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SMETA 6.1 Non Compliance Guidance Ver. 2.1 - May 2019
SMETA 6.1 Non Compliance Guidance Ver. 2.1 - May 2019
SMETA Non-Compliance
Guidance
Background
This document has been produced by the Sedex The non-compliance issues are detailed under
stakeholder forum (SSF), to support a more consistent each element of a labour standards code and
approach to the grading of non-compliances, they aim to cover the majority of non-compliances
suggested timeframes for correction, and found at audit.
recommended methods for sign-off. It is intended to
supplement a company’s own systems, rather than
Issue Definitions
be used as a standalone document and replaces the
previous version of the guidance dated June 2010. Non-Compliance: An instance where the practices
of the site of employment do not meet the
This is one of several publications which support a requirements of either the law or the ETI Base
SMETA audit, including but not limited to: Code. Since the Sedex system encourages audit
sharing it is very important that the standard
●● SMETA Best Practice Guidance procedure is followed and that non-compliances
(version 6.1, May 2019) are recorded where the site practice does not meet
EITHER the law OR the ETI Base Code OR both. A
●● SMETA Measurement Criteria
non-compliance can be raised where either there
(version 6.1, May 2019)
is no system in place, the system is not effective
●● SMETA Audit Report (version 6.1, May 2019) in ensuring compliance or where a lapse in the
system puts workers at a disadvantage.
●● SMETA Corrective Action Plan Report (CAPR)
(version 6.1, May 2019) Observation: An instance where the practices of
the site of employment do not break the law or
ETI Base Code, but if not corrected, could lead
Contents to non-compliance. An observation can be noted
The below list represents a selection of possible where there are robust systems in place and there
non-compliances whilst the comprehensive is only an isolated lapse which can be corrected
list can be found on Sedex Advance. Auditors immediately. An observation can also be noted
will use SMETA methodology (SMETA Best when a non-compliance can be rectified and
Practice Guidance and Measurement Criteria) correction verified, before the end of the audit.
in conjunction with international, local law
and customer requirements as well as their Good Example: An instance where the site practice
experience and judgment to raise findings as part exceeds the requirements of the law or ETI Base
of a SMETA audit. The below non-compliances are Code or a practice which exceeds the expectation
a selection designed to highlight the principles of workers which could help drive best practice at
and give an overview of possible issues within an other sites if recorded on the audit.
audit which will require to be supplemented with
more detailed information.
Completion Timescales
Completion timescales are suggested timelines An auditor will expect documentary evidence to
and not rigidly set. Timescales can be reviewed confirm a system change and in turn, verify the
and amended by agreement between auditor / corrective action. Therefore, correction timescales
auditee / customer as appropriate. are set at a suggested minimum of 30 days for
verification for most issues.
For business critical issues, the completion time
frame has been listed as immediate. This indicates Since audit information is mainly based on
the requirement to immediately deal with the corroborated documentary evidence, the
issue. It is understood that verification of the extended completion timescales of 30 days+
corrective action by an auditor could take longer, recognises that an auditor will require at least 30
but the time frame for verification should be as days’ records (or one calendar month) to verify
short as possible. corrective actions have been completed. In the
case of wages and hours corrections this may be
a minimum of 60 days.
An example timeline
Site uploads corrective action plans day 1-5 (audit date (1-5)
to Sedex
Site uploads its corrective action evidence (audit date + specified completion timescales e.g.
for verification audit date +30, 60, 90 days)
Evidence for verification by desktop may include ●● Worker testimony is essential to verify
but not be limited to:
●● An issue is systemic or complicated
●● A clear description of actions taken to address
the non-compliance ●● Confidential information cannot adequately be
shared with the auditor or loaded on Sedex
●● A copy of documents which demonstrate the
corrective actions
Contents
NON-COMPLIANCE LISTING BY CLAUSE
2: Freedom of Association
3.3: Chemicals
3.7: Accommodation
6: Working Hours
7: Discrimination
8: Regular Employment
10A: Entitlement to Work
10B: Environment
10C: Business Ethics
LOCAL LAW B
reaches of Local or National Law, represent significant risks to a brand and its
supply chain and wherever possible remediation should be immediate.
3.3: Chemicals
3.7: Accommodation
●● Most wages and benefits corrective actions ●● Confirmation will also require that
can only be verified by a follow-up visit. documentary evidence is substantiated by
worker interview. The number of records
reviewed and number of workers interviewed
will not be less than the original audit.
Any findings of harassment or abuse must be dealt with immediately, but any policy changes, or
implementation of anti – discrimination training may require longer. A period of 30 -60 days is allowed
for proof of change and implementation of new policies. However, all critical discrimination issues must
cease immediately.
All forms of abuse must cease immediately, but a period of 30 days is allowed for implementing a policy
against abuse.
1. All workers do not have the legal Business Critical Immediate Follow-up
right to work
2. Systemic occurrence of workers not Critical Immediate Follow-up
having the legal right to work
3. Isolated incidents of workers not Major 30 days Follow-up
having the legal right to work
4. No process or system to monitor if all Critical 30 days Follow-up
employees have right to work
5. No / inadequate checking for right Major 60 days Follow-up
to work of majority of non-employed
workers e.g. agency / temporary
workers
6. Isolated instances of missing Minor 60 days Desktop
documentation on legal right to work
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