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SMETA Audit Checklist

A SMETA (Sedex Members Ethical Trade Audit) audit checklist is a document used by companies to assess their supply chain and ensure that it is compliant with ethical trade standards.

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SMETA Audit Checklist

General Info

Do you have sub-contractors?
Does your facility have foreign or domestic labor brokers used to source labor?
What is the total number of employees at the facility?
What is the percentage of male employees?
What is the percentage of female employees?
What is the percentage of foreign/migrant workers?
What is the number of temporary contract workers employed by the facility?

Environment

Management Systems & Training

Is there a management system in place to investigate environmental risks associated with product?
Are you compliant with environmental laws and regulations?
Is your facility ISO 14001, RC 14001 and/or EMAS certified?
Do you have necessary license(s) or permit(s) for environmental standards?
Are your suppliers and employees aware of environmental policies?
Do you have environmental goals?
Do you review your environmental policies 1-2x a year?

Greenhouse Gas Emissions

Do you check energy consumption?
Do you conduct on-site energy audits?
Do you have measures in place to reduce waste, greenhouse gas and energy use?
Do you track the success of your goals and measures?
Do you disclose and release your environmental strategy to the Carbon Disclosure Project or comparable initiatives?

Air/Pollutant Emission

Do you have a system to manage and test air emission?
Do you have goals to reduce emissions?
Do you test the levels of SOx, NOx, mercury and other toxic pollutants in your emissions?
Do you have equipment to reduce emission of pollutants on chimneys, vents, etc.?
Do you frequently check your filters and repair/replace them when necessary?

Water Management

Do you monitor your water consumption?
Do you have plans to reduce water consumption?
Do you assess and check your wastewater generation and management?
Do you treat and check your wastewater before discharge?
Is your water source clean and safe your the purpose of your use?

Waste Management

Do you have goals to reduce your waste generation?
Do you recycle part of the waste that you generate?
Do you maintain records of off-site transfer, treatment and disposal of waste?
Do you store your waste in accordance to environmetal standards?

Raw Materials

Do you keep track of all chemicals used, stored, processed and produced?
Do you have measures in place to reduce use of chemicals and other raw materials?
Do you store your raw materials in a safe and compliant manner?

Social

Workplace Management

Do you have a written corporate responsiblity policy or statemnt of commitment that defines your approach to heath, labor and safety standards?
Do you ensure forced labor and child labor are prohibited?
Do you have plans in place to promote and improve health, labor rights and safety risks
Are you compliant with local laws and regulations?
Are you SA8000 or ETI recognized?
Do you have policies in place for disciplinary procedures or contact terminations?
Do you strictly prohibit physical punishment?
Are all employees and workers aware of their rights and responsibilities?

Facility Health & Safety

Are you OHSAS 18001, ANSI Z10, BSI 8800, CSA Z1000, or OSHA VPP certified?
Do you ensure that all machinery used in your facility is safe and well-maintaned?
Do you have policies in place that ensure safe storage of toxic and hazardous materials?
Do you supply your workers with sufficient Personal Protective Equipment?
Do you monitor noise levels?
Do you monitor air quality in your facility?
Do you have a written emergency plan in place and are your employees aware of it?
Do you have a fire evacuation procedure?
How often do you conduct fire drills per year?

Facility Emergency Management

Are all employees trained on health and safety matters?
Has your facility had any noteworthy incidents or deaths in the last 5 years?
Does your facility have sleeping accomodations?

Compensation

Do you have procedures in place to ensure all workers are paid at least the legal minimum wage?
Do you ensure that all overtime work is paid?
Are all your workers provided all benefits agreed upon at time of hiring?
Do you accurately keep track of timesheets?
Do your employees have at least one day off per week?

Freedom of Association and Collective Bargaining

Are your workers able to form or join trade unions or workers' organizations if permitted by law?
Please list all labor organizations and unions present at your facility

Harassment & Abuse

Do you have policies to protect workers from verbal abuse and/or harassment?
Do you have policies to protect workers from sexual harassment?
Do you have policies to protect workers rom physical abuse, corporal punishment or disciplinary measures that cause physical discomfort?
Are your workers able to file a complaint or report any events that are in violation of policies?

Discrimination

Do you have policies in place that prevent any form of discrimination (sex, gender, race, age, ability, religion...)?
Do you have equal pay for equal work policies?
Are employees able to freely perform religious practices?

Forced Labor

Do you use prison labor?
Are your workers free from bond, debt or other obligation to facility or labor brokers?
Are workers free to resign without fear of penalty or
Do you prohibit the practice of withholding worker ID cards or passports?

Child Labor

Do you verify that your facility does not employ child labor?
Are any workers that are underage and legally work for you given special protection?
Do you effectively verify your workers' ages?

Governance

Accountability

Do you have a management representative that is responsible for assuring compliance with environmental laws, regulations and codes?
Do you have a management representative that is responsible for assuring compliance with labor, health, safety laws, regulations and codes?
Are corrective actions identified by the environmental, labor, health, and safety audits tracked to closure?

Supplier Management

Do you have procedures in place to ensure that suppliers (including labor brokers) operate in compliance with all applicable environmental and labor laws and regualations?
Please list procedures in place that assess and manage identified risks relating to the labor practices of suppliers, including labor brokers?
What procedures does the facility have in place to ensure that suppliers, including labor brokers, operate in compliance with all applicable environmental and labor laws and regulations?

Stakeholder Engagement

Does your facility regularly engage stakeholders on its sustainability strategies, disclosure, and performance, including community groups, employees, NGOs, and government?
What procedures does the facility have in place to incorporate stakeholder input into its business and operational strategies?
Does your facility publicly disclose results of its stakeholder engagement?

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Creating an Effective SMETA Audit Checklist for Optimal Audit Results


A SMETA (Sedex Members Ethical Trade Audit) is an international audit method used to assess ethical trade practices in global supply chains. The main reason why SMETA was developed is to enable suppliers to share valuable information about ethical practices and reduce the number of duplicate audits, to save time and money.


A SMETA audit brings together good practices of a technical audit. The advantage of performing a SMETA audit is that it gives you the possibility to perform an audit and share it with third parties, such as suppliers or customers, instead of having to perform individual audits for each of them. There are four main elements of SMETA and they are divided into the following topics:


  • Health and safety
  • Labour standards
  • Environment
  • Commercial ethics

  • The SMETA audit checklist covers both the facility and the workers and provides a complete assessment of the supplier’s operations. The results of the audit are used to create an action plan to address any issues identified in the audit. This audit helps companies to ensure that their suppliers are meeting their ethical trade standards and provides a level of accountability.

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