Typical Audit Plan for a one day audit

For a supplier site to prepare for a SMETA audit it is essential that they have in
advance some idea of the format and plan of the audit. This information sheet
includes two examples (a) typical audit plan for a one day audit, (b) typical audit plan
for a 2 day audit with 2 auditors over one day.

9.00 Opening Meeting (normally attended by Production manager, H&S and Environmental
Manager, HR manager, Payroll manager). If management allow, a union representative should be
invited if management allow this. Agree timetable to suit production.

9.30 Site Tour with a Guide (time spent will depend on size of site). This will include
accommodation where appropriate. Including Selection of a sample of employees to be interviewed in
a mix of group and single interviews. Auditors will select people at random to give a cross section.
Health and Safety checks,-if the tour is led by Health and Safety Manager, the tour can be used to
discuss H&S issues.

10.30 Conduct employee interviews including a union representative and/ or worker representative,
interview, if present. A quiet room not used just for disciplinary meetings should be chosen,
preferably one that employees are familiar with (include service workers and agency workers as
appropriate). If there is a workers committee, representatives will be interviewed.
Guideline for duration interviews: 15 minutes for individual interviews, 45 minutes for group interview, 30 minutes
for union interview (This length is only a guideline/ suggested minimum. Auditors will rely on their training and
experience to determine the length of actual interviews with individual employees)

12:30 HR documentation review. This includes employee handbooks, employee HR files, payroll
and time records for those chosen for interview. Checking ID’s , right to work, contracts, social
insurance If there is a data protection law in the country of the site being audited, then individual
worker permissions are taken before any such review. This documentation review applies equally to
any agency staff or other non full time employees (e.g. canteen staff, security staff).

13.00 Lunch

13.30 Further HR review (payroll/time cards/employee files) if needed

14.15 H&S documentation review and group interview (group of 4 people). Includes H&S policy,
emergency procedures, accident reporting, risk assessments, internal audit reports, chemicals
handling procedures, H&S training, first aid and medical facilities

15:15 Auditor summarises corrective action report (CAP) for closing meeting

16:00 Closing meeting (normally attended by Production manager, H&S and Environmental Manager,
HR manager, Payroll manager). If management allow, a union representative should be invited if
management allow this. Auditors will raise findings, best practice and issues with management, and
agree a corrective action plan.

17:00 Finish

Please note the times are only guide as we will work with the facility to ensure production and
breaks are not interrupted, if there are any concerns. Please contact the audit administration
team if times need to be adjusted to suit working hours of site or if site takes more than one
hour to walk the perimeter and into each area on site.

5I – Typical Audit Agenda

 Typical Audit Plan - a two day audit with two auditors over one day
9.00 Opening Meeting (normally attended by Production manager, H&S and Environmental
Manager, HR manager, Payroll manager). If management allow, a union representative should be
invited if management allow this. Both auditors attend. Agree timetable to suit production.

9.30 Site Tour with a Guide (time spent will depend on size of site). This will include
accommodation where appropriate. Includes a selection of a sample of employees to be interviewed
in a mix of group and single interviews. . Auditors will select people at random to give a cross section.
Health and Safety checks, - if the tour is led by Health and Safety Manager, the tour can be used to
discuss H&S issues. Both auditors attend. One auditor will probably start employee interviews during
the tour.

10.35 Conduct employee interviews including a union representative and/ or worker representative
interview if present. As both auditors are interviewing, two suitable rooms should be provided. Each
room should be quiet and not used just used for disciplinary meetings, and preferably one that
employees are familiar with. . If there is a workers committee, representatives will be interviewed.
Guideline for duration interviews: 15 minutes for individual interviews, 45 minutes for group interview, 30 minutes
for union interview (This length is only a guideline/ suggested minimum. Auditors will rely on their training and
experience to determine the length of actual interviews with individual employees).

12:00 HR documentation review, both auditors. This includes employee handbooks, employee HR
files, payroll and time records for those chosen for interview. . Checking ID’s, right to work, contracts,
social insurance. If there is a data protection law in the country of the site being audited, then
individual worker permissions are taken before any such review.(see 5F.’Data Protection Waiver’)
This documentation review applies equally to any agency staff or other non full time employees (e.g.
canteen staff, security staff). Both auditors.

12.45 Lunch

13.15 Further single interviews plus group interviews, both auditors according to skill set.

15:30 H&S documentation review and further tour /interviews if needed. One auditor interviews/tours
the other document reviews, according to skill set. ). Includes H&S policy, emergency procedures,
accident reporting, risk assessments, internal audit reports, chemicals handling procedures, H&S
training, first aid and medical facilities

16:30 Auditors summarise corrective action report (CAP) for closing meeting

17:00 Closing meeting (normally attended by Production manager, H&S and Environmental Manager,
HR manager, Payroll manager). If management allow, a union representative should be invited if
management allow this. Auditors will raise findings, best practice and issues with management, and
agree a corrective action plan.

17:30 Finish

Please note the times are only guide as we will work with the facility to ensure production and
breaks are not interrupted, if there are any concerns. Please contact the audit administration
team if times need to be adjusted to suit working hours of site or if site takes more than one
hour to walk the perimeter and into each area on site.

5I – Typical Audit Agenda