Version 6.

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 Sedex Audit Reference: 2022COZAA421321009 SMETA Corrective Action Plan Report (CAPR) Version 6.1

Audit Details
Sedex Company
Sedex Site Reference:
Reference: ZC420594053 (only available on Sedex ZS421107915
(only available on Sedex
System)
System)

Business name
Agricola Altos del Valle SAS
(Company name):
Site name: Agricola Altos del Valle SAS
Production and harvest of Hass Avocado.
Site address: Municipio de Salento
(Please include full Country: Colombia
Vereda Navarco Alto
address)

Site contact and job

Liliana Múnera Montoya, Certifications Responsible.
title:
Site phone: storres@aadv.cl
+57 314 830 03 01 Site e–mail:
oficina.aadv.cl@gmail.com
SMETA Audit Pillars: Health &
Labour Safety (plus Environment
Business Ethics
Standards Environment 2- 4-pillar
Pillar)
Date of Audit: October 21st, 2022.

Audit Company Name & Logo:

Report Owner (payer):

Agricola Altos del Valle SAS

Audit Conducted By

Affiliate Audit
Purchaser Retailer
Company

Brand owner NGO Trade Union

Multi–
Combined Audit (select all that apply)
stakeholder

Audit company: SIPAS CR-PERU S.A Report reference: Col(2022)-21 Date: October 21st, 2022. 2
 Sedex Audit Reference: 2022COZAA421321009 SMETA Corrective Action Plan Report (CAPR) Version 6.1

Audit Content:
(1) A SMETA audit was conducted which included some or all of Labour Standards, Health &
Safety, Environment and Business Ethics. The SMETA Best Practice Version 6.1 (March 2019)
was applied. The scope of workers included all types at the site e.g. direct employees,
agency workers, workers employed by service providers and workers provided by other
contractors. Any deviations from the SMETA Methodology are stated (with reasons for
deviation) in the SMETA Declaration.

(2) The audit scope was against the following reference documents
2-Pillar SMETA Audit
• ETI Base Code
• SMETA Additions
• Universal rights covering UNGP
• Management systems and code implementation,
• Responsible Recruitment
• Entitlement to Work & Immigration,
• Sub-Contracting and Home working,
4-Pillar SMETA
• 2-Pillar requirements plus
• Additional Pillar assessment of Environment
• Additional Pillar assessment of Business Ethics
• The Customer’s Supplier Code (Appendix 1)

(3) Where appropriate non-compliances were raised against the ETI code / SMETA Additions
& local law and recorded as non-compliances on both the audit report, CAPR and on
Sedex.

(4) Any Non-Compliance against customer code shall not be uploaded to Sedex. However,
in the CAPR these ‘Variances in compliance between ETI code / SMETA Additions/ local
law and customer code’ shall be noted in the observations section of the CAPR.

Audit company: SIPAS CR-PERU S.A Report reference: Col(2022)-21 Date: October 21st, 2022. 3
 Sedex Audit Reference: 2022COZAA421321009 SMETA Corrective Action Plan Report (CAPR) Version 6.1

SMETA Declaration
I declare that the audit underpinning the following report was conducted in accordance
with SMETA Best Practice Guidance and SMETA Measurement Criteria.

(1) Where appropriate non-compliances were raised against the ETI code / SMETA Additions & local law
and recorded as non-compliances on both the audit report, CAPR and on Sedex.

(2) Any Non-Compliance against customer code alone shall not be uploaded to Sedex. However, in
the CAPR these ‘Variances in compliance between ETI code / SMETA Additions/ local law and
customer code’ shall be noted in the observations section of the CAPR.

Any exceptions to this must be recorded here (e.g. different sample size): No exceptions

Auditor Team (s):

Lead auditor: Diego Alejandro Ortiz Vargas (DOV), Responsible Auditor.
APSCA Membership Number: CSCA 21705134.

Team auditor: Diego Alejandro Ortiz Vargas (DOV), Responsible Auditor.

APSCA Membership Number: CSCA 21705134.

Report writer: Diego Alejandro Ortiz Vargas (DOV), Responsible Auditor.

APSCA Membership Number: CSCA 21705134.

Report reviewer: Jesús Carlos Mora Vargas, Administrative Reviewer

Kenlly Mora Vargas, Technical Manager

Date of declaration: October 21st, 2022.

Note: The focus of this ethical audit is on the ETI Base Code and local law. The additional elements will not be audited in
such depth or scope, but the audit process will still highlight any specific issues.

This report provides a summary of the findings and other applicable information found/gathered during the social audit
conducted on the above date only and does not officially confirm or certify compliance with any legal regulations or
industry standards. The social audit process requires that information be gathered and considered from records review,
worker interviews, management interviews and visual observation. More information is gathered during the social audit
process than is provided here. The audit process is a sampling exercise only and does not guarantee that the audited
site prior, during or post–audit, are in full compliance with the Code being audited against. The provisions of this Code
constitute minimum and not maximum standards and this Code should not be used to prevent companies from
exceeding these standards. Companies applying this Code are expected to comply with national and other
applicable laws and where the provisions of law and this Code address the same subject, to apply that provision which
affords the greater protection. The ownership of this report remains with the party who has paid for the audit. Release
permission must be provided by the owner prior to release to any third parties.

Audit company: SIPAS CR-PERU S.A Report reference: Col(2022)-21 Date: October 21st, 2022. 4
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Audit Parameters

Audit Parameters

A: Time in and time out Day 1 Time in: 07:00 Day 2 Time in: Day 3 Time in:
Day 1 Time out: 16:00 Day 2 Time out: Day 3 Time out:

B: Number of auditor days used: 1 Auditor in 1 day (Total 1 audit day)

C: Audit type: Full Initial

Periodic
Full Follow–up
Partial Follow–Up
Partial Other
If other, please define:

D: Was the audit announced? Announced

Semi – announced: Window detail: weeks
Unannounced

E: Was the Sedex SAQ available for Yes

review? No
If No, why not

F: Any conflicting information Yes

SAQ/Pre-Audit Info to Audit findings? No
If Yes, please capture detail in appropriate audit by clause

G: Who signed and agreed CAPR

Liliana Múnera Montoya, Certifications Responsible.
(Name and job title)

H: Is further information available Yes

(if yes, please contact audit company for
details)
No

I: Previous audit date: Not apply

J: Previous audit type:

Not apply

K: Were any previous audits reviewed Yes No

for this audit N/A

Audit attendance Management Worker Representatives

Senior management Worker Committee Union representatives

representatives

A: Present at the opening meeting? Yes No Yes No Yes No

B: Present at the audit? Yes No Yes No Yes No

C: Present at the closing meeting? Yes No Yes No Yes No

Audit company: SIPAS CR-PERU S.A Report reference: Col(2022)-21 Date: October 21st, 2022. 5
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D: If Worker Representatives were N/A

not present please explain reasons
why (only complete if no worker reps
present)

E: If Union Representatives were not No tienen sindicato

present please explain reasons why:
(only complete if no union reps present) No union

Audit company: SIPAS CR-PERU S.A Report reference: Col(2022)-21 Date: October 21st, 2022. 6
 Sedex Audit Reference: 2022COZAA421321009 SMETA Corrective Action Plan Report (CAPR) Version 6.1

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)
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).

Audit company: SIPAS CR-PERU S.A Report reference: Col(2022)-21 Date: October 21st, 2022. 7
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Corrective Action Plan

Corrective Action Plan – non-compliances

Non- New or Details of Non- Root cause Preventative and Timescale Verification Agreed by Verification Evidence Status
Compliance Carried Over Compliance Corrective Actions Method Management and
Number and Name of Comments
Responsible
Person:

NC1
Management No han evaluado al
Training
system - Site's proveedor de servicio de Realizar evaluación
Systems
Systems to preparación de de todos los Yuly Otalvaro, Open
Costs
Manage New alimentos, con base en proveedores con 60 Days Desktop Certifications --- DOV,
lack of workers
Supplier requisitos relacionados base en estándares Responsible 22.10.2022
Other – please
Compliance con responsabilidad sociales.
give details:
Minor social.
36

El sistema de
NC2 comunicación en caso
Health, safety de emergencia no Training
& hygiene – funcionó cuando Systems Garantizar una
Yuly Otalvaro, Open
Fire Safety - intentaron activar la Costs comunicación
New 30 Days Desktop Certifications --- DOV,
Fire alarms & alarma desde los radios lack of workers efectiva en caso
Responsible 22.10.2022
Evacuation con los que cuentan los Other – please de emergencia.
Critical líderes de campo, tal give details:
214 como lo establece el
Plan de emergencias.

NC3 Training
Se encontró cableado
Health, safety Systems Disponer de
eléctrico expuesto en un Yuly Otalvaro, Open
& hygiene – Costs controles de
New poste de madera en el 60 Days Desktop Certifications --- DOV,
Electrical risk lack of workers sistemas y equipos
exterior del centro de Responsible 22.10.2022
Minor Other – please eléctricos.
acopio de fertilizantes.
224 give details:

Audit company: SIPAS CR-PERU S.A Report reference: Col(2022)-21 Date: October 21st, 2022. 8
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NC4 En el almacén de Training Rotularon los productos

Health, safety herramientas se Systems químicos almacenados e
Mantener Yuly Otalvaro, Closed
& hygiene – encontró un producto Costs incluyeron plan mensual
New productos químicos 30 Days Desktop Certifications DOV,
Chemicals químico almacenado en lack of workers de inspecciones en áreas
etiquetados. Responsible 22.10.2022
Major atomizadores sin Other – please de almacenamiento de
233 rotulación. give details: productos químicos.

Garantizar Instalaron sistema de

NC5 Training
disponibilidad de lavado de ojos en caso
Health, safety Ausencia de estación de Systems
lavaojos en áreas Yuly Otalvaro, de emergencia, con Closed
& hygiene – lavado de ojos en área Costs
New de 30 Days Desktop Certifications agua potable disponible DOV,
Chemicals de almacenamiento de lack of workers
almacenamiento Responsible en el área de 22.10.2022
Major cobustibles. Other – please
de productos almacenamiento de
242 give details:
químicos. combustibles.

NC6
Health, safety
Training
& hygiene –
No han entregado botas Systems
Personal Disponer de Yuly Otalvaro, Open
para uso en actividades Costs
Protective New controles de 30 Days Desktop Certifications --- DOV,
culturales, definidas en la lack of workers
Equipment / entrega de EPPs. Responsible 22.10.2022
Matriz de EPPs. Other – please
Clothing
give details:
Major
277

No suministraron la
información de afiliación Encontraron y
NC7 a seguro, sistema de Training consolidaron la
Wages - pensiones y Systems información de afiliación
Compartir Yuly Otalvaro, Closed
Benefits & administradora de Costs a salud, pensión, ARL y
New información de 30 Days Desktop Certifications DOV,
Insurance riesgos laborales para 4 lack of workers caja de compensación
afiliaciones. Responsible 22.10.2022
Major trabajadores Other – please fmailiar de todos los
425 contratados give details: trabajadores, antes de
directamente por la finalizar la auditoria.
empresa.

NC8 Training
Los trabajadores
Regular Systems
contratados por la Realizar entrega de Yuly Otalvaro, Open
employment Costs
New temporal Servicol no copia de contrato 30 Days Desktop Certifications --- DOV,
- Terms of lack of workers
reciben una copia de sus laboral. Responsible 22.10.2022
Employment Other – please
contratos o carta de
/Engagement give details:

Audit company: SIPAS CR-PERU S.A Report reference: Col(2022)-21 Date: October 21st, 2022. 9
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Major nombramiento (incluida

524 la copia digital).

Los contratos de los

trabajadores
contratados por la
NC9 temporal Servicol no
Regular incluyen el tiempo de Training
employment finalziación de actividad, Systems
Realizar Yuly Otalvaro, Open
- Terms of contienen espacios Costs
New actualización de 30 Days Desktop Certifications --- DOV,
Employment firmados en blanco que lack of workers
contratos. Responsible 22.10.2022
/Engagement incluyen asignación Other – please
Major salarial y son contratos give details:
525 por obra o labor pero la
labor contratada no se
encuentra definida en el
contrato.

NC10
Regular Training
2 de los trabajadores
employment Systems
contratados Todas las partes Yuly Otalvaro, Open
- Terms of Costs
New directamente por la deben firmar los 60 Days Desktop Certifications --- DOV,
Employment lack of workers
empresa no han firmado contratos. Responsible 22.10.2022
/Engagement Other – please
sus contratos.
Minor give details:
527

Corrective Action Plan – Observations

Observation New or Details of Observation Root cause Any improvement actions discussed
Number Carried
Over

OBS1
Management
Deben realizar trámiete
systems - Site's Continuar con el proceso de solicitud de permiso de horas extra ante el Ministerio
New de solicitud de permiso Mantener requisitos legales actualizados.
Awareness of de Trabajo.
de horas extra.
Code / Legal
Requirements

Audit company: SIPAS CR-PERU S.A Report reference: Col(2022)-21 Date: October 21st, 2022. 10
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30

OBS2
Hojas de seguridad no
Health, safety
Asegurar la disponibilidad de hojas de seguridad en los lugares de disponibles en algunos
& hygiene – New Mantener hojas de seguridad disponibles.
almacenamiento de productos químicos. lugares de
Chemicals
almacenamiento.
230

OBS3
Wages -
Record Garantizar que todos los trabajadores registren la asistencia diaria a la jornada Asegurar que diligencien
New Mantener información actualizada.
keeping and laboral. Incluido el personal administrativo. registros de asistencia.
documentation
408

Good examples

Good example Details of good example noted Any relevant Evidence and
Number Comments

52
GE1
Los trabajadores se sienten respetados en el trabajo. Información encontrada en entrevistas.
Management
Systems

159
GE2 Donación de fruta a los habitantes de la comunidad.
Registros de donaciones.
Health, safety & Celebración navideña y donaciones a la comunidad.
hygiene

429
Vivienda gratuita con los servicios básicos para 9 trabajadores y sus familias.
GE3 Registros de pago y subsidios.
Salario por encima del mínimo legal para los trabajadores.
Wages

653
Confirmación durante recorrido por el
GE4 Áreas de conservación de bosque nativo y fuente hídrica.
sitio.
Environment

Audit company: SIPAS CR-PERU S.A Report reference: Col(2022)-21 Date: October 21st, 2022. 11
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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: Liliana Múnera Montoya, Certifications Responsible.

Date: October 21st, 2022.

B: Auditor Signature: Title: Diego Alejandro Ortiz Vargas (DOV), Responsible Auditor.
APSCA Membership Number: CSCA 21705134.

Date: October 21st, 2022.

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: Title: Liliana Múnera Montoya, Certifications Responsible.

(If any entry in box D, please complete
a signature on this line) Date: October 21st, 2022.

F: Any other site Comments:

Audit company: SIPAS CR-PERU S.A Report reference: Col(2022)-21 Date: October 21st, 2022. 12
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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.

Audit company: SIPAS CR-PERU S.A Report reference: Col(2022)-21 Date: October 21st, 2022. 13
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For more information visit: Sedexglobal.com

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 Buyer (A) & Buyer/Supplier (A/B) members:

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

Click here for Supplier (B) members:

http://www.surveymonkey.com/s.aspx?sm=d3vYsCe48fre69DRgIY_2brg_3d_3d

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https://www.surveymonkey.co.uk/r/BRTVCKP

Audit company: SIPAS CR-PERU S.A Report reference: Col(2022)-21 Date: October 21st, 2022. 14