Sedex Members Ethical Trade Audit (SMETA) Best Practice Guidance

Preventative and Corrective Actions
This column contains details of actions to be taken to clear the non-compliance i.e. immediate actions, and
the system change to prevent re- occurrence i.e. longer term actions. The recommendations for corrective
actions can be made either by the auditor, by site management or by workers. The auditor should attempt
to ensure that the recommended actions address root causes as far as practical.
Timescale
This is the time required for the recommended corrective actions to be implemented and for the issue to be
closed. The timescale listed is for immediate correction to take place and the time allocated for corrective
actions to be completed should be, appropriate and realistic. Longer term actions and recommendations
on how to address root causes may require extended timescales which cannot be decided at the closing
meeting and need not be included.
In the exceptional cases where it is not possible to agree timescales, e.g. the site wants time to consider,
then the auditor should at least record on the CAPR that timescales were discussed. e.g. “timescales to be
confirmed by the site”.
Verification Method
This column should be completed by the auditor, in agreement with the site management.
The options are for ‘desktop’ or ‘follow-up’.
On-site follow-up audits are recommended for non-compliances when corrective actions can only be
evaluated through a site tour, interviews or a physical review of documentation.
A desk-based follow-up may be used to verify corrective actions where agreed by the audit requestor.
Desk-based follow-up can be used to verify corrective actions through photographs, copies of certificates,
invoices, etc. submitted by the employment site. Desk-based follow-up cannot be used where actions
need to be verified through worker testimony or physical site evidence.
Note: For guidance on verification method, see SMETA Guide to Non-compliances on the member
resources of Sedex, which gives examples of timescales and methods of verifying corrective actions.
7.6 Closing Meeting and Summary of Findings
SMETA Best Practice Guidance (4-Pillar Version 4.0, May 2012)
The aim of the closing meeting is to inform and agree with the employment site management the findings of the
audit and to verify their confirmation of the findings through signing off the CAPR and agreed timescales.
The purpose of the closing meeting is to agree the suggested corrective action plan which sets out areas for
improvement, actions and timeframes. This meeting should involve all those attending the opening meeting,
ideally including a worker representative.
This should be communicated in a language understood by management / all present. If no worker
representative is present, then details of how information will be communicated to worker representatives needs
to be ascertained and noted on the CAPR.
The final CAPR must be available in English but it may also be necessary to supply a local language copy to the
site management, where it aids understanding.
Note: In cases where the management do not agree they should sign the ‘dispute’ section of the CAPR and
state their reasons.
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