Corrective action plan (CAP)

Name of Supplier: PTC India Limited

Supplier address: Lucknow, UP
Supplier representative: Mr. Rakesh Jha /Mr. Deepak Das
Audit Date: 20.03.2023
DNV auditor: Manoj Kumar
Valmet auditor: Mr. Amit Prasad & Mr. Ravindra Shinde

Completed by DNV auditor

Item number Sustainability policy topic Finding
category

Select from drop down list - Major

Select from drop down list
or Minor

1 1. Business ethics Minor

2 2. Management systems and compliance Minor

3 2. Management systems and compliance Minor

4 2. Management systems and compliance Minor

5 2. Management systems and compliance Minor

6 3.1 Freedom of association Minor

7 3.3 Wages and benefits Minor

8 3.3 Wages and benefits Minor

9 3.3 Wages and benefits Major

10 3.3 Wages and benefits Major

11 3.3 Wages and benefits Major

12 3.3 Wages and benefits Minor

14 3.3 Wages and benefits Major

24 3.6 Child labour and young workers Minor

25 3.7 Discrimination Minor

26 4. Health & Safety Major

27 4. Health & Safety Major

28 4. Health & Safety Minor

29 4. Health & Safety Major

30 5. Environmental Management Major

31 5. Environmental Management Major

32 5. Environmental Management Major

33 5. Environmental Management Major

Areas of good practice

1 None Observed
2
3
4
5
eted by DNV auditor
Details of Non-Compliance or observation Requirements Desponsible
Departrment

Basis for non-compliance: 1, local law

Details of Non-Compliance 2, international law 3, Valmet SSC
policy

During document review and Management Interview

it is observed that facility has not has communicated
its policies on Business Ethics issues, especially to 3 Purchase/HR
those workers in high risk departments, such as
purchasing or logistics

It is observed that Faciliy does not have a system to

measure the effectiveness of policies and 3 Operation
procedures,

It is observed that Facility has not communicated SSC 3 Operation

policy to workers.

Facility has not taken any action to communicate and

implement the code in its own supply chain 3 Operation

Facility has not developed any system to

communicate or monitor labour Standard at man 3 HR
power supplier.

During document review it has been observed that

facility does not have Freedom Of Association policy. 3 HR

Auditor was unable to verify the correct payment of

wages to contract workers as the wage sheet of 4 out 1 HR
of 5 contract workers were not provided for review.

Auditor was unable to verify the correct payment of

Overtime to contract workers as the wage sheet & In- 1 HR
Out records of 4 out of 5 contract workers were not
provided for review.
Auditor was unable to verify all legally required
allowances and benefits are provided to contract 1 HR
workers e.g. social insurance as related records were
not provided to verify.

Auditor was unable to verify as related records for 4

out of 5 contract workers were not provided for 1 HR
review.

4 out of 5 Contractors engaged by the facility has not

issued employment contract to their workers stating
their employment including wages and hours before
they enter employment and that they receive 1 HR
understandable information of their pay for each pay
period.

Auditor unable to verify mode of payment to contract

workers for 4 out of 5 contractors. 1 HR

Auditor was unable to verify the following documents

for 4 out of 5 contract workers as not issued by the
contractor. 1 HR
-Salary slip

Facility does not have Child Remidiation Policy & 3 HR

Procedures in place.

Auditor was unable to verify as related records for 4

out of 5 contract workers were not provided for 1 HR
review.
During Facility tour it is observed that Facility has not
provided safety Gurads to Moving Parts of Machines 1 Maintenance
at Multiple Locations

During Facility tour it is observed that Facility has not

provided Rubber Mat under Electrical Panel , Cover to 1 Maintenance
open wires at Multiple Locations

During site tour it is observed that workers are not

wearing Proper PPE at multiple locations in the 1 Operation
Facility.

During Facility tour it is observed that facility has not 1 HR

provided childcare facilities as per local law.

Facility has not conducted, identifying its

environmental impacts and associated risks 3 Operation
assessment.
Facility has not prpared an action plan for managing
those impacts (including actions to reduce adverse
environmental impacts) and associated risks 3 Operation
identified,
Facility has not effectively communicated the action 3 Operation
plan to all personnel
Facility has not drafted effective emergency action
plans detailing how incidents and damage associated 3 Operation
with the environment will be managed in order to
minimize consequences
 Completed by supplier
Corrective Actions Name of Responsible Person: Deadline

The exact date when

Details of actions to be taken to clear
supplier will have
non-compliance, and the system Name of responsible person
finished the action in
change to prevent re- occurrence
question

Training record to be submitted Mr. Madhup Sharma 10/5/2023

Objective to submitted Mr. Deepak Das 25/4/23

training record to be submitted Mr. madhup Sharma/ Mr. Deepak Das 10/5/2023

Mailed to Supplier Mr. Vineet Mishra 2/5/2023

JD form for comm Mr. Ravi Singh/Mr. Pawan verma 10/5/2023

Policy Mr. Madhup Sharma/ Mr. Ravi Singh 10/5/2023

Team lease Mr. Ravi Singh/ Mr. Pawan Verma 10/5/2023

Team lease Mr. Ravi Singh/ Mr. Pawan Verma 10/5/2023

Challan Copy, PF & ESIC, Salary Slip Mr. Ravi Singh/ Mr. Pawan Verma/ Mr. 10/5/2023
Madhup Sharma

Challan Copy, PF & ESIC, Salary Slip Mr. Ravi Singh/ Mr. Pawan Verma/ Mr. 10/5/2023
Madhup Sharma

Contractor offer letter Mr. Ravi Singh 10/5/2023

Payment Statement Mr. Pawan Verma 10/5/2023

Salary Slip Mr. Pawan Verma 10/5/2023

Policy & Rest Room identify Mr. Madhup Sharma/Mr. Ravi Singh 10/5/2023

Policy Mr. Madhup Sharma/Mr. Ravi Singh 10/5/2023

Guard to be provided Mr. devendra 10/5/2023

To be purchased Mr. devendra 10/5/2023

Instruction Note Fixed on shop floor Mr. Ravi Singh 10/5/2023

HIRA Mr. Deepak Das 25/4/23

OCP Mr. Deepak Das 25/4/23

OCP Mr. Deepak Das 25/4/23

Emergency prepardness action plan Mr. Deepak Das 25/4/23

Completed by Valmet auditor
Follow up status/comments

Details of the current status of the

corrective action at supplier / comments to
the corrective action in question

EHS objectives and targets have been updated

and compiled for last 3 years

Sustainability policy has been shared with

suppliers.
Done (attached)

Done (attached)

Done (attached)

Done (attached)