Facility Self-Assessment Package
WORLDWIDE RESPONSIBLE ACCREDITED PRODUCTION (WRAP)
2200 Wilson Boulevard Suite 601 Arlington, VA 22201 United States
Tel.: 703-243-0970 Fax: 703-243-8247
Email: info@wrapcompliance.org
http://www.wrapcompliance.org
Submit 1 copy of the completed package to the monitoring company selected to conduct the audit, and 1 copy to WRAP
Document Name: Facility Self-Assessment Package
Issue Date: September 2013
1
Worldwide Responsible Accredited Production (WRAP)
FACILITY PROFILE QUESTIONNAIRE
WRAP ID#:
Date of Facility Self-Assessment Completion:
I. Facility Information
Name of Production Facility:
Manufacturer ID Number:
(This number is either the official tax number or manufacturer/industry identification number issued to
the facility by the appropriate government authority.)
Production Facility Physical Location Address:
Mailing Address:
Telephone #:
Fax #:
Year Facility Was Established:
Number of Years Facility Has Been in Operation at This Location:
Number of Buildings Facility Occupies and Uses:
Are there any plans for this facility to relocate?
If yes, please indicate the date the relocation may occur:
II. Facility Contact Information
Contact Person:
Title of Contact Person:
E-mail Address:
Telephone #:
Fax #:
III. Facility Business Information
Name of Facility Manager:
Document Name: Facility Self-Assessment Package
Issue Date: September 2013
2
Type of articles Produced:
Number of Employees at this Facility:
Full time contracted employees:
Short term contract employees:
Please state length of contract:
Agency supplied and paid employees:
Language(s) spoken by management and workers at your facility:
Street Address of Dormitories (if applicable):
IV. For Recertification Factories Only:
Has your facility moved locations (or changed addresses) since the last WRAP audit?
If yes, please state the OLD address and the NEW address:
Has your facility had any recent construction or building additions since the last WRAP audit?
Yes
No
If yes, please provide a description of the structural changes:
Has this facility had an increase in workers since the last WRAP audit? Yes
If yes, please state the reason for the increase:
COMPLETED BY:
Name:
Title:
Signature:
Date:
Document Name: Facility Self-Assessment Package
Issue Date: September 2013
3
No
Principle 1 Compliance with Laws and Workplace Regulations: Facilities will comply with laws and
regulations in all locations where they conduct business.
Note: Your facility must have documented policies and procedure supporting all WRAP principles.
Requirements
1.1 Does your facility obtain current information on all relevant laws and regulations concerning each of the
Principles?
Do you promptly incorporate this information in its business practices?
Please give a summary of your objective evidence to support this question.
If No, please explain:
1.1a Do you have policies and procedures for current information on all relevant laws and regulations on each of the
WRAP Principles?
 General labor law
Yes
No
 Relevant international trade law
Yes
No
 Minimum ages for employment and related restrictions
Yes
No
 Wages and hours
Yes
No
 Employment discrimination
Yes
No
 Health and safety standards
Yes
No
 Freedom of association and collective bargaining
Yes
No
 Environmental standards and compliance
Yes
No
 Customs and Compliance
Yes
No
 Security
Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
1.2 Does your facility have a qualified person responsible for informing the facility of changes to laws and regulations,
or access to current publications on national and local labor laws? Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
1.3 Does your facility update its practices to incorporate revisions to existing laws and regulations in a timely manner?
Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
1.4 Does your facility undertake internal monitoring of its management system (internal audits) to satisfy itself that
the written procedures and processes are meeting the requirements of local law and WRAP principles?
Document Name: Facility Self-Assessment Package
Issue Date: September 2013
4
Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
1.5 During the previous two years has your facility had any notices of noncompliance levied against it (including any
legal proceedings or outstanding allegations concerning the facility’s operations)? Yes
No
Please give a summary of your objective evidence to support this question.
If Yes, please explain:
1.6a Does your facility have a program to train relevant individuals regarding the changes for any new laws or
revisions to existing laws and regulations? Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
1.6b Are the materials used for this purpose appropriate? Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
1.7 List the exceptions to all relevant laws, rules, and regulations other than those specifically documented elsewhere
in this report:
1.8 Does your facility have a written operating policy manual that includes the following: all relevant laws and
regulations pertaining to the Principles, facility’s policies and procedures pertaining to the Principles, routine updates
for revisions to existing laws and regulations? Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
Sub-contracting
1.9 Does your facility sub-contract any of its production operations? Yes
No
Note: Sub-contracting could be but not limited to: Part of the primary production processes or services offered as an end result by
your facility.
If Yes, please explain:
1.10 Does your facility sub-contract any other operations? Yes
Document Name: Facility Self-Assessment Package
Issue Date: September 2013
5
No
Note: Sub-contracting could be but not limited to: facility cleaning services, canteen services, worker accommodation, goods
shipping, home workers, employment agencies or security services.
If Yes, please explain:
1.11 How has your facility informed the sub-contractor of their obligations under the local labor law and WRAP
Principle requirements? N/A
If your facility subcontracts, please explain:
1.12 Does your facility keep evidence of how the sub-contractor(s) has/have been made aware of these requirements?
Yes
No
N/A
Please give a summary of your objective evidence to support this question.
If No, please explain:
1.13 Does your facility keep receipt of sub-contractor acknowledgement of these requirements?
Yes
No
N/A
Please give a summary of your objective evidence to support this question.
If No, please explain:
1.14 Does your facility regularly review its list of sub-contractors to make sure it is up to date?
Yes
No
N/A
Please give a summary of your objective evidence to support this question.
If No, please explain:
Document Name: Facility Self-Assessment Package
Issue Date: September 2013
6
Principle 2 Prohibition of Forced Labor: Facilities will not use involuntary, forced or trafficked labor.
Note: Your facility must have documented policies and procedures supporting all WRAP principles.
Requirements
2.1 Does your facility have a qualified person responsible for communicating, deploying, and monitoring the practices
of effectively prohibiting involuntary, forced or trafficked labor? Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
2.2 Does your facility have a program and materials used to train relevant individuals, including all individuals
responsible for the hiring process, on the facility’s policies and procedures prohibiting forced, involuntary, or
trafficked labor? Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
2.3 Are all employees working at your facility voluntarily? Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
2.4 Are employees’ movements restricted? Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
2.5 Are there exaggerated security measures or logistics being employed in your facility? Yes
Please give a summary of your facility’s security measures:
No
2.6 Do security personnel act in a non-threatening manner? Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
2.7 Are security guards posted for normal security reasons, in a proportionately logical number? Yes
Please give a summary of your objective evidence to support this question.
Document Name: Facility Self-Assessment Package
Issue Date: September 2013
7
No
If No, please explain:
2.8 Are the doors and gates of your facility only locked for normal business and housing security reasons and in
compliance with applicable local and national fire codes? Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
2.9 Does your facility prohibit all relevant individuals, including any person under the facility's direction (such as
security guards) from coercing employees in any way, or unnecessarily limiting employees' freedom of movements?
Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
2.10 Is employee freedom of movement unimpeded upon their shift's conclusion? Yes
Please give a summary of your objective evidence to support this question.
No
If No, please explain:
2.11 Does your facility require all hiring documents, such as an employment application or contract to, 1) include a
statement affirming that applicants are seeking employment voluntarily and are not under threat of any penalty, 2) be
signed by each applicant, and 3) be maintained in the employee’s personnel file? Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
2.12 Does your facility obtain proof that anyone seeking employment is legally entitled to work in the country of
manufacture in accordance with national immigration laws? Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
2.13 Does your facility obtain an executed statement from all labor brokers/agents used by the facility stating that the
brokers/agents are not supplying labor that is involuntary, trafficked, or forced and has the right to work in this
country?
Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
Document Name: Facility Self-Assessment Package
Issue Date: September 2013
8
2.14 Are all security service agreements free of any language or terminology that may imply the existence of forced,
indentured, trafficked or involuntary labor conditions? Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
2.15 Do the job descriptions or individual contracts for security employees limit their tasks to normal security matters
such as protection of facility property or facility personnel? Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
2.16 Does your facility issue wages/compensation directly to employees, in an unambiguous system that clearly shows
that the employee controls the destination of his/her wages, and access to his/her wages? Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
2.17 Does your facility hold the identification papers, travel documents, or passports of your employees?
Yes
No
If yes, is it at the request of the employee with the employee maintaining complete access? Yes
No
Please give a summary of your objective evidence to support this question.
2.18 Does your facility require any employee deposits or have any withholding payment practices?
Yes
No
Please give a summary of your objective evidence to support this question.
If Yes, please explain:
2.19 What is your facility’s policy on use/non-use of prison labor with regard to relevant law and industry standard?
Please give a summary of your facility’s policy:
2.20 Are all work contracts signed by both parties (employer and employees)? Yes
Please give a summary of your objective evidence to support this question.
If No, please explain:
Document Name: Facility Self-Assessment Package
Issue Date: September 2013
9
No
Principle 3 Prohibition of Labor: Facilities will not hire any employee under the age of 14 or under the
minimum age established by law for employment, whichever is greater, or any employee whose
employment would interfere with compulsory schooling.
Note: Your facility must have documented policies and procedures supporting all WRAP principles.
Requirements
3.1 How does your facility manage the hiring process? Include how your facility documents the age of potential
employees with official country specific documents (e.g., birth certificates, identification cards, school records and/or
immigration papers, medical records).
Please give a summary of your hiring practices.
3.2 Does your facility obtain proof of age documentation from all potential workers and review the documentation for
authenticity prior to hiring? Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
3.3 Does your facility retain proof of age for each employee and maintain the information in the employee’s personnel
file for the length of time as required by law? Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
3.4 Does your facility assess the authenticity of age documentation and make comparisons with sample documents?
Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
3.5 Does your facility ascertain the employee’s stated age through the interview process? Yes
Please give a summary of your objective evidence to support this question.
No
If No, please explain:
3.6 Does your facility document the existence of an employment interview (e.g. a checklist indicating that the required
questions were asked of the applicant)? Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
Document Name: Facility Self-Assessment Package
Issue Date: September 2013
10
3.7 Does your facility require a completed and signed employment application or contract that includes the date of
birth (inclusive of the employee signature, employee identification number and signature date)? Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
3.8 Does your facility have a formally designated, qualified person with responsibility for communicating, deploying
and monitoring child labor practices as they relate to the above requirements? Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
3.9 Does your facility’s responsible person ensure that employee’s assigned tasks are appropriate for their age, where
applicable? Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
3.10 Do communications made to all facility employees regarding child labor policies and procedures address each of
the following requirements?:
a. Proof of age documentation from all potential workers prior to hiring. Yes
No
b. Examination of the authenticity of age documentation. Yes
No
c. Question the authenticity of age documentation not conforming to facility practices. Yes
No
d. Age documentation retained in employee personnel files. Yes
No
e. Interviews with all prospective employees. Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
3.11 Do the programs and materials used to train relevant individuals on the child labor practices, including all
individuals responsible for the hiring process, cover the requirements to: obtain age documentation, review age
documentation for authenticity, and interview all prospective employees? Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
Document Name: Facility Self-Assessment Package
Issue Date: September 2013
11
Principle 4 Prohibition of Harassment or Abuse: Facilities will provide a work environment free of
supervisory or co-worker harassment or abuse, and free of corporal punishment in any form.
Note: Your facility must have documented policies and procedures supporting all WRAP principles.
Requirement
4.1 Does your facility have a written policy on the prohibition of harassment, abuse, and corporal punishment?
Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
4.2 Has your facility formally designated a qualified person with the responsibility for communicating, deploying, and
monitoring the harassment and abuse policies and procedures as prescribed by labor law? Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
4.3 Are the definition(s) of the non-compliant behavior(s) and management policy(ies) consistent with the intent to
prohibit all forms of this behavior?
Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
4.4 Does the policy include reasonable punitive repercussions for non-compliance and repeated non-compliance? The
policy must apply to the behavior of all employees with special emphasis placed upon supervisory personnel.
Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
4.5 Does your facility have signed statements by your facility’s management affirming their understanding of the
facility’s anti-harassment and abuse policies? Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
4.6 Does your facility effectively prohibit all forms of harassment, abuse, and corporal punishment in written policies
and procedures? Yes
No
Please give a summary of your objective evidence to support this question.
Document Name: Facility Self-Assessment Package
Issue Date: September 2013
12
If No, please explain:
4.7 Does your facility communicate the policy on the prohibition of harassment and abuse to workers, and third party
services (e.g., security guards, kitchen services) that will have significant contact with facility employees?
Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
4.8a Does your facility encourage employees to report instances of harassment or abuse, without fear of retribution?
Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
4.8b If any incidents of harassment or abuse were reported, were they resolved in a timely manner?
Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
4.9 Is there an effective and mandatory program to train relevant individuals, including all individuals responsible for
the supervision of workers, on the facility’s policies and procedures prohibiting all forms of harassment, abuse, and
corporal punishment? Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
Document Name: Facility Self-Assessment Package
Issue Date: September 2013
13
Principle 5 Compensation and Benefits: Facilities will pay at least the minimum total compensation
required by local law, including all mandated wages, allowances & benefits.
Note: Your facility must have documented policies and procedures supporting all WRAP principles.
Requirements
5.1 Does your facility have a formally designated qualified person with responsibility for communicating, deploying
and monitoring the payroll and benefit system and ensuring that the wage rates and compensation calculations are
adequately communicated to all workers in the facility? Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
5.2 Does your facility have practices to ensure employees are compensated consistent with their terms of employment
and in accordance with local laws and regulations? Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
5.3 Does the lowest record of payment by your facility meet (or exceed) the legal minimum compensation?
Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
5.4 Does your facility post legal minimum wage rates, benefit policies, and additional payment information in the
native language(s) of the facility workers? Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
5.5 Does your facility utilize and maintain an organized system of record keeping? Yes
Please give a summary of your objective evidence to support this question.
No
If No, please explain:
5.6a Does your facility produce and retain payroll records to support compensation, including overtime?
Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
Document Name: Facility Self-Assessment Package
Issue Date: September 2013
14
5.6b In case your facility pays its employees through wire transfers, do you produce and retain proof of bank
statements showing all the transactions in a verifiable way? Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
5.7 Does your facility provide all employees with a pay record or stub which lists the components of the wages paid?
Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
5.8 Are all legally mandated withholdings (e.g., taxes, social security, etc) remitted to the government?
Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
5.9 Are there any piece rate workers in the facility? Yes
If Yes, please explain:
No
5.10 Does your facility have a written and coherent policy on piece rate compensation that ensures the piece rate
compensation at least satisfies the minimum compensation prescribed by law? Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
5.11 Do employees sign off on material counts or random independent recounts for piece rate systems?
Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
5.12 Are employees provided with adequate communication of their legally mandated minimum compensation rights?
Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
5.13 Does the policy communication include:
Document Name: Facility Self-Assessment Package
Issue Date: September 2013
15
a. a detailed description of the employees’ compensation and benefits at the time of employment? Yes
b. both a written and verbal explanation of wage calculations provided at the time of employment?
Yes
No
c. changes to compensation rates or methods of wage calculations communicated timely and effectively?
Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
Document Name: Facility Self-Assessment Package
Issue Date: September 2013
16
No
Principle 6 Hours of Work: Hours worked each day, and days worked each week, shall not exceed the
limitations of the country’s law. Facilities will provide at least one day off in every seven-day period,
except as required to meet urgent business needs.
Note: The facility must have documented policies and procedures supporting all WRAP principles.
Requirements
6.1 Does your facility have a formally designated qualified person with responsibility for communicating, deploying
and monitoring that no employee works more hours per day, per week than the legal limits? Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
6.2 Does your facility have a program and relevant materials to train all individuals, including all individuals
responsible for production coordination and scheduling, to ensure that employees work no more than the legal
maximum, including overtime ceilings? Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
6.3 At the time of hiring, are employees made aware of facility policies and procedures, specifically the legal
limitations on the maximum hours of work per day, week and month, both regular and overtime, and the maximum
number of consecutive days they can legally be required to work? Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
6.4 Does your facility retain time records that reflect the day and date employees worked, the number of hours
worked each day, and the employees’ acknowledgements? Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
6.5 Does the facility have a written, rational and well communicated policy defining "urgent business needs"?
Yes
No
Note: The definition of 'urgent business needs’ cannot be vague or open-ended. It must be limited to delays/interruptions in
production caused by natural calamities, non-repetitive production deadlines or unforeseen circumstances beyond the
employer’s control. A coherent and consistent rationale must be evident in the definition and infrequent deployment of
'urgent business needs'.
Please give a summary of your objective evidence to support this question and please state your urgent business needs
policy.
Document Name: Facility Self-Assessment Package
Issue Date: September 2013
17
If No, please explain:
6.6 Are notifications of maximum regular and overtime hour policies visibly posted in the native language(s) of your
facility's workers and management personnel? Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
6.7 Does your facility require that all new workers, at the time of hiring, be made aware of the facility’s policies on
required hours of labor? Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
Document Name: Facility Self-Assessment Package
Issue Date: September 2013
18
Principle 7 Prohibition of Discrimination: Facilities will employ, pay, promote, and terminate workers
on the basis of their ability to do the job, rather than on the basis of personal characteristics or beliefs.
Note: The facility must have documented policies and procedures supporting all WRAP principles.
Requirements
7.1 Does your facility have a written policy that explicitly prohibits discrimination? Yes
Please give a summary of your objective evidence to support this question.
No
If No, please explain:
7.2 Does your facility have procedures and practices to ensure compliance and remediation with the facility policy?
Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
7.3 Does your facility have a written policy visibly posted in the language(s) of the employees and management
personnel? Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
7.4 Does your facility have a formally designated qualified person with responsibility for communicating, deploying,
and monitoring the non-discrimination policy? Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
7.5 Does your facility have an effective program and materials used to train relevant individuals, including all
individuals responsible for the supervisions of workers and for the hiring process, on the discrimination practices?
Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
7.6 Are the facility’s policy, practices and procedures on discriminatory behavior effectively communicated to all
employees? Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
Document Name: Facility Self-Assessment Package
Issue Date: September 2013
19
7.7 Does your facility effectively communicate in writing the requirements of this Principle to third parties (industrial
parks, export processing zones, free trade zones, sub-contractors etc.) that may recruit and screen applicants on its
behalf? Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
7.8 Has your facility had any discrimination charges filed against it by employees, regulatory agencies or any outside
agency during the past two years? Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
7.9 Does your facility explicitly prohibit mandatory pregnancy testing as a condition of employment or continued
employment? Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
7.10 Are workers with the same job and seniority paid the same rate, irrespective of gender, age, or other
characteristics? Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
7.11 Do employees sign statements (statements may be included in an employment application or contract), written in
the native language(s) of the employees, affirming their receipt and understanding of the facility’s anti- discrimination
practices? Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
Document Name: Facility Self-Assessment Package
Issue Date: September 2013
20
Principle 8 Health and Safety: Facilities will provide a safe and healthy work environment. Where
residential housing is provided for workers, facilities will provide safe and healthy housing.
Note: The facility must have documented policies and procedures supporting all WRAP principles.
Requirements
8.1 Does your facility comply with all relevant health and safety laws and regulations? Yes
Please give a summary of your objective evidence to support this question.
No
If No, please explain:
8.2 Does your facility have all relevant government health, safety , and fire safety certificates/permits, insurance
policies and any relevant correspondence or documents from government officials? Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
8.3 Does your facility undertake internal monitoring of your health and safety systems, including fire safety, to ensure
you are following the written procedures and processes and meeting the requirements of all relevant laws?
Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
8.4 Have risk assessments been carried out throughout your facility, including fire risk assessments?
Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
8.5 If there were any risks or deficiencies that were identified by the health, safety and fire risk assessment, were they
corrected? Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
8.6 Does your facility conduct regular occupational health checks for hazardous job duties? Yes
Please give a summary of your objective evidence to support this question.
If No, please explain:
Document Name: Facility Self-Assessment Package
Issue Date: September 2013
21
No
8.7 Does your facility have a formally designated qualified person with responsibility for communicating, deploying
and monitoring all health, safety, and fire safety policies and practices? Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
8.8 Does your facility track health, safety, and fire incidents? Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
8.9 Does your facility have a program and materials to train relevant individuals, including all individuals responsible
for the supervision of workers, on all of the relevant occupational health and safety issues? Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
8.10 Does your facility have a written safety program, including written procedures to handle natural disasters, fire
safety, and emergencies and industrial accidents? Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
8.11 Are the following safety documents maintained by your facility:
a. Health and safety reports? Yes
No
b. Heavy machinery inspection? Yes
No
c. Maintenance reports? Yes
No
d. Fire extinguisher records, noting date of inspection and expiration? Yes
e. Emergency drill records, noting date and detailed results? Yes
No
f. Work injury reports? Yes
No
g. Clinic logs, noting date and reason for visit? Yes
No
Please give a summary of your objective evidence to support this question.
No
If No, please explain:
8.12 Have any government agencies inspected your facility for compliance with safety and health regulations during
the past two years? Yes
No
Please give a summary of your objective evidence to support this question. If yes, please list the findings.
If No, please explain:
Document Name: Facility Self-Assessment Package
Issue Date: September 2013
22
8.13 Does your facility address the following occupational health and safety needs required by the relevant laws and
regulations for the following:
a. Heat stress/extreme temperatures? Yes
No
b. Paint spray/spot cleaning booths? Yes
No
c. Welding safety? Yes
No
d. Respirator safety? Yes
No
e. Blood borne pathogen program? Yes
No
f. Hearing (noise control program)? Yes
No
g. Indoor air quality? Yes
No
h. Cotton dust ventilation? Yes
No
i. Sanitary waste disposal? Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
GENERAL BUILDING REQUIREMENTS
8.14 Does a visual inspection of your entire facility premises suggest any concerns about the physical integrity of the
facility? Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
8.15 What is the overall general appearance of your facility: excellent, good, fair, or unacceptable?
Please give a summary of your objective evidence to support this question.
8.16 Is the overall general appearance of the maintenance shop acceptable and not in a condition that can cause
serious injury or harm? Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
8.17 Is trash properly disposed of both inside and outside the facility? Yes
Please give a summary of your objective evidence to support this question.
No
If No, please explain:
8.18 Are the toilets and washrooms in your facility in sanitary and serviceable condition and meeting minimum
quantity required established by relevant law? Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
Document Name: Facility Self-Assessment Package
Issue Date: September 2013
23
8.19 Are exits unlocked during times when the facility is occupied to allow free, unobstructed exit from the facility?
Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
8.20 Are any aisles blocked or restricting easy access to emergency exits? Yes
Please give a summary of your objective evidence to support this question.
No
If Yes, please explain:
8.21a Has your facility appropriately identified areas that, for fire safety purposes, should be designated as “nonsmoking”? Yes
No
Please give a summary of your objective evidence to support this question.
If Yes, please explain:
8.21b. Is your facility properly enforcing the “non-smoking” policy for areas so designated? Yes
Please give a summary of your objective evidence to support this question.
No
If Yes, please explain:
8.22a Does your facility maintain first aid supplies as required by law or if no legal requirement exists, as
recommended by a local medical provider? Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
8.22b. Are these first aid supplies available and accessible to all areas of the facility? Yes
Please give a summary of your objective evidence to support this question.
If No, please explain:
8.23 Is there clean drinking water and is it easily accessible at the facility? Yes
Please give a summary of your objective evidence to support this question.
If No, please explain:
8.24 Is drinking water provided at no cost to employees? Yes
Document Name: Facility Self-Assessment Package
Issue Date: September 2013
24
No
No
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
8.25 Is your facility’s crèche/child-care area operated and maintained in a safe and healthy manner? Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
8.26 Is your facility’s canteen/cafeteria operated and maintained in a safe and healthy manner?? Yes
Please give a summary of your objective evidence to support this question.
No
If No, please explain:
PERSONAL PROTECTION EQUIPMENT (PPE)
8.27 Does your facility conduct hazard assessments to determine if any personal protective equipment is required?
Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
8.28 If personal protective equipment is required, is it provided to affected employees, at no cost? Yes
Please give a summary of your objective evidence to support this question.
No
If No, please explain:
8.29 Are the PPE appropriate and adequate for the workers’ job and in good condition? Yes
Please give a summary of your objective evidence to support this question.
No
If No, please explain:
ELECTRICAL SAFETY
8.30 Is there a qualified electrician in your facility responsible for maintaining electrical safety? If not, what is the
facility doing to ensure electrical safety? Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
Document Name: Facility Self-Assessment Package
Issue Date: September 2013
25
8.31 Does a visual inspection of the wiring indicate good general condition of the cabling, tidiness, and no exposed or
loose wires? Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
8.32 Does a visual inspection of the electrical boxes and cabinets verify: complete enclosures with covers provided,
switches and outlets maintained in good working order, and all knockout/trips are in place? Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
WORKER SAFETY AWARENESS
8.33 Does your facility maintain a safety committee comprised of workers and management, which holds quarterly
meetings and keeps minutes of proceedings? Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
8.34 Does your facility conduct an orientation health and safety and fire training for all new employees?
Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
8.35 Does the training cover the following in regards to fire safety?
a. workers are informed of the locations of fire alarm pull and button stations Yes
No
b. workers are informed of the locations of fire extinguishers in and near their work area Yes
c. workers have specific training concerning the dangers of smoke inhalation Yes
No
d. workers are informed of location of nearest exits and assembly points Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
8.36 Is employee training conducted for first aid and safety? Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
8.37 Are first aid responders/emergency safety personnel identified and properly trained? Yes
Please give a summary of your objective evidence to support this question.
Document Name: Facility Self-Assessment Package
Issue Date: September 2013
26
No
No
If No, please explain:
8.38 Have selected employees been trained on the proper use of firefighting equipment? Yes
Please give a summary of your objective evidence to support this question.
No
If No, please explain:
8.39 Have all employees who have any contact with chemicals been trained on how to safely handle and dispose of the
specific chemicals and eliminate fire risk? Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
8.40 Are MSDS available (in appropriate language(s)) for all chemicals used by the facility? Yes
Please give a summary of your objective evidence to support this question.
No
If No, please explain:
FIRE SAFETY
8.41 Does your facility have an emergency evacuation plan in the native language posted in view of the facility's
workers? Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
8.42 Does your facility conduct regular emergency evacuation drills (at least semi-annual)? Yes
No
Please give a summary of your objective evidence to support this question and list the dates of the two most recent
emergency evacuation drills.
If No, please explain:
8.43 Does the facility have adequate numbers and locations of unimpeded emergency exits that open outwards and
lead to a safe assembly point? Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
8.44 Is the following safety equipment:
a. visible? Yes
No
b. appropriate in functionality and number? Yes
c. properly distributed throughout the facility? Yes
d. easily accessible? Yes
No
e. properly mounted? Yes
No
Document Name: Facility Self-Assessment Package
Issue Date: September 2013
No
No
27
f. unblocked and free of obstruction? Yes
No
g. fire extinguishers are appropriate for the class(es) of fires expected in the area? Yes
Please give a summary of your objective evidence to support this question.
No
If No, please explain:
8.45 Are the fire-fighting water hoses and connections in usable condition? Yes
Please give a summary of your objective evidence to support this question.
No
If No, please explain:
8.46 Does your facility have appropriate measures to ensure adequate water pressure for fire-fighting water hoses and
sprinkler systems? Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
Sprinkler Valves
8.47 Are sprinkler valves in good working order? Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
8.48 Are all sprinkler heads kept unobstructed from storage or other materials? Yes
Please give a summary of your objective evidence to support this question.
No
If No, please explain:
Fire Alarm Boxes
8.49a Are fire alarms clear, unobstructed, and identified? Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
8.49b Does the facility have a test schedule for all fire alarm boxes? Yes
No
Please give a summary of your objective evidence to support this question and describe how the facility maintains this
schedule.
If No, please explain:
8.50 Are combustible scrap, debris, and waste materials stored in covered metal receptacles, and removed from the
work site promptly? If not, explain how they are stored. Yes
No
Please give a summary of your objective evidence to support this question.
Document Name: Facility Self-Assessment Package
Issue Date: September 2013
28
If No, please explain:
EMERGENCY EVACUATION
8.51 Are lighting and alarm systems adequate and fitted with back-up systems? Yes
Please give a summary of your objective evidence to support this question.
No
If No, please explain:
Emergency Lighting
8.52a Is appropriate lighting in place in your facility? Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
8.52b Is the emergency power system working and in good condition? Yes
Please give a summary of your objective evidence to support this question.
No
If No, please explain:
8.52c Does the facility regularly conduct tests to ensure the system is functioning properly? Yes
Please give a summary of your objective evidence to support this question.
If No, please explain:
Stairwells
8.53a Are all stairwell handrails in good condition? Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
8.53b Are all stair treads in good condition? Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
8.53c Are all stair widths in compliance with requirements of all relevant laws? Yes
Please give a summary of your objective evidence to support this question.
Document Name: Facility Self-Assessment Package
Issue Date: September 2013
29
No
No
If No, please explain:
8.53d Are the stairways provided with artificial and emergency lighting? Yes
Please give a summary of your objective evidence to support this question.
No
If No, please explain:
8.53e Are stairwells completely clear of obstructions? Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
8.53f Does the facility ensure stairwells are not used for storage? Yes
Please give a summary of your objective evidence to support this question.
No
If No, please explain:
CHEMICAL SAFETY
8.54 Does your facility have a chemical safety program? Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
8.55 Where applicable, does your facility properly store hazardous/toxic materials? Yes
Please give a summary of your objective evidence to support this question.
No
If No, please explain:
8.56 Does your facility have the required government storage and usage permits for chemicals, if required?
Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
8.57 Does your facility maintain documentation for chemical labeling (including fire safety), chemical usage warnings,
and proper handling instructions? Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
Document Name: Facility Self-Assessment Package
Issue Date: September 2013
30
8.58 Does your facility ensure that all solvent wastes and flammable liquids are properly stored (including being kept
in closed containers when not in use) at all times and kept away from potential ignition sources? Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
8.59 Are the chemical storage areas free of ignition sources? Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
8.60 Are all lamps and lights away from combustible chemicals? Yes
Please give a summary of your objective evidence to support this question.
No
If No, please explain:
BOILER & COMPRESSOR ROOMS
8.61 Is the location of the boiler and compressor room consistent with all relevant requirements? (If no local or
national laws apply, please describe the location of the boiler and compressor room.) Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
8.62 Are there housekeeping and maintenance procedures in place for the boiler and compressor rooms?
Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
8.63 Are there any fuel leaks? Yes
No
Please give a summary of your objective evidence to support this question.
If Yes, please explain:
8.64 Are the boilers and compressors inspected and serviced periodically? Yes
Please give a summary of your objective evidence to support this question.
If No, please explain:
8.65 Are the boiler licenses valid and authentic? Yes
Document Name: Facility Self-Assessment Package
Issue Date: September 2013
No
31
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
8.66 Is the boiler operator certificate valid and authentic? Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
DORMITORIES (If Applicable)
8.67 Are all national and local government health, safety, and fire safety certificates / permits, insurance policies and
any relevant correspondence or documents from government officials in order for the dormitories?
Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
8.68 Does the dormitory have a written safety program, including written emergency procedures to handle natural
disasters, fire safety, and emergencies and industrial accidents? Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
8.69 What is the general appearance of your dormitory(ies): excellent, good, fair, or unacceptable?
Please give a summary of your objective evidence to support this question.
8.70 Does a visual inspection suggest concerns regarding the physical integrity of the dormitory building, proper
lighting and ventilation, sanitary toilet areas, or clean dormitory facilities? Yes
No
Please give a summary of your objective evidence to support this question.
If Yes, please explain:
8.71 Does the facility have an emergency evacuation plan of the dormitories in the native language(s) posted in view of
the facility's workers? Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
Document Name: Facility Self-Assessment Package
Issue Date: September 2013
32
8.72 Does the facility conduct regular emergency evacuation drills (at least semi-annual) in the dormitories? Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
8.73 Is the following safety equipment in the dormitory(ies):
a. visible? Yes
No
b. appropriate in functionality and number? Yes
No
c. properly distributed throughout the facility? Yes
No
d. easily accessible? Yes
No
e. properly mounted? Yes
No
f. unblocked and free of obstruction? Yes
No
g. fire extinguishers are appropriate for the class(es) of fires expected in the area? Yes
Please give a summary of your objective evidence to support this question.
No
If No, please explain:
8.74 Are exits unlocked during times when the dormitories are occupied to allow free, unobstructed exit from the
dormitories? Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
8.75 Are any aisles blocked or restricting easy access to emergency exits in the dormitory(ies)?
Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
Emergency Lighting
8.76a Is appropriate lighting in place in the dormitory(ies)? Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
8.76b Is the emergency power system in the dormitory(ies) working and in good condition? Yes
Please give a summary of your objective evidence to support this question.
If No, please explain:
Document Name: Facility Self-Assessment Package
Issue Date: September 2013
33
No
8.76c Does your facility regularly conduct a test to ensure the system(s) in the dormitory(ies) is functioning properly?
Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
8.77 Are all stairwell handrails in good condition within the dormitories? Yes
Please give a summary of your objective evidence to support this question.
No
If No, please explain:
8.78 Are all stair treads in good condition within the dormitories? Yes
Please give a summary of your objective evidence to support this question.
No
If No, please explain:
8.79 Are the stairways in the dormitories provided with artificial and emergency lighting? Yes
Please give a summary of your objective evidence to support this question.
No
If No, please explain:
8.80a Are stairwells in the dormitories completely clear of obstructions? Yes
Please give a summary of your objective evidence to support this question.
No
If No, please explain:
8.80b Does your facility ensure stairwells in the dormitory(ies) are not used for storage? Yes
Please give a summary of your objective evidence to support this question.
If No, please explain:
8.81 Are the assembly points for the dormitories located in safe locations? Yes
Please give a summary of your objective evidence to support this question.
No
If No, please explain:
8.82 Is there clean drinking water that is easily accessible in the dormitories? Yes
Please give a summary of your objective evidence to support this question.
Document Name: Facility Self-Assessment Package
Issue Date: September 2013
34
No
No
If No, please explain:
8.83 Are the toilets and washrooms in the dormitories in sanitary and in serviceable condition? Yes
Please give a summary of your objective evidence to support this question.
If No, please explain:
8.84 Is trash properly disposed of both inside and outside the dormitory facilities? Yes
Please give a summary of your objective evidence to support this question.
If No, please explain:
Document Name: Facility Self-Assessment Package
Issue Date: September 2013
35
No
No
Principle 9 Freedom of Association and Collective Bargaining: Facilities will recognize and respect the
right of employees to exercise their lawful rights of free association and collective bargaining.
Note: The facility must have documented policies and procedures supporting all WRAP principles.
Requirements
9.1 Does your facility have written policies and procedures that recognize and respect the right of employees to
exercise their lawful rights of free association? Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
9.2 Does your facility have a designated qualified person with responsibility for communicating, deploying, and
monitoring the freedom of association practices as prescribed by labor law? Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
9.3 Does your facility have a union, association, or collective representation of employees? Yes
Please give a summary of your objective evidence to support this question.
No
If No, please explain:
9.4 If a union or collective association which represents the employees exists, does your facility consult with the
worker representatives on any issues that are a requirement by law such as facility disclosures, mass lay-offs,
restructuring of the business etc.? Yes
No
N/A
Please give a summary of your objective evidence to support this question.
If No, please explain:
9.5 If the workers do have an organized group that addresses workplace issues, does this workers’ group operate free
from coercion or illegal restrictions to its operations? Yes
No
N/A
Please give a summary of your objective evidence to support this question.
If No, please explain:
9.6 If a lawful association of employees exists, is there any bargaining agreement or labor-management negotiation on
workplace issues? Yes
No
N/A
Please give a summary of your objective evidence to support this question.
If No, please explain:
Document Name: Facility Self-Assessment Package
Issue Date: September 2013
36
9.7 Are there formal communication procedures between worker representatives and management?
Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
9.8 Does your facility enter into discussions with the workers representatives in an open manner and within the terms
of local law? Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
9.9 Are minutes of facility / worker representative meetings documented and available to the workers?
Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
9.10 Are workers representatives elected on a free and confidential basis by the workers? Yes
Please give a summary of your objective evidence to support this question.
No
If No, what is the election process?:
9.11 Does your facility discriminate against employees who form or participate in lawful associations?
Yes
No
Please give a summary of your objective evidence to support this question.
If Yes, please explain:
9.12 Does your facility discriminate against those who choose not to join any association? Yes
Please give a summary of your objective evidence to support this question.
No
If Yes, please explain:
9.13 Does your facility communicate its policies and practices pertaining to this Principle to all facility employees and
third parties (e.g., free zone office services, employment agencies) that may perform recruitment or screening of
applicants? Yes
No
Please give a summary of your objective evidence to support this question.
Document Name: Facility Self-Assessment Package
Issue Date: September 2013
37
If No, please explain:
Document Name: Facility Self-Assessment Package
Issue Date: September 2013
38
Principle 10 Environment: Facilities will comply with environmental rules, regulations and standards
applicable to their operations, and will observe environmentally conscious practices in all locations
where they operate.
Note: The facility must have documented policies and procedures supporting all WRAP principles.
Requirements
10.1 Does your facility have an environmental management system relevant to its industry? Yes
Please give a summary of your objective evidence to support this question.
No
If No, please explain:
10.2 Does your facility have a formally designated qualified person with responsibility for communicating, deploying,
and monitoring the environment practices elaborated upon in the environmental management system?
Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
10.3 Does your facility have a program and materials used to train relevant individuals on each practice of the
environmental management system? Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
10.4 Does your facility assess its ability to prevent and control harmful releases of industrial waste into the
environment as a part of the environmental management system? Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
10.5 Does your facility maintain a detailed plan for handling accidental release or discharge of environmentally
dangerous materials? Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
10.6 Does your facility maintain records of emission events? Yes
No
Please give a summary of your objective evidence to support this question.
Document Name: Facility Self-Assessment Package
Issue Date: September 2013
39
If No, please explain:
10.7 Does your facility’s environmental management system address where and how solid, chemical, sanitary and
wastewater substances are disposed? Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
10.8 Does the facility adequately communicate to all facility employees the relevant local and national laws and
regulations as well as pertinent facility procedures concerning the environment principle? Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
Document Name: Facility Self-Assessment Package
Issue Date: September 2013
40
Principle 11 Customs Compliance: Facilities will comply with applicable customs laws, and in
particular, will establish and maintain programs to comply with customs laws regarding illegal
transshipment of finished products.
Note: The facility must have documented policies and procedures supporting all WRAP principles.
Requirements
11.1 Does your facility keep copies of all applicable customs laws and regulations? Yes
Please give a summary of your objective evidence to support this question.
No
If No, please explain:
11.2a Does your facility’s policies and procedures on customs compliance cover the following requirements:
Compliance with all applicable customs laws and maintains practices to comply with customs laws regarding illegal
transshipment of products. In the event possible illegal transshipment activity, appropriate host government agency
will be notified? Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
11.2b Monitors its productions on a per style basis. Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
11.2c Traces country of origin using records such as production, shipping, verification reports, quality control
reports, and individual piecework sheets, for all inputs. Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
11.2d Verifies production on an ongoing basis on-site and at sub-contracting facilities. Yes
Please give a summary of your objective evidence to support this question.
If No, please explain:
11.2e Maintains a facility machine inventory and updates it annually. Yes
Please give a summary of your objective evidence to support this question.
If No, please explain:
Document Name: Facility Self-Assessment Package
Issue Date: September 2013
41
No
No
11.2f Ensures that the proper category designation is determined for all goods destined for the US market.
Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
11.3 Does your facility maintain an organized system of production documentation? Yes
Please give a summary of your objective evidence to support this question.
No
If No, please explain:
11.4 Are the following records maintained?
a. Records of the country of origin for all goods produced in this facility. Yes
Please give a summary of your objective evidence to support this question.
No
If No, please explain:
b. A production profile of any subcontracting facility. This facility requests documents from the subcontracting
facilities when questions regarding goods produced at those facilities arise. Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
c. Production/purchase orders (with information such as conditions of production, payment, and finished product
specifications). Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
d. Raw material invoices (indicating country/origin/manufacturing facility). Yes
Please give a summary of your objective evidence to support this question.
No
If No, please explain:
e. Shipping/receiving documents (outgoing and incoming records of components/inputs sent to or received from
another facility). Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
f. Employee work records – accurate records of employee work hours that can be linked to the production of specific
products. Yes
No
Please give a summary of your objective evidence to support this question.
Document Name: Facility Self-Assessment Package
Issue Date: September 2013
42
If No, please explain:
g. Quality control records (which may include facility name and address, purchase order number, style number, date
of the quality check, buyer, name, stamp or signature of inspector, comments on production).
Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
h. Export documents (including: packing list, manifest, bill of lading/airway bill from truck, ship, plane or train
indicating the export date, exporting entity, destination, shipping lines, importing entity, and any charges incurred).
Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
i. Outward processing production (if applicable, copies of the outward processing program designated by the domestic
government, copies of compliance review reports, documentation demonstrating the flow of goods from one facility to
another). Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
j. Number of units produced marked with a traceable mark. Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
k. Machine inventory records, updated at least once a year Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
l. Documented confirmation of the correct category and country of origin for goods through verification of correct
country of origin such as binding rulings from the US Customs Service, confirmation with purchasing company,
knowledgeable/trained staff, etc. Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
m. Documentation on how the qualified person with responsibility for this Principle communicates, deploys, and
monitors the facility’s customs compliance policies. Yes
No
Document Name: Facility Self-Assessment Package
Issue Date: September 2013
43
Please give a summary of your objective evidence to support this question.
If No, please explain:
11.5a Do the facility’s production records include verification of sub-contractor performance? Yes
Please give a summary of your objective evidence to support this question.
No
If No, please explain:
11.5b What records are used?
Date and location of the verification Yes
No
Product(s) verified Yes
No
Purchasing company Yes
No
Style number Yes
No
Phase of production Yes
No
Reference indicator for employee(s) performing operation Yes
Name/stamp or signature of verifying official Yes
No
No
11.6 Has the facility designated a qualified person with responsibility for communicating, deploying, and monitoring
customs compliance? Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
11.7 Does the responsible person ensure that such origin determining documents are maintained for at least the period
of record retention required by law? Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
11.8 Does the responsible person ensure that all subcontracting facilities complete a production profile and keeps such
profiles on file? Yes
No
N/A
Please give a summary of your objective evidence to support this question.
If No, please explain:
11.9 Does your facility verify production at subcontracting facilities when necessary through the review of requested
documentation or personal visits (recording such instances of production verification and keeping on file)?
Yes
No
N/A
Please give a summary of your objective evidence to support this question.
If No, please explain:
Document Name: Facility Self-Assessment Package
Issue Date: September 2013
44
11.10 Does the responsible person stay current with possible illegal transshipment activity in the host country through
communication with appropriate bodies such as the host government, trade association, contact with U.S. Customs,
corporate importing office etc., and be responsible for maintaining files on any known transhippers or transshipment
activities determined to be in the host country or with a country from which facility sources? Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
Document Name: Facility Self-Assessment Package
Issue Date: September 2013
45
Principle 12. Security: Facilities will maintain facility security procedures to guard against the
introduction of non-manifested cargo into outbound shipments (i.e. drugs, explosives biohazards and
/or other contraband).
Note: The facility must have documented policies and procedures supporting all WRAP principles.
Requirements
12.1 Does your facility have practices to guard against the introduction of contraband (e.g. drugs, explosives,
biohazards, and/or other contraband; any non-manifested cargo will be referred to as contraband.)?
Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
12.2 Has your facility designated a qualified person with responsibility for communicating, deploying, and monitoring
security policies and procedures? Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
Container and Trailer Security
Foreign manufacturers are responsible for loading trailers and containers; they should work with the carrier to provide
reassurance that there are effective security procedures and controls implemented at the point-of-loading.
Container Inspection
12.3a Does your facility have documented procedures in place to verify the physical integrity of the container
structure prior to loading? Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
12.3b Does the procedure include the reliability of the locking mechanisms of the doors? Yes
Please give a summary of your objective evidence to support this question.
No
If No, please explain:
12.3c Does the facility conduct a seven-point inspection process (see list below) for all containers and keep records of
all inspections? Yes
No
 Front wall
Yes
No
 Left side
Yes
No
 Right side
Yes
No
 Floor
Yes
No
 Ceiling/Roof
Yes
No
 Inside/outside doors
Yes
No
 Outside/Undercarriage
Yes
No
Document Name: Facility Self-Assessment Package
Issue Date: September 2013
46
If the answer to any of the above points is no please state the alternative method used.
Please give a summary of your objective evidence to support this question.
If No, please explain:
Trailer Inspection
12.4a Does your facility have procedures in place to verify the physical integrity of the trailer structure prior to
loading, including the reliability of the locking mechanisms of the doors? Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
12.4b Is the facility following five-point inspection process is recommended for all trailers? Yes
 Fifth wheel area - check natural compartment/skid plate Yes
No
 Exterior - front/sides
Yes
No
 Rear - bumper/doors
Yes
No
 Front wall
Yes
No
 Left side
Yes
No
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
Container and Trailer Seals
12.5a Does your facility affix a high security seal to all loaded trailers and containers bound for the U.S.?
Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
12.5b Do seals meet or exceed the current ISO 17712 standards for high security seals? Yes
Please give a summary of your objective evidence to support this question.
No
If No, please explain:
12.5c Does your facility have documented procedures stipulating how seals are to be controlled and affixed to loaded
containers and trailers? Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
12.5d Does your facility have documented procedures for recognizing and reporting compromised seals and/or
containers/trailers to US Customs and Border Protection or the appropriate local authority? Yes
No
Document Name: Facility Self-Assessment Package
Issue Date: September 2013
47
Please give a summary of your objective evidence to support this question.
If No, please explain:
12.5e Does your facility have designated employees for the distribution of seals for integrity purposes?
Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
Container and Trailer Storage
12.6a Is the security of containers and trailers located within the facility maintained? Yes
Are they in a secure area to prevent unauthorized access and/or manipulation? Yes
No
Please give a summary of your objective evidence to support this question.
No
If No, please explain:
12.6b Does your facility have documented procedures in place for reporting and neutralizing unauthorized entry into
containers/trailers or container/trailer storage areas? Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
Physical Access Controls
Access controls prevent unauthorized entry to facilities, maintain control of employees and visitors, and protect company
assets. Access controls must include the positive identification of all employees, visitors, and vendors at all points of entry.
12.7 Does your facility have a physical access control procedure? Yes
Please give a summary of your objective evidence to support this question.
No
If No, please explain:
Employees
12.8a Does your facility have an employee identification system in place for positive identification and access control
purposes? Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
12.8b Does your facility ensure that employees are only given access to those areas needed for the performance of
their duties? Yes
No
Please give a summary of your objective evidence to support this question.
Document Name: Facility Self-Assessment Package
Issue Date: September 2013
48
If No, please explain:
12.8c Does your facility control the issuance and removal of employee, visitor and vendor identification badges?
Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
12.8d Does your facility have documented procedures for the issuance, removal and changing of access devices (e.g.
keys, key cards, etc.)? Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
Visitors
12.9 Do visitors present photo identification for documentation purposes upon arrival? All visitors should be escorted
and should visibly display temporary identification. Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
Deliveries (including mail)
12.10 Is vendor ID and/or photo identification required to be presented for documentation purposes upon arrival by
all vendors? Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
Challenging and Removing Unauthorized Persons
12.11 Does your facility have documented procedures in place to identify, challenge and address
unauthorized/unidentified persons? Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
Personnel Security
12.12 Does your facility have documented procedures in place to screen prospective employees and to periodically
check current employees? Yes
No
Please give a summary of your objective evidence to support this question.
Document Name: Facility Self-Assessment Package
Issue Date: September 2013
49
If No, please explain:
Pre-Employment Verification
12.13 Does your facility verify application information, such as employment history and references, prior to
employment? Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
Background Checks / Investigations
12.14a How does your facility conduct background checks and investigations for prospective employees?
Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
12.14b Once employed, are periodic checks and reinvestigations performed based on cause, and/or the sensitivity of
the employee’s position? Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
Personnel Termination Procedures
12.15 Does your facility have procedures in place to remove identification, facility, and system access for terminated
employees? Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
Procedural Security
Security measures must be in place to ensure the integrity and security of processes relevant to the transportation, handling,
and storage of cargo in the supply chain.
Documentation Processing
12.16 Are documented procedures in place to ensure that all information used in the clearing of merchandise/cargo is
legible, complete, accurate, and protected against the exchange, loss or introduction of erroneous information?
Yes
No
Does documentation control include safeguarding computer access and information? Yes
No
Please give a summary of your objective evidence to support this question.
Document Name: Facility Self-Assessment Package
Issue Date: September 2013
50
If No, please explain:
Manifesting Procedures
12.17 Are documented procedures in place to help ensure the integrity of cargo? Yes
No
Is the information received from business partners reported accurately and in a timely manner? Yes
Please give a summary of your objective evidence to support this question.
No
If No, please explain:
Shipping and Receiving
12.18a Is cargo that is being shipped reconciled against information on the cargo manifest?
Please give a summary of your facility’s practices:
12.18b Is all cargo accurately described and are the weights, labels, marks, and piece count indicated and verified?
Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
12.18c Does your facility verify departing cargo against purchase or delivery orders? Yes
Please give a summary of your objective evidence to support this question.
No
If No, please explain:
12.18d Are drivers delivering or receiving cargo positively identified before cargo is received or released?
Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
12.18e Are documented procedures in place to track the timely movement of incoming and outgoing goods?
Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
Cargo Discrepancies
12.19a Are all shortages, overages, and other significant discrepancies or anomalies resolved and/or investigated
appropriately? Yes
No
Document Name: Facility Self-Assessment Package
Issue Date: September 2013
51
Please give a summary of your objective evidence to support this question.
If No, please explain:
12.19b Are customs and/or other appropriate law enforcement agencies notified if anomalies, illegal or suspicious
activities are detected - as appropriate? Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
Physical Security
Cargo handling and storage facilities in international locations must have physical barriers and deterrents that guard against
unauthorized access.
Fencing
12.20a Does perimeter fencing enclose the areas around cargo handling and storage facilities? Yes
No
Note: If the facilities perimeter is the sidewalk, what security measures are in place? Please explain:
Please give a summary of your objective evidence to support this question.
If No, please explain:
12.20b Is interior fencing within a cargo handling structure used to segregate domestic, international, high value, and
hazardous cargo? Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
12.20c Is all fencing regularly inspected for integrity and damage? Yes
Please give a summary of your objective evidence to support this question.
No
If No, please explain:
Gates and Gate Houses
12.21 Are the gates through which vehicles and/or personnel enter or exit manned and/or monitored?
Yes
No
The number of gates should be kept to the minimum necessary for proper access and safety.
Please give a summary of your objective evidence to support this question.
If No, please explain:
Document Name: Facility Self-Assessment Package
Issue Date: September 2013
52
Parking
12.22 Are private passenger vehicles prohibited from parking in or adjacent to cargo handling and storage areas? Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
Building Structure
12.23a Are buildings constructed of materials that resist unlawful entry? Yes
Please give a summary of your objective evidence to support this question.
No
If No, please explain:
12.23b Is the integrity of structures maintained by periodic inspection and repair? Yes
Please give a summary of your objective evidence to support this question.
No
If No, please explain:
Locking Devices and Key Controls
12.24 Are all external and internal windows, gates, and fences secured with locking devices? Yes
management or security personnel control the issuance of all locks and keys? Yes
No
Please give a summary of your objective evidence to support this question.
No
Does
If No, please explain:
Lighting
12.25 Is adequate lighting provided inside and outside the facility including in the following areas: entrances and exits,
cargo handling and storage areas, fence lines and parking areas? Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
Alarms Systems and Video Surveillance Cameras
12.26 Are alarm systems and video surveillance cameras utilized to monitor premises and prevent unauthorized
access to cargo handling and storage areas? Yes
No
Note: If alternative methods are used please state what they are and their adequacy.
Please give a summary of your objective evidence to support this question.
If No, please explain:
Document Name: Facility Self-Assessment Package
Issue Date: September 2013
53
Information Technology Security
Password Protection
12.27a Does your facility have automated systems for individually assigned accounts that require a periodic change of
password? Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
12.27b Does your facility have documented IT security policies, procedures, and standards in place?
Yes
No
Are they provided to employees in the form of training? Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
Accountability
12.28 Does your facility have a system in place to identify the abuse of IT including improper access, tampering, or the
altering of business data? Yes
No
Are all system violators subject to appropriate disciplinary actions for abuse? Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
Security Training and Threat Awareness
12.29a Does your facility have a threat awareness program in place and is it maintained by security personnel to
recognize and foster awareness of the threat posed by terrorists and contraband smugglers at each point in the supply
chain? Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
12.29b Does your facility make employees aware of the procedures the company has in place to address a security
situation and how to report it? Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
12.29c Does your facility give additional training to employees in the shipping and receiving areas, as well as those
receiving and opening mail? Yes
No
Please give a summary of your objective evidence to support this question.
Document Name: Facility Self-Assessment Package
Issue Date: September 2013
54
If No, please explain:
12.29d Does your facility undertake additional, specific training to assist employees in maintaining cargo integrity,
recognizing internal conspiracies, and protecting access controls? Yes
No
Please give a summary of your objective evidence to support this question.
If No, please explain:
12.29e Do these programs offer incentives for active employee participation? Yes
Please give a summary of your objective evidence to support this question.
If No, please explain:
Document Name: Facility Self-Assessment Package
Issue Date: September 2013
55
No