SMETA Audit Checklist

1. 1. Does the facility have subcontractors?

2. 2. If your facility has subcontractors, fill in the following: Name

3. 3. If your facility has subcontractors, fill in the following: Address

4. 4. Does your facility have foreign or domestic labor brokers used to source labor?

5. 5. If your facility has foreign or domestic labor brokers used to source labor, fill in the following: Name

6. 6. If your facility has foreign or domestic labor brokers used to source labor, fill in the following: Address

7. 7. What is the total number of employees at the facility?

8. 8. What is the percentage of male employees

9. 9. What is the percentage of female employees

10. 10. What is the percentage of foreign/migrant workers

11. 11. What is the number of temporary contract workers employed by the facility

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

13. 13. Does the facility have procedures to ensure freedom of movement of contract workers is not unreasonably restricted?

14. 14. Does the facility have a system in place to ensure that contract labor providers adhere to all relevant labor laws?

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

16. 16. Does the facility maintain a personnel file for every employee?

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

2. 2. Does the facility have policies that prohibit forced labor and child labor?

3. 3. Does the facility have written personnel policies that cover the following: Benefits and deductions

4. 4. Does the facility have written personnel policies that cover the following: Discipline and termination

5. 5. Does the facility have written personnel policies that cover the following: Grievance procedures 

6. 6. Does the facility have written personnel policies that cover the following: Harassment and abuse

7. 7. Does the facility have written personnel policies that cover the following: Overtime hours

8. 8. Does the facility have written personnel policies that cover the following: Overtime wage rates

9. 9. Does the facility have written personnel policies that cover the following: Regular hours

10. 10. Does the facility have written personnel policies that cover the following: Vacation and leave

11. 11. Does the facility have written personnel policies that cover the following: Wages

12. 12. Does the policy cover all workers, including migrant workers?

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

14. 14. Is the facility performance management system in compliance with applicable social laws and regulations?

15. 15. Does the facility have up-to-date SA8000, ETI, or other recognized certifications?

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

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

18. 18. Does the facility strictly prohibit physical punishment of employees as a disciplinary measure?

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

20. 20. What communication vehicles are used - Bulletin board posting?

21. 21. What communication vehicles are used - Electronic mail?

22. 22. What communication vehicles are used - Employee handbook/literature?

23. 23. What communication vehicles are used - Formal training?

24. 24. What communication vehicles are used - Manager meeting?

25. 25. What communication vehicles are used - Website?

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

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

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

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

5. 5. Does the facility have procedures in place to ensure appropriate Personal Protection Equipment (PPE) is provided to employees?

1. 1. What is the name of the PPE distributed?

2. 2. How many employees use it?

3. 3. How often are noise levels and air quality in the facility regularly monitored in a year?

4. 4. Does the facility have a written emergency response plan and fire evacuation procedure?

5. 5. 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?

6. 6. How often does the facility conduct emergency drills per year?

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

8. 8. Does the 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 of an emergency or personal urgency)?

1. 1. Does the facility have well-stocked, unlocked first aid stations at every production site?

2. 2. Are all employees trained on health and safety matters: Emergency management

3. 3. Are all employees trained on health and safety matters: Hazardous materials handling

4. 4. Are all employees trained on health and safety matters: Living conditions

5. 5. Are all employees trained on health and safety matters: Machine Safeguarding

6. 6. Are all employees trained on health and safety matters: Occupational health and safety

7. 7. Are all employees trained on health and safety matters: Personal protection equipment

8. 8. Has the facility operated without serious injury and/or fatality over the past year?

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

1. 1. Does the facility have a dormitory?

2. 2. Are all emergency exits unlocked from the inside and unobstructed?

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

4. 4. Are dormitory accommodations in a separate building(s) from production areas?

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

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

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

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

1. 1. Does your facility employ prison labor?

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

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

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

5. 5. Does the facility (or labor broker) withhold worker ID cards or passports?

6. 6. Are workers required to deposit money prior to or during employment?

1. 1. Does the facility employ child labor (workers younger than 14 or 15)?

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

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

4. 4. Does the factory have effective procedures for verifying workers’ ages?

1. 1. Does the facility have written personnel policies in place for its hiring, salary, benefits, termination, and/or retirement practices to prevent discrimination on the basis of the following: Age

2. 2. Does the facility have written personnel policies in place for its hiring, salary, benefits, termination, and/or retirement practices to prevent discrimination on the basis of the following: Disability

3. 3. Does the facility have written personnel policies in place for its hiring, salary, benefits, termination, and/or retirement practices to prevent discrimination on the basis of the following: Gender

4. 4. Does the facility have written personnel policies in place for its hiring, salary, benefits, termination, and/or retirement practices to prevent discrimination on the basis of the following: Gender identity and/or expression

5. 5. Does the facility have written personnel policies in place for its hiring, salary, benefits, termination, and/or retirement practices to prevent discrimination on the basis of the following: Marital status

6. 6. Does the facility have written personnel policies in place for its hiring, salary, benefits, termination, and/or retirement practices to prevent discrimination on the basis of the following: Medical history

7. 7. Does the facility have written personnel policies in place for its hiring, salary, benefits, termination, and/or retirement practices to prevent discrimination on the basis of the following: Nationality

8. 8. Does the facility have written personnel policies in place for its hiring, salary, benefits, termination, and/or retirement practices to prevent discrimination on the basis of the following: Political opinion 

9. 9. Does the facility have written personnel policies in place for its hiring, salary, benefits, termination, and/or retirement practices to prevent discrimination on the basis of the following: Pregnancy status

10. 10. Does the facility have written personnel policies in place for its hiring, salary, benefits, termination, and/or retirement practices to prevent discrimination on the basis of the following: Race

11. 11. Does the facility have written personnel policies in place for its hiring, salary, benefits, termination, and/or retirement practices to prevent discrimination on the basis of the following: Religion

12. 12. Does the facility have written personnel policies in place for its hiring, salary, benefits, termination, and/or retirement practices to prevent discrimination on the basis of the following: Sexual orientation

13. 13. Does the facility have written personnel policies in place for its hiring, salary, benefits, termination, and/or retirement practices to prevent discrimination on the basis of the following: Social or ethnic origin

14. 14. Does the facility have written personnel policies in place for its hiring, salary, benefits, termination, and/or retirement practices to prevent discrimination on the basis of the following: Union affiliation

15. 15. Does the facility have written personnel policies in place for its hiring, salary, benefits, termination, and/or retirement practices to prevent discrimination on the basis of the following: Veteran status

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

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

18. 18. Are employees permitted to perform religious obligations without restriction?

1. 1. 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?

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

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

4. 4. Which of the following types of labor organizations are present and active in the facility - Dormitory committee?

5. 5. Which of the following types of labor organizations are present and active in the facility - Government union?

6. 6. Which of the following types of labor organizations are present and active in the facility - Health & safety committee?

7. 7. Which of the following types of labor organizations are present and active in the facility - Independent trade union?

8. 8. Which of the following types of labor organizations are present and active in the facility - Worker’s committee?

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

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

2. 2. Does the 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?

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

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

5. 5. Does the facility have procedures in place to document and confidentially report events, complaints, cases, and management responses and actions related to harassment and abuse?

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

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

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

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

5. 5. Does the facility have procedures in place to ensure no unauthorized or illegal deductions are taken from employee wages?

6. 6. Does the facility have procedures in place to ensure payroll documents indicate all hours worked?

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

1. 1. What laws regulating working hours apply to this facility?

2. 2. Which laws regulating overtime hours are applicable to this facility?

3. 3. Does the facility have procedures in place to ensure all workers are given at least one day off in seven?

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

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

2. 2. Is the facility management system in compliance with applicable environmental laws and regulations?

3. 3. Does the facility have up-to-date ISO 14001, RC 14001, or EMAS certification?

4. 4. Does the facility hold the necessary license(s) or permit(s) and has the facility received any fines, prosecution, or warnings by regulators in relation to the following: Air emissions

5. 5. Does the facility hold the necessary license(s) or permit(s) and has the facility received any fines, prosecution, or warnings by regulators in relation to the following: Storage or use of hazardous substances

6. 6. Does the facility hold the necessary license(s) or permit(s) and has the facility received any fines, prosecution, or warnings by regulators in relation to the following: Preventing soil & groundwater contamination

7. 7. Does the facility hold the necessary license(s) or permit(s) and has the facility received any fines, prosecution, or warnings by regulators in relation to the following: Wastewater management

8. 8. Does the facility hold the necessary license(s) or permit(s) and has the facility received any fines, prosecution, or warnings by regulators in relation to the following: Waste issues

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

10. 10. Are employees trained on relevant environmental matters such as the following: Air emissions

11. 11. Are employees trained on relevant environmental matters such as the following: Management or use of hazardous substances

12. 12. Are employees trained on relevant environmental matters such as the following: Preventing soil & groundwater contamination

13. 13. Are employees trained on relevant environmental matters such as the following: Wastewater management, including hazardous waste 

14. 14. Are employees trained on relevant environmental matters such as the following: Waste issues

15. 15. Does the facility have established environmental targets and objectives to improve environmental performance?

16. 16. What are the targets & objectives?

17. 17. Does the facility review its environmental performance annually?

1. 1. Does the facility monitor and track energy consumption and conduct on-site energy audits?

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

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

4. 4. Does the facility have goals and targets to reduce GHG emissions?

5. 5. If yes, what are the targets to reduce GHG emissions?

6. 6. Does the facility have set goals and targets in relation to increased energy efficiency?

7. 7. If yes, what are the targets in relation to increased energy efficiency?

8. 8. What is the total annual GHG emissions in the most recent year measured (enter in total metric tons CO2e)?

9. 9. Does the 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?

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

2. 2. Does the facility have a system in place to manage air emissions?

3. 3. Does the facility have set targets in relation to reducing air emissions?

4. 4. What are the targets in relation to reducing air emissions?

5. 5. Does the facility have pollution prevention devices on chimneys, vents, and extraction systems?

1. 1. Does the facility have a system in place to manage and monitor water withdrawals and consumption?

2. 2. Does the facility have a program and/or procedures to reduce water use or reuse/recycle water?

3. 3. Does the facility have set targets to reduce water consumption?

4. 4. What are the targets to reduce water consumption?

5. 5. Does the facility have a system in place to address wastewater generation and management?

6. 6. Does the facility treat wastewater prior to off-site discharge?

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

8. 8. Does the facility assess external supply and quality risks related to these water sources?

1. 1. Does the facility have a program and/or procedures to reduce or eliminate pollution and waste in its operations?

2. 2. Does the facility have a recycling program to reduce or eliminate pollution and waste in its operations?

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

4. 4. Does the facility have set targets to reduce the volume of waste generated?

5. 5. What are the targets set to reduce the volume of waste generated?

6. 6. Does the facility maintain records of off-site transfer, treatment, and disposal of waste?

7. 7. Does the facility have external waste contractors?

8. 8. Are there regular audits conducted for those contractors?

9. 9. Do the contractors have relevant certifications?

10. 10. Have the contractors received any compliance violations within the past 3 years?

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

2. 2. What are the targets to reduce, reuse, and recycle the amount of packaging used for its products?

3. 3. Does the facility incorporate packaging reduction, reuse, and recycling in its purchasing practices?

1. 1. Does the facility consider Design for Environment (DfE) in its development of products?

2. 2. Does the facility use life cycle assessment (LCA) as part of determining chemical selection for product inputs?

3. 3. Does the facility use chemical hazard assessment and/or comparative chemical hazard assessment as part of determining chemical selection for product inputs?

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

5. 5. Does the facility have a system in place to address pollution prevention and management of hazardous and potentially hazardous substances?

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

7. 7. Does the facility set targets in relation to eliminating or reducing hazardous substances on-site?

8. 8. What are the targets in relation to eliminating or reducing hazardous substances on-site?

9. 9. Does the facility conduct tests to identify the impact on soil and groundwater from facility operations?

1. 1. Does the facility keep an inventory of all chemical substances used, stored, processed, and manufactured?

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

3. 3. Does the facility have a policy statement and/or management system that addresses conflict minerals?

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

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

2. 2. What are the targets and programs?

1. 1. Does the facility have a management representative assigned responsibility for assuring compliance with environmental laws, regulations, and codes?

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

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

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

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

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

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

8. 8. Does the corrective action process include root cause analysis and preventative mechanism implementation?

9. 9. Does the facility have a process in place to evaluate and update environmental, social, and governance policies and systems on an ongoing basis?

1. 1. Does the 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?

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

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

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

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

1. 1. 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?

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

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

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

2. 2. Who engages in stakeholder engagement?

3. 3. How often do they engage in stakeholder engagement?

4. 4. What procedures does the facility have in place to incorporate stakeholder input into its business and operational strategies?

5. 5. Does your facility publicly disclose the results of its stakeholder engagement? 

1. 1. Are there overall recommendations for the processes involved?

2. 2. If yes, what are they?