# SMETA Audit Checklist: 4 Pillars Readiness for Manufacturers > Source: https://netray.co/tools/smeta-audit-checklist-4-pillar > Publisher: Netray (netray.co), AI and integration engineering for ERP and manufacturing systems. > Section: Free Tools ## Short answer A tick-box SMETA readiness checklist across labour standards, health and safety, environment and business ethics, listing the records an auditor will ask to see. ## Category compliance-legal ## Industry Manufacturing ## Audience - Quality manager - Compliance manager - HR manager - EHS manager ## Tool **Kind:** checklist **Groups:** #### Pillar 1: Labour standards **Items:** **Text:** Employment contracts or written terms for every worker, including agency and migrant workers **Critical:** true **Text:** No forced, bonded or prison labour: workers keep their own ID documents and pay no recruitment fees **Critical:** true **Text:** Age verification records, and a young worker policy if anyone under 18 works **Critical:** true **Text:** Payroll and time records for the last 12 months that reconcile to pay slips and bank transfers **Critical:** true Wages meet the legal minimum or the benchmark that gives the higher standard Working hours and overtime within legal limits and the Base Code, with rest days recorded Overtime is voluntary and paid at the legal premium Equal treatment: written non-discrimination policy and consistent hiring and discipline practice Freedom of association: workers can form or join a union, or an alternative worker voice channel exists Disciplinary and grievance procedure written, communicated and applied; records of cases kept Regular employment: labour-only contracting and excessive short-term contracts avoided #### Pillar 2: Health and safety **Items:** **Text:** Risk assessments for machines, chemicals, manual handling, noise, electrical and forklift traffic **Critical:** true **Text:** Fire safety: clear exits, working alarms and extinguishers, evacuation drills logged **Critical:** true **Text:** Building and fire permits or certificates valid for the site **Critical:** true Machine guarding, lockout procedures and training records Chemical register, safety data sheets in local language, correct storage and labelling Personal protective equipment issued free and worn, with issue records **Text:** First aid kits, trained first aiders and accident and near miss log **Critical:** true Safety committee or worker representatives with meeting minutes Safe and clean dormitories, canteens and toilets where provided **Text:** Emergency exits unlocked during working hours; no locked doors that trap workers **Critical:** true #### Pillar 3: Environment **Items:** **Text:** Environmental permits and licences in date and available on site **Critical:** true Waste management: hazardous waste segregated, stored and removed by licensed contractors, with manifests Air emissions, wastewater and noise monitored where required by law Energy, water and waste use tracked monthly Environmental policy and named responsible person Spill prevention and emergency response arrangements #### Pillar 4: Business ethics **Items:** **Text:** Written anti-bribery and corruption policy communicated to staff **Critical:** true Gifts and hospitality register **Text:** Business integrity: accurate books and records, no false documents shown to auditors **Critical:** true Subcontracting and homeworking approved, documented and covered by the same standards Whistleblowing or confidential reporting channel available and trusted Customer and supplier due diligence on conflict of interest and responsible sourcing #### Management systems and audit logistics **Items:** Sedex account, site registration and Self Assessment Questionnaire (SAQ) updated **Text:** Named audit coordinator and a plan for who answers which questions **Critical:** true Corrective action plan from the previous audit with evidence of closure **Text:** Worker list, shift pattern and department list ready for interview sampling **Critical:** true Policies translated into the main worker languages and displayed Records retrievable on demand, from an ERP or HR system, without staging **Text:** Staff briefed to be truthful and not to coach workers before interviews **Critical:** true **Scoring Note:** A SMETA audit looks for conformance with the ETI Base Code and local law, and reports findings as non-compliances to correct. Treat unticked critical items as likely findings. This checklist is a readiness aid and does not replace guidance from Sedex or your audit firm. ## Content **Intro:** SMETA, the Sedex Members Ethical Trade Audit, is a widely used social audit format. A 4-pillar SMETA covers labour standards, health and safety, environment and business ethics. This checklist gives plant teams a practical way to see what an auditor will ask for, and which records to have on hand. **Sections:** #### How to use the checklist **Body:** Work through each pillar with the person who owns it: HR for labour, EHS for safety and environment, and the plant or general manager for ethics. Tick what is in place and can be shown, not what is believed to be in place. Mark gaps with an owner and a date. Do this four to eight weeks before the audit window so there is time to fix issues such as expired permits or missing time records. Export the result to keep a dated readiness baseline. **Bullets:** - Check the records, not just the policy - Pull 12 months of payroll and time data in advance - Do a walk-through of the site with fresh eyes #### The four pillars and what auditors look for **Body:** Labour standards and health and safety form the core of a standard 2-pillar SMETA. Adding environment and business ethics makes it a 4-pillar audit. Auditors compare practice to the ETI Base Code, the audit methodology and national law, and where they differ the stricter standard generally applies. Typical findings relate to working hours, wage records that do not reconcile, blocked exits, missing risk assessments and absent grievance channels. Business ethics checks are largely documentary and based on interviews and observation. #### Records and ERP data **Body:** Much of the evidence sits in systems. Time and attendance, payroll, training records, maintenance and calibration logs, supplier lists and waste manifests can all be pulled from HR, ERP and EHS tools. Teams that can retrieve a worker's contract, hours, pay and training in one go handle audits far more calmly. Build a short evidence folder per pillar and keep it current rather than assembling it the week before. #### SMETA training and certification **Body:** Sedex offers training on its platform and methodology, and independent audit firms and consultants run SMETA awareness and auditor courses. There is no 'SMETA certificate' for a factory. A SMETA audit produces a report and corrective action plan shared on Sedex, not a certification. Check the official Sedex site for current training options and for how the audit methodology is updated before you plan. **Cta:** If assembling audit evidence from HR, payroll, ERP and EHS tools takes days, Netray can add a private AI layer on your own servers so quality and HR teams can ask for records in plain language, with read-only access. **Faq:** #### What are the four pillars of a SMETA audit? **Answer:** They are labour standards, health and safety, environment and business ethics. Labour and health and safety are the core 2-pillar audit. Environment (a shortened assessment) and business ethics are the additional pillars in the 4-pillar version. #### How early should we prepare for a SMETA audit? **Answer:** Start four to eight weeks ahead. Gather 12 months of payroll and time records, confirm permits and fire certificates, run a mock walk-through, and close actions from your previous audit. Late discovery of missing documents is the most avoidable cause of findings. #### Does SMETA give us a certificate? **Answer:** No. A SMETA audit results in an audit report and a corrective action plan, usually shared with customers through the Sedex platform. It is not a certification scheme. Customers decide what outcomes they accept. #### Where can we get SMETA training? **Answer:** Sedex publishes its own training, and independent audit firms and consultants offer courses on the methodology and on preparing sites. Confirm current options on the Sedex website, and choose training that matches your role, such as site preparation versus auditor skills. ## Search terms smeta audit checklist, smeta 4 pillar checklist, checklist smeta 4 pilares, smeta audit preparation, smeta training certification, smeta training online, sedex smeta records to prepare, ethical audit checklist manufacturing --- Talk to an engineer: https://netray.co/contact?intent=erp_ai | Machine catalog: https://netray.co/agent/catalog.json