Sedex Members Ethical Trade Audit (SMETA) Best Practice Guidance

10C.6. Whether this policy has specific reference to such topics as e.g. bribery issues (excessive gifts and
entertainment), conflict of interest, charitable donations, facilitation payments, political
contributions, the auditor should note any internationally recognised certifications present.
10C.7. Whether the site has communicated its policies on Business Practices issues, especially to those
workers in high risk departments. The auditor should check for any specific training for workers.
10C.8. The name and position of any designated person with responsibility for management of Business
Practices issues. The auditor should comment on the designated person’s understanding of
legislation and client applicable standards, and their procedure for keeping up to date.
10C.9. Whether there is a clear communication / training on how to deal with any Business Practice issues
including how concerns should be communicated and dealt with.
Worker Interviews - to corroborate workplace practices
Auditor seeks to confirm documents and management interview by worker testimony. Discrepancies
should be noted, taking care to protect the anonymity of workers.
10C.10. Interviews appropriate personnel to establish if they are aware of the site’s policies concerning
bribery and corrupt Business Practices policies and procedures and whether they know how to
report their concerns about any issues.
10C.11. Checks on the level of understanding and any training received by appropriate personnel on how
to deal with Business Practice issues when confronted with them at work.
10C.12. Whether workers are aware of the disciplinary procedures if they are found to be involved in
unethical Business Practices e.g. bribery.
Note: For Business Practices interviews should focus on personnel where Business Practices are most relevant,
e.g. Senior management to establish whether there are any policies and procedures to inform employees of its
approach. Interview as appropriate sales personnel, service managers, logistics department, to establish
whether:
1. They are aware of any policies and / or procedures (if present).
2. They have received any basic training on Business Practices.
SMETA Best Practice Guidance (4-Pillar Version 4.0, May 2012)
3. They are aware of what to do if they are offered any personnel incentives for business, i.e. bribes.
4. Who they report to if they have any other concerns about Business Practices.
In cases where appropriate personnel cannot be available on the day, or maybe they are in a different location,
it may be possible to establish the above by phone.
Note: additional resources available on the member’s section of the Sedex web site.
l Auditor checklists for environmental and Business Practices SMETA assessments.
l Guide for Suppliers - SMETA assessments of Environment and Business Practices.
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