How the SMETA Self Assessment Questionnaire Helps You Prepare for an Ethical Audit

The SMETA Self Assessment Questionnaire, often called the SAQ, is a screening tool used by organizations to evaluate supply chain practices against ethical and social responsibility standards. It allows businesses to review internal systems and supplier operations before a formal SMETA audit takes place.

By completing the SAQ, companies gain a structured way to identify weaknesses, confirm strengths, and plan improvements related to labor practices, worker safety, environmental impact, and ethical conduct. This article explains what the SAQ is, how it works, and how it can support stronger audit preparation and ongoing improvement efforts.

Background: What Is a SMETA Audit

A SMETA audit, also known as a Sedex Members Ethical Trade Audit, is one of the most widely used ethical audit methodologies in global supply chains. Companies use SMETA audits to assess working conditions, health and safety management, environmental practices, and business integrity across supplier sites.

The audit framework is built around four main areas:

• Labor standards

• Health and safety

• Environmental management

• Business ethics

SMETA audits may focus on two pillars or all four, depending on business requirements and risk exposure. The goal is to provide a clear and consistent assessment method that supports responsible sourcing and continuous improvement.

What Is the SMETA Self Assessment Questionnaire

The SMETA Self Assessment Questionnaire is part of the SMETA framework and is used as a preparation and monitoring tool. It allows suppliers to review their own practices before an audit and gives buying companies insight into potential risks before on site verification begins.

The questionnaire includes questions across four main areas:

Labor Standards

This section focuses on employment practices such as contracts, wages, working hours, child labor prevention, forced labor risks, discrimination, and worker rights. Suppliers are asked how they comply with legal requirements and protect workers from unfair treatment.

Health and Safety

This area evaluates whether safe working systems are in place. Topics include emergency planning, accident prevention, safety training, personal protective equipment, and workplace cleanliness. The purpose is to ensure workers operate in environments that reduce risks and prevent injury.

Environmental Performance

Suppliers describe how they manage waste, water usage, energy consumption, and chemical handling. The questionnaire assesses whether environmental policies exist and whether procedures support responsible operations and reduced environmental harm.

Business Ethics

This section covers policies related to bribery prevention, conflicts of interest, data protection, and competition practices. Suppliers outline how ethical behavior is enforced throughout their organization.

Together, these sections offer a comprehensive view of supplier maturity and compliance readiness.

How the SAQ Supports Audit Preparation

The SAQ is most often used as a preparation step before a formal audit, giving organizations valuable insight into supplier readiness and risk exposure.

Key benefits include:

Early Identification of Risks

The questionnaire highlights areas where suppliers may not fully meet expectations, allowing issues to be addressed before an audit occurs.

Performance Tracking

Organizations can compare responses over time to monitor progress and identify whether improvements are being sustained.

Focused Improvement Planning

Results help prioritize where action is needed most, such as worker safety systems or documentation gaps.

Reduced Audit Disruption

When suppliers address issues in advance, audits tend to be more efficient and less corrective work is required afterward.

How to Use the SAQ for Continuous Improvement

Completing the questionnaire should not be treated as a one-time activity. To gain long-term value, businesses should integrate it into supplier management processes.

A practical approach includes:

Request supporting records
Suppliers should have documents ready to support responses, such as contracts, safety logs, and training records.

Promote complete and honest responses
Suppliers should be encouraged to answer accurately rather than aiming to appear compliant. Honest data leads to better outcomes.

Review results critically
Look for patterns and high-risk areas across locations or suppliers rather than focusing only on individual responses.

Develop corrective actions
Work with suppliers to create realistic improvement plans with clear deadlines.

Monitor progress regularly
Follow up with updated assessments to confirm that changes are sustained.

Plan formal audits strategically
Use findings to determine timing and scope of future audits.

Conclusion

The SMETA Self Assessment Questionnaire is more than a checklist. When used correctly, it becomes a tool for awareness, planning, and improvement across the supply chain. It helps organizations move from reactive auditing toward ongoing risk management and responsible operations.

By treating the SAQ as part of a broader improvement strategy rather than a formality, companies develop stronger supplier relationships and more resilient supply chains. Audit readiness becomes a result of better systems rather than a last-minute scramble.