Notes on completing this SMETA Corrective Action Plan Report

PLEASE DELETE THIS COVER PAGE BEFORE SUBMITTING TO THE CLIENT

Form protection This report format is in a protected form. This means that you can put a ‘X’ in the check boxes with a single click. In most of the tables you will only be able to write in the form fields, you won’t be able to change the structure of the tables. However, the non conformity sections and the photo form are unprotected, so you can write free text or add your photos in these sections without restriction.

Audit reference The audit company, report reference and date have been placed in the footer of the document so that the details appear on every page.

Footer To complete the footer you will need to unprotect the document first

For this you need to have the forms toolbar visible. If you do not have this toolbar currently visible on your main WORD tool bar go to: View > Toolbars and select the ‘forms’ toolbar.

The Forms toolbar >

You can then protect or unprotect the document by clicking on the padlock icon >

Please note: if you try to unprotect or protect the document by selecting – Tools > unprotect or protect you will re-set the form fields and lose any information you have already completed. Please only unprotect or protect by using the padlock icon on the forms toolbar.

Adding Images To help keep the size of the Report as small as possible for ease of sending and saving the document we recommend that you use Microsoft Paint to resize your photos. To do so please follow these instructions:

1) To start Microsoft Paint, click 'Start', 'Programs', 'Accessories', then 'Paint'. 2) Open the image file you wish to edit. 3) Click the 'Image' Menu at the top and select "Stretch/Skew Image”. 4) Choose a percentage figure to resize the image: to avoid distortion, choose the same percentage for horizontal and vertical stretch. Click OK. 5) Once you have the desired size, click File > Save As… (to prevent overwriting the original image). Save As jpeg (this provides compression to make the file smaller).

Instructions for deleting unwanted corrective action plan table rows: 1) Unprotect document (as above) 2) Select unwanted rows – Click and drag over unwanted rows 3) Delete rows – Table > Delete > Rows 4) Protect document.

Make sure the document is protected before completing, as form fields and tick boxes will not work correctly if the document is not protected.

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Insert logo

Audit Company Name: Client:

Sedex Company Reference: S

Sedex Site Reference: P

Audit Conducted By

Commercial Purchaser

NGO Retailer

Trade Union Brand Owner

Multi-stakeholder Combined Audit (tick all that apply)

Auditor Reference Number:

(If applicable)

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Audit Details

Audit Details Report #: Date of audit: Time in and time out: Time in Time out Audit type: Initial Follow-Up Follow-Up # Re-audit Was the audit announced? Announced Semi – announced Unannounced Was the Sedex self assessment Yes questionnaire (SAQ) reviewed? No If no, why not? Previous audit date: Previous audit type: Initial Follow-Up Follow-Up # Re-audit Auditor name(s) and role(s): Report written by: Report reviewed by: Report issue date: Supplier name: Site country: Site name: Site contact and job title: Site address: Applicable business and other legally required licence numbers: for example, liability insurance Site phone: Site fax: Site e-mail: Products/Activities at site, for example, garment manufacture, electricals, toys, grower Audit results reviewed with site management? Who signed and agreed CAPR (name and job title) Products being manufactured at Site, for example, garments, electricals, toys

Guidance:

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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. 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 eg’s are highlighted to the supplier and to give a more ‘balanced’ audit we suggest that they are detailed on the CAPR document and remain with the supplier. They will be further confirmed on receipt of the audit report.

For the sake of consistency we suggest the following to detail good practice examples: Column 1: remains as the code item column under which good practice was observed Column 3: ‘details of non compliance’ column is used to capture the examples of good practice but is retitled ‘good practice example’ in the appropriate form field. For ease of reading good practice examples should come below non compliances and observations. .

Next Steps: 1. The site shall request, via Sedex, that the audit body upload the audit report and non-compliances. If you have not already received instructions on how to do this then please visit the web site www.sedex.org.uk. 2. The site 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.sedex.org.uk 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-Compliance New or Details of Non-Compliance Recommended Recommended Verification Agreed by Verification Evidence and Status Number Carried Over Details of Non-Compliance Corrective Actions Completion Method Management and Comments Open/Closed The reference Is this a new Details of actions to be taken Timescale Desktop / Follow- Name of Details on corrective action or comment number of the non- non-compliance to clear non-compliance Timescale Up Responsible Person: evidence compliance from the identified at the (Immediate, 30, Note if management Audit Report, follow-up or one 60, 90,180,365) agree to the non- for example, carried over (C) compliance, and Discrimination No.7 that is still document name of outstanding responsible person

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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:

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

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