Documents to prepare for a Sedex–SMETA audit

SMETA is an audit and improvement methodology, not a certification scheme. Sedex currently identifies SMETA 7 as its latest version. Audits must be performed through an approved AAC, and the business needs an active Sedex membership.

Sedex — SMETA

To help prepare for an on-site SMETA audit, the audit company normally supplies a list of typical documents that the facility should make available. The list should be provided with sufficient preparation time before the audit.

Auditors may review some or all of the following, depending on the agreed scope and applicable requirements:

Facility and working-condition records

• Factory site plan.
• Applicable laws and regulations.
• Employment contracts.
• Employee handbook, including terms and conditions of employment.
• Collective bargaining agreement, with relevant details.
• List of all chemicals and solvents used at the facility.
• Licences, operating permits, certificates and similar authorizations.
• Government inspection reports, for example on sanitation, fire safety, structural safety and environmental compliance.
• Machinery inspection and service records.
• Accident and injury records.
• Details of common recurring problems.
• Details of any serious issues.
• Emergency response procedures.
• Evacuation plan.

Have these records available for review during the site visit. Recording how many employees work in each area also helps the auditor plan worker-interview sampling.

Working time, pay and related obligations

• Working-time records for the most recent 12 months.
• Payroll records for the most recent 12 months.
• Piece-rate records for the most recent 12 months, where applicable.
• Insurance, tax and other required payment records.

Include relevant insurance details, such as policy type, validity dates and insurer name.

Production, consultation and improvement

• Production records.
• Minutes of joint health and safety committee meetings or other relevant meetings.
• Previous social audit reports, corrective-action logs and internal audit reports.

Company policies on

• Child labour.
• Wages and working hours.
• Discipline.
• Benefits and allowances.
• Health and safety.
• Environment.
• Training.
• Discrimination and harassment at work.
• In-house labour, external labour and subcontracting.
• Other relevant subjects.

Prepare accurate, complete and traceable records; do not create false records for an audit. The 12-month period is the original article’s preparation guidance; confirm the required record period with the audit company.