SMETA 4 Pillar Audit Checklist

Use the SMETA 4 Pillar Audit Checklist to uphold ethical standards across social, environmental, ethical, and health and safety aspects in your operations.

SMETA 4 Pillar Audit Checklist



Business Ethics Management System

1. Is the self-assessment for the site completed and available for pre-review by the auditor?


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2. Have copies of all local and national regulations and client requirements covering Business Ethics issues kept?


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3. Are all procedures documented and sufficient to meet legal requirements, including permits?


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4. If there is no Business Ethics policy, is a new one created?


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5. Is any Business Ethics policy clearly communicated to appropriate parties such as employees, customers, agents, and suppliers?


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6. Is any documentary evidence of initiatives on business ethics standards kept?


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7. Prior to the assessment, are all business ethics risks for the site listed and are they prioritized for action?


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8. Is there a system in place for employees to report concerns in an anonymous manner without fear of retribution?


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9. Are local inspection documents kept and are prosecutions, complaints, or recommendations looked into?


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Bribery/Corrupt Business Practice

1. If bribery is not covered in any business ethics policy, have you considered including it?


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2. Is there any documentary evidence and sign-ups for anti-bribery initiatives?


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3. Is any bribery policy clearly communicated to appropriate parties such as employees, customers, agents, and suppliers?


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4. Do employees know how to deal with any bribery issues they encounter in their work?


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Conflict Of Interests

1. If the policy does not cover conflict of interest, is it included?


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2. Are rules concerning conflict of interests clearly communicated to appropriate parties, e.g., suppliers, customers, employees?


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3. Is there a clearly communicated procedure in place for dealing with conflict of interest concerns, including advice given and disciplinary action?


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Reporting & Internal Controls/Monitoring

1. Are procedures for dealing with business ethics issues clearly documented and available for inspection?


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2. Have those who reported issues confirmed that procedures are correctly followed and there have been no reprisals?


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3. Have interested parties, e.g., suppliers, customers, agents, and employees, confirmed awareness of the business ethics policy or principles?


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4. Are actions taken as a result of substantiated business ethics issues documented and following the correct procedure?


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5. Are policies and procedures fully communicated and trained to the workforce, especially in high-risk areas of corrupt practices such as sales, logistics, and purchasing?


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6. Is any training recorded?


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Environmental Management System

1. Is the self-assessment for the site completed and available for pre-review by the auditor?


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2. Are there copies of all local and national regulations and client requirements covering environmental aspects?


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3. Are all procedures documented and sufficient to meet legal requirements, including permits?


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4. If an environmental policy isn’t available, is one created?


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5. Is the environmental policy communicated to all relevant parties?


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6. Are certificates available for assessment, such as ISO 14001?


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7. Prior to the assessment, are the environmental impacts listed for your site and are they prioritized for action?


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8. Have ways to reduce environmental impacts and produce action plans with targets considered?


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9. Are there local inspection documents kept and are prosecutions, complaints, or recommendations looked into?


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Energy Usage

1. Are permits for energy use available and up to date?


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2. Are records of energy usage per week/month kept and documented against your output?


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3. Is energy use mapped over time as a proportion of output and have targets been set for reduction?


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4. Are opportunities investigated for renewable energy sources?


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Water Usage

1. Are permits for water usage available and up to date?


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2. Are records of water usage per week/month kept and documented against the output?


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3. Is water use mapped over time as a proportion of output and have targets been set for reduction?


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4. Are opportunities investigated for recycling water, such as greywater for other operations?


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Waste

1. Are permits for waste disposal available and up to date?


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2. Are records of waste disposed of in quantity and type kept with an action plan to reduce waste?


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3. Are waste disposal routes tracked and does each one meet legal requirements?


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4. Are contractors processing your waste for legality and licenses checked?


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Water Discharge

1. Are permits for water discharge available and up to date?


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2. Are records of water discharged in quantity and quality kept?


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3. Is the water discharged meeting legal requirements with reference to its contents and quality?


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4. Are water disposal routes tracked and are different types of water discharges separated?


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5. Do operators carrying out water testing know what action to take if tests go outside legal and regulatory limits?


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Emissions To Air

1. Are permits for air emissions available and up to date?


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2. Are records of air emissions in quantity and type kept with an action plan to reduce them?


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Checklist by GoAudits.com – Please note that this checklist is intended as an example. We do not guarantee compliance with the laws applicable to your territory or industry. You should seek professional advice to determine how this checklist should be adapted to your workplace or jurisdiction.

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