Sedex Resources Webinar: SMETA
Audit – getting prepared
October 6th and October 14th 2015
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SMETA Audit – getting prepared
A conversation with
Muriel Johnson, Nora Wolters, Marieke Hoelscher (Sedex), Jonathan Mason (AGM Thames)
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Explains the Pre-Audit Pack and CAPR
How to use those documents to prepare for an audit
Q&A from the audience
It is NOT a SMETA Training, specific situations (confidentiality), all circumstances
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SMETA Audit – getting prepared
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SMETA Audit – getting prepared
A conversation with
Muriel Johnson, Sophie Preisig, Nora Wolters, Marieke Hoelscher (Sedex), Jonathan Mason (AGM Thames)




Explains the Pre-Audit Pack and CAPR
How to use those documents to prepare for an audit
Q&A from the audience
It is NOT a SMETA Training, specific situations (confidentiality), all circumstances
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SMETA Audit – getting prepared
On today’s agenda:
 What is a SMETA Audit?
 The Pre-Audit Pack
 Q&A Session 1
 Corrective Action Plan Report (CAPR)
 Q&A Session 2
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SMETA Audit – getting prepared
What is social auditing?
 Formal assessment of working conditions
 Measures performance against a certain
standard
 Triangulates:
 Management interviews/information
 Documentation /site tour
 Worker interviews
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SMETA Audit – getting prepared
What is SMETA (Sedex Members Ethical Trade Audit)?
What SMETA is:
What SMETA is NOT:
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Standard Report
Good practice methodology
Facilitates audit sharing
Reduces duplication
Available to all (open source)
A standard
Certification scheme
Pass/fail audit
Not exclusive
Accrediting auditors – for members
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SMETA Audit – getting prepared
Facts about SMETA
 One of the world’s most used ethical audit formats
 Can be shared with most customers
 It is publicly available – Sedex membership is not required to use
SMETA
 Latest version: SMETA 5.0, released in December 2014
Dec
2014
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SMETA Audit – getting prepared
What is the difference between different audit types?
First Party: a company that “self-audits” their own
employment site using their own audit resource
Second Party: an audit or assessment undertaken by a body
with a trading relationship with the site
such as a retailer, brand, vendor or agent
Third Party: an audit or assessment undertaken by an
independent party e.g. an independent
commercial audit company, NGO or trade union.
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SMETA Audit – getting prepared
Preparing for a SMETA Audit
The Pre-Audit Pack
 Comprehensive guidance to getting prepared
 16 documents
 General Audit Info
 Pre-audit actions for suppliers and auditors
 Avoiding bribery – Code of integrity
 Core & Scope
 SMETA procedure
 Post-audit action
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SMETA Audit – getting prepared
Preparing for a SMETA Audit
General Audit Information:
SMETA Guide to Pre-Audit Information
Overview about the background and usage of the Pre-Audit Pack
1. Auditing Factsheet
What is Sedex? What is SMETA? How do I share my audit with my customers?
2. A letter to the site introducing the audit and auditor
 Background information to a SMETA audit and recommended preparations.
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SMETA Audit – getting prepared
2A & 2B. Pre-Audit Actions for auditors and suppliers
Essential Pre-Audit Actions for Sites
 Outlines the activities required of a supplier site in preparation for an audit.
Essential Pre-Audit Actions for Auditors
 Guidance to explain the benefits of the SMETA process
4. Avoiding bribery – Code of integrity
Code of Integrity and Professional Conduct of an Auditor Audit Company
 Suggestion for a possible code, covering the professional conduct of the auditor
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SMETA Audit – getting prepared
5A & 5B. Code & Scope
Ethical Trading Initiative Base Code
 The ETI Base Code is founded on the conventions of the
International Labour Organisation (ILO) and is an internationally recognised code of labour practice.
Audit Scope
 This outlines the areas which are covered by the audit activity. It may be included in the introductory
letter, but for the purposes of this guidance it has been included within the ‘Suite of Documents’ as a separate
document.
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SMETA Audit – getting prepared
5C, 5E & 5F SMETA Procedure
 List of Required Documents
To assist the site with audit preparations the auditor should
provide a list of typical documents that should be made available
to the audit body on the day of the audit.
 Principles of Worker Interview Information for Sites
Informs the site of the need for a private and comfortable space for
worker interview and gives details of how the auditors will select appropriate workers.
 Data Protection Waiver
In countries where there are data protection requirements, e.g. all EU countries, auditors should obtain the
written permission of workers to view personnel files during the interviews, via the use of data consent forms.
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SMETA Audit – getting prepared
5H. Worker Information Leaflet
 ETI Code requires that employees are fully aware of the code and that
there are standard communications which will support a supplier site
in communicating the code to workers
5G. Information on Sedex and Details of SMETA Supplements
 This gives information on the location of the standard SMETA
documents as well as guidance available to members in preparing for a
SMETA audit
5I. Audit Agenda/ Timetable
 This information sheet includes two examples (1) typical audit plan
for a one day audit, (2) typical audit plan for a 2 day audit with 2 auditors
over one day.
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SMETA Audit – getting prepared
5J & 5K. Post-Audit Action
Non-Compliance Process and Sedex
 This document gives some brief details on the definitions of non
compliances, observations and good examples. It explains the purpose
of the Corrective Action Plan Report (CAPR) and the actions required
of the supplier site to agree (or dispute) the non-compliances.
Details of Report Receivership
 Describes the normal ownership of audit information and
highlights the importance of obtaining ‘audit release’ information
from the site if the customer expects to see details.
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SMETA Audit – getting prepared
Time for your questions (5 mins)
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SMETA Audit – getting prepared
Corrective Action Plan Report (CAPR)
Left with the supplier on the audit day signed by both parties
Also available: Guide to Completing a SMETA Corrective Action
Plan Report
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SMETA Audit – getting prepared
Non-Compliance Number
The reference number of the
non-compliance from the Audit
Report,
for example, Health & Safety
No.3
New or Carried Over
Is this a new non-compliance
identified at the follow-up or one
carried over (C) that is still
outstanding
Verification Evidence and
Comments
Details on corrective action
evidence
Preventative and Corrective Actions
Details of actions to be taken to clear
non-compliance, and the system
change to prevent re- occurrence
(agreed between site and auditor)
Agreed by Management and Name of
Responsible Person:
Note if management agree to the noncompliance, and document name of
responsible person
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SMETA Audit – getting prepared
Time for your questions
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SMETA Audit – getting prepared
Thank you for your attention!
Please answer our short survey of five
questions before you leave us
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