Supplier name:

Site country:

Site name:

SMETA Audit Type: 2-Pillar 4-Pillar

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Insert Audit Company logo

Audit Company Name:

Report Owner (payee):
(If paid for by the customer of the site, please remove for Sedex upload)

Sedex Company Reference:

S
(only available on Sedex System):

Sedex Site Reference:

P
(only available on Sedex System)

Audit Conducted By

Commercial Purchaser

NGO Retailer

Trade Union Brand Owner

Multi-stakeholder Combined Audit (select all that apply)

Auditor Reference Number:

(If applicable)

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Audit Details

Audit Details

A: Report #:

B: Date of audit:

C: Time in and time out: Time in:

Please see Best Practice Guidance v4.0 Time out:

D: Number of Auditor Days Used:

(number of auditor x number of days)

E: Audit type: Full Initial

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

F: Was the audit announced? Announced

Semi announced
Unannounced

G: Was the Sedex SAQ available for review? Yes

No

If no, why not?

I: Auditor name(s) and role(s):

J: Report written by:

K: Report reviewed by:

L: Report issue date:

M: Supplier name:

N: Site name:

O: Site country:

P: Site contact and job title:

Q: Site address:

Site phone:

Site fax:

Site e-mail:

R: Applicable business and other legally required licence

numbers:
for example, business license no, and liability insurance

S: Products/Activities at site, for example, garment

manufacture, electricals, toys, grower

T: Audit results reviewed with site management?

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

V: Did the person who signed the CAPR have authority to

implement changes?

W: Previous audit date:

X: Previous audit type: SMETA 2-Pillar SMETA 4-Pillar Other

Full Initial

Periodic

Full Follow-Up Audit

Partial Follow-Up

Partial Other*

*If other, please define:

Present at closing meeting:

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Guidance:

The Corrective Action Plan Report summarises the site audit findings and a corrective, and preventative action
plan that both the auditor and the site manager believe is reasonable to ensure conformity with the ETI Base
Code, Local Laws and additional audited requirements. After the initial audit, the form is used to re-record
actions taken and to categorise the status of the non-compliances.

N.B. observations and good practice examples should be pointed out at the closing meeting as well as
discussing non-compliances and corrective actions.

To ensure that good practice examples are highlighted to the supplier and to give a more balanced audit a
section to record these has been provided on the CAPR document (see following pages) which will remain with
the supplier. They will be further confirmed on receipt of the audit report.

Root cause (see column 4)

Note: it is not mandatory to complete this column at this time.

Root cause refers to the specific procedure or lack of procedure which caused the issue to arise. Before
a corrective action can sustainably rectify the situation it is important to find out the real cause of the
non-compliance and whether a system change is necessary to ensure the issue will not arise again in
the future.

See Appendix 2.5 for more explanation of root cause.

Next Steps:

1. The site shall request, via Sedex, that the audit body upload the audit report, non-compliances,
observations and good examples. If you have not already received instructions on how to do this
then please visit the web site www.sedexglobal.com.

2. Sites shall action its non-compliances and document its progress via Sedex.

3. Once the site has effectively progressed through its actions then it shall request via Sedex that the
audit body verify its actions. Please visit www.sedexglobal.com web site for information on how to do
this.

4. The audit body shall verify corrective actions taken by the site by either a "Desk-Top review process
via Sedex or by Follow-up Audit (see point 5).

5. Some non-compliances that cannot be closed off by Desk-Top review may need to be closed off
via a 1 Day Follow Up Audit charged at normal fee rates. If this is the case then the site will be
notified after its submission of documentary evidence relating to that non-compliance. Any follow-up
audit must take place within twelve months of the initial audit and the information from the initial
audit must be available for sign off of corrective action.

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

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Corrective Action Plan

Corrective Action Plan non-compliances

Non- New or Carried Details of Non-Compliance Root cause Preventative and Timescale Verification Agreed by Verification Evidence and Status
Compliance Over Details of Non-Compliance (completed by the Corrective Actions (Immediate, Method Management and Comments Open/Closed
Number Is this a new site) Details of actions to be 30, 60, Desktop / Name of Details on corrective action or comment
The reference non-compliance taken to clear non- 90,180,365) Follow-Up Responsible evidence
number of the identified at the compliance, and the system [D/F] Person:
non- follow-up or one change to prevent re- Note if management
compliance carried over (C) occurrence (agreed agree to the non-
from the Audit that is still between site and auditor) compliance, and
Report, outstanding document name of
for example, responsible person
Discrimination
No.7

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Corrective Action Plan Observations

Observation New or Carried Details of Observation Root cause Preventative and Timescale Verification Agreed by Verification Evidence and Status
Number Over Details of Observation (completed by the Corrective Actions (Immediate, Method Management and Comments Open/Closed
The reference Is this a new site) Details of actions to be 30, 60, Desktop / Name of Details on corrective action or comment
number of the observation taken to clear non- 90,180,365) Follow-Up Responsible evidence
observation identified at the compliance, and the system [D/F] Person:
from the Audit follow-up or one change to prevent re- Note if management
Report, carried over (C) occurrence (agreed agree to the non-
for example, that is still between site and auditor) compliance, and
Discrimination outstanding document name of
No.7 responsible person

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Good examples

Good example Details of good example noted Any relevant Evidence and
Number Comments
The reference
number of the non-
compliance from the
Audit Report,
for example,
Discrimination No.7

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Confirmation

Please sign this document confirming that the above findings have been discussed with and understood by you: (site management)

Site Representative Signature: Title

Date

Auditor Signature: Title

Date

Please indicate below if you, the site management, dispute any of the findings
I dispute the following numbered non-compliances:

Signed: Title

Date

Site Comments:

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Appendix 2.5. Guidance on Root Cause

Explanation of the Root Cause Column

If a non-compliance is to be rectified by a corrective action which will also prevent the non-compliance re-
occurring, it is necessary to consider whether a system change is required.

Understanding the root cause of the non-compliance is essential if a site is to prevent the issue re-occurring.

The root cause refers to the specific activity/ procedure or lack of activity /procedure which caused the non-
compliance to arise. Before a corrective action can rectify the situation it is important to find out the real cause of
the non-compliance and whether a system change is necessary to ensure the issue will not arise again in the
future.

Since this is a new addition, it is not a mandatory requirement to complete this column at this time. We hope to
encourage auditors and sites to think about Root Causes and where they are able to agree, this column may be
used to describe their discussion.

Some examples of finding a root cause

Example 1
where excessive hours have been noted the real reason for these needs to be understood, whether due to
production planning, bottle necks in the operation, insufficient training of operators, delays in receiving trims, etc.

Example 2
A non-compliance may be found where workers are not using PPE that has been provided to them. This could
be the result of insufficient training for workers to understand the need for its use; a lack of follow-up by
supervisors aligned to a proper set of factory rules or the fact that workers feel their productivity (and thus
potential earnings) is affected by use of items such as metal gloves.

Example 3
A site uses fines to control unacceptable behaviour of workers.

International standards (and often local laws) may require that workers should not be fined for disciplinary
reasons.

It may be difficult to stop fines immediately as the site rules may have been in place for some time, but to
prevent the non-compliance re- occurring it will be necessary to make a system change.

The symptom is fines, but the root cause is a management system which may break the law. To prevent the
problem re-occurring it will be necessary to make a system change for example the site could consider a system
which rewards for good behaviour

Only by understanding the underlying cause can effective corrective actions be taken to ensure continuous
compliance.

The site is encouraged to complete this section so as to indicate their understanding of the issues raised and
the actions to be taken.

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

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

Click here for A & AB members:

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

Click here for B members:

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

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