Supplier name: Allene Overseas Pvt Ltd. Site country: India Site name: Allene Overseas Pvt Ltd. Parent Company name (of the site): Allene Overseas Pvt Ltd. SMETA Audit Type: 2–Pillar 4–Pillar Date of Audit 02 March 2017 Audit company: Intertek Report reference: IDA -16076 -01 Date: 02/03/2017 1 Audit Company Name: Report Owner (payee) : Intertek Allene Overseas Pvt Ltd. Sedex Company Reference: ZC :3594033 (only available on Sedex System) Sedex Site Reference: ZS : 3596595 (only available on Sedex System) Audit Conducted By Commercial Purchaser NGO Retailer Trade Union Brand Owner Multi–stakeholder Combined Audit (select all that apply) Auditor Reference Number: Not applicable (If applicable) SMETA Declaration I declare that the audit underpinning the following report was conducted in accordance with SMETA Best Practice Guidance and SMETA Measurement Criteria. Any exceptions to this must be recorded here (e.g. different sample size): Auditor Name(s) (please list all including all interviewers): Lead auditor: Parul Jaglan Team auditor: Soni Khatri Interviewers: Parul Jaglan Date: 02/03/2017 Audit company: Intertek Report reference: IDA -16076 -01 Date: 02/03/2017 2 Non–Compliance Table Area of Non –Conformity (Only check box when there is a non–conformity, Record the number and only in the box/es where the non–conformity of issues by line*: Issue can be found) (please click on the issue title to go direct to the appropriate audit results by clause) Additional NC Obs GE ETI Base Elements Local Law Code (i.e. not part of ETI code ) 0 Management systems and code 01 00 00 implementation 1 Employment Freely Chosen 00 00 00 2 Freedom of Association 04 00 00 3 Safety and Hygienic Conditions 00 00 00 4 Child Labour 00 00 00 5 Wages and Benefits 00 00 00 6 Working Hours 00 00 00 7 Discrimination 00 00 00 8 Regular Employment 00 00 00 8A Sub–Contracting and 00 00 00 Homeworking 9 Harsh or Inhumane Treatment 00 00 00 10A Entitlement to Work 00 00 00 10B2 Environment 2–Pillar NA NA NA 10B4 Environment 4–Pillar 00 00 00 10C Business Ethics 00 00 *Please note the table above records the total number of Non compliances (NC), Observations (Obs) and Good Examples (GE). This gives the reviewer an indication of problem areas but does not detail severities of each issue – Reviewers need to check audit results by clause. Audit company: Intertek Report reference: IDA -16076 -01 Date: 02/03/2017 3 Summary of Findings Summary of main findings: (positive and negative) (Please give a short summary of the main findings per clause) Audit process: This Annual audit was conducted by Intertek India Pvt. Ltd. 02 Auditor has assessed on one day and 01 auditor in 01 day the facility’s operations. The scope of this audit was based on 4 Pillar SMETA guidelines Overview of opening meeting, facility management responses:- Auditor entered the facility at 09:40 am on 02 March 2017 and conducted an opening meeting with facility management according to the ETI Base Code. Mr. Vipul Goel – Director, Mr. Manish Sharma- HR Executive and Mr. Vivek Goel – Factory Manager were present in the meeting and they assured full co-operation to this audit. Site summary : • 10 attendance records and payroll records for January 2017 (Current month), 10 attendance records and payroll records for September 2016 (Random month) and 10 attendance records and payroll records for March 2016 (Random month) were reviewed in this audit. • A total of 83 employees are currently working in the facility, which included 75 production employees and 08 non production employees. Out of 83 employees, 68 are male and 15 are female employees. Facility has hired 82 employees on company roll and 01 employee from 01 contractor (G.K Group Security) for security processes. Further the facility had not engaged any foreign nationals. • Manufacturers and Exporters of stainless steel utensils. • Overall responsibility for meeting the standards is taken by Mr. Vipul Goel – Director. • Facility has 06 days a week working in one shift. Details are given below: • Facility is running in One (01) shift, Six (6) days a week. Details are given below: • General Shift - A : 09:00 am to 05:30 pm Lunch Break : 30 minutes break (1:00 pm to 1:30 pm) Tea Break : 3:15 pm to 3:30 pm Weekly Holiday : Sunday • Salary for all employees are fixed on monthly rate and paid once in a month accordingly as per law. Salary to all these employees is paid through Cash by 7 th of every month. • The age of young work found on the day of audit is 27 years old. • No union exits at this facility. • 10 employees were selected for interview and same number of time records and wage records were verified. • Employees were satisfied with their work and management. • Facility providing one day weekly off to their employees. Audit company: Intertek Report reference: IDA -16076 -01 Date: 02/03/2017 4 • They also said they were able to make suggestions to their supervisors and team leaders and sometimes they had seen these suggestions used. • Time records were available for the period February 2016 to January 2017 and three months (1 current, 02 random months) were selected for review. • Regular working hours & no Overtime hours performed for any of the sample selected month. • Weekly off day is provided to all employees. Summary of Findings (Positive and negative) Positive Observations: Management approach towards this audit was very positive and they assured necessary steps to improve labor standard in their facility. Negative Observations: Non-compliances were observed in the areas of “Management systems and code implementation” and “Safety and Hygienic Conditions” In other areas no non compliances were observed. Details are given below: 1. Based from facility tour it was noted that, facility has not amended that approved layout plan as per the current floor plan. As per current layout facility has storage area on second floor however facility has installed plating section in place of storage area. 2. Based from facility tour it was noted that drinking water points situated within 6 meters of toilets on ground, first and second floor. 3. Based from facility tour, chemical containers were found stored without secondary containment / MSDS and labelling in plating section on second floor and in open terrace area. 4. Based from facility tour, 04 employees in polishing section on second floor were found working without using ear plugs. Further facility has provided ear plugs to all the employees. 5. Based from facility tour, it was noted that emergency evacuation map posted on second floor was not found as per the actual floor plan. Observation : Nil Good Examples: Nil Auditor Notes: None Observed Audit company: Intertek Report reference: IDA -16076 -01 Date: 02/03/2017 5 Audit Details Audit Details A: Report #: IDA-16076-01 B: Time in and time out Day 1 Day 2 Time in: Not Day 3 Time in: Not (SMETA Best Practice Guidance and Time in: 09:40 am applicable applicable Measurement Criteria recommends 9.00–17.00 Time Out: 05:30 pm Day 2 Time out: Not Day 3 Time out: Not hrs. if any different please state why in the applicable applicable SMETA declaration ) C: Number of Auditor Days Used: 02 Auditors in a 01 day – 1.5 Man day (number of auditor x number of days) D: Audit type: Full Initial Periodic Full Follow-up Partial Follow-Up Partial Other - Define E: Was the audit announced? (AAG Announced recommends a window of three weeks for semi– Semi – announced: Window detail: 28/02/2017 to 27/3/2017 announced, this gives optimum results) Unannounced F: Was the Sedex SAQ available for Yes review? No If No , why not? NA (Examples would be, site has not completed SAQ, site has not been asked to complete the SAQ.) G: Any conflicting information SAQ/Pre- Yes Audit Info to Audit findings? No If Yes , please capture detail in appropriate audit by clause : NA H: Auditor name(s) and role(s): Parul Jaglan / Soni Khatri – Lead Auditor / Auditor I: Report written by: Soni Khatri J: Report reviewed by: Meeta Pednekar K: Report issue date: 09 March 17 L: Supplier name: Allene Overseas Pvt Ltd. M: Site name: Allene Overseas Pvt Ltd. N: Site country: India Audit company: Intertek Report reference: IDA -16076 -01 Date: 02/03/2017 6 O: Site contact and job title: Mr. Vipul Goel - Director P: Site address: Plot No- 27, Hsiidc, Epip, Kundli Industrial Area, Sonipat, Haryana, (Please include full address) India Site phone: 0130-6543888 / 6544788, 9811366501 Site fax: NA Site e–mail: [email protected] Q: Applicable business and other legally Factory License No – SPT- ONLINE-11 for employing 148 required licence numbers: employees, Valid till – 31/12/2017 for example, business license no, and TIN No- 06503016671 liability insurance R: Products/Activities at site, for example, Manufacturing of Stainless Steel Utensils. garment manufacture, electricals, toys, grower S: Audit results reviewed with site Yes management? T: Who signed and agreed CAPR Mr. Vipul Goel - Director (Name and job title) U: Did the person who signed the CAPR Yes have authority to implement changes? V: Present at closing meeting (Please state Mr. Vipul Goel – Director name and position, including any Mr. Vivek Goel – Factory Manager workers/union reps/worker reps): Ms. Parul Jaglan – Senior Auditor Ms. Soni Khatri - Auditor W: What form of worker representation / Union (name) union is there on site? Worker Committee Other (specify) None X: Are any workers covered by Collective Yes No Bargaining Agreement (CBA) Y: Previous audit date: Not Applicable Z: Previous audit type: SMETA 2-pillar SMETA 4-pillar Other Full Initial