srg audit 2014 assessment for sqe 09102015

Supplier Name M/s. Intelux Elecronics Pvt.Ltd.Supplier Address

Contact Person

-9423584373Contact Person e-mail ID [email protected]

Date of SRG Audit proposed - 23rd Oct 2015

Corporate :Unit No. 2 , Electronic Co-operative Estate Pune Satara Road Sahakarnagar , Pune - 411009Works :Shed No.02/08 , Survey No. 30/4Near DRAN /PARI Comapany Near Shayari Road , Dhyari Dist - Pune 411041Mr.C.Chandarashekar GM Marketing

Contact Person contact number

2 2012 Compliance Assessment On-Site EHS - (Global - English Language) Checklist - Power Audit Tool

This checklist should be used as a reference only! The checklist must be completed online in the Power Site Summary in order to submit the checklist to the Gensuite database. Click here to learn more about using the Power Site Summary.

2013 Compliance Assessment On-Site EHS - (Global - English Language) Checklist - Power Audit ToolSupplier M/s. Intelux Elecronics Pvt.Ltd.

Section QnID Question Guide Note Finding Category Flag Type QN Weight AUDITORS REMARKS

Section Title Text of the Question Cross-Reference Category Status

0 EO 0.1 Other Environmental 1

Under Evaluation Under Evaluation0 EO 0.2 Other Environmental 1

Under Evaluation Under Evaluation0 EO 0.3 Other Environmental 1

Under Evaluation Under Evaluation1 Permits 1.2 Environmental Permits Red Flag 1

N Open1 Permits 1.3 Health and Safety Permits Red Flag 1

N Open1 Permits 1.4 Fire Protection Red Flag 1

N Open1 General 1.5 Other Safety Yellow Flag 1



N Open1 Emergency Prep 1.8 Do you conduct fire drills at least annually for all shifts? Fire Protection Yellow Flag 2

N Open1 Emergency Prep 1.9 Fire Protection Yellow Flag 2

N Open1 Site Background 1.10 Other Environmental Yellow Flag 1

N Open1 Site Background 1.11 Waste Disposal Yellow Flag 1

N Open1 Human Rights 1.12 Discrimination Yellow Flag 2

N Open

Checklist Name

SectionNo

Name of Checklist

Section No.

(1, 2, 3 etc)

Question ID

Guide Note for the Question (place cursor in cell for complete description)

Is this a Red Flag, Yellow Flag or Security Question?

Points Awarded for a Compliant Answer

Y / N / NA / Under

Evaluation

Remarks

2013 Compliance Assessment On-Site EHS

Are you from a GE Sourcing team? Select "Yes" if you are from a GE Sourcing team. Select "Under Evaluation" if you are not from a GE Sourcing team.


Are you from a GE EHS or other function? Select "Yes" if you are from a GE EHS or other function. Select "Under Evaluation" if you are not from a GE EHS or other function.


Are you from outside GE? Select "Yes" if you are from outside GE. Select "Under Evaluation" if you are not from outside GE.


Does your company have all environmental permits required to conduct operations (current or proposed) at the facility?

Country checklists-add links to the EHS checklist for the country.


Does your company have all health and safety permits required to conduct operations (current or proposed) at the facility?

Country checklists-add links to the EHS checklist for the country.


Does your company have all local fire code authorizations? (Applicable fire requirements may be contained in the building code or general building construction or operating permit.)


During the last 5 years has the company operated without any serious injuries resulting in death? If the company had a death please answer "no" and provide details.


During the last 5 years, has your company operated without any serious injuries? A serious injury is one that requires hospitalization for more than 24 hours. If you have had serious injury cases in this period, please answer "No" and provide details.2021

Compliance Assessment On-Site EHS

Is the facility located at least 100 meters away from any schools, nursing homes, daycare centers, residences or other sensitive uses? If the facility is located within 100 meters of such an entity, please answer "No" and provide details.

Please provide sufficient detail that your EHS contact can help you determine whether the location of sensitive uses close to the supplier's location will present a significant risk. This question will rarely disqualify a supplier, but is necessary to help more fully understand the significance of the site's operations.

2022 Compliance Assessment On-Site EHS2023 Compliance Assessment On-Site EHS

Do you test the emergency alarm systems at least every six months?


During the last 5 years, has the company been free of Fine and Violations notices from Government agencies? If the company received such notices, please answer "No" and provide details.


Is the site soils or groundwater free of chemical contamination? If there has been any investigation of, or remediation of the soil or water at the facility (Include investigations by a government authority or other parties; such as potential investors), please provide details.

This question seeks to elicit if the facility has a history of contamination that might affect current operations or the financial status of the supplier. This question asks that known conditions be disclosed. We do not require that the supplier test conditions on their site.


Does your company maintain a written statement or policy protecting your employees from discrimination and is the existence of the policy communicated to employees at the audit location?

All employees must be treated equally regardless of race, color, sex, age, religion, political opinion, nationality, social status, disability, or any other status of an individual unrelated to the employees ability to perform his or her work. Management actions should be free of discrimination; these actions typically include recruitment, hiring, discipline, discharge, pay, promotion, assignment of work, scheduling of working hours and training. Exceptions to non-discrimination based on such characteristics may be permitted where local law requires that the employer give preferences to individuals in certain protected or favored status, but these exceptions must be reviewed with your local HR support. Auditors should ask suppliers to show them: A copy of the written policy, where it is posted/how it is published (e.g., posters, displays, websites, training, employee handbook. etc.) plus any other evidence to demonstrate the policy is communicated to employees (e.g., through new employee training, annual management letters, etc).





Under Evaluation Under Evaluation

Name of Checklist

Section No.

(1, 2, 3 etc)

Question ID




Y / N / NA / Under

Evaluation

Remarks



1 Human Rights 1.13 Harassment Yellow Flag 2

N Open1 Human Rights 1.14 Dispute Resolution Yellow Flag 2

N Open1 Human Rights 1.15 Labor Rights Yellow Flag 2

N Open2 On-Site Review 2.1 Age Red Flag 1

N Open2 Human Rights 2.2 If you answer no, STOP and obtain legal advice! Involuntary Labor Red Flag 1

N Open2 Human Rights 2.3 If you answer no, STOP and obtain legal advice! Fire Protection Red Flag 1

N Open2 Emergency Prep 2.4 Fire Protection Red Flag 1

N Open


Does your company maintain a written statement or policy protecting your employees from harassment or retaliation and is the existence of the policy communicated to employees at the audit location?

Harassment, bullying, intimidation, degradation or sexual harassment of employees will not be tolerated. The company must have an objective process for handling complaints, that is outside the direct supervisory chain of an employee that might have a concern. Auditors should ask suppliers to show them: A copy of the written policy Where it is posted/how it is published (e.g., posters, displays, websites, training, employee handbook. etc.) Any other evidence to demonstrate the policy is communicated to employees (e.g., through new employee training, annual management letters, etc)


Does your company have an objective process for handling employee complaints that is outside the direct supervisory chain of an employee that might have a concern and is the existence of the process communicated at the audit location?

The company must have an objective process for handling complaints that is outside the direct supervisory chain of an employee that might have a concern. This can be a union process or a non-union process, but independence and credibility of the process with the workers is critical. Examples of such a process include: Secured confidential grievance boxes that are installed in private areas (such as bathrooms or dorms) and only accessed by senior management Neutral grievance contacts such as union representatives or guidance counselors Telephone hotline number or post office box address through which employees can report their grievance. Auditors should look for visual and documented evidence that the process exists, such as a specific written procedure, information in employee handbooks or posters describing the grievance process.


Does your company allow workers to freely choose whether or not to lawfully organize and join associations such as a trade union?

Freedom of association means an employee has the right, with or without a union, to associate or work with fellow employees for the purpose of addressing common workplace issues. This association can result in the employees choosing to be represented by a labor organization (e.g., trade union, employee association, works council) and bargaining collectively with their employer, if they so choose. The Supplier should not punish or prevent employees from choosing to exercise their right to associate for a common good. The organization and the manner in which employees choose to associate must be in compliance with local country law. Auditors should ask if the supplier has a union. If a union exists, then unless there is affirmative evidence that the supplier is interfering with workers' rights to join the union, the auditor may answer "yes" to this question. If the supplier does not have a union, the auditor should look to see if the supplier has a written policy acknowledging that employees may freely choose whether or not to lawfully organize and join associations such as a trade union. If such a policy does not exist, then the auditor should make a finding that a


Do the employees look to be above the minimum local legal age limit? (In no case






Name of Checklist

Section No.

(1, 2, 3 etc)

Question ID




Y / N / NA / Under

Evaluation

Remarks



2 Emergency Prep 2.5 Fire Protection Red Flag 1

N Open2 Working Conditions 2.6 Working Conditions Red Flag 1

N Open2 Working Conditions 2.7 Working Conditions Yellow Flag 1

N Open2 Chemical Mgmt 2.8 Working Conditions Red Flag 1

N Open2 Chemical Mgmt 2.9 Working Conditions Red Flag 1

N Open2 On-Site Review 2.10 Working Conditions Yellow Flag 1

N Open2 On-Site Review 2.11 Waste Disposal Red Flag 1


N Open2 On-Site Review 2.13 Chemical Storage Red Flag 1

N Open2 On-Site Review 2.14 Waste Disposal Yellow Flag 1


N Open


Are there clearly marked emergency exits that are visible from all corridors, staircases and aisleways?

Emergency exit doors must meet the following criteria: vertically hinged door that opens outward in the direction of exiting the building; doors must open easily without the use of a key--equipped with crash bars as specified in the guidenote to Q 2.4. Visible instructions must be posted at the door, doors must be > 0.9m wide, stairs leading to the emergency exit doors must be > 1.4m wide. There must be a minimum of two emergency exit doors on each floor with a minimum separation of 5m and a maximum employee travel distance to the exit door of 60m in a single story building or 50m in a multi-story building. If high hazard work is being performed (e.g. involving chemicals, high heat or other sources of fire hazard), the travel distance must be no more than 25 meters. There must be no obstructions on the path to the door(s) or to the assembly area.


Is the general housekeeping of the facility good? (e.g. floors, restrooms, break areas, aisles and doorways are clean and uncluttered, and trash is in containers).


Does the facility have good lighting? (For example, is it easy to see across the facility or to the nearest exit? Do workers seem to have trouble seeing their work?)


Is the facility free of visible haze/chemical mist or dust in the shop works areas (Check the indoor air of the facility)? Please answer "No" if the facility had a visible haze/chemical mist in the shop areas, and provide details.

Potential employee chemical exposures should be evaluated by an industrial hygiene expert. This will typically involve a qualitative assessment of the company's processes and materials used to identify risk areas, and periodic quantitative testing (physical testing of exposures) of the area or the employees. If the supplier does not have an expert evaluation of the area or the processes, or if the data provided is more than one year old, refer to your business health and safety expert for guidance on how the concern should be resolved.


Is the facility free from objectionable odors in the indoor work areas? (Objectionable odors include very irritating acrid odors. For example, an odor is objectionable if your eyes water when you walk in the area or you react very negatively to the odor.

Potential employee chemical exposures should be evaluated by an industrial hygiene expert. This will typically involve a qualitative assessment of the company's processes and materials used to identify risk areas, and periodic quantitative testing (physical testing of exposures) of the area or the employees. If the supplier does not have an expert evaluation of the area or the processes, or if the data provided is more than one year old, refer to your business health and safety expert for guidance on how the concern should be resolved.


Are the work areas kept at a reasonable temperature (e.g. not extremely hot or cold so that an unsafe condition has been created.)

The work areas should be kept at a reasonable temperature (e.g. not extremely hot or cold so that an unsafe condition has been created) within the buildings and structures in accordance to local regulations and requirements. If the work is in areas that exceed the recommended temperature ranges (internal and external work areas), additional rest/break periods, hydration fluids, additional PPE or alternative rest/break areas should be available to the workers. These areas should be away from the unsafe or extreme temperature conditions.


Are all chemicals or wastewater treated (e.g. neutralized or processed) as required by local law or site permit prior to going to a sewer or drainage system?

In order to assess whether the facility is in compliance with their permit requirements, it is strongly recommended that you obtain a copy of the permit and two years of sampling results. This information should be provided to your EHS contact, who will help you assess the supplier's compliance.


Are all waste materials, scrap materials or garbage stored on concrete or a paved area? If the company has waste materials, scrap materials or garbage stored directly on the ground or outside exposed to the weather, please answer "No" and provide detail2042


Do all drums and other storage containers of raw materials, supply chemicals or work in progress appear in good condition, stored in contained areas & well managed?


Does the vegetation on site appear to be normal for the area and the season (not yellow or dying due to unnatural causes)?


Are air emissions ordinary in appearance (for example, not visibly dark or strong yellow color or with a strong odor)?






Name of Checklist

Section No.

(1, 2, 3 etc)

Question ID




Y / N / NA / Under

Evaluation

Remarks



2 Water 2.16 Waste Disposal Red Flag 1

N Open2 Emergency Prep 2.17 Other Safety Yellow Flag 1

N Open2 Emergency Prep 2.18 Emergency Alarms Red Flag 1

N Open2 Emergency Prep 2.19 Fire Protection Red Flag 1

N Open2 Working Conditions 2.20 Working Conditions Red Flag 1

N Open2 Working Conditions 2.22 PPE Red Flag 1

N Open2 Working Conditions 2.23 Machine Guarding Red Flag 1

N Open


Are waterways near to the site free of discoloration or debris (no visible sheen, or discoloration next to the site's water discharge points)?


Does the site/operation have appropriate medical emergency response equipment and suppliers?

Most countries have safety supply vendors that will offer basic pre-packaged first aid kits and replacement supplies. The size of the kits should be matched to the number of employees in the area. The employer should have a kit inspection and maintenance program in order to keep them stocked. The kits should be in a readily accessible area, the employees should know where the kits are located and who to report to for assistance. The kits should not be a locked cabinet. Employees who will provide first aid need to be trained in both first aid techniques and bloodborne pathogens safety. Special equipment, such as eyewashes and emergency showers should be present wherever chemicals, especially corrosives, are handled. Both types of devices should be inspected at least quarterly, and preferably monthly. The site should also have identified external emergency response providers (such as a local .hospital) who will be contacted for support for serious medical emergencies.


Is there an alarm system to notify employees of an emergency situation in all work areas?


Are there fire extinguishers or fire fighting equipment in all areas of the facilities? All fire extinguishers should be tagged with their most recent inspection date (which should be within the last 12 months). There must be clear access to all extinguishers at all times.

The number and type or class of fire extinguishers in the work should be determined by the local regulations, and the hazards. It is recommended that they should be distributed throughout the work areas approximately 25 feet (7.6 m) to 75 feet (23 m) or less from each other based on the fire risk severity. Portable fire extinguishers should be located, identified with signage and unobstructed by parked vehicles or stored materials so they are readily accessible to employees without subjecting the employees to possible injury. All the extinguishers need to be regularly checked and maintained with inspection records. Reviewer needs to walk the site and check the Completion Approval for Fire Fighting document to identify the distribution requirements for fire extinguishers on site. Check if no less than 2 fire extinguishers are equipped for places (regulated places need to be equipped with fire extinguishers include painting rooms, power distribution rooms, offices, laboratories, warehouses, manufactory buildings, stages etc.).. Regulation citation Law of PRC on Fire Control ??Art 14 (5): Enterprises and


If the facility has a canteen or a cafeteria, is the area clean and is food prepared, stored and served in a sanitary manner?

Safe steps in food handling, cooking, and storage are essential to prevent foodborne illness.


Are employees using eye protection in areas where there is a risk that chips or particles may be flung from the machinery or they could be splashed with chemicals?


Do machines appear to be guarded so that employees cannot reach into machines with rotating or moving parts, or under or into devices that stamp, cut or punch metal? Some examples of this are barrier guards, light curtains, two-hand operating devices etc. Machines that expose an employee to injury must be guarded. The guarding device must prevent the operator from placing a hand or fingers in the danger zone.

Many hazards are created by moving machine parts. The purpose of machine guarding is to protect the machine operator and other employees in the work area from hazards created by ingoing nip points, rotating parts, flying chips & sparks. A wide variety of mechanical motions and actions may present hazards to the worker. These can include the movement of rotating members, reciprocating arms, moving belts, meshing gears, cutting teeth, and any parts that impact or shear. The machine guard must prevent hands, arms, fingers, and any other part of a worker's body from making contact with dangerous moving parts. A good safeguarding system eliminates the possibility of the operator or another worker placing parts of their bodies near hazardous moving parts. Guards and safety devices should be made of durable material that will withstand the conditions of normal use. They must be firmly secured to the machine. Some examples are barrier guards, light curtains, two-hand operating devices etc. The guarding device must prevent the operator from placing a hand or fingers in the danger zone. Typical risk areas are (1) The point of operation:






Name of Checklist

Section No.

(1, 2, 3 etc)

Question ID




Y / N / NA / Under

Evaluation

Remarks



2 Working Conditions 2.24 PPE Red Flag 1

N Open2 Occupational Health 2.25 PPE Yellow Flag 1

N Open2 Occupational Health 2.26 PPE Red Flag 1

N Open2 Working Conditions 2.27 Electrical Safety Red Flag 1

N Open2 Working Conditions 2.28 Other Safety Red Flag 1

N Open2 Occupational Health 2.29 Other Environmental Yellow Flag 3

N Open2 Occupational Health 2.30 Other Environmental Yellow Flag 1

N Open2 Occupational Health 2.31 Chemical Storage Red Flag 2

N Open


Are employees wearing shoes appropriate for a manufacturing environment (for example, sandals or bare feet are not appropriate on a factory floor)?

At a minimum all employees should be wearing closed shoes. In areas where heavy parts are moved, chemicals are used, most warehouse areas, and any construction zones, safety shoes meeting local requirements should be worn.


In areas where noise is very loud (for example, you can't speak without yelling) are workers wearing hearing protection (ear plugs or ear covers)?

Areas which are very noisy should be identified with signs and the requirement to use hearing protection specified and available. Most jurisdictions require that the employer conduct noise surveys to identify the high noise risk areas and to put in protection plans.


Are employees in chemical processing areas (e.g. painting, plating, or chemical cleaning, visible dust or visible vapor) using breathing protection? (note cotton surgical masks or scarves wrapped around the face are not sufficient).

Potential employee chemical exposures should be evaluated by an industrial hygiene expert. If the supplier does not have an expert evaluation of the area or the processes where chemicals are used, dust is generated or grinding/welding/plating is done, refer to your business health and safety expert for guidance on how the concern should be resolved.


Does all wiring appear to be in good condition? (for example, it is not frayed and appears to have been installed professionally. Extensive use of extension cords, or wiring that is strung across rooms, is cause for concern).


If lifting devices (cranes, forklifts, chains and slings) are used on site, is the weight rating readily visible and are maintenance records of the lifting device up to date and in writing.

Most countries require that lifting devices be inspected on an annual basis. The supplier should be able to provide documentation of the weight rating of the device, along with the inspection records.


Does the site have an effective process to ensure that it is compliance with the chemical restrictions in GEs PO? This provision restricts the use of chemicals such as, but not limited to ozone depleting chemicals, lead, mercury and hexavalent chromium

Identify if any GE restricted chemicals (see below excerpt from GE standard PO) are potentially used or incorporated in products manufactured by the site. Evaluate if the site has effective procedures to ensure restricted chemicals are not used in the manufacturing process or that GE has approved their use/incorporation of the restriction in writing. Review hazardous waste records (manifest or waste profiles) to identify if restricted chemicals, especially heavy metals, are present in the waste disposed of by the site. If restricted chemicals are present in the waste, evaluate source of the waste material which may indicate where the GE restricted chemical is being used. GE Model PO Supplier represents, warrants, certifies and covenants that none of the goods supplied under this Purchase Order contains any: (a) lead, mercury, cadmium, hexavalent chromium, polybrominated biphenyls (PBB), polybrominated diphenyl ethers (PBDE) or any other hazardous substances the use of which is restricted under EU Directive 2002/95/EC (27 January 2003)(RoHS Directive), as amended ; (b) arsenic, asbestos, benzene, polychlorinated biphenyls (PCBs), or carbon


Are material safety data sheets (MSDSs) for all chemicals used on site available to employees for their use?

Verify that MSDSs are obtained for chemicals stored and handled on site, and that they are made available in local language for employees to review. Ask to see the location where MSDSs are stored. Try to match up 3 or 4 materials used on the floor to the MSDS to confirm the MSDS are readily available and relevant to materials used in the factory. ?Confirm that employees are trained on the use of an MSDS including the safe use, storage, PPE requirements, special handling issues, and proper disposal of the material.


Are all chemicals stored properly, in specially designated areas, in good condition containers (included drums, tanks, etc), that are clearly labeled with their contents and hazards in local language?

All containers should be in good condition, stored in an UN approved container, with no damage or leaks. Containers should be labeled with the original labels from the manufacturer. If the manufacture label is missing, or the container is a secondary container, it should be labeled w/legible writing that identifies the identity of the contents and appropriate hazard warning (flammable, poison, corrosive). Incompatible chemicals should be stored separately. Indoor storage of flammable liquids should be stored in proper flammable storage lockers/cabinets, or in an appropriately constructed storage room to allow for sufficient ventilation, explosion proof electrical installations, and secondary containment. Fire extinguishers should be readily available in the vicinity of flammable liquid storage areas. Containers should be grounded/bonded when flammable/ignitable liquids are transferred from one container to another; and smoking should be prohibited in areas where flammable/ignitable liquids are stored and handled.






Name of Checklist

Section No.

(1, 2, 3 etc)

Question ID




Y / N / NA / Under

Evaluation

Remarks



2 Waste 2.32 Waste Disposal Red Flag 1

N Open2 EHS 2.34 EHS Yellow Flag 2

N Open3 3.1 Dormitory Living Conditions Red Flag 1

NA NA3 3.2 Dormitory Living Conditions Red Flag 1


NA NA3 3.4 Dormitory Emergency Alarms Red Flag 1

NA NA3 3.5 Are there fire extinguishers in the facilities? Dormitory Fire Prevention Red Flag 1

NA NA3 3.6 Are there at least 2 routes of exit from every floor? Dormitory Fire Prevention Red Flag 1

NA NA3 3.7 Dormitory Fire Prevention Red Flag 1

NA NA3 3.8 Dormitory Fire Prevention Red Flag 1

NA NA3 3.9 Dormitory Electrical Safety Red Flag 1


NA NA


Do all waste drums and other waste storage containers appear in good condition, stored in contained areas & well managed?

To be in good condition, waste drums should have no major dents, no significant amount of rust and not stacked more than 3 high; all containers (including drums) should be clean with only minimal amounts of waste on the outside, labeled w/legible writing identifying contents, and closed at all times, unless waste is being added or removed. Drum storage: rows of drums not more than 2 drums wide; aisle space needed to allow emergency equipment access (2-3 feet or 1 meter), sufficient ventilation so that no strong odors present, fire suppression system for flammable wastes, secondary containment (bunding) for liquid wastes, and separation of incompatible wastes. Liquid wastes should be stored in areas with impervious surfaces or in a bermed and covered area away from drainage structures such as floor or storm drains. Containers with ignitable liquids should be adequately grounded and bonded. Storage areas should have signs or markings such as "restricted entry" and "no smoking" prominently displayed. All liquid storage areas should have secondary containment (e.g. a berm, basin or other area), sufficient to capture at least 100% (110% is


Does the work place and the equipment used within the manufacturing area appear to be maintained and utilized with safety devices, safeguards, and proper work practices, methods, processes, that are reasonably adequate to make the workplace safe? If you have not already created a finding for your observation, select "no" and write a detailed finding description. ?

This question is intended as a "catch all" if you have a concern/observation that has not already been captured in this checklist. ??A tour of the facility should be conducted to identify work place hazards. ?You should tour the entire work area including offices, warehouses, storage rooms, etc. Pay particular attention to items most likely to develop unsafe or unhealthy conditions because of stress, wear, impact, vibration, heat, corrosion, chemical reaction or misuse. Inspect the entire workplace area each time. Poor housekeeping, lack of PPE, diminished lighting, extreme temperatures (hot/cold), lack of machine guards, frayed wiring, chemical odors, lack of warning or hazard signs, and blocked exits are all basic indicators of a deficient or lack of good safety programs and processes. ?


Housing Facilities Review

Are employees allowed to live outside company provided housing?



Can employees freely enter or leave the housing at all times of the day or night?



Is the housing clean, especially in the common areas such as hallways, toilets and bathing facilities?



Is there an alarm system to notify employees of an emergency situation?







Are all stairwells and emergency exits unobstructed and unlocked so that employees can freely exit the building in an emergency?



Is there working emergency lighting? (ask the owner to test the system in your presence)

Emergency lighting that is powered by battery or emergency back-up generator must be installed in accordance with operation program or regulatory requirement. Verify, through documentation and observation, that the emergency lighting is functioning properly.



Does all wiring appear to be in good condition? (For example, it is not frayed and appears to have been installed professionally. Extensive use of extension cords, or wiring that is strung across rooms is cause for concern).



If food preparation is occurring in common areas, are all cafeteria or kitchen areas clean, and is food prepared, stored and served in a sanitary manner?






Name of Checklist

Section No.

(1, 2, 3 etc)

Question ID




Y / N / NA / Under

Evaluation

Remarks



3 3.11 Dormitory Living Conditions Red Flag 1

NA NA3 3.12 Is water provided for toilets and bathing in the building? Dormitory Living Conditions Red Flag 1




NA NA3 3.16 Dormitory Living Conditions Yellow Flag 1

NA NA4 Labor-Wage and Hour 4.1 Age Red Flag 1

N Open4 Labor-Wage and Hour 4.2 Wages Red Flag 1

N Open4 Labor-Wage and Hour 4.3 Working Hours Red Flag 1



N Open4 Labor-Wage and Hour 4.6 Involuntary Labor Red Flag 1

N Open4 Labor-Wage and Hour 4.7 Involuntary Labor Yellow Flag 1

N Open4 Labor-Wage and Hour 4.8 This can be verified by employee interviews. Wages Red Flag 1



N Open



Is clean drinking water provided in the building either via tap or bottled water? (To determine if the water is clean, check for discoloration or unusual odors).





If the climate is cold in winter, is the building heated in the winter months?



Is the building adequately lit when occupied, both inside and out?



Is the dormitory building more than 100 meters from activities that might create an adverse health and safety impact for employees living in the housing? (Some examples of activities that might create an adverse health impact are the burning of waste material, chemical operations and high dust operations.



Aside from any issues identified by one of the other questions, do activities in the facility appear to be conducted in a safe manner? If you see any conditions you think are unsafe, please answer "No" and provide details.


Has the supplier given assurances that it does not employ vocational school students under the age of 16? If not, please explain circumstances in the section provided below.

Identify vocational students, if any, that work on GE products.


Did all of the employment records you reviewed show payments at or above the minimum wage? ?If any of the employment records you reviewed showed payments below the minimum wage please answer "No" and provide details.


Did all of the employment records you reviewed show hours of service at or below the maximum allowable overtime? If any of the employment records you reviewed showed hours of service above the maximum allowable overtime please answer "No" and provide det2081


Did all of the employment records you reviewed show payment of the required premium wages for overtime work? If any of the employment records you reviewed showed a failure to pay the required premium wages for overtime work please answer "No" and provide2082


Did all of the employment records you reviewed confirm that there are no excessive deductions from wages? If any of the employment records you reviewed showed excessive deductions from wages please answer "No" and provide details.

Based on Chinese law, there are some legitimate deductions that can be made: (1) individual tax and social insurance, (2) deductions to cover economic losses caused by the employeeup to 20% of the monthly salary provided that in no event can the pay drop below the minimum wage, (3) leaves such as un-paid or sick leave, and (4) labor discipline provided that there is a clear written policy explaining the basis for discipline and the deductions, provided that in no even can the pay drop below the minimum wage. In some regions local rules do not allow monetary punishment as a disciplinary action. Deductions based on other grounds are not allowed.


Did review of wage payment records reveal that employees are paid on a current basis or paid not more than one payroll cycle in arrears?


Are employees allowed to retain their employment and other relevant documents (e.g.. ID card, etc.) after initial review by the supplier?


Did The Amount Paid To Each Employee As Per Payroll Records Match The Cash/Bank Records For The Money Transfer?


Did The Working Hours Declared In The Payroll Records Match The Timesheet For The Workshop?


Did all of the employment records you reviewed show that employees were at or above the minimum working age? If any of the employment records you reviewed showed employees below the minimum working age please answer "No" and provide details.






Name of Checklist

Section No.

(1, 2, 3 etc)

Question ID




Y / N / NA / Under

Evaluation

Remarks



4 Labor-Wage and Hour 4.12 Wages Red Flag 2

N Open5 5.32 Are container-load shipments to GE properly protected? Security Red Flag 1

N Open5 5.34 Are less-than-container load shipments adequately protected? Security Security 1

N Open5 5.36 Security Security 1



N Open5 5.43 Security Red Flag 1

N Open5 5.46 Security Red Flag 1




N Open


If the supplier uses vocational students, does the payment documentation (either by the employer or the school) confirm the students were paid at least the minimum wage?

Confirm through employee interviews that the amount actually received by the student was at least the minimum wage.


Security Mgmt Systems

RED FLAG question! ?Issue must be resolved to satisfaction of GE Business Security Director before supplier is engaged. Illustrative measures:1. Sealed containers, with seal numbers accompanying shipping documentation, 2.Seals meet or exceed the current PAS ISO17712 standard 3. Containers inspected and stored to prevent tampering, 4. Procedures established to maintain seal chain of custody from supplier to GE site. Answer 'Compliant' if vendor does not send any container-load shipments



Illustrative measures: 1. Shrink wrap of outgoing shipments, or other tamper-evident or tamper-proof packaging. 2. Carriers maintain truck security between pick-up stops as evidenced by contractual agreement or other written communication to/from carrier.



Is shipping documentation controlled to ensure accuracy and prevent alteration?

Illustrative measures: 1. Pre-numbered shipping documents, 2. Exception reporting of errors in documentation, 3. Computer generated documents



Is the company's information technology applications protected from improper use or alterations?

Illustrative measures:1. limited accessibility to information systems, 2. password protection of electronic systems, 3. exception reporting of errors in documentation, 4. ability to detect improper use



Does the company conduct employment screening of employees, including application verifications and background checking to the extent permitted by law?

Illustrative measures:1. criminal history check, 2. previous employment verification, 3. alcohol/drug screening, 4. reference checks.



Does your company have a process to restrict unauthorized access to your facility, including shipping, loading dock and cargo areas, in which goods are manufactured or stored for shipment to GE.

RED FLAG question! ?Issue must be resolved to satisfaction of GE Business Security Director before supplier is engaged. Illustrative measures: 1. use of unique, visible ID badges for employees and visitors, 2. visitor sign-in (recording of name, date, time of entry and exit, and affiliation of visitors), 3. access control for visitors, 4. training of employees to challenge unidentified persons, 5. established reporting chain, 6. physical barriers against access to goods in production or shipment (i.e., locks, alarms, fencing, lighting, guards, CCTV).



Are there controls to prevent the introduction of unmanifested materials into shipments of goods to GE, while in the custody of any carrier selected by your company prior to delivery to a carrier selected by GE?

RED FLAG question! ?Issue must be resolved to satisfaction of GE Business Security Director before supplier is engaged. ?Illustrative measures:1. ?contractual obligation of carriers to supply chain security, 2. communication of security expectations to carriers 3. established breach reporting procedures, 4. established seal chain of ?custody procedures, and 5. inspection of carrier security procedures.



Does the company have an official who is responsible for security? Please provide the security managers name and contact information?

The security responsibilities MUST be documented in a position description or other written document. The security responsibilities may be full-time or part-time.



Does the company have process (MUST BE DOCUMENTED) for notifying the appropriate personnel if unsafe or suspicious activities are detected?

RED FLAG question! If noncompliant the issue MUST be resolved to the satisfaction of GE Business Security Director before you can continue doing businesses with the supplier. Procedure MUST include: 1. Established reporting chain, including notifying GE if any potential security issue or breach involves GE shipments 2. Time limits for making reports (no more than 24 hours) 3. Reporting requirement applicable to any sub-contractors that handle freight.



Does the company have a program for education of employees in security awareness (PROCESS MUST BE DOCUMNETED) that includes the recognition of internal conspiracies, maintenance of cargo integrity, and addressing unauthorized access?

Evidence MUST include- training logs and schedule including the Course Name, Employee Names and Date of Training.






Name of Checklist

Section No.

(1, 2, 3 etc)

Question ID




Y / N / NA / Under

Evaluation

Remarks



5 5.5 Security Security 1


N Open6 KPI Survey 6.1 EHS Red Flag 1

N Open



Are there controls to prevent the introduction of unmanifested materials into shipments of goods to GE?

RED FLAG question! If noncompliant the issue MUST be resolved to the satisfaction of GE Business Security Director before you can continue doing businesses with the supplier. MUST include: 1. Restriction of physical access to goods while in the production and shipping process; 2. External dock and warehouse doors secured, 3. supervision of loading and unloading of cargo. 4. Checks of proper marking, weights and numbers of shipments against invoices or manifests; 5.Inspection of seals, 6. Use and inspection of shrink wrap or other tamper-proof or tamper-evident forms of packaging.



Do your company have a process (MUST BE DOCUMENTED) to ensure your company's business partners also have a secure global supply chain?

Verify their process for the selection of business partners includes supply chain security requirements, review their business partner files to ensure commitment to CTPAT through certification, audit or documentation confirming adherence to CTPAT criteria.


Please click the link provided in the guide notes to complete the KPI Survey for the supplier. Once the KPI Survey has been completed, mark this question as "Compliant."

http://gensuite.ge.com/ge/sourcing/survey/main.cfm?FormID=5045

Supplier KPI Survey for SRG AuditSupplier Name

QuestionsEnvironmental Management1

2

3

Labor and Employment 5

Health and Safety6

Is there a person professionally trained in Environment Management employed at, or supporting, the company/facility?

Does the facility have a process to identify changes that can potentially impact its EHS compliance, and a system to make sure that EHS compliance is maintained during and after the change is completed?

Has a third party audit and/or inspection been performed at the site in the last 2-3 years to verify compliance with regulatory environmental requirements?

Does the site have a process for staying in compliance with local labor and employment law

requirements?

Is there a person professionally trained in health and safety employed at or supporting the company/facility?

78

9

10

Has the facility conducted an overall site review to identify and document the health and safety risks to the facility, equipment and employees?

Have risks identified in the overall site review been communicated to employees in a systematic way?

Has a Health & Safety (H&S) audit been performed at the site in the last 2-3 years?

Has an Occupational Health or Industrial Hygiene (IH/OH) assessment been performed at the site in the last 2-3 years?

11

12

13

Are corrective actions identified by the Environmental, H&S or IH/OH audits and assessments tracked to closure?

Can the site demonstrate that it is in compliance with a training plan?

Does the facility have a process to train employees on new or changed EHS hazards or compliance requirements after changes are made to the facility and production process?

Does the facility have a written Emergency Preparedness Plan that includes responses for all potential emergencies that may take place onsite? Has the facility reached out to the local authorities to have an understanding of potentially extreme emergencies that may occur at their facility or local to ensure they are incorporated into the plan? Has the plan been communicated to all employees and personnel that enter the operation so that all personnel are aware of their responsibilities for all potential occurrences under the plan? Has the facility conducted emergency drills to ensure the plan is working properly and addresses all impacted areas?

Security

14

15

16

17

18

Does the company have an official who is responsible for security?

Does the company maintain written Supply Chain Security procedures?

Does the company have a program for education of employees in security awareness that includes the recognition of internal conspiracies, maintenance of cargo integrity and addressing unauthorized access?

Does the company have procedures for notifying the appropriate personnel if unsafe or suspicious activities are detected?

Are there controls to prevent the introduction of unmanifested materials into shipments of goods to GE?

19

Energy and Water20

21

Chemicals & Waste

Does the company have a process to assess their supply chain security risks and implement corrective actions when security gaps are found?

Does the supplier track energy usage, and have an energy reduction plan?

Does the supplier track water usage, and have a water reduction goal?

22

23 Waste Management Control

Permits24

25

Does the site(s) being reviewed have immediately available a comprehensive list of chemical substances (chemical products, mixtures, preparations, alloys, other component materials) it manufactures, imports, processes and/or

uses?

Does the site have a process, including a named responsible person, to ensure it keeps track of regulatory developments and/or updates that may impact environmental permits or compliance at the site?

Was the site able to show you a list and an organized file of all current permits and correspondence with the authorities regarding regulatory compliance?

26

27

Was the site able to show you copies of all current EHS permits and related correspondence with the authorities?

Have all wastewater and air emissions sources been identified and documented?

Supplier KPI Survey for SRG AuditM/s. Intelux Elecronics Pvt.Ltd.

Guide notes Score Environmental Management 56.67

100

50

20

Environmental Management score 170Labor and Employment 100

100

Labor and Employment score 100Health and Safety 83.33

100

The facility should have one person responsible for and expert in environment regulations and management systems. Depending on the size or complexity of the facility, the job can be part-time or shared with other activities.

Changes in equipment, processes and activities have the potential for adverse effects and impact EHS compliance. The Management of Change (MOC) process aims to identify and evaluate workplace hazards (and related impacts to EHS compliance) whenever new substances, processes, procedures or equipment are introduced into the facility. Some examples of these changes (and associated impacts) include: new chemical material use in production (may require this new material to subsequently be monitored and/or controlled in wastewater effluent or air emission points per regulation); and new construction activity (may require the facility to obtain permits related to building, air pollution control, storm water, wastewater, etc.). Such changes may also trigger a requirement to revise an operating license or environmental impact assessment (EIA).

The environmental audit refers to verification of compliance with legislation requirements. The audit should be conducted by a third party (e.g. a consultant, representatives from the government of the parent company, environmental authorities, etc.). Along with audit reports, a status report on all findings (% complete, actions planned to close remaining items) should be available.

As minimum core standards, the site should retain an identified, trained human resource expert who understands the applicable labor and employment regulations, is responsible for ensuring wage and hour compliance and possesses the authority to ensure worker safety rules are complied with. In addition, there should be postings or other means of communication for employees to be made aware of basic wage and hour information, additional labor and employment rights, worker safety standards and a governance process for raising issues.

The facility should have one person responsible for, and expert in, health and safety regulations and management systems. Depending upon the size or complexity of the facility, the job can be part-time or shared with other activities.

80

80

80

50

Risk assessment is the process of evaluating risks to workers safety and health from workplace hazards. It is a systematic examination of all aspects of work that considers: (1) what could cause injury or harm; (2) whether the hazards could be eliminated and, if not; (3) what preventive or protective measures are, or should be, in place to control the risks. At a minimum, this assessment should cover machine hazards, chemical hazards, ergonomic hazards and facility risks. The system should use a formal hazard evaluation methodology such as Safety Risk Assessment (SRA), Job Safety Analysis (JSA), Job Hazard Analysis (JHA) or Failure Mode and Effect Analysis (FMEA) to identify hazards and applicable regulatory requirements.

To keep workers safe, communication is essential. Workers must know about the risks they face, the prevention measures being taken and any emergency action plans. This information should be provided in clear, non-technical language that will be easily understood. The facility should have a system to communicate the hazards in operation to the affected employees. The system can be web-based, communicated during meetings or one-on-one

discussions or physical postings (i.e. JSA, MSDS, IH results).

The audit should be conducted by a third party (e.g. a consultant, representatives from the government of the parent company, etc.). Along with audit reports, a status report on all findings (% complete, actions planned to close remaining items) should be available.

Occupational Health or Industrial Hygiene (IH/OH) assessment reports should be in place. These should include actual qualitative and/or quantitative measurements. Ask for status of all findings (% complete, actions planned to close remaining items).

80

100

80

100

Health and Safety Score 75081.67

Does the site have a process for tracking closure of findings? If yes, describe.

Site should provide documentation that affected employees are trained on specific environmental regulatory content and the date that the training was completed.

When changes are made to the facility or production process/equipment--or new equipment, chemicals or processes are introduced to the facility--the employees should be retrained on the hazards and risks of the materials and processes.

The Emergency Preparedness Plan should include responses for all potential emergencies and extreme emergencies that may take place onsite for example: Fire, spills, releases, weather-related emergencies such as tornados, or hurricanes/tropical storms, flooding, earthquakes, tsunami, civil strife, impacts from neighboring plants and transportation routes/systems near the plant (rail, highways, airports). The emergency plans must be communicated to all employees and personnel that enter the operation and all personnel must be aware of their responsibilities for all potential occurrences under the plan. Drills should be conducted quarterly and should be conducted at a minimum of 1 time per year to ensure the plan is appropriate and working as designed.

These requirements may be verified, through document review, an operation tour, and interviews with employee that a program exists and addresses the types of emergencies possible at the operation.

100

80

100

80

80

In addition to having a company employee whose responsibilities specifically include oversight of the companys security practices and procedures, the employees security responsibilities should be embodied in a position description or other written document. The employees security responsibilities may be full-time or part-time responsibilities, may be at the level of individual plant or shipping locations or may encompass more than one shipping location, provided that one or more employees is responsible for all locations manufacturing or shipping goods to GE in the United States.Written procedures should cover access control, physical security, training and threat awareness, breach reporting, container and seal security, employee and transportation provider screening

Illustrative measures include (1.) training logs to include number of people trained and their job category; and (2.) training calendar with names of courses and dates of training

Procedure in place should include (1.) established reporting chain, including notifying GE if any potential security issue or breach involves GE shipments; (2.) time limits for making reports (no more than 24 hours); and (3.) reporting requirement applicable to any sub-contractors that handle freight

Procedure in place should include (1.) restriction of physical access to goods while in the production and shipping process; (2.) external dock and warehouse doors secured; (3.) supervision of loading and unloading of cargo; (4.) checks of proper marking, weights and numbers of shipments against invoices or manifests; (5.) inspection of seals; (6.) use and inspection of shrink-wrap or other tamper-proof or tamper-evident forms of packaging

50

Security score 490Energy and Water 75

100

50

Energy & Water score 150Chemicals & Waste 100

Illustrative measures include (1.) identification of high-risk vendors and countries; (2.) identification of all parties in supply chain; (3.) documented Supply Chain Risk Assessment process; and (4.) surveys, questionnaires and/or on-site audit reports of vendors, carriers and other parties in their supply chain.

Facility should track its energy use (should include use of electricity, oil, natural gas, etc.), and information should be retained for future use. Costs should be verified as being accurately tracked. In addition, the facility should implement projects to reduce energy usage, ensure that published goals are in place and that progress towards those goals are tracked.

Facility should track its water use, and information should be retained for future use. Costs should be verified as being accurately tracked. In addition, the facility should implement projects to reduce water usage, ensure that published goals are in

place and that progress towards those goals are tracked.

100

100

Chemicals & Waste score 200Permits 75

50

100

Awareness of chemicals, their hazards, and expected Risk Management Measures at the workplace should be in place. This is best achieved by:

1.( Keeping an inventory of all chemical substances (by virtue of their presence in chemical products, mixtures, preparations, alloys, other component materials) made at, brought to (including imported to), or intended to be used at, the workplace. A chemical inventory list typically contains the following minimal elements: (1.) chemical name; (2.) Common/Trade Name; (3.) Manufacturer; (4.) Estimated Typical Quantity on Hand; (5.) Frequency of Use; (6.) MSDS availability and its location; (7.)

Emergency Procedure Required (if any). 2( Having a functioning Chemical Approval Process (a form of

MOC) where changes driven by functions like Facilities, Engineering, Product Design, Other are reviewed and approved (or denied) prior to use on site.

Ensure Process in place to control waste management(collecting, treatment, disposal, recycle) not exclusive for the supplier/manufacturer alone

The facility should have a dedicated EHS staff member, lawyer, external EHS consultant, etc. who continuously monitors existing and emerging regulations, laws, statutes, ordinances, etc. to ensure that such changes will not adversely affect environmental permits the site presently maintains. For example, a sewer discharge authority intends to reduce the Total Suspended Solids (TSS) limit from 100 mg/L to 50 mg/L by July 1, 2009. The site's sewer permit presently has a TSS limit of 100 mg/L. There should be a process to ensure that announcement of this newly modified regulatory requirement is immediately recognized by the facility and allows the facility to then plan to achieve this new limit by the required implementation date.The facility should develop a list of all permits given to the site, along with list of permit conditions that is either written or referred to on the permit.

100

50

Permits score 300Final score of supplier 81.67

The facility should maintain an organized document filing/retention system consisting of all supporting documents corresponding to the site's permits. For example, a site may have submitted a wastewater permit application in advance of receiving an issued permit by the authority. The facility should maintain on file a copy of the permit application that supported the final permit. Another example is when a facility has an existing permit and submits a request to use (discharge) a new material. The agency approves this request via a letter. A copy of the letter should be available in the file to document that the new material use/discharge is authorized.A thorough survey of all plant equipment and operations should be conducted to assure that all wastewater and air discharge/emission sources have been identified. A unique discharge/emissions source identification number should be assigned to each. This identification number should be consistent with any numbers that have been assigned in permits or registrations. Note that for air emissions, refrigerant-containing equipment or halon systems should also be identified as regulated components and included in your inventory, even though these components do not normally have emissions to the atmosphere.

Supplier KPI Survey for SRG AuditM/s. Intelux Elecronics Pvt.Ltd.

Score 100 Score 80 Score 50

A fully trained individual, with an external certification from a credible institution, is assigned as environmental leader.

Person is identified and fully trained, but not externally certified

Person has been assigned and received some training only (not comprehensive)

Site has a comprehensive written procedure requiring EHS review of all changes, with responsibilities specified and a tollgate process. Facility can produce written evidence of the utilization and implementation of the MOC procedure

Site has a comprehensive written procedure requiring EHS review of all changes, with responsibilities specified and a tollgate process

Site has a written procedure requiring review of capital expenditures with EHS, but no specificity on timing or systematic coverage of changes

Evidence provided shows that a certified or governmental third party conducted a comprehensive environmental assessment within the last 2 years, and that a process to track and close findings is in place

Evidence provided shows that a certified or governmental third party conducted a comprehensive environmental assessment within the last 3 years, and that a process to track and close

Site reports that it has had a third party environmental audit within the last 3 years, but is unable to provide a copy of the report and closure documents

All the below plus (4) Implementation of HR Management System (developed HR rules/handbook proper employee documentation HR orientation and labor communication etc.) and (5) HR staff conducts timely (e.g. quarterly) labor compliance self-assessment for the

)1( Compliant labor and employment policies have been developed (2) an HR Organization has been effectively developed at the worksite and (3) Previous labor findings at the site have been resolved through systemic corrective/preventive actions

)1( Compliant labor and employment policies have been developed and (2) a labor management specialist has the basic required ability/knowledge of wage and hour requirements

Person is identified and fully trained, with external certification from a credible institution

Person is identified and fully trained, but not externally certified

Person has been assigned and has received some training only (not comprehensive)

Facility has reviewed its procedures, identified its high risk processes plus (1) Facility has identified protective measures for all employees facility and (2) has performed JSAs (or equivalent) on 100% of equipment and processes

Facility has reviewed its procedures, identified its high risk processes plus (1) Facility has identified protective measures for all employees (2) facility has performed JSAs (or equivalent) on all high-risk equipment and processes

Facility has reviewed its procedures, identified its high risk processes plus (1) Facility has identified protective measures for all employees (2) Facility has started to introduce JSAs or similar tools

Facility has a well-structured strategy to communicate health and safety (H&S) risks to employees, including face-to-face training, placards, JSAs, MSDSs and web-based training. Evidence of the above is visible in the facility (e.g. bulletin boards, designated safety signage, etc.). interviews of a sampling of employees indicates they can describe and demonstrate the safety measures they've been trained to take

Facility has a well-structured strategy to communicate health and safety (H&S) risks to employees, including face-to-face training, placards, JSAs, MSDSs and web-based training. Evidence of the above is visible in the facility (e.g. bulletin boards, designated safety signage, etc.) and (based on a representative sampling of the employees) most of the employees sampled are knowledgeable about the risks.

Facility has used some mechanisms to communicate risks and (based on a representative sampling of the employees) most (>80%) of the employees sampled are knowledgeable about the risks.

Evidence provided shows that a certified or governmental third party conducted a comprehensive H&S assessment within the last 2 years, and that a process to track and close findings is in place

Evidence provided shows that a certified or governmental third party conducted a comprehensive H&S assessment within the last 3 years, and that a process to track and close findings is in place

Site reports it has had a third party H&S audit within the last 3 years, but unable to provide a copy of the report and closure documentation

Site is able to provide evidence of an external IH/OH assessment within the last 3 years, with strong evidence of a monitoring program with follow-on actions if over-exposure is identified plus: evidence of a robust employee protection program, including monitoring, training and periodic external reviews

Site is able to provide evidence of an external IH/OH assessment within the last 3 years, with strong evidence of a monitoring program with follow-on actions if over-exposure is identified

Site is able to provide evidence of an external IH/OH assessment within the last 3 years, with evidence that protective measures have been taken, but no monitoring program in place

Site has an electronic finding tracking system, with strong evidence that all findings are captured in the system and closed in a timely manner for all 3 of the following categories: Environmental; H&S; or IH/OH

Site has an electronic finding tracking system, with strong evidence that all findings are captured in the system and closed in a timely manner for 2 of the following categories: Environmental; H&S; or IH/OH

Site has an electronic finding tracking system, with strong evidence that all findings are captured in the system and closed in a timely manner for 1 of the following categories: Environmental; H&S; or IH/OH

Site has a well documented training plan, is able to demonstrate how training requirements were identified for each employee and can show execution of the plan for all employees

Site has evidence of training plan

Facility has a written process to update employee training after changes are made, and is able to provide documentation of updated training after a recent change plus based on representative sampling of select employees, 100% can explain the process and how they input into the updated training

Facility has a written process to update employee training after changes are made, and is able to provide documentation of updated training after a recent change plus: based on representative sampling of select employees, at least 50% are knowledgeable on the process

Facility has a written process to update employee training after changes are made, and is able to provide documentation of updated training after a recent change

The facility has a written comprehensive plan that addresses all of the potential emergencies that may occur on site or locally or within the region. The plan has been communicated to all affected employees, and they are aware of their responsibilities and how to respond if needed. Some elements of the plan are drilled quarterly and an evacuation or scenario based drill has been conducted at least 1 time per year to determine the effectiveness of the plan. The site has worked closely with the community's local emergency planning organization to ensure that all potential risks, especially for extreme events, have been identified, evaluated and addressed in the plan.

The facility has developed an emergency response plan that addresses most of the potential emergencies (fire, spill, release, weather-related emergencies) that may occur on site or impact the facility. The employees are able to communicate their responsibilities during potential occurrences. The facility has conducted a drill of most aspects of the plan, including evacuation, within the last 12 months.

The facility has developed an emergency response plan that addresses the basic potential emergencies (fire, spill, release) that may occur on site or impact the facility. The employees are able to communicate their responsibilities during potential occurrences. The facility has conducted a drill of most aspects of the plan, including evacuation, within the last 12 months.

Person is identified and fully trained and has received external certification from a credible institution

Person is identified and fully trained but not externally certified

Person has been assigned and has received some training only (not comprehensive)

Security procedures are in place and defined in writing, have been updated within the last 12 months, communicated to personnel on site, and training records exist

All security procedures are in place and documented, but they have not been reviewed within the last 12 months and/or no training records exist

Most (>80%) Security procedures are in place, but are missing one or more sections listed in guide notes.

Records support that employees are trained based on job description; 100% of refresher training up to date

Records support that employees are trained based on job description, with up to 75% of refresher training up to date

Records support that employees are trained based on job description, with up to 50% of refresher training up to date

Business has a documented process for reporting suspicious activities that includes an established reporting chain, including notifying GE if any potential security issue or breach involves GE shipments, time limits for making reports (no more than 24 hours) and reporting requirements applicable to any sub-contractors that handle freight procedures are well-documented and current

Business has an undocumented process for reporting suspicious activities that includes an established reporting chain, including notifying GE if any potential security issue or breach involves GE shipments, time limits for making reports (no more than 24 hours) and reporting requirements applicable to any sub-contractors that handle freight

Business has a process for reporting suspicious activities and it is communicated to employees, but not to third parties (vendors, suppliers)

All 6 illustrative measures are in place and there is evidence that they are periodically tested

All 6 illustrative measures are in place

At least 4 of the illustrative measures are in place

There is evidence that a third party conducted a comprehensive security assessment within the last 2 years, and copy of the closure documentation is available for review plus: there is evidence that any findings from the assessment have been closed

There is evidence that a third party conducted a comprehensive security assessment within the last 2 years, and copy of the closure documentation is available for review

There is evidence that the site has conducted an internal audit/risk assessment in the last 2 years, and copy of the closure documentation is available for review

Supplier/site tracks energy use, costs can be verified, and the site has a goal to reduce energy usage plus: a budget and program to meet energy reduction goal is in place. The site has published evidence of energy usage against its internal targets within the last 12 months using an established reporting method (i.e., CDP, WRI/WBCSD or local compliance reports)

Supplier/site tracks energy use, costs can be verified, and the site has goal to reduce energy usage plus: a budget and program to meet energy reduction goal is in place

Supplier/site tracks energy use, costs can be verified, and the site has goal to reduce energy usage

Supplier/site tracks water use, costs can be verified and the site has a goal to reduce water usage plus: there is a documented budget and program to meet the water reduction goal. The site has published evidence of water usage against its internal targets within the last 12 months using an established reporting method (i.e., CDP, WRI/WBCSD or local compliance reports) facility's stated plan (i.e., not through business contraction). Facility understands the source of their water and if in a water scarce area, has a strategy for continued operations in the event water usage is restricted.

Supplier/site tracks energy use, costs can be verified and the site has a goal to reduce water usage plus a budget and program to meet water reduction goal is in place

Supplier/site tracks energy use, costs can be verified and the site has a goal to reduce water usage

Site(s) maintains a complete inventory of its raw materials and chemicals used on site, and has MSDS sheets for all chemicals (including any in process and manufacturing, maintenance and contractor use such as cleaning crews) plus: facility has a tollgate to control introduction of new chemicals, which are subject to review by the EHS and product stewardship teams before introduction, plus: site has conducted sweeps to remove obsolete materials and chemicals, and is maintaining tight control over the use of chemicals on site

Site(s) maintains a complete inventory of its raw materials and chemicals used on site, and has MSDS sheets for all chemicals (including any in process and manufacturing, maintenance and contractor use such as cleaning crews) plus: facility has a tollgate to control introduction of new chemicals, which are subject to review by the EHS and product stewardship teams before introduction

Site(s) maintains a complete inventory of its raw materials and chemicals used on site, and has MSDS sheets for all chemicals (including any in process and manufacturing, maintenance and contractor use such as cleaning crews)

Evidence provided shows that a certified or governmental third party conducted a waste management audit within the last 2 years, and that a process to track and close findings is in place

Evidence provided shows that a certified or governmental third party conducted a waste management audit within the last 3 years, and that a process to track and close findings is in place

Site reports that it has performed a third party waste management audit in the last 3 years, but unable to provide comprehensive reports and closure documents

Site has named a responsible person, and can produce evidence of the process and services that person(s) use to update all the regulatory requirements applicable to the site and its operations, including off-site transport

Site has named a responsible person, but does not have a systemic process to ensure new and modified regulations and permits are reviewed on a regular basis

Site has copies of all its permits up to date, and a comprehensive filing system with all permits, associated documents and summaries of all compliance conditions

Site has a list of all permits plus backup documentation, but the permits are not up to date or are incomplete

Site has copies of all its required EHS permits, and a comprehensive file containing all associated regulatory correspondence with authorities

Site has an organized system to maintain permits, but has not maintained all associated regulatory correspondence with authorities

All wastewater and air emissions sources have been captured on a site map with sources identified, process and instrumentation diagrams that indicated sources or matrix tables with sources identified by column number, etc., and field verification indicates that all sources have been accounted for and included in the documentation

Site has some of its wastewater and air emissions sources captured through documentation like site maps with sources identified, process and instrumentation diagrams that indicate sources or matrix tables with sources identified by building column number, etc.--but field verification shows that not all the sources have been captured

Supplier KPI Survey for SRG Audit

Score 20 Score 0

Person has been assigned, but no special training

Nobody identified as responsible

Site reports it has an informal process for changes to be reviewed by EHS

No Management of Change (MOC) process

Site reports that it has conducted an internal audit within the last 2 years

No evidence that an audit of any kind was conducted

The site does not have a dedicated human resource expert and/or wage and hour compliance plan

Person has been assigned, but no special training

Nobody identified as responsible

Facility has reviewed its procedures, identified its high risk processes and has begun to provide protective measures to employees

Facility has not adopted a systemic approach to evaluating and managing health and safety risks

Facility has used some mechanisms to communicate risks (based on a representative sampling of the employees, some (10-50%) of the employees sampled are knowledgeable about the risks)

Facility has not communicated facility risks to the employees

Site reports that it has conducted an internal H&S audit within the last 2 years

No evidence that an audit of any kind was conducted

Site reports that it has conducted an external assessment within the last 2 years and there is some evidence of

srg audit 2014 assessment for sqe 09102015

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