Title Page
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Site
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Location
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Audited by
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Conducted on
SMETA 4-Pillar Audit Checklist
ENVIRONMENTAL MANAGEMENT SYSTEM
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Complete the self-assessment for your site and make it available to the auditor for pre-review.
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Have copies of all local and national regulations and client requirements covering environment.
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Ensure all procedures are documented and sufficient to ensure you meet the legal requirements, including permits.
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(FAILURE TO ACHIEVE LEGAL OBLIGATIONS IS LIKELY TO RESULT IN THE AUDITOR RECORDING A NON-COMPLIANCE)
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If you do not have an environmental policy, consider creating one.
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Communicate your policy to all relevant parties.
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Make any certificates available for assessment (e.g. ISO 14001)
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Prior to the assessment, list all environmental impacts for your site and prioritise them for action.
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Consider ways of reducing your impacts and together with the individual(s) responsible for performance produce action plans with targets.
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Keep any local inspection documents and ensure you react to any prosecutions, complaints or recommendations.
ENERGY USAGE
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Where permits for energy use are required, ensure these are available and up to date.
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Keep records of your energy usage/week/month and document against your output.
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Map your energy use over time as a proportion of output and have targets for reduction.
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l Investigate opportunities for renewable energy such as, solar, wind turbines, geothermals, and energy from biomass e.g. Wood, animal manure, crop residues, and waste.
WATER USAGE
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Where permits for water usage are required, ensure these are available and up to date.
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Keep records of your water usage/week/month and document against your output.
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Map your water use over time as a proportion of output and have targets for reduction.
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Investigate opportunities for re-cycling water such as greywater being used for other operations.
WATER DISCHARGE
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Where permits for water discharge are required ensure these are available and up to date.
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Keep records of your water discharged both in quantity and quality.
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Ensure that water discharged meets the legal requirements with reference to its contents and quality, by sufficient testing.
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Track your water disposal routes and ensure that where necessary different types of water discharges are separated.
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Ensure that the operators carrying out the water testing know what action to take if the tests go outside of the legal and regulatory limits.
WASTE
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Where permits for waste disposal are required ensure these are available and up to date.
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Keep records of your waste disposed of both in quantity and type and have an action plan to reduce waste by re-use, re-cycle and only dispose of as a last resort.
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Track your waste disposal routes and ensure that each one meets legal requirements.
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Ensure that you have checked any contractors processing your waste for legality and licenses.
EMISSIONS TO AIR
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Where permits for air emissions are required ensure these are available and up to date.
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Keep records of your air emissions both in quantity and type and have an action plan to reduce.
BUSINESS ETHICS MANAGEMENT SYSTEM
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Complete the self-assessment for your site and make it available to the auditor for pre-review.
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Have copies of all local and national regulations and client requirements covering Business Ethics issues.
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Ensure all procedures are documented and sufficient to ensure you meet the legal requirements, including permits.
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If you do not have a Business Ethics policy, consider creating one.
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Ensure that any of your (and/or your clients) Business Ethics policies are clearly communicated to the appropriate parties such as employees, customers, agents, suppliers.
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Have available any documentary evidence of sign up to any initiatives on business ethics standards.
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Prior to the assessment, list all Business Ethics risks for your site and prioritise them for action.
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Ensure that appropriate employees know how to report concerns through (e.g. poster or website information).
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Keep any local inspection documents and ensure you react to any prosecutions, complaints or recommendations.
BRIBERY/CORRUPT BUSINESS PRACTICE
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If bribery is not covered in any a Business Ethics policy, you should include it.
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Have available any documentary evidence of sign up to any anti bribery initiatives.
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Ensure that any of your (and/or your clients) bribery policies are clearly communicated to the appropriate parties such as employees, customers, agents, suppliers.
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Ensure that appropriate employees are informed on how to deal with any bribery issues they encounter in their work.
CONFLICT OF INTERESTS
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If your (or your clients) policy does not cover conflict of interest, consider including it.
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Ensure that any rules of you or your clients concerning conflict of interests have been clearly communicated to the appropriate parties e.g. suppliers, customers, employees, agents etc.
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Ensure there is a clearly communicated procedure in place for dealing with conflict of interest concerns including advice given and disciplinary action against perpetrators.
REPORTING AND INTERNAL CONTROLS/MONITORING
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Check your procedures for dealing with any Business Ethics issues which may have occurred in your business and ensure they are clearly documented and available for inspection.
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Check with those who have reported issues that procedures are being correctly followed and that there have been no reprisals following reporting.
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Check with interested parties e.g. suppliers, customers, agents, employees that they are aware of your Business Ethics policy or principles and that they are following these.
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Check that any actions taken as a result of substantiated Business Ethics issues, have been documented and have followed correct procedure.
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Ensure that any policies and procedures are fully communicated, and trained to the workforce especially those where there is a high risk of corrupt practice such as sales, logistics, purchasing.
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Ensure that any training is recorded.
SIGN OFF
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Additional Observations
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Auditor's Name & Signature
