alliance for water stewardship audit report - nestle...

AllianceforWaterStewardship

AuditReport-NestleWatersNorthAmerica,Inc.Ontario,CAWaterBottlingFacility

TheAWSInternationalWaterStewardshipStandard,Version1.0,April8th,2014

ReportIssuedon7/24/2017

2000PowellStreet,Ste.600,Emeryville,CA94608USA+1.510.452.8000main|+1.510.452.8001fax

www.SCSglobalServices.com

Version1-0(March2017)|©SCSGlobalServices

ClientName NestléWatersNorthAmerica,Inc.-Ontario,CAAWSReferenceNumber AWS-010-INT-SCS-00-01-0004-0022ClientAWSRepresentative/GroupManager(Role/Name/Contactinfo)

DavePalais,Ph.D.,NaturalResourceManager;[email protected]:BrendanGrady,SCSGlobalServicesTeamAuditor:NicoleMunoz,SCSGlobalServicesTechnicalExpert:IsabellaPolenghi-Gross,Ph.D.AMECFosterWheeler

Auditdates(DD-DDMonthYYYY) 11-12April,2017

AuditLocation(mainsitebeingaudited)NestléWatersNorthAmerica(NWNA)Ontario,Californiafacility;5772E.JurupaSt.,Ontario,CA91761,USA

Date(s)ofpreviousaudit(ifapplicable)FindingsfrompreviousyearSCSCertificatenumber(ifapplicable)Expirydateofpreviouscertificate(ifapplicable)

InitialauditSurveillanceaudit

AuditTeam(Role/Name)

TheAWSStandard(“theStandard”)isintendedtodrivewaterstewardship,whichisdefinedastheuseofwaterthatissociallyequitable,environmentallysustainableandeconomicallybeneficial,achievedthroughastakeholder-inclusiveprocessthatinvolvessite-andcatchment-basedactions.Goodwaterstewardsunderstandtheirownwateruse,catchmentcontextandsharedconcernsintermsofwatergovernance,waterbalance,waterqualityandImportantWater-RelatedAreas,andthenengageinmeaningfulindividualandcollectiveactionsthatbenefitpeopleandnature.TheStandardoutlinesaseriesofactions,criteriaandindicatorsforhowoneshouldmanagewateratthesitelevelandhowwatermanagementshouldbestewardedbeyondtheboundariesofasite.InthisStandard,the“site”referstotheimplementingentitythatisresponsibleforfulfillingthecriteria.Thesiteincludesthefacilityandthepropertyoverwhichtheimplementerthatisusingormanagingwater(i.e.,withdrawing,consuming,diverting,managing,treatingand/ordischargingwateroreffluentintotheenvironment)hascontrol.

ScopeofAudit(checkallapplicableboxes)

AssessmentInformation:

IntroductiontotheAllianceforWaterStewardship

TheAWSInternationalWaterStewardshipStandardVersionV1.0April8th2014

YES

YES

YES

YES,seetab9


Re-certificationauditRE-evaluationauditSingle-siteauditMulti-siteauditGroupauditIfyes,pleasedescriptionofthegroupstructureandrelationships

Summaryofsharedwaterchallenges:

TheOntarioplantislocatedintheChinoBasin,asubsetofthelargerSantaAnaRiverWatershed.ThecatchmentfortheOntariofacilityisapproximately286,000acres,containedwithinthelargerSantaAnawatershed(1.084millionacres).ThecatchmentincludesthesmallerChinoandCucamongagroundwaterbasins.Theplantcanreceivewaterfromuptosixdifferentsprings,althoughonlyoneofthese(DeerCanyon)islocatedwithinthecatchment.Themajorityofthecatchmentitselfisadevelopedurbanlandscape.

DescriptionofOperationsTheNWNAOntarioplantisawaterbottlingfacility,producingbottledwaterproductsunderthebrandnamesofArrowheadMountainSpringWater,NestléPureLifeandGerber.Thegeographicscopeofthesiteislimitedtothepropertyboundaryofthefacility.Thefacilityitselfislocatedinanurbanindustrialsetting.Waterforthebottlingfacilitycomesfromseveralsources,includinganon-sitegroundwaterwelltoproducebottledpurifiedwater,andspringwaterdeliveredbypipeortruckfromoneofseveralregionalsprings,bothinsideandoutsideofthecatchment.

Descriptionofthecatchmentinwhichtheclientoperates:

YES,seetab3

YES

YES

YES

YES

YES,seetab3


Waterscarcityhasbeenidentifiedastheprimarywatersharedwaterchallengeinthecatchment,duetothemulti-yearCaliforniadrought.CaliforniadroughtemergencyconditionswereliftedbytheGovernorinApril2017,butthewaterscarcityremainstheprimarycatchmentconcern.Othersharedwaterchallengesincludewaterqualityconcerns,particularlyfromgroundwater,andpubliceducationsurroundingwateruse.


SiteName Street Town State&ZipCode ContactPerson Email Phone Sampled

SiteList(multi-siteandgroupoperations)

GuidancePleaselistallsites/groupmembersbelowandindicatewithan'x'whichweresampled.

Multi-siteoperations:Eachsiteifamulti-siteoperationshallbeauditedonsiteduringinitial,surveillanceandre-certificationaudits.Ifaclientrequeststoaddanewsitetoamulti-sitecertificate,SCSshallconductanon-siteauditofthesiteproposedforinclusionbeforeaddingthatsitetothecertificateregister.Groupoperations:Toensurethatarepresentativesample(quantityandtype)ofgroupmembersareassessed,sampleshallincludetheGroup’scentralorheadofficeofthegroupoperation;randomselection;andjudgementalsampling.

Groupsampling(justification)NotApplicable,thecertificatecoversasinglesite.


AuditAttendence

Role/Title Openingmeeting

Documentreview

InterviewFacility

InspectionClosingmeeting

NaturalResourceManager,NWNA x x x x xNaturalResourceManager,NWNA x x x x xNaturalResourceManager,NWNA x x x x xGeologist,Haley&Aldrich x x x x xQAManager,NWNA x x xFactoryManager,NWNA x x xSpringsResourceManager,NWNA x x x x xSafety,Health,&Environment,NWNA

x x x x x

AuditAttendance

Guidance:Recordinthissectionthepeopleattendingthedifferentpartsoftheaudit.Tickthepartsoftheauditattendedbyeachperson.

Markattendancewithan'x'asappropriate

Additionalinformationonauditattendance

TheAWSInternationalWaterStewardshipStandard,Version1.0,April8th,2014

Criterion# StandardProvisionorRequirement

MajorMinorObservationConforming ObjectiveEvidence/Notes

STEP1:COMMITCriterion1.1

1.1Establishaleadershipcommitmentonwaterstewardship:Havethesenior-mostmanageratthesite,andifnecessaryasuitableindividualwithinthecorporateheadoffice,signandpubliclydiscloseacommitmentto:··UpholdtheAWSwaterstewardshipoutcomes(goodwatergovernance,sustainablewaterbalance,goodwaterqualitystatusandhealthystatusofImportantWater-RelatedAreas);··Engagestakeholdersinanopenandtransparentmanner;··Strivetocomplywithlegalandregulatoryrequirements··Respectwater-relatedrights,includingensuringappropriateaccesstosafewater,sanitationandhygieneforallworkersinallpremisesunderthesite’scontrol;··Supportandcoordinatewithpublicsectoragenciesintheimplementationofplansandpolicies,includingworkingtogethertowardsmeetingthehumanrighttowaterandsanitation.··Continuallyimproveandadaptthesite’swaterstewardshipactionsandplans;··MaintaintheorganizationalcapacitynecessarytosuccessfullyimplementtheAWSStandard,includingensuringthatstaffhavethetimeandresourcesnecessarytoundertaketheimplementation;··Supportwater-relatednationalandinternationaltreaties;··Disclosematerialonwater-relatedinformationtorelevantaudiences.

1.1.1Signedandpubliclydisclosedstatementthatexplicitlycoversallrequirements(seedetailsinCriterion1.1) C

Apledgewasreviewed,signedbythesitefactorymanager,containingallelementsdescribedinthiscriterion.

Criterion1.2

1.2Developawaterstewardshippolicy:Developaninternallyagreed-uponandcommunicatedandpubliclyavailablewaterstewardshippolicythatreferencestheconceptofwaterstewardship(asinformedbytheAWSStandard,outcomesandcriteria).1.2.1Publiclyavailablepolicythatmeetsallrequirements(seeGuidance)

C

Nestle'scorporatewaterstewardshippolicy"NestleandWater:Sustainability,Protection,andStewardship"extensivelydiscussesNestle'scommitmenttosustainable

STEP2:GATHER&UNDERSTANDCriterion2.12.1Definethephysicalscope:Identifythesite’s

operationalboundaries,thesourcesthesitedrawsitswaterfrom,thelocationswherethesitereturnsitsdischargeto,andthecatchment(s)thatthesiteaffect(s)andisreliantupon.

2.1.1Documentationormapofthesite’sboundaries CAmapofthesitewasreviewed.Themapincludesthepropertyboundariesofthefactory,aswellasdischarge,

2.1.2Namesandlocationofwatersources,includingbothwaterserviceprovider(ifapplicable)andultimatesourcewater C

Amapwiththenamesandlocationsofwatersourceswasprovided.TheOntariofacilitymayreceivespringwaterfromuptosixdifferentspringsandalsoutilizesanon-sitewell,forpurifiedproducts,thatdrawsChinoBasin

2.1.3Namesandlocationofeffluentdischargepoints,includingbothwaterserviceprovider(ifapplicable)andultimatereceivingwaterbody C

Thesitemapincludesdischargepointsandadescriptionofthereceivingbodies.WasterwaterdischargeprimarilygoestoInlandEmpireUtilitiesAgency.Stormwaterdischargeis

2.1.4Geographicaldescriptionormapofthecatchment(s) C

Amapofthesitecatchmentwasprovided.ThecatchmentfortheOntariofacilityisapproximately286,000acres,containedwithinthelargerSantaAnawatershed(1.084millionacres).ThecatchmentincludesthesmallerChino

Criterion2.22.2Identifystakeholders,theirwater-relatedchallengesandthesite’ssphereofinfluence:Identifystakeholders,documenttheirwater-relatedchallengesandexplainhowthestakeholdersarewithinthesite’ssphereofinfluence.

2.2.1Listofstakeholders,descriptionsofpriorengagementsandsummariesoftheirwater-relatedchallenges(TCWinGuidance) OBS

Alistofstakeholderswasprovidedaspartoftheaudit.StakeholderfocusforthissitehasprimarilybeenonlocalstakeholdersconcernedwiththeOntariofacilityratherthanNestle'snationalorinternationalones.NWNAhasalsodevelopedacorporateinitiativeforstakeholdermapping(calledCommunityRelationsProcess)tobetterunderstandthelocalcommunity.Thesiteunderwentastakeholdermappingexercise,rankingstakeholdersbyInfluenceandInterest;interviewswereconductedbyNWNAwithallidentifiedandinterestedstakeholdersregardingtheAWSprocess.TheauditteamconductedinterviewswithrepresentativesoflocalENGOs,theprogramandassociatedirectorsofInlandEmpireWaterkeeper,andrepresentativesoftwolocalwaterauthorities,aChinoBasinWatermasterboardmemberandtheCucamongaValleyWaterDistrictgeneralmanager.OBS2017.4wasissued:Whileconsultationswith

2.2.2Descriptionofthesite’ssphereofinfluence C

Asphereofinfluencewasprovided,althoughtheguidancetothestandardallowsforthisrequirementtobemetbyprovidingalistofthestakeholdersabilitytoinfluenceorbeinfluencedbythesite(Indicator2.2.1).Thesphereofinfluenceislimitedtocatchmentlevelstakeholders,consciouslynotincludingthelargercorporateinitiativesas

Criterion2.32.3Gatherwater-relateddataforthecatchment:Gathercredibleandtemporallyrelevantdataonthesite’scatchment'sxWatergovernance,includingcatchmentplan(s),water-relatedpublicpolicies,majorpubliclyledinitiativesunderway,relevantgoals,andallwater-relatedlegal,regulatoryrequirements;xWaterbalanceforallsourceswhileconsideringfuturesupplyanddemandtrends;xWaterqualityforallsourceswhileconsideringfuturephysical,chemicalandbiologicalqualitytrends;xImportantWater-RelatedAreas,includingtheiridentificationandcurrentstatus,whileconsideringfuturetrends;xInfrastructure’scurrentstatusandexposuretoextremeeventswhileconsideringexpectedfutureneeds.(TCWinGuidance)

2.3.1Listofrelevantaspectsofcatchmentplan(s),significantpubliclyledinitiativesand/orrelevantwater-relatedpublicpolicygoalsforthesite(TCWinGuidance) C

AlistofOntarioGovernanceandSiteLinkageswasprovided,includinglistofdifferentcatchmentplans,publicpolicygoalsandsitelevelopportunities.

2.3.2List,anddescriptionofrelevance,ofallapplicablewater-relatedlegalandregulatoryrequirements,includinglegallydefinedandcustomarywaterrightsandwater-userights C

Alistofpermitsandregulatoryrequirements,wasreviewed,includingpermitsissuedbypublichealthdepartment,regionalwaterqualitycontrolboard,andotherregulators.

2.3.3Catchmentwaterbalancebytemporallyrelevanttimeunitandcommentaryonfuturesupplyanddemandtrends(TCWinGuidance) OBS

Acatchmentwaterbalancewasprovided.However,insomecasesdataarepresentedasmulti-yearclimaticvalues.OBS2017.5wasissued:Catchmentwaterbalancedatawasinsomecasespresentedasamulti-yearaverage,whichcouldhavetheeffectofmutingevidenceoftrends.Guidanceinthestandardsuggestsagoalofmonthlydatacollectioninordertomaintaintemporallyrelevantdata.Ifsuchdataisnotavailable,thesiteshouldworkwithpublic

2.3.4Appropriateandcrediblymeasureddatatorepresentthephysical,chemicalandbiologicalstatusofthesite’swatersource(s)bytemporallyrelevanttimeunit,andcommentaryonanynticipatedfuturechangesinwaterquality C

Allwatersourcesundergoannualqualitytesting.Resultsofthesetestswerereviewedformultiplesources.

2.3.5DocumentationidentifyingImportantWater-RelatedAreas,includingadescriptionoftheircurrentstatusandcommentaryonfuturetrends(TCWinGuidance) OBS

ListofIWRAsitesoriginallyproposedbyNWNAwaspresentedandhadbeenreviewedwithstakeholders.OBS2017.6wasissued:ImportantWaterRelatedAreasweredesignatedbyNWNA.However,designationofthesecouldbeimprovedthroughstakeholderconsultationastotheaccuracyoftheIWRAs.Forexample,someriparianareas

2.3.6Existing,publiclyavailablereportsorplansthatassesswater-relatedinfrastructure,preferablywithcontentexploringcurrentandprojectedsufficiencytomeettheneedsofwaterusesinthecatchment,andexposuretoextremeevents(TCWinGuidance) C

Areferencedocumentwasprovidedwithalistofpublicallyavailablereportsofwater-relatedinfrastructure.Inthecaseofextremeevents,NWNAwouldlikelybecalledupontosupplywaterinemergencyresponse.

Criterion2.42.4Gatherwater-relateddataforthesite:Gathercredibleandtemporallyrelevantdataonthesite’s:xGovernance(includingwaterstewardshipandincidentresponseplan);xWaterbalance(volumetricbalanceofwaterinputsandoutputs);xWaterquality(physical,chemicalandbiologicalqualityofinfluentandeffluent)andpossiblesourcesofwaterpollution;xImportantWater-RelatedAreas(identificationandstatus);xWater-relatedcosts(includingcapitalinvestmentexpenditures,waterprocurement,watertreatment,outsourcedwater-relatedservices,water-relatedR&Dandwater-relatedenergycosts),revenuesandsharedvaluecreation(includingeconomicvaluedistribution,environmentalvalueandsocialvalue).

2.4.1Copiesofexistingwaterstewardshipandincidentresponseplans(TCWinGuidance) C

ReviewedincidentresponseplancontainedaspartoftheStormwaterPollutionPreventionPlan(SWPP)andSpillPreventionControlandCountermeasurePlan(SPCCP).

2.4.2Sitewaterbalance(inMm3orm3)bytemporallyrelevanttimeunitandwater-useintensitymetric(Mm3orm3perunitofproductionorservice)(TCWinGuidance) C

AllNWNAsitesarerequiredtoconductwatermaps,containinginputsandoutputsofwaterateachfacility.Thereisextensivemappingwithmeteringateachstageofthebottlingprocess.Anexampleofimplementationofthewatermapwasitsidentificationofspillagefrombottlingasasurprisinglylargewaterlossarea.Datarecordedcontinuously(daily)issummedmonthly.Thesiteutilizesa

2.4.3Appropriateandcrediblymeasureddatatorepresentthephysical,chemicalandbiologicalstatusofthesite’sdirectandoutsourcedwatereffluentbytemporallyrelevanttimeunit,andpossiblepollutionsources(ifnoted)(TCWinGuidance) C

Reviewedanalyticalreportsofwastewatereffluent.TheNWNAsitedischargesmostwastewaterthrougha"brineline"thatisroutinelymonitoredforchemicalcomposition.NWNAisnotifiedandmustrespondiftheeffluentqualityisoutofrequiredlimits(e.g.ifpHexceedscertain

2.4.4Inventoryofallmaterialwater-relatedchemicalsusedorstoredon-sitethatarepossiblecausesofwaterpollution C

Alistofallchemicalsonsitewasprovided.Chemicalstoragewasinspectedduringauditofthefacility.

2.4.5Documentationidentifyingexisting,orhistoric,on-siteImportantWater-RelatedAreas,includingadescriptionoftheirstatus C

On-siteIWRAswereidentified,alongwithcurrentandprojectedstatus.Themainsiteisthegroundwaterboreholefortheon-sitewellandthepreviousabandoned

2.4.6Listofannualwater-relatedcosts,revenuesanddescription/quantificationofsocial,environmentaloreconomicvaluegeneratedbythesitetothecatchment NC

FinancesarecompiledandreviewedbyNWNAcorporateheadquarters.Normallydataisreviewedregionally,notatthelevelofindividualsitessuchastheOntariofacility.CAR2017.1wasissued:Thestandardasksforalistofannualwater-relatedcosts,revenuesanddescription/quantificationofsocial,environmentaloreconomicvaluegeneratedbythesitetothecatchment.Sitelevelcostswerepresented,howevereconomicvalueistrackedataproductlevelandspecificdatawasnot

Criterion2.52.5Improvethesite’sunderstandingofitsindirectwateruse:Identifyandcontinuallyimprovethesite’sunderstandingof:xItsprimaryinputs,thewateruseembeddedintheproductionofthoseprimaryinputsand,wheretheirorigincanbeidentified,thestatusofthewatersattheoriginoftheinputs;xWaterusedinoutsourcedwater-relatedserviceswithinthecatchment.(TCWinGuidance)

2.5.1Listofprimaryinputswiththeirassociatedembeddedannual(orbetter)wateruseand(whereknown)theircountry/region/orcatchmentoforiginwithitslevelofwaterstress C

Alistofinputshadbeencreatedaspartofawaterfootprintinganalysis,analysisincludessourcewaterforbottlingaswellaswateruseassociatedwithpackaging,transportation,cooling,andendoflife.Waterfromspringsoutsideofthecatchmentisaccountedforinthe

2.5.2Listofoutsourcedservicesthatconsumewateroraffectwaterqualityandboth(A)estimatedannual(orbetter)waterwithdrawalslistedbyoutsourcedservices(Mm3orm3)and(B)appropriateandcrediblymeasureddatatorepresentthephysical,chemicalandbiologicalstatusoftheoutsourcedannual(orbetter)watereffluent NC

CAR2017.2wasissued:Theanalysisofwaterusebyoutsourcedserviceproviderswaspresentedatanationallevel.Thislargescopeapproachtotheeffortoverlookedkeysuppliersspecifictothesite,includinganon-sitebottlemanufacturer.

Criterion2.62.6Understandsharedwater-relatedchallengesinthecatchment:Baseduponthestatusofthecatchmentandstakeholderinput,identifyandprioritizethesharedwater-relatedchallengesthataffectthesiteandthataffectthesocial,environmentaland/oreconomicstatusofthecatchment(s).Inconsideringthechallenges,thedriversoffuturetrendsandhowtheseissuesarecurrentlybeingaddressedbypublic-sectoragenciesmustallbenoted.2.6.1Prioritizedandjustifiedlistofsharedwaterchallengesthatalsoconsidersdriversandnotesrelatedtopublic-sectoragencyefforts(TCWinGuidance) C

Aprioritizedlistofsharedwaterchallengeswasprovided,withdroughtandprojectedwaterscarcitybeingthenumberonechallenge.OtherSWCincludewaterquality,

Criterion2.72.7Understandandprioritizethesite’swaterrisksandopportunities:Baseduponthestatusofthesite,existingriskmanagementplansand/ortheissuesidentifiedin2.6,assessandprioritizethewaterrisksandopportunitiesaffectingthesite.(TCWinGuidance)

2.7.1Prioritizedlistofwaterrisksfacingthesite,notingseverityofimpactandlikelihoodwithinagiventimeframe C

Aprioritizedlistofwaterrisksforthesitewasprovided,matchingthesharedwaterchallengesandtheirpriority(drought,waterquality,publiceducation,andwateruseefficiency).Riskswereprioritizedbasedontheseverityof

2.7.2Prioritizedlistofwater-relatedopportunitiesforthesite C

Aprioritizedlistofwateropportunitieswasalsoprovided,matchingtherisks.Forexample,bettermanagementofwaterresourcesislistedasapotentialresponsetothe

2.7.3Estimateofpotentialsavings/valuecreation NCCAR2017.3wasissued:Thestandardasksforanestimateofpotentialsavings/valuecreation.Opportunitieswere

STEP3:PLANCriterion3.13.1Developasystemthatpromotesandevaluateswater-

relatedlegalcompliance:Develop,orreferto,asystemthatpromotesandperiodicallyevaluatescompliancewiththelegalandregulatoryrequirementsidentifiedinCriterion2.3.3.1.1Documenteddescriptionofsystem,includingtheprocessestoevaluatecomplianceandthenamesofthoseresponsibleandaccountableforlegalcompliance(TCWinGuidance) C

NWNA/OntarioCompliancematrixwasreviewed,includingindividualpermitsandthestaffpeoplereponsibleforensuringcompliancetothem.Anannualenvironmentalauditisconductedeveryyeartoensurethatcomplianceis

Criterion3.23.2Createasitewaterstewardshipstrategyandplan:Developaninternallyavailablewaterstewardshipstrategyandplanforthesitethataddressesitssharedwaterchallenges,risksandopportunitiesidentifiedinStep2andthatcontainsthefollowingcomponents(seeGuidanceforplantemplate):xastrategythatconsidersthesharedwaterchallengeswithinthecatchment,waterrisksforthesite(notinginparticularwheretheseareconnectedtoexistingpublic-sectoragencycatchmentgoals)andthesite’sgeneralresponse(fromCriteria2.6and2.7)xaplanthatcontains:oAlistoftargets(baseduponCriterion2.7)tobeachieved,includinghowthesewillbemeasuredandmonitored.Note:whereidentifiedasasharedwaterchallenge,thesetargetsmustbecontinuallyimprovingforthefourwaterstewardshipoutcomesuntilsuchtimeasbestpracticeisachieved;oAlistofannualactionsthatlinkstothelistoftargets;oAbudgetfortheproposedactionswithcost/benefitfinancialinformation(based,inpart,uponfinancialdatafrom2.7);oAnassociatedlistindicatingwhowillundertaketheactions(i.e.,whoisresponsibleforcarryingoutthework)andwhowillensurethattheworkiscompleted(i.e.,whoisaccountableforachievingthetarget),includingactionsofotheractorsinthecatchment;oAbriefexplanationthatspeakstohowtheproposedactionswillaffect:(A)water-riskmitigation,(B)waterstewardshipoutcomesand(C)sharedwaterchallenges.

3.2.1Availablewaterstewardshipstrategy C

AwaterstewardshipstrategywascreatedaspartoftheAWSprocess.Itisashortdocument,discussinghigherlevelsharedwaterchallenges,suchasdrought,andlayingoutkeyobjectivestobedevelopedinmoredetailinthe

3.2.2Availableplanthatmeetsallcomponentrequirementsandaddressessiterisks,opportunitiesandstakeholdersharedwaterchallenges(TCWinGuidance) OBS

AdetailedwaterstewardshipplanwascreatedaspartoftheAWSprocess.Theplanisbrokenintoobjectives,targets,andactions.Thereareapproximately20differentactionscorrespondingtodifferenttargets,eachwiththeirownmetrics,budget,responsibleperson,status,andothercriteria.OBS2017.7wasissued:Thetargetsandobjectivesidentifiedinthesitewaterstewardshipplandonotall

Criterion3.33.3Demonstrateresponsivenessandresiliencetowater-relatedrisksintothesite’sincidentresponseplan:Addtoormodifythesite’sincidentresponseplantobebothresponsiveandresilienttothewater-relatedrisksfacingthesite.

3.3.1Adescriptionofthesite’seffortstoberesponsiveandresilienttowater-relatedissuesand/orrisksinanappropriateplan(TCWinGuidance) C

Existingincidentresponseplansfortheplantwerealreadyinplaceforwaterriskssuchaschemicalspills.NWNAcreatedaSouthernCaliforniaDroughtContingencyPlantoevaluatealternatesourcesofwaterforthefactoryduring

Criterion3.43.4Notifytherelevant(catchment)authorityofthesite’swaterstewardshipplans:Contacttheappropriatecatchmentauthority/agency(ifany)andinformthemofthesite’splanstocontributetothewaterstewardshipobjectivesoftheircatchmentplanasidentifiedinCriterion2.3.(TCWinGuidance)

3.4.1Documentedevidenceofcommunicatingthesite’splantotherelevantcatchmentauthority/agency C

AuditorsreviewedtheAWSoutreachlog,includingcommunicationswithcatchmentauthoritiesabouttheAWSprocess.Inpersonstakeholderinterviewsconfirmedthis.NWNAhasinthepastreviewedandcommentedon

STEP4:IMPLEMENT

Criterion4.14.1Complywithwater-relatedlegalandregulatoryrequirementsandrespectwaterrights:Meetallapplicablelegalandregulatoryrequirementsrelatedtowaterbalance,watermanagementandImportantWater-RelatedAreasaswellaswater-relatedrights.AsnotedinCriteria1.1and3.2,where,throughitswateruse,thesiteiscontributingtoaninabilitytomeetthehumanrighttosafedrinkingwaterandsanitation,thesitemustalsocontinuallyworkwithrelevantpublicsectoragenciesuntilthisbasichumanrighttowaterandsanitationisfulfilled.4.1.1Documentationdemonstratingcompliance(TCWinGuidance) C

Sitelevelcompliancematrixwasprovided,alongwithcopyofthesite'senvironmentalauditreport.

4.1.2(Catchmentswithstakeholderswhohaveanunmethumanrighttosafedrinkingwaterandsanitation)Documentationofeffortstoworkwithrelevantpublicsectoragenciestofulfilhumanrighttosafedrinkingwaterandsanitation. C

Interviewswithcatchmentwatermanagersdonotindicateanyunmethumanrightneedsinthecatchment.NWNAdoesbecomeinvolvedbyprovidingbottledwaterincrisissituationswhensuchaneeddoesarise,butsuchaneventhasnotoccurredwithinthiscatchment.

Criterion4.24.2Maintainorimprovesitewaterbalance:Meetthesite’swaterbalancetargets.AsnotedinCriterion3.2.,wherewaterscarcityisasharedwaterchallenge,thesitemustalsocontinuallydecreaseitswaterwithdrawalsuntilbestpracticesaremetandworkwithrelevantpublicsectoragenciestoaddresstheimbalanceandsharedwaterchallenge.Note:ifasitewishestoincreaseitswateruseinawaterscarcecontext,thesitemustcausenooverallincreaseinwaterscarcityinthecatchmentanddepletionofthesite’swatersource(s)andencouragerelevantpublicsectoragenciestoaddresstheunlawfulwaterusecontributingtotheimbalanceinthecatchment.(TCWinGuidance)

4.2.1Measurement-basedevidenceshowingthattargetshavebeenmet C

Thesitehascurrentlybeenimprovingwaterbalancethroughreductionsinwateruseasidefromsourcewateruse(e.g.xeriscaping,manufacturingwaterrecyclingsystemwhichrecycles8milliongallons/year).NWNA'sgoal

4.2.2(Waterscarcecatchmentsonly)Evidenceofcontinualdecreaseorbestpractice OBS

Thesiteiswithinawaterscarcecatchment;NWNAhasbeenworkingwithwateragenciesinpublic/privatepartnershiptomakingadditionalwateravailable.Forexample,theCucamongaWaterDistrictthroughwatertreatment,makingpreviouslyunusablewaterpotablethroughawellwatertreatment.NWNAcommitted$970kforbiotawelltreatmentcausedfromlegacypesticides,whichwillresultinapproximately237milliongallons/yearofpotablewater;NWNAconvertedtoxeriscapingaroundthesiteinordertoreducelandscapeirrigationneedsbyapproximately5milliongallons/year.OBS2017.8wasissued:Thesiteislocatedinawaterscarcearea,andthereforethesitemustcontinuallydecreaseitswaterwithdrawals.NWNAhastakenaffirmativestepstodecreasewateruseonthesite,e.g.withwastewaterrecycling.Howeverprojectionsareforanincreaseinproductionoverthenextfewyears,whichwouldnecessitateanincreaseinwateruseforbottling.ItiscurrentlyunclearwhetherNWNA'snetwateruseatthe

4.2.3(Siteswishingtoincreasewithdrawalsinwaterscarcecatchmentsonly)Evidenceofnonetincreaseinwaterscarcity OBS See4.2.2

Criterion4.34.3Maintainorimprovesitewaterquality:Meetthesite’swaterqualitytargets.AsnotedinCriterion3.2.,wherewaterqualitystressisasharedwaterchallenge,thesitemustalsocontinuallyimproveitseffluentfortheparametersofconcernuntilbestpracticesaremetandworkwithrelevantpublicsectoragenciestoaddresstheimbalanceandsharedwaterchallenge.Note:ifasitewishestoincreaseitswateruseinawaterstressedcontext,thesitemustcausenooverallincreaseinthedegradationofwaterqualityinthecatchmentanddegradationofthesite’swatersource(s)andencouragerelevantpublicsectoragenciestoaddresstheunlawfulwaterusecontributingtothedegradationinthecatchment.

4.3.1Measurement-basedevidenceshowingthattargetshavebeenmet C

Measurementsystemisinplaceforwaterqualitytargetsthroughoutthesite,datafrompreviousmonitoringreportswasreviewed.

4.3.2(Waterquality-stressedcatchmentsonly)Evidenceofcontinualimprovementorbestpractice NA

Notapplicable,waterqualityisnotasharedwaterchallengeinthiscontext.

4.3.3(Siteswishingtoincreaseeffluentlevelsofwaterqualityparametersofconcerninwaterquality-stressedcatchmentsonly)Evidenceofnonetdegradationinwaterqualityinthecatchment NA

Notapplicable,waterqualityisnotasharedwaterchallengeinthiscontext.

Criterion4.44.4Maintainorimprovethestatusofthesite’sImportantWater-RelatedAreas:Meetthesite’stargetsforImportantWater-RelatedAreasatthesite.AsnotedinCriterion3.2.,whereImportantWater-RelatedAreadegradationisasharedwaterchallenge,thesitemustalsocontinuallyimproveitsImportantWater-Relatedeffortsuntilbestpracticesaremet,andthesitemustnotknowinglycauseanyfurtherdegradationofsuchareasonsite.(TCWinGuidance)4.4.1Documentedevidenceshowingthattargetshavebeenmet C

MaintenancegoalsforIWRAshavebeenset,ongoingconformancetoseewhetherthetargetsaremetwillneed

4.4.2(DegradedImportantWater-RelatedAreacatchmentsonly)Evidenceofcontinualimprovementorbestpractice NA

IWRAsarenotidentifiedasasharedwaterchallengeinthecatchment.

Criterion4.54.5Participatepositivelyincatchmentgovernance:Continuallycoordinateandcooperatewithanyrelevantcatchmentmanagementauthorities’efforts.AsnotedinCriterion3.2,wherewatergovernanceisasharedwaterchallenge,thesitemustalsocontinuallyimproveitseffortsuntilbestpracticesaremet(TCWinGuidance)

4.5.1Documentedevidenceofthesite’songoingeffortstocontributetogoodcatchmentgovernance C

Thecatchmentisinanadjudicatedwaterbasin,inwhichwithdrawalsfromgroundwatersourcesareregulatedbyanappointedcatchmentmanagerknownasawatermaster.Thereisongoingandfrequent

4.5.2(Weakwatergovernancecatchmentsonly)Evidenceofcontinualimprovementorbestpractice NA Watergovernanceisnotidentifiedasasharedchallenge.

Criterion4.64.6Maintainorimproveindirectwaterusewithinthecatchment:Contactthesite’sprimaryproductsuppliersandwater-relatedserviceproviderslocatedinthecatchmentandrequestthattheytakeactionstohelpcontributetothedesiredwaterstewardshipoutcomes.4.6.1Listofsuppliersandserviceproviders,alongwiththeactionstheyhavetakenasaresultofthesite’sengagementrelatingtoindirectwateruse C

Alistofnationalsuppliersandoutsourcedserviceproviderswasprepared.Themajorityofinputprovidershavecompiledwaterusagedata.

Criterion4.74.7Provideaccesstosafedrinkingwater,adequatesanitationandhygieneawareness(WASH)forworkerson-site:Ensureappropriateaccesstosafewater,effectivesanitationandprotectivehygieneforallworkersinallpremisesunderthesite’scontrol.

4.7.1Listofactionstakentoprovideworkersaccesstosafewater,effectivesanitationandprotectivehygiene(WASH)on-site(TCWinGuidance) C

NWNAusesaself-assessmenttoolateachsitetoreviewaccesstodrinkingwater,sanitationandhygieneawareness(WASH).Thenatureoftheproductmadeatthefacilityrequiresstrictadherencetotheseprincipals.Nomajor

Criterion4.84.8Notifytheownersofsharedwater-relatedinfrastructureofanyconcerns:Contacttheownersofsharedwater-relatedinfrastructureandactivelyhighlightanyconcernsthesitemayhaveinlightofitsrisksandsharedwaterchallenges.

4.8.1Listofindividualscontactedandkeymessagesrelayed(TCWinGuidance) C

AkeypieceofsharedinfrastructureexistsbetweenNWNAandalocalwaterutility.Sharedmaintenanceactivitiesareperformedonthisinfrastructure.Notedinthestakeholder

STEP5:EVALUATECriterion5.15.1Evaluatethesite’swaterstewardshipperformance,

risksandbenefitsinthecatchmentcontext:Periodicallyreviewthesite’sperformanceinlightofitsactionsandtargetsfromitswaterstewardshipplantoevaluate:xGeneralperformanceintermsofthewaterstewardshipoutcomes(consideringcontextandwaterrisks),positivecontributionstothecatchment,andwater-relatedcostsandbenefitstothesite.(TCWinGuidance)

5.1.1Post-implementationdataandnarrativediscussionofperformanceandcontext(includingwaterrisk) OBS

Opportunitiestoevaluatepost-implementationperformanceisstilllimited.NWNAdidundergoapre-assessment,whichcanbeusedasaninitialevaluationofAWSperformance,andmanyissuesidentifiedinthepre-assessmentreporthavebeenaddressed.OBS2017.9wasissued:Dataandrecordspresentedduringtheauditwerenotalwaysofaconsistenttimeperiod,withsomedata

5.1.2Totalamountofwater-relatedcosts,costsavingsandvaluecreationforthesitebasedupontheactionsoutlinedin3.2(drawnfromdatagatheredin2.4.6) C

AstheAWSstandardisstillinitsinitialimplementationphase,thiswillbereviewedduringfutureassessments.

5.1.3Updateddataforindicator2.4.7oncatchmentsharedvaluecreationbasedupontheactionsoutlinedin3.2 C

AstheAWSstandardisstillinitsinitialimplementationphase,thiswillbereviewedduringfutureassessments.

Criterion5.25.2Evaluatewater-relatedemergencyincidentsandextremeevents:Evaluateimpactsofwater-relatedemergencyincidents(includingextremeevents),ifanyoccurred,anddetermineeffectivenessofcorrectiveandpreventivemeasures.Factorlessonslearnedintoupdatedplan.

5.2.1Documentedevidence(e.g.,annualreviewandproposedmeasures) C

Nowaterrelatedemergencyeventsoccurredinthepast10years(mostrecenteventwouldhavebeenawildfirenearaspringsitein2003);Adroughtmitigationplanisinplace.Minoreventshaveoccurredonsite,suchasdieselspill,whichwascleanedusingappropriatespillkitsanddisposedofbyathirdpartywastespecialists.Anannual

Criterion5.35.3Consultstakeholdersonwater-relatedperformance:Requestinputfromthesite’sstakeholdersonthesite’swaterstewardshipperformanceandfactorthefeedback/lessonslearnedintotheupdatedplan.

5.3.1Commentarybytheidentifiedstakeholders(TCWinGuidance) OBS

StakeholdercommentsweresummarizedparticularlyinresponsetoimplementationoftheAWSstandard.OBS2017.10wasissued:Recordsofstakeholdercommentsdidnotincludethefullspectrumofstakeholderperspectives.ItwasdiscussedduringtheauditthatstakeholdersopposedtoNWNA'swaterusewerecontacted,butchosenottoactivelyengageintheAWSprocess.Therecordsofstakeholdercommentswouldbeimprovedifall

Criterion5.45.4Updatewaterstewardshipandincidentresponseplans:Incorporatetheinformationobtainedintothenextiterationofthesite’swaterstewardshipplan.Note:updatingdoesnotapplyforinitialroundofStandardimplementation.5.4.1Modificationstowaterstewardshipandincidentresponseplansincorporatingrelevantinformation(TCWinGuidance) NA Thiscriterionwillbereviewedduringfutureassessments.

STEP6:COMMUNICATE&DISCLOSE

Criterion6.16.1Disclosewater-relatedinternalgovernance:Publiclydisclosethegeneralgovernancestructureofthesite’smanagement,includingthenamesofthoseaccountableforlegalcompliancewithwater-relatedlawsandregulations.6.1.1Disclosedandpubliclyavailablesummaryofgovernanceatthesite,includingthoseaccountableforcompliancewithwater-relatedlawsandregulations(TCWinGuidance) C

Anorganizationalchartlistingkeypersonnelisavailableuponrequestandpresentedduringfacilityopenhousesandpublicmeetings.

6.2Discloseannualsitewaterstewardshipperformance:Disclosetherelevantinformationaboutthesite’sannualwaterstewardshipperformance,includingresultsagainstthesite’stargets.(TCWinGuidance)

6.2.1Disclosedsummaryofsite’swaterstewardshipresults C

Astakeholderpresentationwasreviewed,discussingthesite'swaterstewardshipperformance.Thestakeholderpresentationwasmostrecentlygiventocatchmentwater

6.3Discloseeffortstoaddresssharedwaterchallenges:Publiclydisclosethesite’ssharedwaterchallengesandreportonthesite’seffortstohelpaddressthesechallenges,includingalleffortstoengagestakeholdersandcoordinateandsupportpublic-sectoragencies.(TCWinGuidance)6.3.1Disclosedandpubliclyavailabledescriptionofsharedchallengesandsummaryofactionstakentoengagestakeholders(includingpublic-sectoragencies) C

Astakeholderpresentationwasreviewed,discussingthesite'swaterstewardshipperformance.Thestakeholderpresentationwasmostrecentlygiventocatchmentwater

6.4Drivetransparencyinwater-relatedcompliance:Makeanysitewater-relatedcomplianceviolationsavailableuponrequestaswellasanycorrectiveactionsthesitehastakentopreventfutureoccurrences.Note:anysite-basedviolationthatcanposeanimmediatematerialthreattohumanorecosystemhealthfromuseoforexposuretosite-relatedwatermustbereportedimmediatelytorelevantpublicagencies.

6.4.1Availablelistofwater-relatedcomplianceviolationswithcorrespondingcorrectiveactions C

Allviolationsarepubliclyavailablethroughregulatoryreporting.Thesitehasneverhadapenalty.7totalviolationsoccurredsince2006.MostviolationswererelatedtopHregulation,resultinginreplacementofthesystemin2011.Violationshavebeenself-reported.

6.5Increaseawarenessofwaterissueswithinthesite:Strivetoraisetheunderstandingoftheimportanceofwaterissuesatthesitethroughactivecommunications.

6.5.1Recordofawarenessefforts(datesandcommunication)and,ifpossible,levelofawareness(TCWinGuidance) C

Plant-widemeetingsincludeAWSreferences,includingwaterrelatedconcernswithinthefactory.AllCAstaffweregivendroughtkits.Monthlypresentationstostaff,asoftheaudit(April12,2017)themostrecentpresentationwasMarch6,2017.Staffareengagedinwaterissues,bringinguptopicssuchaswaterfillingspillage;


AllianceforWaterStewardshipCertificationRequirements,Version1.0,July2015

Yes No N/A7CommunicationofAWSAssets7.1General7.1.3OnlythosepersonsorentitieswhohaveobtainedauthorizationshallbepermittedtocommunicatereferringtoAWSassets.7.1.4AllusemustbeusedinconformitywiththecurrentAWSrequirements.7.1.5AWSrequiresthatimplementersandclientscontrolalloftheircommunicationsinrelationtoanyAWSasset(s).7.1.6CABsshallreviewtheclient’suseofAWSassetsatallconformityassessments,surveillanceaudits,andre-assessments.7.1.7ContinuingcertificationshallbeconditionaluponclientsdemonstratingcontroloverallcommunicationsreferringtoconformancewiththeAWSStandardandtheAWSVerificationSystem,includingtheuseofallAWSassets.Thiscontrolmustcover:7.1.7.1business-to-businesscorrespondenceandsalesdocumentation;7.1.7.2alluseofAWSassetsoff-product(e.g.,inpromotionalmaterial,reportsortomedia);and7.1.7.3anyapprovedAWSassetsthataredevelopedinthefuture.7.1.8Fortheavoidanceofdoubt,atpresent,AWSassetsarenotallowedindirectconsumercommunication(e.g.,onproductlabels).7.1.9AdditionalguidanceonthecommunicationofAWSassetsisfoundinAppendix2[copiedtotherightofthischecklistforyourconvienience].7.2AWSClaims7.2.1ThecurrentlistofAWSclaimsisshowninTable6[copiedtotherightofthischecklistforyourconvenience.]7.4CertifiedClaims,SingleSite7.4.4TheauthorizationforuseofAWSassetsshallremainvalidfortheperiodofcertificatevalidity.7.4.4.2Uponsuspensionofacertificate(e.g.duetounresolvedmajornon-conformities),theclient’sauthorizationtouseAWSassetsshallexpire.7.4.5CertifiedclientsmaymakeeitherofthefollowingtwoAWSclaims:7.4.5.1Version1c;and/or7.4.5.2Version2c.7.5CertifiedClaims,Multi-SiteandGroupOperations7.5.1AWSassetscanbecommunicatedbyorganizationsthatarecertifiedundertheAWSgrouprequirementsbutmustbeapprovedbythecentraloffice(i.e.,theAWSGroupRepresentative)responsibleformanagingthegroupoperation.ThecentralizeduseofAWSassetsshallbemanagedbythiscentralofficeandmayincludeanetworkoflocaloffices.7.5.2Multi-siteorganizationsshallseekapprovalfromAWSinwritingatleastthirty(30)daysinadvanceofanyproposedusageofAWSassets.7.6CorporateClaims7.6.1SelectAWSassetscanbecommunicatedbyentitiesthatownorcontrolmultiplesiteswithindependentself-verification(s)and/orcertification(s).Suchentitiesmaybeprivateorpublic(e.g.,corporationsorpublicsectoragencies)andmusthaveatleastoneself-verifiedsiteoronecertifiedsitetobeeligibletomakeuseoftheassetsdescribedbelow.7.6.1.1Note:Priortotheentitiesdescribedin7.6.1usingAWSassets,thoseentitiesshallseekapprovalfromAWSinwritingatleastthirty(30)daysinadvanceofanysuchproposedusage.7.6.2AccesstoAWSassetsiscontingentontypeofassessmentperformedonthemulti-siteoperation:7.6.2.1Entitieswithcertificationofmulti-siteoperationsareallowedtoemploythefullrangeofAWSassetspermittedundercertificationcommunications(seeAppendix2).7.6.2.2Entitieswithself-verificationofmulti-siteoperationswillonlybepermittedtouseassetsaslistedinAppendix2;and7.6.2.3Entitieswhichhaveamixofself-verifiedandcertifiedsitesmustabidebytherespectiverequirementslistedinsection7.6.3below.

Requirement Conforms ObjectiveEvidenceReviewed/Finding


7.6.3EntitiesthatownorcontrolnumerousAWSself-verifiedsitearenotentitledtouseAWSclaims3b,4a,or5a,however,theymayemploythefollowingAWSclaim:7.6.3.1Version3a.7.6.4InadditiontousingoneormoreAWSassets,entitieswithoneormorecertifiedsitesarepermittedtomakeclaimsrelatedtothenumberandpercentageofcertifiedunitsthroughoneormoreofthefollowingAWSclaims:7.6.4.1Version3b;7.6.4.2Version4a;and/or7.6.4.3Version5a.7.6.5Lastly,ifanentityhasmultiplesitescertifiedtodifferentAWSperformancelevels(i.e.,Core,GoldorPlatinum),thentheymustmakeaseparateclaimforeachsetofsitesatagivenlevel.Ifanentitywishestocombinesitesintoasingleclaim,theymustusethelowestcertifiedlevelforallsites.Forexample,ifanentityhasfoursitescertifiedoutofatotalof8–2core,1goldand1platinum,butwishestocombinethemintooneclaim,theclaimmustspeakeithertoonlycorecertificationorbreakitdownbylevel.Inotherwords,“OrganizationABCDhas50%ofitstotalnumberofproductionsitescertifiedbyathirdpartytotheAWSglobalwaterstewardshipstandard.www.allianceforwaterstewardship.org”.Alternatively,theymayemployoneofthefollowingclaims:7.6.5.1Version4b;and/or7.6.5.2Version5b.7.6.6Inallcases,theAWScertificationlogoshouldbedirectlyvisibleinthesamefieldofviewastheclaims(assets)mentionedabove.7.6.7InnocaseistheuseofthegeneralAWSlogopermittedunlessagreedtobyAWS.7.6.8Fortheavoidanceofdoubt,undernocircumstanceistheAWScertificationlogopermittedonproduct.


Yes No N/A5RequirementsforGroupOperations5.1GroupManagement5.1.1Themanagementofthegroupmustbeclearlydefined.5.1.2Thegroupshallidentifythepersonwithoverallmanagementresponsibilityforthegroup.5.1.3Thegroupshallnominatean‘AWSGroupRepresentative’whoassumesoverallresponsibilityforthegroup’simplementationofandcompliancewiththeAWSStandardandAWScertificationrequirementsandservesastheprimarycontactforAWScommunications.5.1.4Groupmanagementshallberesponsiblefor:5.1.4.1Establishingacommonmanagementframeworkwhichexplicitlyadoptstheobjectiveofresponsiblewaterstewardship;5.1.4.2Ensuringthatthegroupstructureandtheinternalcontrolsystem(ICS)areinconformancewithrequirementsoftheAWSStandardandAWSrequirementsforgroupoperations;5.1.4.3EnsuringthatallmemberswithinthegroupoperationareinconformitywiththeAWSStandard;5.1.4.4ProvidingevidencetoshowthatallmemberswithinthegroupoperationareinconformitywiththeAWSStandard;5.1.4.5Ensuringthatrecordsforallmembersitesaremaintaineduptodate;5.1.4.6Preparingandapprovingdocuments,processesandprocedurestobeusedbyallsiteswithinthescope;5.1.4.7EnsuringthatallmembershaveanadequateunderstandingoftheAWSStandard;5.1.4.8Carryingoutyearlyinternalauditsatallsiteswithinthescope;5.1.4.9Followinguponnon-conformitiesraisedduringinternalaudits;and5.1.4.10Followinguponnon-conformitiesraisedduringexternalaudits(i.e.duringthird-partyconformityassessments).5.2GroupICS5.2.1ThegroupshalloperateanInternalControlSystem(ICS)whichmeetstherequirementsoftheAWSStandardandAWScertificationrequirements.5.2.2Ataminimum,theICSshallincludeorincorporateeachofthefollowing:5.2.2.1adocumentedsetofprocedurescoveringgroupprocesses;5.2.2.2adetaileddescriptionofhowproductionunitsarestructured;5.2.2.3appropriateproceduresformaintenanceofrecords;5.2.2.4recordsfrominternalauditsofproductionunits;and5.2.2.5adescriptionoftheresponsibilitiesofstaffofproductionunitsandICS.5.2.3Inadditiontotheforegoing,theICSshallidentifytheapplicableAWSStandardandhownon-conformitiesfrominternalauditsaredealtwithaccordingtoasetofproceduresandsanctions.5.4GroupMembershipAgreement5.4.1Eachgroupmembershallindicate,bywayofsignatureorpracticalalternative(e.g.,inthecaseofilliteratemembers),theirentryintoacontractoragreementwithgroupmanagementtocoordinateandpursueAWScertificationasagroupoperation,knownasthe‘GroupMembershipAgreement’.5.4.2GroupmanagementshallmakesurethateachgroupmemberunderstandstheimplicationsofenteringintotheGroupMembershipAgreement.5.4.3TheGroupMembershipAgreementshallcontainatleastthefollowing:5.4.3.1acommitmentbythegroupmembertofulfilltherequirementsoftheAWSStandardandapplicableAWSCertificationRequirements;5.4.3.2acommitmentbythegroupmembertoprovidethegroupmanagementwithrequiredinformationpertheneedsoftheICSinatimelymanner;5.4.3.3acceptancebythegroupmemberofinternalandexternalaudits;5.4.3.4anobligationforthegroupmembertoreportnon-conformities;and5.4.3.5therightsofgroupmanagementtoterminatethemembershipofanymemberifcontinuedparticipationbythatmemberthreatensthecredibilityofthegroup.5.5GroupMemberRequirements

AllianceforWaterStewardshipCertificationRequirements,Version1.0,July2015

Requirement Conforms ObjectiveEvidenceReviewed/Finding


5.5.1GroupmanagementshallensurethatallmembersshallhaveanadequateunderstandingoftheAWSStandardaswellasacopyof,oratleastaccessto,thespecifiedrequirementsdeterminedbythegroup(Standardandcertificationrequirements).Whereappropriate,thiscanincludediagramsorpicturesthatexplaintherequirements.Dependingontheneedsofthegroup,thedocumentcanbeaninternalstandarddevelopedbythegrouporthe(external)AWSStandardinitsentirety.Thedocumentssuchascontractsandinternalstandardswhichthegroupmembersneedtounderstandshallbewritteninawaythatisadaptedtotheirlocallanguageandknowledge.5.5.2Recordscoveringtherelationshipbetweenthegroupmanagementandgroupmembersshallbemaintainedandkeptuptodate.5.5.3TheAWSGroupManagershallkeepthefollowinginformationuptodate:5.5.3.1Copiesofcontractsbetweenthegroupandindividualgroupmembers;5.5.3.2groupmemberlist;5.5.3.3mapsofsitesandpropertyareas;5.5.3.4internalauditreports;5.5.3.5non-conformities(bothminorandmajor),sanctionsandfollow-upactionarisingfrombothinternalauditsandexternalaudits;and5.5.3.6complaintsandappeals(togroupmanagement,theCAB,orAWSdirectly).5.5.4TheinternalauditsshallbeconductedwithsufficientscopeanddetailtoprovidegroupmanagementwitharobustappraisalofwhetherornoteachgroupmembercontinuestomaintainconformitywiththeAWSStandardandcertificationrequirements.5.5.5Eachmemberofthegroupshallbeinternallyauditedonatleastonceperyear.5.5.6Neworproposedgroupmembersshallalwaysbesubjecttoaninternalauditbeforetheymaybeaddedtothelistofgroupmembers(5.3.13).5.5.7TheAWSGroupRepresentativeshallperformanannualreviewofthestatusofallmembersofthegroup,andshalltakeadecisionastocontinuingmembershipofeachmember.Thisdecisionshallbebasedoninternalauditsandotherinformation.Safeguardsshallbeinplacetoensurethatinternalauditorsarenotundulyinfluencedintheirfindingsbygroupmanagementorgroupmembers.5.5.8Groupmembersshouldhavetherighttoappealinternalauditfindingsofnon-conformity.5.5.9Groupmanagementmayassumetheresponsibilityofmaintainingtheoperationalrecordsonbehalfofindividualmembers.5.5.10Allgroupmembersshallberecordedonalist.Thelistofgroupmembersshallbeupdatedannuallyormoreoftenifnecessaryandshallincludeatleastthefollowinginformationforeachmember:5.5.10.1nameofthememberorcodeassignedtothemember;5.5.10.2location5.5.10.3thenature(producttypes)andvolumeofproduction;5.5.10.4volumeofwateruse(inputsandoutputs);5.5.10.5currentmembershipstatus(includinganynon-conformitiesandcorrectiveactionplans);5.5.10.6date(s)ofmostrecentinternalaudit;5.5.10.7date(s)ofmostrecentexternalaudit;and5.5.10.8anyothergroup-specificinformationasmaybeneeded.

END

PleaseenlargethistextboxasneededPleaseprovidecommentaryonthecompetencyandimpartialityofthegrouptomaintainconformancewiththeAWSStandardandAWSgrouprequirements.

Pleaseprovidecommentaryonthecompetencyoftheinternalauditorstoundertakeinternalauditsaspartofagroupoperation.Pleaseenlargethistextboxasneeded


Pleaseenlargethistextboxasneeded

Pleaseprovidecommentaryononthereliancethatcanbeplacedupontheinternalauditor’sfindingofconformance/non-conformanceofthegroup.

Pleaseprovideacomparisonoftheauditteam’sfindingswiththefindingsmadebythegroupentity,andthereliancethatcanbeplaceduponthegroupentity’sfindingsofconformance/non-conformance;

Pleaseenlargethistextboxasneeded


NC#Criteria/Indicator#

Major–DetailonNonConformanceDueDate(XXcalendarDays)

RootCauseAnalysisandCorrectiveActionTaken

NC# Section# Minor–DetailonNonConformanceDueDate(XXcalendarDays)

CorrectiveActionTaken

2017.1 2.4.6

Thestandardasksforalistofannualwater-relatedcosts,revenuesanddescription/quantificationofsocial,environmentaloreconomicvaluegeneratedbythesitetothecatchment.Sitelevelcostswerepresented,howevereconomicvalueistrackedataproductlevelandspecificdatawasnotpresented.Socialandenvironmentalvalueswerealsonotdescribedorquantified.Thusatruecostbenefitanalysisofthesitetothecatchmentwasnotcompleted.

21-Jul-17

RootCauseAnalysis:Currently,thecompanytracksfinancialdatabytotalbrandvaluesandnotatafactory-specificlevel.However,costsandrevenuespresentedin02.04.06_WF17_AWS_v1.pdfrepresentthefinancialdataasspecificallyattributedtotheOntariofactory,wherepossible.ThebusinesssensitivenatureofthefinancialinformationandthebrandaggregatevaluesledtopresentationofsomeN/Avalues.CorrectiveAction:Revisedwater-relatedcostsandrevenueswillbepresentedand/orestimatedfortheOntariosite,wherepossibleandwherecompanydeterminesproprietaryinformationisnotrequiredtobedisclosed.Explicitreferenceswillbemaderegardingsocialandenvironmentalvaluesprovidedtothecatchment.

AuditNon-conformitiesandObservations

GuidanceDisclaimer:auditingisbasedonasamplingprocessoftheavailableinformationandthereforenonconformitiesmayexistwhichhavenotbeenidentified.

Observationsaredefinedasanareaofconcernregardingaprocess,document,oractivitywherethereisopportunityforimprovement.

Majornon-conformityisraisediftheissuerepresentsasystematicproblemofsubstantialconsequence;theissueisaknownandrecurringproblemthattheclienthasfailedtoresolve;theissuefundamentallyunderminestheintentoftheAWSStandard;orthenatureoftheproblemmayjeopardizethecredibilityofAWS.Applicantsmustclose*majorNCRwithinNinety(90)daysoftheNCRissuedate.Failuretomeetthisdeadlinewillrequireanotherconformityassessment.CertificateHoldersmustclose*majorNCRwithinThirty(30)daysoftheNCRissuedate.IftheMajorNCRisnotaddressedwithin30daysSCSshallsuspendorwithdrawthecertificateandreinstatementshallnotoccurbeforeanotherconformityassessmenthasbeensuccessfullycompleted.

Minornon-conformity:WheretheauditteamhasevaluatedanauditfindinganddeterminesthattheseriousnessoftheissuedoesnotmeettheanyofthecriteriaforMajornon-compliancetheauditteamshallgradethefindingasaminornon-conformity.Applicantsmustsubmitanacceptablecorrectiveactionplan^toaddressallminornon-conformitiestoberecommendedforcertification.CertificateHoldersmustcloseminorNCRwithinNinety(90)daysoftheNCRissuedate.SCSmayagreetoanalternativetimeframewiththeclientaslongasthiscanbejustifiedandisdocumentedintheNCRreport.Ifcorrectiveactionsareinadequatetoresolveaminornon-conformitybythetimeofthenextscheduledaudit,SCSshallupgradetheauditfindingtoamajornon-conformity.Ifanunusuallylargenumberofminornon-conformitiesaredetectedduringthecourseofasingleaudit,theauditteammayattheirdiscretionraiseamajornon-conformitytoreflectasystematicfailureoftheclient’smanagementsystemtodeliverconformitywiththeAWSStandard.

*closed=actionedbytheclient,corrections&correctiveactionsverifiedandclosedbytheauditor.^Thecorrectiveactionplanshallincludeananalysisoftherootcauseoftheminornon-conformity;thespecificcorrectiveaction(s)toaddresstheminornon-conformity;andanappropriatetimeframetoimplementcorrectiveaction(s).


2017.2 2.5.2

Theanalysisofwaterusebyoutsourcedserviceproviderswaspresentedatanationallevel.Thislargescopeapproachtotheeffortoverlookedkeysuppliersspecifictothesite,includinganon-sitebottlemanufacturer.

21-Jul-17

RootCauseAnalysis:Theoutsourcedserviceproviderspresentedin02.05.02_WF17_AWS_v1.pdfwerespecifictotheOntariofactory.AdditionalreviewoftheoutsourcedserviceprovidersbyadditionalmanagementlevelNWNApersonnelisnecessarytoensurecompleteness.CorrectiveAction:Theon-sitebottlemanufacturerwillbeincludedinfutureAWSengagement.Additionally,theoutsourcedserviceproviderslistshallbesenttothefactorymanager,operationsmanager,blowmoldmanager,technicalmanager,qualityassurancemanager,andnaturalresourcesmanagerwitharequesttoaddanymissingvendors,ensuringidentificationofallappropriateproviders.AnynewidentifiedvendorswillthenreceivethesameAWSoutreachastheotherprovidersincludingsolicitationofwaterusedataandfutureAWSparticipation.

2017.3 2.7.3Thestandardasksforanestimateofpotentialsavings/valuecreation.Opportunitieswerepresented,butnotquantified. 21-Jul-17

RootCauseAnalysis:Thesavings/valuecreationinformationpresentedin02.07.03_WF17_AWS_v1.pdfincludedspecificvaluesforquantifiableitemsandnarrativestatementsforitemsthatarenotreasonablyabletobequantified;however,attemptscouldhavebeenmadetoprovideestimatesfortheoutstandingitems.CorrectiveAction:Quantifiedvalueswillbeassignedtoallpotentialsavings/valuecreationopportunities.

OFI# Section# Observation–DetailonOpportunityforImprovement DueDate CorrectiveActionTaken

2017.4 2.2.1

WhileconsultationswithstakeholdersandauditrecordsevidencedactivecommunicationbetweenNWNAonwaterrelatedtopics,stakeholderswerelargelyunfamiliarwiththespecificAWSconceptssuchassharedwaterchallenges.GeneralunderstandingofAWSconceptsamongststakeholderscouldbeimproved.

Note:Weunderstandtheobservationandwilltaketheadviceunderconsideration.NoCorrectiveActionPlanrequired.

2017.5 2.3.3

Catchmentwaterbalancedatawasinsomecasespresentedasamulti-yearaverage,whichcouldhaveteheffectofmutingevidenceoftrends.Guidanceinthestandardsuggestsagoalofmonthlydatacollectioninordertomaintaintemporallyrelevantdata.Ifsuchdataisnotavailable,thesiteshouldworkwithpublicsectoragenciestodevelopitbeforethenext3yearassessment.

Note:Weunderstandtheobservationandwilltaketheadviceunderconsideration.PubliclyavailabledatainCatchmentplansprovidesrelevantdataonanannualbasisandwaspresentedin02.03.03_WF17_AWS_v1.pdf.Wewillworkwithpublicsectoragenciestogathermonthlydatapriortothenextrenewalassessment.NoCorrectiveActionPlanrequired.

2017.6 2.3.5

ImportantWaterRelatedAreasweredesignatedbyNWNA.However,designationofthesecouldbeimprovedthroughstakeholderconsultationastotheaccuracyoftheIWRAs.Forexample,someriparianareashighlightedaslocallyvaluablehadnotbeendesignated.



2017.7 3.2.2

ThetargetsandobjectivesidentifiedinthesitewaterstewardshipplandonotallfollowthebestpracticeofframingSMARTtargets(Specific,Measurable,Achievable,RealisticandTime-based).


2017.8 4.2.2

Thesiteislocatedinawaterscarcearea,andthereforethesitemustcontinuallydecreaseitswaterwithdrawals.NWNAhastakenaffirimativestepstodecreasewateruseonthesite,e.g.withwastewaterrecycling.Howeverprojectionsareforanincreaseinproductionoverthenextfewyears,whichwouldnecessitateanincreaseinwateruseforbottling.ItiscurrentlyunclearwhetherNWNA'snetwateruseatthesitewouldincrease,andifsohowitcoulddemonstratethatwaterscarcityinthecatchmentwoulddecrease.Thisisonlygradedasanobservation,asthesiteisnotcurrentlyinnon-conformancesincethetimeperiodforcalculatingnetincreasedoesnotbeginuntilcertificationisawarded.Thisissuewillbereviewedagainatthefirstsurveillanceaudit.

Note:Weunderstandtheobservationandwilltaketheadviceunderconsideration.WeagreethateffortsbyNWNAhavealreadybeenundertakentoincreasewateruseefficiency,decreasewaterusage,andtounderstandNWNA'seffectonCatchmentwaterbalance.IntheeventNWNAwishestoincreaseproductionattheOntariofactory,NWNAwillworkwithCatchmentgovernanceauthoritiestoformalizedocumentationofnonetincreaseinwaterscarcity.Theseitemswillbeenactedbythefirstsurveillanceaudit.NoCorrectiveActionPlanrequired.

2017.9 5.1.1

Dataandrecordspresentedduringtheauditwerenotalwaysofaconsistenttimeperiod,withsomedatasetsendingin2016,andothersclearlyreferringto2017events.Therelevantdatasetfortheauditcouldbebetterclarified.


2017.10 5.3.1

Recordsofstakeholdercommentsdidnotincludethefullspectrumofstakeholderperspectives.WhilestakeholdersopposedtoNWNA'swaterusewerecontactedandchosenottoactivelyengageintheAWSprocess.However,thesestakeholderperspectivesarestillknown,andcouldbeincludedinsite'sregisterofcomments.


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