory have a procedure requiring workers and management to report all accidents and near misses and corresponding corrective/preventive action? 11.17 Are all accidents and near misses investigated? 11.18 Have any workers not faced punitive action for reporting accidents? 11.19 Is loose clothing, jewelry, and long hair prohibited near moving machinery? 11.20 Have workers been trained on the subject of machine safeguarding? 11.21* Are machine safeguards provided and used on operation points, transmission devices, hazardous moving parts, pulleys and belts, and fan blades etc.? 11.22 Are adequate starting/stopping controls provided to each operator and protected from accidental activation? 11.23 Are any machines, equipment and fixtures not covered above in safe operating condition, such as cords, plugs, rotating parts and guards, hand tools and portable power tools? 11.24 Is adequate overall ventilation provided where chemicals and pollutants (e.g., solvents, solder, and dust) are used?
Yes
EHS committee meeting frequency:Two months per time and the latest meeting date:September 23,2014 Training, Posted on notice board. The most recently trained workers name:Luo Yuanguang, department:Injection molding section and training date: October 21,2014 Suggestion box or reported to supervisor. Procedure No.: XF-COC-025, Name:New Material, New Equipment, New process Management Procedure, Issue date: July 16,2010. Date of Last Assessment: No new material or new process used in the past one year.
Yes Yes
Yes
The most recently trained workers name:Zhou Yongping, department and training date:Spraying painting, September 04,2014 Solvent and Paints
Yes
Yes
Yes Yes
Date of latest training: August 11,2014
Yes
Procedure No,: XF-COC-038, Name: Accident Handle Procedure, Issue date: July 16,2010
Yes
The type of the most frequent accident: No accident was occurred in the past two year. and the corresponding corrective action: N/A
Yes Yes Yes
Yes
Yes
Yes
Yes
The interviewed employees reported that they are trained on the machines safety training.
11.25 Are all workers exposure maintained within acceptable permissible exposure levels? 11.26 Does the factory have a written procedure for the control of hazardous energy lockout tagout? 11.27 Is training provided to all authorized users, affected workers, or other workers who are impacted by the hazardous energy control procedure? 11.28 Are sufficient lockout and tag out isolation devices available? 11.29 Is the energy to equipment and machinery locked out prior to service or maintenance? 11.30 Has a hazard assessment been completed which identifies the personal protective equipment (PPE) required for each operation? 11.31* Is required personal protective equipment provided to workers and visitors according to the hazard assessment? 11.32 Have applicable workers been trained on the proper use, cleaning and storage of personal protective equipment? 11.33 Is appropriate signage posted in all areas where personal protective equipment must be worn? 11.34 Have all crane/hoist operators received job-specific safety training? 11.35 Are inspections conducted on cranes, hoists, slings, and lifts? 11.36 Are capacity limits clearly marked on cranes, slings, hoists and lifts? 11.37 Are stairs provided with standard handrails and mid-rails? 11.38 Are open stairs, platforms, and elevated floors guarded by railings on open sides or are personal fall protection devices and equipment provided?
Yes
Date of test: March 23,2014, and the test lab name: Shenzhen Qinghua Huanke Testing CO., LTD
Yes
Procedure No.:XC-COC-028, Name: LTT Procedure, Issue date: July 16,2010
Yes
The most recently trained workers name:Chen Shuisheng, department and training date: Maintaince, November 10,2014
Yes Yes
Yes
Yes
Yes Yes
Yes
Yes
Noise: Earplug, chemicals: Mask, goggle, gloves, molding section: steel tie-shoes
Employees reported that the proper PPE are provided to them and they know how to use. Must wear the glove and mask in spraying painting section. Only the manual hoist in the facility. Date of last inspection:Daily inspection, the latest inspection: November 10,2014,and inspection department: Injection molding supervisor Manual hoist: 2 tons
Yes
Yes
Yes
11.40 Have authorized forklift operators received forklift safety training?
N/A
11.45 Have workers who enter confined spaces been trained on confined space entry requirements? 11.46 Are confined spaces identified and secured from unauthorized entry? 11.47 Are there â&#x20AC;&#x153;Stopâ&#x20AC;? signs, mirrors, and speed limit signs posted in areas where vehicle and pedestrian traffic may be
The maintaince staff is aware of the logout and lockout procedure.
Yes
11.39 Are elevated work platforms (i.e., baskets) secured to the lifting device (i.e., forklift, high lift, etc.)?
11.41 Are forklifts inspected daily and maintained at least once a year? 11.42 Are all ladders used in good condition? 11.43 Are floor and roof openings covered or protected to prevent falls? 11.44 Does the factory have a written procedure for entry into confined space areas?
Injection machines
N/A
List of the cargo lift: One, and their latest annual inspection date:December 27,2013, valid date:January 01,2015, and inspection agency:Special Equipment Inspection and Testing Institute of Guangdong Province No forklift in the facility. No forklift in the facility.
Yes Yes Yes
Procedure No.:XF-COF-033, Name: Confined Space Operation Management Rule, Issue date: July 16,2013
Yes
The most recently trained workers name:Chen Shuisheng, department and training date:Maintaince, November 10,2014
Yes
Yes
present? 11.48 Are trailers/containers secured from movement prior to entry for loading and unloading? 11.49* Is hazardous waste stored properly with appropriate warning label and at least weekly inspection? 11.50 Is hazardous waste management training provided to all workers who handle or transport hazardous waste?
Yes
Yes
Yes
11.51 Is all hazardous waste disposed of through qualified collector at permitted facilities?
Yes
11.52 Are indoor and outdoor hazardous wastes stored in a safety place and properly managed?
Yes
11.53 Does the factory have an industrial process waste water discharge permit?
N/A
11.54 Does the factory have air discharge permits if required by the local environmental agency?
Yes
11.55 Are air pollution control systems properly maintained and operated?
Yes
11.56 Does the factory have a domestic waste water discharge permit if required by the local environmental agency? 11.57 Is secondary containment provided for all storage tanks if required by local regulations or are procedures or systems in place to identify leaking from underground storage tanks?
Yes
N/A
The interviewed workers reported that they know how to dispose the hazardous waste. Name of collector:Guandong Longsan Environment HighTechnology Industrial Group Co.,LTD,contract period:August 20,2014 to August 19,2015, and the latest manifest date:July 18,2014
Based on the EIA and onsite observation, no industrial wast water generated in the facility. Name of the permit issuing authority: Dongguan City Environment Protection Burea, and the issue date:June 23,2014; Air discharged testing report: Issued agent: Shenzhen qinghua Huanke Testing Co., LTD. Date of testing: March 13,2014 The facility monitor the air dicharged by yearly. Cleaning frequency:Quarterly, and agency name:Yantian Village Environment and Sanitation Station
No such containments in the facility.
Part 12. Welfare-Dormitories, Canteen and Medical 12.1* Are dormitory facilities located in a separate non-industrial facility? 12.2 Is worker number per room not more than 12? 12.3 Does each worker have sufficient living space and have a secure locker in the dormitory?
Yes
Yes Yes
12.4 Are there adequate toilet and shower facilities?
Yes
12.5* Are dormitories kept clean and maintained in good condition?
Yes
12.6 Is a laundry facility available?
Yes
12.7 Is a recreation area available?
Yes
12.8 Does building appear structurally sound and in good repair?
Yes
12.9 Are there written dormitory rules for residents and/or guests to follow? If so, are they posted in the local language? 12.10 Are appropriate actions taken for not following dormitory rules?
Yes Yes
One 6-level dormitory building (No.9) was used for dormitory. The audited facility rent the 1st floor to 5th floor of dormitory building. The canteen is at the 1st floor. 2 to 4 employees share one room. around 4 square meters Number of workers per shower facility for male and female:3:1,Number of workers per toilet stall for male and female: 3:1
The latest inspection date:May 21,2002 and authority name: Dongguan City Construction Burea
12.11 Are workers permitted to exit and reenter the dormitory freely during their personal time off from work? 12.12 Are dormitory rooms, toilets, and showers provided with privacy and segregated between men and women? 12.13 Are security measures taken to protect workers and their property? 12.14 Does the dormitory have a written procedure for fire safety and emergency preparedness in compliance with Section 10? 12.15* Are emergency exit doors in the dormitory unlocked when occupied to allow unobstructed evacuation? 12.16* Are dormitory aisles and exits clear to allow unobstructed evacuation? 12.17 Is trash properly disposed of in dormitory facilities? 12.18 The dormitories meet all national and local regulations regarding dormitory/living conditions? 12.19 Does the canteen/cafeteria meet all national and local regulations regarding canteen/cafeteria conditions? 12.20 If food preparation areas are subject to national and local government audit or licensing, has approved audit/license been received? 12.21 Are food service areas kept clean and hygienic?
Yes
Yes Yes
Yes
Yes Yes Yes
Yes
Yes
12.23 Is food kept clear of the floor areas?
Yes
12.28 Does each shift have adequate personnel trained in first aid and cardiopulmonary resuscitation (CPR)? 12.29* Are first aid supplies reasonably available at the production facility and dormitory?
License number:粤餐证字（2014）第1902D2362号， and valid date: March 17,2014
Yes
Yes
12.27 Does the factory keep injury/illness records and are they used for corrective actions?
Procedure No.:XF-COC-038, Name:Emergency Accident handle Procedure and Emergency fire preparedness Plan and Response Control Procedure, Issue date: July 16,2010
Yes
12.22 Is there a system in place to ensure that food handlers are in good health and well trained?
12.24 Are food storage methods and controls adequate to prevent spoilage? 12.25 Does the factory have written procedure for handling medical emergencies? 12.26 Is an on-site medical clinic or a nearby public emergency medical treatment facility available?
No curfew time.
Frequency of health check: Annual, and name of check organization:Guangji Hospital of South Medical University; Number of Food handlers:2,Number of health certification:2,The latest training date:April 13,2014
Yes Yes
Procedure No.:XFO-056, Name:Work related injury Dispose Procedure, Issue date: September 18,2012
Yes
Yes
The latest injury date and analysis date:N/A. Based on the statement of facility, no work-related injury was occurred in the past two years.
Yes
Number of trained personnel of each shift:Daily shift: 4, night shift:2; and the latest training date: July 07,2014
Yes
12.30 Does the factory have a bloodborne pathogen process?
Yes
12.31 Is medical waste segregated and properly disposed of?
N/A
Procedure No.: Bloodborne Pathogen dispose Method, Issue date: July 16,2010 No medical clinic in the facility.