SMETA 6 1 4-Pillar Audit Checklist

Use the SMETA 6.1 4-Pillar Audit Checklist to assess compliance with labor, health and safety, environment and business standards for responsible sourcing.

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Health & Safety
SMETA 6 1 4-Pillar Audit Checklist

1.1 Employment Contracts & Policies

1.2 Working Hours & Rest Periods

1.3 Wages, Benefits & Deductions

1.4 Child Labor & Young Workers

1.5 Forced Labor & Human Trafficking

1.6 Discrimination & Equal Opportunities

1.7 Freedom Of Association & Collective Bargaining

2.1 Workplace Safety & Risk Management

2.2 Emergency Preparedness

2.3 Occupational Health & Ergonomics

2.4 Health & Safety Training

3.1 Anti-Bribery & Corruption

3.2 Subcontracting & Homework

3.3 Responsible Sourcing & Supply Chain Ethics

3.4 Bribery/Corrupt Business Practice

3.5 Conflict Of Interests

3.6 Reporting & Internal Controls/Monitoring

4.1 Environmental Management Systems

4.2 Waste & Pollution Control

4.3 Environmental Training & Awareness

4.4 Environmental Policy Communication

5.1 Energy Usage

5.2 Water Usage

5.3 Waste

5.4 Water Discharge

5.5 Emissions To Air

6.1 Policies & Documentation

6.2 Grievance Mechanisms & Worker Feedback

6.3 Audit & Compliance Monitoring

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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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SMETA 6 1 4-Pillar Audit Checklist

Use the SMETA 6.1 4-Pillar Audit Checklist to assess compliance with labor, health and safety, environment and business standards for responsible sourcing.

1. Are all workers provided with written contracts outlining terms of employment?

2. Do employment contracts comply with local labor laws and international standards?

3. Are hiring and termination policies transparent and fair?

4. Are workers properly classified (permanent, temporary, contract, etc.)?

1. Are working hours compliant with legal and ethical standards?

2. Is overtime voluntary and within legal limits?

3. Do workers receive proper rest breaks and mandatory days off?

4. Are working hours accurately recorded and verified?

1. Do all workers receive at least the legal minimum wage?

2. Are wages paid accurately, on time, and well-documented?

3. Are legally mandated benefits (e.g., social security, paid leave) provided?

4. Are wage deductions fair, legal, and transparently communicated?

1. Is there a formal policy prohibiting child labor?

2. Are age verification systems in place during hiring?

3. Are young workers (if any) protected from hazardous tasks?

4. Are young workers provided with necessary training and supervision?

1. Is employment freely chosen, with no forced or bonded labor?

2. Are workers not required to surrender personal documents?

3. Are recruitment fees not charged to workers?

4. Are workers free to leave employment under proper notice?

1. Are hiring and promotion practices free from discrimination?

2. Is there a formal policy against workplace discrimination and harassment?

3. Are complaints and grievances handled fairly and confidentially?

4. Are reasonable accommodations made for workers with disabilities?

1. Are workers free to form and join trade unions?

2. Is there no retaliation against workers involved in union activities?

3. Are collective bargaining agreements in place and honored?

4. Are alternative worker representation mechanisms in place where unions are restricted?

1. Has a risk assessment been conducted to identify workplace hazards?

2. Are safety measures and emergency procedures documented?

3. Is Personal Protective Equipment (PPE) provided and used correctly?

4. Are machinery and equipment properly maintained?

1. Are emergency exits marked, unlocked, and unobstructed?

2. Are fire extinguishers, alarms, and sprinklers installed and functional?

3. Are emergency drills conducted regularly?

4. Are first aid kits fully stocked and accessible?

1. Are workstations ergonomically designed to reduce physical strain?

2. Are workers trained on proper lifting techniques and posture?

3. Are noise, lighting, and air quality levels regularly assessed?

4. Are sanitation and hygiene facilities clean and sufficient?

1. Are workers trained on emergency procedures and first aid?

2. Is safety training conducted in languages understood by workers?

3. Are new hires given a proper health & safety induction?

4. Are workers educated on the proper use of PPE?

1. Is there a formal anti-bribery and corruption policy?

2. Are employees trained on ethical business practices?

3. Are financial transactions transparent and recorded?

4. Are whistleblowing mechanisms in place for reporting unethical behavior?

1. Are subcontractors compliant with SMETA labor standards?

2. Is homework (if applicable) monitored to prevent labor violations?

3. Are workers performing home-based tasks fairly compensated?

1. Are suppliers vetted for ethical trade compliance?

2. Are ethical sourcing policies communicated to suppliers?

3. Are audits conducted on suppliers for compliance?

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

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

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

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

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

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

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

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

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

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

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

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?

6. Is any training recorded?

1. Is there a formal environmental policy?

2. Are environmental risks assessed and documented?

3. Are energy and water consumption monitored and reduced where possible?

1. Is waste properly managed and disposed of per regulations?

2. Are hazardous materials stored and handled safely?

3. Are emissions controlled and monitored?

1. Are workers trained on waste reduction and recycling?

2. Are environmental best practices promoted in the workplace?

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

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

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