Factory Compliance and Code of Conduct Questionnaire
I. Background
A. Auditor and Factory Contacts
Audit Date: ______
Factory Name and Address (specify if more than one facility): ______
Factory Telephone: ______
Factory Fax: ______
Factory E Mail: ______
Factory Contact (Name & Title) responsible for questionnaire preparation: ______
Auditor’s Name: ______
Auditor’s Title: ______
Auditor’s Employer: ______
B. Factory Ownership
Name(s) of Factory Owner(s) and General Manager(s): ______
Name of Parent or Holding Company (if any) that owns the factory: ______
Telephone: ______Fax: ______
Name of Factory Export Manager: ______
Factory Bank, Bank Address and Account Manager: ______
Applicable insurance co. and policy nos.: ______
______
If applicable, list all other factories/vendors at this facility: ______
C. Local Authority
Do local laws govern workplace safety and if so, please specify: ______
Does the local government audit or inspect the factory? ______
If so, do the audits or inspections also include worker’s rights and environmental concerns? ______
When was the last time the factory was inspected or audited, who performed it and how often are such audits or inspections performed? ______
Have local or foreign authorities cited or penalized the factory for any reason relating to health, safety or workers rights within the past three years? If yes, please describe? ______
Have the conditions subject to the citation or penalty been corrected? If so, please explain how and provide any supporting documentation: ______
Is the local inspection or audit system, to your knowledge, fair, knowledgeable and correct?______
Are there any legal actions not mentioned above that are currently pending or have been pending within the past three years against this facility, its owner(s) or manager(s)? ______
Is there any evidence that the manager(s) or owner(s) of this factory have violated local laws or regulations? If so, please specify: ______
D. Factory History
When did the factory begin supplying goods to Polaris: ______
Please describe the product(s) and quantities produced for Polaris over the past 12 months: ______
Do you expect production for Polaris will continue over the next year? If so, please list anticipated products and quantities: ______
What percentage of this factory’s space/equipment/workforce is used for Polaris products? ______
List other buyers/labels using this factory or other factories owned by owners of this factory: ______
E. Current Sub-Contracting Arrangements
List the names and addresses of all sub-contractors used by this factory for Polaris and identify the products, components or materials supplied by each subcontractor: ______
F. Community Relations
Does the management of this facility contribute to helping the community, and if so, how? ______
G. Environmental Protection Policies
Does this factory take steps to control air, land or water pollution? If so, please explain: ______
Is this factory in compliance with local environmental laws? ______
Do local government officials inspect the factory for environmental concerns, and if so, are such inspections fair, knowledgeable and correct?______
Are environmentally friendly materials (for example, recycled and non-toxic products) predominantly used? ______
Where does the factory discharge its sewage? (E.g. municipal sewage, septic tank, deep well injection, etc.)______
Are any factory associates exposed to raw sewage?______
If yes, please explain: ______
Does the factory use Azo dyes, formaldehyde, pentachlorophenol or nickel in manufacturing or incorporate components with these substances in its products? ______If so, please specify the product, processes and amount of the specified substance: ______
What other chemicals are stored on-site?______
Are chemicals separated from materials and machines and stored safely, away from sunlight in a cool, dry room?______
Are the containers free of leakage?______
Are the caps tightly in place?______
Is the chemical storage room labeled “no smoking?”______
How does the factory dispose of empty chemical storage containers?______
- Workforce Profile
What is the total number of employees at the factory (workers plus office staff):______
Please specify: Workers ______Office Staff ______Management ______
Does the factory employ foreign nationals? ______
If yes, how many, from what countries, and in what capacity? ______
What language is spoken by factory management and supervisory personnel? ______
What language(s) do the factory’s employees speak? ______
What is the age range of the employees? ______
- Personnel Policies
Do the factory employees have ID cards? ______
Are the’ ID card hard copies kept on site? ______
Does this facility have written personnel policies and work place rules? ______If so, please enclose a copy.
Are workplace policies and rules posted where they can readily be viewed by the workers? ______
In what language(s) are the personnel policies and workplace rules posted? ______
Are people hired and promoted on the basis of their ability to do the job rather than on the basis of personal characteristics and beliefs? ______
Are workers favored based on race, color, national origin, gender, disability, or other similar factors? ______
Are there any employees or staff at the factory involuntarily? ______If so, please explain: ______
To the best of your knowledge have prisoners ever worked at the factory? ______
- Termination of Employment
Does the factory have a personnel manager?______
If yes, what is his or her nationality? ______
Are records kept of dismissed employees? ______
If so, who keeps them and how long are they kept? ______
Are the above records readily accessible and/or easily retrievable for review? ______
Does the factory pay severance upon termination as required by law?______
If yes, explain if it is paid in full or negotiated: ______
What is the factory’s approximate employee turnover rate for the past year? ______
- Harassment
Are you aware of sexual harassment or of any reports of sexual harassment at this facility? ______
If so, what action was taken or is currently being taken to correct such incidents? ______
- Disciplinary measures
How does the factory discipline a worker in the event such actions are necessary? ______
Are disciplinary measures permitted to include physical force or punishment? ______
Are the workers ever subject to mental or physical force or abuse in connection with their employment? ______If so, is there any physical evidence of such force or abuse? ______
Is there a procedure to review disciplinary measures taken against employees?______
If so, please explain: ______
F. Wages (When applicable, please specify currency)
Are employees paid by the hour and if so, at what rate per hour? ______
Are employees paid by the piece and if so, how is the piece rate calculated? ______
What is the minimum hourly wage required by law? ______
What is the minimum hourly overtime wage required by law? ______
What percentage of the factory’s workforce consists of untrained workers, and what work is performed by untrained workers? ______
Please advise the following: (Specify US $ or Local Currency)
Hourly wage for: Trained employees: ______Untrained employees: ______
Weekly wage for: Trained employees: ______Untrained employees: ______
Lowest hourly wage to: Trained employees: ______Untrained employees: ______
Average wage paid to: Trained employees: ______Untrained employees: ______
Does the factory offer bonus or incentive plans? ______
If yes, describe the plans offered: ______
G. Payroll
Does the factory have a time clock and if so, is it in proper working order? ______
Is the time clock used to calculate employee pay records? ______
Who punches the clock? employees, supervisor or management? ______
How are employees paid? cash, check, other? ______
Are employees paid timely?
Always ______Usually ______Sometimes ______Seldom ______
Are some workers paid more frequently than others, and if so, why? ______
Are you aware of any situation where the factory held an employee’s wages? ______
If so, how often (frequently, sometimes, seldom, never) and why? ______
Do employees take work home, and if so, how often (frequently, sometimes, seldom, never)?
______
How does the factory pay for home work and what records do they keep of these payments? ______
What type of employee pay and work records are kept by the factory? ______
Who keeps employee pay and work records and where are they kept? ______
How long are employee pay and work records kept? ______
H. Hours and Overtime
Maximum number of work hours (excluding overtime) permitted by local law:
Per day? ______Per week? ______Per month? ______
Maximum number of overtime hours permitted by local law :
Per day? ______Per week? ______Per month? ______
Average number of overtime hours:
Per day? ______Per week? ______Per month? ______
At what rate are employees paid for overtime? ______
Are employees ever required to work overtime involuntarily? ______
If overtime is required, are meals or meal allowances provided? ______
If overtime is required, are employees provided with transportation if needed? ______
Is overtime payment in additional to the workers’ wages? ______
In what form and how often is overtime payment made? ______
On what days of the week do employees work? ______
At what times do shifts, mealtimes and worker breaks begin and end on each day worked? ______
When do overtime periods begin and end on each day worked? ______
What is the daily and weekly number of scheduled work hours?
Per day ______Per week ______
What is the average number of overtime hours worked per week? ______
What is the maximum number of hours employees might be asked to work per day and per week? Per day______Per week ______
Are working hours at this facility different from prevailing local practice, and if so, how? ______
______
Who decides which workers will work overtime and how is that decision made? ______
______
Are all employees given equal opportunity to work overtime? ______
If not, please explain: ______
Do employees ever refuse overtime? ______
How often do employees have one day off? ______
If the working week exceeds 60 hours, please explain reasons and frequency: ______
I. Deductions
Please advise whether the following deductions from payments to employees are made, and if so, the amount of the deduction:
Housing: Yes_____No_____Required______Voluntary______
Meals/Food: Yes_____No_____Required______Voluntary______
Medical Services: Yes_____No_____Required______Voluntary______
Uniforms & Clothing: Yes_____No_____Required______Voluntary______
Tools & Equipment:Yes_____No_____Required______Voluntary______
Dental: Yes_____No_____Required______Voluntary______
Transportation: Yes_____No_____Required______Voluntary______
Child Care: Yes_____No_____Required______Voluntary______
Employment Agency Fees: Yes_____No_____Required______Voluntary______
Other (school, etc., please specify)______:
Yes_____No_____Required______Voluntary______
J. Employee Benefits
What benefits are provided for employees?
Vacations: Yes_____No_____Required______Voluntary______
If pay is deducted, how much? ______
Holidays: Yes_____No_____Required______Voluntary______
If pay is deducted, how much? ______
Cash Bonuses: ______
If so, how are they awarded? ______
Sick Leave: ______
If sick leave is provided, is pay deducted and how much? ______
Maternity Leave: ______
If maternity leave is provided, is pay deducted and how much? ______
Does the factory have a cafeteria facility for employees? ______
K. Pregnancy and Maternity
Are maternity benefits are provided by this facility and if so, please specify: ______
Are women required to provide pregnancy test results when applying for a position or during employment at this facility? ______
Are women permitted to return to the same position at the same rate of pay after their maternity leave? ______If not, please explain: ______
L. Production Quotas
Does the factory establish production quotas for its employees? ______If so, are the quotas by individual employee or by groups? ______
If so, who establishes the quotas and what guidelines are used to establish the quotas? ______
M. Collective Bargaining and related issues
How do employees bring work related issues or complaints to management’s attention? ______
To whom are such issues presented? ______
Do workers have the right to associate freely? ______
Do workers have the right to form a union? ______
Is there a union in this facility and if so, please specify: ______
Have attempts been made to unionize this facility and if so, by which group? ______
Have workers ever been penalized for efforts to join a workers’ organization group? ______
Are workers in this facility covered by a collective bargaining agreement? ______
N. Child Labor Policies
What is the minimum age permitted by local law for working in this locale/country? ______
Until what age, if any, are children legally required to attend school in this country? ______
What is the maximum number of hours per week permitted by local law for minors under 15 in this locale/country? ______
What is the youngest age of an employee present in this factory? ______
Are employees younger than 15 permitted to attend school during the day? ______
How many hours a week do employees younger than 15 years old work? ______
What is the youngest age of employees in other facilities under the same owner(s) as this facility? ______
Is documentation required to prove age when hiring workers? If yes, please explain: ______
O. Contract Labor Policies
Are there any contract employees in this factory? ______
If so, please explain where they are from, the name of the entity or agency with which they are under contract, and the contract conditions: ______
How are they recruited? ______
Please provide a copy of the contract with this form.
Can workers leave before their contract expires? ______
Have any workers chosen to leave before their contracts expire? ______
What records are kept about these workers and where? ______
Who pays travel costs between the workers’ home country and the factory? ______
Do these workers receive a training wage? ______
- Health and Sanitation
Do workers have access to medically trained personnel at this facility? If yes, please specify (for example, 1 doctor, 1 nurse): ______
Are first aid supplies readily available in the factory and is a qualified person always present who is able to administer first aid? ______
Do the workers generally appear to be in good health? ______
Do employees have access to clean drinking water? ______
Are washroom facilities and toilets functional, sanitary and clean? ______If not, please specify: ______
Number of men’s toilets? ______
Number of women’s toilets? ______
Are bathroom facilities ever locked? ______
Are employees timed while using the bathroom or are bathroom schedules kept? ______
Indicate if the following items are available in the lavatory:
Toilet Paper:_____Soap:_____Towels(Paper or Cloth):_____
Garbage Pail(for women’s use):_____Doors on bathroom stalls:_____
Are the sinks functional and clean, with running water?______
Is the factory well ventilated? ______
Is the factory adequately heated and/or cooled? ______
Is there an offensive odor in the factory? ______
Is the factory clean? ______
Does the factory have a cleaning staff or use a cleaning service? ______
If yes, how often is the factory cleaned by this staff or service? ______
Are there any obvious signs of infestation (i.e., accumulated garbage, foul smells, pests, rodents?) ______
How often are the cutting room floor and sewing floors swept? ______
B. Safety and Theft Prevention
Is the factory adequately lit?______
Is there an adequate number of clearly marked and unblocked exits in the event of an emergency? ______
Are emergency fire fighting equipment and procedures in place?______
What fire protection systems are featured in this facility? (Automatic sprinklers, water flow alarms, sirens, smoke detectors, fire alarms etc.)
______
Are the following items available to the employees:
Eyewear_____Protective Masks______Protective Cutting Gloves_____
Ear Plugs_____Eyewash Stations_____
What has been the nature and frequency of emergencies, accidents and injuries in the past year? ______
What types of records are kept of injuries and accidents? ______
What hazardous, flammable or combustible items are present in the facility? ______
Are the personnel handling such materials properly trained? If so, please advise the method of training:______
Are such materials properly stored? ______
Are workers provided with safety, educational and/or training materials? If so, please attach:______
Where is the water supply from? Public main____Water tank____Fire pump_____Other___
How far is the factory from the nearest fire station? ______
Are fire drills and procedures routinely practiced with employees and staff? ______
Is written fire protection/control information posted in the factory? If so, please describe: ______
Is emergency fire fighting equipment readily accessible? ______
Number of fire extinguishers:______
Total floor space in sq.ft.:______
Ratio of no. of fire extinguishers per sq. ft.:______
Are all fire extinguishers in working condition?______
Are they inspected periodically? If so, how often?______
Have any employees have been trained to use this equipment? ______
How many fire exits are unblocked, unlocked and readily accessible on each floor of this facility? ______
Are exits located at opposite ends of the facility? ______
Are there any exposed electrical cables and wires in the facility? ______
Are there any holes in the floors, walls, ceiling or roof? ______
Are the aisles and walkways maintained clear of obstructions, bundles overhanging wires and similar materials? ______
Are the aisles and walkways marked? ______
Are there exit maps and signs in the facility? ______
Is emergency lighting installed operating on batteries or independent generators not requiring electricity? ______
What type of burglar protection is used in the facility? ______
If a burglar alarm is used, is it connected to a central station? ______
Are windows and doors protected? If so, how? ______
Is the noise level inside the factory at a safe level? ______
How is the noise level monitored? ______
Are the elevator permits valid? ______
Is there easy access to product transportation areas? ______
Are maintenance records kept for all factory equipment? ______
If so, where and for how long? ______
Has the auditor observed any safety hazards during the review? If yes, please explain: ______
C. Facilities Structure
How many buildings constitute the entire facility? ______
What is the approximate size of the floor space for all operations (including staff) in the factory? ______
What year were the buildings built? ______
Please indicate the building construction types:
Roof: Metal______Wood______Masonry______Other______
Floor: Metal______Wood______Masonry______Other______
Walls: Metal______Wood______Masonry______Other______
Staircases: Metal______Wood______Masonry______Other______
How many stories does the facility have? ______
Do any of the buildings have a basement? ______
Do the sites where the buildings are located appear to be safe and clean? ______
Do the exteriors of the building appear structurally sound and well maintained? ______
Is this facility in a flood zone? ______
Has there ever been flooding in the neighborhood around the facility or in the facility itself? ______