supplier name: calçados ramarim ltda. site name: calçados ... · note: it is not mandatory to...

Audit company: FLOCERT GmbH Report reference: FC-SEDEX-2015-002 Date: 28/11/2015 1

Supplier name: Calçados Ramarim Ltda.

Site country: Brazil

Site name: Calçados Ramarim Ltda. Filial (Sapiranga Site)

Parent Company name (of the site): Calçados Ramarim Ltda.

SMETA Audit Type: 2–Pillar 4–Pillar

Date of Audit November 27 and 28, 2015


Audit Company Name:

Report Owner (payee):

(If paid for by the customer of the site, please remove for Sedex upload)

Sedex Company Reference: (only available on Sedex System) S: XX

Sedex Site Reference: (only available on Sedex System) P: XX

Audit Conducted By

Commercial Purchaser

NGO Retailer

Trade Union Brand Owner

Multi-stakeholder Combined Audit (select all that apply) Auditor Reference Number: (If applicable) FC-SEDEX-2015-002


Audit Details

Audit Details

A: Report #: FC-SEDEX-2015-002

B: Time in and time out (SMETA BPG recommends 9.00-17.00 hrs. if any different please state why in the SMETA declaration )

Day 1 Time in: 13:30 Day 1 Time out: 17:00

Day 2 Time in: 09:00 Day 2 Time out: 13:00

Day 3 Time in: Day 3 Time out:

C: Number of Auditor Days Used: (number of auditor x number of days)

One audit day divided in two days.

D: Audit type:

Full Initial Periodic Full Follow-up Partial Follow-Up Partial Other - Define

E: Was the audit announced?

Announced Semi – announced: Window detail: weeks Unannounced

F: Was the Sedex SAQ available for review?

Yes No

If No, why not? (Examples would be, site has not completed SAQ, site has not been asked to complete the SAQ.)

The site has not been asked to complete the SAQ.

G; Any conflicting information SAQ/Pre-Audit Info to Audit findings?

Yes No

If Yes, please capture detail in appropriate audit by clause

H: Auditor name(s) and role(s): Eduardo Abraços Bluhm – Lead Auditor

I: Report written by: Eduardo Abraços Bluhm

J: Report reviewed by: Saravanakumar Kandasamy

K: Report issue date: November 11, 2015

L: Supplier name: Calçados Ramarim Ltda

M: Site name: Calçados Ramarim Ltda. Filial (Sapiranga Site)

N: Site country: Brazil

O: Site contact and job title: Marçal Müller (Director of Operations) / Viviane Wagner (Quality Manager) / Fabiano Haiztemberger (HR Manager)

P: Site address: Rua General Nascimento Vargas 154 - São Luiz - Sapiranga-RS -


(Please include full address) CEP:93.800-000 - Brazil

Site phone: +55 51 3565 8100

Site fax: +55 51 3565 8100

Site e-mail: [email protected] / [email protected] / [email protected]

Q: Applicable business and other legally required licence numbers: for example, business license no, and liability insurance

• Federal Tax Registration: #88.104.328/0013-32 • Federal Registration for Potentially Pollutant Activities -

#5416877 – issued by the Ministry of Environment on 01/12/2011.

• Federal Police Operational Permit #201429088-6 valid until November 12, 2015. The factory is currently applying for the necessary permits in order to receive the final operational permit from the municipality. The current permits under application are:

• Application for the Environment Operational Permit – Issued by FEPAM on November 14, 2014.

Application of Fire Department Fire Prevention Certificate - #2482/1 from January 29, 2015 – issued by the Fire Department from the estate of Rio Grande do Sul.

R: Products/Activities at site, for example, garment manufacture, electricals, toys, grower

Design and Manufacturing of Shoes

S: Audit results reviewed with site management?

Yes. All findings were presented and discussed with the management team in a closing meeting.

T: Who signed and agreed CAPR (Name and job title)

The report submitted on a later date, not yet signed by the site

U: Did the person who signed the CAPR have authority to implement changes?

The report submitted on a later date, not yet signed by the site

V: Present at closing meeting (Please state name and position, including any workers/union reps/worker reps):

Viviane Wagner (Quality Manager) Fabiano Haiztemberger (HR Manager) Clademir Dallarozza (Production Manager)

W: What form of worker representation / union is there on site?

Union (Sindicato de Sapateiros de Sapiranga e Região) Worker Committee Other (specify) None

X: Are any workers covered by Collective Bargaining Agreement (CBA)

Yes No

Y: Previous audit date: Not Applicable

Z: Previous audit type: SMETA 2-pillar SMETA 4-pillar Other


Full Initial

Periodic

Full Follow-Up Audit

Partial Follow-Up

Partial Other*

*If other, please define:


Guidance: The Corrective Action Plan Report summarises the site audit findings and a corrective, and preventative action plan that both the auditor and the site manager believe is reasonable to ensure conformity with the ETI Base Code, Local Laws and additional audited requirements. After the initial audit, the form is used to re-record actions taken and to categorise the status of the non-compliances. N.B. observations and good practice examples should be pointed out at the closing meeting as well as discussing non-compliances and corrective actions. To ensure that good practice examples are highlighted to the supplier and to give a more ‘balanced’ audit a section to record these has been provided on the CAPR document (see following pages) which will remain with the supplier. They will be further confirmed on receipt of the audit report.

Root cause (see column 4) Note: it is not mandatory to complete this column at this time. Root cause refers to the specific procedure or lack of procedure which caused the issue to arise. Before a corrective action can sustainably rectify the situation it is important to find out the real cause of the non-compliance and whether a system change is necessary to ensure the issue will not arise again in the future. See SMETA BPG Chapter 7 ‘Audit Execution’ for more explanation of “root cause’’.

Next Steps: 1. The site shall request, via Sedex, that the audit body upload the audit report, non-compliances,

observations and good examples. If you have not already received instructions on how to do this then please visit the web site www.sedexglobal.com.

2. Sites shall action its non-compliances and document its progress via Sedex. 3. Once the site has effectively progressed through its actions then it shall request via Sedex that the audit

body verify its actions. Please visit www.sedexglobal.com web site for information on how to do this. 4. The audit body shall verify corrective actions taken by the site by either a "Desk-Top” review process via

Sedex or by Follow-up Audit (see point 5). 5. Some non-compliances that cannot be closed off by “Desk-Top” review may need to be closed off via a “1

Day Follow Up Audit” charged at normal fee rates. If this is the case then the site will be notified after its submission of documentary evidence relating to that non-compliance. Any follow-up audit must take place within twelve months of the initial audit and the information from the initial audit must be available for sign off of corrective action.

6. For changes to wages and hours to be correctly verified it will normally require a follow up site visit. Auditors will generally require to see a minimum of two months wages and hours records, showing new rates in order to confirm changes (note some clients may ask for a longer period, if in doubt please check with the client).


Corrective Action Plan

Corrective Action Plan – non-compliances

Non-Compliance

Number The reference number of the

non-compliance

from the Audit Report,

for example, Discrimination

No.7

New or Carried Over

Is this a new non-compliance identified at the follow-up or one carried over (C)

that is still outstanding

Details of Non-Compliance

Details of Non-Compliance

Root cause (completed by the

site)

Preventative and Corrective Actions Details of actions to be

taken to clear non-compliance, and the system

change to prevent re- occurrence (agreed

between site and auditor)

Timescale (Immediate,

30, 60, 90,180,365)

Verification Method Desktop / Follow-Up

[D/F]

Agreed by Management and Name of Responsible

Person: Note if management

agree to the non-compliance, and

document name of responsible person

Verification Evidence and Comments

Details on corrective action evidence

Status Open/Closed or comment

0.1 New / Nova During the audit process and worker interview all participants were not aware of the ETI code. The factory did not know about this requirement. Durante o processo de auditoria e entrevista, todos os participantes não estavam cientes do código ETI. A fábrica não possuia conhecimento quanto a este requisito.

It is recommended that all workers are made aware of the content of the ETI code and that it is additionally displayed in the workers common area, for increased visibility.

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3.1 New / Nova The factory has not yet conducted an ergonomic assessment of the workstations and tasks performed by the workers. Important to note that the workers work in a standing position the entire day

The company should design and elaborate an ergonomic assessment report based on all tasks performed at the company. The company should also implement measures to reduce the

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without alternative tasks or short breaks. Important also to mention, that in 2014 the company received a administrative fine by the Ministry of Labour due to these two issues mentioned above but up to this moment has not implement corrective actions. A fábrica ainda não realizou uma avaliação ergonômica dos postos de trabalho e as tarefas desempenhadas pelos trabalhadores. Importante notar que os trabalhadores trabalham em uma posição em pé o dia inteiro sem tarefas alternativas ou estadias curtas. Importante também mencionar, que em 2014 a empresa recebeu uma multa administrativa pelo Ministério do Trabalho devido a estas duas questões mencionadas acima, mas até este momento não foram implementadas ações corretivas.

ergonomic stress on the workstations including the provision of seats or any applicable alternative measure.

3.2 New / Nova It has been noted during the factory tour that risk maps required by the

It is recommended that the company elaborates the map of risks with the

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national legislation have not been elaborated and posted in the different areas of the premises. Foi notado durante a visita à fábrica que os mapas de risco exigidos pela legislação nacional não foram elaborados e postados nas diferentes áreas das instalações.

CIPA and the H&S team and these maps of risks are displayed in an accessible way in all areas of the premises.

3.3 New / Nova It has been observed during the factory tour that the factory defined five emergency exits for the entire building. A series of non-conformities have been observed related to the emergency exits and routes and they are described as the following: The factory had not elaborated an emergency plan, which defines the escape routes, designated exists, capacity of the escape routes and exists, layout of the premises and meeting point. The designated emergency exists, two are found in the east wing of the factory, one in the west wing, one in the storage (separated by fences from the production hall), and one single exist from the rubber

It is recommended that the factory, designs together with a qualified health and safety engineer and professional fire fighter, the emergency plan of the premises. On the plan the factory should ensure that emergency exist are unobstructed, in sufficient number and capacity according to the number of workers and are visual through signs and floor markings. The emergency plan should include all areas of the factory, including the rubber preparation area where insufficient escape routs have been observed. And finally, the

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preparation hall. One emergency exit on the east wing is also used as the shipping dock for finished products. This exist is often blocked by materials and shipping trucks. In addition the exit is about 40 cm above the asphalt and does represent a risk for accidents. The second exist in the east wing is located at the sector that manufactures pilots and sample products and the escape routs is narrow when taking into consideration the number of workers active at the east wing. Additionally, during the audit it has been observed that the emergency door was damaged and it could only remain open with an adapted pole, which prevented the door from shutting down. Also, the location is also used to deliveries and pickups and there is frequently cars parked at that location. On the west wing, only one exit is designated for that portion of the factory and this exit is not able to absorb the total number of workers active in that area. Important to note that two wide windows in that area

emergency plan should be presented to the fire department in order the company to obtain the Fire Department Inspection Certificate.


used to be the designated emergency exists, but these exists became not adequate as the factory planted a decorative garden in that location and the path to the outside is partially blocked by rocks, decoration and trees. At the rubber preparation area, only one emergency exit exists in that area. The exit is sufficiently large to accommodate and evacuate all workers active in the area. Nevertheless, the area has not defined sufficient escape routes and the existing ones are either blocked by materials or machinery. Important to note that the area is below capacity according to the number of workers, operations and activities there conducted. The escape routes in the entire factory have not received signs, floor markings and escape plans. Only at the exits doors the emergency exist signs was displayed. Foi observado durante a visita à fábrica que a fábrica definiu cinco saídas de emergência para todo o edifício. Uma série de não-


conformidades foram observadas relacionadas as saídas de emergência e rotas e eles são descritos a seguir: A fábrica não tinha elaborado um plano de emergência, que define as rotas de fuga, saidas designadas, a capacidade das rotas de fuga e, disposição e layout das areas de trabalho e ponto de encontro. Duas saidas de emergencia são encontrados na ala leste da fábrica, uma na ala oeste, uma no almoxarifado (separados por cercas da area de produção), e uma única saida existente no hall de preparação de borracha. Uma saída de emergência na ala leste é usado como a doca de expedição de produtos acabados. Esta saida é muitas vezes bloqueada por materiais e caminhões de transporte. Além disso, a saída é de cerca de 40 cm acima do asfalto e representam um risco de acidentes. A segunda saida na ala leste está localizada no setor que fabrica peças pilotos e amostras de


produtos e a rota de fuga é estreita quando se toma em consideração o número de trabalhadores ativos na ala leste. Além disso, durante a auditoria foi observado que a porta de emergência se encontrava danificada e que só poderia permanecer aberta com um apoio adaptado, o que impedia a porta de fechar. Além disso, o local também é usado para as entregas e recolhimento de materiais e há freqüentemente carros estacionados no local. Na ala oeste, uma única saída é designado para esta area e isto não é capaz de absorver o número total de trabalhadores activos. Importante notar que duas amplas janelas nessa área costumavam ser as sadas de emergência, mas estas foram adaptas com um jardim decorativo em que a sua localização fica no caminho para o exterior e é parcialmente bloqueada por pedras, decoração e árvores. Na área de preparação de borracha, somente uma saída de emergência existe nessa área. A saída é suficientemente grande


para acomodar e evacuar todos os trabalhadores ativos na área. No entanto, a área não definiu rotas de fuga suficientes e as existentes são bloqueados por materiais ou máquinas. Importante notar que a área está abaixo da capacidade de acordo com o número de trabalhadores, operações e atividades ali realizadas. As rotas de fuga em toda a fábrica não ter recebido sinais, marcações no solo e planos de fuga. Só às portas saídas de emergência existem sinais foi exibido.

3.4 New / Nova It has been noticed that the factory has not conducted fire and emergency drills at the premises since the start of the activities. In addition, the factory has not performed the Internal Week of Occupational Accident Prevention (SIPAT). Foi notado que a fábrica não conduziu simulações de emergência e fogo nas instalações desde o início das atividades. Além disso, a fábrica não realizou a Semana Interna de Prevenção de Acidentes do

It is recommended that the company establishes a plan for conducting fire and emergency drills at least once a year involving all workers, all work shifts and the entire premise. In addition, the company should elaborate a report documenting the fire drill indicating the time, day, duration of the fire drill and a qualitative report indicating any issues or improvement opportunities. In addition, the company should conduct once a

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Trabalho (SIPAT). year the SIPAT involving all workers active at the premises.

3.5 New / Nova It has been noted that the factory, despite having implemented significant efforts in machine guarding, during the factory tour the auditor was able to verify that not all machines in the production were protected and in conformity with the Brazilian nor NR12. The following issues has been observed and they are to be visualized at the Photo Form at the end of this report: - The forklift was

presented without safety seat beat.

- Sewing machines were of an antique model and were not provided with safety guard.

- Certain machines had they pulley and moving parts without guarding.

- Hot surfaces were found without signs and one oven was found with an unprotected surface.

Foi observado que a fábrica, apesar de ter implementado esforços

It is recommended that the company should create an action plan for adapting all machinery according to the requirements of the Brazilian norm NR12. The action plan should include the list of all machinery present at the factory and define priorities according to risk. Machines that cannot be protected should be replaced by new machinery. The adaptation plan should also include the forklift, sewing machines without safety guard, machines without pulley guard, and ovens without warming signs and unprotected hot surfaces.

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significativos na proteção de máquinas, durante a visita a fábrica o auditor foi capaz de verificar que nem todas as máquinas na produção foram protegidos e em conformidade com a norma NR12. Os seguintes problemas foram observados: - A empilhadeira foi apresentado sem cinto de segurança. - Máquinas de costura são de um modelo antigo e não foram fornecidos com o guarda de segurança. - Certas máquinas tinham a polia e partes móveis sem guarda. - As superfícies quentes foram encontrados sem sinais de alerta, e um forno foi encontrado com uma superfície desprotegida.

3.6 New / Nova During the visit at the chemical storage room, it has been noticed that the room is not constructed with ventilation. The auditor noticed strong odour from the chemicals there stored and visual identification of significant mould contamination. In addition the storage room possessed no impermeable floor, secondary containment (under

It is recommended that the company should adapt the storage room of chemicals so it has ventilation, impermeable floor, secondary containment (under construction), alert signs, Material Safety Data Sheets (SDS), emergency containment equipment and fire fighting equipment and signs at the door

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construction), alert signs, Material Safety Data Sheets (SDS), emergency containment and fire fighting equipment and signs at the door indicating the presence of chemicals, including flammable ones. Additionally, drums of oil and fuel, were stored in a nearby room together with combustible materials and, similar to the chemical storage room with no impermeable floor, secondary containment (under construction), alert signs, Material Safety Data Sheets (SDS), emergency containment and fire fighting equipment and signs at the door indicating the presence of chemicals, including flammable ones. At an adapted location nearby the storage room, it has been observed that chemicals and fuels were placed nearby machine parts and materials. These chemicals were accessible to all personnel, and were unprotected against the elements of nature. In addition, it has been noticed that a bottle of Roundup (Glifosato), a spraying pump and a bottle of soda containing fuel were also present at this

indicating the presence of chemicals, including flammable ones. The flammable chemicals and the fuels identified in the three different locations at the premises should be placed at the storage room. The chemicals and glues present at the production hall should be identified with labels, indicating its content, active ingredient, pictograms and emergency procedure in case of accidents. These chemicals should be placed in containment boxes I order to prevent accidents and spills. In addition, food items should be kept outside from the production hall and water bottles should be identified as such.


location. At the production hall, the auditor observed bottles of chemicals and gules without labels and placed near the workstation without containment measures. In addition, workers often bring their own snacks and water bottles to the workstations and this behaviour represents a risk of contamination and possible poisoning. Also at the production hall, a bottle of flammable chemical was found stored among materials and nearby a machine. The chemical was stored in a carton and near ignition sources. Durante a visita à sala de armazenamento de produtos químicos, foi notado que o quarto não é construído com ventilação. O auditor percebeu forte odor dos produtos químicos armazenados lá e identificação visual de contaminação significativa de mofo. Adicionamente aa sala de armazenamento não possuía piso impermeável, contenção secundária (em construção), sinais de


alerta, Fichas de Segurança (SDS), contenção de emergência e equipamentos de combate a incêndio e placas na porta indicando a presença de produtos químicos, inclusive inflamáveis. Além disso, tambores de óleo e combustível, foram armazenados em uma sala próxima, juntamente com materiais combustíveis e, semelhante à sala de armazenamento de produtos químicos sem piso impermeável, contenção secundária (em construção), sinais de alerta, Fichas de Segurança (Fispq), emergência contenção e combate a incêndios equipamentos e sinais na porta indicando a presença de produtos químicos, inclusive inflamáveis. Numa localização proxima a area de produção, observa-se que produtos químicos e combustíveis foram colocados proximos a materiais e peças. Estes produtos químicos eram acessíveis a todos os funcionários e foram desprotegidos contra os elementos da natureza. Além disso, tem-se notado


que uma garrafa de Roundup (glifosato), uma bomba de pulverização e uma garrafa de refrigerante contendo combustível também estavam presentes neste local. No hall de produção, o auditor observou embalagens de produtos químicos e colas sem rótulos e colocado perto da estação de trabalho sem as medidas de contenção. Além disso, os trabalhadores muitas vezes trazem seus próprios lanches e garrafas de água para as estações de trabalho e este comportamento representa um risco de contaminação e possível envenenamento. Também na sala de produção, uma garrafa de produto químico inflamável foi encontrado armazenado entre materiais e nas proximidades de uma máquina. A embalagem de químico foi armazenada em uma caixa e perto de fontes de ignição.

4.1 New / Nova It has been noticed that three young workers on the ages of 16 and 17 were actively working at the production lines under the

It is recommended that the factory designate work positions for the three young workers in locations where the work

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assembly, sewing and preparation area. These three production areas are considered insalubrious environment due mainly to the facts that the area possess the occupational hazards of noise, chemicals, ergonomic (working on standing position), temperature and moving parts due to the presence of machinery with moving parts. Important to note that the factory stated that the young workers are not working in contact with chemicals and machines. Foi notado que três jovens trabalhadores nas as idades de 16 e 17 estavam ativamente trabalhando nas linhas de produção das áreas de montagem, costura e preparação. Estas três áreas de produção são consideradas ambiente insalubres devido principalmente aos fatos de que possuem os riscos ocupacionais de ruído, químicos, ergonômicos (trabalhando em posição de pé), temperatura e parte móveis devido à presença de máquinas com peças móveis em movimento. Importante notar que a fábrica afirmou que os

environment is not insalubrious and does not present as a risk for their development.


jovens trabalhadores não estão operando em contato direto com produtos químicos e máquinas.

6.1 New / Nova It has been noticed that occasionally, and not in constant basis, that overtime is performed during the week and it exceeds a daily work journey of over 12 hours. In the sample reviewed, it has been noticed that workers perform over three hours of overtime, exceeding the maximum of overtime allowed by law. In addition, it has been noticed that workers are perform occasionally a extra work shift on Saturdays. According to the CBA with the workers and union, the work shift from Saturday has been distributed throughout the workweek, resulting that the daily work journey is extended to 8:48 minutes, instead of 8:00. Due to this agreement, and according to the legislation, the additional work shift on Saturdays is not allowed. The only situation for working during the weekend or Saturday, is

It is recommended that the factory implements and internal control system to prevent that excessive overtime takes place during the week exceeding the 12 hour daily journey or the work taking place on an already compensated Saturday. Areas supervisors and production responsible personnel should trained on the requirements of labour legislation related to overtime.

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when the company is able to receive an exception from the local Ministry of Labour allowing them to conduct extra work journeys during the weekend with workers consent. Foi notado que, ocasionalmente, e não em base constante, que as horas extras são realizadas durante a semana e ultrapassam uma jornada de mais de 12 horas de trabalho diário. Na avaliação de amostra, observou-se que os trabalhadores executam mais de três horas de horas extras, excedendo o máximo de horas extras permitidas por lei. Além disso, foi notado que os trabalhadores estão executando ocasionalmente uma jornada extra de trabalho aos sábados. De acordo com o acordo coletivo com o sindicato e trabalhadores, o turno de trabalho de sábado foi distribuído e compensado por toda a semana de trabalho, resultando que a jornada de trabalho diário é estendido para 8:48 horas, em vez de 8:00. Devido a


este acordo, e de acordo com a legislação, a jornada de trabalho adicional aos sábados não é permitido. A única situação para trabalhar durante o fim de semana ou no sábado, é permitido quando a empresa recebe uma exceção do Ministério do Trabalho local, permitindo-lhes realizar jornadas de trabalho extras durante o fim de semana com o consentimento dos trabalhadores.

6.2 New / Nova It has been noted that three workers employed and active in the production area production perform in a scheme of rotation during the weekend an “extra function” of security and “watch guard” at the factory gate. These three workers perform this activity against payment. This activity is voluntarily and it represents for these workers an extra income. Due to this extra activity, these workers continuously have excessive worked overtime above the limits of the legislation of 12 hours a week and do perform work on Sunday or Saturdays, where the day of Saturday

It is recommended to management to review the options of security or “watch guard” during the weekend and adjust together with the three workers their work week respecting the limits of overtime.

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is already compensated throughout the week. Foi notado que três trabalhadores da área de produção executam em um esquema de rotação durante o fim de semana uma "função extra" de segurança e vigia no portão da fábrica. Estes três trabalhadores executam de forma remunerada. Esta atividade é voluntária e representa para estes trabalhadores uma renda extra. Devido a essa atividade extra, estes trabalhadores têm de horas extras excessivo trabalhadas acima dos limites da legislação de 12 horas por semana e não executar o trabalho no domingo ou sábado, onde o dia de sábado já é compensado ao longo da semana.

8A.1 New / Nova According to the interview with management, there is no documented and systemic process in place to monitor the working conditions at the sub-contractors. Since the company was not well informed about the requirements of this audit, the management was also not informed from their

The site should make sub-contractors aware of the Ethical code and implement a system to monitor the activity of subcontractor companies. The company should also define a process on how to engage with the subcontracted companies in case non-

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client if any monitoring process of the subcontracted companies was required. There is no communication to the sub- contract units concerning the ethical code of the main client or of the sites’ own code and policies. Important to note that despite the fact that that no systemic and documented monitoring processes of the subcontractors takes place the company has dynamic and close relationships with these companies and is aware of the working conditions on these paces. De acordo com a entrevista com a gerência, não há nenhum processo documentado e sistêmico em prática para monitorar as condições de trabalho nas sub-contratados. Como a companhia não estava bem informada sobre os requisitos da auditoria, a gerencia não foi informado pelo seu cliente sobre a necessidade de um processo de acompanhamento das empresas subcontratadas.

conformities are identified and establish a basic criteria to reject subcontracted companies in case necessary.


Também foi notado que não foi realizada a comunicação com as unidades subcontratadas sobre ao código de ética ETI ou do cliente. Importante notar que, apesar do fato de que não haver processos de monitoramento sistêmicos e documentados dos subcontratados a empresa aparenta ter relações dinâmicas e estreitas com essas empresas e está consciente das condições de trabalho nessas localidades.

10B2.1 New / Nova It has been noted that the company does not yet have the Environmental Operational permit issued by the local authority. It is important to mention that the company has already filed an application with the local authority Application for the Environment Operational Permit, which has been filed by FEPAM on November 14, 2014. Foi notado que a empresa ainda não dispõe da licença Ambiental de Operação emitida pela autoridade local.

It is recommended that the company continue to follow up with the local environmental agency in order to obtain the necessary environmental operational license.

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É importante mencionar que a empresa já apresentou uma solicitação a autoridade local apresentado a FEPAM em 14 de Novembro, de 2014.

10B2.2 New / Nova It has been noted that the company does not yet have the Sanitary License issues for operating the cafeteria and the medical room. Foi notado que a empresa ainda não tem o Alvará Sanitário emitido para a operação do refeitório e sala médica.

It is recommended that the company files an application with the local sanitary authority (Anvisa) in order to obtain the necessary sanitary licenses.

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10B2.3 New / Nova It has been noted during the interview with workers and factory tour that room temperature can exceed the working comfort threshold defined by law, specially at the rubber preparation room. Due to the lack of quantitative data, it is not possible to understand if the company is able to comply with the local legislation, nevertheless it is noticed that the company has to implement measures to reduce the heat and improve the ventilation in the area.

It is recommended that the company perform the temperature measurement of the different areas of the production halls during different times of the year. After obtaining the results of temperature measurements, the factory should implement necessary actions in case applicable.

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The company claimed that they have conducted temperature analysis at the production room, but unfortunately the company hired for this measurement failed to provide the results. Foi notado durante a entrevista com os trabalhadores e visita à fábrica que a temperatura ambiente pode exceder o limite de conforto de trabalho definido por lei, especialmente na sala de preparação da borracha. Devido à falta de dados quantitativos, não é possível entender se a empresa é capaz de cumprir a legislação local, no entanto, percebe-se que a empresa tem de implementar medidas para reduzir o calor e melhorar a ventilação na área. A empresa alegou que eles conduziram análises de temperatura na sala de produção, mas, infelizmente, a empresa contratou para essa medição não conseguiu apresentar os resultados.


Corrective Action Plan – Observations

Observation Number

The reference number of the observation

from the Audit Report,

for example, Discrimination

No.7

New or Carried Over

Is this a new observation

identified at the follow-up or one carried over (C)

that is still outstanding

Details of Observation Details of Observation

Root cause (completed by the site)

Any improvement actions discussed (Not uploaded on to SEDEX)

0.1 New / Nova Before the audit, it was noted that the factory was not aware about the necessity in completing in SAQ. The factory explained that they had not been instructed to do so by their client, which requested the SMETA audit. Antes da auditoria, observou-se que a fábrica não estava ciente sobre a necessidade de completar no SAQ. A fábrica explicou que não tinha sido instruído a fazê-lo por seu cliente, que solicitou a auditoria SMETA.

The factory explained that they were not made aware about this necessity. Nevertheless, the factory was able to supply the auditor with general information about its operation in a separate custom form.

3.1 New / Nova 1 - It has been observed that workers are allowed to use sandals at the production hall while operating machines, where palletizers circulate and where boxes of products are staked. Only at the rubber preparation area and the storage area workers are required to use closed shoes. Important to note that at the workers convention, the union and the factories in the region have agreed that sandals are allowed in the production hall whenever no significant risk is identified. 2 – It has been noted that the wash basis at the toilets are not provided with the following items: liquid soap, paper towels and trash with lid. 1 - Foi observado que os trabalhadores estão autorizados a usar sandálias na area de produção, enquanto operam máquinas, onde paletizadoras circulam, e onde caixas de produtos são montadas e carregadas. Sómente na área de preparação da borracha e área de armazenamento os trabalhadores são obrigados a usar sapatos fechados. Importante notar que na convenção de trabalhadores, o sindicato e as fábricas da região acordaram que as sandálias são permitidas na sala de produção, sempre que não há um risco significativo identificado.

1 - It is recommended that the factory should review the areas and functions where open shoes are not suitable and would represent an occupational risk. The factory should define the zones until where the palletizer is able to move without representing a risk to the workers. 2 - It is recommended that the factory equip the wash basis in all toilets with liquid soap, paper towels and trash with lid.


2 - Foi notado que a nos sanitários não são fornecidos os seguintes itens: sabão líquido, toalhas de papel e lixo com tampa.

9.1 New / Nova It has been noticed that the factory does not posses a grievance procedure in pace which ensures free speech, confidentiality and communication outside the chain of command. Foi notado que a fábrica não dispõe de um procedimento de reclamação em vigor que assegura liberdade de expressão, confidencialidade e comunicação fora da cadeia de comando.

It is recommended that the factory implement a grievance procedure, which is confidential, ensures free speech and is away from the chain of command. It is also recommended that a gender sensitive channel exists in the factory in order to collect gender relevant information. Grievances, suggestions, complaints and allegations should be documented and records of actions and decisions taken should also be maintained and communicated when it doesn’t breach confidentiality. The grievance procedure and communication channels should be communicated to all workers and included in the integration period of any new worker in the factory.

Good examples

Good example Number

The reference number of the non-

compliance from the Audit Report, for example,

Discrimination No.7

Details of good example noted

Any relevant Evidence and Comments

0.1 During the audit process it became noticeable that the work environment at the factory is perceived as positive and relaxed. This information was confirmed during the interview process where workers informed that they feel satisfied working at the factory.

2.1 The factory shows a constructive and dynamic engagement with the union and involves the union in significant decisions such as a recent joint decision with workers to reduce the weekly journey due to a decrease of production of shoes.

3.1 It has been noticed that the factory has implemented significant efforts in protecting and implementing machine guarding against the Brazilian


health and safety norm NR12. All the heavy and most dangerous machines are guarded and have emergency devices. There is still adaption of some machines in the production line, which offers the opportunity for the company to create and follow with an action plan for machine guarding and become fully compliant with the Brazilian norm NR12.

4.1 The company maintains ten young workers (two male and eight female) enrolled in an apprentice program with the local organization SESI (Serviço Social da Industria – service maintained by the industry sector in each sate in Brazil and offers different services to the local industry to develop and train employees). These apprentices are spending half of their time at school and the other half at SESI learning their own individual professions. These apprentices are not active on the factory; the factory only supports their apprentice program.

5.1 The company has developed a very positive reputation in being a very punctual wage payer to all its workers. This effort is well recognize by all workers. Important to mention that in several companies in the region payment punctuality is an issue, which requires the involvement of union representatives and administrative fines.

9.1 The factory has an open door policy with the workers and during the interview, workers felt confortable expressing their issues to their supervisors and HR staff.

10B2.1 It has been noted that the factory implements efforts to introduce chemicals in the production line that are either of water base or with reduced hazard factor. The factory has phased out solvent-based glues and such change is positively noticeable at the workstations.


Confirmation Please sign this document confirming that the above findings have been discussed with and understood by you: (site management) If actual signatures are not possible in electronic versions, please state the name of the signatory in applicable boxes, as indicating the signature.

A: Site Representative Signature:

Title Date

B: Auditor Signature: Title Date

C: Please indicate below if you, the site management, dispute any of the findings. No need to complete D-E, if no disputes.

D: I dispute the following numbered non-compliances:

E: Signed: (If any entry in box D, please complete a signature on this line)

Title Date

F: Any other site Comments:


Guidance on Root Cause

Explanation of the Root Cause Column If a non-compliance is to be rectified by a corrective action which will also prevent the non-compliance re-occurring, it is necessary to consider whether a system change is required. Understanding the root cause of the non-compliance is essential if a site is to prevent the issue re-occurring. The root cause refers to the specific activity/ procedure or lack of activity /procedure which caused the non-compliance to arise. Before a corrective action can rectify the situation it is important to find out the real cause of the non-compliance and whether a system change is necessary to ensure the issue will not arise again in the future. Since this is a new addition, it is not a mandatory requirement to complete this column at this time. We hope to encourage auditors and sites to think about Root Causes and where they are able to agree, this column may be used to describe their discussion. Some examples of finding a “root cause“ Example 1 Where excessive hours have been noted the real reason for these needs to be understood, whether due to production planning, bottle necks in the operation, insufficient training of operators, delays in receiving trims, etc. Example 2 A non-compliance may be found where workers are not using PPE that has been provided to them. This could be the result of insufficient training for workers to understand the need for its use; a lack of follow-up by supervisors aligned to a proper set of factory rules or the fact that workers feel their productivity (and thus potential earnings) is affected by use of items such as metal gloves. Example 3 A site uses fines to control unacceptable behaviour of workers. International standards (and often local laws) may require that workers should not be fined for disciplinary reasons. It may be difficult to stop fines immediately as the site rules may have been in place for some time, but to prevent the non-compliance re- occurring it will be necessary to make a system change. The symptom is fines, but the root cause is a management system which may break the law. To prevent the problem re-occurring it will be necessary to make a system change for example the site could consider a system which rewards for good behaviour Only by understanding the underlying cause can effective corrective actions be taken to ensure continuous compliance. The site is encouraged to complete this section so as to indicate their understanding of the issues raised and the actions to be taken.


Your feedback on your experience of the SMETA audit you have observed is extremely valuable. It will help to make improvements to future versions.

You can leave feedback by following the appropriate link to our questionnaire:

Click here for A & AB members:

http://www.surveymonkey.com/s.aspx?sm=riPsbE0PQ52ehCo3lnq5Iw_3d_3d

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supplier name: calçados ramarim ltda. site name: calçados ... · note: it is not mandatory to...

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