Code of Conduct Audit Report

Assessment Date(s):

Supplier Profile

Client Supplier ID: No provided

Supplier Name
PESCANOVA USA
(Local Language):
Supplier Phone: 994034102
Supplier Fax: NA
Supplier Email: JDURAN@NOVAPERU.PE

Current Assessment Profile

Assessment Rating and Other Parties Involved in Janet Duran - HHRR

Intermediate Performance (86)
Numerical Grade: Assessment: Chief
Is this assessment date Saulo Siesquén - Lead
Semi-announced Auditors:
announced or not? Auditor

This report contains privileged or confidential information and cannot be distributed without Client consent.  This report
contains information based on a defined scope informed by client requirements gathered through a sampling of: documents,
worker and management interviews, and/or visual observations.  All information is based on conditions during the specific
assessment date(s), and does not guarantee compliance to law, industry standards, or client requirements. Furthermore, all
information referencing law is provided in a limited scope, and does not constitute legal advice.    
 ASSESSMENT REPORT
Facility Name: NOVAPERU SAC Audited On: MARCH 28, 2023

Contents
1. Assessment Overview
1.1 Summary of Activities
2. Labor
2.1 Postings
2.2 Terms of Employment
2.3 Wages and Benefits
2.4 Working Hours
2.5 Forced, Bonded, Indentured, Slave, Prison Labor and Human Trafficking
2.6 Child Labor and Young Workers
2.7 Abuse, Harassment and Disciplinary Action
2.8 Discrimination
2.9 Freedom of Association and Collective Bargaining
3. Health, Safety and Employee Housing
3.1 Licenses/Permits/Certifications
3.2 Postings
3.3 Risk Assessment
3.4 Risk Management
3.5 Governance
3.6 Education
3.7 Fire Safety and Emergency Evacuation
3.8 First Aid and Emergency Care
3.9 Personal Protective Equipment
3.10 Chemicals and Hazardous Materials
3.11 Equipment Safety
3.12 Electrical Safety
3.13 Noise
3.14 Ventilation and Lighting
3.15 Drinking Water
3.16 Sanitation
3.17 Food Preparation Areas and Meals
3.18 Child Care
3.19 Employee Housing
4. Environmental Management
4.1 Licenses/ Permits/Certifications

This report contains privileged or confidential information and cannot be distributed without Client consent.  This report
contains information based on a defined scope informed by client requirements gathered through a sampling of:
documents, worker and management interviews, and/or visual observations.  All information is based on conditions
during the specific assessment date(s), and does not guarantee compliance to law, industry standards, or client
requirements. Furthermore, all information referencing law is provided in a limited scope, and does not constitute legal
advice.    
 ASSESSMENT REPORT
Facility Name: NOVAPERU SAC Audited On: MARCH 28, 2023

4.2 General Waste

4.3 Hazardous Waste
5. Audit Ethics
5.1 Bribery Attempt
5.2 Bribery and Facilitation Payments
5.3 Employee Interviews
6. Facility Profile
6.1 Facility Access
6.2 Certifications
6.3 Production Profile
6.4 Production Capacity Reported by Management
6.5 Personnel Profile
6.6 License
7. Facility Supply Chain Profile
7.1 Subcontracting
7.2 Contractors
7.3 Homeworkers
8. Management Systems
8.1 Grievance Mechanism
8.Other
8.1 Other Code of Conduct Findings
9. Pictures

This report contains privileged or confidential information and cannot be distributed without Client consent.  This report
contains information based on a defined scope informed by client requirements gathered through a sampling of:
documents, worker and management interviews, and/or visual observations.  All information is based on conditions
during the specific assessment date(s), and does not guarantee compliance to law, industry standards, or client
requirements. Furthermore, all information referencing law is provided in a limited scope, and does not constitute legal
advice.    
 ASSESSMENT REPORT
Facility Name: NOVAPERU SAC Audited On: MARCH 28, 2023

1. Assessment Overview
1.1 Summary of Activities

Opening Meeting:
Upon arrival to the facility, the Saulo Siesquén (Lead Auditor) was greeted by Janet Duran - HHRR Chief and escorted to
NOVAPERU SAC where an opening meeting was conducted with Janet Duran - HHRR Chief. The assessment
procedures, grading criteria and Statement of Integrity were explained, and the Statement of Integrity was signed by a
facility representative. Access to employees, facility and documentation was fully granted.

Facility management allowed the auditor Saulo Siesquen to take during the assessment.

Facility Walkthrough:
A health and safety walkthrough was facilitated by Janet Duran - HHRR Chief which provided an overview of the facility
work floor and employee interaction with each other and with the management team.

The auditor Mr. Saulo Siesquen assessed the following facility areas:
 The company has recently moved to new premises, so it is a completely new construction.
 The facility is made of noble material and has the legal permits required to operate, such as the operating license,
technical inspection of building safety, environmental permits and sanitary permits. It has an area of 14 000
square meters of which 5 000 square meters are built. The production processes are as follows: Raw material
reception area, washing, disinfection, packaging and Warehouse.
 There was a total of 136 employees at this facility: 34 Administrative employees (20 males and 14 females) and
102 Operations employees (48 males and 54 females). The gender distribution is the following: Male: 47%.
Female: 53%.

The Mr. Saulo Siesquen sampled:

 It was allowed to tour all the facilities, both production and support areas, without restrictions during the visit.
 The facility has fire extinguishing systems installed in each of the areas visited, duly marked exit routes and safe
areas identified at the entrance to the factory, segregation receptacles for the waste generated, fire alarms,
smoke detectors, and first aid kits. It was noted that the facility conducts drills and inspections of safety
equipment.

Approximate percentage of facility visited: 100%.

Documentation Review:
After the walkthrough, facility management provided access to facility Environmental, Health and Safety (EHS)
documentation. The following EHS documentation was reviewed:

 Operating license (Municipality District of Chilca-Cañete Certificate N° 000107).

 Technical safety inspection in buildings (N° 018-2023 issued February 17th, 2023 expires February 17th, 2025).
 Water sampling by Inspectorate services Peru S.A.C. on December 16, 2022.
 Semi-Detailed Environmental Impact Assessment (EIA-SD), June 2021
 Pescanova has a corporate policy of environmental responsibility.
 Security statistics.
 Minutes of the meeting of the occupational health and safety committee.
 Hazard identification and risk assessment matrix.
 Evacuation map.
 Risk map.
 The facility has 7 fire extinguishers,8 fire hoses and 2 first aid kits.
 Safety, health and environment policy.
 Monthly inspections

This report contains privileged or confidential information and cannot be distributed without Client consent.  This report
contains information based on a defined scope informed by client requirements gathered through a sampling of:
documents, worker and management interviews, and/or visual observations.  All information is based on conditions
during the specific assessment date(s), and does not guarantee compliance to law, industry standards, or client
requirements. Furthermore, all information referencing law is provided in a limited scope, and does not constitute legal
advice.    
 ASSESSMENT REPORT
Facility Name: NOVAPERU SAC Audited On: MARCH 28, 2023

 Monthly meetings of the Health and Safety Committee.

Furthermore, a payroll assessment was conducted and one full year of payroll and time records were made available for
the review and facilitated by Janet Duran - HHRR Chief. As part of the payroll review, Mr. Saulo Siesquén requested and
was provided with three payroll periods as the sample for the payroll assessment. In each period, 10 workers were
sampled.

The reviewed payroll records consisted of 10 records from February 2023 (current month), 10 records from June 2022
(random month), and 10 records from November 2022 (random month) payroll records issued to 0 hourly employees, 0
employees piece rate employees and 10 salaried employees salaried employees as well as record of retirement fund
payments, vacations, payment of health insurance, law life insurance, bonuses and compensation for time of service.
Payroll register displayed employee name, weekending date, all regular and overtime hours worked, hourly rates,
earnings, additions/deductions, net and gross earnings.

In addition to payroll and time records, the following records were also reviewed:
 Record of Private Funds administration.
 Health insurance payment records.
 Law life insurance record.
 Attendance dial record.
 Payment of gratifications.
 Deposit of Compensation for Time of Service (CTS).
 Worker’s handbook.
 Worker file.
 Employment contracts.
 Worker entry record.
 Life insurance.

Employee Interviews:
The day on which the employee interviews were conducted, a total of 136 employees were present. A sample of 10
employees was selected to include 6 males and 4 females all Peruvians, all directly hired by the facility, the selected
workers work in the warehouse, maintenance and packaging. The facility provided a private space for interviews. 10
individual interviews were conducted. The workers were selected from the list provided by the HR Chief, the list contained
the workers who had attended work that day, who mark their attendance in a biometric record. The payroll of workers
contained the date of entry and date of birth. There was no evidence of the existence of underage workers. The youngest
worker was 18 years old.

Closing Meeting:
At the conclusion of the assessment a closing meeting was conducted with by Janet Duran - HHRR Chief. The
assessment outcome was communicated and reviewed in detail through presenting the Summary of Findings. Facility
management comments consisted of to thank for the contributions on the observations and the clarifications that were
made to the doubts of those responsible, as well as the reference to the laws that were being breached. The Summary of
Findings was signed by Janet Duran - HHRR Chief. Assessment team thanked the meeting participants for their time,
cooperation and assistance with the assessment process. The assessment was concluded at 17:00.

2. Labor
2.1 Postings
Are labor-related notices
posted in language(s)
understood by employees and
in accordance with other
LAB-01 Client expects its Suppliers and ☒ Yes
Facilities to comply, at a minimum, with ☐ No
all applicable labor, employment, health ☐ N/A
and safety, and environmental laws and Finding

This report contains privileged or confidential information and cannot be distributed without Client consent.  This report
contains information based on a defined scope informed by client requirements gathered through a sampling of:
documents, worker and management interviews, and/or visual observations.  All information is based on conditions
during the specific assessment date(s), and does not guarantee compliance to law, industry standards, or client
requirements. Furthermore, all information referencing law is provided in a limited scope, and does not constitute legal
advice.    
 ASSESSMENT REPORT
Facility Name: NOVAPERU SAC Audited On: MARCH 28, 2023

2. Labor
regulations of the country where the
applicable standards? Merchandise is produced. Law:

2.2 Terms of Employment

LAB-03 ☒ Yes
Are employees aware of their Where required by law, Employees shall ☐ No
employment terms in be provided with a written employment ☐ N/A
accordance with applicable contract outlining the terms of Finding Description:
standards? employment, in a language understood
by the Employee. Law:
☒ Yes
Does the facility provide LAB-04 Where required by law,
☐ No
employees with a document Employees shall be provided with a
☐ N/A
that outlines the employment written employment contract outlining the
Finding Description:
terms in accordance with terms of employment, in a language
applicable standards? understood by the Employee.
Law:
☒ Yes
Does the facility keep and LAB-05 Where required by law,
☐ No
maintain the written Employees shall be provided with a
☐ N/A
employment terms in written employment contract outlining the
Finding Description:
accordance with applicable terms of employment, in a language
standards? understood by the Employee.
Law:
☒ Yes
Does the content of the LAB-06 Employees shall not be subject
☐ No
document that outlines the to any forms of coercion, fraud,
☐ N/A
employment terms correspond deception, or giving up control of their
Finding Description:
to employee testimony and person to another for the purpose of such
meet applicable standards? exploitation.
Law:
☒ Yes
LAB-07 Where required by law,
Is the written document that ☐ No
Employees shall be provided with a
outlines the employment terms ☐ N/A
written employment contract outlining the
in a language understood by Finding Description:
terms of employment, in a language
each respective employee?
understood by the Employee.
Law:
LAB-09 Employees’ legal status shall be ☒ Yes
verified. Only Employees with valid work ☐ No
authorization issued by an appropriate ☐ N/A
Does the facility maintain legal authority shall be hired. Finding Description:
documentation that indicates
employees' eligibility to work in Foreign or migrant Employees shall: a) Law:
accordance with applicable be employed in full compliance with the
standards? laws of the host country, including
employment, labor and immigration laws;
and b) not be subjected to threats of
termination or deportation.
☒ Yes
☐ No
Is birth control forbidden as a LAB-10 Pregnancy or HIV tests, or birth
☐ N/A
condition for hiring and control, shall not be required as a
Finding Description:
maintaining employment? condition of employment.
Law:
Is termination of employment LAB-11 Employee terminations shall be ☒ Yes

This report contains privileged or confidential information and cannot be distributed without Client consent.  This report
contains information based on a defined scope informed by client requirements gathered through a sampling of:
documents, worker and management interviews, and/or visual observations.  All information is based on conditions
during the specific assessment date(s), and does not guarantee compliance to law, industry standards, or client
requirements. Furthermore, all information referencing law is provided in a limited scope, and does not constitute legal
advice.    
 ASSESSMENT REPORT
Facility Name: NOVAPERU SAC Audited On: MARCH 28, 2023

2. Labor
in full compliance with the law and copies ☐ No
and maintenance of
of termination records shall be ☐ N/A
termination records executed
maintained. Finding Description:
in accordance with applicable
standards?
Law:
2.3 Wages and Benefits
☒ Yes
☐ No
Are payroll records available LAB-12 Accurate payroll and production ☐ N/A
for review? records shall be maintained. Finding Description:

Law:
Randomly sampled 10 employees’
payrolls and attendance records from
February 2023 (Peak & current month),
Payroll period(s) reviewed for
LAB-13 Information only June 2022 (Random month) and
assessment sample:
November 2022 (not peak month) for
further checking on status of wages and
working hours
☒ Yes
☐ No
Are reviewed payroll records
LAB-14 Accurate payroll and production ☐ N/A
maintained in accordance with
records shall be maintained. Finding Description:
applicable standards?
Law:
Does the facility maintain ☒ Yes
records on production output ☐ No
for employees who are e.g. LAB-15 Accurate payroll and production ☐ N/A
paid by piece or task in records shall be maintained. Finding Description:
accordance with applicable
standards? Law:
☒ Yes
Does the information in
☐ No
reviewed payroll records,
LAB-16 Accurate payroll and production ☐ N/A
records on production outputs
records shall be maintained. Finding Description:
(as applicable) and interviews
correspond?
Law:
Is the legal minimum wage ☒ Yes
guaranteed to employees in ☐ No
LAB-17 Employees shall be paid at least
accordance with applicable ☐ N/A
the legal minimum and overtime wages
standards? Finding Description:
for hours worked.
Law:
Are employees compensated ☒ Yes
at the rate dictated by the ☐ No
LAB-23 Employees shall be paid at least
applicable standard based on ☐ N/A
the legal minimum and overtime wages
their classification (e.g. Finding Description:
for hours worked.
salaried employee, temporary,
apprentice)? Law:
Are employees paid for "down LAB-24 Employees shall be paid at least ☒ Yes
time" in accordance with the legal minimum and overtime wages ☐ No
applicable standards? for hours worked. ☐ N/A

This report contains privileged or confidential information and cannot be distributed without Client consent.  This report
contains information based on a defined scope informed by client requirements gathered through a sampling of:
documents, worker and management interviews, and/or visual observations.  All information is based on conditions
during the specific assessment date(s), and does not guarantee compliance to law, industry standards, or client
requirements. Furthermore, all information referencing law is provided in a limited scope, and does not constitute legal
advice.    
 ASSESSMENT REPORT
Facility Name: NOVAPERU SAC Audited On: MARCH 28, 2023

2. Labor
Finding Description:

Law:
LAB-25 Wages shall be paid directly to ☒ Yes
the Employee, or if the Employee has ☐ No
Is the payment method in
agreed otherwise, paid directly into an ☐ N/A
accordance with applicable
Employee-controlled account. Finding Description:
standards?
Law:
LAB-26 Wages shall be paid directly to ☒ Yes
the Employee, or if the Employee has ☐ No
Are wages paid directly to the
agreed otherwise, paid directly into an ☐ N/A
employee or an employee-
Employee-controlled account. Finding Description:
controlled account?
Law:
☒ Yes
☐ No
Is the pay frequency in LAB-27 Wages shall be paid at least
☐ N/A
accordance with applicable monthly or on a legally required
Finding Description:
standards? schedule, whichever is more strict.
Law:
☒ Yes
☐ No
Is the time of payment in LAB-28 Wages shall be paid at least
☐ N/A
accordance with applicable monthly or on a legally required
Finding Description:
standards? schedule, whichever is more strict.
Law:
☒ Yes
☐ No
LAB-29 Employees shall be paid at least
Is overtime paid in accordance ☐ N/A
the legal minimum and overtime wages
with applicable standards? Finding Description:
for hours worked.
Law:
Does the facility provide ☒ Yes
employees with an ☐ No
understandable wage LAB-30 An itemized wage statement for ☐ N/A
statement that, at minimum, all Employees shall be provided, which, Finding Description:
includes pay period, wages at a minimum, shall include pay period,
earned for pay period, rate of wages earned for pay period, rate of pay, Law:
pay, regular and overtime regular and overtime hours worked,
hours worked, deductions, and deductions, and benefits.
benefits in accordance with
applicable standards?
☒ Yes
☐ No
Are deductions from employee LAB-31 Unless required by law, there
☐ N/A
wages in accordance with should be no other deductions from
Finding Description:
applicable standards? wages.
Law:
Do employees receive LAB-33 Employees shall be provided all ☒ Yes
applicable benefits in legally mandated benefits, including ☐ No
accordance with applicable Social Security, parental leave, annual ☐ N/A

This report contains privileged or confidential information and cannot be distributed without Client consent.  This report
contains information based on a defined scope informed by client requirements gathered through a sampling of:
documents, worker and management interviews, and/or visual observations.  All information is based on conditions
during the specific assessment date(s), and does not guarantee compliance to law, industry standards, or client
requirements. Furthermore, all information referencing law is provided in a limited scope, and does not constitute legal
advice.    

Facility Name: NOVAPERU SAC
2. Labor
standards?
2.4 Working Hours
Standard hours of operation
Number and duration of breaks
during work day
Are time records available for
review?
Time record period(s)
reviewed for assessment
sample:
Are time records maintained in
accordance with applicable
standards?
Are employees working regular
working hours (daily, weekly,
monthly, other) in accordance
with applicable standards?
Are employees working
overtime hours (daily, weekly,
monthly, other) in accordance
with applicable standards?
Does the facility have an
overtime waiver in accordance
with applicable standards?
Are employees informed about
This report contains privileged or confidential information and cannot be distributed without Client consent.  This report
contains information based on a defined scope informed by client requirements gathered through a sampling of:
documents, worker and management interviews, and/or visual observations.  All information is based on conditions
during the specific assessment date(s), and does not guarantee compliance to law, industry standards, or client
requirements. Furthermore, all information referencing law is provided in a limited scope, and does not constitute legal
advice.    
ASSESSMENT REPORT
Audited On: MARCH 28, 2023
leave, sick leave and statutory holidays. Finding Description:
Law:
Working hours: Production: 1/ Monday to
LAB-34 Information only
Saturday 08:00 – 17:00.
1 hours to lunch
LAB-35 Information only
☒ Yes
☐ No
LAB-36 Time records shall be available ☐ N/A
for review. Finding Description:
Law:
Randomly sampled 10 employees’
payrolls and attendance records from
February 2023 (Peak & current month),
LAB-37 Information only June 2022 (Random month) and
November 2022 (not peak month) for
further checking on status of wages and
working hours.
☒ Yes
☐ No
LAB-38 Time records shall be maintained ☐ N/A
in compliance with applicable standards. Finding Description:
Law:
LAB-39 Employees’ combined regular ☒ Yes
and overtime working hours shall not ☐ No
exceed legal limits or 60 hours per week, ☐ N/A
whichever is more strict. Exceptions to Finding Description:
this requirement must be in compliance
with the law and only due to exceptional Law:
circumstances, such as work that is
continuous in nature or in the event of an
emergency.
LAB-44 Employees’ combined regular ☒ Yes
and overtime working hours shall not ☐ No
exceed legal limits or 60 hours per week, ☐ N/A
whichever is more strict. Exceptions to Finding Description:
this requirement must be in compliance
with the law and only due to exceptional Law:
circumstances, such as work that is
continuous in nature or in the event of an
emergency.
☒ Yes
☐ No
LAB-45 Where required by law, overtime
☐ N/A
waivers approved by appropriate legal
Finding Description:
authority must be obtained.
Law:
LAB-50 If legal overtime is necessary ☒ Yes
 ASSESSMENT REPORT
Facility Name: NOVAPERU SAC Audited On: MARCH 28, 2023

2. Labor
due to the seasonal nature of the ☐ No
industry, Employees shall be informed ☐ N/A
and understand overtime
about overtime obligations prior to time of Finding Description:
obligations prior to
hire and in advance of the overtime shift,
employment and prior to
and be allowed to refuse to work Law:
working the overtime shift?
overtime without punishment, penalty or
disciplinary action.
LAB-51 Employees’ combined regular ☒ Yes
and overtime working hours shall not ☐ No
exceed legal limits or 60 hours per week, ☐ N/A
Do employees receive rest
whichever is more strict. Exceptions to Finding Description:
breaks during the day in
this requirement must be in compliance
accordance with applicable
with the law and only due to exceptional Law:
standards?
circumstances, such as work that is
continuous in nature or in the event of an
emergency.
LAB-52 Employees’ combined regular ☒ Yes
and overtime working hours shall not ☐ No
exceed legal limits or 60 hours per week, ☐ N/A
Do employees receive daily whichever is more strict. Exceptions to Finding Description:
rest in accordance with this requirement must be in compliance
applicable standards? with the law and only due to exceptional Law:
circumstances, such as work that is
continuous in nature or in the event of an
emergency
☒ Yes
☐ No
Do employees receive weekly
LAB-53 At least one day off in a seven- ☐ N/A
rest in accordance with
day workweek shall be provided. Finding Description:
applicable standards?
Law:
Maximum number of LAB-55 Information only 6 days
consecutive days worked at
the facility:
Does the facility prevent ☒ Yes
LAB-56 Offclock work or work taken
employees from taking work ☐ No
home, except when the Facility has
home to finish the task or ☐ N/A
official home work practices approved by
quota? Finding Description:
the appropriate legal authority, shall not
be allowed.
Law:
☒ Yes
Does the facility follow
☐ No
provisions on the number of
☐ N/A
women's working hours in LAB-57
Finding Description:
accordance with applicable
standards?
Law:
2.5 Forced, Bonded, Indentured, Slave, Prison Labor and
Human Trafficking
If applicable, does the facility LAB-58 Supplier and Facility shall only ☒ Yes
only use legally-recognized use legally recognized employment ☐ No
employment agencies with a agencies with a current license and shall ☐ N/A
valid and current license? ensure that recruitment of Employees, Finding Description:

This report contains privileged or confidential information and cannot be distributed without Client consent.  This report
contains information based on a defined scope informed by client requirements gathered through a sampling of:
documents, worker and management interviews, and/or visual observations.  All information is based on conditions
during the specific assessment date(s), and does not guarantee compliance to law, industry standards, or client
requirements. Furthermore, all information referencing law is provided in a limited scope, and does not constitute legal
advice.    
 ASSESSMENT REPORT
Facility Name: NOVAPERU SAC Audited On: MARCH 28, 2023

2. Labor
whether directly or indirectly, is in
compliance with Applicable Laws and Law:
Regulations.
Do actual employment terms ☒ Yes
LAB-59 Employees shall not be subject
meet the job expectations ☐ No
to any forms of coercion, fraud,
promised at time of ☐ N/A
deception, or giving up control of their
recruitment? Finding Description:
person to another for the purpose of such
exploitation.
Law:
Are employees free from LAB-60 Employees shall not pay any ☒ Yes
paying charges for the purpose fees or other payments to the employer ☐ No
of recruitment or employment, or agent for the purpose of being hired or ☐ N/A
including fees (e.g. as a condition of employment. No such Finding Description:
recruitment, transportation), fees shall be deducted and withheld from
taxes, deposits or bonds (e.g. wages or otherwise passed on to the Law:
training bond)? Employees.
Highest recruitment cost as a 1.025 PEN
percentage of monthly wage
for standard working hours LAB-61 Information only
(not including overtime) for the
applicable employee:
LAB-62 All Employees shall work on a ☒ Yes
voluntary basis and not be subject to any ☐ No
Are employees free of debt
exploitation, such as forced, bonded and ☐ N/A
due to recruitment or
indentured labor, or sexual exploitation. Finding Description:
employment?
Law:
Highest amount of debt as a There is no overtime, overtime is
percentage of monthly wage voluntary.
for standard working hours LAB-63 Information only
(not including overtime) for the
applicable employee:
Do employees maintain LAB-64 Employees shall maintain ☒ Yes
custody of their original possession or have control of personal ☐ No
documents (e.g. passport, identity and travel documents. ☐ N/A
work permit, birth certification, Finding Description:
official ID card, driver's license,
family record book)? Law:
LAB-65 Employees shall maintain ☒ Yes
possession or have control of personal ☐ No
Did employees voluntarily identity and travel documents. ☐ N/A
relinquish their documents? Finding Description:

Are employees free from
pressure, coercion, or threats
by any means to maintain
them in employment?
Were employees free from
pressure, coercion, or threats
Law:
LAB-66 All Employees shall be treated ☒ Yes
with dignity and respect. Physical, ☐ No
sexual, verbal or mental abuse, coercion ☐ N/A
or threats, corporal punishment, or any Finding Description:
form of harassment during hiring or
employment is prohibited. Law:
LAB-67 Employees shall not be subject ☒ Yes
to any forms of coercion, fraud, ☐ No

This report contains privileged or confidential information and cannot be distributed without Client consent.  This report
contains information based on a defined scope informed by client requirements gathered through a sampling of:
documents, worker and management interviews, and/or visual observations.  All information is based on conditions
during the specific assessment date(s), and does not guarantee compliance to law, industry standards, or client
requirements. Furthermore, all information referencing law is provided in a limited scope, and does not constitute legal
advice.    
 ASSESSMENT REPORT
Facility Name: NOVAPERU SAC Audited On: MARCH 28, 2023

2. Labor
by any means during ☐ N/A
deception, or giving up control of their
recruitment? Finding Description:
person to another for the purpose of such
exploitation.
Law:
LAB-68 Employees’ freedom of ☒ Yes
movement shall not be restricted, nor ☐ No
Are employees free to resign
shall Employees be prevented from ☐ N/A
employment in accordance
terminating employment. Finding Description:
with applicable standards?
Law:
LAB-69 All Employees shall work on a ☒ Yes
voluntary basis and not be subject to any ☐ No
exploitation, such as forced, bonded and ☐ N/A
indentured labor, or sexual exploitation. Finding Description:
Are employees free from
threats of illegal terminations
Foreign or migrant Employees shall: a) Law:
(e.g. threats of repatriation for
be employed in full compliance with the
foreign workers)?
laws of the host country, including
employment, labor and immigration laws;
and b) not be subjected to threats of
termination or deportation.
☒ Yes
LAB-100 Employees’ freedom of ☐ No
Are employees guaranteed
movement shall not be restricted, nor ☐ N/A
freedom of movement during
shall Employees be prevented from Finding Description:
and after working hours?
terminating employment.
Law:
Does the facility avoid ☒ Yes
withholding wages or requiring ☐ No
deposits of any kind during the LAB-101 Wages shall not be withheld ☐ N/A
employment relationship in except as mandated by law. Finding Description:
accordance with applicable
standards? Law:
☒ Yes
LAB-102 Employees shall not be
☐ No
Are employees free from daily mandated to work overtime hours or
☐ N/A
production quota requirements complete production quotas that result in
Finding Description:
prior to leaving the facility? a violation of legal working hour
requirements.
Law:
☒ Yes
Do employees voluntarily LAB-103 Employees shall not be
☐ No
agree to overtime and is mandated to work overtime hours or
☐ N/A
mandatory overtime complete production quotas that result in
Finding Description:
administered in accordance a violation of legal working hour
with applicable standards? requirements.
Law:
Is mandatory overtime Overtime is voluntary.
LAB-104 Information only
permitted by law?
If applicable, does the facility LAB-105 The use of prison or convict ☒ Yes
employ prison labor in labor must be consistent with laws where ☐ No
accordance with applicable the merchandise is manufactured, and ☐ N/A
standards? with the laws where it is imported. Finding Description:

This report contains privileged or confidential information and cannot be distributed without Client consent.  This report
contains information based on a defined scope informed by client requirements gathered through a sampling of:
documents, worker and management interviews, and/or visual observations.  All information is based on conditions
during the specific assessment date(s), and does not guarantee compliance to law, industry standards, or client
requirements. Furthermore, all information referencing law is provided in a limited scope, and does not constitute legal
advice.    
 ASSESSMENT REPORT
Facility Name: NOVAPERU SAC Audited On: MARCH 28, 2023

2. Labor
Law:
2.6 Child Labor and Young Workers
Facility minimum hiring age 18 Years
LAB-106 Information only
standard (yrs):
Are employees currently ☒ Yes
LAB-107 All Employees shall be of at
employed at an age in ☐ No
least legal age established by local law. If
accordance with applicable ☐ N/A
the local law does not set a minimum
standards? Finding Description:
age, Employees must be at least
fourteen (14) years old.
Law:
☒ Yes
LAB-108 All Employees shall be of at
☐ No
At the time of hire, was the age least legal age established by local law. If
☐ N/A
in accordance with applicable the local law does not set a minimum
Finding Description:
standards? age, Employees must be at least
fourteen (14) years old.
Law:
LAB-109 Employees under the age of ☒ Yes
eighteen (18) shall not perform ☐ No
hazardous work that may jeopardize their ☐ N/A
Are working conditions (e.g. health, safety or morals. Hazardous work Finding Description:
task, hours) for employees includes, but is not limited to: work at
under the age of 18 in dangerous heights or in confined spaces; Law:
accordance with applicable work with hazardous substances,
standards? dangerous machinery, equipment and/or
tools; work that involves the manual
handling or transport of heavy loads; and
night work.
Are required medical tests LAB-110 The use of legitimate workplace ☒ Yes
before and during employment apprenticeship programs, which comply ☐ No
conducted for employees with Applicable Laws and Regulations, ☐ N/A
under the age of 18 in are permitted. Finding Description:
accordance with applicable
standards? Law:
Does the facility maintain ☒ Yes
permits, licenses, parental ☐ No
consent forms and other LAB-111 The use of legitimate workplace ☐ N/A
documents related to the apprenticeship programs, which comply Finding Description:
employment of apprentices, with Applicable Laws and Regulations,
trainees and employees under are permitted. Law:
the age of 18 in accordance
with applicable standards?
Are identified apprenticeship/ LAB-112 The use of legitimate workplace ☒ Yes
traineeships administered by apprenticeship programs, which comply ☐ No
the facility in accordance with with Applicable Laws and Regulations, ☐ N/A
applicable standards? are permitted. Finding Description:

Law:
Does the facility request LAB-113 Official and verifiable ☒ Yes
original, legal documentation documentation of each Employee’s date ☐ No
to verify the employee's age at of birth, or a legally recognizable means ☐ N/A
the time of hire? of confirming each Employee’s age, shall Finding Description:
be maintained.

This report contains privileged or confidential information and cannot be distributed without Client consent.  This report
contains information based on a defined scope informed by client requirements gathered through a sampling of:
documents, worker and management interviews, and/or visual observations.  All information is based on conditions
during the specific assessment date(s), and does not guarantee compliance to law, industry standards, or client
requirements. Furthermore, all information referencing law is provided in a limited scope, and does not constitute legal
advice.    

Facility Name: NOVAPERU SAC
2. Labor
Are copies of legal
documentation kept and
maintained in accordance with
applicable standards?
2.7 Abuse, Harassment and Disciplinary Action
Are employees free from any
form of abuse, harassment,
coercion or corporal
punishment?
Does the facility maintain
procedures on disciplinary
action?
Are disciplinary practices
administered in accordance
with applicable standards?
Are security practices
administered in accordance
with applicable standards?
2.8 Discrimination
Are employees free from
discrimination in accordance
with applicable standards?
Are tests (e.g. medical,
aptitude) executed for hire/
recruitment in accordance with
applicable standards?
Does the facility maintain
procedures to prohibit and
prevent discriminatory
This report contains privileged or confidential information and cannot be distributed without Client consent.  This report
contains information based on a defined scope informed by client requirements gathered through a sampling of:
documents, worker and management interviews, and/or visual observations.  All information is based on conditions
during the specific assessment date(s), and does not guarantee compliance to law, industry standards, or client
requirements. Furthermore, all information referencing law is provided in a limited scope, and does not constitute legal
advice.    
ASSESSMENT REPORT
Audited On: MARCH 28, 2023
Law:
LAB-114 Employees’ age documentation ☒ Yes
shall be verified, and where allowed by ☐ No
law, copies of such documents shall be ☐ N/A
maintained for each Employee. Finding Description:
Law:
LAB-115 All Employees shall be treated ☒ Yes
with dignity and respect. Physical, ☐ No
sexual, verbal or mental abuse, coercion ☐ N/A
or threats, corporal punishment, or any Finding Description:
form of harassment during hiring or
employment is prohibited. Law:
LAB-116 Written disciplinary policies and ☒ Yes
procedures and records of disciplinary ☐ No
actions for all Employees shall be ☐ N/A
maintained.. Finding Description:
Law:
☒ Yes
☐ No
LAB-117 Illegal or excessive disciplinary ☐ N/A
actions or monetary fines are prohibited Finding Description:
Law:
☒ Yes
☐ No
LAB-118 Abusive security practices,
☐ N/A
including opposite sex frisking and
Finding Description:
removal of clothing, is prohibited.
Law:
LAB-119 Discrimination in hiring and ☒ Yes
employment practices based on race, ☐ No
color, religion, gender, age, national, ☐ N/A
social or ethnic origin, maternity, sexual Finding Description:
orientation, political opinion, disability, or
any other status or personal Law:
characteristic shall not be allowed.
Employees shall not be discriminated
against based on such associations.
LAB-120 Pregnancy or HIV tests, or birth ☒ Yes
control, shall not be required as a ☐ No
condition of employment. ☐ N/A
Employee medical tests that can be used Finding Description:
to discriminate in hiring or employment
practices shall not be required. Law:
LAB-121 Documentation includes, but is ☒ Yes
not limited to licenses, permits, ☐ No
certifications, policies and procedures, ☐ N/A
 ASSESSMENT REPORT
Facility Name: NOVAPERU SAC Audited On: MARCH 28, 2023

2. Labor
practices? and Employee and Facility records. Finding Description:

Law:
Are employees hired and LAB-122 Employee medical tests that ☒ Yes
maintained in employment can be used to discriminate in hiring or ☐ No
regardless of pregnancy status employment practices shall not be ☐ N/A
or marital status? required. Finding Description:

Does the facility follow
provisions on women's
employment terms during
pregnancy, maternity leave
and return from maternity
leave in accordance with
applicable standards?
2.9 Freedom of Association and Collective Bargaining
Are employees free to
associate and collectively
bargain in accordance with
applicable standards
Law:
☒ Yes
LAB-123 Client expects its Suppliers and
☐ No
Facilities to comply, at a minimum, with
☐ N/A
all applicable labor, employment, health
Finding Description:
and safety, and environmental laws and
regulations of the country where the
Law:
Merchandise is produced.
LAB-124 Employees who wish to join or ☒ Yes
not join trade unions and to bargain ☐ No
collectively shall not be interfered with, ☐ N/A
penalized or retaliated against. Finding Description:

Law:
Where the ability to associate ☒ Yes
and collectively bargain are ☐ No
LAB-125 Employees who wish to join or
legally restricted, do ☐ N/A
not join trade unions and to bargain
employees have access to Finding Description:
collectively shall not be interfered with,
alternative means in
penalized or retaliated against.
accordance with applicable Law:
standards?
Are activities (e.g. elections, ☒ Yes
meetings) associated with ☐ No
LAB-132 Employees who wish to join or
workers' representation (union, ☐ N/A
not join trade unions and to bargain
workers' organization and Finding Description:
collectively shall not be interfered with,
other representation) permitted
penalized or retaliated against.
by the facility in accordance Law:
with applicable standards?

This report contains privileged or confidential information and cannot be distributed without Client consent.  This report
contains information based on a defined scope informed by client requirements gathered through a sampling of:
documents, worker and management interviews, and/or visual observations.  All information is based on conditions
during the specific assessment date(s), and does not guarantee compliance to law, industry standards, or client
requirements. Furthermore, all information referencing law is provided in a limited scope, and does not constitute legal
advice.    
 ASSESSMENT REPORT
Facility Name: NOVAPERU SAC Audited On: MARCH 28, 2023

3. Health, Safety and

Employee Housing
3.1 Licenses/Permits/Certifications
☒ Yes
☐ No
☐ N/A
Finding Description:
No, Auditor noted that periodic
evaluations to the health and safety
Is the facility in possession of
HS- Documentation includes, but is not management system are not carried out
H&S permits, licenses and/or
limited to licenses, permits, certifications, at work with approved auditors by the
certifications that are current
policies and procedures, and Employee Work Ministry.
and in accordance with
and Facility records. Law:
applicable standards?
Local law, Supreme Decree 014-2013-
TR, article 15, states that audits of the
occupational health and safety
management system should be
conducted every 3 years for low-risk
activities.
Is the facility in possession of ☒ Yes
forklift, boiler, generator, lift ☐ No
(elevator), compressor, ☐ N/A
HS-02 Documentation includes, but is not
pressure vessel, crane, and Finding Description:
limited to licenses, permits, certifications,
industrial refrigerator permits,
policies and procedures, and Employee
licenses and/or certifications Law:
and Facility records.
that are current and in
accordance with applicable
standards?
Does the facility maintain HS-03 Documentation includes, but is not ☒ Yes
forklift driver, boiler, lift limited to licenses, permits, certifications, ☐ No
(elevator), crane, pressure policies and procedures, and Employee ☐ N/A
vessel operator licenses in and Facility records. Finding Description:
accordance with applicable
standards? Law:
3.2 Postings
Are H&S notices kept on file, ☒ Yes
HS-04 Health and safety notices shall be
posted in the facility and in ☐ No
posted and updated regularly. All health
language(s) understood by ☐ N/A
and safety information shall be in
majority of employees in Finding Description:
language(s) understood by all
accordance with applicable
Employees.
standards? Law:
3.3 Risk Assessment
Does the facility conduct H&S HS-05 Documentation includes, but is not ☒ Yes
risk assessments in limited to licenses, permits, certifications, ☐ No
accordance with applicable policies and procedures, and Employee ☐ N/A
standards? and Facility records. Finding Description:

Law:
3.4 Risk Management
Does the facility maintain HS-06 Documentation includes, but is not ☒ Yes
management plans to mitigate limited to licenses, permits, certifications, ☐ No
or respond to H&S risks in policies and procedures, and Employee ☐ N/A

This report contains privileged or confidential information and cannot be distributed without Client consent.  This report
contains information based on a defined scope informed by client requirements gathered through a sampling of:
documents, worker and management interviews, and/or visual observations.  All information is based on conditions
during the specific assessment date(s), and does not guarantee compliance to law, industry standards, or client
requirements. Furthermore, all information referencing law is provided in a limited scope, and does not constitute legal
advice.    

Facility Name: NOVAPERU SAC
3. Health, Safety and
Employee Housing
accordance with applicable
standards?
3.5 Governance
Does the facility have
personnel responsible for
management of H&S policies
and procedures in accordance
with applicable standards?
Does the facility have an H&S
committee that operates and
documents activities in
accordance with applicable
standards?
3.6 Education
What health and safety
trainings does the facility
provide its employees and
how often are they
conducted?
3.7 Fire Safety and Emergency Evacuation
Types of firefighting
equipment used by facility:
Is firefighting equipment
present and maintained in
accordance with applicable
standards?
Are emergency alarms
This report contains privileged or confidential information and cannot be distributed without Client consent.  This report
contains information based on a defined scope informed by client requirements gathered through a sampling of:
documents, worker and management interviews, and/or visual observations.  All information is based on conditions
during the specific assessment date(s), and does not guarantee compliance to law, industry standards, or client
requirements. Furthermore, all information referencing law is provided in a limited scope, and does not constitute legal
advice.    
ASSESSMENT REPORT
Audited On: MARCH 28, 2023
and Facility records. Finding Description:
Procedures shall be adopted and steps
shall be taken to prevent accidents, Law:
injuries and the spread of diseases.
HS-07 Policies and procedures shall be ☒ Yes
implemented, and management shall ☐ No
identify a person or persons at the Facility ☐ N/A
or work site to be responsible for Finding Description:
monitoring and implementing, practices to
comply with all Applicable Laws and Law:
Regulations and the Supplier Code of
Conduct.
HS-08 Policies and procedures shall be ☒ Yes
implemented, and management shall ☐ No
identify a person or persons at the Facility ☐ N/A
or work site to be responsible for Finding Description:
monitoring and implementing, practices to
comply with all Applicable Laws and Law:
Regulations and the Supplier Code of
Conduct.
By law, 4 security trainings are given per
year. NOVAPERU offers more than 4
trainings per year, such as:
HS-09 Information only Risk Management
Safe forklift operation
First Aid
Extinguishers
Evacuation
HS-10 Information only
☒ Fire extinguishers
☒ Fire hoses
☐ Sprinklers
☐ Hydrants
Other:___________________________
HS-11 Fire extinguishers shall be located ☒ Yes
near storage of chemicals and hazardous ☐ No
materials and along emergency exit ☐ N/A
routes. Fire extinguishers shall be Finding Description:
appropriate to the type of production,
clearly marked, free of any obstructions Law:
and be inspected monthly or as required
by law, whichever is more strict.
Sprinklers, hydrants, hoses, etc. shall be
installed per local law.
HS-12 Emergency alarms shall be clearly ☒ Yes

Facility Name: NOVAPERU SAC
3. Health, Safety and
Employee Housing
present, maintained and
detectable by employees in
accordance with applicable
standards?
Are secondary emergency
exits present and located in
accordance with applicable
standards?
Are emergency exits
maintained in accordance with
applicable standards?
Are emergency exit pathways
present and maintained in
accordance with applicable
standards?
Are evacuation plans present,
posted and maintained in
accordance with applicable
standards?
Are emergency assembly
points present and maintained
in accordance with applicable
standards?
Is emergency lighting present
and maintained in accordance
with applicable standards?
Are evacuation drills
conducted and documented in
accordance with applicable
standards?
This report contains privileged or confidential information and cannot be distributed without Client consent.  This report
contains information based on a defined scope informed by client requirements gathered through a sampling of:
documents, worker and management interviews, and/or visual observations.  All information is based on conditions
during the specific assessment date(s), and does not guarantee compliance to law, industry standards, or client
requirements. Furthermore, all information referencing law is provided in a limited scope, and does not constitute legal
advice.    
ASSESSMENT REPORT
Audited On: MARCH 28, 2023
marked, functional, free of any ☐ No
obstructions and easy to detect in areas ☐ N/A
with high noise levels. Finding Description:
Law:
☒ Yes
☐ No
HS-13 Secondary emergency exits on ☐ N/A
each floor shall be provided. Finding Description:
Law:
HS-14 Emergency exits shall be clearly ☒ Yes
marked, free of any obstructions, ☐ No
unlocked and provided with signs ☐ N/A
understood by all Employees. Emergency Finding Description:
exits shall open in the direction of travel
with a single release. Law:
☒ Yes
HS-15 Emergency exit routes shall be
☐ No
clearly marked with direction of travel,
☐ N/A
free of any obstructions and welllighted at
Finding Description:
all times. Emergency exit routes shall
lead to a safe assembly area.
Law:
☒ Yes
☐ No
HS-16 Evacuation plot plans shall be
☐ N/A
provided in Employee areas and along
Finding Description:
emergency exit routes.
Law:
☒ Yes
HS-17 Emergency exit routes shall lead
☐ No
to a safe assembly area. The assembly
☐ N/A
area should not be located near storage
Finding Description:
of chemicals and/or hazardous materials
and equipment.
Law:
☒ Yes
HS-18 Emergency exit routes shall be ☐ No
clearly marked with direction of travel, ☐ N/A
free of any obstructions and welllighted at Finding Description:
all times.
Law:
HS-19 Employees shall be trained on ☒ Yes
evacuation procedures in case of ☐ No
emergency. ☐ N/A
Fire and other emergency evacuation Finding Description:
drills shall be conducted every twelve
(12) months for all Employees on every Law:
shift and floor or as required by law,
whichever is more strict. Emergency
evacuation shall be monitored by trained
Employees.

Facility Name: NOVAPERU SAC
3. Health, Safety and
Employee Housing
3.8 First Aid and Emergency Care
Does the facility provide first
aid equipment and is the
observed equipment,
designated, accessible and
maintained in accordance with
applicable standards?
Are employees trained and
available to administer first aid
procedures in accordance with
applicable standards?
Does the facility have staff
available to administer
medical care in accordance
with applicable standards?
Does the facility provide a
clinic and maintain medical
records in accordance with
applicable standards?
Does the facility provide
medical treatment at no cost
to employees for injuries
related to employment, unless
employees have medical
insurance?
Do employees undergo
medical tests related to the job
function and are records of
medical tests maintained in
This report contains privileged or confidential information and cannot be distributed without Client consent.  This report
contains information based on a defined scope informed by client requirements gathered through a sampling of:
documents, worker and management interviews, and/or visual observations.  All information is based on conditions
during the specific assessment date(s), and does not guarantee compliance to law, industry standards, or client
requirements. Furthermore, all information referencing law is provided in a limited scope, and does not constitute legal
advice.    
ASSESSMENT REPORT
Audited On: MARCH 28, 2023
HS-20 Fully stocked and clearly marked ☒ Yes
locations of firstaid medical supplies shall ☐ No
be accessible to Employees. ☐ N/A
Eyewash stations and/or chemical Finding Description:
showers shall be provided when required
by law and/or under relevant working Law:
conditions.
☒ Yes
☐ No
HS-21 At least one trained firstaid
☐ N/A
personnel shall be assigned and
Finding Description:
available on every shift.
Law:
HS-22 In the event of serious injuries, ☒ Yes
Employees shall receive medical ☐ No
treatment at the nearest medical facility. ☐ N/A
These services shall be provided at no Finding Description:
cost to the Employees, unless such
Employees’ health insurance coverage, if Law:
any, provides otherwise.
☒ Yes
☐ No
☐ N/A
Finding Description:
No. It was noted that the occupational
doctor has not sent the annual report of
the results obtained from the medical
HS-23 In the event of serious injuries,
surveillance of the workers’ health to the
Employees shall receive medical
health authority of their jurisdiction.
treatment at the nearest medical facility.
Law:
These services shall be provided at no
Local law, according to the Ministerial
cost to the Employees, unless such
Resolution N° 312-2011-MINSA, article
Employees’ health insurance coverage, if
6.4.10, states that the health professional
any, provides otherwise.
will submit an annual report in printed and
electronic version of the results obtained
in the Surveillance of Workers’ Health to
the Health Authority of their jurisdiction
(Regional Health Directorates, Health
Directorates or the General Directorate of
Environmental Health (DIGESA).
HS-24 These services shall be provided ☒ Yes
at no cost to the Employees, unless such ☐ No
Employees’ health insurance coverage, if ☐ N/A
any, provides otherwise. Finding Description:
Law:
HS-25 All Employees shall receive legally ☒ Yes
required medical tests related to their ☐ No
specific occupation. ☐ N/A
Finding Description:

Facility Name: NOVAPERU SAC
3. Health, Safety and
Employee Housing
accordance with applicable
standards?
Does the facility manage
medical waste in accordance
with applicable standards?
Does the facility maintain
records of employee accidents
(e.g. injury, death) and facility
accidents (e.g. equipment
malfunction) in accordance
with applicable standards?
Does the facility investigate,
address and report employee
and facility accidents in
accordance with applicable
standards?
3.9 Personal Protective Equipment
Has the facility established a
policy/ code governing
personal protective equipment
identification, use,
maintenance and training?
Does the facility communicate
and train employees (all
levels) on the facility's
personal protective equipment
policy in accordance with
applicable standards?
Are employees using the
designated personal
protective equipment in
accordance with applicable
standards?
Does the facility maintain the
designated personal
protective equipment in
accordance with applicable
standards?
This report contains privileged or confidential information and cannot be distributed without Client consent.  This report
contains information based on a defined scope informed by client requirements gathered through a sampling of:
documents, worker and management interviews, and/or visual observations.  All information is based on conditions
during the specific assessment date(s), and does not guarantee compliance to law, industry standards, or client
requirements. Furthermore, all information referencing law is provided in a limited scope, and does not constitute legal
advice.    
ASSESSMENT REPORT
Audited On: MARCH 28, 2023
Law:
☒ Yes
☐ No
HS-26 Procedures shall be adopted and
☐ N/A
steps shall be taken to prevent accidents,
Finding Description:
injuries and the spread of diseases.
Law:
HS-27 Records of Employee accidents ☒ Yes
and injuries shall be maintained, ☐ No
including records of investigations, and ☐ N/A
corrective and preventive actions. Finding Description:
Law:
HS-28 Records of Employee accidents ☒ Yes
and injuries shall be maintained, ☐ No
including records of investigations, and ☐ N/A
corrective and preventive actions. Finding Description:
Law:
HS-30 Personal protective equipment ☒ Yes
shall be provided to all Employees ☐ No
performing tasks involving painting, ☐ N/A
lacquering, spraying, sanding or Finding Description:
application of chemicals or hazardous
materials, and to all Employees exposed Law:
to physical dangers. Personal protective
equipment includes, but is not limited to:
face masks, eye protection, gloves,
welding masks, hard hats, safety shoes,
insulated clothing and hearing protection.
HS-31 Employees who work with or are ☒ Yes
exposed to chemicals and hazardous ☐ No
materials shall be trained on safe ☐ N/A
handling, storage and disposal of these Finding Description:
materials.
Procedures shall be adopted and steps Law:
shall be taken to prevent accidents,
injuries and the spread of diseases.
☒ Yes
☐ No
HS-32 Procedures shall be adopted and
☐ N/A
steps shall be taken to prevent accidents,
Finding Description:
injuries and the spread of diseases.
Law:
HS-33 Personal protective equipment ☒ Yes
shall be provided to all Employees ☐ No
performing tasks involving painting, ☐ N/A
lacquering, spraying, sanding or Finding Description:
application of chemicals or hazardous

Facility Name: NOVAPERU SAC
3. Health, Safety and
Employee Housing
Are employees provided
equipment used in the
process of employment (e.g.
tools, uniforms, PPE) paid for
by the facility in accordance
with applicable standards?
3.10 Chemicals and Hazardous Materials
The facility does not use or
maintain (store) chemicals or
hazardous materials on site.
Has the facility established a
policy/ code governing
chemicals and hazardous
materials identification, use,
maintenance and training in
accordance with applicable
standards?
Does the facility communicate
and train employees (all
levels) on the facility's
chemicals and hazardous
materials policy in accordance
with applicable standards?
Are employees handling the
chemicals and hazardous
materials at the facility in
accordance with applicable
standards?
Are materials labeled as
hazardous, combustible or
flammable and stored in
accordance with applicable
standards?
Does the facility prepare
chemicals and hazardous
materials for disposal in
accordance with applicable
This report contains privileged or confidential information and cannot be distributed without Client consent.  This report
contains information based on a defined scope informed by client requirements gathered through a sampling of:
documents, worker and management interviews, and/or visual observations.  All information is based on conditions
during the specific assessment date(s), and does not guarantee compliance to law, industry standards, or client
requirements. Furthermore, all information referencing law is provided in a limited scope, and does not constitute legal
advice.    
ASSESSMENT REPORT
Audited On: MARCH 28, 2023
materials, and to all Employees exposed Law:
to physical dangers. Personal protective
equipment includes, but is not limited to:
face masks, eye protection, gloves,
welding masks, hard hats, safety shoes,
insulated clothing and hearing protection.
☒ Yes
☐ No
HS-34 Uniforms and personal protective
☐ N/A
equipment, if required, shall be provided
Finding Description:
at no cost to Employees.
Law:
The facility has a Hazardous Waste
storage facility.
HS-35 Information only
HS-36 Employees who work with or are ☒ Yes
exposed to chemicals and hazardous ☐ No
materials shall be trained on safe ☐ N/A
handling, storage and disposal of these Finding Description:
materials.
Law:
☒ Yes
HS-37 Employees who work with or are
☐ No
exposed to chemicals and hazardous
☐ N/A
materials shall be trained on safe
Finding Description:
handling, storage and disposal of these
materials.
Law:
☒ Yes
HS-38 Employees who work with or are
☐ No
exposed to chemicals and hazardous
☐ N/A
materials shall be trained on safe
Finding Description:
handling, storage and disposal of these
materials.
Law:
HS-39 Procedures shall be adopted and ☒ Yes
steps shall be taken to prevent accidents, ☐ No
injuries and the spread of diseases. ☐ N/A
Policies and procedures shall be Finding Description:
implemented, and management shall
identify a person or persons at the Facility Law:
or work site to be responsible for
monitoring and implementing, practices to
comply with all Applicable Laws and
Regulations and the Supplier Code of
Conduct.
HS-40 Procedures shall be adopted and ☒ Yes
steps shall be taken to prevent accidents, ☐ No
injuries and the spread of diseases. ☐ N/A
Policies and procedures shall be Finding Description:

Facility Name: NOVAPERU SAC
3. Health, Safety and
Employee Housing
standards?
Does the facility maintain
safety data sheets of
chemicals and hazardous
materials in accordance with
applicable standards?
3.11 Equipment Safety
Has the facility established a
policy/ code governing
equipment safety identification
and maintenance in
accordance with applicable
standards?
Does the facility communicate
and train employees (all
levels) on the facility's
equipment safety policy in
accordance with applicable
standards?
Does the facility maintain the
designated equipment safety
mechanisms in accordance
with applicable standards?
Does the facility maintain
inspection records for forklifts,
boilers, generators, lifts
(elevators), compressors,
pressure vessels, cranes, and
industrial refrigerators?
Is observed equipment at the
facility operating and equipped
with safety mechanisms in
accordance with applicable
standards?
3.12 Electrical Safety
Are electrical panels, wiring
and outlets maintained in
accordance with applicable
standards?
This report contains privileged or confidential information and cannot be distributed without Client consent.  This report
contains information based on a defined scope informed by client requirements gathered through a sampling of:
documents, worker and management interviews, and/or visual observations.  All information is based on conditions
during the specific assessment date(s), and does not guarantee compliance to law, industry standards, or client
requirements. Furthermore, all information referencing law is provided in a limited scope, and does not constitute legal
advice.    
ASSESSMENT REPORT
Audited On: MARCH 28, 2023
implemented, and management shall
identify a person or persons at the Facility Law:
or work site to be responsible for
monitoring and implementing, practices to
comply with all Applicable Laws and
Regulations and the Supplier Code of
Conduct.
☒ Yes
☐ No
HS-42 Procedures shall be adopted and
☐ N/A
steps shall be taken to prevent accidents,
Finding Description:
injuries and the spread of diseases.
Law:
☒ Yes
HS-43 Employees who work with
☐ No
dangerous equipment shall be trained on
☐ N/A
safe operation and handling. Safety signs
Finding Description:
and manuals for all dangerous equipment
shall be provided.
Law:
☒ Yes
HS-44 Employees who work with
☐ No
dangerous equipment shall be trained on
☐ N/A
safe operation and handling. Safety signs
Finding Description:
and manuals for all dangerous equipment
shall be provided.
Law:
☒ Yes
HS-45 Safety signs and manuals for all
☐ No
dangerous equipment shall be provided.
☐ N/A
Procedures shall be adopted and steps
Finding Description:
shall be taken to prevent accidents,
injuries and the spread of diseases.
Law:
☒ Yes
☐ No
HS-46 Procedures shall be adopted and
☐ N/A
steps shall be taken to prevent accidents,
Finding Description:
injuries and the spread of diseases.
Law:
☒ Yes
☐ No
HS-47 Procedures shall be adopted and
☐ N/A
steps shall be taken to prevent accidents,
Finding Description:
injuries and the spread of diseases.
Law:
HS-48 Electrical panels, wiring and ☒ Yes
outlets shall be inspected at least ☐ No
monthly, and shall not be damaged, ☐ N/A
exposed, or pose a trip hazard. Finding Description:
Law:

Facility Name: NOVAPERU SAC
3. Health, Safety and
Employee Housing
3.13 Noise
Are noise levels monitored in
accordance with applicable
standards?
3.14 Ventilation and Lighting
Does the facility provide
access to and maintain
workplace illumination in
accordance with applicable
standards?
Does the facility maintain
windows or ventilation
systems in the work
environment in accordance
with applicable standards?
3.15 Drinking Water
Do employees have unlimited
and free access to potable
water?
3.16 Sanitation
Is general housekeeping
maintained in accordance with
applicable standards?
Do employees have unlimited
and free access to toilet
facilities?
In observed areas, does the
facility have sanitary and
maintained restroom/ shower
facilities in accordance with
applicable standards?
3.17 Food Preparation
This report contains privileged or confidential information and cannot be distributed without Client consent.  This report
contains information based on a defined scope informed by client requirements gathered through a sampling of:
documents, worker and management interviews, and/or visual observations.  All information is based on conditions
during the specific assessment date(s), and does not guarantee compliance to law, industry standards, or client
requirements. Furthermore, all information referencing law is provided in a limited scope, and does not constitute legal
advice.    
ASSESSMENT REPORT
Audited On: MARCH 28, 2023
☒ Yes
☐ No
HS-49 Procedures shall be adopted and
☐ N/A
steps shall be taken to prevent accidents,
Finding Description:
injuries and the spread of diseases.
Law:
☒ Yes
☐ No
HS-50 Adequate lighting in the work
☐ N/A
space for all Employees shall be
Finding Description:
provided.
Law:
HS-51 Properly ventilated work areas ☒ Yes
shall be provided, especially in all areas ☐ No
where painting, lacquering, spraying, or ☐ N/A
sanding is done or where chemicals or Finding Description:
hazardous materials are used. In hot
environments, sufficient fans shall be Law:
provided, and in cold environments,
sufficient heating shall be provided
without risk to Employee safety.
HS-52 Safe drinking water shall be ☒ Yes
provided that is easily accessible to all ☐ No
Employees at all times. There shall be no ☐ N/A
restrictions on drinking water. Finding Description:
Law:
☒ Yes
☐ No
HS-53 Procedures shall be adopted and
☐ N/A
steps shall be taken to prevent accidents,
Finding Description:
injuries and the spread of diseases.
Law:
☒ Yes
☐ No
HS-54 Employees’ freedom of movement ☐ N/A
shall not be restricted… Finding Description:
Law:
HS-55 Adequate and clean toilet and ☒ Yes
handwashing facilities shall be provided ☐ No
with running water and necessary ☐ N/A
supplies. Such facilities shall be well- Finding Description:
lighted, ventilated, private and separated
by gender. Law:

Facility Name: NOVAPERU SAC
3. Health, Safety and
Employee Housing
Areas and Meals
Is the food preparation area/
canteen operated and
maintained in accordance with
applicable standards?
3.18 Child Care
Is child care facility located
and maintained in accordance
with applicable standards?
Is the facility work floor free of
individuals under the age of
18 who are not employed by
the facility?
3.19 Employee Housing
The facility does not provide
accommodation for
employees.
Is the dormitory located
separately from production or
distribution areas?
Is the facility in possession of
dormitory H&S permits,
licenses and/or certifications
that are current and in
accordance with applicable
standards?
Did the facility assessment
include an assessment of the
facility-provided
accommodation?
Are dormitory
accommodations and
amenities present and
maintained?
How many fire extinguishers
reported by facility in
assessed dormitory floors?
Is firefighting equipment
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contains information based on a defined scope informed by client requirements gathered through a sampling of:
documents, worker and management interviews, and/or visual observations.  All information is based on conditions
during the specific assessment date(s), and does not guarantee compliance to law, industry standards, or client
requirements. Furthermore, all information referencing law is provided in a limited scope, and does not constitute legal
advice.    
ASSESSMENT REPORT
Audited On: MARCH 28, 2023
☒ Yes
HS-56 When meals are provided to
☐ No
Employees, all food preparation and
☐ N/A
canteen areas shall comply with all
Finding Description:
Applicable Laws and Regulations that
address sanitation and health and safety.
Law:
☒ Yes
☒ No
HS-57 Procedures shall be adopted and
☐ N/A
steps shall be taken to prevent accidents,
Finding Description:
injuries and the spread of diseases.
Law:
☒ Yes
☐ No
HS-58 Individuals under the age of 18
☐ N/A
who are not working at the Facility shall
Finding Description:
not be in the production areas.
Law:
HS-60 Information only Yes. The facility does not provide
accommodation.
HS-61 Employee housing shall be ☒ Yes
separate from production and distribution ☐ No
areas, and shall comply with all ☐ N/A
Applicable Laws and Regulations. Finding Description:
Law:
HS-62 Employee housing shall be ☒ Yes
separate from production and distribution ☐ No
areas, and shall comply with all ☐ N/A
Applicable Laws and Regulations. Finding Description:
Law:
Not applicable, the facility does not
provide accommodation
HS-63 Information only
HS-64 All Employees shall have their ☒ Yes
own beds and bedding provided at no ☐ No
cost. Sleeping areas for unmarried ☐ N/A
Employees shall be separated by gender. Finding Description:
All Employees shall have access to safe
drinking water, hot water, and toilets that Law:
are separated by gender and private.
HS-65 Information only Not applicable, the facility does not have
sleeping rooms
HS-66 Employee housing shall be ☒ Yes

Facility Name: NOVAPERU SAC
3. Health, Safety and
Employee Housing
present in the dormitory and
maintained in accordance with
applicable standards?
Are emergency alarms
present in the dormitory,
maintained, functional and
detectable by occupants in
accordance with applicable
standards?
Are secondary emergency
exits present in the dormitory
and located in accordance
with applicable standards?
Are emergency exits in the
dormitory maintained in
accordance with applicable
standards?
Are emergency exit pathways
present in the dormitory and
maintained in accordance with
applicable standards?
Are evacuation plans present
in the dormitory, posted and
maintained in accordance with
applicable standards?
Are emergency assembly
points present at the dormitory
and maintained in accordance
with applicable standards?
Is emergency lighting present
in the dormitory and
maintained in accordance with
applicable standards?
Are evacuation drills
conducted in the dormitory
and documented in
accordance with applicable
This report contains privileged or confidential information and cannot be distributed without Client consent.  This report
contains information based on a defined scope informed by client requirements gathered through a sampling of:
documents, worker and management interviews, and/or visual observations.  All information is based on conditions
during the specific assessment date(s), and does not guarantee compliance to law, industry standards, or client
requirements. Furthermore, all information referencing law is provided in a limited scope, and does not constitute legal
advice.    
ASSESSMENT REPORT
Audited On: MARCH 28, 2023
separate from production and distribution ☐ No
areas, and shall comply with all ☐ N/A
Applicable Laws and Regulation for Finding Description:
firefighting equipment (fire extinguishers,
sprinklers, hydrants, hoses, etc.) Law:
HS-67 Employee housing shall be ☒ Yes
separate from production and distribution ☐ No
areas, and shall comply with all ☐ N/A
Applicable Laws and Regulations. Finding Description:
Law:
HS-68 Employee housing shall be ☒ Yes
separate from production and distribution ☐ No
areas, and shall comply with all ☐ N/A
Applicable Laws and Regulations. Finding Description:
Law:
HS-69 Employee housing shall be ☒ Yes
separate from production and distribution ☐ No
areas, and shall comply with all ☐ N/A
Applicable Laws and Regulations. Finding Description:
Law:
HS-70 Employee housing shall be ☒ Yes
separate from production and distribution ☐ No
areas, and shall comply with all ☐ N/A
Applicable Laws and Regulations. Finding Description:
Law:
HS-71 Employee housing shall be ☒ Yes
separate from production and distribution ☐ No
areas, and shall comply with all ☐ N/A
Applicable Laws and Regulations. Finding Description:
Law:
HS-72 Employee housing shall be ☒ Yes
separate from production and distribution ☐ No
areas, and shall comply with all ☐ N/A
Applicable Laws and Regulations. Finding Description:
Law:
HS-73 Employee housing shall be ☒ Yes
separate from production and distribution ☐ No
areas, and shall comply with all ☐ N/A
Applicable Laws and Regulations. Finding Description:
Law:
HS-74 Employee housing shall be ☒ Yes
separate from production and distribution ☐ No
areas, and shall comply with all ☐ N/A
Applicable Laws and Regulations. Finding Description:
 ASSESSMENT REPORT
Facility Name: NOVAPERU SAC Audited On: MARCH 28, 2023

3. Health, Safety and

Employee Housing
standards?
Are electrical panels, wiring
and outlets in the dormitory
maintained in accordance with
applicable standards?
Law:
HS-75 Employee housing shall be ☒ Yes
separate from production and distribution ☐ No
areas, and shall comply with all ☐ N/A
Applicable Laws and Regulations. Finding Description:

Law:
HS-76 While reasonable rules, ☒ Yes
regulations and curfews may be ☐ No
necessary for the safety and comfort of ☐ N/A
Are employees granted Employees, Employees shall be free to Finding Description:
freedom of movement and are leave the Facility grounds during non
their personal liberties working hours. Where curfews apply and Law: ☒ Yes
respected while accessing are allowed by law, Employees shall be ☐ No
and leaving the facility- notified of the curfew and instructed on ☐ N/A
provided premises? safety risks in and around Employee Finding Description:
housing.
Foreign or migrant Employees shall not Law:
be subject to lockin/lockout policies.
☒ Yes
☐ No
Are employees free to find
☐ N/A
their own accommodation if HS-77
Finding Description:
they desire to?
Law:

This report contains privileged or confidential information and cannot be distributed without Client consent.  This report
contains information based on a defined scope informed by client requirements gathered through a sampling of:
documents, worker and management interviews, and/or visual observations.  All information is based on conditions
during the specific assessment date(s), and does not guarantee compliance to law, industry standards, or client
requirements. Furthermore, all information referencing law is provided in a limited scope, and does not constitute legal
advice.    

Facility Name: NOVAPERU SAC
4. Environmental Management
4.1 Licenses/ Permits/Certifications
Does the facility have a policy or
system in place to identify and
maintain applicable environmental
permits/ licenses/ certifications?
4.2 General Waste
Is the facility in possession of
permits and licenses for onsite
waste disposal that are current and
in accordance with applicable
standards?
Does the facility maintain an outdoor
environment free of uncontrolled
refuse?
4.3 Hazardous Waste
The facility does not appear to
generate, report any generation, or
attest to any generation of
hazardous waste.
Does the facility prevent the direct
discharge of hazardous waste into
the environment?
This report contains privileged or confidential information and cannot be distributed without Client consent.  This report
contains information based on a defined scope informed by client requirements gathered through a sampling of:
documents, worker and management interviews, and/or visual observations.  All information is based on conditions
during the specific assessment date(s), and does not guarantee compliance to law, industry standards, or client
requirements. Furthermore, all information referencing law is provided in a limited scope, and does not constitute legal
advice.    
ASSESSMENT REPORT
Audited On: MARCH 28, 2023
ENV-01 Documentation includes, but is ☒ Yes
not limited to licenses, permits, ☐ No
certifications, policies and procedures, ☐ N/A
and Employee and Facility records. Finding Description:
Law:
ENV-07 Documentation includes, but is ☒ Yes
not limited to licenses, permits, ☐ No
certifications, policies and procedures, ☐ N/A
and Employee and Facility records. Finding Description:
Law:
☒ Yes
ENV-08 In the event that hazardous or
☐ No
polluting materials are discharged
☐ N/A
improperly, appropriate authorities shall
Finding Description:
be notified and immediate action shall be
taken to correct and remediate.
Law:
The facility generates organic and
inorganic wastes such as oil,
ENV-10 Information only
grease and suspended solids, but
also has a hazardous waste site.
☒ Yes
ENV-14 All chemicals and hazardous
☐ No
materials, including wastewater and solid
☐ N/A
waste generated from operations, shall be
Finding Description:
handled and disposed of using
environmentally responsible practices.
Law:
 ASSESSMENT REPORT
Facility Name: NOVAPERU SAC Audited On: MARCH 28, 2023

5. Audit Ethics
5.1 Bribery Attempt
☒ Yes
☐ No
ETH-01 Any and all forms of bribery,
Was the assessment free of any ☐ N/A
corruption, deception and falsification of
bribery attempt? Finding Description:
records are strictly prohibited.
Law:
5.2 Bribery and Facilitation Payments
ETH-02 Policies and procedures shall be ☒ Yes
implemented, and management shall ☐ No
Has the facility established a
identify a person or persons at the Facility ☐ N/A
policy/ code governing bribery
or work site to be responsible for Finding Description:
and facilitation payments in
monitoring and implementing, practices to
accordance with applicable
comply with all Applicable Laws and Law:
standards?
Regulations and the Supplier Code of
Conduct.
☒ Yes
Are employees who refuse to
☐ No
participate in bribery and ETH-03 Any and all forms of bribery,
☐ N/A
facilitation payments not corruption, deception and falsification of
Finding Description:
adversely affected (e.g. demotion, records are strictly prohibited.
termination)?
Law:
5.3 Employee Interviews
☒ Yes
☐ No
Was the assessment free of ETH-04 Prior coaching of interviewees is
☐ N/A
employee coaching for the not allowed, nor is any retaliation against
Finding Description:
purpose of the facility audit? any Employee or auditor.
Law:

This report contains privileged or confidential information and cannot be distributed without Client consent.  This report
contains information based on a defined scope informed by client requirements gathered through a sampling of:
documents, worker and management interviews, and/or visual observations.  All information is based on conditions
during the specific assessment date(s), and does not guarantee compliance to law, industry standards, or client
requirements. Furthermore, all information referencing law is provided in a limited scope, and does not constitute legal
advice.    
 ASSESSMENT REPORT
Facility Name: NOVAPERU SAC Audited On: MARCH 28, 2023

6. Facility Profile
Facility Name in Local Language: NOVAPERU SAC
Facility Address in Local Language: MZ A. G LOTE. 2 H.U. PARQUE INDUSTRIAL
Facility Contact Name: Teresa Jannet Duran Torres
Facility Phone: 994034102
Facility Fax: NA
Facility Email: jduran@novaperu.pe
6.1 Facility Access
Can you access the facility?
☒ Yes
FPR-1 Supplier shall require that the Facility’s
☐ No
management provide access to the Facility and
☐ N/A
all books and records that will allow for a
Finding Description:
comprehensive Supplier Code of Conduct audit
to be conducted, including an opportunity for
Law:
confidential and private interviews with Facility’s
Employees selected by the auditor.
6.2 Certifications
Valid certifications or stakeholder initiative
participation:
6.3 Production Profile
Industry sector: PRODUCTION OF HYDROBIOLOGICAL PRODUCTS
Principal products: Manufacture of fish products
Production processes: Reception, production process, packaging, and dispatch
% of total production for Client: NA
% of total production for other current clients: NA
Labels viewed on production floor:
Is the facility operating at full capacity? Yes
6.4 Production Capacity Reported by Management
Current: Click or tap here to enter text.
Production capacity per season: Low Season: Click or tap here to enter text.
Peak Season : Click or tap here to enter text.
Current: Click or tap here to enter text.

Number of permanent employees per season: Low Season: Click or tap here to enter text.
Peak Season : Click or tap here to enter text.
Current: Click or tap here to enter text.
Number of temporary employees per season: Low Season: Click or tap here to enter text.
Peak Season : Click or tap here to enter text.
6.5 Personnel Profile
Total number of employees (excl. contracted
136
employees):
total male 68
total female 68

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contains information based on a defined scope informed by client requirements gathered through a sampling of:
documents, worker and management interviews, and/or visual observations.  All information is based on conditions
during the specific assessment date(s), and does not guarantee compliance to law, industry standards, or client
requirements. Furthermore, all information referencing law is provided in a limited scope, and does not constitute legal
advice.    
 ASSESSMENT REPORT
Facility Name: NOVAPERU SAC Audited On: MARCH 28, 2023

6. Facility Profile
permanent X
temporary (facility direct hire) X
homeworkers 0
employees under the age of 18 0
foreign imported/ foreign migrant x
hired by the facility through labor brokers 0
contracted employees working in production 102
contracted employees indirectly related to
0
production (e.g. security, maintenance)
prison or convict labor 0
age youngest employee: 19
nationalities of the employees: Peruvian, Venezuelan and Spaniards
6.6 License
☒ Yes
Does the facility possess a business license?
☐ No
☐ N/A
FPR-2 Documentation includes, but is not limited
Finding Description:
to licenses, permits, certifications, policies and
procedures, and Employee and Facility records.
Law:

Is the business license maintained and posted in

accordance with applicable standards?
☒ Yes
FPR-3 Documentation includes, but is not limited ☐ No
to licenses, permits, certifications, policies and ☐ N/A
procedures, and Employee and Facility records. Finding Description:
Client expects its Suppliers and Facilities to
comply, at a minimum, with all applicable labor, Law:
employment, health and safety, and
environmental laws and regulations of the
country where the Merchandise is produced.

This report contains privileged or confidential information and cannot be distributed without Client consent.  This report
contains information based on a defined scope informed by client requirements gathered through a sampling of:
documents, worker and management interviews, and/or visual observations.  All information is based on conditions
during the specific assessment date(s), and does not guarantee compliance to law, industry standards, or client
requirements. Furthermore, all information referencing law is provided in a limited scope, and does not constitute legal
advice.    
 ASSESSMENT REPORT
Facility Name: NOVAPERU SAC Audited On: MARCH 28, 2023

7. Facility Supply Chain Profile

7.1 Subcontracting
☒ Yes
☐ No
The facility does not use subcontractors.
☐ N/A
Finding Description:
SCP-01 Information only
Law:
☒ Yes
Is Client informed of subcontractor use?
☐ No
☐ N/A
SCP-02 Information only
Finding Description:
All Facilities engaged in the production of
Merchandise sold to Client are required to be
Law:
disclosed to and approved by Client.
Subcontract Facility name (1): TU PLATO PERU S.A.C.
☐ Finished goods sold to Client by audited Facility (send Alert to Client)
What goods is Subcontractor producing? ☒ Products/ services incorporated into finished goods sold to Client
Subcontract Facility production specialty
canteen
and worker composition:
Contact person(s):
Address:
Phone:
Email:
Fax:
Subcontract Facility name (2): SEGURIDAD Y PROTECCION BOUNCER SAC
☐ Finished goods sold to Client by audited Facility (send Alert to Client)
What goods is Subcontractor producing? ☒ Products/ services incorporated into finished goods sold to Client
Subcontract Facility production specialty
Security
and worker composition:
Contact person(s):
Address:
Phone:
Email:
Fax:
7.2 Contractors
☒ Yes
☐ No
The facility does not use contractors.
☐ N/A
Finding Description:
SCP-03 Information only
Law:
SCP-03.01 Information only 
Employment/Recruitment agency 
      Name:  
      Address: 
Types of contractors:
      Number of employees onsite:  
Security company 
      Name:  
      Address: 

This report contains privileged or confidential information and cannot be distributed without Client consent.  This report
contains information based on a defined scope informed by client requirements gathered through a sampling of:
documents, worker and management interviews, and/or visual observations.  All information is based on conditions
during the specific assessment date(s), and does not guarantee compliance to law, industry standards, or client
requirements. Furthermore, all information referencing law is provided in a limited scope, and does not constitute legal
advice.    
 ASSESSMENT REPORT
Facility Name: NOVAPERU SAC Audited On: MARCH 28, 2023

7. Facility Supply Chain Profile

      Number of employees onsite: 
Food preparation/service company 
      Name:  
      Address: 
      Number of employees onsite: 
Cleaning company 
      Name: 
      Address: 
      Number of employees onsite: 
Maintenance company 
      Name: 
      Address:  
      Number of employees onsite: 
Other:___________________________ 
      Name: 
      Address: 
      Number of employees onsite: 

Does the facility maintain documentation for

contracted employees?
☒ Yes
SCP-04 The documentation necessary to verify
☐ No
compliance with Client’s Supplier Code of
☐ N/A
Conduct and with all Applicable Laws and
Finding Description:
Regulations shall be maintained, and shall be
made available upon request of Client or its third-
Law:
party auditor. This requirement also applies to
any thirdparty employment agencies used by the
Facility.
7.3 Homeworkers
The facility does not use homeworkers.
Yes. The facility does not use homeworkers.
SCP-05 Information only

Is the facility in possession of all permits related ☒ Yes

to the employment of homeworkers in ☐ No
accordance with applicable standards? ☐ N/A
Finding Description:
SCP-06
Facility shall only employ or contract home work Law:
practices consistent with Applicable Laws and
Regulations.
Does the facility maintain records for ☒ Yes
homeworkers in accordance with applicable ☐ No
standards? ☐ N/A
Finding Description:
SCP-07 Facility shall document and monitor all
home work. Law:
Does the facility monitor homeworker use in ☒ Yes
accordance with applicable standards? ☐ No
☐ N/A

This report contains privileged or confidential information and cannot be distributed without Client consent.  This report
contains information based on a defined scope informed by client requirements gathered through a sampling of:
documents, worker and management interviews, and/or visual observations.  All information is based on conditions
during the specific assessment date(s), and does not guarantee compliance to law, industry standards, or client
requirements. Furthermore, all information referencing law is provided in a limited scope, and does not constitute legal
advice.    
 ASSESSMENT REPORT
Facility Name: NOVAPERU SAC Audited On: MARCH 28, 2023

7. Facility Supply Chain Profile

Finding Description:
SCP-08 Facility shall document and monitor all
home work.
Law:

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contains information based on a defined scope informed by client requirements gathered through a sampling of:
documents, worker and management interviews, and/or visual observations.  All information is based on conditions
during the specific assessment date(s), and does not guarantee compliance to law, industry standards, or client
requirements. Furthermore, all information referencing law is provided in a limited scope, and does not constitute legal
advice.    
 ASSESSMENT REPORT
Facility Name: NOVAPERU SAC Audited On: MARCH 28, 2023

8. Management Systems
8.1 Grievance Mechanism
Does the facility maintain
grievance procedures by which
employees can confidentially
and anonymously raise issues
of concern to management
without fear of reprisal or
negative repercussions?
Has the facility implemented a
procedure to record, track, and
communicate progress and
individuals responsible for
each grievance item reported
to the facility?
MSY-05 If allowed by law, anonymous ☒ Yes
and confidential methods for all ☐ No
Employees to raise concerns to senior ☐ N/A
level management at the Facility without Finding Description:
fear of retaliation shall be provided.
Law:
☒ Yes
☐ No
MSY-06 Employees’ submissions and
☐ N/A
the progress of their resolution shall be
Finding Description:
tracked and recorded.
Law:

8.Other
8.1 Other Code of Conduct Findings
Are other labor, health and
safety, environmental, ethics,
supply chain, and
management systems
practices in compliance with
the Supplier Code of Conduct?
OTH-01 Client expects its Suppliers and ☒ Yes
Facilities to comply, at a minimum, with ☐ No
all applicable labor, employment, health ☐ N/A
and safety, and environmental laws and Finding Description:
regulations of the country where the
Merchandise is produced. Law:

This report contains privileged or confidential information and cannot be distributed without Client consent.  This report
contains information based on a defined scope informed by client requirements gathered through a sampling of:
documents, worker and management interviews, and/or visual observations.  All information is based on conditions
during the specific assessment date(s), and does not guarantee compliance to law, industry standards, or client
requirements. Furthermore, all information referencing law is provided in a limited scope, and does not constitute legal
advice.    
 ASSESSMENT REPORT
Facility Name: NOVAPERU SAC Audited On: MARCH 28, 2023

9. Pictures
Labor

Occupational Health and Safety Policy

Health, Safety and Employee Housing

Eyewash Mandatory Use of PPE Signage

Fire extinguisher Emergency Lighting

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contains information based on a defined scope informed by client requirements gathered through a sampling of:
documents, worker and management interviews, and/or visual observations.  All information is based on conditions
during the specific assessment date(s), and does not guarantee compliance to law, industry standards, or client
requirements. Furthermore, all information referencing law is provided in a limited scope, and does not constitute legal
advice.    
 ASSESSMENT REPORT
Facility Name: NOVAPERU SAC Audited On: MARCH 28, 2023

9. Pictures

Fire extinguisher Bathrooms

Collection point for infamous gases Canteen

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contains information based on a defined scope informed by client requirements gathered through a sampling of:
documents, worker and management interviews, and/or visual observations.  All information is based on conditions
during the specific assessment date(s), and does not guarantee compliance to law, industry standards, or client
requirements. Furthermore, all information referencing law is provided in a limited scope, and does not constitute legal
advice.    
 ASSESSMENT REPORT
Facility Name: NOVAPERU SAC Audited On: MARCH 28, 2023

9. Pictures

Collection point for infamous gases Fire hose

Common Area Fire alarm

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contains information based on a defined scope informed by client requirements gathered through a sampling of:
documents, worker and management interviews, and/or visual observations.  All information is based on conditions
during the specific assessment date(s), and does not guarantee compliance to law, industry standards, or client
requirements. Furthermore, all information referencing law is provided in a limited scope, and does not constitute legal
advice.    
 ASSESSMENT REPORT
Facility Name: NOVAPERU SAC Audited On: MARCH 28, 2023

9. Pictures

Fire Cabinet Fire extinguisher

Lockers Emergency Lighting

This report contains privileged or confidential information and cannot be distributed without Client consent.  This report
contains information based on a defined scope informed by client requirements gathered through a sampling of:
documents, worker and management interviews, and/or visual observations.  All information is based on conditions
during the specific assessment date(s), and does not guarantee compliance to law, industry standards, or client
requirements. Furthermore, all information referencing law is provided in a limited scope, and does not constitute legal
advice.    
 ASSESSMENT REPORT
Facility Name: NOVAPERU SAC Audited On: MARCH 28, 2023

9. Pictures

Water Dispenser Electric Substation

Risk Map Smoke Detector

This report contains privileged or confidential information and cannot be distributed without Client consent.  This report
contains information based on a defined scope informed by client requirements gathered through a sampling of:
documents, worker and management interviews, and/or visual observations.  All information is based on conditions
during the specific assessment date(s), and does not guarantee compliance to law, industry standards, or client
requirements. Furthermore, all information referencing law is provided in a limited scope, and does not constitute legal
advice.    
 ASSESSMENT REPORT
Facility Name: NOVAPERU SAC Audited On: MARCH 28, 2023

9. Pictures

Electrical Panel Bathrooms

Dressing rooms Fire extinguisher

This report contains privileged or confidential information and cannot be distributed without Client consent.  This report
contains information based on a defined scope informed by client requirements gathered through a sampling of:
documents, worker and management interviews, and/or visual observations.  All information is based on conditions
during the specific assessment date(s), and does not guarantee compliance to law, industry standards, or client
requirements. Furthermore, all information referencing law is provided in a limited scope, and does not constitute legal
advice.    
 ASSESSMENT REPORT
Facility Name: NOVAPERU SAC Audited On: MARCH 28, 2023

9. Pictures

Evacuation Signal No Smoking Sign

Luminaires Kitchen

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contains information based on a defined scope informed by client requirements gathered through a sampling of:
documents, worker and management interviews, and/or visual observations.  All information is based on conditions
during the specific assessment date(s), and does not guarantee compliance to law, industry standards, or client
requirements. Furthermore, all information referencing law is provided in a limited scope, and does not constitute legal
advice.    
 ASSESSMENT REPORT
Facility Name: NOVAPERU SAC Audited On: MARCH 28, 2023

9. Pictures

Common Areas Lactary

Attendance Marker Hygiene Area

Environmental Management

This report contains privileged or confidential information and cannot be distributed without Client consent.  This report
contains information based on a defined scope informed by client requirements gathered through a sampling of:
documents, worker and management interviews, and/or visual observations.  All information is based on conditions
during the specific assessment date(s), and does not guarantee compliance to law, industry standards, or client
requirements. Furthermore, all information referencing law is provided in a limited scope, and does not constitute legal
advice.    
 ASSESSMENT REPORT
Facility Name: NOVAPERU SAC Audited On: MARCH 28, 2023

9. Pictures

Waste Segregation Point Hazardous Waste Storage Point

Audit Ethics

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Facility Profile

Company facade Administrative Offices

Facility Supply Chain Profile

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contains information based on a defined scope informed by client requirements gathered through a sampling of:
documents, worker and management interviews, and/or visual observations.  All information is based on conditions
during the specific assessment date(s), and does not guarantee compliance to law, industry standards, or client
requirements. Furthermore, all information referencing law is provided in a limited scope, and does not constitute legal
advice.    
 ASSESSMENT REPORT
Facility Name: NOVAPERU SAC Audited On: MARCH 28, 2023

9. Pictures

Production area Production area

Production area Warehouse

Management Systems

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Other

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contains information based on a defined scope informed by client requirements gathered through a sampling of:
documents, worker and management interviews, and/or visual observations.  All information is based on conditions
during the specific assessment date(s), and does not guarantee compliance to law, industry standards, or client
requirements. Furthermore, all information referencing law is provided in a limited scope, and does not constitute legal
advice.    
 ASSESSMENT REPORT
Facility Name: NOVAPERU SAC Audited On: MARCH 28, 2023

9. Pictures

Operating License INDECI Certificate

This report contains privileged or confidential information and cannot be distributed without Client consent.  This report
contains information based on a defined scope informed by client requirements gathered through a sampling of:
documents, worker and management interviews, and/or visual observations.  All information is based on conditions
during the specific assessment date(s), and does not guarantee compliance to law, industry standards, or client
requirements. Furthermore, all information referencing law is provided in a limited scope, and does not constitute legal
advice.