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Liste de contrôle d’audit SMETA 4 piliers

SYSTÈME DE MANAGEMENT ENVIRONNEMENTAL

Complétez l’auto-évaluation de votre site et mettez-la à la disposition de l’auditeur pour

un examen préalable.

Conforme Non conforme N/A

Avoir des copies de toutes les réglementations locales et nationales et des exigences
des clients couvrant l’environnement.

Conforme Non conforme N/A

Assurez-vous que toutes les procédures sont documentées et suffisantes pour vous
assurer que vous répondez aux exigences légales, y compris les permis.

Conforme Non conforme N/A

(LE NON-RESPECT DES OBLIGATIONS LÉGALES EST SUSCEPTIBLE D’ENTRAÎNER LA

NON-CONFORMITÉ DE L’AUDITEUR)

Si vous n’avez pas de politique environnementale, envisagez d’en créer une.

Conforme Non conforme N/A

 Communiquez votre politique à toutes les parties concernées.

Conforme Non conforme N/A

Mettre tous les certificats à la disposition de l’évaluation (p. ex.ISO 14001)

Conforme Non conforme N/A

Avant l’évaluation, dressez la liste de tous les impacts environnementaux de votre site et
hiérarchisez-les pour l’action.

Conforme Non conforme 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 

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