SPA Small Producer Self-Assessment

Transcription

1 SPA Small Producer Self-Assessment

2 Video Tutorial WELCOME

3 PURPOSE What is the SPA? Definition, Scope What are the specificities of the SPA? The Self Declaration and its validation process Who can request an audit against the SPA Environment? How are the SPA audits reflected in the producers profiles? Deadlines and rules to be respected 3

4 Pre Requisites : Access to the platform - 4

5 Definition and pre conditions SPA = Small Producer Assessment Only for small producers i.e. processors and manufacturers in food and nonfood sector that meet all following criteria: Independent business unit: The small producer must not be a branch or part of a group No more than 35 workers: Over the last 12 months prior to audit request, the small producer has employed directly or indirectly a maximum of 35 workers, including permanent and seasonal workers (seasonal workers should not be employed for a longer period than 90 days per year ) Annual turnover: Equal or below 2 million EUR Manufacturer: It is a food or non-food manufacturer or processor, but not a farm 5 5

6 Why has the SPA been developed? The objective of the SPA is to produce an audit that gives an accurate picture of the social performance of small producers. The SPA audit environment takes into consideration that small producers might: Be informally organized Have a less sophisticated management system than larger producers Concretely it means : A shorter audit questionnaire (same number of Performance Areas but lower number of questions, less amount of data evidence) Guidelines that enable the auditor to adapt the questions to the circumstances of a small producer (see Annex 12 of the revised System Manual) 6

7 Our monitoring tools THREE AUDIT ENVIRONMENTS NEW MONITORING TOOLS One-site audit (processed food and non-food) o One main auditee o One audit report Industrial Environment Multi-tier audit (food only) o Main auditee + sample of farms o o Requires internal monitoring by producer One audit report for main auditee and findings reports for each farm Agricultural Environment Small producer assessment - NEW (processed food and non-food) o o o One main auditee meeting small producer criteria An audit questionnaire adjusted to small business circumstances One audit report Small Producer Environment amfori BSCI System Manual 2018 revision

8 What is the same compared to the existing audit environments? What is specific to the SPA?

9 What has changed? Same Specific It follows the BSCI audit scheduling, audit validity, and rating It is semi-announced by default It covers the 13 performance areas extracted from the amfori BSCI Code of Conduct It is subjected to amfori BSCI audit integrity programme It follows the amfori BSCI Zero Tolerance Protocol, when relevant It can be linked to a remediation plan It relies on the small producer selfdeclaration, which needs to be assessed by both the RSP holder and eventually the auditor If there are proofs that the producer should not have been audited with a SPA, actions can be taken by amfori participants and stakeholders through the amfori BSCI platform or by others through the amfori external grievance mechanism Desk review follow-ups, if findings only refer to specific questions with documentary evidence to solve the finding 9

10 The Small Producer Self Declaration The Small producer Self Declaration is a pre condition to schedule SPA audits. Producers have to submit the Small Producer Self Declaration to their clients (The amfori BSCI participants ) and to the auditor before the conduct of the audit. This document can be found on the amfori BSCI Resources Section of the platform

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12 Self Declaration Instructions The self-declaration shall not be older than two months from the time the full audit or follow-up audit is going to be requested. Should the producer no longer meet all criteria of a small producer, the RSP holder shall select the relevant audit environment that suits the new situation. The producer should send the self Declaration to the RSP Holder The RSP holder shall share the self-declaration with the auditing company. 12

13 Who can request the SPA in the BSCI platform?

14 Pre conditions when requesting audits Audits can only be requested by RSP holders, suppliers and auditors All audits requests are subject to RSP holder approval Auditors can only request semi announced or fully unannounced audits! The RSP Holder shall make sure that the Self Declaration Form has been signed and sent by the producer before : - requesting any audit - or approving any audit request from auditors or suppliers - Producers receive a notification in case of semi announced or fully announced audits 14

15 Audit Announcement o Semi announced : by default for all BSCI audits o Fully announced under certain conditions only o Fully unannounced IMPORTANT: Fully-Announced audits can ONLY be requested by the RSP holder. Audit type range Full audit or follow-up audit Audit Environment o o o Industrial Agricultural Small producer (SPA) For additional details on the audit announcement methods please refer to our video tutorial V-F-1-011b on semi announced process :

16 THE PROCESS OF VALIDATION OF THE SELF-DECLARATION

17 Auditing company Self Declaration s Verification At Distance: Before accepting the audit request 2 instance On site: Once audit request has been accepted 17

18 Self Declaration s Verification at distance All criteria seem to be met Audit request is accepted One or more criteria are clearly not met Audit request must be deleted Justification provided in pop-up window RSP receives an with justification One or more criteria may look discordant with definitions Self-declaration is presumed to be trustworthy The audit request will be accepted Auditors will be requested specific vigilance 18

19 Self Declaration s verification on-site All criteria seem to be met Audit continues using the SPA tool Self-declaration is attached to the report One or more criteria are clearly not met Reasonable variation to be reported in the Executive Summary Audit is aborted as producer reality cannot be captured in SPA report. Zero Tolerance due to misrepresentation 19

20 What will the auditor do when conducting and filling in the SPA?

21 SPA Audit process Audit duration: SPA duration has been fixed to one day for on-site audit, including reporting time for full and follow-up audits and to half a day(0.5), including reporting for a desk review follow-up audit. Interviews: The number of workers to be interviewed may vary between five to ten workers. If the producer being audited has five or less workers, all workers must be interviewed. Attached documents: A copy of the self-declaration properly signed must be uploaded as part of the SPA before submitting it to the amfori BSCI platform. Attention please note that if the signed Self Declaration has not been uploaded by the auditor, the audit report cannot be submitted Executive summary: The auditor shall reflect the following information under the Executive Summary section in the SPA report: Detailed description of the producer structure Validation method used to assess that the producer meets the SPA criteria, including self-declaration validation.

22 How does it look like in the audit report? What has changed?

23 When Entering the Audit report Other Audit Environment SPA the number of sections is lower as compared to an amfori BSCI 2.0 industrial or agricultural audit

24 SPA : a more concise tool Typical table of content of amfori BSCI on-line audit report Same 13 performance areas than any other amfori BSCI audit Only 47 questions in the SPA tool

25 AUDIT DURATION In the audit report under the General information Tab : A New bracket of workers ( from 1 to 35) has been added in the full and follow up audit tables 25

26 AUDIT GENERAL INFORMATION TAB In the audit report under the General information Tab : a new option Small producer will appear in the field audit environment

27 ATTACHED DOCUMENTS In the audit report under the Attached Documents Tab : The signed Self Declaration should be uploaded by the auditor in the attached documents tab of the online report before submitting the SPA

28 EXECUTIVE SUMMARY In the audit report under the General information TAB : In this section the auditor should describe the structure of the producer and the validation method used to justify the selection of the SPA environment

29 The Audit questionnaire : main auditee Tab The auditor uses the new SPA audit. This questionnaire consists of: Reduced number of Tabs (as compared to industrial audit questionnaire) Reduced number of questions as compared to the questionnaire for industrial audit environment. Few questions wording have been change for SPA questionnaire The calculation of PA rating and overall rating is different as compared to an industrial audit. This is done automatically by the system. The ratings per PA and overall rating will be displayed when the audit has been submitted same as for the other audit environments

30 The Audit questionnaire : Submitting the questionnaire Once the questionnaire is saved on-line, it will populate the audit findings. In the producer profile, linked participants and producers will be able to visualize the audit environment as Small Producer Assessment and the audit findings in the Platform. After the audit, the producer will be able to complete the remediation plan under the category 2.0 audit. Producers have 60 days after the last day of the audit to submit their remediation plan For more info on remediation plans, please refer to the following video tutorial For China : 30

31 Several scenarios related to an audit environment change or specific audit ratings.

32 Follow up SPA is due, but producer no longer small a) The audit cycle was initiated within a SPA environment (e.g. a full SPA was conducted), but the producer is no longer small by the time a follow-up audit is due b) Or the follow up audit was conducted under the SPA environment but the producer is no longer small by the time a new audit is due Can I do a follow up audit or shall I shift to a full audit? Follow-up is to be requested but for regular (no-small) producer The auditor conducts a follow up audit: o Verify performance areas with findings from previous SPA o Answer the rest of the performance areas as Not rated IMPORTANT: The follow-up audit report will be populated with the information captured in the previous SPA

33 Producer meets self-declaration criteria by the time a follow up is due Do I keep previous audit environment or can I shift to SPA? The producer needs to send a small producer self-declaration to the RSP holder The audit request selects SPA environment The auditor conducts a follow up with the SPA tool: o Verify performance areas with findings from previous audit o Answer the rest of the performance areas as Not rated IMPORTANT: The follow-up audit report will be populated with the information captured in the previous audit

34 Audit Ratings and Follow-up audits Depending on the following criteria an onsite or desk review follow up audit may be conducted: - On-site follow-up audit: when the audit is rated C or below. The follow-up audit needs to be requested within 12 months. Same procedure as for industrial audit. - Desk review: The SPA follow-up may generate a desk review under the following conditions: o The overall rating of the audit is C o It cannot be the second consecutive follow-up desk-review o Findings have been identified only in the below questions and related documentary evidence: 1.3: Overview of significant business partners 5.3: Social benefits legally granted 7.3: OHS risk assessment 7.4: Overview of workers being trained on OHS 7.7: Visible potential hazards through signs and warnings 7.10: Electrical installations and equipment periodically checked 9.4: Young workers being trained on OHS 12.1: Valid environmental permits

35 Audit Ratings and Follow-up audits - No follow-up audit is required for Small producers rated with B or above - Producers are expected to have sufficient maturity to make improvements without the need for an amfori BSCI follow-up audit. As a general rule : - When there is a change in the audit environment between full and follow-up audit: the auditor will verify ONLY those PA s in which there were findings. - The findings are copied over into the follow-up report under the show previous findings tab without numbers and regardless of the audit environment. The auditor will only verify the questions in which there were findings.

36 Contingencies : What happens if? 1) If the Auditor detects that the producer is counterfeiting, misreporting, hiding or forging data to be recorded as Small Producer, he will trigger the Zero Tolerance protocol. These constitute cases of misrepresentation. 2) If the producer is not able to provide satisfactory evidence to meet the requirements of Small Producer, the auditor aborts the audit request. The audit will be shown in progress of producer as Aborted.

37 Summary What did we demonstrate?

38 Conclusion We demonstrated: What is the Small Producer Assessment ( SPA ) What are the specificities of the SPA? The Self Declaration and its validation process Who can request audits against the SPA Environment? How are the SPA audits reflected in the producers profiles Deadlines and rules to be respected

39 Helpful Resources The amfori Academy : The BSCI Platform : - Resources section The amfori Secretariat : Info@amfori.org The amfori website : 39 Title of Presentation

40 Video Tutorial THANK YOU