Audit Techniques

8/11/2019 Audit Techniques

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Stay "#$ecti!e and %ocused "n Your e!iewCo%%e$ting ob 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 AnswersAs&) @6'o3 ('at3 ('ere3 ('en3 ('&3 'o(>

/resent a '&!ot'eti$a% sitation @6'at if >

Ask for $%arifi$ation @I- sorr&3 $o%d &o !%ease e*!%ain>

7e!eat t'e infor-ation to t'e inter)ie(ee to ensre t'at it is $orre$t.

Ask for a de-onstration @S'o( -e 'o(3 @S'o( -e ('ere

no( &or adien$e ta%k to t'e !erson ('o does t'e


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4/20

1? Te00ta0e Stain... Soi0 and Groundwater Po00utionT'is area is for oi% and diese% storage. T'e staining sggests a %ong ter-$%ean! %iabi%it&

1 "pen A00 Doors

A 2E sor$ing %eader fond t'is ('en 'e took t'e initiati)e to o!en a door att'e site being adited.

1 H6D 7a-p in Warehouse6are'oses $an !ose signifi$ant fire safet& risks 0 ('i$' $an be an isse forbot' !ersonne% and !ro!ert&. 6e (o%d (ant to see e*!%osion !roof %ig'ting'ere

8i8. 7oo& 6nto Stor- Drains6'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. Ittrned 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 (rittenin a re!ort. /ro)ide t'e adit tea- (it' an o!!ortnit& to identif& additiona% data orinfor-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% $on$ernso 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$e ifne$essar&3 in$%ding sb


5/20

$onfor-an$e. Use reg%ator& %angage in t'e gidenotes to 'e%! state t'e findings. erba%%& dis$ss findings (it'a!!ro!riate !ersonne%.

6rite -ore t'an one $orre$ti)e a$tion ifne$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$tion to one if -oreare ne$essar&.

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How To Address 'HS %indin1s %ro- "n:Site e!iews

'HS Assess-ent Modu0e8n0site 7e)ie( 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%s 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.,

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6/20

T'is training !a$kage is designed to 'e%! &o nderstand and e*e$te t'e on0site EHSre)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'eneatness or $%tter of an area. 6ork areas s'o%d be (e%% organized(it' $%ose attention to fire 'azards Me-!%o&ee safet&. 6ork srfa$es s'o%d be ke!t dr&. Co-bstib%e s$ra!3 debris3 and (astes'o%d be safe%& re-o)ed fro- t'e (orkarea. 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%& ina!!ro!riate $ontainers. 7est roo-s s'o%d be $%ean andsanitar&.

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'erareas 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$$e!tab%e ornot a$$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 isa%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 -akea)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'ee)ent of a fire.

; 7i1htin1Does 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 'azardsand to ensre e-!%o&ees $an safe%& e*it t'e fa$i%it& in t'e e)ent of an e-ergen$&

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7/20

< =isi#0e Ha5eDoes 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 anindi$ation t'at e-!%o&ees are being e*!osed to $'e-i$a%s or dst 'azards. It -a& bene$essar& for t'e s!!%ier to test t'e indoor air "a%it& in t'ese areas to ensrereg%ator& $o-!%ian$e

? "#$ectiona#0e "dorsIs t'e fa$i%it& free fro- ob Lree and nobstr$ted a$$ess to ea$' e*it rote -st be !ro)ided to ensre safe e*itdring an e-ergen$&. E-!%o&ees -st not be re"ired to tra)e% t'rog' a roo- t'at $an be %o$ked or %eadto 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 -adees!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 barredde%iberate%& +for e*a-!%e3 to !re)ent e-!%o&ee t'eft,. Ho(e)er3 doors ('i$' %ead to

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8/20

interna% areas of t'e !%ant or ('i$' 'a)e been b%o$ked b& !oor 'osekee!ing $an 'a)et'e sa-e effe$t.

2 C0ear0y Mar&ed '8itsAre 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 $a!ab%e of being i%%-inated in t'e e)ent of ane-ergen$& (it' !o(er %oss so e-!%o&ees $an find t'e door in t'e dark. In t'ebotto- !i$tre &o $an see t(o !rob%e-s t'e e-ergen$& %ig't is dis$onne$ted3 andt'e door is %o$ked.

> Wastewater Treat-entAre a%% $'e-i$a%s 9 (aste(ater treated as re"ired b& %o$a% %a( or site !er-it !rior togoing to a se(er or drainage s&ste-> C'e-i$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 beforedis!osa% into (ater(a&s.E)er& $ontr& 'as %a(s re"iring t'at dis$'arges to (ater are reg%ated. Dire$tdis$'arges to a (ater(a& are genera%%& !ro'ibited (it'ot a !er-it. In -ost $ases3treat-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$ios. /i!ing t'at %eadsdire$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 beidentified ('en fi%%ing in t'e assess-ent -od%e.

;. Waste Materia0sAre t'ere (aste -ateria%s3 s$ra! -eta% or garbage stored otside dire$t%& on t'egrond> 8tside (aste storage s'o%d be stored on a barrier t'at !re)ents an& s!i%%agefro- 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 Bad%& $orroded dr-s and da-aged $ontainers -a& %eak or a%%o( otsidei-!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 andbare grond.

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9/20

A sing%e dr- $an $ontain enog' -ateria% to $ase a signifi$ant e-!%o&ee a$$identor !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 seriosrisk. Ho( s'o%d dr-s be stored>

? =e1etationDoes 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 $onta-inated is if t'e )egetation in anarea doesnt %ook rig't. If it is &e%%o(3 bro(n or dead ('en e)er&t'ing e%se arond itis green3 t'en it -a& be an indi$ator t'e area is $onta-inated.Conta-ination !rob%e-s are )er& e*!ensi)e to $%ean! and 'a)e bankr!teds!!%iers in so-e $ontries.

* Air '-issionsAre 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'att'e site -a& be ot of $o-!%ian$e are E*terna% air e-issions t'at are )isib%& dark3 'a)e a strong &e%%o( $o%or or 'a)e anoti$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$eof !o%%tants in t'e e-issions.

+ WaterwaysAre (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$eof d-!ing of tras' b& t'e fa$i%it& into t'e (ater(a& as &o $an see o$$rred in t'eto! !'oto.

, %irst Aid '@uip-entIs first aid e"i!-ent a)ai%ab%e to a%% e-!%o&ees in a%% (ork areas>

Lirst Aid its Lirst aid kits s'o%d be readi%& a)ai%ab%e a%% e-!%o&ees s'o%d be fa-i%iar (it' t'e

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11/20

$'e-i$a% s!%as'es3 irritating -ists3 and9or %ig't. E&e !rote$tion -st be -adea)ai%ab%e to a%% e-!%o&ees9 )isitors !on entr& into s!e$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& $'angingt'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'ere-aining for- of !rote$tion. T'e ne*t fe( "estions raise $o--on kinds of //Eand t'e sitations in ('i$' t'e& are t&!i$a%%& re"ired.

> Guarded MachineryDoes -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$%osre or ad /rote$ti)e foot(ear s'o%d be (orn in areas ('ere t'ere is a danger of footin 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 anar-s %engt' of anot'er !erson3 t'en &o are %ike%& in a 'ig' noise area re"iring t'ese of 'earing !rote$tion. /rote$tion $an be eit'er ear !%gs or ear -ffs.

?.: Breathin1 ProtectionAre e-!%o&ees in 'ig' dst or )a!or areas sing breat'ing !rote$tion> Breat'ing !rote$tion +I.E. res!irators3 @dst -asks, 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.

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12/20

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$ar)es (ra!!edarond t'e fa$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 Wirin1Does a%% (iring a!!ear to be in good $ondition> E%e$tri$a% $ontro% !ane%s3


13/20

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'ereg%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 ScreenSe$tion 5.K #i)ing Conditions Criti$a% 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$tion :.1 EHS S&ste-s3 Standards and Co-!%ian$e to %o$a% %a(s !ro)ides ba$kgrond infor-ation to e)a%ate 'o( (e%% t'e s!!%ier -anages EHSgenera%%& @bad ans(ers (i%% not ato-ati$a%%& dis"a%if& t'e s!!%ier o)era%% res!onses (i%% be sed to s!!%e-ent on0site obser)ations sing se$tions5.K or :.G

Se$tion :.G EHS 8n0site re)ie( $'e$k%ist0(orks'o!s Criti$a% 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'eans(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'erest 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-s3Standards and Co-!%ian$e (it' %o$a% %a(s. T'is -od%e s'o%d be sed b& t'esor$ing tea- at t'e s!!%ier %o$ation ('ere ke& do$-ents are %o$ated. T'es!!%ier !ersonne% s'o%d be ab%e to !resent do$-ents to s!!ort an& ans(erst'e& gi)e &o )erba%%&. In t'e adit ski%%s -od%e of t'is !rogra- &o $an find -oreti!s on 'o( to $ond$t t'e re)ie( to ensre a%% re%e)ant infor-ation is srfa$ed. =orgoa% in sing t'e Assess-ent 4od%e s'o%d be to gat'er sffi$ient infor-ation to!ro!er%& e)a%ate t'e s!!%ier

'n!iron-enta0 Per-itsDoes &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

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14/20

or (i%% 'a)e -%ti!%e !er-its for air3 (ater and (aste e-issions. So-e fa$i%ities -a& on%& re"ire a si-!%e @registration or notifi$ation of itse*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 %ata0itiesHas &or $o-!an& 'ad an& fata%ities in t'e !ast fi)e &ears> Has &or $o-!an& 'adan& serios in 4ost of or s!!%iers s'o%d be %o$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$3 t'ens!e$ia% attention s'o%d be -ade to t'eir e-ergen$& !%ans and e-issions

Groundwater Conta-inationHas 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 orneig'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%%ing 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 $onta-ination isses (i%% not dis"a%if& a s!!%ier. If t'e s!!%ier 'as aserios isse3 (e (i%% need to e*a-ine ('et'er an&ones 'ea%t' is being !t at riskand if not3 ('et'er t'e s!!%ier (i%% 'a)e t'e finan$ia% strengt' to -anage t'e$%ean!.

%ire Dri00sDo &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%ar dri%% is3 on$e a &ear is

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$onsidered t'e -ini--. La$i%ities (it' -ore serios fire or e*!%osion risks s'o%d$ond$t dri%%s -ore fre"ent%&

%ines and =io0ationsHas &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 N8s3 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-itsDoes &or $o-!an& 'a)e a%% 'ea%t' and safet& !er-its re"ired to $ond$to!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' riska$ti)ities. T&!i$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$if& t'e t&!es of fire !rote$tionre"ired. So-e fa$i%ities -a& on%& re"ire a si-!%e @registration or notifi$ation of itse*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$a% at'orities7essons 7earned) Dri!in1 6-pro!ed Supp0ier 'HS Perfor-ance4an& #o( Cost Contr& +#CC, S!!%iers 6i%% Not Satisf& A%% EHS Qestions on 2ECo-!%ian$e Assess-ent 4od%e 1st /ass 7e)ie(

4ost Co--on EHS Isses #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 finds!!%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 @dos and @donFts of t'e $orre$ti)e a$tion !ro$ess. 8f t-osti-!ortan$e is nderstanding t'at for 2E3 doing ('at e)er&one e%se $onsiders@nor-a% is not a$$e!tab%e if it -eans )io%ating t'e %etter and s!irit of %o$a% %a(.

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S!!%ier 4is0/er$e!tion @6ere in Co-!%ian$e So #ong As T'ere is NoEnfor$e-ent A$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 toCorre$ti)e A$tion Tra$king

T'e first "estion (e need to ask is @'o( serios are t'e findings and is t'e s!!%ier(i%%ing to fi* t'e-> 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 todeter-ine ne*t ste!s. In no $ases3 s'o%d (e enter into a ne( $ontra$t (it' as!!%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 ActionTi-e re"ired for $orre$ti)e a$tion )aries 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(een Bsiness Sor$ing Tea- Bsiness EHS E*!erts S!!%ier

So-e findings (i%% be si-!%e to fi* 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 %ongti-e. =or EHS s!!ort (i%% be ab%e to 'e%! &o identif& 'o( serios t'e isses areand ('et'er t'e $orre$ti)e a$tion !%an !ro!osed b& t'e s!!%ier is reasonab%e. 2ett'e- in)o%)ed ear%&. Enter findings fro- s!!%iers &o (ant to (ork (it' in t'etra$king s&ste-3 and -ake sre t'e fo%%o(0! is rigoros.

What Can 6 Say to the Supp0ier=o $an e*!%ain EHS $o-!%ian$e is a g%oba% e*!e$tation for a%% 2E s!!%iers T'e @ite-s of $on$ern 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$e3 it (i%% !robab%& be 'e%!f% to e*!%ain ('& (edo t'e re)ie(s and ('& (e t'ink t'e& s'o%d (ant to !arti$i!ate.

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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 6te-s of Concern)

2i)e s!!%ier $%ear e*!%anation of @-st dos dont -ake t'e- gess ('ats(rong. /ro)ide a (ritten %ist of @ite-s of $on$ern. 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


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6'en in dobt3 get %ega% ad)i$e on 'o( and ('at to $o--ni$ate

Detai%ed /ro$ess 4a! for Ne( S!!%iers

'HS Correcti!e ActionT'e $orre$ti)e a$tion !ro$ess for s!!%iers ('o are going t'rog' t'e !ro$ess fort'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 beena!!ro)ed b& &or EHS s!!ort.

@C%osed #oo! /ro$ess for Ne( S!!%iersDont sor$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

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What Do You Do When You Spot 6ssues at An '8istin1 Supp0ier Dis$ss (it' &or EHS tea- ('at &o find3 in$%ding 'o( %ong (i%% it reasonab%& taketo $orre$t and ('at are t'e @-st dos> 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$es!!%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 isa%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


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Audit Techniques

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