AUDIT TECHNIQUES

1
To Be A Good Auditor You Must...
Be organized.
Dont be afraid to ask st!id "estions.
#isten $aref%%& to t'e ans(ers gi)en.
Use for of &or si* senses +dont to$' or taste.,
C'a%%enge ass-!tions... be ske!ti$a%.
Use t'e .s'o( -e test
2
Discuss With the Site How They Can Best Prepare for the e!iew
/er-its 0 Ha)e t'e fo%%o(ing ite-s a)ai%ab%e for t'e re)ie(1
Co!& of en)iron-enta% !er-its +E.2.3 en)iron-enta% i-!a$t assess-ent and t'ree
s&n$'ronies a!!ro)a% in C'ina.,
4onitoring res%ts +(aste (ater3 drinking (ater3 air e-issions3 indoor air3 noise.,
Need to dis$ss t'ese do$-ents (it' a kno(%edgeab%e !erson
Site Tor1
C%osre of !re)ios%& identified isses.
S!end t(o to t'ree 'ors (a%king abot t'e fa$i%it&.
Es$ort (it' a$$ess to a%% %o$ks.
/%ant -a! (it' na-es of bi%dings
5
Dis$ss 6it' t'e Site Ho( T'e& Can Best /re!are for t'e 7e)ie(
8tdoor non0s%i!3 (ater!roof safet& s'oes (it' a 'ard toe.
Dark $%ot'ing 0 &o s'o%d get dirt&.
A s-a%% f%as'%ig't.
Hearing !rote$tion.
E&e !rote$tion.
Digita% $a-era.
Note!ad and !en 9 !en$i%.
U-bre%%a.
Be !re!ared and !rote$t &orse%f... t'ese are indstria% settings
:
E*a-!%e Agenda
Introd$tions.
/ro!osed s$'ed%e.
/r!ose of t'e re)ie(.
Dis$ss se of digita% $a-era.
C%osing -eeting 0 dis$ss fo%%o(0! $%osre !rogra-
;
1
Stay "#$ecti!e and %ocused "n Your e!iew
Co%%e$ting ob<e$ti)e e)iden$e1
8bser)ations.
Inter)ie(s.
Tors of de!art-ents or areas.
Ins!e$tions of do$-ents3 !rod$ts3 !ro$esses3 et$.
Ask =orse%f1
6'at a- I tr&ing to )erif&>
Ho( s'o%d I best )erif& it>
6'at e)iden$e a- I %ooking for>
Do$-ented.
Testi-onia%.
8bser)ationa%.
6'at is t'e best se"en$ing of )erifi$ation ste!s>
?As& "pen 'nded (uestions... Test The Answers
As&)
@6'o3 ('at3 ('ere3 ('en3 ('&3 'o(>A
/resent a '&!ot'eti$a% sitation1
@6'at if B>A
Ask for $%arifi$ation1
@I- sorr&3 $o%d &o !%ease e*!%ainB>A
7e!eat t'e infor-ation to t'e inter)ie(ee to ensre t'at it is $orre$t.
Ask for a de-onstration1
@S'o( -e 'o(BA3 @S'o( -e ('ere BA
Cno( &or adien$eB ta%k to t'e !erson ('o does t'e <obB dont ta%k do(n to t'e-
* A Key Method For On-Site Reviews
Dire$t3 'ands0on infor-ation abot site o!erations and !ra$ti$es.
Integrate (it' do$-ent re)ie( to assess $o-!%ian$e (it' reg%ator&
re"ire-ents and $onditions in !er-its3 %i$enses3 and a!!ro)a%s.
Use a site -a! to kee! tra$k and re$ord findings.
Ins!e$tion rote1
Start (it' $%osre of !re)ios%& identified ite-s.
T'en go ba$k to t'e site !eri-eter3 otside and inside.
Cee! -o)ing in one dire$tion.
#ook ot t'e (indo(sD go into ea$' $ornerD tr& e)er& doorD go to t'e roof and t'e
base-ent.
2
4o)e fro- bi%ding to bi%ding.
Eisit fn$tiona% areas +E.2.3 (aste (ater treat-ent !%ant3 %oading do$ks3
-anfa$tring3 et$.,
+ Look Out of Windows
6'en &o see a (et !ro$ess se &or e&es to find ot ('ere t'e (aste (ater is going.
=o -ig't see t'at it is going straig't to a dit$'
, Go to the Corner of 'ach oo-
DonFt fo$s on%& on t'e areas ('ere t'e s!!%ier re!resentati)e takes &o. T'ere -a&
be ite-s in $orners or side areas t'at !ose t'e greatest EHS risk. In t'is s!!%ier site3
(e fond f%a--ab%e $'e-i$a%s i-!ro!er%& stored in t'e $orner of t'e -anfa$tring
area
./ Wa0& "utside the Peri-eter
7e-e-ber t'at t'e otside of t'e s!!%ier site is t'e easiest for t'e -edia or ot'ers to
a$$ess
11 Wa0& to the %ina0 Dischar1e Point
=o need to go (it' t'e s!!%ier to t'e fina% dis$'arge !oint for (aste(ater +in
t'is $ase3 a ri)er,. T'is is t'e on%& (a& to )erif& ('et'er t'e fina% dis$'arge is
$%ean
1G %o00ow the Pipe
As (it' (et !ro$esses3 fo%%o( t'e -anfa$tring !ro$ess to deter-ine ('ere air
e-issions are )ented. In t'is $ase3 an e-ission sta$k (ent t'rog' t'e roof3 bt
t'e sta$k (as bent and t'ere (as no !o%%tion $ontro% treat-ent. As a res%t3 t'e
air e-issions 'ad $orroded t'e roof and fgiti)e e-issions (ere es$a!ing ba$k
into t'e (ork !%a$e.
15 Cha00en1e Assu-ptions
=o need to test ('at a s!!%ier te%%s &o ('en &o ask a "estion. In t'is
!'oto3 (e (ere to%d t'at t'is e%e$tri$a% !ane% (as not in se. 8n $%oser
ins!e$tion3 (e fond t'at so-e s(it$'es (ere in t'e off !osition3 bt so-e
s(it$'es (ere in t'e on !osition. 6e t'en fo%%o(ed t'e &e%%o( $ord3 and fond it
(as $onne$ted to an e*tension $ord in t'e ne*t roo-
1: Stor- Drain Connections 2 P0u-#ers 3 4nauthori5ed Dischar1es
6e (ere to%d t'ese !i!es (ere stor- drains3 bt it didnFt -ake sense t'at t'ere
(ere 'orizonta% $onne$tions fro- t'e se$ond f%oor
1; As& Stupid (uestions
6'en &o see so-et'ing t'at %ooks ot of !%a$e3 donFt be afraid to ask ('at it is
or ('& itFs t'ere. In t'is $ase3 (e fond t'at t'ese dr-s (ere sed to $ontain a
(aste dis$'arge. At a -ini--3 t'is set! needs better %abe%ing3 se$ondar&
$ontain-ent and a -e$'anis- to a%ert !eo!%e ('en t'e dr-s are f%%
3
1? Te00ta0e Stain... Soi0 and Groundwater Po00ution
T'is area is for oi% and diese% storage. T'e staining sggests a %ong ter-
$%ean! %iabi%it&
1H "pen A00 Doors
A 2E sor$ing %eader fond t'is ('en 'e took t'e initiati)e to o!en a door at
t'e site being adited.
1I H6D 7a-p in Warehouse
6are'oses $an !ose signifi$ant fire safet& risks 0 ('i$' $an be an isse for
bot' !ersonne% and !ro!ert&. 6e (o%d (ant to see e*!%osion !roof %ig'ting
'ere
8i8. 7oo& 6nto Stor- Drains
6'en (e o!ened ! t'is stor- drain on a snn& da&3 (e didnFt e*!e$t to see so
-$' Jstor-(ater.J And (e didnFt e*!e$t to see soa! sds in t'e stor-(ater. It
trned ot t'at bat'roo- sinks 'ad been !i!ed to t'e stor- drain.
GK Critica0 %ina0 Step
/ro)ide an o!!ortnit& to re)ie( t'e adit findings before an&t'ing is (ritten
in a re!ort.
/ro)ide t'e adit tea- (it' an o!!ortnit& to identif& additiona% data or
infor-ation needed to $o-!%ete its e)a%ation or s!!ort findings.
/ro)ide an o!!ortnit& to dis$ss (it' fa$i%it& staff isses of !otentia% $on$ern
so t'at i--ediate $orre$ti)e -easres -a& be taken.
8rganize findings b& $o-!%ian$e areas.
E*!ress a!!re$iation to !%ant -anager.
A)oid sing na-es of inter)ie(ees.
Dont tr& to engineer a so%tion.
Be $on$ise.
Ensre t'at a%% !arties are fa-i%iar (it' t'e $%osre a$tion !ro$ess.
D"9s Don9ts
Use -ore t'an one si-!%e senten$e if
ne$essar&3 in$%ding sb<e$t and )erb.
Cite adit $riteria re%e)ant to t'e finding.
Use <ob tit%es3 fn$tions3 gro! na-es.
S!e$if& %o$ationD bi%ding3 roo- $o%-n
n-ber.
Use )erified fa$ts and detai%s.
Use netra%3 ob<e$ti)e3 non0<dg-enta%
(ords.
Lo$s s!e$ifi$a%%& on t'e non0
Use $o-!%e* rn0on senten$es or
senten$e frag-ents.
#ea)e ot t'e adit $riteria or on%&
!artia%%& $ite it.
Use na-es of !eo!%e inter)ie(ed.
Use genera%izations3 s!e$%ations3
'eres&3 or $on<e$tre.
Use <dg-enta%3 e-otiona% or sggesti)e
(ords.
Dis$ss ot'er non0re%ated isses.
4
$onfor-an$e.
Use reg%ator& %angage in t'e gide
notes to 'e%! state t'e findings.
Eerba%%& dis$ss findings (it'
a!!ro!riate !ersonne%.
6rite -ore t'an one $orre$ti)e a$tion if
ne$essar& to address t'e finding
2et fan$&.
6rite ! -inor abnor-a%ities or ite-s
('i$' are otside t'e adit s$o!e.
#i-it t'e $orre$ti)e a$tion to one if -ore
are ne$essar&.
22
How To Address 'HS %indin1s %ro- "n:Site e!iews
'HS Assess-ent Modu0e
8n0site 7e)ie(1
4ost $riti$a% as!e$t of t'e re)ie(.
T(ent&0fi)e "estions designed to srfa$e t'e -ost serios EHS isses.
=o dont need to be an e*!ert EHS to $ond$t t'e re)ie(.
T'e fo%%o(ing training -ateria%s1
E*!%ain e)er& "estion.
2i)e a basi$ e*!%anation of ('& t'e "estion is i-!ortant.
2i)e &o e*a-!%es of ('at to %ook for +bot' good and bad.,
5
T'is training !a$kage is designed to 'e%! &o nderstand and e*e$te t'e on0site EHS
re)ie( !ortion of t'e s!!%ier "a%ifi$ation !ro$ess. It (i%% take &o t'rog' a%% t'e on0site
"estions3 e*!%ain ('& t'e "estion is i-!ortant and ('at &o s'o%d %ook for.
HOUSEKEEPI!
Is genera% 'osekee!ing of t'e fa$i%it&
good>
2enera% 'osekee!ing refers to t'e
neatness or $%tter of an area.
6ork areas s'o%d be (e%% organized
(it' $%ose attention to fire 'azards M
e-!%o&ee safet&.
6ork srfa$es s'o%d be ke!t dr&.
Co-bstib%e s$ra!3 debris3 and (aste
s'o%d be safe%& re-o)ed fro- t'e (ork
area.
Storage roo-s s'o%d be re%ati)e%&
organized (it' f%a--ab%e3 $orrosi)e3 a$idi$
M $asti$ -ateria%s stored se!arate%& in
a!!ro!riate $ontainers.
7est roo-s s'o%d be $%ean and
sanitar&.
Ais%e (a&s s'o%d be $%ear to a%%o( eas&
!assage in an e-ergen$&.
Tras' s'o%d be !%a$ed in tras'
$ontainers and not on t'e f%oor or ot'er
areas of t'e fa$i%it&.
E%e$tri$a% en$%osres s'o%d be free of
-eta%%i$ or $ond$ti)e dst.
T'ere s'o%d be no sign of s!i%%ed
-ateria%s.
De$ide ('i$' !i$tre+s, are a$$e!tab%e or
not a$$e!tab%e.
Basi$ 'osekee!ing is t'e easiest isse to s!ot and a ke& indi$ator ('et'er t'e s!!%ier
'as a $o--it-ent to EHS. Serios 'osekee!ing breakdo(ns $an %ead to soi% and
(ater $onta-ination and $an in$rease t'e %ike%i'ood of a fire or serios a$$ident. It is
a%so one of t'e easiest and $'ea!est isses to fi* as it -ain%& re"ires dai%&
'osekee!ing dis$i!%ines. 2E 'as a n-ber of 'osekee!ing $'e$k%ists (e $an -ake
a)ai%ab%e to or s!!%iers.
Is genera% 'osekee!ing of t'e fa$i%it& good>
As in t'e fa$tor&3 !oor 'osekee!ing in e-!%o&er !ro)ided 'osing is a $ase for
$on$ern. It -a& in$rease t'e risk of fire or ot'er a$$idents and i-!ede e)a$ation in t'e
e)ent of a fire.
; 7i1htin1
Does t'e fa$i%it& 'a)e good %ig'ting>
T'e %ig'ting (it'in t'e fa$i%it& s'o%d be sffi$ient to %et &o see a$ross t'e fa$i%it&
or to t'e nearest e*it.
6orkers s'o%d not 'a)e to strain to see t'eir (ork.
8nsite dor-itories s'o%d be ade"ate%& %it ('en o$$!ied
#ig'ting is e*tre-e%& i-!ortant to red$e t'e risk of a$$idents fro- nseen 'azards
and to ensre e-!%o&ees $an safe%& e*it t'e fa$i%it& in t'e e)ent of an e-ergen$&
6
< =isi#0e Ha5e
Does t'e fa$i%it& 'a)e a )isib%e 'aze or $'e-i$a% -ist in t'e s'o!9(ork areas>
#ook for 'aziness or dis$o%oration of t'e indoor air. Air at 'ig'er a%titde -a& be
-ore affe$ted and t'e effe$t -a& be$o-e (orse as t'e da& $ontines.
A )isib%e 'aze or -ist in t'e (orks'o! +as &o $an see in t'e to! !i$tre, -a& be an
indi$ation t'at e-!%o&ees are being e*!osed to $'e-i$a%s or dst 'azards. It -a& be
ne$essar& for t'e s!!%ier to test t'e indoor air "a%it& in t'ese areas to ensre
reg%ator& $o-!%ian$e
? "#$ectiona#0e "dors
Is t'e fa$i%it& free fro- ob<e$tionab%e odors in t'e indoor (ork areas>
Noti$eab%e odor refers to an odor t'at is abnor-a%%& strong or @ot of !%a$e.A
Abnor-a% odors -a& indi$ate !oor )enti%ation and9or t'e !resen$e of
'azardos sbstan$es in t'e air.
8b<e$tionab%e odors in$%de )er& irritating or a$rid odors.
Lor e*a-!%e3 an odor is ob<e$tionab%e if &or e&es (ater ('en &o (a%k in t'e
area or &o !ersona%%& rea$t )er& negati)e%&. If &o e*!erien$e ob<e$tionab%e
odors in t'e fa$i%it& it -a& be ne$essar& for t'e s!!%ier to 'a)e e*!ert testing to
deter-ine ('et'er e-!%o&ees are begin e*!osed abo)e reg%ator& %e)e%s.
* Te-perature
Are t'e (ork areas ke!t at a reasonab%e te-!eratre>
Un$o-fortab%e te-!eratres are signifi$ant%& otside of or $o-fort range and are
!otentia%%& dangeros to e-!%o&ees.
Hig' te-!eratres -a& $ase 'eat e*'astion and %o( te-!eratres -a& $ase
i%%ness.
4ost $ontries 'a)e r%es regarding (orking te-!eratres. Hig' te-!eratre areas
(i%% +if t'e& $annot be i-!ro)ed b& )enti%ation, often be sb<e$t to s'orter (orking 'ors
and -ore fre"ent breaks. Co%d te-!eratres +for e*a-!%e in an n'eated bi%ding on a
$o%d (inters da&, $an be 'ar-f% to 'ea%t'.
1 4no#structed '8its
Do a%% e*its %ead to an area otside t'e bi%ding (it'ot obstr$tion>
Lree and nobstr$ted a$$ess to ea$' e*it rote -st be !ro)ided to ensre safe e*it
dring an e-ergen$&.
E-!%o&ees -st not be re"ired to tra)e% t'rog' a roo- t'at $an be %o$ked or %ead
to a dead end.
T'e e*it -st %ead otside or to an o!en s!a$e t'at %eads otside.
An e*it door -st be n%o$ked fro- t'e inside.
4an& of t'e -ost serios indstria% a$$idents arond t'e (or%d 'a)e been -ade
es!e$ia%%& tragi$ ('en e-!%o&ees died be$ase t'e fire e*its (ere %o$ked or b%o$ked.
8r 'ig'est $on$ern is if &o find an& doors ('i$' 'a)e been %o$ked or barred
de%iberate%& +for e*a-!%e3 to !re)ent e-!%o&ee t'eft,. Ho(e)er3 doors ('i$' %ead to
7
interna% areas of t'e !%ant or ('i$' 'a)e been b%o$ked b& !oor 'osekee!ing $an 'a)e
t'e sa-e effe$t.
2 C0ear0y Mar&ed '8its
Are e*its $%ear%& -arked>
E-ergen$& e*its s'o%d be $%ear%& -arked (it' a )isib%e e*it sign.
T'e e*it sign s'o%d be i%%-inated in t'e e)ent of an e-ergen$&.
In a fire or ot'er e-ergen$&3 e-!%o&ees 'a)e to be ab%e to find t'e doors t'at (i%%
%ead otside and a(a& fro- t'e bi%ding. A%% e-ergen$& e*its s'o%d be $%ear%& and
)isib%& -arked and s'o%d be $a!ab%e of being i%%-inated in t'e e)ent of an
e-ergen$& (it' !o(er %oss so e-!%o&ees $an find t'e door in t'e dark. In t'e
botto- !i$tre &o $an see t(o !rob%e-s1 t'e e-ergen$& %ig't is dis$onne$ted3 and
t'e door is %o$ked.
> Wastewater Treat-ent
Are a%% $'e-i$a%s 9 (aste(ater treated as re"ired b& %o$a% %a( or site !er-it !rior to
going to a se(er or drainage s&ste->
C'e-i$a%s and9or (aste(ater s'o%d be dis!osed of safe%&.
Treat-ent +b& t'e fa$i%it& or a !b%i$ treat-ent (orks, is genera%%& re"ired before
dis!osa% into (ater(a&s.
E)er& $ontr& 'as %a(s re"iring t'at dis$'arges to (ater are reg%ated. Dire$t
dis$'arges to a (ater(a& are genera%%& !ro'ibited (it'ot a !er-it. In -ost $ases3
treat-ent to !re)ent $onta-ination of t'e (ater(a& (i%% a%so be re"ired. An& )isib%&
$onta-inated dis$'arge3 as in t'e to! !i$tre3 is 'ig'%& ss!i$ios. /i!ing t'at %eads
dire$t%& onto t'e grond or into t'e stor- (ater s&ste- is a%so %ike%& to be a !rob%e-.
An& dis$'arge into t'e stor- (ater s&ste- ot'er t'an $%ear rain(ater s'o%d be
identified ('en fi%%ing in t'e assess-ent -od%e.
;. Waste Materia0s
Are t'ere (aste -ateria%s3 s$ra! -eta% or garbage stored otside dire$t%& on t'e
grond>
8tside (aste storage s'o%d be stored on a barrier t'at !re)ents an& s!i%%age
fro- see!ing into t'e grond.
8tside (aste s'o%d be $o)ered to !re)ent $onta$t (it' (eat'er.
/oor (aste sorting and storage is a -a<or $ase of $onta-ination. It $an a%so res%t
in dire$t e*!osre of e-!%o&ees and (aste 'and%ers to dangeros (aste -ateria%s.
4i*ing ! (aste strea-s +as ob)ios%& o$$rred in t'e to! !'oto, is es!e$ia%%&
dangeros and diffi$%t to $%ean !
< Stora1e Containers
Do a%% dr-s and ot'er storage $ontainers a!!ear to be in good $ondition3 stored in
$ontained areas and (e%% -anaged>
Bad%& $orroded dr-s and da-aged $ontainers -a& %eak or a%%o( otside
i-!rities to $o-e in $onta$t (it' t'e stored -ateria%.
C'e-i$a%s s'o%d be stored in areas designed to kee! s!i%%s a(a& fro- drains and
bare grond.
8
A sing%e dr- $an $ontain enog' -ateria% to $ase a signifi$ant e-!%o&ee a$$ident
or !o%%tion of soi% or (ater. Dr-s ('i$' are $orroded3 dented or da-aged3 stored
(it'ot a %id3 or are stored dire$t%& on t'e grond or near a (ater(a& are a serios
risk. Ho( s'o%d dr-s be stored>
? =e1etation
Does t'e )egetation onsite a!!ear to be nor-a% for t'e area and t'e season>
Dis$o%ored )egetation srronded b& 'ea%t'& )egetation -a& be a sign of !re)ios
$'e-i$a% d-!ing3 s!i%%age or brning.
E)iden$e of dis!osa% of $'e-i$a%s on t'e grond $an in$%de )isib%e signs of
$onta-ination3 s$' as oi% stains or dis$o%oration.
Anot'er (a& (e $an te%% if t'e soi% 'as been $onta-inated is if t'e )egetation in an
area doesnt %ook rig't. If it is &e%%o(3 bro(n or dead ('en e)er&t'ing e%se arond it
is green3 t'en it -a& be an indi$ator t'e area is $onta-inated.
Conta-ination !rob%e-s are )er& e*!ensi)e to $%ean! and 'a)e bankr!ted
s!!%iers in so-e $ontries.
* Air '-issions
Are air e-issions ordinar& in a!!earan$e>
E)er& $ontr& reg%ates air e-issions and -ost re"ire eit'er a !er-it to e-it or at
%east a registration of t'e e-ission sor$e (it' t'e %o$a% at'orities. Indi$ations t'at
t'e site -a& be ot of $o-!%ian$e are1
E*terna% air e-issions t'at are )isib%& dark3 'a)e a strong &e%%o( $o%or or 'a)e a
noti$eab%e odor sggest ineffe$ti)e !o%%tion $ontro%.
Noti$eab%e odor refers to an ne*!e$ted fo% s-e%% t'at -a& indi$ate t'e !resen$e
of !o%%tants in t'e e-issions.
+ Waterways
Are (ater(a&s near to t'e site free of dis$o%oration or debris>
A s'een or dis$o%oration of a (ater indi$ates t'at t'e (ater(a& -a& be
$onta-inated.
T'e fa$i%ities s'o%d not dis$'arge an& ntreated (aste near or dire$t%& into a
(ater(a&.
As (e ta%ked abot a%read&3 e)er& $ontr& reg%ates dis$'arges to (ater. In addition3
-ost $ontries !ro'ibit d-!ing an& debris into a (ater(a&. If a ri)er3 strea-3 $ana%
or ot'er (ater(a& f%o(s beside or t'rog' t'e fa$i%it&3 &o s'o%d take a $%ose %ook.
An& dis$'arge ot'er t'an $%ear (ater is a $on$ern. =o s'o%d a%so not an& e)iden$e
of d-!ing of tras' b& t'e fa$i%it& into t'e (ater(a& as &o $an see o$$rred in t'e
to! !'oto.
, %irst Aid '@uip-ent
Is first aid e"i!-ent a)ai%ab%e to a%% e-!%o&ees in a%% (ork areas>
Lirst Aid Cits1
Lirst aid kits s'o%d be readi%& a)ai%ab%eD a%% e-!%o&ees s'o%d be fa-i%iar (it' t'e
9
%o$ation.
Cits s'o%d be $%ean M steri%e M f%%& sto$ked.
T&!i$a% Contents1 first aid gide3 dis!osab%e g%o)es3 antise!ti$ so%tion3 brn
$rea-3 -edi$ated oint-ent3 ad'esi)e bandages3 dressing !ads3 first aid ta!e3
s$issors M t(eezers.
E-ergen$& S'o(ers1
E-ergen$& s'o(ers and e&e (as' stations s'o%d be readi%& a)ai%ab%e in areas
('ere $'e-i$a%s are sed.
T'ere s'o%d be 'ig'%& )isib%e signs identif&ing t'e s'o(er and e&e (as'.
E&e (as'es and s'o(ers s'o%d be $%ean and nobstr$tedD t'e& s'o%d s!!%&
$%ean (ater.
E)er& $ontr& re"ires t'at e-!%o&ers !rote$t t'e 'ea%t' and safet& of t'eir
e-!%o&ees. 6'i%e t'e r%es in so-e $ontries are not )er& s!e$ifi$3 basi$ first aid t'e
$ase of an in<r& is sa%%& re"ired.
./.: A0ar- Syste-
Is t'ere an a%ar- s&ste- in a%% (ork areas to notif& e-!%o&ees of an e-ergen$&>
If a site ses an a%ar- t'at ses sond as a -eans of signa%ing its e-!%o&ees3
t'en t'e sond -st be %od M $%ear enog' to be nderstood b& a%% e-!%o&ees of
t'at site3 irres!e$ti)e of ('ere t'e e-!%o&ees are %o$ated (it'in t'e site fa$i%ities.
E-!%o&ees -st nderstand t'e -eaning of ea$' s$' a%ar- signa%.
8nsite dor-itories s'o%d a%so be e"i!!ed (it' so-e kind of a%ar- to a%ert
residents to e*it in an e-ergen$&.
In t'e e)ent of an e-ergen$&3 t'e s!!%ier s'o%d 'a)e a s&ste- for notif&ing t'e
e-!%o&ees.
A%ar-s are es!e$ia%%& i-!ortant in %i)ing "arters as e-!%o&ees -a& be as%ee!
('en an in$ident o$$rs.
...: %ire '8tin1uisher
Are t'ere fire e*tingis'es or fire fig'ting e"i!-ent in a%% areas of t'e fa$i%it&>
Lire e*tingis'ers s'o%d be !resent in a%% offi$e areas3 on t'e s'o! f%oor3 and near
f%a--ab%e %i"id or %-ber storage areas.
E*tingis'ers -st be readi%& a$$essib%e and ade"ate%& identified.
8nsite dor-itories s'o%d a%so be e"i!!ed.
As fire is often t'e -ost serios %ife safet& t'reat in a fa$tor&3 t'e fa$i%it& s'o%d at
%east 'a)e t'e $a!abi%it& to e*tingis' s-a%% fires. A%% fire e*tingis'es s'o%d 'a)e
e)iden$e3 ('i$' is sa%%& a sti$ker3 t'at it (as ins!e$ted reg%ar%& +at %east on$e a
&ear,.
.2.: 'ye Protection
Are e-!%o&ees sing e&e !rote$tion in areas ('ere t'ere is a risk t'at $'i!s or
!arti$%es -a& be f%ng fro- t'e -a$'iner& or ('ere t'e& $o%d be s!%as'ed (it'
$'e-i$a%s>
E&e !rote$tion s'o%d be sed ('en e*!osed to f%&ing !arti$%es3 -o%ten -eta%3
%i"id $'e-i$a%s3 a$ids or $asti$ %i"ids3 $'e-i$a% gases or )a!ors3 or !otentia%%&
in<rios %ig't radiation.
/rote$tion s'o%d be ade"ate to !rote$t fro- f%&ing frag-ents3 dst3 %arge $'i!s3
10
$'e-i$a% s!%as'es3 irritating -ists3 and9or %ig't. E&e !rote$tion -st be -ade
a)ai%ab%e to a%% e-!%o&ees9 )isitors !on entr& into s!e$ified areas.
/rote$tion -a& be safet& g%asses (it' side s'ie%ds3 $'e-i$a% s!%as' gogg%es or
fa$es'ie%ds.
T'e %a( of e)er& $ontr& re"ires t'at t'e e-!%o&er !ro)ide a safe and 'ea%t'&
(ork!%a$e. In -ost $ontries3 t'e first $'oi$e is to e%i-inate t'e 'azard b& $'anging
t'e (ork or b& !tting in engineering $ontro%s. If t'is $annot be done in a !ra$ti$a%
(a&3 t'en !ro)iding t'e e-!%o&ee (it' !ersona% !rote$ti)e e"i!-ent +//E, is t'e
re-aining for- of !rote$tion. T'e ne*t fe( "estions raise $o--on kinds of //E
and t'e sitations in ('i$' t'e& are t&!i$a%%& re"ired.
.> Guarded Machinery
Does -a$'iner& a!!ear to be garded so t'at e-!%o&ees $annot rea$' into
-a$'iner& (it' rotating or -o)ing !arts or nder or into de)i$es t'at sta-!3 $t or
!n$' -eta%>
L%% en$%osre or ad<stab%e garding -st be !ro)ided arond a%% rotating or
-o)ing !arts.
4a$'ine garding !re)ents e-!%o&ees fro- rea$'ing into -a$'ines (it' -o)ing
!arts or de)i$es t'at sta-!3 !n$' or $t -eta%. In t'e first !i$tre3 t'e $'ain $o%d
!%% a 'and3 'air or $%ot'ing into t'e rotating -a$'iner&. T'e se$ond -a$'ine is
garded so t'at is i-!ossib%e.
.; Shoes
Are e-!%o&ees (earing s'oes a!!ro!riate for a -anfa$tring en)iron-ent>
/rote$ti)e foot(ear s'o%d be (orn in areas ('ere t'ere is a danger of foot
in<ries de to fa%%ing or ro%%ing ob<e$ts3 ob<e$ts !ier$ing t'e so%e3 $'e-i$a% s!i%%age
and9or e*!osre to e%e$tri$a% 'azards.
Bare feet or ot'er for-s of o!en0toed s'oes are ne)er a$$e!tab%e for-s of foot
!rote$tion in or arond t'e s'o! f%oor
.<.: Hearin1 Protection
In )er& nois& areas3 are e-!%o&ees (earing 'earing !rote$tion>
A good genera% indi$ator of %od noise is t'e abi%it& to 'o%d a nor-a% $on)ersation
(it' so-eone. If &o 'a)e to raise &or )oi$e to be 'eard ('en standing (it'in an
ar-s %engt' of anot'er !erson3 t'en &o are %ike%& in a 'ig' noise area re"iring t'e
se of 'earing !rote$tion.
/rote$tion $an be eit'er ear !%gs or ear -ffs.
.?.: Breathin1 Protection
Are e-!%o&ees in 'ig' dst or )a!or areas sing breat'ing !rote$tion>
Breat'ing !rote$tion +I.E. res!irators3 @dst -asksA, s'o%d be sed in areas
$onta-inated (it' 'ar-f% dsts3 fogs3 f-es3 -ists3 gases3 s-okes3 s!ra&s3 or
)a!ors.
7es!irators s'o%d be !ro)ided b& t'e e-!%o&er if ne$essar& to !rote$t t'e 'ea%t'
of t'e e-!%o&ee.
Breat'ing !rote$tion s'o%d be a!!%i$ab%e and sitab%e for t'e !r!ose intended.
11
one t&!e of res!irator doesnt ne$essari%& !ro)ide !rote$tion against a%%
$onta-inants.
Breat'ing !rote$tion needs to be $aref%%& tai%ored to t'e t&!e of dst3 )a!or or
$'e-i$a% t'e e-!%o&ee is e*!osed to. Cotton srgi$a% -asks or s$ar)es (ra!!ed
arond t'e fa$e are sa%%& not sffi$ient. T'e s!!%ier s'o%d be a!!%& to e*!%ain
('& t'e& se%e$ted t'e t&!e of !rote$tion being sed3 and !ro)ide e)iden$e t'at t'e&
brog't in an e*!ert to -ake t'ose deter-inations.
.*.: Good Wirin1
Does a%% (iring a!!ear to be in good $ondition>
E%e$tri$a% $ontro% !ane%s3 <n$tion bo*es and s(it$'es -st be free of o!enings
into interna% e%e$tri$a% $o-!onents.
E%e$tri$a% $ords -st be free fro- fra&s3 s!%i$es3 e*!osed (iring or ot'er da-aged
$onditions.
E*tension $ords -st be !rote$ted fro- traffi$ and da-age.
4%ti!%e ot%et e%e$tri$a% bo*es +designed for -onting, -st not be sed as
e*tension $ords.
L%e*ib%e e%e$tri$a% $ords -st be -aintained a(a& fro- (et %o$ation
Hazardos %o$ation fi*tres -st be sed in areas (it' f%a--ab%e -ateria%s.
6iring s'o%d be ade"ate in onsite dor-itories as (e%% as (ork areas.
/oor (iring is a %eading $ase of fires3 e%e$tro$tions and ot'er serios a$$idents.
Bot' !i$tres s'o( 'ig' risk (iring.
.+ Sanitary %ood
If t'e fa$i%it& 'as a $anteen or $afeteria3 is t'e area $%ean and is food !re!ared3 stored
and ser)ed in a safe -anner>
Areas s'o%d be $%ean3 free fro- (aste -ateria%s and an& risk of infestation of !ests.
Lood s'o%d not be %eft o!en to !ossib%e $onta-ination.
C%ean (ater and tensi%s s'o%d be sed for food !re!aration.
E)a%ate sanitation and fire safet& of $ooking areas in onsite dor-itories as (e%% as
fa$i%ities.
s. 4no#structed '8it Path
Are a%% stair(e%%s and e-ergen$& e*its nobstr$ted and n%o$ked so t'at e-!%o&ees
$an free%& e*it t'e dor-itor& in an e-ergen$&>
C'e$k fire !rote$tion and e-ergen$& e)a$ation rotes in dor-itories as (e%% as
fa$i%ities.
8$$!ants s'o%d 'a)e free egress at a%% ti-es.
'HS Personne0
Is t'ere a safet& or en)iron-enta%%& trained !erson e-!%o&ed at or s!!orting t'e
fa$i%it&>
A good genera% Indi$ator of ('et'er t'e s!!%ier 'as a good a!!roa$' to EHS is if
t'e& 'a)e identified a trained !erson to s!!ort t'eir reg%ator& $o-!%ian$e.
12
T'e EHS s!!ort $an be a f%%0ti-e e-!%o&ee or a $ontra$tor.
T'e ke& isses are ('et'er t'e& 'a)e re$ei)ed training to nderstand t'e
reg%ations and ('et'er t'e& are kno(%edgeab%e ('en &o ask t'e- "estions.
6e a%so ask for t'e $onta$t infor-ation in $ase t'ere are fo%%o( ! "estions.
#a$k of an EHS !erson a%one (i%% not dis"a%if& a s!!%ier3 bt it is a ke& indi$ator
of t'eir o)era%% $o-!eten$e in t'is area.
How to 4se the Supp0ier 'HS Screen
Se$tion 5.K1 #i)ing Conditions
Criti$a%1 s!!%ier -st 'a)e an a$$e!tab%e ans(er on a%% "estions to ato-ati$a%%&
!ass t'e s$reen.
Se$tion :.11 EHS S&ste-s3 Standards and Co-!%ian$e to %o$a% %a(s
!ro)ides ba$kgrond infor-ation to e)a%ate 'o( (e%% t'e s!!%ier -anages EHS
genera%%&
@badA ans(ers (i%% not ato-ati$a%%& dis"a%if& t'e s!!%ier
o)era%% res!onses (i%% be sed to s!!%e-ent on0site obser)ations sing se$tions
5.K or :.G
Se$tion :.G1 EHS
8n0site re)ie( $'e$k%ist0(orks'o!s
Criti$a%1 s!!%ier -st 'a)e an a$$e!tab%e ans(er on a%% "estions to ato-ati$a%%&
!ass t'e s$reen.
An& s!!%ier (it' !oor ans(ers -st at %east initiate a $orre$ti)e a$tion !rogra-
A s!!%ier s'o%d be dis"a%ified if -an& "estions 'a)e !oor ans(ers3 or if t'e
ans(er to an& one "estions indi$ates a )er& signifi$ant EHS risk.
T'e S!!%ier Assess-ent 4od%e 'as t'ree se$tions $o)ering EHS isses. In t'e
rest of t'ese training -ateria%s (e%% take &o t'rog' t'e EHS "estions in t'e
Assess-ent 4od%e. T'is -od%e (i%% $o)er Se$tion :.1 on EHS S&ste-s3
Standards and Co-!%ian$e (it' %o$a% %a(s. T'is -od%e s'o%d be sed b& t'e
sor$ing tea- at t'e s!!%ier %o$ation ('ere ke& do$-ents are %o$ated. T'e
s!!%ier !ersonne% s'o%d be ab%e to !resent do$-ents to s!!ort an& ans(ers
t'e& gi)e &o )erba%%&. In t'e adit ski%%s -od%e of t'is !rogra- &o $an find -ore
ti!s on 'o( to $ond$t t'e re)ie( to ensre a%% re%e)ant infor-ation is srfa$ed. =or
goa% in sing t'e Assess-ent 4od%e s'o%d be to gat'er sffi$ient infor-ation to
!ro!er%& e)a%ate t'e s!!%ier
'n!iron-enta0 Per-its
Does &or $o-!an& 'a)e a%% en)iron-enta% !er-its re"ired to $ond$t o!erations
+$rrent or !ro!osed, at t'e fa$i%it&>
E)er& $ontr& re"ires basi$ en)iron-enta% !er-its.
T&!i$a%%& a fa$i%it& (i%% eit'er 'a)e a sing%e o!erating !er-it $o)ering a%% o!erations3
13
or (i%% 'a)e -%ti!%e !er-its for air3 (ater and (aste e-issions.
So-e fa$i%ities -a& on%& re"ire a si-!%e @registrationA or notifi$ation of its
e*isten$e. Ho(e)er3 if a fa$i%it& states no !er-its are re"ired3 t'is s'o%d be )erified
(it' t'e %o$a% at'orities
6n$uries and %ata0ities
Has &or $o-!an& 'ad an& fata%ities in t'e !ast fi)e &ears> Has &or $o-!an& 'ad
an& serios in<ries re"iring 'os!ita%ization greater t'an t(ent&0for 'ors in t'e
!ast fi)e &ears>
Serios a$$idents res%ting in deat' or o)ernig't 'os!ita%ization $an be an
indi$ator t'at t'e fa$i%it& 'as !oor 'ea%t' and safet& !erfor-an$e.
It -a& a%so -ean t'e fa$i%it& is being -onitored -ore $%ose%& b& t'e at'orities.
Again3 t'e s!!%ier (i%% not be ato-ati$a%%& dis"a%ified if t'ere 'as been a re$ent
serios a$$ident.
Ho(e)er3 (e need to nderstand ('& t'e a$$ident o$$rred and ('at t'e s!!%ier
'as done to $orre$t t'e nder%&ing $ondition or attitde t'at $ased t'e a$$ident
7ocation
Is &or $o-!an& %o$ated ne*t to an& s$'oo%s3 nrsing 'o-es3 da&$are $enters3
residen$es3 et$.>
4ost of or s!!%iers s'o%d be %o$ated in indstria% areas3 ('i$' are -ore
!re!ared to dea% (it' t'e $onse"en$es of an a$$ident t'an residentia% areas.
If t'e s!!%ier is %o$ated near s$'oo%s3 nrsing 'o-es3 da&$are $enters3 et$3 t'en
s!e$ia% attention s'o%d be -ade to t'eir e-ergen$& !%ans and e-issions
Groundwater Conta-ination
Has t'ere been an in)estigation of3 or re-ediation of3 soi% or grond(ater
$onta-ination at &or fa$i%it&>
Serios $onta-ination !rob%e-s $an ad)erse%& i-!a$t !%ant e-!%o&ees or
neig'bors if t'e $onta-ination tra)e%s off0site.
T'e 'ig' $ost of $%ean! $an i-!a$t t'e finan$ia% strengt' of t'e s!!%ier.
If t'e sor$ing arrange-ent is $onsidered @to%%ingA t'en in so-e $ontries t'e
$sto-er -a& 'a)e so-e res!onsibi%it& if its -ateria%s are de!osited on site.
4inor $onta-ination isses (i%% not dis"a%if& a s!!%ier. If t'e s!!%ier 'as a
serios isse3 (e (i%% need to e*a-ine ('et'er an&ones 'ea%t' is being !t at risk
and if not3 ('et'er t'e s!!%ier (i%% 'a)e t'e finan$ia% strengt' to -anage t'e
$%ean!.
%ire Dri00s
Do &o $ond$t fire dri%%s> Do &o test t'e e-ergen$& a%ar- s&ste->
Lire a%ar-s and dri%%s are basi$ 'ea%t' and safet& re"ire-ents ne$essar& to sa)e
%i)es in t'e e)ent of a fire3 e*!%osion or ot'er in$ident.
E)er& fa$i%it& s'o%d $ond$t reg%ar dri%%s and tests of t'e fire a%ar- s&ste-.
6'i%e so-e $ontries do not s!e$if& ('at a @reg%arA dri%% is3 on$e a &ear is
14
$onsidered t'e -ini--. La$i%ities (it' -ore serios fire or e*!%osion risks s'o%d
$ond$t dri%%s -ore fre"ent%&
%ines and =io0ations
Has &or $o-!an& been fined or re$ei)ed a )io%ation noti$e b& a go)ern-ent agen$&
in t'e %ast fi)e &ears>
Lines3 !ena%ties or N8Es3 es!e$ia%%& in $ontries ('ere enfor$e-ent is genera%%&
!oor3 $an be a sign of es!e$ia%%& bad EHS !erfor-an$e.
4inor fines (i%% not dis"a%if& a s!!%ier3 bt it is a ke& indi$ator of t'eir o)era%%
$o-!eten$e in t'is area.
Hea0th and Safety Per-its
Does &or $o-!an& 'a)e a%% 'ea%t' and safet& !er-its re"ired to $ond$t
o!erations +$rrent or !ro!osed, at t'e fa$i%it&> Does &or $o-!an& 'a)e a%% %o$a%
fire $ode at'orizations>
E)er& $ontr& re"ires basi$ 'ea%t' and safet& !er-its3 at %east for 'ig' risk
a$ti)ities.
T&!i$a%%& a fa$i%it& (i%% eit'er 'a)e a sing%e $ertifi$ate of o!eration $o)ering a%%
o!erations3 or (i%% 'a)e -%ti!%e !er-its for a$ti)ities s$' as e%e)ators3 $ranes3
!ressre )esse%s3 or ot'er 'ig' risk o!erations.
T'e $ertifi$ate of o$$!an$& (i%% a%so t&!i$a%%& s!e$if& t'e t&!es of fire !rote$tion
re"ired.
So-e fa$i%ities -a& on%& re"ire a si-!%e @registrationA or notifi$ation of its
e*isten$e. Ho(e)er3 if a fa$i%it& states no !er-its are re"ired3 t'is s'o%d be )erified
(it' t'e %o$a% at'orities
7essons 7earned) Dri!in1 6-pro!ed Supp0ier 'HS Perfor-ance
4an& #o( Cost Contr& +#CC, S!!%iers 6i%% Not Satisf& A%% EHS Qestions on 2E
Co-!%ian$e Assess-ent 4od%e 1st /ass 7e)ie(
4ost Co--on EHS Isses1
#a$k of 7e"ired /er-its
E-ergen$& /re!aredness
C'e-i$a%96aste Storage
Safet& +E%e$tri$a%3 4a$'ine 2arding3 La%% /rote$tion3 //E,
As (e gain e*!erien$e (it' t'e Co-!%ian$e Assess-ent 4od%e3 (e often find
s!!%iers ('o 'a)e one or -ore isses identified in t'eir on0site re)ie(. If t'e isses
$an be fi*ed in a reasonab%e ti-e !eriod and t'e s!!%ier is (i%%ing to $o--it to a
$orre$ti)e a$tion !rogra-3 t'en3 in $ons%tation (it' &or EHS s!!ort3 it -a& be
!ossib%e to isse a $ontingent order to t'e s!!%ier. T'is training is designed to 'e%!
&o nderstand t'e @dosA and @donFtsA of t'e $orre$ti)e a$tion !ro$ess. 8f t-ost
i-!ortan$e is nderstanding t'at for 2E3 doing ('at e)er&one e%se $onsiders
@nor-a%A is not a$$e!tab%e if it -eans )io%ating t'e %etter and s!irit of %o$a% %a(.
15
S!!%ier 4is0/er$e!tion1 @6ere in Co-!%ian$e So #ong As T'ere is No
Enfor$e-ent A$tion
A#i0ity to (ua0ify or Continue 4sin1 Supp0ier Depends on)
6i%%ingness and Abi%it& of S!!%ier to /erfor- Corre$ti)e A$tion
and
Ho( 4$' Ti-e M Energ& t'e 2E Sor$ing Tea- is 6i%%ing to De)ote to
Corre$ti)e A$tion Tra$king
T'e first "estion (e need to ask is1 @'o( serios are t'e findings and is t'e s!!%ier
(i%%ing to fi* t'e->A If an e*isting s!!%ier refses to agree to a $orre$ti)e a$tion
!%an3 t'en &o -st sto! (ork i--ediate%& and $ons%t (it' &or %ega% s!!ort to
deter-ine ne*t ste!s. In no $ases3 s'o%d (e enter into a ne( $ontra$t (it' a
s!!%ier ('o refses to enter into a $orre$ti)e a$tion !rogra-. If t'e s!!%ier is
(i%%ing to $orre$t $onditions3 t'en (e need to fo%%o( ! on s!!%ier !erfor-an$e
Correcti!e Action
Ti-e re"ired for $orre$ti)e a$tion )aries1
6i%% de!end on t'e n-ber and kind of findings
an&('ere fro- one -ont' to one &ear
Corre$ti)e a$tion re"ires $onstant $o--ni$ation bet(een1
Bsiness Sor$ing Tea-
Bsiness EHS E*!erts
S!!%ier
So-e findings (i%% be si-!%e to fi*1 e.g. a 'osekee!ing isse -a& be fi*ed in a fe(
da&s. 8t'ers3 ('i$' -a& re"ire in)est-ent or obtaining !er-its3 -a& take a %ong
ti-e. =or EHS s!!ort (i%% be ab%e to 'e%! &o identif& 'o( serios t'e isses are
and ('et'er t'e $orre$ti)e a$tion !%an !ro!osed b& t'e s!!%ier is reasonab%e. 2et
t'e- in)o%)ed ear%&. Enter findings fro- s!!%iers &o (ant to (ork (it' in t'e
tra$king s&ste-3 and -ake sre t'e fo%%o(0! is rigoros.
What Can 6 Say to the Supp0ierA
=o $an e*!%ain1
EHS $o-!%ian$e is a g%oba% e*!e$tation for a%% 2E s!!%iers
T'e @ite-s of $on$ernA are based on 2Es nderstanding of t'e $ontr&s %ega%
re"ire-ents and 2Es goa% of red$ing risk to t'eir e-!%o&ees and t'e %o$a%
$o--nit&
T'at EHS i-!ro)e-ents (i%% 'e%! t'e- gain bsiness fro- -%tinationa%
$sto-ers and !rote$t t'e- against ftre enfor$e-ent a$tion9(orkers
$o-!ensation $%ai-s3 et$.
Before starting t'e on0site de di%igen$e3 it (i%% !robab%& be 'e%!f% to e*!%ain ('& (e
do t'e re)ie(s and ('& (e t'ink t'e& s'o%d (ant to !arti$i!ate.
16
7einfor$e 2Es EHS e*!e$tations in &or reg%ar $o--ni$ations (it' s!!%iers
Tea- (ork is $riti$a% 0 dont tr& to do -ore t'an &o)e been trained to do.
Co--unicatin1 the B6te-s of Concern)
2i)e s!!%ier $%ear e*!%anation of @-st dosAD dont -ake t'e- gess ('ats
(rong.
/ro)ide a (ritten %ist of @ite-s of $on$ern.A
Be si-!%e and fa$ta% in &or des$ri!tions.
Do Not s!e$%ate on %o$a% %a( $o-!%ian$e or in$%de <dg-enta% state-ents
Te%% t'e- t'e& -ig't (ant to 'ire an EHS e*!ert1
#o$a% e*!erts often !referred )s. US9UC $ons%ting fir-s.
See S!!ort Centra% S!!%ier 7e!tationa% /age for %o$a% EHS $ons%tants
re$o--ended b& or %o$a% EHS %eaders.
7efer t'e- to go)ern-ent en)iron-enta% agen$ies9instittes for 'e%!.
Conta$t %o$a% 2E EHS !ersonne% to $onfir- agen$& $a!abi%it&.
In)ite t'e- to )isit a 2E site in t'eir $ontr& to see 'o( 2E 'as so%)ed si-i%ar
isses at or o(n sites
8n$e &o)e $o-!%eted t'e on0site re)ie(3 t'en &o s'o%d re)ie( t'e findings &o
obser)ed (it' t'e s!!%ier. 8ne good -et'od is to 'a)e a )erba% briefing at t'e end
of t'e )isit. Te%% t'e- ('at &o sa( or &or $on$erns. In so-e $ases3 &o -a& be
ab%e to $%ear ! an& -isinfor-ation &o obtained. It (i%% a%so gi)e t'e- a $'an$e to
begin t'inking abot 'o( to $orre$t $onditions. 8n$e t'e re)ie( is $o-!%ete3 and
&o)e re)ie(ed t'e findings (it' &or EHS s!!ort3 it is a$$e!tab%e to gi)e t'e- a
%ist of @ite-s of $on$ernA. T'e %ist -st be $o-!%ete%& fa$ta%3 straig'tfor(ard and
$ontain no <dg-enta% or s!e$%ati)e state-ents.
Bt3 do not atte-!t to te%% t'e- 'o( to fi* t'e issesN
Why canCt 6 $ust he0p or te00 the supp0ier how to fi8 their pro#0e-sA
S!!%iers are se!arate %ega% entities t'at 2E does not $ontro%.
6e dont (ant to gi)e t'e i-!ression (e rn t'e s!!%iers o!eration
2i)ing ad)i$e -a& e*!ose 2E to %iabi%it& for t'e s!!%iers non0$o-!%ian$e.
2E (i%% rare%& $o-!%ete%& nderstand t'eir o!erations3 so t'e risk of gi)ing
in$o-!%ete or in$orre$t ad)i$e is 'ig'.
T'e s!!%ier needs to @o(nA t'e fi*1
T'e s!!%ier needs to nderstand ('& t'e isse is a !rob%e-.
And3 interna%ize t'e %o$a% re"ire-ents and t'e so%tion.
8t'er(ise t'e fi* -a& on%& be te-!orar&.
6'en (orking (it' s!!%iers on t'eir $orre$ti)e a$tion !rogra-s (e need to be
$aref% to res!e$t t'e fa$t t'at s!!%iers are se!arate $o-!anies. 6e dont (ant 2E
to be$o-e %iab%e for t'eir non0$o-!%ian$e.
17
6'en in dobt3 get %ega% ad)i$e on 'o( and ('at to $o--ni$ateN
Detai%ed /ro$ess 4a! for Ne( S!!%iers1
'HS Correcti!e Action
T'e $orre$ti)e a$tion !ro$ess for s!!%iers ('o are going t'rog' t'e !ro$ess for
t'e first ti-e is fair%& straig'tfor(ard. 6e $ant do bsiness (it' t'e- nti% t'e&)e
$%osed t'eir findings or entered into a $orre$ti)e a$tion !rogra- t'at 'as been
a!!ro)ed b& &or EHS s!!ort.
@C%osed #oo! /ro$essA for Ne( S!!%iers1
Dont sor$e fro- t'e- if t'e& $ant -eet or $o-!%ian$e CTQS.
T'e Detai%ed /ro$ess 4a! for E*isting S!!%iers is ba$k one !age for &or referen$e
18
What Do You Do When You Spot 6ssues at An '8istin1 Supp0ierA
Dis$ss (it' &or EHS tea- ('at &o find3 in$%ding 'o( %ong (i%% it reasonab%& take
to $orre$t and ('at are t'e @-st dosA>
C%ear%& $o--ni$ate or e*!e$tations to t'e s!!%ier. Hig' %e)e% $o--ni$ation fro-
2E sa%%& 'e%!s.
Consider i-!a$t to s!!%& $'ain if s!!%ier -st be ter-inated. Engage g%oba%
sor$ing and EHS %eaders for bsiness in t'e $orre$ti)e a$tion !ro$ess if so%e0sor$e
s!!%ier 'as serios EHS isses.
T'e $orre$ti)e a$tion !ro$ess $an be -ore diffi$%t if (e find isses at a s!!%ier 2E is
a%read& sing. T'e basi$ !ro$ess is t'e sa-e3 bt t'ere -a& be $ontra$ta% %i-its on
'o( "i$k%& (e $an ter-inate a s!!%ier3 or t'ere -a& be bsiness $riti$a% s!!%& isses
('at (i%% 'a)e to be (orked t'rog'. In no (a& $an t'ose isses <stif& (orking (it' a
s!!%ier ('o is re$a%$itrant3 bt t'e negotiation of t'e ter-ination or t'e $orre$ti)e a$tion
!%an (i%% re"ire t'e s!!ort of &or %ega% tea- and $aref% !%anning.
De$isi)e a$tion re"ired after (e 'a)e kno(%edge... 2E sor$ing -st $o--ni$ate
t'at (e take re!tationa% isses serios%&
Detai0ed Process Map for '8istin1 Supp0iers)
19
'HS Correcti!e Action
T'e -ost $riti$a% as!e$t of t'is !ro$ess is t'at de$isions abot s!!%iers are -ade
"i$k%& and de$isi)e%&. Lor e*a-!%e3 if a s!!%ier refses to -ake i-!ro)e-ents3
t'en t'e de$ision ('et'er to ter-inate t'e s!!%ier s'o%d be -ade as soon as
!ossib%e +!referab%& taking no %onger t'an t'irt& da&s,. If a s!!%ier agrees to -ake
i-!ro)e-ents3 bt t'en fai%s to e*e$te3 t'e de$ision to ter-inate s'o%d be -ade
as soon as t'e fo%%o(0! re)ie( is done.
If t'ere are diffi$%t as!e$ts of t'e de$ision +e.g. t'e s!!%ier is so%e sor$e or t'ere
are $ontra$ta% !rob%e-s,3 t'en t'e re%ations'i! (it' t'e s!!%ier and t'e fai%re to
!ass t'e re!tationa% s$reen -st be e%e)ated to %ega% $onse% and t'e g%oba%
sor$ing %ead i--ediate%&. 8r goa% is to -ake sre t'at re$a%$itrant s!!%iers are
dea%t (it' de$isi)e%& and in a ti-e%& fas'ion.
T'e Detai%ed /ro$ess 4a! for E*isting S!!%iers is ba$k one !age for &or referen$e
20