Go digital today!

Convert your paper checklists into digital forms

Scan this QR code to use this paper checklist on your smartphone or
tablet or visit https://safetyculture.com/

Title Page

Site

Location 

Audited by

Conducted on 

SMETA 4-Pillar Audit Checklist

ENVIRONMENTAL MANAGEMENT SYSTEM

Complete the self-assessment for your site and make it available to the auditor for pre-
review.

Compliant Non-Compliant N/A

Have copies of all local and national regulations and client requirements covering
environment.

Compliant Non-Compliant N/A

Ensure all procedures are documented and sufficient to ensure you meet the legal
requirements, including permits.

Compliant Non-Compliant N/A

(FAILURE TO ACHIEVE LEGAL OBLIGATIONS IS LIKELY TO RESULT IN THE AUDITOR

RECORDING A NON-COMPLIANCE)

If you do not have an environmental policy, consider creating one.

Compliant Non-Compliant N/A

Communicate your policy to all relevant parties.

Compliant Non-Compliant N/A

Make any certificates available for assessment (e.g. ISO 14001)

Compliant Non-Compliant N/A

Prior to the assessment, list all environmental impacts for your site and prioritise them
for action.

Compliant Non-Compliant N/A

Consider ways of reducing your impacts and together with the individual(s) responsible
for performance produce action plans with targets.

Compliant Non-Compliant N/A

Keep any local inspection documents and ensure you react to any prosecutions,
complaints or recommendations.

Compliant Non-Compliant N/A

ENERGY USAGE

Where permits for energy use are required, ensure these are available and up to date.

Compliant Non-Compliant N/A

Keep records of your energy usage/week/month and document against your output.

Compliant Non-Compliant N/A

Map your energy use over time as a proportion of output and have targets for
reduction.

Compliant Non-Compliant N/A

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.

Compliant Non-Compliant N/A

WATER USAGE

Where permits for water usage are required, ensure these are available and up to date.

Compliant Non-Compliant N/A

Keep records of your water usage/week/month and document against your output.

Compliant Non-Compliant N/A

Map your water use over time as a proportion of output and have targets for reduction.

Compliant Non-Compliant N/A

 Investigate opportunities for re-cycling water such as greywater being used for other
operations.

Compliant Non-Compliant N/A

WATER DISCHARGE

Where permits for water discharge are required ensure these are available and up to
date.

Compliant Non-Compliant N/A

Keep records of your water discharged both in quantity and quality.

Compliant Non-Compliant N/A

Ensure that water discharged meets the legal requirements with reference to its
contents and quality, by sufficient testing.

Compliant Non-Compliant N/A

Track your water disposal routes and ensure that where necessary different types of
water discharges are separated.

Compliant Non-Compliant N/A

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.

Compliant Non-Compliant N/A

WASTE

Where permits for waste disposal are required ensure these are available and up to
date.

Compliant Non-Compliant N/A

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.

Compliant Non-Compliant N/A

Track your waste disposal routes and ensure that each one meets legal requirements.

Compliant Non-Compliant N/A

Ensure that you have checked any contractors processing your waste for legality and
licenses.

Compliant Non-Compliant N/A

EMISSIONS TO AIR

Where permits for air emissions are required ensure these are available and up to date.

Compliant Non-Compliant N/A

Keep records of your air emissions both in quantity and type and have an action plan to
reduce.

Compliant Non-Compliant N/A

BUSINESS ETHICS MANAGEMENT SYSTEM

Complete the self-assessment for your site and make it available to the auditor for pre-
review.

Compliant Non-Compliant N/A

Have copies of all local and national regulations and client requirements covering
Business Ethics issues.

Compliant Non-Compliant N/A

Ensure all procedures are documented and sufficient to ensure you meet the legal
requirements, including permits.

Compliant Non-Compliant N/A

If you do not have a Business Ethics policy, consider creating one.

Compliant Non-Compliant N/A

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.

Compliant Non-Compliant N/A

Have available any documentary evidence of sign up to any initiatives on business ethics
standards.

Compliant Non-Compliant N/A

Prior to the assessment, list all Business Ethics risks for your site and prioritise them for
action.

Compliant Non-Compliant N/A

 Ensure that appropriate employees know how to report concerns through (e.g. poster or
website information).

Compliant Non-Compliant N/A

Keep any local inspection documents and ensure you react to any prosecutions,
complaints or recommendations.

Compliant Non-Compliant N/A

BRIBERY/CORRUPT BUSINESS PRACTICE

If bribery is not covered in any a Business Ethics policy, you should include it.

Compliant Non-Compliant N/A

Have available any documentary evidence of sign up to any anti bribery initiatives.

Compliant Non-Compliant N/A

Ensure that any of your (and/or your clients) bribery policies are clearly communicated
to the appropriate parties such as employees, customers, agents, suppliers.

Compliant Non-Compliant N/A

Ensure that appropriate employees are informed on how to deal with any bribery issues
they encounter in their work.

Compliant Non-Compliant N/A

CONFLICT OF INTERESTS

If your (or your clients) policy does not cover conflict of interest, consider including it.

Compliant Non-Compliant N/A

 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.

Compliant Non-Compliant N/A

Ensure there is a clearly communicated procedure in place for dealing with conflict of
interest concerns including advice given and disciplinary action against perpetrators.

Compliant Non-Compliant N/A

REPORTING AND INTERNAL CONTROLS/MONITORING

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.

Compliant Non-Compliant N/A

Check with those who have reported issues that procedures are being correctly followed
and that there have been no reprisals following reporting.

Compliant Non-Compliant N/A

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.

Compliant Non-Compliant N/A

Check that any actions taken as a result of substantiated Business Ethics issues, have
been documented and have followed correct procedure.

Compliant Non-Compliant N/A

 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.

Compliant Non-Compliant N/A

Ensure that any training is recorded.

Compliant Non-Compliant N/A

SIGN OFF

Additional Observations

Auditor's Name & Signature 

The templates available in our Public Library have been created by our customers and employees to help get you started using SafetyCulture's
solutions. The templates are intended to be used as hypothetical examples only and should not be used as a substitute for professional advice.
You should seek your own professional advice to determine if the use of a template is permissible in your workplace or jurisdiction. You should
independently determine whether the template is suitable for your circumstances.