SRG Audit 2014 Assessment For SQE 09102015

Supplier Name
Supplier Address
Contact Person
Contact Person contact
number
Contact Person e-mail ID
Date of SRG Audit
M/s. Intelux Elecronics Pvt.Ltd.

Corporate :
Unit No. 2 , Electronic Co-operative Estate
Pune Satara Road
Sahakarnagar ,
Pune - 411009
Works :
Shed No.02/08 , Survey No. 30/4
Near DRAN /PARI Comapany
Near Shayari Road ,
Dhyari
Dist - Pune
Mr.C.Chandarashekar
411041
GM Marketing
-9423584373
c.chandrashekar@inteluxindia.com
proposed - 23rd Oct 2015
2012 Compliance Assessment On-Site EHS - (Global - English Language) Checklist - Power Audit Tool
Supplier M/s. Intelux Elecronics Pvt.Ltd.
Checklist
Name
Name of
Checklist
SectionN
o
Section
No.
(1, 2, 3
etc)
Section
Section Title
QnID
Question
Question Text of the Question

ID
Guide Note
Finding Category
Flag Type
QN Weight
Guide Note for the Question (place cursor in cell

for complete description)
Cross-Reference Category
Is this a Red Flag,

Yellow Flag or Security
Question?
Points
Awarded for a
Compliant
Answer
2013
Compliance
Assessment
On-Site EHS
EO
0.1
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.
Other Environmental
2014
Compliance
Assessment
On-Site EHS
EO
0.2
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.
Other Environmental
2015
Compliance
Assessment
On-Site EHS
EO
0.3
Are you from outside GE? Select "Yes" if you are from outside GE.
Select "Under Evaluation" if you are not from outside GE.
Other Environmental
2016
Compliance
Assessment
On-Site EHS
Permits
1.2
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 Environmental Permits
country.
Red Flag
2017
Compliance
Assessment
On-Site EHS
Permits
1.3
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 Health and Safety Permits
country.
Red Flag
2018
Compliance
Assessment
On-Site EHS
Permits
1.4
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.)
Fire Protection
Red Flag
2019
Compliance
Assessment
On-Site EHS
General
1.5
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.
Other Safety
Yellow Flag
2020
Compliance
Assessment
On-Site EHS
General
1.6
Yellow Flag
2021
Compliance
Assessment
On-Site EHS
General
1.7
During the last 5 years, has your company operated without any
Other Safety
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.
Is the facility located at least 100 meters away from any schools, Please provide sufficient detail that your EHS contact
Other Safety
nursing homes, daycare centers, residences or other sensitive
can help you determine whether the location of
uses? If the facility is located within 100 meters of such an
sensitive uses close to the supplier's location will
entity, please answer "No" and provide details.
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.
Yellow Flag
2022
Compliance
Assessment
On-Site EHS
Emergency Prep
1.8
Do you conduct fire drills at least annually for all shifts?
Fire Protection
Yellow Flag
2023
Compliance
Assessment
On-Site EHS
Emergency Prep
1.9
Do you test the emergency alarm systems at least every six

months?
Fire Protection
Yellow Flag
2024
Compliance
Assessment
On-Site EHS
Site Background
1.10
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.
Other Environmental
Yellow Flag
2025
Compliance
Assessment
On-Site EHS
Site Background
1.11
Is the site soils or groundwater free of chemical contamination? If This question seeks to elicit if the facility has a history Waste Disposal
there has been any investigation of, or remediation of the soil or of contamination that might affect current operations or
water at the facility (Include investigations by a government
the financial status of the supplier. This question asks
authority or other parties; such as potential investors), please
that known conditions be disclosed. We do not require
provide details.
that the supplier test conditions on their site.
Yellow Flag
2026
Compliance
Assessment
On-Site EHS
Human Rights
1.12
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?
Yellow Flag
All employees must be treated equally regardless of

Discrimination
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).
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.
AUDITORS REMARKS
Y / N / NA /
Under
Evaluation
Remark
s
Status
Under Evaluation
Under Evaluation
Under Evaluation
Under Evaluation
Under Evaluation
Under Evaluation
Open
Open
Open
Open
Open
Open
Open
Open
Open
Open
Open
Name of
Checklist
Section
No.
(1, 2, 3
etc)
Section Title

ID
2013
Compliance
Assessment
On-Site EHS
EO
0.1
a GE Sourcing team.
2027
Compliance
Assessment
On-Site EHS
Human Rights
1.13
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?
2028
Compliance
Assessment
On-Site EHS
Human Rights
1.14
2029
Compliance
Assessment
On-Site EHS
Human Rights
1.15
2030
Compliance
Assessment
On-Site EHS
On-Site Review
2.1
2031
Compliance
Assessment
On-Site EHS
Human Rights
2032
Compliance
Assessment
On-Site EHS
2033
Compliance
Assessment
On-Site EHS

Is this a Red Flag,

Question?
Other Environmental
Points
Awarded for a
Compliant
Answer
Y / N / NA /
Under
Evaluation
Remark
s
Status
Harassment, bullying, intimidation, degradation or

Harassment
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
The company must have an objective process for
Dispute Resolution
employee complaints that is outside the direct supervisory chain handling complaints that is outside the direct
of an employee that might have a concern and is the existence supervisory chain of an employee that might have a
of the process communicated at the audit location?
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.
Yellow Flag
Yellow Flag
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

Labor Rights
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
Age
limit? (In no case <16)
Yellow Flag
Red Flag
2.2
Do the employees appear to be present voluntarily (e.g. not an

unusual number of security guards present in and around the
facility)
If you answer no, STOP and obtain legal advice!
Involuntary Labor
Red Flag
Human Rights
2.3
Can the employees freely exit the facility when they are not
working? (e.g. doors are not locked or blocked to prevent
employees leaving before the end of the shift)
Fire Protection
Red Flag
Emergency Prep
2.4
Does the facility have clearly designated emergency exits, at

least 2 per floor, with a travel distance of no more than 70
meters from any work area? GE requires emergency exit doors
be equipped with crash bar or panic bar hardware. This is a
mechanism for unlatching a door, consisting of a spring-loaded
metal bar fixed horizontally to the inside of an outward-opening
door. It is operated by pushing on it, which unlatches and opens
the door. It can be set up to prevent entry from the outside, and
where theft is a concern, it can be connected to an alarm system
to sound an alarm whenever It is opened.An emergency exit
must be equipped with "crash" or panic bars, open outward and
be incapable of being locked from the inside.
Fire Protection
Red Flag
Under Evaluation
Under Evaluation
Open
Open
Open
Open
Open
Open
Open
Name of
Checklist
Section
No.
(1, 2, 3
etc)
Section Title

ID
2013
Compliance
Assessment
On-Site EHS
EO
0.1
a GE Sourcing team.
2034
Compliance
Assessment
On-Site EHS
Emergency Prep
2.5
Are there clearly marked emergency exits that are visible from
all corridors, staircases and aisleways?
2035
Compliance
Assessment
On-Site EHS
Working Conditions
2.6
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).
2036
Compliance
Assessment
On-Site EHS
Working Conditions
2.7
2037
Compliance
Assessment
On-Site EHS
Chemical Mgmt
2038
Compliance
Assessment
On-Site EHS
2039
Compliance
Assessment
On-Site EHS

Is this a Red Flag,

Question?
Other Environmental
Emergency exit doors must meet the following criteria: Fire Protection
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.
Points
Awarded for a
Compliant
Answer
Y / N / NA /
Under
Evaluation
Remark
s
Status
Red Flag
Working Conditions
Red Flag
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?)
Working Conditions
Yellow Flag
2.8
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.
Red Flag
Chemical Mgmt
2.9
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.
Red Flag
On-Site Review
2.10
Are the work areas kept at a reasonable temperature (e.g. not

extremely hot or cold so that an unsafe condition has been
created.)
Yellow Flag
2040
Compliance
Assessment
On-Site EHS
On-Site Review
2.11
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?
Potential employee chemical exposures should be

Working Conditions
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.
Working Conditions
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
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.
The work areas should be kept at a reasonable
Working Conditions
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.
In order to assess whether the facility is in compliance Waste Disposal
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.
Red Flag
2041
Compliance
Assessment
On-Site EHS
On-Site Review
2.12
Waste Disposal
Red Flag
2042
Compliance
Assessment
On-Site EHS
On-Site Review
2.13
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
detail
Do
all drums and other storage containers of raw materials,
Chemical Storage
Red Flag
2043
Compliance
Assessment
On-Site EHS
On-Site Review
2.14
Does the vegetation on site appear to be normal for the area and
the season (not yellow or dying due to unnatural causes)?
Waste Disposal
Yellow Flag
2044
Compliance
Assessment
On-Site EHS
On-Site Review
2.15
Are air emissions ordinary in appearance (for example, not

visibly dark or strong yellow color or with a strong odor)?
Waste Disposal
Red Flag
Under Evaluation
Under Evaluation
Open
Open
Open
Open
Open
Open
Open
Open
Open
Open
Open
supply chemicals or work in progress appear in good condition,

stored in contained areas & well managed?
Name of
Checklist
Section
No.
(1, 2, 3
etc)
Section Title

ID

2013
Compliance
Assessment
On-Site EHS
EO
0.1
a GE Sourcing team.
Other Environmental
2045
Compliance
Assessment
On-Site EHS
Water
2.16
Are waterways near to the site free of discoloration or debris (no

visible sheen, or discoloration next to the site's water discharge
points)?
Waste Disposal
2046
Compliance
Assessment
On-Site EHS
Emergency Prep
2.17
Does the site/operation have appropriate medical emergency

response equipment and suppliers?
2047
Compliance
Assessment
On-Site EHS
Emergency Prep
2.18
Is there an alarm system to notify employees of an emergency

situation in all work areas?
2048
Compliance
Assessment
On-Site EHS
Emergency Prep
2.19
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.
2049
Compliance
Assessment
On-Site EHS
Working Conditions
2.20
If the facility has a canteen or a cafeteria, is the area clean and

is food prepared, stored and served in a sanitary manner?
2050
Compliance
Assessment
On-Site EHS
Working Conditions
2.22
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?
2051
Compliance
Assessment
On-Site EHS
Working Conditions
2.23
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.
Is this a Red Flag,

Question?
Points
Awarded for a
Compliant
Answer
Yellow Flag
Emergency Alarms
Red Flag
The number and type or class of fire extinguishers in

Fire Protection
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
Safe steps in food handling, cooking, and storage are
Working Conditions
essential to prevent foodborne illness.
Red Flag
Red Flag
Red Flag
Red Flag
PPE
Many hazards are created by moving machine parts.

Machine Guarding
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:
Remark
s
Status
Red Flag
Most countries have safety supply vendors that will

Other Safety
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.
Y / N / NA /
Under
Evaluation
Under Evaluation
Under Evaluation
Open
Open
Open
Open
Open
Open
Open
Name of
Checklist
Section
No.
(1, 2, 3
etc)
Section Title

ID

2013
Compliance
Assessment
On-Site EHS
EO
0.1
a GE Sourcing team.
2052
Compliance
Assessment
On-Site EHS
Working Conditions
2.24
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.
2053
Compliance
Assessment
On-Site EHS
Occupational Health
2.25
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)?
2054
Compliance
Assessment
On-Site EHS
Occupational Health
2.26
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).
2055
Compliance
Assessment
On-Site EHS
Working Conditions
2.27
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).
2056
Compliance
Assessment
On-Site EHS
Working Conditions
2.28
If lifting devices (cranes, forklifts, chains and slings) are used on Most countries require that lifting devices be inspected
site, is the weight rating readily visible and are maintenance
on an annual basis. The supplier should be able to
records of the lifting device up to date and in writing.
provide documentation of the weight rating of the
device, along with the inspection records.
2057
Compliance
Assessment
On-Site EHS
Occupational Health
2.29
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
2058
Compliance
Assessment
On-Site EHS
Occupational Health
2.30
Are material safety data sheets (MSDSs) for all chemicals used
on site available to employees for their use?
2059
Compliance
Assessment
On-Site EHS
Occupational Health
2.31
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?
Is this a Red Flag,

Question?
Other Environmental
PPE
Points
Awarded for a
Compliant
Answer
Y / N / NA /
Under
Evaluation
Remark
s
Status
Red Flag
Areas which are very noisy should be identified with

PPE
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.
Yellow Flag

PPE
evaluated by an industrial hygiene expert. If the
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.
Red Flag
Electrical Safety
Red Flag
Other Safety
Red Flag
Identify if any GE restricted chemicals (see below

Other Environmental
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
Verify that MSDSs are obtained for chemicals stored and Other Environmental
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.
Yellow Flag
Yellow Flag
All containers should be in good condition, stored in an Chemical Storage

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.
Red Flag
Under Evaluation
Under Evaluation
Open
Open
Open
Open
Open
Open
Open
Open
Name of
Checklist
Section
No.
(1, 2, 3
etc)
Section Title

ID
2013
Compliance
Assessment
On-Site EHS
EO
0.1
2060
Compliance
Assessment
On-Site EHS
Waste
2.32
2061
Compliance
Assessment
On-Site EHS
EHS
2.34
2062
Compliance
Assessment
On-Site EHS
Housing Facilities
Review
3.1
2063
Compliance
Assessment
On-Site EHS
Housing Facilities
Review
2064
Compliance
Assessment
On-Site EHS
2065
Compliance
Assessment
On-Site EHS

a GE Sourcing team.
Is this a Red Flag,

Question?
Other Environmental
Points
Awarded for a
Compliant
Answer
Remark
s
Status
Do all waste drums and other waste storage containers appear in To be in good condition, waste drums should have no
Waste Disposal
good condition, stored in contained areas & well managed?
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
This question is intended as a "catch all" if you have a EHS
manufacturing area appear to be maintained and utilized with
concern/observation that has not already been captured
safety devices, safeguards, and proper work practices, methods, in this checklist. ??A tour of the facility should be
processes, that are reasonably adequate to make the workplace conducted to identify work place hazards. ?You should
safe? If you have not already created a finding for your
tour the entire work area including offices, warehouses,
observation, select "no" and write a detailed finding
storage rooms, etc. Pay particular attention to items
description. ?
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. ?
Are employees allowed to live outside company provided
Dormitory Living Conditions
housing?
Red Flag
Yellow Flag
Red Flag
3.2
Can employees freely enter or leave the housing at all times of

the day or night?
Red Flag
Housing Facilities
Review
3.3
Is the housing clean, especially in the common areas such as

hallways, toilets and bathing facilities?
Red Flag
Housing Facilities
Review
3.4
Is there an alarm system to notify employees of an emergency

situation?
Dormitory Emergency Alarms
Red Flag
2066
Compliance
Assessment
On-Site EHS
Housing Facilities
Review
3.5
Are there fire extinguishers in the facilities?
Dormitory Fire Prevention
Red Flag
2067
Compliance
Assessment
On-Site EHS
Housing Facilities
Review
3.6
Are there at least 2 routes of exit from every floor?
Red Flag
2068
Compliance
Assessment
On-Site EHS
Housing Facilities
Review
3.7
Are all stairwells and emergency exits unobstructed and

unlocked so that employees can freely exit the building in an
emergency?
Red Flag
2069
Compliance
Assessment
On-Site EHS
Housing Facilities
Review
3.8
Is there working emergency lighting? (ask the owner to test the

system in your presence)
Red Flag
2070
Compliance
Assessment
On-Site EHS
Housing Facilities
Review
3.9
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).
Dormitory Electrical Safety
Red Flag
2071
Compliance
Assessment
On-Site EHS
Housing Facilities
Review
3.10
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?
Red Flag
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.
Y / N / NA /
Under
Evaluation
Under Evaluation
Under Evaluation
Open
Open
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
Name of
Checklist
Section
No.
(1, 2, 3
etc)
Section Title

ID

Is this a Red Flag,

Question?
Points
Awarded for a
Compliant
Answer
2013
Compliance
Assessment
On-Site EHS
EO
0.1
a GE Sourcing team.
Other Environmental
2072
Compliance
Assessment
On-Site EHS
Housing Facilities
Review
3.11
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).
Red Flag
2073
Compliance
Assessment
On-Site EHS
Housing Facilities
Review
3.12
Is water provided for toilets and bathing in the building?
Red Flag
2074
Compliance
Assessment
On-Site EHS
Housing Facilities
Review
3.13
If the climate is cold in winter, is the building heated in the

winter months?
Red Flag
2075
Compliance
Assessment
On-Site EHS
Housing Facilities
Review
3.14
Is the building adequately lit when occupied, both inside and

out?
Red Flag
2076
Compliance
Assessment
On-Site EHS
Housing Facilities
Review
3.15
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.
Red Flag
2077
Compliance
Assessment
On-Site EHS
Housing Facilities
Review
3.16
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.
Yellow Flag
2078
Compliance
Assessment
On-Site EHS
Labor-Wage and Hour
4.1
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.
Age
Red Flag
2079
Compliance
Assessment
On-Site EHS
Labor-Wage and Hour
4.2
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.
Wages
Red Flag
2080
Compliance
Assessment
On-Site EHS
Labor-Wage and Hour
4.3
Working Hours
Red Flag
2081
Compliance
Assessment
On-Site EHS
Labor-Wage and Hour
4.4
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
Did all ofdet
the employment records you reviewed show payment
Wages
Red Flag
2082
Compliance
Assessment
On-Site EHS
Labor-Wage and Hour
4.5
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 all
provide
Did
of the employment records you reviewed confirm that
Red Flag
2083
Compliance
Assessment
On-Site EHS
Labor-Wage and Hour
4.6
Based on Chinese law, there are some legitimate

Wages
there are no excessive deductions from wages? If any of the
deductions that can be made: (1) individual tax and
employment records you reviewed showed excessive deductions social insurance, (2) deductions to cover economic
losses caused by the employeeup to 20% of the
from wages please answer "No" and provide details.
monthly salary provided that in no event can the pay
drop below the minimum wage, (3) leaves such as unpaid 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
Involuntary Labor
paid on a current basis or paid not more than one payroll cycle in
arrears?
Red Flag
2084
Compliance
Assessment
On-Site EHS
Labor-Wage and Hour
4.7
Are employees allowed to retain their employment and other

relevant documents (e.g.. ID card, etc.) after initial review by the
supplier?
Involuntary Labor
Yellow Flag
2085
Compliance
Assessment
On-Site EHS
Labor-Wage and Hour
4.8
Did The Amount Paid To Each Employee As Per Payroll Records

Match The Cash/Bank Records For The Money Transfer?
Wages
Red Flag
2086
Compliance
Assessment
On-Site EHS
Labor-Wage and Hour
4.9
Did The Working Hours Declared In The Payroll Records Match

The Timesheet For The Workshop?
Wages
Red Flag
2087
Compliance
Assessment
On-Site EHS
Labor-Wage and Hour
4.10
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.
Wages
Red Flag
Identify vocational students, if any, that work on GE

products.
This can be verified by employee interviews.
Y / N / NA /
Under
Evaluation
Remark
s
Status
Under Evaluation
Under Evaluation
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
NA
Open
Open
Open
Open
Open
Open
Open
Open
Open
Open
Name of
Checklist
Section
No.
(1, 2, 3
etc)
Section Title

ID

2013
Compliance
Assessment
On-Site EHS
EO
0.1
a GE Sourcing team.
2088
Compliance
Assessment
On-Site EHS
Labor-Wage and Hour
4.12
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.
2089
Compliance
Assessment
On-Site EHS
Security Mgmt
Systems
5.32
Are container-load shipments to GE properly protected?
2090
Compliance
Assessment
On-Site EHS
Security Mgmt
Systems
5.34
2091
Compliance
Assessment
On-Site EHS
Security Mgmt
Systems
2092
Compliance
Assessment
On-Site EHS
2093
Compliance
Assessment
On-Site EHS
Is this a Red Flag,

Question?
Other Environmental
Wages
Points
Awarded for a
Compliant
Answer
Y / N / NA /
Under
Evaluation
Remark
s
Status
Red Flag
RED FLAG question! ?Issue must be resolved to

Security
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
Red Flag
Are less-than-container load shipments adequately protected?
Illustrative measures: 1. Shrink wrap of outgoing

Security
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.
Security
5.36
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
Security
Security
Security Mgmt
Systems
5.37
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
Security
Security
Security Mgmt
Systems
5.41
Does the company conduct employment screening of employees, Illustrative measures:1. criminal history check, 2.
including application verifications and background checking to
previous employment verification, 3. alcohol/drug
the extent permitted by law?
screening, 4. reference checks.
Security
Security
2094
Compliance
Assessment
On-Site EHS
Security Mgmt
Systems
5.43
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
2095
Compliance
Assessment
On-Site EHS
Security Mgmt
Systems
5.46
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?

Security
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).
Security
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.
Red Flag
2096
Compliance
Assessment
On-Site EHS
Security Mgmt
Systems
5.47
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.
Security
Security
2097
Compliance
Assessment
On-Site EHS
Security Mgmt
Systems
5.48
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 Security

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.
Security
2098
Compliance
Assessment
On-Site EHS
Security Mgmt
Systems
5.49
Does the company have a program for education of employees Evidence MUST include- training logs and schedule
Security
in security awareness (PROCESS MUST BE DOCUMNETED) that
including the Course Name, Employee Names and Date
includes the recognition of internal conspiracies, maintenance of of Training.
cargo integrity, and addressing unauthorized access?
Security
Under Evaluation
Under Evaluation
Open
Open
Open
Open
Open
Open
Open
Open
Open
Open
Open
10
Name of
Checklist
Section
No.
(1, 2, 3
etc)
Section Title

ID

Is this a Red Flag,

Question?
Other Environmental
Points
Awarded for a
Compliant
Answer
2013
Compliance
Assessment
On-Site EHS
EO
0.1
a GE Sourcing team.
2099
Compliance
Assessment
On-Site EHS
Security Mgmt
Systems
5.5
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 Security

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.
Security
2100
Compliance
Assessment
On-Site EHS
Security Mgmt
Systems
5.51
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

Security
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.
Security
2101
Compliance
Assessment
On-Site EHS
KPI Survey
6.1
Red Flag
Please click the link provided in the guide notes to complete the http://gensuite.ge.com/ge/sourcing/survey/main.cfm?
KPI Survey for the supplier. Once the KPI Survey has been
FormID=5045
completed, mark this question as "Compliant."
EHS
Y / N / NA /
Under
Evaluation
Remark
s
Status
Under Evaluation
Under Evaluation
Open
Open
Open
Supplier
Supplier Name
Questions
Environmental Management
1
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?
Labor and Employment

5
Does the site have a process
for staying in compliance
with local labor and
employment law
? requirements
Health and Safety

6
Is there a person
professionally trained in
health and safety employed
at or supporting the
?company/facility
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
10
Has an Occupational Health

or Industrial Hygiene
(IH/OH) assessment been
performed at the site in the
?last 2-3 years
11
Are corrective actions

identified by the
Environmental, H&S or
IH/OH audits and
assessments tracked to
?closure
12
Can the site demonstrate

that it is in compliance with
?a training plan
13

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

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
Does the company have an

official who is responsible
?for security
15
Does the company maintain

written Supply Chain
?Security procedures
16
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
17
Does the company have

procedures for notifying the
appropriate personnel if
unsafe or suspicious
?activities are detected
18
Are there controls to prevent

the introduction of
unmanifested materials into
?shipments of goods to GE
19
Does the company have a

process to assess their
supply chain security risks
and implement corrective
actions when security gaps
?are found
Energy and Water

20 Does the supplier track
energy usage, and have an
?energy reduction plan
21
Does the supplier track

water usage, and have a
?water reduction goal
Chemicals & Waste
22
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
23
Waste Management Control
Permits
24 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
25
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
Was the site able to show

you copies of all current EHS
permits and related
correspondence with the
?authorities
27
Have all wastewater and air

emissions sources been
?identified and documented
Supplier KPI Survey for SRG A

Guide notes
gement
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.
Score
56.67
100
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).
50
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.
20
Environmental Management score
nt
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
Labor and Employment score
170
100
100
100
83.33
The facility should have one person responsible for, and expert in, 100
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
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
80
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)
80
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
80
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)
50
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, weatherrelated 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
80
100
80
100
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
Health and Safety Score
750
81.67
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 parttime 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
100
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
100
80
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
80
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
80
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
Security score
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
Energy & Water score
50
490
75
100
50
150
100
Awareness of chemicals, their hazards, and expected Risk

Management Measures at the workplace should be in place. This
:is best achieved by
Keeping an inventory of all chemical substances (by virtue of.( 1
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)
Having a functioning Chemical Approval Process (a form of( 2
MOC) where changes driven by functions like Facilities,
Engineering, Product Design, Other are reviewed and approved
.(or denied) prior to use on site
100
Ensure Process in place to control waste management(collecting,

treatment, disposal, recycle) not exclusive for the
supplier/manufacturer alone
100
Chemicals & Waste score
200
75
50
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
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
Permits score
Final score of supplier
100
50
300
81.67
upplier KPI Survey for SRG Audit

Score 100
Score 80
Score 50
A fully trained individual,

Person is identified and
with an external
fully trained, but not
certification from a credible externally certified
institution, is assigned as
environmental leader.
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

that a certified or
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)

Compliant labor and( 1)
Implementation of HR
employment policies have
Management System
been developed (2) an HR
(developed HR
Organization has been
rules/handbook proper
effectively developed at
employee documentation the worksite and (3)
HR orientation and labor
Previous labor findings at
communication etc.) and
the site have been
(5) HR staff conducts timely resolved through systemic
(e.g. quarterly) labor
corrective/preventive
compliance selfactions
assessment for the
Compliant labor and( 1)

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

fully trained, with external fully trained, but not
certification from a credible externally certified
institution

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

procedures, identified its procedures, identified its
high risk processes plus
high risk processes plus
(1) Facility has identified (1) Facility has identified
protective measures for all protective measures for all
employees (2) facility has employees (2) Facility has
performed JSAs (or
started to introduce JSAs
equivalent) on all high-risk or similar tools
equipment and processes
Facility has a wellFacility has a wellstructured strategy to

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

that a certified or
conducted a
comprehensive H&S
2 years, and that a process
to track and close findings
is in place

that a certified or
conducted a
comprehensive H&S
3 years, and that a
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 overexposure is identified plus:
evidence of a robust
employee protection
program, including
monitoring, training and
periodic external reviews

strong evidence of a
monitoring program with
follow-on actions if overexposure is identified

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 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
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
select employees, 100%
can explain the process
and how they input into the
updated training
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

with strong evidence that with strong evidence that
all findings are captured in all findings are captured in
the system and closed in the system and closed in
a timely manner for 2 of a timely manner for 1 of
the following categories: the following categories:
IH/OH
IH/OH
Site has evidence of
training plan

process to update
process to update
changes are made, and is changes are made, and is
able to provide
able to provide
documentation of updated documentation of updated
change plus: based on
change
select employees, at least
50% are knowledgeable
on the process
The facility has developed The facility has developed
an emergency response
an emergency response
plan that addresses most plan that addresses the
of the potential
basic potential
emergencies (fire, spill,
emergencies (fire, spill,
release, weather-related release) that may occur
emergencies) that may
on site or impact the
occur on site or impact
facility. The employees
the facility. The
are able to communicate
employees are able to
their responsibilities
communicate their
during potential
responsibilities during
occurrences. The facility
potential occurrences. The has conducted a drill of
facility has conducted a
most aspects of the plan,
drill of most aspects of the including evacuation,
plan, including
.within the last 12 months
evacuation, within the last
.12 months

fully trained and has
fully trained but not
received external
externally certified
certification from a credible
institution

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 Most (>80%) Security

in place and documented, procedures are in place,
but they have not been
but are missing one or
reviewed within the last
more sections listed in
12 months and/or no
. guide notes
training records exist
Records support that

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

based on job description,
with up to 75% of
refresher training up to
date

with up to 50% of
refresher training up to
date
Business has a
Business has an
Business has a process for
documented process for
undocumented process for reporting suspicious
reporting suspicious
reporting suspicious
activities and it is
activities that includes an activities that includes an communicated to
established reporting chain, established reporting
employees, but not to
including notifying GE if
chain, including notifying third parties (vendors,
any potential security issue GE if any potential
suppliers)
or breach involves GE
security issue or breach
shipments, time limits for involves GE shipments,
making reports (no more
time limits for making
than 24 hours) and
reports (no more than 24
reporting requirements
hours) and reporting
applicable to any subrequirements applicable to
contractors that handle
any sub-contractors that
freight procedures are well- handle freight
documented and current
All 6 illustrative measures
are in place and there is
evidence that they are
periodically tested
All 6 illustrative measures At least 4 of the

are in place
illustrative measures are
in place
There is evidence that a

third party conducted a
comprehensive security
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
2 years, and copy of the
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
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 Supplier/site tracks energy

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

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

that a certified or
conducted a waste
management audit within
the last 2 years, and that a
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

that a certified or
conducted a waste
management audit within
the last 3 years, and that
a process to track and
close findings is in place
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
Score 20
Score 0
Person has been assigned, Nobody identified as

but no special training
responsible
Site reports it has an

informal process for
changes to be reviewed
by EHS
No Management of
Change (MOC) process

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

responsible

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

Facility has not
mechanisms to
communicated facility
communicate risks (based risks to the employees
on a representative
sampling of the
employees, some (1050%) of the employees
sampled are
risks)

No evidence that an audit
conducted an internal H&S of any kind was conducted
audit within the last 2
years

conducted an external
2 years and there is some
evidence of protective
measures, but site cannot
provide documentation
No evidence that an
industrial hygiene or
occupational health
assessment has been
conducted
Site has a rudimentary

Site cannot show
system for tracking
documentation that
finding closure, but unable findings are closed
to confirm that it is
systemic
No evidence of a training
plan and/or no evidence
that employees were
trained
Facility reports it has a

process that updates
changes are made, but
unable to provide
documentation of training
No evidence that the

facility has a documented
process that updates
process changes
The facility has a response No evidence that the

plan that only addresses facility has developed a
very basic potential
written program to
emergencies (fire) that
address emergency
may occur on site. The
preparedness. No drill are
employees are not fully
conducted, Employees are
aware of their
unaware of what to do in
responsibilities during
the event of an
. potential occurrences
.emergency

responsible
Some (10-50%) security

procedures are in place
but are missing one or
more sections listed in
guide notes
No security procedures
Employees are trained

but records are not kept
and refresher training is
not provided
No evidence that security

awareness training is
given
Some evidence of
expectations for reporting
suspicious activities is
found, but no formal
process is in place
No evidence that business

has a process for reporting
suspicious activities or
supply chain security
breaches
At least 2 of the
illustrative measures are
in place
No evidence that controls

are in place to prevent the
introduction of
unmanifested items into
shipments of goods to GE

No evidence that an
conducted an internal or audit/risk assessment of
third party audit within the any kind was conducted
last 2 years, but unable to
provide copy of report and
closure documentation
Supplier/site tracks energy No evidence of energy

use and costs can be
costs tracked nor usage
verified
information being logged;
no reduction plan
Supplier/site tracks water No evidence of water

use and the site's costs
costs tracked nor usage
can be verified
information being logged;
no reduction plan
Site(s) maintains a partial

inventory of its raw
materials and chemicals
used on site (including
any in process and
manufacturing,
maintenance and
cleaning crews), and has
MSDS sheets for some
chemicals
Although it was observed

that chemicals are used,
site(s) has no evidence
that an inventory or MSDS
sheets exists of any of its
chemicals and raw
materials used on site
(including any in process
and manufacturing,
maintenance and
cleaning crews)
Site reports an internal

No Waste Management
audit was performed of its process in place
waste management
process is but unable to
provide evidence
Site has no documentation

naming a person
responsible for tracking
regulatory developments,
and updates that may
impact EHS compliance at
the site
Site reports it has permits,

but cannot provide a list
or inventory of them or
their requirements
Site does not have an

organized file containing
permits and all associated
correspondence with
authorities
No evidence that site has

identified and
documented all its
wastewater and air
emissions sources
List of documents to be kept ready for SRG Audit

QN.
ID
1.2
1.2
1.2
1.2
1.3
1.3
1.3
1.3
1.3
1.4
1.5
1.8
1.10
1.10
1.10
1.10
1.10
1.10
1.10
1.10
1.10
1.11
1.12
1.13
2.29
2.30
4.1
4.2
4.3
4.5
4.4
4.1
4.2
4.3
Document Required for Review

Factory License
Pollution control board Clearance - Air
Pollution control board Clearance - Water
Pollution Control Board - Hazardous Waste.
License for fill and possession of gas cylinder.
License for storage of petroleum products.
Registration certificate for Boilers and Certificate validity.
Safety Certificate for static and mobile pressure vessels
License for manufacturing, storage and use of explosive.
Fire Deptartment NOC
First Aid Register/ Accident Log Book/ ESI register
Emergency Mock Drill Critique
Fire Alarm Maintenance Register.
Register for official Visit - State Pollution Control Board.
Register for official visit - Central Pollution Control Board.
Register for official visit - Factories Inspectorate
Register for official visit - boiler Directorate
Register for official visit - Controller of explosives.
Register for official visit - State department of fire
Register for official visit - State department of Electricity
Register for official visit - Municipality or local body.
Register for official visit - Judicary
Written statement or policy protecting your employees from
harassment
Written statement or policy protecting your employees from
discrimination
Objective process for handling employee complaints that is outside the
direct supervisory chain
Risk Assesment
Procedure to address the indentified risks.
Training records.
Management of change.
List of licences & permit (Ex. Factory Lic, PCB consent etc.)
List of permits and discharges ( Ex. Test certificate of Boilers, lifting
devices, stack monitoring etc.)
Master List of Chemicals
Material Safety Data Sheet
Personal File of direct Employees for Age Proof vweification.
Attendance register - Direct Employees Workers
Overtime Register - Direct Employees Workers
Payment register - Direct Employees Workers
Overtime payment register - Direct Employees Workers
Personal File of contract employees for Age Proof verification.
Attendance register - Contract Workers
Overtime Register - Contract Workers
4.4
4.5
5.42
5.43
Overtime payment register - Contract Workers

Payment register - Contract Workers
HR Procedure for employee screening.
Security Procedures for men and material handling.
ady for SRG Audit

Supplier
Response
Status
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
SRG Audit India Guide for SQE's

1.
Question
Is there any trained person
holding safety and/or
environmental qualifications
employed at, or supporting,
the company / facility?
Yes or No
If yes, provide name, phone
number, and other contact
details
2.
Does your company hold all

the necessary environmental
permits required to conduct
operations (current and
proposed) at the facility?
Guidance to Reviewers
Compliance Evidence :
Reviewer needs to check duties,
qualifications and conditions of service of
such persons. Note: The statute holds for
factories employing more than 1000 and
500 people respectively, or for specifically
prescribed Maximum Accident Hazard
factories. The regulations require only
qualified Safety and Welfare Officers. A
qualified environmental officer is not
mandatory so far.
Compliance Evidence:
Consent to Operate for air and wastewater
discharge issued by State Pollution Control
Board (along with discharge and operational
conditions specified in the Consent). (This
depends on the nature of the process. If the
facility does not have any sources of air
emissions, then it need not have consent
from air act, in the similar fashion if the
facility does not produce trade effluents and
generates only domestic sewage and no of
employees less than 10, then there is no
need to require permission from water act,,
It needs to be assessed based on the nature
of the industry.)
Question
Yes or No
Reviewer needs to obtain
copies of all permits.
If no, please list any missing
permits.
No Objection Certificate (NOC) from the

State Pollution Control Board to set up the
industry.
Environmental Clearance (if applicable)
Notification of Site (if applicable)
Question
Authorization issued by the State Pollution
Control Board as per Form 2 of the
Hazardous Waste (Management and
Handling) Rules, 2000 (if applicable)
- In absence of other hazardous wastes if
Waste oil is the only source of hazardous
waste then it not required to take consent
from PCB, as long as the quantity of waste
oil generated does not exceed more than
1000 liters / annum
3.
Has your company had any

fatalities in the past 5 years? If
Yes, please describe the
fatality and its followup,
including actions taken by the
company and any enforcement
action by the government.
Reviewer needs to check:

The reporting records and correspondence
with the appropriate agency in the event of
an incident/ accident/casualty.
Site Visit Reports of representatives of the
State Pollution Control Board, Factory
Inspectorate and Directorate of Industrial
Safety & Health
If corrective action was performed as
required by the authorities
4.
Question
Has your company had any
serious injuries requiring
hospitalization in the past 5
years? If Yes, please describe
the serious injury and its
followup, including actions
taken by the company and ay
enforcement action by the
government.
Same as Item 3.
5.
Is your company located next

to any schools, nursing homes,
daycare centers, residences,
etc.? If yes, please describe
neighbors, including distance
from the facility.
6.
Has there been an

Reviewer should check:
investigation of, or remediation Incident history of environmental spills,
of, soil or water contamination releases and other accidents that might
at your facility? (Include
have taken place at the site;
investigations by a
Look for degraded and dead vegetation in
government authority or other and around the plant premises;
parties such as potential
Correspondence that has taken place in
investors.) If yes, please
this regard with a regulatory body.
describe the investigation or
remediation and any followup,
company and enforcement
action by the government.
7.
Question
Do you conduct fire drills? If
yes, when was the last one
conducted?
8.
Do you test the emergency

alarm systems? If yes, when
was the last test of the
emergency alarm system?
9.
Has your company been fined

or received a violation notice
by a government agency in the
last 5 years? If yes, describe
the fine or notice of violation
and its resolution.
Reviewer should check Register showing
details of the practices and any reported
defects in the fire fighting response and/or
infrastructure.
Also check whether proper corrective action
has been taken on the faulty installations.
Reviewer needs to review:

* Any correspondence with State Pollution
Control Board, Factory Inspectorate, Labor
Department and Directorate of Industrial
Safety & Health relating to a notice of
violation or fines; and
* Site Visit Reports of representatives of the
State Pollution Control Board, Factories
Inspectorate and Directorate of Industrial
Safety & Health.
* Reviewer needs to record any noncompliance observations in the above
documentation and review follow up
documentation, show cause or improvement
notices, documentation relating to the
penalty and check whether necessary
corrective action required by the authorities
has been undertaken
Question
10. Does your company hold all
Boiler registration and permissible operating
the necessary health and

boiler pressure. (if applicable)
safety related permits required
to conduct operations (current
and proposed) at the facility?
Yes or No
Reviewer needs to obtain
copies of all permits.
If no, please list any missing
permits.
License for gas cylinders (for possession, if

LPG> 100 kg;
Flammable but non-toxic gases > 125 kg or
cylinders exceeding 15 in number;
Non-flammable non-toxic gas cylinders
exceeding 50 in number;
Toxic gas - cylinders exceeding 5 in number.;
Acetylene gas - cylinders exceeding 15 in
number;)
(as applicable)
License for storing Petroleum (if storage
quantity
> 30 liters of Class A,
> 2500 liters of Class B and
> 45000 liters of Class C Petroleum)
(as applicable)
Certificate for Pressure Vessels (if applicable)
Question
Public Liability Insurance policy (if
applicable)
Explosives License (applicable only if facility

is involved in the manufacture, possession
or use of explosives).
Question
11. 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. Auditor
should obtain copies of all
authorizations. If no, please
list any missing or incomplete
authorizations.
12. Do the employees look to be
above the minimum local legal

age limit?
Reviewer should obtain proof of
authorization.
Reviewer should request either a

representative sample of personnel records
or personnel records for several employees
who appear to be among the youngest and
attempt to determine present age and age
at the time of hiring.
Non-adult workers should have Certificate of
Fitness by a certifying surgeon and the
Register of Child workers. Reviewer should
also find out whether non-adults / young
persons are working close to dangerous
machines, prime movers or transmission
machinery.
Question
13. Do employees appear to be
Reviewer should be on the lookout for:
present voluntarily (e.g., there

- any workers wearing restraints
is not an unusual number of
- any vehicles carrying employees with
security guards present in and barred windows or other signs of restraints
around the facility)?
- any distinguishing clothing patterns
which suggests uniforms to identify
prisoners
Reviewer should also assure, through a
sampling of payroll records, that minimum
wages are paid and that employees receive
a regular paycheck.
14. Can employees freely exit the
facility when they are not

working (e.g., doors are not
locked to prevent employees
leaving before the end of the
shift)?
Reviewer should examine the exits and

pathways.
Reviewer should observe the manner in
which employees exit the facility at quitting
time to assess whether the exit process
appears to be supervised and controlled. If
the process seems to be constrained,
inquires should be made of who supervising
the process, where the employees are being
taken, and whether they may freely exit in
an unsupervised manner.
15. 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)?
a) all areas are good
b) most areas are good (note
areas needing improvement)
c) most areas need
improvement (note areas
needing improvement)
Reviewer needs to check if potential risks

related to housekeeping such as oily, messy,
wet floors, protruding nails, loose boards,
etc, exist on the site.. Reviewer also needs
to check general housekeeping and
cleanliness both at workplaces and nonworkplaces.
Question
16. Does the facility have good
lighting (for example, is it easy

to see across the facility or to
the nearest exit and workers
do not appear to be straining
to see their work).
a) all areas are well lit
b) most areas are well lit (note
c) most areas need
Reviewer needs to walk around the site and
observe workers operations and
workstations. In addition, comments from
workers about lighting will help to decide
whether lighting is adequate.
17. Does the facility have a visible
haze/chemical mist in the shop

work areas? (Check the indoor
air of the facility). If yes
please describe areas of
concern.
Reviewer should describe any areas of haze

or chemical mist. This may indicate that
numerical standards for chemical exposure
as prescribed in the Factories Act & Rules
are being exceeded. Ask whether the facility
has conducted any industrial hygiene
monitoring to demonstrate the exposure is
safe.
Same as 17.
18. Is the facility free from
objectionable odors in 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 personally
react very negatively to the
odor). If no, please describe
the odor, the area where it is
located and the source of the
odor.
Question
19. Are the work areas kept at a
Reviewer should check for :
reasonable temperature (e.g., Adequate ventilation arrangements

not uncomfortably hot or cold)? Practicable measures to protect workmen
a) all areas are comfortable
for high temperatures.
b) most areas are comfortable
(note areas needing
improvement)
c) most areas need
20. Do all exits (including
emergency lead to an area

outside of the building without
obstructions? (Look for locked
or blocked doors or enclosed
areas). If no describe
obstructed areas. (Take photos
if permitted).
21. The exits (including
emergency) are clearly

marked?
Reviewer needs to check the following :

if exits are blocked or even locked from in
and outside the exits. In addition, whether
the entire escape route including paths
inside buildings is kept clear of obstructions.
if appropriate labels / marks on escape
routes have been put up at the right places.
Reviewer may also talk to employees to find
out if they have been trained in the routine
of escaping a fire or emergency in a
workplace.
See Item 20
Question
22. 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? If
no describe (take photos if
permitted) any poor water
management practice you see,
such as dumping chemicals or
wash water directly on the
ground or into a waterway.
This question aims to prevent illegal
discharge of wastewater. Reviewer needs to
check discharge standards and additional
consent conditions to understand
requirements for discharge on site.
Reviewer needs to go to check all
wastewater discharge points and the
surrounding areas and find out if the
discharge causes visible water pollution to
the surrounding environment.. Reviewer can
also take note of the functioning of Effluent
Treatment Plant and whether it is well
maintained.
23. Are there waste materials,

Check all waste and scrap areas to see if
scrap metal or garbage stored they have secondary containment (bund

outside directly on the ground? walls), have proper flooring and have a roof..
If yes, describe (take photos if The reviewer needs to pay special attention
permitted) any poor waste
to classified hazardous wastes, such as
storage you see.
waste chemicals, used oil containers, oil or
chemical stained / soaked wastes, etc.
Question
24. Do all drums and other storage
containers appear to be in
good condition, stored in
contained areas and well
managed? If no, describe
(take photos if permitted) any
drums or other containers you
see that are in poor condition
or poorly managed.
Reviewer needs to inspect all chemical/oil
storage tanks and drum storage areas for
the presence of a impervious enclosure or
bund. Reviewer also needs to visually
inspect the condition of the bunding and the
presence of any unregulated outlets from
the bunded areas.
Reviewer needs to check drums and
container storage areas to find out if they
have been properly labeled and the required
emergency response information in case of
fire / spillage is clear to the responders.
See Item 6
25. Does the vegetation onsite
appear to be normal for the

area and the season? (not
yellow or dying due to
unnatural causes). If no
describe any affected
vegetation (take photos if
permitted).
26. Are air emissions ordinary in
Reviewer can take note of the functioning of
appearance (for example not air pollution control devices, their efficiency
visibly dark or strong yellow
(whether adequate for meeting standards)
color, no strong odor). If no,
and whether they are well maintained.
please describe what you saw
and the source of the emission.
If Yes, describe what you saw,
take photographs of stacks,
sources of fugitive emissions,
air pollution control equipment.
Question
27. Are waterways near to the site
free of discoloration or debris?

(no visible constriction of flow
sheen, or discoloration next to
the site's water discharge
points)
Yes or No
28.
If No, please describe what you

saw (take photos if permitted).
Is first aid related equipment
Reviewer to check:
available to employees in all
Presence of adequate number of first aid
work areas?
boxes.
1. All work areas are equipped If the boxes have a list of contents and an
2. Most areas are equipped
inspection schedule?
(note areas needing
Expiry dates on a sampling of the contents
improvement)
indicate that they are within the valid use
3. Most areas are not equipped period (e.g. the medicines have not expired)
(note areas needing
Reviewer to also check for presence and
improvement)
condition/operability and accessibility of:
Eye wash and safety shower stations in
areas where chemical splashes are possible
Appropriate breathing apparatus and gas
masks in areas where leaks/spills may
happen
Question
29. Is first aid related equipment
available to employees in all

work areas?
1. All work areas are equipped
2. Most areas are equipped
(note areas needing
improvement)
3. Most areas are not equipped
(note areas needing
improvement)
30.
Reviewer to check:
Presence of adequate number of first aid
boxes.
If the boxes have a list of contents and an
inspection schedule?
Expiry dates on a sampling of the contents
indicate that they are within the valid use
period (e.g. the medicines have not expired)
Reviewer to also check for presence and
condition/operability and accessibility of:
Eye wash and safety shower stations in
areas where chemical splashes are possible
Appropriate breathing apparatus and gas
masks in areas where leaks/spills may
happen
Is there an alarm system to
The law does not give detailed requirements
notify employees of an
on how to equip fire extinguishers. However,
emergency situation in all work the Fire Protection Manual issued by the
areas?
Tariff Advisory Committee can be referred to.
a) all areas are equipped
b) most areas are equipped
(note areas needing
improvement)
c) most areas are not equipped
(note areas needing
improvement)
Question
31. Do the work practices and
work equipment used in the

manufacturing process appear
to be safe?
This question asks the reviewer to highlight
any operation that gives him/her a concern
that it is unsafe.
Yes or No
If you observe any work
practices that appear to you to
be unsafe, please describe.
Also note down if notices
indicating maximum speed /
safety limits are displayed
appropriately.
32. Are employees using eye

Check if the employer has identified
protection in areas where there operations needing eye protection and

is a risk that chips or particles provide qualified eye protection to
may be flung from the
employees needing eye protection (e.g.,
machinery or they could be
welding and cutting operations)..
splashed with chemicals?
a) all employees are wearing
eye protection in eye risk areas
b) most employees in eye risk
areas are wearing eye
protection (note areas needing
improvement)
c) no or very few employees
are wearing eye protection in
eye risk areas (note areas
d) This supplier is solely an
office environment. There are
no manufacturing,
maintenance or laboratory
areas.
Question
33. Do machines appear to be
properly guarded so that

employees cannot reach into
machines with rotating or
moving parts, or under or into
devices that stamp, cut or
punch metal?
Reviewer needs to inspect if there is
potential danger (contact with fingers, hand
or any other part of human body) to any
employee in his workplace from any part of
a moving machine.
Rate Guarding
a.) All machines are equipped
b.) Most machines are
equipped (note areas needing
improvement)
c.) Most machines are not
equipped (note areas needing
improvement)
34. Are employees wearing shoes
appropriate for a
manufacturing environment?
(for example, sandals or bare
feet are not appropriate on a
factory floor.)
Rate Shoes
a.) All employees are wearing
closed shoes
b.) Most employees are
wearing closed shoes (note
c.) No or very few employees
are wearing closed shoes (note
Reviewer needs to check if appropriate

shoes are worn for related operations.
Safety shoes include insulation shoes, static
electronic resist shoes and corrosion proof
shoes.
35
Question
Is the background noise level
low enough that you can be
heard without shouting?
Rate Noise
36.
a.) There are no high noise

areas
b.) There are a few high noise
c.) areas (note noisy areas)
d.) Most of the plant is noisy
(note noisy areas)
In very noisy areas, are
employees wearing hearing
protection? (e.g. ear plugs or
ear covers).
Rate Noise
a.) All employees in noisy
areas are using hearing
protection
b.) Most employees in noisy
areas are using hearing
improvement)
c) No or very few employees
in noisy areas are using
hearing protection (note areas
Reviewer needs to :
identify noisy areas during site tour;
check monitoring records if available;
find out about engineering controls that
are designed to reduce noise levels
(enclosures, absorbers, anti-vibration
padding on machinery, etc.) ;
Check that no operator is exposed to noise
level greater than 140 dB(A) under any
circumstances.
Reviewer needs to check :
check whether signs have been put up at
areas where hearing protection is required;
if hearing protection aids (earplugs, ear
mufflers) have been provided to workers in
these areas;
check whether workers appropriately use
hearing protection aids;
talk to the workers to find out if they have
been educated about the problem and have
been trained to wear the protection aids
properly.
Question
37. Are employees in high dust or Reviewer needs to:
vapor areas using breathing

protection? Note cotton
Identify high dust/vapor areas during site
surgical masks or scarves
tour; check air monitoring records for
wrapped around the face are
workplace environment if available and
usually not sufficient in these compare with thresholds specified.
areas).
Look for equipment like dust extractors or
a) All employees in high dust Local Exhaust Ventilation systems that may
or vapor areas are using
have been installed at such places and
breathing protection
whether they are functioning effectively.
b) most employees in high dust Check whether personal protection
or vapor aras are using
equipment (PPE) for breathing protection has
breathing protection (note
been provided to applicable operators if the
monitoring results indicate concentration of
c) no or very few areas in high hazardous materials are not in compliance
dust or vapor areas are using with national or local regulations, Also ask
breathing protection (note
related employees whether training or
directions are given on how to use required
PPEs correctly and effectively.
Check whether the exhaust for all internal
combustion engines is led to the outside
atmosphere by appropriate conduits.
Question
38. 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).
Reviewer needs to check wiring conditions to
ensure there are no frayed or damaged
wiring, open wire connections or extension
cords.
Rate Wiring
a.) All wiring is in good
condition
b.) Most wiring is in good
condition (note areas needing
improvement)
c.) Most wiring is in poor
condition (note areas needing
improvement)
39. If the facility has a canteen or
cafeteria, is the area clean and

is food prepared, stored and
served in a sanitary manner?
Reviewer needs to carry out a visual

inspection and find out if the canteen
kitchens and the drinking water area are
clean and hygienic.
dia Guide for SQE's

India Regulatory Citation
Factories Act, 1948 (as amended in 1987)
Section 40B, Subsection 1 and 2: Safety Officers
(1) In every factory,
(i) wherein one thousand or more workers are ordinarily employed, or
(ii) wherein, in the opinion of the State Government, any
manufacturing process or operation is carried on, which process or
operation involves any risk of bodily injury, poisoning or disease, or
any other hazard to health, to the persons employed in the factory,
the occupier shall, if so, required by the State Government by
notification in the Official Gazette, employ such number of Safety
Officers as may be specified in that notification.
(2) The State Government may prescribe the duties, qualifications
and conditions of service of officers employed under sub-section 1.
Section 49, Subsection 1 and 2: Welfare Officers
In every factory wherein five hundred or more workers are ordinarily
employed the occupier shall employ in the factory such number of
welfare officers as may be prescribed; and the State Government may
prescribe the duties, qualifications and conditions of service of
officers employed under sub-section 1
Water (Prevention and Control of Pollution Act), 1974
Section 25, Subsection 1 :
No person shall
(a) establish or take any steps to establish any industry, operation or
process, or any treatment and disposal system or an extension or
addition thereto, which is likely to discharge sewage or trade effluent
into a stream or well or sewer or on land (such discharge being
hereafter in this section referred to as discharge of sewage); or
(b) bring into use any new or altered outlets for the discharge of
sewage; or
(c) begin to make any new discharge of sewage;
Air (Prevention and Control of Pollution Act), 1981

Section 21 :
No person shall, without the previous consent of the State Board,
establish or operate any industrial plant in an air pollution control
area.
Under Section 25 of Water Act and Section 21 of Air Act (as discussed
earlier).
Environmental clearance under EIA Notification, 1994
Clause 1
the Central Government to impose restrictions and prohibitions on
the expansion and modernization of any activity or new projects being
undertaken in any part of India unless environmental clearance has
been accorded by the Central Government or the State Government
in accordance with the procedure specified in that notification was
published as S.O.No. 80(E) dated 28th January, 1993;
Manufacture, Storage and Import of Hazardous Chemicals
Rules, 2000
Rule 7 :Approval and Notification of sites.
(1) An occupier shall not undertake any industrial activity unless he
has submitted a written report to the concerned authority containing
the particulars specified in Schedule 7 at least 3 months before
commencing that activity or before such shorter time as the
concerned authority may agree and for the purpose of this paragraph
an activity in which subsequently there is or is liable to be a threshold
quantity or more of an additional hazardous chemical shall be
deemed to be a different activity and shall be notified accordingly.

Hazardous Waste (Management and Handling) Rules, 2000
Rule 5
Hazardous wastes shall be collected, treated, stored and disposed of
only in such facilities as may be authorized for this purpose.

Section 88: Notice of certain accident (1) Where in any factory an accident occurs which causes death, or
which causes any bodily injury by reason of which the person injured
is prevented from working for a period of forty-eight hours or more
immediately following the accident, or which is of such nature as may
be prescribed in this behalf, the manager of the factory shall send
notice thereof to such authorities, in such form and within such time,
as may be prescribed.
Manufacture, Storage and Import of Hazardous Chemicals Rules, 2000
Rule 5 : Notification of Major accident (1) Where a major accident occurs on a site or in a pipe line, the
occupier shall forthwith notify the concerned authority as identified in
Schedule 5 of that accident, and furnish thereafter to the concerned
authority a report relating to the accidents in installments, if
necessary, in Schedule 6.
(2) The concerned authority shall on receipt of the report in
accordance with sub-rule I of this rule shall undertake a full analysis
of the major accident and send the requisite information to the
Ministry of Environment and Forests through appropriate channel.

Same as Item 3.
No specific Indian Regulations regulate this at this time. The

siting of Major Accident Hazard (MAH) industries is regulated
at the initial permitting stage by the state government.

Section 24 : Prohibition on Use of Stream or Well for Disposal
of Polluting Matter, etc.
(1) Subject to the provisions of this section (a) no person shall knowingly cause or permit any poisonous, noxious
or polluting matter determined in accordance with such standards as
may be laid down by the State Board to enter (whether directly or
indirectly) into any 5[stream or well or sewer or on land]; or
Hazardous (Waste Management and Handling) Rules, 2000
Rule 16 : Liability of the occupier, transporter and operator of
a facility 1. The occupier, transporter and operator of a facility shall be liable
for damages caused to the environment resulting due to improper
handling and disposal of hazardous waste listed in schedule 1, 2 and
3;
2. The occupier and operator of a facility shall also be liable to
reinstate or restore damaged or destroyed elements of the
environment;
The occupier and operator of a facility shall be liable to pay a fine as
levied by the State Pollution Control Board with the approval of the
Central Pollution Control Board for any violation of the provisions

Section 38 : Precautions in case of fire (1) In every factory, all practicable measures shall be taken to prevent
outbreak of fire and its spread, both internally and externally, and to
provide and maintain(a) safe means of escape for all persons in the event of a fire, and
(b) the necessary equipment and facilities for extinguishing fire.
(2) Effective measures shall be taken to ensure that in every factory
all the workers are familiar with the means of escape in case of fire
and have been adequately trained in the routine to be following in
such cases
No specific India regulation at this time.
An occupier of an industry can be fined or penalized or closed and/or

held liable for regulatory non-compliance issues.
Related authorities that may implement fines or penalties to
enterprises :
State Pollution Control Board

Central Pollution Control Board
Factories Inspectorate
Boiler Directorate
Controller of Explosives
State Department of Fire
State Department of Electricity
Municipality or local bodies
Judiciary

The Indian Boilers Act, 1923 and Rules therein
In accordance with Sections 7 and 8 of the Act, inspectors are
requested to measure and examine boilers for registration, to
examine boilers for renewal certificates, to determine subject to the
approval of the Boiler Directorate, the pressure at which they may be
allowed to work, to grant certificate thereof and generally to convey
to the owners such orders as the Boiler Directorate may issue.
Gas Cylinder Rules, 1981
Sect 51 : License for filling and possession
No person shall fill any cylinder with compressed gas and no cylinders
filled with compressed gas shall be possessed by any one except
under and in accordance with the conditions of a license granted
under these rules.
The Petroleum Rules, 1976

Rule 116 : License for Storage
Save as provided in Sections 7, 8 and 9 of the Act, no person shall
store petroleum except under and in accordance with a license
granted under these rules.
Static and Mobile Pressure Vessels (Unfired) Rules, 1981
Rule 33 : Certificate of Safety
A certificate of safety in the pro-forma (prescribed by the Chief
Controller) and signed by a competent person shall be furnished to
the licensing authority before any vessel is used for the storage of
any compressed gas or whenever any addition or alteration to the
installations or foundations for the vessel is carried out.

Public Liability Insurance Act, 1991
Section 4 : Duty of owner to take out insurance policies
(1) Every owner shall take out, before he starts handling any
hazardous substance, one or more insurance policies providing for
contracts of insurance thereby he is insured against liability to give
relief under sub-section (1) of section 3;
Provided that any owner handling any hazardous substance
immediately before the commencement of this Act shall take out such
insurance policy or policies as soon as may be and in any case within
a period of one year from such commencement.
(2) Every owner shall get the insurance policy, referred to in
subsection (1), renewed from time to time before the expiry of the
period of validity thereof so that the insurance policies may remain in
force throughout the period during which such handling is continued.
(2A) No insurance policy taken out by an owner shall be for a amount
less than the amount of the paid-up capital of the under taking
handling any hazardous substance and owned or controlled by that
owner and more than the amount, not exceeding Fifty Crore rupees
(INR 500 Million), as may be prescribed.
"Paid-up capital" in this sub-section means, in the case of an owner
not being a company, the market value of all assets and stocks of the
undertaking on the date of contracts of insurance.
As per the Environment Protection Act, 1986, hazardous
Explosives Rules, 1983
Section 87 :License for Manufacture No person shall manufacture any explosive at any place except in a
factory or premises licensed under these rules.
Section 113 : License for possession, sale and use No person shall possess, sell or use an explosive except under license
granted under these rules.

In accordance with Tariff Advisory Committee Fire Protection
Manual

Section 67 : Prohibition of employment of young children
No child who has not completed his fourteenth year shall be required
or allowed to work in any factory.
Section 69 : Certificate of fitness
A certifying surgeon shall, on the application of any young person or
his parent or guardian accompanied by a document signed by the
manager of a factory that such person will be employed therein if
certified to be fit for work in a factory, or on the application of the
manager of the factory, in which any young person wishes to work,
examine such person and ascertain his fitness for work in a factory.
Section 23, Subsection 1 : Employment of young persons on
dangerous machines:
(1) No young person shall be required or allowed to work at any
machine to which this section applies, unless he has been fully
instructed as to the dangers arising in connection with the machine
and the precautions to be observed, and(a) has received sufficient training in work at the machine, or
is under adequate supervision by a person who has a thorough
knowledge and experience of the machine.

Section 63 : Hours of work to correspond with notice under
section 61 and register under section 62 No adult worker shall be required or allowed to work in any factory
otherwise than in accordance with the notice of periods of work for
adults displayed in the factory and the entries made beforehand
against his name in the register of adult workers of the factory.
No specific India regulation at this time.

Section 11, Subsection 1
(1) Every factory shall be kept clean and free from effluvia arising
from any drain, privy or other nuisance, and in particular(a) accumulation of dirt and refuse shall be removed daily by
sweeping or by any other effective method from the floors and
benches of workrooms and from staircases and passages, and
disposed of in a suitable manner;
(b) the floor of every workroom shall be cleaned at least once in every
week by washing, using disinfectant, where necessary, or by any
other effective method;
Where a floor is liable to become wet in the course of any
manufacturing process to such extent as is capable of being
drained, effective means of drainage shall be provided and
maintained;

Section 17, Subsection 1, 2 and 3 : Lighting (1) In every part of a factory where workers are working or passing,
there shall be provided and maintained sufficient and suitable
lighting, natural or artificial, or both.
(2) In every factory all glazed windows and skylights used for the
lighting of the workroom shall be kept clean on both the inner and
outer surfaces and, so far as compliance with the provisions of any
rules made under sub-section (3) of section 13 will allow, free from
obstruction.
(3) In every factory effective provision shall, so far as is practicable,
be made for the prevention of(a) glare, either directly from a source of light or by reflection from a
smooth or polished surface;
(b) the formation of shadows to such an extent as to cause eye-strain
or the risk of accident to any worker.
Section 41 F : Permissible limits of exposure of chemical and
toxic substances
The maximum permissible threshold limits of exposure of chemical
and toxic substances in manufacturing processes (whether hazardous
or otherwise) in any factory shall be of the value indicated in the
Second Schedule.
Same as 17.

Section 13, Subsection 1 : Ventilation and temperature
(1) Effect and suitable provisions shall be made in every factory for
securing and maintaining in every workroom(a) adequate ventilation by the circulation of fresh air, and
(b) such a temperature as will secure to workers therein reasonable
conditions of comfort and prevent injury to health; and in particular,
(i) walls and roofs shall be of such material and so designed that such
temperature shall not be exceeded but kept as low as practicable;
(ii) where the nature of the work carried on in the factories involves,
or is likely to involve, the production of excessively high temperature,
such adequate measures as are practicable shall be taken to protect
the workers therefrom, by separating the process, which produces
such temperature from the workroom, by insulating the hot parts or
by other effective means.
Section 38, Subsection 1 and 2 : Precautions in case of fire (1) In every factory, all practicable measures shall be taken to prevent
outbreak of fire and its spread, both internally and externally, and to
provide and maintain(a) safe means of escape for all persons in the event of a fire, and
(b) the necessary equipment and facilities for extinguishing fire.
(2) Effective measures shall be taken to ensure that in every factory
all the workers are familiar with the means of escape in case of fire
and have been adequately trained in the routine to be following in
such cases.
See Item 20

Section 24, Sub Section 1 : Prohibition on use of stream or
well for disposal of polluting matter, etc.
(1) Subject to the provisions of this section -(a) no person shall knowingly cause or permit any poisonous, noxious
or polluting matter determined in accordance with such standards as
may be laid down by the State Board to enter (whether directly or
indirectly) into any stream or well or sewer or on land]; or
(b) no person shall knowingly cause or permit to enter into any
stream any other matter which may tend, either directly or in
combination with similar matters, to impede the proper flow of the
water of the stream in a manner leading or likely to lead to a
substantial aggravation of pollution due to other causes or of its
consequences.
The Environmental (Protection) Act, 1986
Section 7 : Persons carrying on industry operations, etc, not
to allow emission or discharge of environmental pollutants in
excess of Standards No person carrying on any industry, operation or process shall
discharge or emit or permit to be discharged or emitted any
environmental pollutants in excess of such standards as may be
prescribed.
Section 12 Subsection 1: Disposal of wastes and effluents
Effective arrangements
shall be made
by Handling)
every factory
for the
Hazardous
Waste (Management
and
Rules,
2000
Rule 4A : Duties of the occupier and operator of a facilities
The occupier and the operator of a facility shall be responsible for
proper collection, reception, treatment, storage and disposal of
hazardous wastes listed in Schedule 1, 2 and 3.
Section 12 : Disposal of wastes and effluents
(1) Effective arrangements shall be made by every factory for the
treatment of wastes and effluents due to the manufacturing process
carried on therein, so as to render them innocuous, and for their
disposal.

Manufacture, Storage and Import of Hazardous Chemical
Rules, 2000
Rule17, Subrule 4 : Collection, Development and
Dissemination of Information (4) Every container of a hazardous chemical shall be clearly labeled or
marked to identify,(a) the contents of the container,
(b) the name and address of manufacturer or importer Of the
hazardous chemical;
(c) the physical, chemical and toxicological data as per the criteria
given at Part I of Schedule 1.
See Item 6
Air (control and prevention of pollution) Act,1981

Section 22 : Persons carrying on industry, etc., and to allow
emission of air pollutants in excess of the standard laid down
by State Board No person operating any industrial plant, in any air pollution control
area shall discharge or cause or permit to be discharged the emission
of any air pollutant in excess of the standards laid down by the State
Board under clause (g) of sub-section (1) of section 17.
Section 7 : Persons carrying on industry operations, etc, not
to allow emission or discharge of environmental pollutants in
excess of Standards No person carrying on any industry, operation or process shall
discharge or emit or permit to be discharged or emitted any
environmental pollutants in excess of such standards as may be
prescribed.

See Item 22

Section 45 : First-aid appliances Subsection 1
There shall in every factory be provided and maintained so as to be
readily accessible during all working hours first-aid boxes or cupboards equipped with the prescribed contents, and the number of
such boxes or cupboards to be maintained shall not be less than one
for every 150 workers ordinarily employed in the factory.
Relevant State Factories Rules, under the Factories Act, 1948

There shall in every factory be provided and maintained so as to be
readily accessible during all working hours first-aid boxes or cupboards equipped with the prescribed contents, and the number of
such boxes or cupboards to be maintained shall not be less than one
for every 150 workers ordinarily employed in the factory.

The Factories Act, 1948 (as amended in 1987) contains a
general duty requirement for the employer to provide a
safe workplace. There may be specific requirements that
apply to specific kinds of operations (see Questions 32-33
below for citations relating to machine guarding and eye
protection).

Section 35 : Protection of eyes In respect of any such manufacturing process carried on in any
factory as may be prescribed, being a process which involves(a) risk of injury to the eyes from particles or fragments thrown off in
the course of the process, or
(b) risk to the eyes by reason of exposure to excessive light, the State
Government may by rules require that effective screens or suitable
goggles shall be provided for the protection of persons employed on,
or in the immediate vicinity of, the process.

Section 21 : Fencing of Machinery
1) In every factory the following, namely(i) every moving part of a prime-mover and every flywheel connected
to a prime-mover, whether the prime-mover or flywheel is in the
engine-house or not;
(ii) the headrace and tailrace of every water-wheel and water-turbine;
(iii) any part of a stock bar which projects beyond the head stock of a
lathe; and
(iv) unless they are in such position or of such construction as to be
safe to every person employed in the factory as they would be if they
were securely fenced, the following, namely:(a) every part of an electric generator, a motor or rotary converter;
(b) every part of transmission machinery; and
(c) every dangerous part of any other machinery; shall be securely
fenced by safeguards of a substantial construction which shall be
constantly maintained and kept in position while the parts of
machinery they are fencing, are in motion or in use.
No specific Indian regulation at this time.

Protection against occupational noise
In every factory, suitable engineering control or administrative
measures shall be taken to ensure, so far as is reasonably practicable,
that no worker is exposed to sound levels exceeding the maximum
permissible noise exposure levels specified.
Factories Rules
In every factory, suitable engineering control or administrative
measures shall be taken to ensure, so far as is reasonably practicable,
that no worker is exposed to sound levels exceeding the maximum
permissible noise exposure levels specified.

Section 14 : Dust and fume
(1) In every factory in which, by reason of the manufacturing
process carried on, there is given off any dust or fume or other
impurity of such a nature and to such an extent as is likely to be
injurious or offensive to the workers employed therein, or any dust in
substantial quantities, effective measures shall be taken to prevent
its inhalation and accumulation in any workroom, and if any exhaust
appliance is necessary for this purpose, it shall be applied as near as
possible to the point of origin of the dust, fume or other impurity, and
such point shall be enclosed so far as possible.
(2) In any factory no stationary internal combustion engine shall be
operated unless the exhaust is conducted into the open air, and no
other internal combustion engine shall be operated in any room
unless effective measures have been taken to prevent such
accumulation of fumes there from as are likely to be injurious to
workers employed in the room.
Section 41 F : Permissible limits of exposure of chemical and toxic
substances
(1) The maximum permissible threshold limits of exposure of chemical
and toxic substances in manufacturing processes (whether hazardous
or otherwise) in any factory shall be of the value indicated in the
Second Schedule.

The Indian Electricity Rules, 1956
Section 29 : Construction, installation, protection, operation,
and maintenance of electric supply lines and apparatus (1) All electricity supply lines and apparatus shall be of sufficient
ratings for power, insulation and estimated fault current and of
sufficient mechanical strength, for the duty which they may be
required to perform under the environmental conditions of
installation, and shall be constructed, installed, protected, worked and
maintained in such a manner also ensure safety of human being,
animals and property.
(2) Save as otherwise provided in these rules, the relevant Code of
Practice of the Bureau of Indian Standard, including National electrical
Code, if any, may be followed to carry out the purposes of this rule
and in the event of any inconsistency, the provisions of these rules
shall prevail.

Section 47 : Shelters, rest-rooms and lunch-rooms (1) In every factory wherein more than one hundred and fifty workers
are ordinarily employed adequate and suitable shelters or rest-rooms
and a suitable lunch-room, with provision for drinking water, where
workers can eat meals brought by them, shall be provided and
maintained for the use of the workers:
(2) The shelters or rest-room or lunch-room to be provided under subsection (1) shall be sufficiently lighted and ventilated and shall be
maintained in a cool and clean condition.
2009 Assessment module (India - Sourcing Guide)

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 PowerSuite
Qn ID
Text of the Question
Guide note
Cross-Ref Category
1.2
1.2 a
Does your company have all

environmental permits required to
conduct operations (current or
Environmental Permits
Air Act
Consent to Operate under Air Act,

1981
Qn ID
1.2 b
Guide note
Cross-Ref Category
Water Act
Consent To Operate under Water Act,

1974
Qn ID
1.2 c
Guide note
Cross-Ref Category
Hazardous Waste Rules
Authorization - Hazardous Waste

and/or Hazardous Chemicals
Qn ID
1.2 d
Guide note
Cross-Ref Category
EIA
Environmental Clearance from SPCB

or MOEF
1.2 d
Qn ID
1.3
EIA
Guide note
Does your company have all health

and safety permits required to
conduct operations (current or
Environmental Clearance from SPCB

or MOEF
Cross-Ref Category
Health and Safety Permits
What if this is not a Factory?
Qn ID
Guide note
1.3 a
Factories Act 1948
1.3 b
Gas Cylinder Rules 1981
Cross-Ref Category
Qn ID
Guide note
1.3 c
Petroleum Act/Rules 2002
1.3 d
Boiler Act/Rules 1923
1.3 e
SMPV Rules 1981
Cross-Ref Category
Qn ID
Guide note
1.3 f
Explosive Act/Rules 1983
1.3 g
MSIHC Rules
Cross-Ref Category
1.3 g
MSIHC Rules
Qn ID
Guide note
Cross-Ref Category
1.4
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.)
Fire Code
Fire Protection
1.4 Does your company have all local fire

(Applicable fire
Qn ID code authorizations?
requirements may be contained in
the building code or general building
construction or operating permit.)
1.5
During the last 5 years, has the

company operated without any
fatalities? If the company had a
fatality, please answer "No" and
provide details.
Fire Code
Guide note
Fire Protection
Cross-Ref Category
Other Safety
Qn ID
1.6
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.
1.7
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.
1.8
Do you conduct fire drills at least

annually?
1.9
Do you test the emergency alarm

In addition to written documentation, this should be
systems at least every three months? verified by asking employees if they've heard the alarm.
1.10 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.
Guide note
Cross-Ref Category
Other Safety
Please provide sufficient detail that your EHS contact can Other Environmental
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.
Fire Protection
Emergency Alarms
Other Environmental
Qn ID
1.11
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)
Guide note
Cross-Ref Category
Waste Disposal
Qn ID
Guide note
Cross-Ref Category
1.12
Does your company maintain a

written statement or policy protecting
your employees from discrimination
and is the existence of the policy
communicated to employees within
the factory?
All employees must be treated equally regardless of race, Discrimination

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:<ul><li>A copy of
the written policy<li>Where it is posted/how it is published
(e.g., posters, displays, websites, training, employee
handbook. etc.)<li>Any other evidence to demonstrate the
policy is communicated to employees (e.g., through new
employee training, annual management letters, etc).
1.13
Does your company maintain a

written statement or policy protecting
your employees from harassment
and is the existence of the policy
communicated to employees within
the factory?
Harassment, bullying, intimidation, degradation or sexual Harassment

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:<ul><li>A copy of
the written policy<li>Where it is posted/how it is published
(e.g., posters, displays, websites, training, employee
handbook. etc.)<li>Any other evidence to demonstrate the
policy is communicated to employees (e.g., through new
employee training, annual management letters, etc)
Qn ID
1.14

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 within the factory?
Guide note
Cross-Ref Category
The company must have an objective process for handling Dispute Resolution
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:<ul><li> Secured confidential grievance boxes
that are installed in private areas (such as bathrooms or
dorms) and only accessed by senior management<li>
Neutral grievance contacts such as union representatives
or guidance counselors<li> Telephone hotline number or
post office box address through which employees can
report their grievance.</ul>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.
Qn ID
1.15
2.1

Does your company allow workers to
freely choose whether or not to
lawfully organize and join
associations such as a trade union?
Guide note
Cross-Ref Category
Freedom of association means an employee has the right, Freedom of Association

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 written policy should
be put into place.
Do the employees look to be above If you answer no, STOP and obtain legal advice!
the minimum local legal age limit? (In
no case <16);If you answer no, STOP
and obtain legal advice!
Age
2.1 Do the employees look to be above If you answer no, STOP and obtain legal advice!
local
age limit? (In
Qn ID the minimum
Text of
thelegal
Question
Guide note
no case <16);If you answer no, STOP
2.2
Do the employees appear to be

present voluntarily (e.g. not an
unusual number of security guards
present in and around the facility);If
you answer no, STOP and obtain
legal advice!
2.3
Can the employees freely exit the

facility when they are not working?
(e.g. doors are not locked to prevent
employees leaving before the end of
Age
Cross-Ref Category
Involuntary Labor
Fire Protection
2.3
Qn ID
2.4
2.5
2.6

Guide note
employees leaving before the end of

the shift); If you answer no, STOP
Do all exits (including emergency)
lead to an area outside of the building
without obstructions? (Look for
locked or blocked doors or enclosed
areas).
Fire Protection
Cross-Ref Category
Fire Protection
Are the exits (including emergency)

clearly marked?
The sign must be legible, in local language, with high color

contrast and made of non-flammable materials.
Emergency signs must still be visible if the power fails. In
many cases that would require a back-up power source,
such as a battery, in case of a power failure.
Fire Protection
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).
Aisle ways should provide clear access to work areas and

to the exits. All areas in front of electrical panels, fuse
boxes and fire extinguishers should be clear of stored
material, debris and other obstacles. Floors should be dry
and swept clean on a regular basis.
Working Conditions
2.6
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).
Aisle ways should provide clear access to work areas and

to the exits. All areas in front of electrical panels, fuse
boxes and fire extinguishers should be clear of stored
material, debris and other obstacles. Floors should be dry
and swept clean on a regular basis.
Working Conditions
Qn ID
Guide note
Cross-Ref Category
2.7
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?)
2.8
Is the facility free of visible

haze/chemical mist 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.
Working Conditions

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.
Working Conditions
Qn ID
2.9
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.
Working Conditions
Are the work areas kept at a

comfortable temperature (e.g. not
uncomfortably hot or cold.)
Working Conditions
2.10
2.11
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?
Guide note
Cross-Ref Category
In order to assess whether the facility is in compliance

Waste Disposal
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.
2.11
Are all chemicals or wastewater

treated (e.g. neutralized or
processed) as required by local law
prior
going to a
Qn ID or site permit
Text of
thetoQuestion
sewer or drainage system?
2.12 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 detail
In order to assess whether the facility is in compliance

Waste Disposal
with their permit requirements, it is strongly recommended
that you obtain a copy of the permit and two years of
sampling results. This information
Guide noteshould be provided to
Cross-Ref Category
your EHS contact, who will help you assess the supplier's
compliance.
Waste Disposal
2.12 Are all waste materials, scrap

materials or garbage stored on
or aof
paved
area? If the
Qn ID concreteText
the Question
company has waste materials, scrap
materials or garbage stored directly
on the ground or outside exposed to
the weather, please answer "No" and
provide detail
2.13 Do all drums and other storage

containers appear in good condition,
stored in contained areas & well
managed?
Waste Disposal
Guide note
Cross-Ref Category
To be in good condition, 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 highly
recommended)
of the contents of the largest container in the area.
Chemical Storage
Qn ID
2.14 Does the vegetation on site appear to

be normal for the area and the
season (not yellow or dying due to
unnatural causes)?
2.15 Are air emissions ordinary in

appearance (for example, not visibly
dark or strong yellow color or with a
strong odor)?
Guide note
Cross-Ref Category
Waste Disposal
Waste Disposal
2.15 Are air emissions ordinary in

example,
not visibly
Qn ID appearance
Text(for
of the
Question
dark or strong yellow color or with a
strong odor)?
2.16 Are waterways near to the site free of

discoloration or debris (no visible
sheen, or discoloration next to the
site's water discharge points)?
Guide note
Waste Disposal
Cross-Ref Category
Waste Disposal
2.16 Are waterways near to the site free of

discoloration or debris (no visible
sheen, or discoloration next to the
site's water discharge points)?
Qn ID
2.17 Is first aid related equipment

available to employees in all work
areas?
Waste Disposal
Guide note
Cross-Ref Category
Most countries have safety supply vendors that will offer

basic pre-packaged first aid kits and replacement
have a kit inspection and maintenance program in order to
keep them stocked. The kits should be in a readily
Other Safety
2.17 Is first aid related equipment

to employees
in all work
Qn ID availableText
of the Question
areas?
2.18 Is there an alarm system to notify

employees of an emergency situation
in all work areas?
Most countries have safety supply vendors that will offer

basic pre-packaged firstGuide
aid kits
and replacement
note
have a kit inspection and maintenance program in order to
keep them stocked. The kits should be in a readily
Other Safety
Cross-Ref Category
Emergency Alarms
Qn ID
2.19 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).
2.20 If the facility has a canteen or a

cafeteria, is the area clean and is
food prepared, stored and served in a
sanitary manner?
Guide note
Cross-Ref Category
Guide
"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.) Places in this standard which need
to be equipped with fire extinguishers include painting
rooms, power distribution rooms, offices, laboratories,
warehouses, manufactory buildings, stages etc. The
maximum effective distance for each portable fire
extinguisher is from 9-25 meters based on the fire risk
severity 14 (5): Enterprises and organizations should: be
equipped with fire fighting facilities, establish fire fighting
signs and conduct regular checks, tests and maintenance
to ensure they are in good working condition. 29: Units
should maintain and conduct regular check on the fire
extinguishers. Relevant Information such as types,
amounts, location of the fire extinguishers and
maintenance personnel, time of change medicine shall be
kept in file.Section 4 in the Distribution of Fire
Extinguishers gives basic requirements for their
distribution based on types and fire risk severity.
Fire Protection
Working Conditions
2.20 If the facility has a canteen or a

cafeteria, is the area clean and is
and served in a
Qn ID food prepared,
Text ofstored
the Question
sanitary manner?
Working Conditions
Guide note
2.21 Do the work practices and work

equipment used in the manufacturing
process appear to be safe?
Working Conditions
2.22 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?
2.23 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?
Cross-Ref Category
PPE
Look for 360 degree guarding on all machines. Ensure

protection from rotating, reciprocating, revolving, in
running nip points, cutting action, punching shearing and
bending actions, flying parts or devices.
Types of guarding can be conventional or sensor or
interlock types. such as enclosure guard, fix guard,
adjustable guard, self-adjusting guard, interlocking guard,
automatic guard, photo electric eye, two hand trip, remote
control etc.
Machine guards should not be by-passed or removed
while machine is in operation.
The employer should have a machine guards inspection
Machine Guarding
machines with rotating or moving

parts, or under or into devices that
stamp, cut or punch metal?
Qn ID
running nip points, cutting action, punching shearing and

bending actions, flying parts or devices.
Types of guarding can be conventional or sensor or
interlock types. such as enclosure guard, fix guard,
Guide note
adjustable guard, self-adjusting
guard, interlocking guard,
automatic guard, photo electric eye, two hand trip, remote
control etc.
Cross-Ref Category
Machine guards should not be by-passed or removed

while machine is in operation.
The employer should have a machine guards inspection
and maintenance program.
2.24 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, most
warehouse areas, and any construction zones, safety
shoes meeting local requirements should be worn.
2.25 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. Most
jurisdictions require that the employer conduct noise
surveys to identify the high noise risk areas and to put in
protection plans.
PPE
PPE
2.25 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)?
Qn ID
2.26 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). If answer
is no, please provide a description of
area processes and obtain any
exposure monitoring data that is
available.
Areas which are very noisy should be identified with signs

and the requirement to use hearing protection. Most
jurisdictions require that the employer conduct noise
surveys to identify the high noise risk areas and to put in
protection plans.
PPE
Guide note
Cross-Ref Category

PPE
companys processes 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.
dust or visible vapor) using breathing

protection? (note cotton surgical
masks or scarves wrapped around
the face are not sufficient). If answer
is no, please provide a description of
Qn ID area processes
Text of the
and Question
obtain any
exposure monitoring data that is
available.
2.27 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).
companys processes 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
Guide
notefor guidance on how the
business health and safety
expert
concern should be resolved.
Cross-Ref Category
Electrical Safety
2.27 Does all wiring appear to be in good

condition? (for example, it is not
Qn ID
is strung across rooms, is cause for
concern).
Electrical Safety
Guide note
2.28 If lifting devices (cranes, forklifts,

Most countries require that lifting devices be inspected on
chains and slings) are used on site, is an annual basis. The supplier should be able to provide
the weight rating readily visible and documentation of the weight rating of the device, along
are maintenance records of the lifting with the inspection records.
device up to date and in writing.
Cross-Ref Category
Other Safety
Qn ID
2.29
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
2.3
Are material safety data sheets

(MSDSs) for all chemicals used on
site available to employees for their
use?
Guide note
Cross-Ref Category
Identify if any GE restricted chemicals (see below excerpt Other Environmental

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. 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 tetrachloride; (c) any chemical restricted under the
Montreal Protocol on ozone-depleting substances; (d) any
substance listed on the candidate list of the REACH
legislation (Regulation (EC) No 1907/2006) or restricted
Verify that MSDSs are obtained for chemicals stored and Chemical Storage
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.
Qn ID
2.31

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?
Guide note
Cross-Ref Category
All containers should be in good condition, stored in an

Waste Disposal
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.
Qn ID
2.32 Do all waste drums and other waste

storage containers appear in good
condition, stored in contained areas
& well managed?
Guide note
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 highly recommended) of the contents of the
largest container in the area.Waste containers must
have hazardous waste labels that provide: hazard class,
waste code, and date the container was filled. These
Cross-Ref Category
Qn ID
Guide note
2.34
Does the work place and the

This question is intended as a "catch all" if you have a
equipment used within the
concern/observation that has not already been captured in
manufacturing area appear to be
this checklist. A tour of the facility should be conducted to
maintained and utilized with safety
identify work place hazards. You should tour the entire
devices, safeguards, and proper work work area including offices, warehouses, storage rooms,
practices, methods, processes, that etc. Pay particular attention to items most likely to develop
are reasonably adequate to make the unsafe or unhealthy conditions because of stress, wear,
workplace safe? If you have not
impact, vibration, heat, corrosion, chemical reaction or
already created a finding for your
misuse. Inspect the entire workplace area each time. Poor
observation, select "no" and write a housekeeping, lack of PPE, diminished lighting, extreme
detailed finding description.
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.
2.35
Are corrective actions identified by

the Environmental, H&S, or
Occupational Health/Industrial
Hygiene audits and assessments
tracked to closure?
Does the site have a process for tracking closure of

findings? If yes, describe.
Cross-Ref Category
IH
MS
3.1
Are employees allowed to live outside

company provided housing?
3.2
Can employees freely enter or leave

the housing at all times of the day or
night?
3.3
Is the housing clean, especially in the

common areas such as hallways,
toilets and bathing facilities?
3.4
Is there an alarm system to notify

employees of an emergency
situation?
Dormitory Emergency Alarms
Qn ID
3.5
3.6

Are there fire extinguishers in the
facilities?
Are there at least 2 routes of exit
from every floor?
Guide note
Cross-Ref Category
GE requires that there are at least two routes of exit from Dormitory Fire Prevention
each floor in company provided housing(e.g. apartments,
dormitory, housing colony). If there is only one staircase,
companies often state that their building meets local
building codes as constructed. As a first step, you should
verify that the site has a written local government approval
of their current construction. However, that is insufficient
to close the finding. There are many variables relative to
the design of the building and number of employees that
must be taken into consideration, which could lead to the
need for additional escape routes.NFPA 101, Life Safety
Code - Although this Code is intended for application in
the USA, it provides very useful guidance. A few key
expectations of this Code are:1. A sufficient number of
properly designed, unobstructed means of egress of
adequate capacity and arrangement.2. Must take into
consideration occupant load and travel distance.3.
Provision of alternate means of egress if one means is
blocked by fire, heat or smoke.The key issue noted above
is the properly designed
means of egress. Possible means of egress (with access
from every floor) are provided below, with the
recommended acceptance level for each
option:PREFERRED OPTION: Option 1OPTION 1 OR 2
REQUIRED FOR BUILDINGS > 50 FEET or 17 Meters IN
HEIGHT
Options:1. Permanent emergency stairway constructed of
inflammable material (e.g. metal)2. Permanent emergency
ladder constructed of inflammable material.3. Detachable
emergency ladder (not preferred) may be acceptable
under certain limited conditions, as determined case by
case and reviewed internally within each business by the
health and safety leader. This should be accepted only as
a temporary remedy while a permanent structure is being
constructed. Ladders must be approved by a recognized
governing board with a maximum height of 50 feet or 17
meters. Some issues to consider before accepting this
interim option include: height of building, number of floors,
number of occupants per floor, amount of time required to
safely evacuate all building occupants, ladder construction
material.Escape cords or ropes are NOT
acceptable.Deviations from these procedures require
approval from the business Health & Safety leader,
Qn ID
Guide note
Cross-Ref Category
3.7
Are all stairwells and emergency exits

unobstructed and unlocked so that
employees can freely exit the building
in an emergency?
3.8
Is there working emergency lighting?

(ask the owner to test the system in
your presence)
3.9
Does all wiring appear to be in good

condition? (For example, it is not
is strung across rooms is cause for
concern).
Dormitory Electrical Safety
3.10 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?
3.11
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).
3.12 Is water provided for toilets and

bathing in the building?
3.13 If the climate is cold in winter, is the
building heated in the winter months?
3.14 Is the building adequately lit when

occupied, both inside and out?
Qn ID
Guide note
Cross-Ref Category
3.15 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 mat
3.16 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.
4.1
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.
Age
4.2
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.
Wages
Qn ID
Guide note
Cross-Ref Category
4.3

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 details
Working Hours
4.4

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 provide details
Wages
Qn ID
Guide note
Cross-Ref Category
4.5

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.
Wages
4.6
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?
Involuntary Labor
4.7
Are employees allowed to retain their

employment and other relevant
documents (e.g.. ID card, etc.) after
initial review by the supplier?
Involuntary Labor
4.8
Did The Amount Paid To Each

Employee As Per Payroll Records
Match The Cash/Bank Records For
The Money Transfer?
4.9
Did The Working Hours Declared In

The Payroll Records Match The
Timesheet For The Workshop?
This can be verified by employee interviews.
Wages
Wages
Qn ID
Guide note
4.10

Identify vocational students, if any, that work on GE
you reviewed show that employees products.
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.
4.11
If the supplier uses vocational

students, did review of their
employment records confirm they
were above age 16?
4.12
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.
5.32
Are container-load shipments to GE

properly protected?
RED FLAG question! Issue must be resolved to

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
'yes' if vendor does not send any container-load
shipments
5.34
Are less-than-container load

shipments adequately protected?
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.
Cross-Ref Category
Qn ID
Guide note
5.36
Is shipping documentation controlled Illustrative measures: 1. Pre-numbered shipping

to ensure accuracy and prevent
documents, 2. Exception reporting of errors in
alteration?
documentation, 3. Computer generated documents
5.37
Is the company's information

technology applications protected
from improper use or alterations?
5.41
Does the company conduct

Illustrative measures:1. Criminal history check, 2. Previous
employment screening of employees, employment verification, 3. Alcohol/drug screening, 4.
including application verifications and Reference checks.
background checking to the extent
permitted by law?
5.43
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.

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).
5.46
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?

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.
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
Cross-Ref Category
uide)
er to submit the checklist to the PowerSuite database.
What reviewer NEED to check
Additional Details on what to
check
Assess Nature of Industry and process
Reviewer needs to obtain copies of
all permits.
List any missing permits.
1. During site walk through identify all Air
emission sources( like Chimney, Stacks) all this may need air consent.
For example, you find 3 stacks/chimneys
during tour, Consent must be taken for all
that)
2. If Air sources are present, confirm if
Consent to Establish (CFE, CTE or NOC)
was obtained- without this a company
cannot start installation.
3. After installation, Consent to
Operate( CFO or CTO) must be obtained without that a company cannot start
operation or trail.
4. Check validity of the consent and
expiry( must be current)
5. If consent is sent for Renewal, it must be
sent before the time deadline(120 days) as
mentioned on the consent.. If otherwise or
expired, then site may not have valid permit
to operate.
6. Deemed clause is applicable if the site
has applied within 4 months(120 days)
before expiry and PCB has not requested
for any additional information within this 4
month period. However, you must approach
your business EHS Counsel/Leader to get it
downgraded to yellow flag.
Mar 25th, 2009

Regulatory References
Check if all chimneys, stacks and

Air (Prevention and Control of Pollution Act), 1981
emission sources are covered by a
Section 21 :
valid CTO .If the facility does not
No person shall, without the previous consent of the State
have any sources of air emissions, no Board, establish or operate any industrial plant in an air
Consent is required under the Air Act pollution control area.

check
1.There are two types of wastewater: Trade If the facility does not produce trade
effluent(use of water in the process) or
effluents and generates only sanitary
Sanitary waste( bathrooms, toilets, kitchen wastewater and number of
etc).
employees is less than 10, no
Consent is required under the Water
2.If the facility does not produce trade
Act. Check if all industrial and
effluents and generates only sanitary
sanitary wastewater streams are
wastewater; Consent may show only
covered by a valid CTO
Sanitary waste water
3. During tour, identify all waste water
sources ( like Process water, sanitary) - all
this must be included in the wastewater
consent.
For example, you find 3 areas where they
use water in the process and Consent must
be taken for all that)
4. If waste water sources are present,
confirm whether ALL sources are included in
the Consent to Establish (CFE, CTE or
NOC).
5. After installation, Consent to
Operate( CFO) must be obtained - without
that a company cannot start operation or
trail.
sent before the time deadline(120 days) as
mentioned on the consent.. If otherwise or
expired, then site may not have valid permit
to operate.
Section 25(1):
No person shall
(a) establish or take any steps to establish any industry,
operation or process, or any treatment and disposal
system or an extension or addition thereto, which is likely
to discharge sewage or trade effluent into a stream or well
or sewer or on land (such discharge being hereafter in this
section referred to as discharge of sewage); or
(b) bring into use any new or altered outlets for the
discharge of sewage; or
(c) begin to make any new discharge of sewage;

check
8. Deemed clause is applicable if the site

has applied within 4 months(120 days)
before expiry and PCB has not requested
for any additional information within this 4
month period. However, you must approach
your business EHS Counsel/Leader to get it
downgraded to yellow flag.
1. During tour, identify waste generation
sources ( like used oil, waste rags, used
solvents, coolant, etc) - all these need to be
in Haz waste consent.
For example, if the site has a DG set,
chances are that you will find 3 common
wastes ( used oil, oil filters, oil rags) anything contained with oil in India is Haz
waste
Review the authorization to collect,

Hazardous Waste (Management & Handling) Rules,
treat, store and dispose hazardous
2003
waste (if applicable) under Hazardous Rule 5: Grant of authorization for handling hazardous
Waste (Management & Handling)
wastes
Rules, 2003 . Check if all hazardous (1) Hazardous wastes shall be collected, treated, stored
wastes generated at the site are
and disposed of only in such facilities as may be
covered under the Hazardous Waste authorized for this purpose.
Authorization
(2) Every occupier handling, or a recycler recycling,
hazardous wastes shall make an application in Form 1 to
the Member-Secretary, State Pollution Control Board or
Committee, as the case may be or any officer designated
by the State Pollution Control Board or Committee for the
grant of authorization.
(3) Defn of Hazardous Waste: hazardous waste means
sent before the time deadline as mentioned
any waste which by reason of any of its physical,
on the consent.. If otherwise or expired,
chemical, reactive, toxic, flammable, explosive or corrosive
then site may not have valid permit to
characteristics causes danger or is likely to cause danger
operate.
to health or environment, whether alone or when in contact
with other wastes or substances, and shall include(a) wastes listed in column (3) of Schedule-1;
(b) wastes having constituents listed in Schedule-2 if their
concentration is equal to or more than the limit indicated in
the said Schedule; and
(c) wastes listed in Lists A and B of Schedule-3 (PartA) applicable only in case(s) of import or export of
hazardous wastes in accordance with rules 12, 13 and 14
if they possess any of the hazardous characteristics listed
in Part-B of Schedule 3.
Explanation: For the purposes of this clause, (i) all wastes mentioned in column (3) of Schedule-1 are
hazardous wastes irrespective of concentration limits given
in Schedule-2 except as otherwise indicated and
Schedule-2 shall be applicable only for wastes or waste
constituents not covered under column (3) of Schedule-1;
(ii) Schedule-3 shall be applicable only in case(s) of import
or export;

4. Deemed clause is not applicable in this
case. However, you must approach your
business EHS Counsel/Leader to get it
downgraded to yellow flag, provided the
renewal is done before deadline.

check
by the State Pollution Control Board or Committee for the

grant of authorization.
(3) Defn of Hazardous Waste: hazardous waste means
any waste which by reason of any of its physical,
chemical, reactive, toxic, flammable, explosive or corrosive
Regulatory
References
characteristics causes
danger
or is likely to cause danger
to health or environment, whether alone or when in contact
with other wastes or substances, and shall include(a) wastes listed in column (3) of Schedule-1;
(b) wastes having constituents listed in Schedule-2 if their
concentration is equal to or more than the limit indicated in
the said Schedule; and
(c) wastes listed in Lists A and B of Schedule-3 (PartA) applicable only in case(s) of import or export of
hazardous wastes in accordance with rules 12, 13 and 14
if they possess any of the hazardous characteristics listed
in Part-B of Schedule 3.
Explanation: For the purposes of this clause, (i) all wastes mentioned in column (3) of Schedule-1 are
hazardous wastes irrespective of concentration limits given
in Schedule-2 except as otherwise indicated and
Schedule-2 shall be applicable only for wastes or waste
constituents not covered under column (3) of Schedule-1;
(ii) Schedule-3 shall be applicable only in case(s) of import
or export;
1. Confirm whether there is any expansion & Check if the site has the required EC Environmental clearance under EIA Notification, 1994,
modernization of any activity at site ( like
if the site falls within the notification Clause 1 the Central Government to impose restrictions
new building, expansion of existing etc).
criteria. Environmental Clearance (if and prohibitions on the expansion and modernization of
applicable) under EIA Notification,
any activity or new projects being undertaken in any part of
1994.
If
India unless environmental clearance has been accorded
YES, gather information on size of
by the Central Government or the State Government in
project, # of employees to be placed, accordance with the procedure specified in that notification
whether STP may discharge 50 K
was published as S.O.No. 80(E) dated 28th January,
ltr/dy , is investment more than Rs. 50 1993;
crores and whether it is high polluting. S.O. 1236 (E)- Amendment to EIA Notification on 27
October 2003: "new projects relating to construction of
Check if the facility/development
new townships, industrial townships, settlement colonies,
requires an Environmental Clearance commercial complexes, hotel complexes, hospitals, office
as per the amended notification, S.O. complexes for 1,000 persons and above or discharging
1236 (E)- Amendment to EIA
sewage of 50,000 litres/day and above or with an
Notification.
investment of Rs. 50 crores and above and new industrial
estates having an area of 50 hectares and above and the
industrial estates irrespective of area if their pollution
potential is high, are proposed to be brought under the
purview of Environment Impact Assessment Notification"
Check if the site has the required EC Environmental clearance under EIA Notification, 1994,
if the site falls within the notification Clause 1 the Central Government to impose restrictions
criteria.
Environmental
the expansion
and modernization of
Additional
Details Clearance
on what to(if and prohibitions on
Regulatory
References
applicable) under
EIA Notification,
any activity or new projects being undertaken in any part of
check
1994.
If
India unless environmental clearance has been accorded
2. If YES, check EIA criteria is applicable &
YES, gather information on size of
by the Central Government or the State Government in
completed. Few Criteria: > 1000
project, # of employees to be placed, accordance with the procedure specified in that notification
employees, Sewage > 50 KL/day,
whether STP may discharge 50 K
was published as S.O.No. 80(E) dated 28th January,
Investment > 50 crores, Area > 50 hectares
ltr/dy , is investment more than Rs. 50 1993;
& Pollution is very high generation.
crores and whether it is high polluting. S.O. 1236 (E)- Amendment to EIA Notification on 27
October 2003: "new projects relating to construction of
Check if the facility/development
new townships, industrial townships, settlement colonies,
requires an Environmental Clearance commercial complexes, hotel complexes, hospitals, office
as per the amended notification, S.O. complexes for 1,000 persons and above or discharging
1236 (E)- Amendment to EIA
sewage of 50,000 litres/day and above or with an
Notification.
investment of Rs. 50 crores and above and new industrial
estates having an area of 50 hectares and above and the
industrial estates irrespective of area if their pollution
potential is high, are proposed to be brought under the
purview of Environment Impact Assessment Notification"
If this is not a factory ( meaning, 10 or more

people employed using power or 20 or more
without power) then Shops &
Establishment Act applies.
Service providers, Dealers, Distributors and
Consultants may not fall under this category
( need to check case by case basis)
Shops & Establishment Act applies ( Every State has

their own Act)

check
1. Ask for Plant Layout & Factories
Check for validity of the factory
The Factories Act, 1948 (as amended in 1987) "factory"
license( in Karnataka, its a green colour
license. Record any non-compliance means any premises including the precincts thereof vertically long sheet)
in the documentation and review
(i) whereon ten or more workers are working, or were
2. # of
follow up documentation, show cause working on any day of the preceding twelve months, and in
employees employed and Horsepower of
or improvement notices,
any part of which a manufacturing process is being carried
DG is mentioned in the permit.
documentation relating to the penalty on with the aid of power,or is ordinarily so carried on, or
and check whether necessary
(ii) whereon twenty or more workers are working, or were
corrective action required by the
working on any day of the preceding twelve months, and in
2. Check Factory license validity( it could be authorities has been undertaken.
part of which a manufacturing process is being carried on
written in local language)- so, check the
Also, review any correspondence with without the aid of power, or is ordinarily so carried on, date
Factory Inspectorate, Labor
[Explanation I. - For computing the number of workers for
Department
and
Directorate
of
the purposes of this clause all the workers in different
3. Check approved Site Map v/s actual
Industrial
Safety
&
Health
relating
to
a
relays] in a day shall be taken into account;]
building if they do not match, then
notice of violation or fines; and site
[Explanation II].- For the purposes of this clause, the mere
approval is not granted for expansion.
Visit Reports of representatives of the fact that an Electronic Data Processing Unit or a Computer
Factory Inspectorate, Labor
Unit is installed in any premises or part thereof, shall not
Department and Directorate of
be construed to make it a factory if no manufacturing
Industrial Safety & Health
process is being carried on in such premises or part
thereof ;]
1. Verify whether the site Possess any Gas

cylinders.
2. If yes, confirm the Types and Quantity.
3. Check Possessed v/s permitted ( Key
word is Possess - meaning collectively how
many of same type is kept on site; but not in
usage/connected). If the amount exceeds
the limit as mentioned on next column,
license is required
License for gas cylinders (for

possession)
Gas Cylinder Rules, 1981
1. LPG> 100 kg ( 5 if capacity is 19.2 Sect 51 : License for filling and possession
kgs)
No person shall fill any cylinder with compressed gas and
2. Flammable but non-toxic gases > no cylinders filled with compressed gas shall be
200 kg or cylinders exceeding 25 in possessed by any one except under and in accordance
number
with the conditions of a license granted under these rules.
3. Non-flammable non-toxic gas
cylinders exceeding 200 in number
4. Toxic gas - cylinders exceeding 5 in
number
5. Acetylene gas - cylinders
4. Check validity of the license from
PESO(Petroleum & Explosives Safety Org) ( exceeding 50 in number;)
CCE ( chief controller of Explosives)
5.Cylinders must be stored upright, chained
& capped, when not in use.

check
1. Check to see if site is storing/using any
Check if actual storage matches the
petroleum product.
licensed capacity. Obtain copies of all
permits and list any missing permits.
2. If yes, check Storage v/s licensed
No license
capacity as mentioned below
required if: (i) Class B total quantity at
3. Verify storage capacities( no license
any one place does not exceed 2500
required if storage is less than)
ltrs and each container does not
> 30 liters of Class A, Flash point below 23 exceed 1000 ltrs.
C
> 2500 liters of Class B and flash point betw
23 & 35
> 45000 liters of Class C Petroleum) and
FP >35
1. To confirm/check whether the site has any Check validity of certificate
boiler ( oil fired, fuel, steam etc).
2. If yes, check to see if they have a
certificate.
3. Check validity of the certificate .
1. Verify the site has any pressure vessels

( like compressors)
2. If yes, Check validity of the Certificate
and next due date for inspection.
Check for valid safety certificates
The Petroleum Rules, 2002
Rule 116 : License for Storage
Save as provided in Sections 7, 8 and 9 of the Act, no
person shall store petroleum except under and in
accordance with a license granted under these rules.
No license required if: (i) Class B total quantity at
any one place does not exceed 2500 ltrs and each
container does not exceed 1000 ltrs.
The Indian Boilers Act, 1923 and Rules therein

In accordance with Sections 7 and 8 of the Act, inspectors
are requested to measure and examine boilers for
registration, to examine boilers for renewal certificates, to
determine subject to the approval of the Boiler Directorate,
the pressure at which they may be allowed to work, to
grant certificate thereof and generally to convey to the
owners such orders as the Boiler Directorate may issue.
Static and Mobile Pressure Vessels (Unfired) Rules,
1981
Rule 33 : Certificate of Safety
A certificate of safety in the pro-forma (prescribed by the
Chief Controller) and signed by a competent person shall
be furnished to the licensing authority before any vessel is
used for the storage of any compressed gas or whenever
any addition or alteration to the installations or foundations
for the vessel is carried out.

check
Explosives License (applicable only if facility Check if actual storage matches the Explosives Rules, 1983
is involved in the manufacture, possession licensed capacity. Obtain copies of all Section 87 :License for Manufacture or use of explosives)
permits and list any missing permits. No person shall manufacture any explosive at any place
except in a factory or premises licensed under these rules.
Section 113 : License for possession, sale and use No person shall possess, sell or use an explosive except
under license granted under these rules.
1. Check whether the site is handling,
storing or importing any hazardous
chemicals.
Review letter of Notification of Site (if

applicable) under Manufacture,
Storage and Import of Hazardous
2. If yes, confirm total quantity used /stored Chemicals Rules, 2000. If hazardous
chemicals are present above the
on site.
specified threshold volumes at the
site, check is the site is notified as
per the said Rules
Manufacture, Storage and Import of Hazardous

Chemicals Rules, 2000
Rule 7 :Approval and
Notification of sites. (1) An occupier shall not undertake
any industrial activity unless he has submitted a written
report to the concerned authority containing the particulars
specified in Schedule 7 at least 3 months before
commencing that activity or before such shorter time as
the concerned authority may agree and for the purpose of
this paragraph an activity in which subsequently there is or
is liable to be a threshold quantity or more of an additional
hazardous chemical shall be deemed to be a different
activity and shall be notified accordingly.
Defn of MSIHC
applicability: (1) This rule shall apply to,(a) an industrial activity in which a hazardous chemical,
which satisfies any of the criteria laid down in Part I of
Schedule I and is listed in Column 2 of Part II of this
Schedule is or may be involved; and
(b) isolated storage in which there is involved a threshold
quantity of a hazardous chemical listed in Schedule 2 in
Column 2 which is equal to or more than the threshold
quantity specified in the Schedule for that chemical in
Column 3 thereof.
(2) An occupier who has control of an industrial activity in
term of sub-rule (I) shall provide evidence to show that he
has,(a) identified the major accident hazards; and
(b) taken adequate steps to (i) prevent such major accidents and o limit their
consequences to persons and the environment;
(ii) provide to The persons working on the site with the
information, training and equipment including antidotes
necessary to ensure their safely.
3. Check licenses under qn 1.3 are

required.
Review letter of Notification of Site (if

applicable) under Manufacture,
Storage and Import of Hazardous
Chemicals
Rules,
2000.on
If hazardous
Additional
Details
what to
chemicals are present
above
the
check
specified threshold volumes at the
site, check is the site is notified as
per the said Rules
1. Check whether the building is 15 mts

high, ie, approximately 4 storey
building( applies to Karnataka) for
applicability.
Reviewer should obtain copies of all In accordance with Tariff Advisory Committee Fire
authorizations and list any missing or Protection Manual
incomplete authorizations. Check all
applicable fire code authorizations.

Rule 7 :Approval and
Notification of sites.
(1)
An
occupier
shall not undertake
any industrial activity unless he has submitted a written
report to the concerned authority containing the particulars
specified in Schedule 7 at least 3 months before
commencing that activity or before such shorter time as
the concerned authority may agree and for the purpose of
this paragraph an activity in which subsequently there is or
is liable to be a threshold quantity or more of an additional
hazardous chemical shall be deemed to be a different
activity and shall be notified accordingly.
Defn of MSIHC
applicability: (1) This rule shall apply to,(a) an industrial activity in which a hazardous chemical,
which satisfies any of the criteria laid down in Part I of
Schedule I and is listed in Column 2 of Part II of this
Schedule is or may be involved; and
(b) isolated storage in which there is involved a threshold
quantity of a hazardous chemical listed in Schedule 2 in
Column 2 which is equal to or more than the threshold
quantity specified in the Schedule for that chemical in
Column 3 thereof.
(2) An occupier who has control of an industrial activity in
term of sub-rule (I) shall provide evidence to show that he
has,(a) identified the major accident hazards; and
(b) taken adequate steps to (i) prevent such major accidents and o limit their
consequences to persons and the environment;
(ii) provide to The persons working on the site with the
information, training and equipment including antidotes
necessary to ensure their safely.

2. If yes, then NOC fire department is
needed.
1. Ask for the site for their accident reporting
and recordkeeping practices.
2. Check accident log book, first aid clinic
log, etc for cases.
3. Cross check for the last 5 years if there
are cases where in the employee did not
come back to work within 48 hours.
Reviewer should obtain copies of all In accordance with Tariff Advisory Committee Fire
authorizations
list any
missing
Additional and
Details
on what
to or Protection Manual
incomplete authorizations.
Check all
check
applicable fire code authorizations.
For the past 5 years, check whether

the company has had any fatalities or
accidents that prevented any
employee from working for a period
of forty-eight hours or more after the
accident.Check accident records and
correspondence with the appropriate
agencies in the event of an incident/
accident/casualty.Review Site Visit
4. If no record kept, find out from interviews. Reports of representatives of the
Factory Inspectorate and Directorate
of Industrial Safety & Health and
confirm if corrective action was
performed as required by the
authorities

Section 88: Notice of certain accident (1) Where in any factory an accident occurs which causes
death, or which causes any bodily injury by reason of
which the person injured is prevented from working for a
period of forty-eight hours or more immediately following
the accident, or which is of such nature as may be
prescribed in this behalf, the manager of the factory shall
send notice thereof to such authorities, in such form and
within such time, as may be prescribed.
Rule 5 : Notification of Major accident (1) Where a major accident occurs on a site or in a pipe
line, the occupier shall forthwith notify the concerned
authority as identified in Schedule 5 of that accident, and
furnish thereafter to the concerned authority a report
relating to the accidents in installments, if necessary, in
Schedule 6.
(2) The concerned authority shall on receipt of the report in
accordance with sub-rule I of this rule undertake a full
analysis of the major accident and send the requisite
information to the Ministry of Environment and Forests
through appropriate channel.

1. Check records of last 5 years listing
accidents that required hospitalization for
more than 24 hours.

check
Check accident records and
Same as Above
correspondence with the appropriate
agency in the event of an incident/
accident/casualty. Review Site Visit
Reports of representatives of the
Factory Inspectorate and Directorate
of Industrial Safety & Health to
ascertain if corrective action was
performed as required by the
authorities
1. Check to see if the distance of the facility

from sensitive receptors( like hospitals,
schools, day care centre etc) is within 100
mts.
No specific Indian Regulations regulate this currently. The

sitting of Major Accident Hazard (MAH) industries is
regulated at the initial permitting stage by the state
government.
1. Check whether there is Fire Safety

Review frequency of the fire drills.
program.
Review a sampling of past fire drill
records
2. If mock drills are conducted, ask for
Critique sheet - which gives summary of the
drill, any deviations and misses and
corrective actions.
State Factories Rules, under the Factories Act, 1948

(as amended in 1987)
1. Find out how they inform employees

Check whether there is an alarm
during an emergency.
system to notify employees of
2. Check details of emergency alarm system emergency situations in all work
areas and verify if :
testing and its frequency
All areas are equipped
1. Check to see if Official Registers are kept Describe the fine or notice of violation
and its resolution. Record any
2. For each visit, there must be record in the outstanding issues and review follow
up documentation, show cause or
Register.
improvement notices, documentation
3. Compare Officer notes and check there
relating to the penalty and check
were fines/ records of violation
whether necessary corrective action

(as amended in 1987)
An occupier of an industry can be fined or penalized or

closed and/or held liable for regulatory non-compliance
issues.
Related authorities that may implement fines or penalties
to enterprises : State Pollution Control Board
Central Pollution Control Board
Factories Inspectorate

1. Check to see any visible waste water
discharge outside the property or to the
storm sewer.

check
Describe the investigation or
remediation and any follow-up,
company and enforcement action by
the government.
2. Check any waste dumping on to the soil

in and around the facility.
3. Ask for soil & groundwater testing reports
Take photographs (if
carried out internally, by a third party or by permitted ) of the vegetation on the
any authority.
site
Section 24 : Prohibition on Use of Stream or Well for
Disposal of Polluting Matter, etc.
(1) Subject to the provisions of this section (a) no person shall knowingly cause or permit any
poisonous, noxious or polluting matter determined in
accordance with such standards as may be laid down by
the State Board to enter (whether directly or indirectly) into
any 5[stream or well or sewer or on land]; or
Hazardous (Waste Management and Handling) Rules,
2003
Rule 16 : Liability of the occupier, transporter and operator
of a facility 1. The occupier, transporter and operator of a facility shall
be liable for damages caused to the environment resulting
due to improper handling and disposal of hazardous waste
listed in schedule 1, 2 and 3;
2. The occupier and operator of a facility shall also be
liable to reinstate or restore damaged or destroyed
elements of the environment at his cost, failing which the
occupier or the operator of a facility, as the case may be,
shall be liable to pay the entire cost of remediation or
restoration and pay in advance an amount equal to the
cost estimated by the State Pollution Control Board or
Committee

check
Chapter III - Constitution of India

check
Chapter 9 C - Industrial Disputes Act

check
Chapter V C - Industrial Disputes Ac
1. During the walk through watch out for

Review a representative sample of
employees who may look like a child labor - personnel records or personnel
identify and cross check.
records for several employees who
appear to be among the youngest
and attempt to determine present age
and age at the time of hiring.
Non-adult workers should have
Certificate of Fitness by a certifying
surgeon and a Register of Child
workers should be maintained.
Reviewer should also find out
whether non-adults / young persons
are working close to dangerous
machines, prime movers or
transmission machinery.

Section 67 : Prohibition of employment of young children
No child who has not completed his fourteenth year shall
be required or allowed to work in any factory.
A certifying surgeon shall, on the application of any young
person or his parent or guardian accompanied by a
document signed by the manager of a factory that such
person will be employed therein if certified to be fit for work
in a factory, or on the application of the manager of the
factory, in which any young person wishes to work,
examine such person and ascertain his fitness for work in
a factory.
Section 23, Subsection 1 : Employment of young persons
on dangerous machines:
(1) No young person shall be required or allowed to work
at any machine to which this section applies, unless he
has been fully instructed as to the dangers arising in
connection with the machine and the precautions to be
observed, and-
Review a representative sample of

personnel
records
or personnel
Additional
Details
on what to
records for several
employees who
check
2. Check a representative sample or several appear to be among the youngest
and attempt to determine present age
personnel records of young employees,
and age at the time of hiring.
certificate of fitness and register of child
workers.
Non-adult workers should have
Certificate of Fitness by a certifying
surgeon and a Register of Child
workers should be maintained.
Reviewer should also find out
whether non-adults / young persons
are working close to dangerous
machines, prime movers or
transmission machinery.

Section 67 : Prohibition
of employment
of young children
Regulatory
References
No child who has not completed his fourteenth year shall
be required or allowed to work in any factory.
A certifying surgeon shall, on the application of any young
person or his parent or guardian accompanied by a
document signed by the manager of a factory that such
person will be employed therein if certified to be fit for work
in a factory, or on the application of the manager of the
factory, in which any young person wishes to work,
examine such person and ascertain his fitness for work in
a factory.
Section 23, Subsection 1 : Employment of young persons
on dangerous machines:
(1) No young person shall be required or allowed to work
at any machine to which this section applies, unless he
has been fully instructed as to the dangers arising in
connection with the machine and the precautions to be
observed, and(a) has received sufficient training in work at the machine,
or
is under adequate supervision by a person who has a
thorough knowledge and experience of the machine.
1. Check for any workers wearing restraints Visual observation of physical

working conditions of employees, and Section 63 : Hours of work to correspond with notice under
in addition sampling of payroll records section 61 and register under section 62 to ascertain whether minimum wages No adult worker shall be required or allowed to work in any
are being paid and that employees
factory otherwise than in accordance with the notice of
2. Check any vehicles carrying employees
receive a regular paycheck
periods of work for adults displayed in the factory and the
with barred windows or other signs of
entries made beforehand against his name in the register
restraints
of adult workers of the factory
3. Check for any distinguishing clothing
patterns which suggests uniforms to identify
prisoners.
1. Examine exits and pathways during the
walk through to see if any of the exits are
locked from the outside.
Observe the manner in which

employees exit the facility at quitting
time to assess whether the exit
process appears to be supervised

(as amended in 1987) Factories Act, 1948 (as
amended in 1987)
Section 38, Subsection 1 and 2 : Precautions in case

check
process
appears
to be supervised
2. Exit doors must swing in the direction of
and
controlled.
If
the process seems
travel(outward)
to be constrained, inquires should be
1. Sample few exits to see if there is a clear Check the following :
path of escape during an emergency.
If exits are blocked or even locked
from in and outside the exits. In
2. Check the landing area immediately after addition, whether the entire escape
route including paths inside buildings
the exit door - must be flat and spacious
is kept clear of obstructions.
enough( 5x5ft)
If appropriate labels / marks on
3. Check to see if an exit path is NOT
escape routes have been put up at
leading to another room - must exit to the
the right places.
outside.
In addition may talk to employees to
find out if they have been trained in
the routine of escaping a fire or
emergency in a workplace.
1. Check to see if any outside light is

To include 3 points:1. Mark exits, 2.
possible during day time.
Mark Not an exit 3. Should be able to
2. Find out how many shifts they work - do see any exit from any place.
they work at nights.
3. If there do, need some kind of illuminating
exit sign.
4. Sign must be visible from a distance.
1. Check if potential risks related to
Check whether:
housekeeping such as oily, messy, wet
floors, protruding nails, loose boards, etc,
All areas are
exist on the site.
good
Most areas are good (note areas
2. Check general housekeeping and
cleanliness both at production, perimeter
Most areas need improvement (note
and offices
Section 38, Subsection 1 and 2 : Precautions in case
of fire (1) In every factory, all practicable measures shall be taken
Section 38, Subsection 1 and 2 : Precautions in case of
fire (1) In every factory, all practicable measures shall be taken
to prevent outbreak of fire and its spread, both internally
and externally, and to provide and maintain(a) safe means of escape for all persons in the event of a
fire, and
(b) the necessary equipment and facilities for extinguishing
fire.
(2) Effective measures shall be taken to ensure that in
every factory all the workers are familiar with the means of
escape in case of fire and have been adequately trained in
the routine to be following in such cases.
Same as above

(1) Every factory shall be kept clean and free from effluvia
arising from any drain, privy or other nuisance, and in
particular(a) accumulation of dirt and refuse shall be removed daily
by sweeping or by any other effective method from the
floors and benches of workrooms and from staircases and
passages, and disposed of in a suitable manner;
(b) the floor of every workroom shall be cleaned at least
once in every week by washing, using disinfectant, where
necessary, or by any other effective method;
manufacturing process to such extent as is capable of
being drained, effective means of drainage shall be
provided and maintained;
Check whether:

3. 50% of the EHS issues can be solved
with proper Housekeeping.

All areas are (1) Every factory shall be kept clean and free from effluvia
good
arising from any drain, privy or other nuisance, and in
particularneeding improvement)
(a) accumulation of dirt and refuse shall be removed daily
Additional
Details
on what(note
to
Regulatory
References
Most
areas need
improvement
by sweeping or by
any other effective
method from the
check
floors and benches of workrooms and from staircases and
passages, and disposed of in a suitable manner;
(b) the floor of every workroom shall be cleaned at least
once in every week by washing, using disinfectant, where
necessary, or by any other effective method;
manufacturing process to such extent as is capable of
being drained, effective means of drainage shall be
provided and maintained;
1. Can someone work efficiently with that

illumination - must be the question to ask
yourself.
Walk around the site and observe

workers operations and workstations.
In addition, comments from workers
2. Are there any dark areas/spots in the site. about lighting will help to decide
whether lighting is adequate.
Check whether

Section 17, Subsection 1, 2 and 3 : Lighting (1) In every part of a factory where workers are working or
passing, there shall be provided and maintained sufficient
and suitable lighting, natural or artificial, or both.
(2) In every factory all glazed windows and skylights used
for the lighting of the workroom shall be kept clean on both
All
the inner and outer surfaces and, so far as compliance
areas are well lit
with the provisions of any rules made under sub-section
Most areas are well lit (note areas
(3) of section 13 will allow, free from obstruction.
(3) In every factory effective provision shall, so far as is
Most areas need improvement (note practicable, be made for the prevention ofareas needing improvement)
(a) glare, either directly from a source of light or by
reflection from a smooth or polished surface;
(b) the formation of shadows to such an extent as to cause
eye-strain or the risk of accident to any worker.
1. Is there a physical/visible haze(smoke

like) present in the production areas.
2. Check to see if exhaust fans are installed
- working or not working condition.
Describe any areas of haze or

chemical mist. This may indicate that
numerical standards for chemical
exposure as prescribed in the
Factories Act & Rules are being
exceeded. Ask whether the facility
monitoring to demonstrate the
exposure is safe.
3. if not, find out what kind of air circulating

system they have (ventilation) to get fresh
air inside( air circulation /hour)

Section 41 F : Permissible limits of exposure of chemical
and toxic substances
The maximum permissible threshold limits of exposure of
chemical and toxic substances in manufacturing
processes (whether hazardous or otherwise) in any factory
shall be of the value indicated in the Second Schedule.

1. Do/did you smell anything in the
workplace
2. Find out what causes this odor something from within or coming from
outside
3. Follow the trail to see if you narrow the
source

check
Describe the odor and the area where Same as above
it is observed. This may indicate that
numerical standards for chemical
exposure as prescribed in the
Factories Act & Rules are being
exceeded. Ask whether the facility
monitoring to demonstrate the
exposure is safe.
1. Understand the place and location of the Check whether:

site and average temp conditions of the
area.
All areas are
good
2. Check to see if the workplace is
congested or densely populated.
3. Check the ceiling height of the work area Most areas need improvement (note
and adequate ventilation arrangements
4. For the kind of physical work are there
measure to keep the area comfortable to
the extend possible.
1. Are there any treatment facilities in the

site ( like Sewage treatment plant - STP,
Effluent treatment plant - ETP, etc) - are
they maintained/ working in good condition

Section 13, Subsection 1 : Ventilation and temperature
(1) Effective and suitable provisions shall be made in every
factory for securing and maintaining in every workroom(a) adequate ventilation by the circulation of fresh air, and
(b) such a temperature as will secure to workers therein
reasonable conditions of comfort and prevent injury to
health; and in particular,
(i) walls and roofs shall be of such material and so
designed that such temperature shall not be exceeded but
kept as low as practicable;
(ii) where the nature of the work carried on in the factories
involves, or is likely to involve, the production of
excessively high temperature, such adequate measures as
are practicable shall be taken to protect the workers
therefrom, by separating the process, which produces
such temperature from the workroom, by insulating the hot
parts or by other effective means.
Observe any poor water management Water (Prevention and Control of Pollution) Act, 1974
practices,such as dumping chemicals Section 24, Sub Section 1 : Prohibition on use of stream or
or wash water directly on the ground well for disposal of polluting matter, etc.
or into a waterway. Take photographs (1) Subject to the provisions of this section -(if permitted)
(a) no person shall knowingly cause or permit any
any stream or well or sewer or on land]; or
(b) no person shall knowingly cause or permit to enter into
any stream any other matter which may tend, either
directly or in combination with similar matters, to impede
the proper flow of the water of the stream in a manner

2. Ask for monitoring records
Observe any poor water management Water (Prevention and Control of Pollution) Act, 1974
practices,such as dumping chemicals Section 24, Sub Section 1 : Prohibition on use of stream or
or wash water directly on the ground well for disposal of polluting matter, etc.
or into
a waterway.
Takeon
photographs
(1) Subject to theRegulatory
provisions of
this section -Additional
Details
what to
References
(if permitted) check
(a) no person shall knowingly cause or permit any
leading or likely to lead to a substantial aggravation of
pollution due to other causes or of its consequences.
Section 7 : Persons carrying on industry operations, etc,
not to allow emission or discharge of environmental
pollutants in excess of Standards No person carrying on any industry, operation or process
shall discharge or emit or permit to be discharged or
emitted any environmental pollutants in excess of such
standards as may be prescribed.
Effective arrangements shall be made by every factory for
the treatment of wastes and effluents due to the
manufacturing process carried on therein, so as to render
them innocuous, and for their disposal.
1. Is there an isolated and assigned

place/area for waste storage.
2. Is that place sheltered, paved floor and
secured.
The reviewer needs to pay special

attention to classified hazardous
wastes, such as waste chemicals,
used oil containers, oil or chemical
stained / soaked wastes, etc.
Hazardous Waste (Management and Handling)

Amendment Rules, 2003
Rule 4A The occupier/operator
of a facility shall take adequate steps while handling
hazardous waste to contain contaminants, prevent
accidents and limit their consequences on human and the
environment; and Provide persons working on the site with
information, training and equipment necessary to ensure
their safety.

3. Check all waste and scrap areas to see if
they have secondary containment (bund
walls), proper flooring and roofs.
1. Check for good housekeeping on

chemical storage
2. Check to see if you can tell what is what
in the lot - everything must be labeled as
such (contents)
3. See if all containers are intact with no
dents /cracks
4. Check to see what kinds of chemicals
stored - are they compatible?
5. Observe how employee use, handle and
dispose.
The reviewer needs to pay special

attention to classified hazardous
wastes,
such asDetails
waste on
chemicals,
Additional
what to
used oil containers,
oil or chemical
check
stained / soaked wastes, etc.
Hazardous Waste (Management and Handling)

Amendment Rules, 2003
Rule
4A The occupier/operator
Regulatory
References
of a facility shall take adequate steps while handling
hazardous waste to contain contaminants, prevent
accidents and limit their consequences on human and the
environment; and Provide persons working on the site with
information, training and equipment necessary to ensure
their safety.
Based on visual observation check

whether drums and other storage
containers appear to be in good
condition, stored in contained areas
and well managed. Describe any
drums or other containers that are in
poor condition or poorly managed.
Take photographs (if permitted)

Chemical Rules, 2000
Rule17(4) : Collection, Development and Dissemination of
Information (4) Every container of a hazardous chemical shall be
clearly labeled or marked to identify,(a) the contents of the container,
(b) the name and address of manufacturer or importer Of
the hazardous chemical;
(c) the physical, chemical and toxicological data as per the
criteria given at Part I of Schedule 1.

1. Based on visual observation check
whether the vegetation onsite appear to be
normal for the area and the season(not
yellow or dying due to unnatural causes).

check
Check available soil & groundwater
reports. Take photographs (if
permitted ) of vegetation on the site
Section 24 : Prohibition on Use of Stream or Well for
Disposal of Polluting Matter, etc.
(1) Subject to the provisions of this section (a) no person shall knowingly cause or permit any
any 5[stream or well or sewer or on land]; or
Hazardous (Waste Management and Handling) Rules,
2003
Rule 16 : Liability of the occupier, transporter and
operator of a facility 1. The occupier, transporter and operator of a facility shall
be liable for damages caused to the environment resulting
due to improper handling and disposal of hazardous waste
listed in schedule 1, 2 and 3;
2. The occupier and operator of a facility shall also be
liable to reinstate or restore damaged or destroyed
elements of the environment at his cost, failing which the
occupier or the operator of a facility, as the case may be,
shall be liable to pay the entire cost of remediation or
restoration and pay in advance an amount equal to the
cost estimated by the State Pollution Control Board or
Committee
1. Check to see if stacks are present - look Description of

for any abnormal colour in the emission.
observations.Photographs of
stacks,sources of fugitive emissions
and air pollution control equipment

Section 22 : Persons carrying on industry, etc., and to
allow emission of air pollutants in excess of the standard
laid down by State Board No person operating any industrial plant, in any air
pollution control area shall discharge or cause or permit to
be discharged the emission of any air pollutant in excess
of the standards laid down by the State Board under
clause (g) of sub-section (1) of section 17.

2. Ask for monitoring records..
Description of
observations.Photographs
of
Additional Details on what
to
stacks,sources of
fugitive emissions
check
and air pollution control equipment

Section 22 : Persons
carryingReferences
on industry, etc., and to
Regulatory
allow emission of air pollutants in excess of the standard
laid down by State Board No person operating any industrial plant, in any air
pollution control area shall discharge or cause or permit to
be discharged the emission of any air pollutant in excess
of the standards laid down by the State Board under
clause (g) of sub-section (1) of section 17.
1. Check to see all discharges from the site Check all wastewater discharge
- any abnormal colour of discharge?
points and the surrounding areas.
2. If yes, see if there is discoloration of soil
Water (Prevention and Control of Pollution) Act, 1974

(1) Subject to the provisions of this section -(a) no person shall knowingly cause or permit any
Check all wastewater discharge

points and the surrounding areas.

check
3. Ask for monitoring records.
Water (Prevention and Control of Pollution) Act, 1974

(1) Subject to the provisions of this section -(a) no person shall knowingly cause or permit any
Effective arrangements shall be made by every factory for
the treatment of wastes and effluents due to the
manufacturing process carried on therein, so as to render
them innocuous, and for their disposal.
1. Confirm number of employees on site

total and presence of number of first aid
boxes.
Check Whether:

All work There shall in every factory be provided and maintained so
areas are equipped
as to be readily accessible during all working hours firstMost areas are equipped (note areas aid boxes or cup-boards equipped with the prescribed
contents, and the number of such boxes or cupboards to
Most areas are not equipped (note
be maintained shall not be less than one for every 150
workers ordinarily employed in the factory.
Relevant State Factories Rules, under the Factories
Act, 1948

2. Check to see if the boxes have a list of
contents and an inspection schedule
Check Whether:
All work
check
areas are equipped
Most areas are equipped (note areas

Section 45 : First-aid
appliances
Subsection 1
Regulatory
References
There shall in every factory be provided and maintained so
as to be readily accessible during all working hours firstaid boxes or cup-boards equipped with the prescribed
contents, and the number of such boxes or cupboards to
be maintained shall not be less than one for every 150
workers ordinarily employed in the factory.
Relevant State Factories Rules, under the Factories
Act, 1948

1. Check to see if alarms/ sirens are placed Check Whether:
through out the plant
All areas
2. Find out whether they are tested and
are
equipped
how frequent
3. See if employee do hear that

1. Based on the hazards site must keep
adequate and appropriate types of fire
extinguishers( sand, water, A B C types)

check
Check Whether:
All areas
are equipped
Check maintenance tags of fire
extinguishers
Section 38, Subsection 1, Art (b) : Precautions in case of
fire(1) In every factory, all practicable measures shall be taken
to prevent outbreak of fire and its spread, both internally
and externally, and to provide and maintain(b) the necessary equipment and facilities for extinguishing
fire.
2. Ask for their maintenance/inspection log

1. Carry out a visual inspection of the
canteen kitchens and the drinking water
area to ascertain whether they are clean
and hygienic
Visual observation. Take photographs Factories Act, 1948 (as amended in 1987)
(if permitted)
Section 47 : Shelters, rest-rooms and lunch-rooms (1) In every factory wherein more than one hundred and
fifty workers are ordinarily employed adequate and
suitable shelters or rest-rooms and a suitable lunch-room,
with provision for drinking water, where workers can eat
meals brought by them, shall be provided and maintained
for the use of the workers:
(2) The shelters or rest-room or lunch-room to be provided
under sub-section (1) shall be sufficiently lighted and
ventilated and shall be maintained in a cool and clean
condition.
Visual observation. Take photographs

(if permitted)
check

Section 47 : Shelters, rest-rooms and lunch-rooms (1) In every factory
wherein more
than one hundred and
Regulatory
References
fifty workers are ordinarily employed adequate and
suitable shelters or rest-rooms and a suitable lunch-room,
with provision for drinking water, where workers can eat
meals brought by them, shall be provided and maintained
for the use of the workers:
(2) The shelters or rest-room or lunch-room to be provided
under sub-section (1) shall be sufficiently lighted and
ventilated and shall be maintained in a cool and clean
condition.
1. Look for unsafe conditions - catch all

question
Observe any work practices that

appear to be unsafe and describe.
Check if notices indicating maximum
speed / safety limits are displayed
appropriately
The Factories Act, 1948 (as amended in 1987) contains a

general duty requirement for the employer to provide a
safe workplace. There may be specific requirements that
apply to specific kinds of operations (for example machine
guarding and eye protection).
1. Are there potential eye hazards ( flying,

impact, contact) present in the workarea. eye protection is required
Check Whether:

2. See how they serve and how hygienic is
the method
2. Check if the employer has identified

operations needing eye protection and
provide qualified eye protection to
employees (e.g., welding and cutting
operations).
1. Look for rotating, revolving and spinning

kinds of machines - are they guarded?
2. Check the workpractice and policy how
employees have to work in such an
environment - are they told not to wear
loose clothing, loose hair, long sleeves,
jewelry etc.

Section 35 : Protection of eyes All employees
In respect of any such manufacturing process carried on in
are wearing eye protection in eye risk any factory as may be prescribed, being a process which
areas
involvesMost employees in eye risk areas are (a) risk of injury to the eyes from particles or fragments
wearing eye protection (note areas
thrown off in the course of the process, or
(b) risk to the eyes by reason of exposure to excessive
No or very few employees are
light, the State Government may by rules require that
wearing eye protection in eye risk
effective screens or suitable goggles shall be provided for
areas (note areas needing
the protection of persons employed on, or in the
improvement)
immediate vicinity of, the process.
Reviewer needs to inspect if there is

potential danger (contact with fingers,
hand or any other part of human
body) to any employee in the
workplace from any part of a moving
machine. Check if :
All machines are equipped
Most machines are equipped (note
Most machines are not equipped
(note areas needing improvement)

Section 21 : Fencing of Machinery
1) In every factory the following, namely(i) every moving part of a prime-mover and every flywheel
connected to a prime-mover, whether the prime-mover or
flywheel is in the engine-house or not;
(ii) the headrace and tailrace of every water-wheel and
water-turbine;
(iii) any part of a stock bar which projects beyond the head
stock of a lathe; and
(iv) unless they are in such position or of such construction
as to be safe to every person employed in the factory as
they would be if they were securely fenced, the following,
namely:(a) every part of an electric generator, a motor or rotary
hand or any other part of human

body) to any employee in the
workplace from any part of a moving
machine. Check if :

All machines arecheck
equipped
3. All these must be protected by mesh or Most machines are equipped (note
metal plate ( 360 degree guarding)
Most machines are not equipped
1. Reviewer needs to check if appropriate

shoes are worn for related operations.
2. Safety shoes must protect from impact,

penetration, fall, or slip hazards..
1. Standing at 3 feet apart, if you have to

shout to communicate - assume it is noisy
area( could be >90 bB and hearing
protection required).
Check if :
1) In every factory the following, namely(i) every moving part of a prime-mover and every flywheel
connected to a prime-mover, whether the prime-mover or
flywheel is in the engine-house or not;
(ii) the headrace and tailrace of every water-wheel and
water-turbine; Regulatory References
(iii) any part of a stock bar which projects beyond the head
stock of a lathe; and
(iv) unless they are in such position or of such construction
as to be safe to every person employed in the factory as
they would be if they were securely fenced, the following,
namely:(a) every part of an electric generator, a motor or rotary
converter;
(b) every part of transmission machinery; and
(c) every dangerous part of any other machinery; shall be
securely fenced by safeguards of a substantial
construction which shall be constantly maintained and kept
in position while the parts of machinery they are fencing,
are in motion or in use.
All
employees are wearing closed shoes
Most employees are wearing closed
shoes (note areas needing
improvement)
No or very few employees are
wearing closed shoes (note areas
Check whether:
State Factories Rules

All employees In every factory, suitable engineering control or
in noisy areas are using hearing
administrative measures shall be taken to ensure, so far
protection
as is reasonably practicable, that no worker is exposed to
2. Find out whether Noise mapping (instant
Most employees in noisy areas are
sound levels exceeding the maximum permissible noise
reading survey) has been conducted to find
using hearing protection (note areas exposure levels specified
noise levels
No or very few employees in noisy
areas are using hearing protection
Check whether:
State Factories Rules

All employees In every factory, suitable engineering control or
in noisy areas are using hearing
administrative measures shall be taken to ensure, so far
protection
as is reasonably practicable, that no worker is exposed to
Most employees in noisy areas are
sound levels exceeding the maximum permissible noise
Additional
Details on
what
to
using
hearing protection
(note
areas
exposure levels specified
check
3. Noise levels of more than 90 db must be No or very few employees in noisy
posted in the area/ machine - check for
areas are using hearing protection
boards saying noise protection required.
4. Adequate protection is important based
on noise level - are earplugs(<95 db) or ear
mufflers(>95 db) provided to workers in
these areas?
5. Check whether workers are educated and
trained to wear ear protection.
6. Does Employer provide yearly Hearing
test.
1. Do employee work with Hazardous
Check if:
chemicals
2. Is anyone wearing Respirators/mask?

3. Look for engineering controls in place like dust extractors or Local Exhaust
Ventilation systems.

Section 14 : Dust and fume
All employees in (1) In every factory in which, by reason of the manufachigh dust or vapor areas are using
turing process carried on, there is given off any dust or
fume or other impurity of such a nature and to such an
Most employees in high dust or vapor extent as is likely to be injurious or offensive to the workers
areas are using breathing protection employed therein, or any dust in substantial quantities,
effective mea-sures shall be taken to prevent its inhalation
No or very few areas in high dust or and accumulation in any workroom, and if any exhaust
vapor areas are using breathing
appliance is necessary for this purpose, it shall be applied
as near as possible to the point of origin of the dust, fume
improvement)
or other impurity, and such point shall be enclosed so far
as possible.
(2) In any factory no stationary internal combustion engine
shall be operated unless the exhaust is conducted into the
open air, and no other internal combus-tion engine shall be
operated in any room unless effective measures have
been taken to prevent such accumulation of fumes there
from as are likely to be injurious to workers employed in
the room.
(1) The maximum permissible threshold limits of exposure
of chemical and toxic substances in manufacturing
high dust or vapor areas are using

Most employees in high dust or vapor
areas are using breathing protection
Additional
what
No or
very few Details
areas inon
high
dusttoor
vapor areas arecheck
using breathing
4. Check if the person is medically qualified protection (note areas needing
improvement)
to wear respirators and fit testing is done.
turing process carried on, there is given off any dust or

fume or other impurity of such a nature and to such an
extent as is likely to be injurious or offensive to the workers
employed therein, or any dust in substantial quantities,
effective mea-sures shall be taken to prevent its inhalation
References
and accumulationRegulatory
in any workroom,
and if any exhaust
appliance is necessary for this purpose, it shall be applied
as near as possible to the point of origin of the dust, fume
or other impurity, and such point shall be enclosed so far
as possible.
(2) In any factory no stationary internal combustion engine
shall be operated unless the exhaust is conducted into the
open air, and no other internal combus-tion engine shall be
operated in any room unless effective measures have
been taken to prevent such accumulation of fumes there
from as are likely to be injurious to workers employed in
the room.
(1) The maximum permissible threshold limits of exposure
of chemical and toxic substances in manufacturing
1. Are there any exposed, hanging electrical

wires?
2. Are electrical sockets overloaded with
multiple pins.
3. Are all equipments in the plant have 3
way pin( earthing).
Reviewer needs to check wiring

conditions to ensure there are no
frayed or damaged wiring, open wire
connections or extension cords..
Check if

Section 29 : Construction, installation, protection,
operation, and maintenance of electric supply lines and
apparatus (1) All electricity supply lines and apparatus shall be of
sufficient ratings for power, insulation and estimated fault
All wiring is in current and of sufficient mechanical strength, for the duty
good condition
which they may be required to perform under the
Most wiring is in good condition (note environmental conditions of installation, and shall be
constructed, installed, protected, worked and maintained
Most wiring is in poor condition (note in such a manner also ensure safety of human being,
(2) Save as otherwise provided in these rules, the relevant
Code of Practice of the Bureau of Indian Standard,
including National electrical Code, if any, may be followed
to carry out the purposes of this rule and in the event of
any inconsistency, the provisions of these rules shall
prevail.
Reviewer needs to check wiring

conditions to ensure there are no
frayed or damaged wiring, open wire
connections or extension cords..
Check if
check
All wiring is in
4. Are all electrical equipments tested to be good condition
ok for use by qualified electrician.
Most wiring is in good condition (note
Most wiring is in poor condition (note

Section 29 : Construction, installation, protection,
operation, and maintenance of electric supply lines and
apparatus (1) All electricity supply lines and apparatus shall be of
sufficient ratings for power, insulation and estimated fault
current and of sufficient mechanical strength, for the duty
which they may be required to perform under the
environmental conditions of installation, and shall be
constructed, installed, protected, worked and maintained
in such a manner also ensure safety of human being,
(2) Save as otherwise provided in these rules, the relevant
Code of Practice of the Bureau of Indian Standard,
including National electrical Code, if any, may be followed
to carry out the purposes of this rule and in the event of
any inconsistency, the provisions of these rules shall
prevail.
1. Check to see if there are any lifting

machines (exclude hoists & lifts) and /or
lifting tackles, used on site. Egs- Crane,
winch, pulley etc

Section 28(a) : Hoists and lifts exams... once every 6
months.( Elevators - passenger & cargo)...Only vertical
movement & guided on a rail.
Section 29 (1) Examination for lifting devices ( chains,
ropes, tackles, etc) required once every 12 months ... (All
types of lifting machines in an Industry)
2. SWL(safe working load) must be visibly

written on both sides of the beam on lifting
machines.
3.Competent person must exam all lifting
machines once every 12 months, including
lifting tackles/hooks.
4. Competent person certificate must be
posted by/on the machine.

check

check

check
Dormitory can be any type of housing

provided by the company to the employees.
This housing can be within the campus or
outside.
Meaning is there any restriction from
entering and leaving the housing.
Are common areas someone's responsibility
to keep it clean.
Based on the complexity of the housing,

look at emergency situations and means of
exit. If it is complex, is there a alarm system
to notify all

check

common areas and kitchens are areas that
may need fire extinguishers
Based on the complexity of the housing,
look at emergency situations and means of
exit. If it is complex, there must be atleast 2
means of exit from each floor. Apartments
are one such example.

check

Same as an industry exits cannot be
blocked.
common areas may need emergency

lighting or big dormitory type of rooms may
need
same as an industry
same as an industry
same as an industry
There should be proper means of providing

adequate water supply
Applies to countries /areas where there is
variation
self explanatory

check

self explanatory
catch all question for any unsafe conditions

in general
Min age is 18 years. If less than 18,

certificate from the Certifying Surgeon.
1. Daily hours of workif worked > 9 hrs in

a day check for payment @ double the rate
of wages. 2.Check how they mark in time
and out time and how this translates into
wage payment hrs in excess of > 48 hrs in
a week payment @ double the rate of
wages. 3. Check to see if the workers get
half an hour rest after 5 hours of work. 4.
Verify if the workers get one day holiday as
weekly holiday ?

check

Self explanatory as above. Also, including
OT, total work hours in a week not exceed
60 hours, OT of 50 hours per quarter is the
limit. With govt. permission, total hours of
work in a day not to exceed 12, spreadover
not to exceed 13 hours, total hours of work
in a week not to exceed 60 hours. 75 hours
OT with govt permission. Also, total
spreadover (time spent at factory) including
normal working hours + any break times
should not exceed 10.5 hours in a day, and
max. up to 12 hours with permission. Also,
Apprentices are not allowed to work
overtime.
same as 4.2. Calculation of overtime

payment is to be done on gross salary p.m.

check

Deductions allowed under law : 1. PF, ESI (if
applicable),Canteen,Deductions for loans if
mutually agreed, Deductions for Credit and
or Co-op Societies and other deductions
specifically authorized by the worker. For
loss of goods /money entrusted to the
employee. Housing provided by the
employer , IT , Trade Union subscription. 2.
Fines are allowed as punishment for
"Spitting" in the premises and for such other
misdemeanors as specified in the Standing
Orders.
Should be current and arrears should not

arise. Wages to be paid before the 7th day
after the last day of the wage period in
respect of which the wages are payable for
factories having less than 1000 people, and
before the 10th day for others.
Check for the personal files : 1.Employees
Personal files - In addition to age verification
check whether Original certificates are
retained in the personal files.
1. Date of payment of wages..it must be on
the 7th day of the month. 2. Wages must be
in currencyor it could be a bank transfer ..
Compare timesheet with payroll records to
confirm..

check

You can relate to Technical College students
(ITI's) kind of work.
These ITI students are 12th grade( Pre

University) pass. That means they are 18
years+
This is governed by Apprenticeship Act and
should be paid as required.

check

check
Observations during SRG audit at

Sr.
NC Description
No.
1
1.1
1.2
1.3
2.1
2.2
2.3
2.4
2.5
Housing Facilities Review: 3.1

3.2
Labor-Wage and Hour: 4.1 .

4.2
Security Mgmt Systems: 5.1

5.2
M/s. Intelux Elecronics

Dated: Pvt.Ltd.
Expected Closure date
Status
proposed 23rd Oct

GE
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SRG Audit 2014 Assessment For SQE 09102015

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Supplier Name

M/s. Intelux Elecronics Pvt.Ltd.

Question Text of the Question

Guide Note for the Question (place cursor in cell

Is this a Red Flag,

Does your company have all environmental permits required to

Does your company have all local fire code authorizations?

Do you conduct fire drills at least annually for all shifts?

Do you test the emergency alarm systems at least every six

Does your company maintain a written statement or policy

All employees must be treated equally regardless of

Question Text of the Question

Does your company maintain a written statement or policy

Guide Note for the Question (place cursor in cell

Is this a Red Flag,

Harassment, bullying, intimidation, degradation or

Does your company allow workers to freely choose whether or

Freedom of association means an employee has the

Do the employees appear to be present voluntarily (e.g. not an

If you answer no, STOP and obtain legal advice!

If you answer no, STOP and obtain legal advice!

Does the facility have clearly designated emergency exits, at

Question Text of the Question

Is the general housekeeping of the facility good? (e.g. floors,

Guide Note for the Question (place cursor in cell

Is this a Red Flag,

Does the facility have good lighting? (For example, is it easy to

Is the facility free of visible haze/chemical mist or dust in the

Is the facility free from objectionable odors in the indoor work

Are the work areas kept at a reasonable temperature (e.g. not

Are all chemicals or wastewater treated (e.g. neutralized or

Potential employee chemical exposures should be

Are all waste materials, scrap materials or garbage stored on

Are air emissions ordinary in appearance (for example, not

supply chemicals or work in progress appear in good condition,

Question Text of the Question

Guide Note for the Question (place cursor in cell

Are waterways near to the site free of discoloration or debris (no

Does the site/operation have appropriate medical emergency

Is there an alarm system to notify employees of an emergency

Are there fire extinguishers or fire fighting equipment in all areas

If the facility has a canteen or a cafeteria, is the area clean and

Are employees using eye protection in areas where there is a risk

Do machines appear to be guarded so that employees cannot

Is this a Red Flag,

The number and type or class of fire extinguishers in

Many hazards are created by moving machine parts.

Most countries have safety supply vendors that will

Question Text of the Question

Guide Note for the Question (place cursor in cell

Are employees wearing shoes appropriate for a manufacturing

At a minimum all employees should be wearing closed

Are employees in chemical processing areas (e.g. painting,

Does all wiring appear to be in good condition? (for example, it is

Does the site have an effective process to ensure that it is

Are all chemicals stored properly, in specially designated areas,

Is this a Red Flag,

Areas which are very noisy should be identified with

Potential employee chemical exposures should be

Identify if any GE restricted chemicals (see below

All containers should be in good condition, stored in an Chemical Storage

Question Text of the Question

Guide Note for the Question (place cursor in cell