SMETA audit checklist

About the 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.

SMETA audit checklist

Take control of your audits with a SMETA audit checklist

Struggling with inconsistent audit reports? Our SMETA audit checklist template is here to help. Tailored for compliance managers in manufacturing, this tool standardizes and streamlines your audits. Customize it to fit your specific needs, ensuring every audit is thorough and consistent. Elevate your compliance game and simplify your audits with our ready-to-use template.

Purpose and benefits of using a SMETA audit checklist

A SMETA audit checklist is essential for compliance managers aiming to uphold high standards and meet regulatory requirements. This meticulously designed tool streamlines your audit process, ensuring every critical area is thoroughly examined. By using this template, you reduce the risk of overlooking important compliance issues, enhancing the accuracy and reliability of your audits. Covering aspects such as labor standards, health and safety, environmental management, and business ethics, it provides a comprehensive overview of your operations. This holistic approach saves time, ensures consistency, and facilitates better data collection and analysis. Ultimately, it helps maintain compliance, improve operational efficiency, and foster continuous improvement within your organization.

Key components that make up a comprehensive SMETA audit checklist

A robust SMETA audit checklist comprises several key components that collectively ensure a thorough and effective audit. These components cover all critical areas of compliance, providing a detailed framework for evaluating your operations:

Labor Standards:
- Checks on working hours, wages, employee rights, and workplace conditions.
- Ensures adherence to ethical labor practices and compliance with labor laws.
Health and Safety:
- Identifies potential hazards, assesses risk management procedures, and verifies compliance with safety regulations.
- Promotes a safe working environment and reduces the risk of workplace accidents.
Environmental Management:
- Includes checks on waste management, resource usage, and sustainability practices.
- Encourages environmentally responsible practices and compliance with environmental regulations.
Business Ethics:
- Evaluates adherence to ethical standards, including anti-corruption measures and fair trade practices.
- Maintains high ethical standards and promotes transparency and integrity in business operations.

Each component is broken down into specific questions and criteria, ensuring no aspect of the audit is overlooked. The SMETA audit checklist provides a comprehensive and systematic approach to compliance by addressing these key components. This helps you identify areas for improvement, maintain high standards, and ensure your operations are ethical, safe, and sustainable.

Best practices for maximizing the effectiveness of your SMETA audit checklist

To maximize the effectiveness of your SMETA audit checklist, follow these best practices. Customize the template to align with your specific operational needs and regulatory requirements, ensuring it addresses all relevant aspects of your business. Regularly update the checklist to stay aligned with changes in regulations or company policies. Train your team on effective use, emphasizing thoroughness and accuracy. Leverage Lumiform’s digital features like real-time analytics and conditional logic to streamline the audit process, providing instant feedback and identifying issues promptly. Using digital forms on mobile devices enhances data collection and analysis, making the audit process more efficient and effective. By following these practices, you ensure comprehensive, consistent audits that improve compliance and operational excellence.

Get started with Lumiform’s SMETA audit checklist template

Ready to streamline your audits and ensure compliance? Get started with Lumiform’s SMETA audit checklist template today. Our customizable, user-friendly template is designed to help you conduct thorough and consistent audits with ease. Download the template directly from Lumiform and take

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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?

Please sign

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This template, developed by Lumiform employees, serves as a starting point for businesses using the Lumiform platform and is intended as a hypothetical example only. It does not replace professional advice. Companies should consult qualified professionals to assess the suitability and legality of using this template in their specific workplace or jurisdiction. Lumiform is not liable for any errors or omissions in this template or for any actions taken based on its content.