SMETA
Programme
Manual
Non
Compliance
Process
and
SEDEX
Edition
01;
2013-‐Nov
Non-‐Compliance
Process
and
SEDEX
This
document
gives
details
on
the
definitions
of
a
non-‐compliance,
observations
and
good
examples.
It
explains
the
purpose
of
the
Corrective
action
plan
document
(CAPR)
and
the
actions
required
of
the
supplier
site
to
agree
(or
dispute)
the
non-‐compliances.
Also
included
is
the
purpose
of
the
‘root
cause’
discussion,
and
the
need
for
the
supplier
to
take
ownership
and
completion
of
the
corrective
actions.
Some
information
is
also
given
on
uploading
the
audit
details
to
Sedex
and
links
to
further
supplier
guidance
on
audit
upload
onto
Sedex.
During
a
SMETA
audit
Control
Union
auditor
will
monitor
and
record
a
site’s
policies
and
practices
against
the
actual
code
(for
SMETA
the
ETI
code)
and
any
applicable
national
or
local
legislation
As
part
of
the
monitoring
process,
auditors
will:-‐
• Interview
the
relevant
managers
to
check
their
understanding
of
the
code
and
legal
requirements.
• Check
the
relevant
documents
and
practices
to
measure
the
site’s
performance
• Interview
appropriate
workers
to
monitor
their
perception
of
the
actual
practices.
Where
a
site’s
practices
do
not
agree
with
a
code
or
legal
requirements
the
auditor
will
record
non-‐
compliance.
This
creates
an
opportunity
for
the
site
to
suggest
what
actions
are
needed
to
correct
that
non-‐compliance.
These
discussions
will
be
agreed
with
the
site
management
and
then
clearly
recorded
on
the
Corrective
Action
Plan
Report
(CAPR).
A
copy
of
this
document
will
be
left
with
the
site
on
the
date
of
the
audit.
In
addition
the
auditor
will
record
any
observations,
which
may
be
defined
as
system
weaknesses,
which,
unless
improved
could
result
in
a
non-‐compliance
at
a
future
date.
Again
corrective
actions
may
be
agreed
for
these
observations
and
recorded
on
the
CAPR.
The
auditor
will
also
be
collecting
and
recording
good
examples,
where
the
auditor
feels
the
site’s
performance
is
over
and
above
the
standards
and
applicable
laws.
A
copy
of
the
completed
CAPR
will
be
left
at
the
site
on
the
day
of
the
audit.
The
completed
Audit
Report
and
CAPR
will
then
be
supplied
to
the
audit
payee
and
the
authorised
other
parties
in
an
un-‐
editable
format.
The
audit
findings
will
be
uploaded
to
the
Sedex
System
either
by
the
site
or
auditor
(Sedex
recommends
the
auditor
is
used
for
increased
impartiality).
SMETA.
Non
Compliance
Process
and
SEDEX
Nov.2013
SMETA
Programme
Manual
Non
Compliance
Process
and
SEDEX
Edition
01;
2013-‐Nov
In
order
to
upload
an
audit
onto
the
Sedex
system,
the
site
must
first
register
the
audit
in
the
system,
and
select
or
input
their
chosen
auditor.
This
then
generates
an
e
mail
to
the
auditor
who
will
be
able
to
access
the
system
and
upload
the
audit
findings
as
well
as
the
PDF
of
the
report
and
CAP.
For
more
information
on
uploading
audit
details
please
follow
the
link:
• For
Suppliers:
http://info.sedexglobal.com/guidancepacks.html
• For
Auditors:
http://info.sedexglobal.com/auditorguidancepacks.html
Access
to
this
information
remains
under
the
control
of
the
site,
which
can
choose
appropriate
viewing
according
to
their
links
to
customers
on
the
system.
SMETA.
Non
Compliance
Process
and
SEDEX
Nov.2013
