Title Page

  • Name of Facility

  • Address of Facility
  • Name

  • Title

  • Date of Self-assessment

SMETA Checklist

General Information

  • Does your facility have sub-contractors?

  • Sub-contractor
  • Name

  • Address
  • Does your facility have foreign or domestic labor brokers used to source labor?

  • Labor Broker
  • Name

  • Address
  • Total number of employees at the facility

  • Percentage of male employees

  • Percentage of female employees

  • Percentage of foreign/migrant workers

  • Number of temporary contract workers employed by the facility

  • Does your facility have procedures to ensure contract workers are not required to pay an excessive recruitment fee or lodge a deposit with their labor broker?

  • Does your facility have procedures to ensure freedom of movement of contract workers is not unreasonably restricted?

  • Does your facility have a system in place to ensure that contract labor providers adhere to all relevant labor laws?

  • Are all employees provided a written employment agreement with the facility in a language that they understand?

  • Does your facility maintain a personnel file on every employee?

Environment

Management Systems & Training

  • Does your facility have a management system in place, or is it developing one, to assess environmental risks associated with production?

  • Is your facility management system in compliance with applicable environmental laws and regulations?

  • Does your facility have up-to-date ISO 14001, RC 14001, or EMAS certification?

  • Please list relevant certifications.

  • Does your facility hold the necessary license(s) or permit(s) for and has the facility received any fines, prosecution, or warnings by regulators in relation to (select all that apply):

  • Are environmental policies, practices, and expectations communicated to all employees and suppliers in local or appropriate languages?

  • Are employees trained on relevant environmental matters, including (select all that apply):

  • Does your facility have established environmental targets and objectives to improve environmental performance?

  • What are the targets & objectives?

  • Does your facility review its environmental performance annually?

Greenhouse Gas (GHG) Emissions & Energy Usage

  • Does your facility monitor and track energy consumption and conduct on-site energy audits?

  • Does your facility have a system in place to reduce the environmental impact of energy use and greenhouse gases?

  • Does your facility have a program and/or procedures to reduce the use of energy?

  • Does your facility have goals and targets to reduce GHG emissions?

  • What are the targets?

  • Does your facility have set goals and targets in relation to increased energy efficiency?

  • What are the targets?

  • Total annual GHG emissions in the most recent year measured (enter in total metric tons CO2e)?

  • Does your facility report GHG emissions and climate change strategy to the Carbon Disclosure Project (CDP) or publicly disclose an equivalent amount and type of information on an annual basis?

Air Emissions

  • Does your facility regularly test air emissions (i.e. NOx, SOx, mercury, hazardous air pollutants)?

  • Does your facility have a system in place to manage air emissions?

  • Does your facility have set targets in relation to reducing air emissions?

  • What are the targets?

  • Does your facility have pollution prevention devices on chimneys, vents, and extraction systems?

Water Management

  • Does your facility have a system in place to manage and monitor water withdrawals and consumption?

  • Does your facility have a program and/or procedures to reduce water use or reuse/recycle water?

  • Does your facility have set targets to reduce water consumption?

  • What are the targets?

  • Does your facility have a system in place to address wastewater generation and management?

  • Does your facility treat wastewater prior to off-site discharge?

  • What is the standard?

  • Does your facility identify the sources of its water (e.g. aquifers, municipal water sourced from local water body, harvested rainwater, etc.)?

  • Does your facility assess external supply and quality risks related to these water sources?

Waste Management

  • Does your facility have a program and/or procedures to reduce or eliminate pollution and waste in its operations?

  • Does your facility have a recycling program to reduce or eliminate pollution and waste in its operations?

  • Does your facility have a program and/or procedures to manage and dispose of hazardous waste (if applicable), wastewater, solid waste, and airborne emissions?

  • Does your facility have set targets to reduce the volume of waste generated?

  • What are the targets?

  • Does your facility maintain records of off-site transfer, treatment, and disposal of waste?

  • Does your facility have external waste contractors?

  • Do you conduct regular audits of those contractors?

  • Do they have relevant certifications?

  • Have they received any compliance violations within the past 3 years?

Packaging

  • Does your facility have goals and targets to reduce, reuse, and recycle the amount of packaging used for its products?

  • What are the targets?

  • Does your facility incorporate packaging reduction, reuse, and recycling in its purchasing practices?

Pollution Prevention

  • Does your facility consider Design for Environment (DfE) in its development of products?

  • Does your facility use life cycle assessment (LCA) as part of determining chemical selection for product inputs?

  • Does your facility use chemical hazard assessment and/or comparative chemical hazard assessment as part of determining chemical selection for product inputs?

  • Does your facility assess whether substances stored, used, or handled on-site are prohibited by national or international laws or protocols?

  • Does your facility have a system in place to address pollution prevention and management of hazardous and potentially hazardous substances?

  • Does your facility maintain up-to-date material safety data sheets (MSDS) for all hazardous substances used on-site?

  • Does your facility set targets in relation to eliminating or reducing hazardous substances on-site?

  • What are the targets?

  • Does your facility conduct tests to identify impact on soil and groundwater from facility operations?

Other Raw Materials

  • Does your facility keep inventory of all chemical substances used, stored, processed, and manufactured?

  • Does your facility have a program and/or procedures to reduce the use of resources (other than water), and promote sustainable natural resource practices?

  • Does your facility have a policy statement and/or management system that addresses conflict minerals?

  • Does your company engage with the government, commercial contacts, or civil society groups regarding conflict minerals and/or rare earth materials?

  • With whom?

  • How?

Transportation

  • Does your facility have in place targets and programs to reduce overall sustainability impacts by managing transportation logistics (e.g. prioritizing low impact transportation modes)?

  • What are the targets and programs?

Social

Workplace Management

  • Does your facility have a written corporate responsibility policy or statement of commitment that defines its approach to labor, health, and safety standards?

  • Does your facility have policies that prohibit forced labor and child labor?

  • Does your facility have written personnel policies that cover (select all that apply):

  • Does your policy cover all workers, including migrant workers?

  • Does your facility have a management system in place, or is it developing one, to assess labor, health, and safety risks?

  • Is your facility performance management system in compliance with applicable social laws and regulations?

  • Does your facility have up-to-date SA8000, ETI, or other recognized certification?

  • Please list relevant certifications:

  • Does your facility have a system in place for employee appraisal that covers regular workers and probationary employees/trainees?

  • Are formal and written policies and procedures for disciplining and terminating employees standardized throughout the facility?

  • Does your facility strictly prohibit physical punishment of employees as a disciplinary measure?

  • Are labor, health, and safety policies, practices, and expectations communicated to all employees and suppliers in local or appropriate languages?

  • What communication vehicles are used? (Select all that apply:)

Facility Health & Safety

  • To which laws and regulations governing environment, health, and safety does the facility adhere?

  • Does your facility have up-to-date OHSAS 18001, ANSI Z10, CSA Z1000, BSI 8800, or OSHA VPP certification?

  • Please list relevant certifications:

  • Does your facility have procedures in place to ensure appropriate machinery is well-maintained and equipped with necessary safety devices?

  • Does your facility have written procedures for the safe storage, use, and disposal of each hazardous material used in production (if applicable), in language(s) workers understand?

  • Does your facility have procedures in place to ensure appropriate Personal Protection Equipment (PPE) is provided to employees?

  • Personal Protection Equipment
  • Name of PPE distributed

  • Number of employees using it

  • How often are noise levels and air quality in the facility regularly monitored? (Times per year:)

  • Does your facility have a written emergency response plan and fire evacuation procedure?

  • Has the emergency response plan and fire evacuation procedure been communicated to all parties that could be affected by the emergency in local or appropriate languages?

  • How often does the facility conduct emergency drills? (Times per year:)

  • Are all emergency exits unobstructed and unlocked from the inside at all times during working hours?

  • Does your facility have procedures in place to ensure employees are not denied permission or delayed from leaving the facility under reasonable circumstances (e.g. in the event on an emergency or personal urgency)?

Facility Emergency Management

  • Does your facility have well-stocked, unlocked first aid stations at every production site?

  • Are all employees trained on relevant health and safety matters, including (select all that apply):

  • Has your facility operated without serious injury and/or fatality over the past year?

  • Has your facility operated without serious injury and/or fatality over the past three years?

  • Does your facility have a dormitory?

Dormitory

  • Are all emergency exits unlocked from the inside and unobstructed?

  • Are dormitory living conditions clean, secure, and adequately cooled, heated, lighted and ventilated?

  • Are dormitory accommodations in separate building(s) from production areas?

  • Are toilet facilities clean, ventilated, equipped with running water, accessible, and lighted at night?

  • Do all employees who reside in dormitories have access to running water, safe drinking water, sanitary cooking facilities, and adequately private showers?

  • Do all dormitories have fire alarms and extinguishers that are regularly tested?

  • Do all employees who reside in facility dormitories have means of securing personal documents themselves?

Forced Labor

  • Does your facility employ prison labor?

  • Are any of the workers under bond, debt, or other obligation to the facility or to labor brokers?

  • Are workers free to resign from their employment at any time without penalty, giving reasonable notice?

  • Are workers free to leave the facility and related dormitories during non-working hours and at the end of their shift?

  • Does your facility (or labor broker) withhold worker ID cards or passports?

  • Are workers required to deposit money prior to or during employment?

Child Labor & Young Workers

  • Does your facility employ child labor (workers younger than 14 or 15)?

  • Are young workers (above the legal minimum age, but under the age of 18) requiring protective restrictions employed in accordance with the law?

  • Do any young workers perform night work, hazardous jobs, or are they exposed to risks from chemicals, machinery, tools or excessive cold, heat, or noise?

  • Does your factory have effective procedures for verifying workers’ ages?

Discrimination

  • Does your facility have written personnel policies in place for its hiring, salary, benefits, termination, and/or retirement practices to prevent discrimination on the basis of (select all that apply):

  • Does your facility have procedures in place to ensure employees receive equal pay for equal work, regardless of the aforementioned factors?

  • Are female applicants asked about their pregnancy status when applying for a job?

  • Are employees permitted to perform religious obligations without restriction?

Freedom of Association & Collective Bargaining

  • Are there any laws or regulations in the facility’s country/region of operation concerning workers’ freedom to join or form trade unions or workers’ organizations of their own choosing and to collectively bargain?

  • Are workers free to join or form trade unions or workers’ organizations of their own choosing and collectively bargain, if permitted by law?

  • Does your facility recognize trade unions or other independent workers’ organizations representing employees in the workplace?

  • Which of the following types of labor organizations are present and active in the facility? (Select all that apply:)

  • Specify

  • Are employees in the facility able to participate democratically in the selection of representatives for labor organizations?

Harassment & Abuse

  • Does your facility have a formal, written policy that clearly states a commitment to prevent harassment and abuse in the workplace?

  • Does your facility have procedures in place to ensure the workplace is free of physical abuse, corporal punishment, physical contact with the intent to injure or intimidate, and disciplinary measures that cause physical discomfort?

  • Does your facility have procedures in place to ensure the workplace is free of sexual harassment?

  • Does your facility have procedures in place to ensure the workplace is free of verbal abuse and/or harassment?

  • Does your facility have procedures in place to document and confidentially report events, complaints, cases, and management responses and action related to harassment and abuse?

Compensation

  • Does your facility have procedures in place to ensure all workers are paid at least the legal minimum wage for standard working hours?

  • Does your facility have procedures in place to ensure all workers are paid the legal overtime rate?

  • Does your facility have procedures in place to ensure all workers are provided all the benefits to which they are entitled upon hire?

  • Does your facility have procedures in place to ensure all workers are provided the holidays and leave to which they are legally entitled?

  • Does your facility have procedures in place to ensure no unauthorized or illegal deductions are taken from employee wages?

  • Does your facility have procedures in place to ensure payroll documents indicate all hours worked?

  • Are all workers provided with a written explanation, in local or appropriate languages, of pay and any deductions taken?

Hours of Work

  • Which laws regulating working hours apply to this facility?

  • Which laws regulating overtime hours are applicable to this facility?

  • Does your facility have procedures in place to ensure all workers are given at least one day off in seven?

  • Does your facility have procedures in place to ensure all overtime performed at the facility is voluntary?

Governance

Accountability

  • Does your facility have a management representative assigned responsibility for assuring compliance with environmental laws, regulations, and codes?

  • List the name(s) and title(s)

  • Does your facility have a management representative assigned responsibility for assuring compliance with labor, health, and safety laws, regulations, and codes?

  • List the name(s) and title(s)

  • Has your facility conducted audits of its environmental management system(s) in the past year?

  • Has your facility conducted audits of its environmental management system(s) in the past three years?

  • Has your facility conducted audits of its labor, health, and safety laws management system(s) in the past year?

  • Has your facility conducted audits of its labor, health, and safety laws management system(s) in the past three years?

  • Are corrective actions identified by the environmental, labor, health, and safety audits tracked to closure?

  • Does your corrective action process include root cause analysis and preventative mechanism implementation?

  • Does your facility have a process in place to evaluate and update environmental, social, and governance policies and systems on an on-going basis?

Grievance & Remediation

  • Does your facility have effective grievance procedures in place to allow employees to bring environmental and/or work-related violations and/or concerns to management’s attention in an anonymous manner without fear of retribution?

  • Does your facility have procedures in place to investigate reports of environmental and/or work-related violations and/or concerns?

  • In the past year, how many complaints have been received?

  • In the past year, how many complaints have been investigated?

  • In the past year, how many complaints have been resolved?

Supplier Management

  • 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?

  • What procedures does the facility have in place to assess and manage identified risks relating to the labor practices of suppliers, including labor brokers?

  • What procedures does the facility have in place to evaluate and select suppliers based on their ability to meet ESG standards?

Stakeholder Engagement

  • Does your facility regularly engage stakeholders on its sustainability strategies, disclosure, and performance, including community groups, employees, NGOs, and government?

  • Who?

  • How often?

  • 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?

Completion

  • Overall Recommendations

  • Auditor's Name & Signature

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