Appendix 4 - Audit Questionnaire | | | | | | | | |
| | | | | | | | AUDITORS DO NOT COMPLETE COLUMNS I, J, K, L OR M |
| Questions | Yes | No | Finding under Local / Country Law ? | Finding under Home Depot Guidelines | Corrective Action Required | Comments | Corrective Action Response time | Supplier/Factory Corrective Actions | Time to Completion | Person Responsible | Corrective Actions Completed |
| Denial of Access | | | | | | | | | | | |
1 | Were the auditors granted access to the facility, personnel, training and payroll records necessary to complete the audit? | Yes | | Nil | Nil | Nil | Nil | Immediate | | | | |
| Age Requirements | | | | | | | | | | | |
2 | Are all employees at the facility at least 14 years old or at least the country minimum age for employment? | Yes | | Nil | Nil | Nil | Nil | Immediate | | | | |
3 | If Apprentice programs exist at the facility, do they follow any of the special requirements needed such as parental permission granted, restrictions on the type of work and the hours of work or other conditions as required outlined by the national government | Yes | | Nil | Nil | Nil | Nil | 3 months | | | | |
4 | Does the facility have records, documentation that indicate that employees hired within the last 12 months are all above the minimum employment age per local law? | Yes | | Nil | Nil | Nil | Nil | Immediate | | | | |
5 | Does the facility have a system to verify age documentation at the facility and copies are retained at the facility if required under national law? | Yes | | Nil | Nil | Nil | Nil | 3 months | | | | |
| Forced labor | | | | | | | | | | | |
6 | Are employees hired on a voluntary basis? Does the facility ensure that there is no use of bonded labor, indentured, or prison labor to produce product or merchandise? Is the work environment free of phsical punishment? | Yes | | Nil | Nil | Nil | Nil | Immediate | | | | |
7 | Are employees able to enter and leave the facility at their own free will? | Yes | | Nil | Nil | Nil | Nil | Immediate | | | | |
8 | Are appropriate measures taken to ensure that employees national identification cards and passports are not retained ? | Yes | | Nil | Nil | Nil | Nil | Immediate | | | | |
| Non-Discrimination | | | | | | | | | | | |
9 | Does the facility have a policy that addresses hiring, promotion and disciplinary procedures that address discrimination? | Yes | | Nil | Nil | Nil | Nil | 3 months | | | | |
| Wages and Working Conditions | | | | | | | | | | | |
10 | Does the facility maintain payroll, training records or other documentation at the facility site? | Yes | | Nil | Nil | Nil | Nil | 9 months | | | | |
11 | Are hiring policies at the facility documented and recognizes the rights of individuals? | Yes | | Nil | Nil | Nil | Nil | 3 months | | | | |
12 | Does the facility maintain at least 3 months of payroll data that reflect regular wages, deductions and overtime compensation received? | Yes | | Nil | Nil | Nil | Nil | 3 months | | | | |
13 | Does the facility have a system to verify and accurately record the hours worked by employees? | | | | | | Nil | 3 months | | | | |
14 | Does the facility pay at least the country's minimum wage for all hours worked in legal tender? | | | | | | Nil | 3 months | | | | |
15 | Is overtime voluntary and in compliance with national labor laws at the facility? | | | | Nil | Nil | Nil | 3 months | | | | |
16 | Does the facility pay employees at the appropriate pay rate for all overtime hours worked and is in compliance with the national labor regulations? | | | | Nil | Nil | Nil | 3 months | | | | |
17 | Does the facility provide each employee with a copy of the labor agreement with respect to pay rate and deductions to be made? | | | | Nil | Nil | Nil | 3 months | | | | |
18 | Does the facility provide a day of rest once every 7 days or as required under the national labor laws? | | | | Nil | Nil | Nil | 3 months | | | | |
19 | Does the facility provide break periods at least once in every 8 hr shift or as required under national labor law | | | | Nil | Nil | Nil | 3 months | | | | |
20 | Does the facility provide all employees with the appropriate benefits as required under national labor law? | | | | | | Nil | 3 months | | | | |
21 | Does the facility withhold the appropriate deductions as required under national labor law? | Yes | | Nil | Nil | Nil | Nil | 3 months | | | | |
| Emergency Planning | | | | | | | | | | | |
22 | Are emergency exits doors kept unlocked and unobstructed during work hours? | | | | | | Nil | 3 months | | | | |
23 | Are emergency exit doors posted with signs that can be identified from a distance? | | | | | | Nil | 3 months | | | | |
24 | Is the fire alarm system functional and tested periodically? | Yes | | Nil | Nil | Nil | Nil | 3 months | | | | |
25 | Are fire extinguishers located within the facility? Are employees trained on the proper use? Are there adequate numbers of extinguishers for the facility? | | | | | | Nil | 9 months | | | | |
26 | Is an emergency evacuation drill conducted periodically for all shifts at the facility? | Yes | | Nil | Nil | Nil | Nil | 3 months | | | | |
| Environment Health and Safety | | | | | | | | | | | |
27 | Are hazardous wastes properly contained, stored and disposed of at a legitimate or approved facility in accordance with national environmental law? | Yes | | Nil | Nil | Nil | Nil | 3 months | | | | |
28 | Are MSDS sheets (in the local language) available for all chemicals used at the facility ? | | | | | | Nil | 9 months | | | | |
29 | Do employees receive the appropriate personal protective equipment (PPE) for jobs that require exposure to hazardous chemicals or materials? | | | | | | Nil | 3 months | | | | |
30 | Are waste discharges waste water, air emissions and noise emissions in compliance with local environmental standards? | | No | In accordance with the client's requirement, waste discharges waste water, air emissions adn noise emissions are in compliance wtih local environmental standards. It was noted that the noise level was considered to be unsatisfactory and the factory had not done the noise testing. Furthermore, from the air testing report, the air in the factory had exceeded environmental standards.
| The finding Home Depot Guidelines. | In your corrective action plan, please include what changes you will make to ensure the noise and air emission are in compliance with local environmental standards. | Nil | 9 months | | | | |
31 | If first aid kits are provided, are they adequately maintained? | Yes | | Nil | Nil | Nil | Nil | 9 months | | | | |
32 | If facility employees are required to administer first aid, they have received the appropriate training? | Yes | | Nil | Nil | Nil | Nil | 9 months | | | | |
| Freedom of Association and Expression | | | | | | | | | | | |
33 | Does the facility recognize the national regulations regarding the right to affiliate or not affiliate with lawful organizations without unlawful interference? | Yes | | Nil | Nil | Nil | Nil | 9 months | | | | |
| Fraud | | | | | | | | | | | |
34 | The facility has taken appropriate steps to prevent falsified records and documentation with respect to payroll registers, sales and accounting records ? | | | | | Nil | Nil | Immediate | | | | |