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SMETA Pre-Audit and Document Readiness Checklist
Section 1: Document Management
1. Are all required documents available for review?
Yes
No
2. Are the documents up to date?
Yes
No
3. Is there a designated person responsible for document management?
Yes
No
4. Are documents stored securely to prevent unauthorized access?
Yes
No
5. Is there a process for reviewing and approving documents?
Yes
No
6. Are all employees trained on document management policies?
Yes
No
7. Is there a backup system for critical documents?
Yes
No
8. Are audit trails maintained for document changes?
Yes
No
9. Is there a retention policy for documents?
Yes
No
10. Are all documents easily retrievable when needed?
Yes
No
Section 2: Compliance and Ethical Standards
1. Does the facility have a code of conduct in place?
Yes
No
2. Are employees aware of the code of conduct?
Yes
No
3. Is there a whistleblower policy implemented?
Yes
No
4. Are there regular training sessions on ethical practices?
Yes
No
5. Is there a process for reporting unethical behavior?
Yes
No
6. Are there measures in place to prevent discrimination?
Yes
No
7. Is there a policy for handling conflicts of interest?
Yes
No
8. Are employees encouraged to report safety concerns?
Yes
No
9. Is there a system for monitoring compliance with ethical standards?
Yes
No
10. Are there consequences for violating ethical standards?
Yes
No
11. Is there a review process for ethical standards?
Yes
No
12. Are stakeholders informed about the facility's ethical practices?
Yes
No
13. Is there a commitment to continuous improvement in ethical practices?
Yes
No
14. Are ethical practices integrated into business operations?
Yes
No
15. Is there a designated ethics officer or committee?
Yes
No