Risk assessment tool methodology - Sedex

Risk assessment tool methodology Briefing note for Radar users Version 1.21, November 2020

Version 1.21, November 2020

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Sedex risk assessment tool methodology briefing note

This briefing note details the methodology used to produce risk scores within Radar, the Sedex risk

assessment tool. Users may also find our Frequently asked questions (FAQs), Radar Guidance, and

Guide to risk assessment in supply chains documents helpful.

About Radar

Radar is an online tool designed to help Sedex members globally to identify key and relative labour,

human rights, governance and environmental risks across their business and supply chains. It does

this by combining inherent country and industry sector risk information with the data collected from

members within the Sedex platform. Sedex members can use the information available in Radar to

help identify and ultimately mitigate risk by engaging with the sites within their own business

operations and supply chains that are most likely to be exposed to labour, human rights,

governance and environmental risks.

Acknowledgments

Radar and the risk assessment methodology was developed by Anthesis, with support1 from Ergon

Associates and Dr. Alexandra Channer. We would also like to acknowledge the contributions of the

Sedex members and AACs who contributed to our Project Advisory Group.

1 Disclaimer: While other organisations and individuals have supported the development process, the final outputs,

methodology and functionality of Radar are the responsibility of Sedex and Anthesis.

https://www.sedex.com/new-saq-and-risk-assessment-tool-hub-buyers-auditors/


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About Anthesis

Anthesis seeks to make a significant contribution to a world which is more resilient and productive,

by working with cities, companies, and other organisations to drive sustainable performance.

Anthesis develops financially driven sustainability strategies, underpinned by technical expertise

and delivered by innovative collaborative teams across the world.

Their services include risk assessments and financial due diligence, supply chain mapping,

responsible procurement policies and strategy development, supplier engagement, assurance and

verification, sustainable packaging and plastics and ICT tools for sustainability.

Anthesis works across industries as varied as food and drink, agriculture, financial services,

packaging, chemicals, and clothing and apparel. They bring together 500+ experts operating in 40

countries around the world with offices in the UK, Germany, France, Ireland, Italy, Spain, Sweden,

Finland, the USA, Canada, China, South America, the Philippines and the Middle East.

www.anthesisgroup.com

About Ergon Associates

Ergon is a specialist consultancy in the field of labour and human rights, gender, employment and

development. It undertakes strategic consultancy, diagnostic analysis, risk assessments, policy

research and training for a diverse range of clients including international companies, international

organisations, development finance institutions (DFIs), and multi-stakeholder initiatives.

www.ergonassociates.net

About Dr. Alexandra Channer

Alex is a consultant in labour and human rights, with a background in political communications. She

specialises in risk assessments, analysis and research, and regularly delivers anti -slavery training for

UK businesses. Alex’s clients include companies, international organisations, multi-stakeholder

initiatives and certification schemes.

www.alexandrachanner.co.uk

http://www.anthesisgroup.com/

http://www.ergonassociates.net/

http://www.alexandrachanner.co.uk/


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Contents 1. Inherent risk ................................................................................................................................................................................ 5

1.1 Country risk ...................................................................................................................................................................... 5

1.2 Sector weights................................................................................................................................................................8

1.3 Combined inherent risk scores.........................................................................................................................10

2. Site characteristics scores ......................................................................................................................................................11

2.1 Site characteristic scores ......................................................................................................................................11

3. Combined risk scores ........................................................................................................................................................... 12

4. Topic risk indicators................................................................................................................................................................ 12

5. Vulnerable workers ................................................................................................................................................................ 13

6. Management Controls ....................................................................................................................................................... 13

7. Limitations ..................................................................................................................................................................................... 15

8. Supplementary documents ............................................................................................................................................16

Appendix 1: Country Indicators by topic........................................................................................................................ 17

Appendix 2 – Sectors..................................................................................................................................................................... 22

Primary production – ISIC codes ..................................................................................................................................... 22

Appendix 3 – Management Controls ............................................................................................................................... 23


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1. Inherent risk Inherent Risk Scores, produced on a scale of 0-10, where 10 is high risk, are a combination of

Country, Sector and ‘High Risk Goods’ scores.

1.1 Country risk

The country risk indicators are drawn from publicly available sources. They are chosen according to

the following attributes:

• Coverage – they must cover the majority of the countries and include coverage for each

region;

• Reliability – they must be from reliable sources;

• Comparability – the numbers for each country must be generated in a comparable way;

• Relevance – they must be relevant to the Sedex risk topics (i.e. ETI base code clauses,

Business Ethics and the Environment).

Assignment

Indicators are assigned to the relevant risk topic (e.g. working hours, regular employment etc.). See

Appendix 1 for the list of indicators used.

Normalising

The original indicators are on a variety of scales. The indicators are therefore normalised on a 1 to 6

scale, 6 being high risk. For each individual indicator the following process is followed:

• The indicator is inverted if needed so that a high score is high risk;

• The scores are re-scaled to a 1 to 6 scale, maintaining the original distribution.

Custom indicators

Where there were no suitable indicators to address a particular topic, custom indicators were

produced based on data sources that met the selection criteria above. See Appendix 1 for more

details.

Forced Labour Index

There were no public indicators that adequately covered the risk of forced labour in supply chains

so Sedex commissioned Ergon Associates to develop a Forced Labour Index.

The Forced Labour Index provides an assessment of forced labour risks for four broad economic

sectors (agriculture, food processing, manufacturing and logistics) for each country in the overall

risk assessment tool. The final assessment has two components: a country context risk score based


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on third party data sources and a sector-specific score based on focused desk research. See the

Forced labour index methodology briefing note.

Filling Gaps

While all indicators have good coverage, there are some indicators that do not cover all countries.

Values are generated for these missing countries as follows:

• Countries are grouped geographically using the UN geographic regions

• The average (arithmetic mean) value for the country group is calculated

• The average is assigned to the countries with missing scores

Summary of topics

The risk scores cover topics derived from the Sedex / SMETA clauses. These are organised by

overarching pillar.

Topic Description Country risks

Pillar: Labour standards & rights

Wages Wages to meet a workers' basic living needs and provide some discretionary income. Workers should be provided

written information about their wages before entering employment and each time they are paid.

Does the country have a minimum wage, is it above the poverty line and is it enforced? What percentage of the

population lives below the poverty line?

Children &

young Workers

There shall be no new recruitment of child

labour, children should be enabled to attend and remain in quality education. No children or young persons under 18

shall be employed at night or in hazardous conditions.

Does the legal framework adequately

protect children and does the state have the capacity to enforce it? How prevalent and serious are adverse impacts and

infringements in the country?

Forced labour Workers should work voluntarily and without threat of penalty of any kind.

Debt-bondage, indentured labour and the use of prison labour are all forms of forced labour.

Where countries receive migrants, do they come through high-risk recruitment

channels? How well is the rule of law enforced? What is the overall level of poverty? How large is the informal

workforce? How vulnerable are minorities? What anti-trafficking measures are in place?

Regular

employment

Regular employment means that all

workers are provided with a legally recognised employment relationship and that every effort is made to ensure that employment is continuous, and that

employers obligations shall not be avoided through use of alternative contracting arrangements.

What proportion of those in employment

receive wages or salaries?

Gender Workers should face no distinction,

exclusion or preference based on their gender. Despite progress over the last

To what extent are there gender

inequalities in reproductive health, empowerment, and economic status?

https://www.sedexglobal.com/wp-content/uploads/2020/02/Briefing-note-Forced-labour-Index-methodology.pdf


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century, women remain disproportionately exposed to the most

vulnerable situations in a workforce.

What disparities are there in labour force participation and pay? Does the law

mandate equal remuneration, non-discrimination? Does the government support child-care and maternity leave?

Can a woman pursue similar jobs to men?

Discrimination Workers should face no distinction, exclusion or preference based on a personal or physical characteristic which deprives a person access to equal

opportunity or treatment in any area of employment. Excludes gender-based discrimination (covered by the Gender

topic).

To what extent are minorities accepted in a country? Are individuals free to practice and express their beliefs? Do laws, policies, and practices guarantee equal

treatment?

Freedom of association and collective

bargaining

Freedom of Association means allowing workers to form and join trade unions, worker associations and worker councils

or committees of their own choosing. The purpose is to have good two-way communication between management

and workers.

How much equality of opportunity and freedom from economic exploitation is there? Are trade unions recognised and

active? How cooperative are labour-employer relations?

Working hours Working hours must meet legal requirements and comply with collective agreements to provide workers sufficient

rest periods and include at least one day off each week on average. Working hours in any 7-day period should not exceed 60

hours unless in exceptional circumstances.

What are average hours worked in the country?

Pillar: Health & safety

Health, safety &

hygiene

Workers should be provided a working

environment safe from hazards, and measures are in place to prevent accidents and injury whilst at work.

Workers receive regular recorded health and safety training and have access to clean and safe facilities and

accommodation, where provided.

To what extent are regulatory mechanisms

in place to protect workers? How prevalent are workplace injuries?

Pillar: Business Ethics

Business Ethics The Business Ethics index demonstrates the

prevalence of ethical business management, for the benefit of workers.

How common is bribery of public

institutions by firms?

Pillar: Environment

Energy & emissions

Energy and emissions tracks vulnerability to the physical and transitional risks associated with climate change.

How large are a nation’s emissions of climate-forcing gases and particles?

Biodiversity Biodiversity tracks the protection afforded

to conserve biodiversity and the extent of recent deforestation.

To what extent is a country’s biodiversity

protected by law? How much tree cover loss has there been?

Waste & pollution

Waste & pollution tracks air quality, treatment of wastewater and heavy

metal contamination.

How bad is pollution in the form of air quality, heavy metals and wastewater?

Water Water measures the observed water stress

of a region.

What is the ratio of total withdrawals to

total renewable supply of water?


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The pillars and topics above are included in the main inherent risk scores. The following indicators

are also used within Radar:

Index Description

Migrant Risk Index

This index represents an assessment of the likelihood that migrant workers, both internal and international, in a given country will be more vulnerable to conditions of labour exploitation.

The first component provides an indication of vulnerability for international migration, based on an assessment of labour and governance conditions in both the origin and destination country that would increase the risk of labour exploitation for migrants. The second component

represents the likelihood of internal migrants being more at risk of labour exploitation. See ‘Briefing note: Migration risk index scoring methodology’.

1.2 Sector weights

The country risk ratings (as described above) are weighted at the topic level by sector to generate

sector-weighted country risk scores – to highlight risks specific to each sector. The sector weighting

is applied first at an ISIC “section” level (21 sections) and then at an ISIC “division” level (99 divisions)

where risks vary within the sector.

Initial sector weights

The sector risk scores derive from independent, original research and also draw on existing sources

of information including Eurostat, Kepler Cheuvreux, UNICEF Children’s Rights Atlas, United Nations

Environment Programme Finance Initiative and US Sustainability Accounting Standards Board,

which were selected according to the following attributes:

• Coverage – across the majority of sectors;

• Reliability – from reliable sources;

• Comparability – to enable the sector rating to be generated in a comparable way;

Sector scores assess the degree to which negative impacts on people or the environment are

considered likely in a specific sector. Each variable represents a qualitative assessment of the risks

within the sector.

Sectors are assessed based on the following factors:

• Organisations’ size as an indicator of the degree of due diligence likely to occur and

sophistication of processes and management

• Workforce skill level as an indicator of worker vulnerability to exploitation

• Labour intensity as an indicator of number of workers that the organisation manages

• Type of work as an indicator of skill level required and hazards faced

• Risks observed as an indicator of evidence of risk to people or environment in the sector

The measures range from a value of 0, which indicates no additional risk, to a value of 4, which

indicates extreme risk. The table below shows how these scores were derived, with incidental

scoring 0 and extreme scoring 4.

Risk level Sector organisations

Workforce profile Labour intensity

Type of work Risks observed in majority of


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countries / across sector

Extreme Most

operations are smaller scale, including

family and artisanal activities, or subcontracting

Most workers are low-

skilled and may include seasonal, temporary or migrant

workers

High labour

intensity

Most

operations require low-skilled manual

labour

Evidence of

severe negative impacts typical across sector

and/or major sourcing countries

Major Most

operations are smaller scale, including

family and artisanal activities, or

subcontracting

Most workers are low-

skilled and may include seasonal, temporary or migrant

workers

High labour

intensity

Most

operations require low-skilled workers

Evidence of

severe negative impacts observed in some parts of

the sector and/or in some sourcing countries

Moderate Most operations are large scale,

but there are small-scale elements or

subcontracting

Most workers are high skilled, but the business may also rely

on some lower skilled workers, including seasonal, temporary

or migrant workers

Mostly low labour intensity,

but some elements may require

higher labour intensity

Most operations are mechanised or

automated but some elements

require low-skilled manual labour

Evidence of severe negative impacts observed

in isolated cases in the sector and/or in particular

sourcing countries

Minor Large scale

sophisticated operations, corporate

multinational operations

Most workers are high

skilled, including temporary or migrant workers

Low labour

intensity common across

sector

Most

operations mechanised or automated

Evidence of minor

negative impacts observed in isolated cases

across the sector and/or major sourcing countries

Incidental Large scale sophisticated

operations, corporate multinational

operations

Most workers are high skilled, including

temporary or migrant workers

Low labour intensity

common across sector

Most operations

mechanised or automated

Evidence of minor negative impacts

observed in isolated cases in some parts of the

sector and/or some sourcing countries

See the supplementary ‘Sector and division scores’ document for explanations of the sectors based

on the scoring criteria.

Forced Labour Index

The Forced Labour Index includes a sector (division-level) risk for a selection of key sectors as

follows:

• Primary agriculture;

• Food and agri-processing;

• Light manufacturing (textiles & garments, shoes, electronics, home furniture and toys);

• Transport and logistics.



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Anthesis’s sector weights (as above) are used for those divisions not covered by the Forced Labour

Index. See Annex 3 of the Forced labour index methodology briefing note for details of the specific

ISIC divisions included within the Forced labour index.

Primary sectors

Users of the tool can filter suppliers to only show producers of primary materials such as agricultural

sites and mining sites. This is based on the site’s ISIC code. ISIC codes associated with primary

production are listed in Appendix 2.

High Risk Goods

A list of ‘High Risk Goods’ by country of production was produced according to the table below:

Risk Topic Author and source

Forced Labour Forced labour List of Goods Produced by Child Labor or Forced Labor (ILAB, US Department of Labor)

https://www.dol.gov/agencies/ilab/reports/child-labor/list-of-goods

Child Labour Children & young workers

Deforestation Biodiversity Forest 500 (Global Canopy Project)2 forest500.org

Seafood Slavery Forced labour Seafood Slavery Risk Tool (Monterey Bay Aquarium

Seafood Watch Program, Liberty Asia, Sustainable Fisheries Partnership) http://www.seafoodslaveryrisk.org/

Where the combination of country and site activity (ISIC class) indicates the presence of a high risk

good then an additional score of 2 is given. This is reduced to 1 for Forced Labour for those classes

covered by the Forced Labour Index as this already includes a scoring element for this risk.

1.3 Combined inherent risk scores

Final inherent scores are on a scale of 1 to 10.

Country score (1 to 6) + Sector score (1 to 4) + ‘High Risk Good’ score (0 to 2)

If the score exceeds 10 due to the presence of a ‘High Risk Good’ then it is limited to 10.

The combined inherent risk score is equal to the average (mean) of the underlying topics.

Averaging is by topic rather than pillar to avoid giving undue weighting to the indicators underlying

the pillars with only one topic (Health and Safety, and Business Ethics).

2 This data was obtained under licence from Forest 500 (forest500.org), a project of Global Canopy

(www.globalcanopy.org). They were obtained on 13/02/2020, at which point they were last updated on 12/02/2020. More up-to-date data may be available from Forest 500.

https://www.sedexglobal.com/wp-content/uploads/2020/02/Briefing-note-Forced-labour-Index-methodology.pdf



https://forest500.org/

http://www.seafoodslaveryrisk.org/

http://www.globalcanopy.org/


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2. Site characteristics scores The site profile (from Sedex Advance – e.g. worker numbers) and site characteristics data (from the

SAQ) are used to produce additional risk scores: Site Characteristics scores and Management

Controls scores.

2.1 Site characteristic scores

SAQ and Site profile information provides data on physical characteristics of the sites and the types

of workers present. In this sense, it is used for enhancing the understanding of the likelihood of

particularly vulnerable workers. Focusing on worker vulnerability brings certain code clause into

focus too (e.g. gender discrimination, forced labour, regular employment).

Within Radar, a subset of the questions asked to a site are used to produce “hard data” about the

type of workers, how they are hired and employed, use of hazardous chemicals, and other key

characteristics of a site. This subset of questions is assigned to the relevant pillars. Scores are given

each answer according to their contribution to the pillar risk.

The combined site characteristic risk score is the average of the pillar scores.

There is no positive scoring for answers that might mitigate a risk within the Site Characteristic risk

score – management controls are scored in the management controls section. This is to maintain

the robustness of the score; to minimise the likelihood of incorrectly answered questions altering

scores, and to maintain a clear distinction between risks and (potential) mitigation of those risks.

Definitions

The following table provides an overview of what each topic means in the context of site

characteristics.

Pillar Description of risk

The descriptions provide an overview of the types of issues and questions considered – the list of issues and

questions considered is not exhaustive.

Labour

standards &

rights

• Forced labour: assessed by the presence of particularly vulnerable workers

(including migrant workers, seasonal workers and temporary or agency workers)

and whether they are employed under unfavourable or exploitative employment

terms. It also takes into account the use of labour providers and the payment of

any fees.

• Freedom of association: are workers represented by a trade union or collective

bargaining and have there been any recent strikes?

• Wages: risk is assessed on payment method and payments of overtime premiums.

• Children & young workers: risk is assessed on self-reporting of children and young

people being employed and on the presence of family accommodation.

• Regular employment: workers are employed under potentially exploitative terms.

The score is determined by the types of contracts used and the use of

subcontracting that reduces visibility of employment terms.


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Pillar Description of risk

• Discrimination: The mix of workers, including women and migrant workers, is likely

to give rise to discrimination; the number of women in management roles, wage

differentials, grievance and absence rates.

Note that the following topics are not given a score as they are not easily assessed

through self-reported answers:

• Working hours

• Business ethics

Health and

safety

• Are there off-site or young workers?

• Do workers have access to hazardous chemicals or machinery?

• Are workers provided with accommodation or transport?

• Are there workers who are not fluent in the local language?

• Does the nature of the building present a high risk?

Environment • Energy & emissions: Does the site use particularly polluting energy sources or use a

lot of energy?

• Biodiversity: Are business operations likely to impact on local flora and fauna? This

is determined by the types of pollution the site creates and self-reported identified

impacts.

• Water, waste & pollution: Is the site likely to be particularly polluting at a local

level? This uses answers relating to the types of pollution produced and energy

sources used.

Normalisation

According to the answers given, each site ends up with a “raw” score for each pillar. These scores

are then normalised 1 to 10 based on the maximum possible score for each pillar.

The site characteristics scores are not normalised by supplier type, so business types who are asked

relatively few questions (and present relatively low risks), such as agents, may not be able to score

the maximum score of 10 against some topics. This is to ensure comparability between all supplier

types – only those that have the highest risks will get the highest scores.

3. Combined risk scores The final scores are on a scale of 0-10, where 10 is high risk. They are a combination of:

• Country, sector and ‘High Risk Goods’ scores (“Inherent risk”)

• Site profile & SAQ scores (“Site characteristics risk”)

The combined total risk score is the average of the inherent risk score and the overall site

characteristics score.

These are categorised into High, Medium and Low risk according to the underlying scores out of 10.

4. Topic risk indicators

In order to brings certain code clause into focus too (e.g. gender discrimination, forced labour,

regular employment) the detailed site question and answer tables available within the tool contain

a list of all topics associated with a particular question. These are given a risk rating of minor, major

and critical based on expert knowledge. If a site gives an answer to a particular question that gives

rise to a risk then the topics that are potentially at-risk are displayed with their risk rating.


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These may be used as follows:

• Minor: the answer to the question may have a minor impact on this risk issue. It may be

helpful to check how the reporting business is addressing related risks.

• Major: the answer to the question may have a moderate impact on this risk issue. It may be

necessary to check how the reporting business is addressing related risks.

• Critical: the answer to the question may have a significant impact on this risk issue. It is

essential to check how the reporting business is addressing related risks.

5. Vulnerable workers

The UN Guiding Principles on Business and Human Rights (UNGPs) - a set of guidelines for companies

to prevent, address and remedy human rights abuses - highlight the need for businesses to pay

particular attention to those that may be at heightened risk of becoming vulnerable or

marginalised, and with due regard to the different risks that may be faced by women and men.

The following indicators are used to determine the prevalence of particularly vulnerable workers

using the supplier data available from the Site Profile and SAQ in Sedex.

Women

• What proportion of total workers are female?

• What proportion of female workers are migrant?

• What proportion of female workers are temporary or agency?

• Does the site employ young females?

Migrant Workers

• What proportion of workers are migrant?

• What proportion of migrant workers are temporary and/or agency?

Off-site workers

• What proportion of total workers are off-site workers?

• What proportion of off-site workers are homeworkers?

Non-permanent employment

• What proportion of total workers are temporary and agency workers?

• What proportion of total workers are seasonal workers?

• Does the Site employ Young Workers or apprentices, trainees or interns?

The supplementary guidance document ‘Risks associated with Vulnerable Worker categories’

details the risks faced by the four categories of worker across the topics covered by the tool (e.g.

forced labour, wages etc.).

6. Management Controls Summary



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The methodology for scoring the Management Controls question set distinguishes between different

parts of the management system. This approach aims to reflect the practical journey that many

businesses take as they build a mature system to manage their impacts. The goal is to reward

businesses that are striving to develop a fully integrated management system.

At the highest level, each site receives a score of 0 to 5 (where 5 is the highest and best score) for

the management controls they have in place for each of five pillars. The pillars are:

• Labour

• Health and safety

• Environment

• Business ethics

• Supply chain management

Scoring framework

The management control section in the risk tool is organised in three parts and the scoring system

follows this framework:

1. Management system controls

2. Management system sub-controls

3. Management system question set

The table below shows these controls:

Management system controls

Sub-controls Policy & Resources

Processes

Monitoring

Training & improvement

Tier 1 - Basic Relevant

policies

HR processes,

communication, structures

Auditing, other

checks

Training

Tier 2 - Enhanced Staff resources applied

Certification KPIs and data collection

Improvement in relation to

suppliers or others

1. Controls: A different weight or significance is given the different controls of the management

system. As developing a mature system takes time and most businesses begin with policy

commitments, the scoring reflects this approach. Thus, greater weight is given to Monitoring

and Data Capture than to Policy and Resources (see following section “Scoring in more

detail”).

2. Sub-controls: Different scores are given to the sub-controls within each management system

control. At each stage, these sub-controls are divided between those that are ‘basic’ or Tier

1, and those that are ‘enhanced’ or Tier 2. A ‘basic’ sub-control receives a lower score than

an ‘enhanced’ sub-control.

A ‘basic’ sub-control is essential as it creates a foundation for a healthy management system

(e.g. a policy commitment, training, auditing); however, it requires fewer resources (people,


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finance) and less time, leadership and commitment, than an ‘enhanced’ sub-control (e.g.

certification, KPIs, supplier relations).

‘Basic’ sub-controls are not sufficient alone to assure that reasonable due diligence is taking

place; a combination of ‘basic’ and ‘enhanced’ sub-controls is required.

3. Questions: Different scores are given to the questions which assess how a business is

performing against each management system control and sub-control. Questions are scored

according to the following framework:

Basic: Represents a response that is a necessary, first step, or an essential building block of due

diligence, but not sufficient alone to constitute reasonable due diligence. A business providing

positive answers to a majority of ‘basic’ questions is developing a solid foundation for risk

management.

Good: Represents a response that is considered good practice, when combined with other actions

to constitute reasonable due diligence. A business, providing positive answers to a majority of

‘good’ questions is striving hard to meet standards and improve its performance.

Advanced: Represents good practice, when combined with other actions to constitute reasonable

due diligence. A business, providing positive answers to a majority of ‘advanced’ questions is

forecasting ahead, taking preventative action, listening to workers and supporting suppliers.

Scoring in more detail

Each control in place contributes points towards the final score for the combination of pillar and

control type. The number of points awarded is determined according to the framework above, with

more advanced controls scoring more points. For some types of control, such as certification, the

total number of points that can be awarded is limited e.g. a company with five certifications in

place relating to a particular pillar will score the same as one that has two in place. This is to avoid

giving too much weight to particular controls.

The final scores (0 to 5) are determined by normalising the scores against the maximum possible

score achievable given that site’s worker profile and other characteristics as some controls (e.g.

review of labour provider practices) may not be relevant.

When combining individual control scores into one pillar score the following weightings are applied

to represent the relative difficulty in implementing the controls:

Total pillar score

Policy & resources

Processes Monitoring & data capture

Training & improvement

100% 20% 20% 25% 35%

7. Limitations 7.1 Data sources

While we consider that the data sources used are credible and have been compiled by experts,

there may be distortions or incompleteness in the data sources used, some of which are collected


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sporadically, or which incorporate judgements by the expert agencies concerned. Countries scores

do not contain a desk research component except where the underlying indicator included a desk

research. The desk research carried out for sector scores does not claim to be exhaustive and may

be limited based on the availability of publicly available information about risks in a specific sector.

While the list of potential High Risk Goods and the associated risks is collected from key, credible

sources including the List of Goods Produced by Child Labor or Forced Labor (US DOL) and Forest

500 (Global Canopy) it is by no means exhaustive. The absence of a High Risk product flag should

not be interpreted as confirmation that the product is not associated with a key risk.

7.2 Inherent risk scores

In the tool, inherent risk scores are presented as the sum of country and sector risks. These two risk

scores are considered separately to allow for the swift processing of weighted risk scores. However

please note that a limitation to this approach is that it loses the ability to consider specific reports

and circumstances that affect a specific known country/sector risks. The Forced Labour index is the

only index used within the tool that considers specific sectoral in-country combinations. Where

country / sector combinations suggest high risk scores, users should carry out additional research to

confirm the country situation.

7.3 Site Profile and SAQ information:

The Site characteristics and Management Controls scores, as well as information displayed in the

reports that show data relating to vulnerable workers, relies on self-declared information entered by

the supplier to their Site Profile and SAQ within the Sedex platform. This information is not verified as

being accurate and should be considered in conjunction with other sources of information, such as

data from audit reports and known industry norms.

7.4 Interpreting and using findings

The tool is designed to provide an indication of where risk can be highest within countries and

different sectors generally, but this should not be equated with certainty. Risk scores should be

regarded as a preliminary exercise. Country scores do not factor in regional variations. Where

countries and sectors are associated with a higher risk, there is a need for further due diligence to

verify risks and investigate the particular circumstances on the ground.

8. Supplementary documents

The following documents available in the Radar Hub expand on specific areas within this

methodology document:

1. Briefing note: Forced Labour index methodology

2. Briefing note: Migration risk index scoring methodology

3. Sector and division risk scores

4. Risks associated with ‘Vulnerable Worker’ categories


Appendix 1: Country Indicators by topic

Topic Indicator Indicator Description Source Data

(publication) year

Gender Gender

inequality Index

The GII measures gender inequalities in reproductive health,

measured by maternal mortality ratio and adolescent birth rates; empowerment, measured by proportion of parliamentary seats occupied by females and proportion of adult females and males

aged 25 years and older with at least some secondary education; and economic status, expressed as labour market participation and measured by labour force participation rate of female and

male populations aged 15 years and older. It measures the human development costs of gender inequality. Thus the higher the GII value the more disparities between females and males and the

more loss to human development.

UN 2018

(2019)

Gender Global Gender Gap

Economic Participation and Opportunity. Measures: + Ratio Female labour force participation: male + Wage equality for similar work

+ Ratio Female estimated earned income over male + Ratio - female legislators, senior officials and managers over male + Ratio - Female professional and technical workers over male

World Economic Forum

2018 (Dec 2018)

Gender Women, Business and

the Law Custom subset

Does the law mandate equal remuneration, non-discrimination? Does the government support child-care and maternity leave?

Can a woman pursue similar jobs to men?

World Bank 2019 (Feb 2020)

Forced Labour

Forced Labour Index

Custom indicator: Ergon Forced Labour Index. The score represents the risk of forced labour in a given country based on a composite

of indicators related to rule of law, poverty, informality, anti-trafficking regulation, treatment of minorities and risks to migrants. This was enhanced by desk research on known instances of forced

labour conducted for four economic sectors (agriculture, food processing, manufacturing and logistics) for each country.

Ergon Associates Various (2019)

Freedom of Association

and Collective Bargaining

G4 Personal Autonomy and

Individual Rights

Measures individuals’ equality of opportunity and freedom from economic exploitation. Index used in FH indicator. 4 greatest

degree of freedom.

Freedom House 2018 (2019)


18

Freedom of Association and

Collective Bargaining

Trade Union Activities (ITUC Global Rights

Index)

Ranks 139 countries against 97 internationally recognised indicators to assess where workers' rights are best protected, in law and in practice. Trade Union Activities is one of the composite indicators.

Questionnaires are sent to 331 national unions in 163 countries to report violations of workers’ rights by indicating relevant details. Regional meetings with human and trade union rights experts are

held where the questionnaire is disseminated, explained and completed. The ITUC contacts unions directly by phone and email when it becomes aware of violations to confirm relevant facts.

Legal researchers analyse national legislation and identify sections which are not adequately protecting internationally recognised collective labour rights.

ITUC Global Rights Index, Geneva, Switzerland: The

International Trade Union Confederation

(ITUC).

2019 (Jun 2019)

Freedom of

Association and Collective

Bargaining

Cooperation in

labour-employer relations

Assessment of how labour-employer relations are characterised [1

= generally confrontational; 7 = generally cooperative]

Global

Competitiveness Index 2017-2018

2019

(Sep 2019)

Health, safety & hygiene

OSH indicator Addresses the extent to which a nation has implemented the legislative and regulatory mechanisms necessary to ensure the proper protection of its workforce from the hazards arising out of work

The UL Safety Index

2018 (2018)

Health, safety

& hygiene

Fire, Heat, and

Hot Substances

Fires heat hot substances rating. unintentional injuries resulting from

fires, smoke, and several other hazards

The UL Safety

Index

2018

(2018)


Exposure To Mechanical Forces

Exposure to mechanical forces rating. measures injuries and fatalities caused by thrown, projected, or falling objects; a person striking against objects; and being caught, crushed, jammed, or

pinched in or between objects

The UL Safety Index

2018 (2018)


Poisoning Indicator

Poisonings rating. classifies injuries due to ingesting drugs, food, or toxic chemicals

The UL Safety Index

2018 (2018)

Children & Young

Workers

Children's Rights in the

Workplace: Legal framework

The Children’s Rights in the Workplace Index measures the extent to which countries eliminate child labour and provide decent work

for young workers, parents and caregivers. Legal framework indicators measure the measure the state's commitment to implement its obligations to protect children.

Global Child Forum and

UNICEF

Various (2018)

Children &

Young Workers

Children's

Rights in the Workplace: enforcement

Enforcement indicators measure the state's capacity to implement

its obligations.

Global Child

Forum and UNICEF

Various

(2018)

Children & Young

Workers

Children's Rights in the

Workplace: outcomes

Outcome indicators capture adverse impacts and infringements by both state and non-state actors.

Global Child Forum and

UNICEF

Various (2018)


19

Wages Whether the country has a minimum

wage, whether that wage is above the

poverty line, and whether it is enforced.

Custom indicator: This uses information from the US Bureau of Democracy, Human Rights and Labor. Countries are scored according to whether they have a minimum wage, whether it is

above the poverty line and whether it is enforced.

US Bureau of Democracy, Human Rights and

Labor

2018 (2018)

Wages This reflects the

% of the population living below the

poverty line ($5.50) for upper-middle

income countries

Custom indicator: The World Bank provides data on the %

(headcount) of population with an income below various poverty levels. $5.50 was chosen as it is the poverty line for upper-middle income countries, is well above the $1.90 absolute poverty line and

is more approaching a "living wage"

World Bank 2017

(2019)

Working Hours

Mean weekly working hours actually

worked per employee

Mean weekly hours actually worked per employee by sex and economic activity

ILO 2017, 2018 and 2019

Discrimination Group Grievance

This focuses on divisions and schisms between different groups in society – particularly divisions based on social or political

characteristics – and their role in access to services or resources, and inclusion in the political process. This is part of the Fragile States Index.

Fund for Peace 2019 (Apr 2019)

Discrimination GSI Factor 4:

Disenfranchised groups

Same sex rights, Acceptance of immigrants, acceptance of

minorities

GSI 2018

(Jul 2018)

Discrimination D2. Are individuals free

to practice and express their religious faith or

non-belief in public and private?

Are registration requirements employed to impede the free functioning of religious institutions? Are members of religious

groups, including minority faiths and movements, harassed, fined, arrested, or beaten by the authorities for engaging in their religious practices? Is state monitoring of peaceful religious activity so

indiscriminate, pervasive, or intrusive that it amounts to harassment or intimidation? Are religious practice and expression impeded by violence or harassment by nonstate actors? Does the government

appoint or otherwise influence the appointment of religious leaders? Does the government control or restrict the production and distribution of religious writings or materials? Is the construction



20

of religious buildings banned or restricted? Does the government place undue restrictions on religious education? Does the government require religious education? Are individuals free to

eschew religious beliefs and practices in general?

Discrimination F4. Do laws, policies, and practices

guarantee equal treatment of

various segments of the

population?

Are members of various distinct groups—including ethnic, religious, gender, LGBT, and other relevant groups—able to effectively exercise their human rights with full equality before the law? Is

violence against such groups considered a crime, is it widespread, and are perpetrators brought to justice? Do members of such groups face legal and/or de facto discrimination in areas including

employment, education, and housing because of their identification with a particular group? Do noncitizens—including migrant workers and noncitizen immigrants—enjoy basic

internationally recognized human rights, including the right not to be subjected to torture or other forms of ill-treatment, the right to due process of law, and the freedoms of association, expression,

and religion? Do the country’s laws provide for the granting of asylum or refugee status in accordance with the 1951 UN Convention Relating to the Status of Refugees, its 1967 Protocol,

and other regional treaties regarding refugees? Has the government established a system for providing protection to refugees, including against refoulement (the return of persons to a

country where there is reason to believe they would face persecution)?


Regular employment

Wage and salaried workers, total

(% of total employment)

Wage and salaried workers (employees) are those workers who hold the type of jobs defined as "paid employment jobs," where the incumbents hold explicit (written or oral) or implicit

employment contracts that give them a basic remuneration that is not directly dependent upon the revenue of the unit for which they work.

World Development Indicators

World Bank / ILO

2019

Business

Ethics

Irregular

payments and bribes

Average score across the five components of the following

Executive Opinion Survey question: In your country, how common is it for firms to make undocumented extra payments or bribes connected with (a) imports and exports; (b) public utilities; (c)

annual tax payments; (d) awarding of public contracts and licenses; (e) obtaining favourable judicial decisions? In each case, the answer ranges from 1 [very common] to 7 [never occurs]

Global

Competitiveness Index 2017-2018

2017/18

(Sep 2017)

Biodiversity BDH -

Biodiversity & Habitat (EPI)

Marine protected areas, biome protection, species protection

index.

Yale EPI 2018

(Jan 2018)

Biodiversity TCL – Forests (EPI)

The total area of tree loss in areas with greater than 30% tree canopy cover divided by the forest cover in the year 2000.

Yale EPI 2018 (Jan 2018)


21

Energy & Emissions

CCE - Climate & Energy (EPI)

CO2 total (50%), CO2 power (20%) , methane (20%), N20, Black carbon

Yale EPI 2018 (Jan 2018)

Water Water Stress Index

A measure of the extent to which the raw material and source location are subject to observed water stress.

World Resources Institute

2014

Waste and

pollution

AIR - Air Quality Air quality indicator at country level. Three indicators of exposure to

air pollution, measuring PM2.5 exposure, PM2.5 exceedance and HAP. These indicators capture a substantial portion of the global variation in health impacts due to air quality, either because of the

direct threat posed by these pollutants or because they are correlated with threats posed by other pollutants (World Health Organization, 2016b).

Yale EPI 2018

(Jan 2018)

Waste and

pollution

HMT_Heavy

Metals

The Heavy Metals issue category measures the direct impacts of

heavy metal pollution exposure on human health in each country.

Yale EPI 2018

(Jan 2018) Waste and

pollution

WRS - Waste

water treatment (EPI)

Measures wastewater treated weighted by connection rate. Yale EPI 2018

(Jan 2018)


22

Appendix 2 – Sectors The ISIC section headings are:

A - Agriculture, forestry and fishing L - Real estate activities

B -Mining and quarrying M - Professional, scientific and technical activities

C - Manufacturing N - Administrative and support service activities

D - Electricity, gas, steam and air conditioning

supply

O - Public administration and defence; compulsory social security

E - Water supply; sewerage, waste

management and remediation activities

P - Education

F - Construction Q - Human health and social work activities

G - Wholesale and retail trade; repair of motor

vehicles and motorcycles

R - Arts, entertainment and recreation

H - Transportation and storage S - Other service activities

I - Accommodation and food service activities T - Activities of households as employers; undifferentiated goods- and

services-producing activities of households for own use

J - Information and communication U - Activities of extraterritorial organizations and bodies

K - Financial and insurance activities

Primary production – ISIC codes

011 Growing of Non-

Perennial Crops

012 Growing of Perennial

Crops

013 Plant Propagation

014 Animal production

015 Mixed farming

016 Support activities to agriculture and post-

harvest crop activities

02x Forestry and logging

03x Fishing and Aquaculture

05x Mining of coal and lignite

06x Extraction of crude petroleum

and natural gas

07x Mining of metal ores

08x Other mining and quarrying

Appendix 3 – Management Controls The table below lists the questions that correspond to each pillar, control type and level. T&I is training and improvement.

Pillar Control Level Question

Business ethics Monitoring Advanced Number of whistle-blower complaints raised:

Business ethics Monitoring Good Number of reported incidents of bribery and corruption in your business in the past year:

Business ethics Policy and Resources Basic Which of the below written policies are in place throughout the enterprise? Please select all applicable options.

Business ethics Policy and Resources Good Please upload your Bribery and Corruption/Business Ethics policies.

Business ethics Processes Advanced Business Ethics: Please upload any relevant certification from the selected standards or schemes.

Business ethics Processes Advanced How do you manage Business Ethics/bribery and corruption within your business? Please select all that apply.

Business ethics Processes Advanced How do you understand Business Ethics risks within your business? Please select all that apply.

Business ethics Processes Basic How do you manage Business Ethics/bribery and corruption within your business? Please select all

that apply. Business ethics Processes Basic How do you understand Business Ethics risks within your business? Please select all that apply.

Business ethics Processes Good Are you certified by or do you have signed agreement/membership to any of the below? Please select all that apply.

Business ethics Processes Good How do you manage Business Ethics/bribery and corruption within your business? Please select all that apply.

Business ethics Processes Good How do you understand Business Ethics risks within your business? Please select all that apply.

Business ethics T & I Advanced Have you worked with any brands, non-governmental organisations (NGOs) or experts to improve in the past 2 years? If yes, please select the relevant focus areas.

Business ethics T & I Basic Do you provide the following training? Please select all applicable answers.

Business ethics T & I Good Please enter the number of your staff that have received training on Business Ethics / Bribery and Corruption in the past year: Managers female

Business ethics T & I Good Please enter the number of your staff that have received training on Business Ethics / Bribery and Corruption in the past year: Managers male

Business ethics T & I Basic Please enter the number of your staff that have received training on Business Ethics / Bribery and Corruption in the past year: Managers total

Business ethics T & I Good Please enter the number of your staff that have received training on Business Ethics / Bribery and Corruption in the past year: Supervisors female

Business ethics T & I Good Please enter the number of your staff that have received training on Business Ethics / Bribery and Corruption in the past year: Supervisors male

Business ethics T & I Basic Please enter the number of your staff that have received training on Business Ethics / Bribery and Corruption in the past year: Supervisors total

Business ethics T & I Good Please enter the number of your staff that have received training on Business Ethics / Bribery and Corruption in the past year: Workers female

Business ethics T & I Good Please enter the number of your staff that have received training on Business Ethics / Bribery and Corruption in the past year: Workers male

Business ethics T & I Basic Please enter the number of your staff that have received training on Business Ethics / Bribery and Corruption in the past year: Workers total

Business ethics T & I Good Please complete information about the Business Ethics project: What is the project name?

Business ethics T & I Good What are the key next steps to improve Business Ethics performance this year? (Action 1)

Environment Monitoring Basic Do you have percentage reduction targets for energy in place?

Environment Monitoring Basic Do you have percentage reduction targets for greenhouse gas emissions in place?

Environment Monitoring Basic Do you have percentage reduction targets for waste in place?

Environment Monitoring Basic Do you have percentage reduction targets for water in place?

Environment Monitoring Basic How much energy is used per year, on average? Please enter amount in kWh.

Environment Monitoring Basic How much waste is generated per year, on average? Please enter amount in Kg.

Environment Monitoring Basic How much water is used per year, on average? Please enter amount in litres.

Environment Monitoring Basic What quantity of greenhouse gas emissions are you emitting per year? Please enter amount in tonnes of CO2 equivalent.


24


Environment Policy and Resources Basic Which of the below written policies are in place throughout the enterprise? Please select all applicable options.

Environment Policy and Resources Good Do you have specialist staff responsible for Environmental impact?

Environment Policy and Resources Good Please upload your Environmental policies.

Environment Processes Advanced Do you consider the disposal of your products and packaging after use? Please select all that apply.

Environment Processes Advanced Environment: Please upload any relevant certifications from the selected standards or schemes.

Environment Processes Advanced How do you manage pollution created by your business activities? Please select all that apply.

Environment Processes Advanced How do you manage waste handling and disposal? Please select all that apply.

Environment Processes Advanced How do you understand Environmental risks within your business? Please select all that apply.

Environment Processes Advanced What do you do to manage water use and impact of your business on local water quality? Please select all that apply.

Environment Processes Advanced What do you do to manage your energy use? Please select all that apply.

Environment Processes Advanced What do you do to manage your impact on biodiversity? Please select all that apply.

Environment Processes Basic Do you consider the disposal of your products and packaging after use? Please select all that apply.

Environment Processes Basic How do you manage pollution created by your business activities? Please select all that apply.

Environment Processes Basic How do you manage waste handling and disposal? Please select all that apply.

Environment Processes Basic How do you manage your impact on raw material extraction? Please select all that apply.

Environment Processes Basic How do you understand Environmental risks within your business? Please select all that apply.

Environment Processes Basic What do you do to manage water use and impact of your business on local water quality? Please select all that apply.

Environment Processes Basic What do you do to manage your energy use? Please select all that apply.

Environment Processes Basic What do you do to manage your impact on biodiversity? Please select all that apply.

Environment Processes Good Are you certified by or do you have signed agreement/membership to any of the below? Please select all that apply.

Environment Processes Good Do you consider the disposal of your products and packaging after use? Please select all that apply.

Environment Processes Good How do you manage pollution created by your business activities? Please select all that apply.

Environment Processes Good How do you manage waste handling and disposal? Please select all that apply.

Environment Processes Good How do you manage your impact on raw material extraction? Please select all that apply.

Environment Processes Good How do you understand Environmental risks within your business? Please select all that apply.

Environment Processes Good What do you do to manage water use and impact of your business on local water quality? Please select all that apply.

Environment Processes Good What do you do to manage your energy use? Please select all that apply.

Environment Processes Good What do you do to manage your impact on biodiversity? Please select all that apply.

Environment T & I Advanced Have you worked with any brands, non-governmental organisations (NGOs) or experts to improve in the past 2 years? If yes, please select the relevant focus areas.

Environment T & I Basic Do you provide the following training? Please select all applicable answers.

Environment T & I Good Please complete information about the Environment project: What is the project name?

Environment T & I Good Please enter the number of staff that have received training on Environmental Impact in the past year: Female managers

Environment T & I Good Please enter the number of staff that have received training on Environmental Impact in the past year: Female supervisors

Environment T & I Good Please enter the number of staff that have received training on Environmental Impact in the past year: Male managers

Environment T & I Good Please enter the number of staff that have received training on Environmental Impact in the past year: Male supervisors

Environment T & I Basic Please enter the number of staff that have received training on Environmental Impact in the past year: Total managers

Environment T & I Basic Please enter the number of staff that have received training on Environmental Impact in the past year: Total supervisors

Environment T & I Good What are the key next steps to improve Environmental performance this year? (Action 1)

Health & safety Monitoring Basic Number of accidents and injuries, however minor, recorded in last 12 months:


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Health & safety Monitoring Basic Number of serious accidents (i.e. requiring hospital treatment) and fatalities:

Health & safety Monitoring Basic Number of workers that received fire safety training this year:

Health & safety Monitoring Good Number of female workers that received fire safety training this year:

Health & safety Monitoring Good Number of male workers that received fire safety training this year:

Health & safety Monitoring Good Of the total, how many were recorded for female workers?

Health & safety Monitoring Good Of the total, how many were recorded for male workers?

Health & safety Policy and Resources Basic Which of the below written policies are in place throughout the enterprise? Please select all applicable options.

Health & safety Policy and Resources Good Do you have specialist staff responsible for Health and Safety?

Health & safety Policy and Resources Good Please upload your Accommodation policies.

Health & safety Policy and Resources Good Please upload your Health and Safety policies.

Health & safety Processes Advanced Do you have a process in place which ensures the accommodation is a safe place to stay? Please

select all that apply.

Health & safety Processes Advanced Do you take any actions to support workers who do not fluently speak the same language as other workers and management?

Health & safety Processes Advanced Health and Safety: Please upload any relevant certifications from the selected standards or schemes.

Health & safety Processes Advanced How can workers report any violations of Labour Standards, Health and Safety, or any other grievances? Please select all that apply.

Health & safety Processes Advanced How do you understand Health and Safety risks within your business? Please select all that apply.

Health & safety Processes Advanced How do you understand Labour Standards and Health and Safety risks for off-site workers? Please

select all that apply. Health & safety Processes Basic Do you have a process in place which ensures the accommodation is a safe place to stay? Please

select all that apply. Health & safety Processes Basic Do you take any actions to support workers who do not fluently speak the same language as other

workers and management?

Health & safety Processes Basic How can off-site workers report any violations of Labour standards, Health and Safety or any other grievances? Please select all that apply.

Health & safety Processes Basic How can workers report any violations of Labour Standards, Health and Safety, or any other grievances? Please select all that apply.

Health & safety Processes Basic How do you understand Health and Safety risks within your business? Please select all that apply.

Health & safety Processes Basic How do you understand Labour Standards and Health and Safety risks for off-site workers? Please

select all that apply. Health & safety Processes Good Are you certified by or do you have signed agreement/membership to any of the below? Please

select all that apply. Health & safety Processes Good Do you have a process in place which ensures the accommodation is a safe place to stay? Please

select all that apply. Health & safety Processes Good Do you take any actions to support workers who do not fluently speak the same language as other

workers and management? Health & safety Processes Good How can off-site workers report any violations of Labour standards, Health and Safety or any other

grievances? Please select all that apply.

Health & safety Processes Good How can workers report any violations of Labour Standards, Health and Safety, or any other grievances? Please select all that apply.

Health & safety Processes Good How do you understand Health and Safety risks within your business? Please select all that apply.

Health & safety T & I Advanced Have you worked with any brands, non-governmental organisations (NGOs) or experts to improve

in the past 2 years? If yes, please select the relevant focus areas. Health & safety T & I Basic Do you provide the following training? Please select all applicable answers.

Health & safety T & I Basic Please enter the number of staff and workers that have received training on Health and Safety in the past year: Managers total

Health & safety T & I Basic Please enter the number of staff and workers that have received training on Health and Safety in the past year: Supervisors male

Health & safety T & I Basic Please enter the number of staff and workers that have received training on Health and Safety in the past year: Supervisors total

Health & safety T & I Good Please complete information about the Health and Safety project: What is the project name?

Health & safety T & I Good Please enter the number of staff and workers that have received training on Health and Safety in the past year: Managers female

Health & safety T & I Good Please enter the number of staff and workers that have received training on Health and Safety in the past year: Managers male


26


Health & safety T & I Good Please enter the number of staff and workers that have received training on Health and Safety in the past year: Supervisors female

Health & safety T & I Good Please enter the number of staff and workers that have received training on Health and Safety in the past year: Workers female

Health & safety T & I Good Please enter the number of staff and workers that have received training on Health and Safety in the past year: Workers male

Health & safety T & I Good What are the key next steps to improve Health and Safety performance this year? (Action 1)

Labour standards Monitoring Advanced How are working hours monitored for workers supplied to customers?

Labour standards Monitoring Advanced How do you monitor that the correct accrued worker holidays and other statutory benefits are paid

to workers that you supply to customers? Please select all that apply. Labour standards Monitoring Advanced How many grievances have been resolved in the last 12 months?

Labour standards Monitoring Advanced If the enterprise is seasonal, what percentage of workers returned this year from last year?

Labour standards Monitoring Advanced What steps do you take to ensure migrant workers do not pay recruitment costs? Please select all that apply.

Labour standards Monitoring Basic Average length of worker employment (all workers). Please enter average number of months.

Labour standards Monitoring Basic How are working hours monitored for workers?

Labour standards Monitoring Basic How are working hours monitored for workers supplied to customers?

Labour standards Monitoring Basic How do you monitor that the correct accrued worker holidays and other statutory benefits are paid to workers that you supply to customers? Please select all that apply.

Labour standards Monitoring Basic How many men have taken parental (paternity) leave in the past 12 months?

Labour standards Monitoring Basic How many women have taken parental (maternity) leave in the past 12 months?

Labour standards Monitoring Basic Percentage absenteeism in last year for all workers:

Labour standards Monitoring Basic Percentage worker turnover in the past year for all workers:

Labour standards Monitoring Basic Total number of grievances raised in the past 12 months:

Labour standards Monitoring Basic What steps do you take to ensure migrant workers do not pay recruitment costs? Please select all that apply.

Labour standards Monitoring Good Average length of worker employment (female workers). Please enter average number of months.

Labour standards Monitoring Good Average length of worker employment (male workers). Please enter average number of months.

Labour standards Monitoring Good How are working hours monitored for workers supplied to customers?

Labour standards Monitoring Good How do you monitor that the correct accrued worker holidays and other statutory benefits are paid to workers that you supply to customers? Please select all that apply.

Labour standards Monitoring Good How many grievances have been raised by men in the past 12 months?

Labour standards Monitoring Good How many grievances have been raised by women in the past 12 months?

Labour standards Monitoring Good How many men in the current workforce have returned to work after parental or paternity leave?

Labour standards Monitoring Good How many women in the current workforce have returned to work after maternity leave?

Labour standards Monitoring Good If the enterprise is seasonal, what percentage of workers returned this year from last year?

Labour standards Monitoring Good Number of female workers promoted within the last year:

Labour standards Monitoring Good Number of male workers promoted within the last year:

Labour standards Monitoring Good Number of new female permanent workers recruited in the past 12 months:

Labour standards Monitoring Good Number of new male permanent workers recruited in the past 12 months:

Labour standards Monitoring Good Percentage absenteeism in past year for female workers:

Labour standards Monitoring Good Percentage absenteeism in the past year for male workers:

Labour standards Monitoring Good Percentage worker turnover in the past year for female workers:

Labour standards Monitoring Good Percentage worker turnover in the past year for male workers:

Labour standards Monitoring Good What is the percentage of workers who left their job before their contract was completed?

Labour standards Monitoring Good What steps do you take to ensure migrant workers do not pay recruitment costs? Please select all that apply.

Labour standards Policy and Resources Basic Which of the below written policies are in place throughout the enterprise? Please select all applicable options.

Labour standards Policy and Resources Good Do you have specialist staff responsible for Human Resources?


27


Labour standards Policy and Resources Good Please upload your Accommodation policies.

Labour standards Policy and Resources Good Please upload your Human Resource and Labour Standards policies.

Labour standards Processes Advanced Do you review the labour practices of subcontracted labour providers?

Labour standards Processes Advanced Do you review the practices of the labour providers that you use?

Labour standards Processes Advanced Do you take any actions to support workers who do not fluently speak the same language as other workers and management?

Labour standards Processes Advanced How can workers report any violations of Labour Standards, Health and Safety, or any other grievances? Please select all that apply.

Labour standards Processes Advanced How do workers complain if they feel the company has incorrectly logged hours or paid incorrect wages? Please select all that apply.

Labour standards Processes Advanced How do you understand Labour Standards and Health and Safety risks for off-site workers? Please select all that apply.

Labour standards Processes Advanced How do you understand Labour Standards risks within your business? Please select all that apply.

Labour standards Processes Advanced Is there a process, organisation or arrangement workers can use to input into company decision making? Please select all that apply.

Labour standards Processes Advanced Labour Standards: Please upload any relevant certifications from the selected standards or schemes.

Labour standards Processes Advanced Please upload a copy of the subcontracted labour provider's certification.

Labour standards Processes Advanced What elements are included when calculating the cost of labour charged to customers? Please

select all applicable options. Labour standards Processes Basic Do all workers have written contracts?

Labour standards Processes Basic Do you review the labour practices of subcontracted labour providers?

Labour standards Processes Basic Do you review the practices of the labour providers that you use?

Labour standards Processes Basic Do you take any actions to support workers who do not fluently speak the same language as other workers and management?

Labour standards Processes Basic How can off-site workers report any violations of Labour standards, Health and Safety or any other grievances? Please select all that apply.

Labour standards Processes Basic How can workers report any violations of Labour Standards, Health and Safety, or any other grievances? Please select all that apply.

Labour standards Processes Basic How do workers complain if they feel the company has incorrectly logged hours or paid incorrect wages? Please select all that apply.

Labour standards Processes Basic How do you communicate accrued worker holidays and other statutory benefits? Please select all that apply.

Labour standards Processes Basic How do you understand Labour Standards risks within your business? Please select all that apply.

Labour standards Processes Basic What elements are included when calculating the cost of labour charged to customers? Please select all applicable options.

Labour standards Processes Good Are you certified by or do you have signed agreement/membership to any of the below? Please select all that apply.

Labour standards Processes Good Do you review the labour practices of subcontracted labour providers?

Labour standards Processes Good Do you review the practices of the labour providers that you use?

Labour standards Processes Good Do you take any actions to support workers who do not fluently speak the same language as other workers and management?

Labour standards Processes Good How can off-site workers report any violations of Labour standards, Health and Safety or any other grievances? Please select all that apply.

Labour standards Processes Good How can workers report any violations of Labour Standards, Health and Safety, or any other

grievances? Please select all that apply. Labour standards Processes Good How do workers complain if they feel the company has incorrectly logged hours or paid incorrect

wages? Please select all that apply. Labour standards Processes Good How do you communicate accrued worker holidays and other statutory benefits? Please select all

that apply. Labour standards Processes Good How do you understand Labour Standards risks within your business? Please select all that apply.

Labour standards Processes Good Is there a process, organisation or arrangement workers can use to input into company decision making? Please select all that apply.

Labour standards Processes Good What elements are included when calculating the cost of labour charged to customers? Please select all applicable options.

Labour standards T & I Advanced Have you worked with any brands, non-governmental organisations (NGOs) or experts to improve in the past 2 years? If yes, please select the relevant focus areas.

Labour standards T & I Advanced What training do you provide to migrant workers?


28


Labour standards T & I Basic Do all workers provided to customers receive relevant training?

Labour standards T & I Basic Do you provide the following training? Please select all applicable answers.

Labour standards T & I Basic Please enter the number of staff and workers that have received training on Labour Standards/Human Resources policies in the past year: Managers total

Labour standards T & I Basic Please enter the number of staff and workers that have received training on Labour Standards/Human Resources policies in the past year: Supervisors total

Labour standards T & I Basic Please enter the number of staff and workers that have received training on Labour Standards/Human Resources policies in the past year: Workers female

Labour standards T & I Basic Please enter the number of staff and workers that have received training on Labour

Standards/Human Resources policies in the past year: Workers male Labour standards T & I Basic Please enter the number of staff and workers that have received training on Labour

Standards/Human Resources policies in the past year: Workers total Labour standards T & I Good Please complete information about the Labour Standards and Rights / Human Resources project:

What is the project name? Labour standards T & I Good Please enter the number of staff and workers that have received training on Labour

Standards/Human Resources policies in the past year: Managers female Labour standards T & I Good Please enter the number of staff and workers that have received training on Labour

Standards/Human Resources policies in the past year: Managers male

Labour standards T & I Good Please enter the number of staff and workers that have received training on Labour Standards/Human Resources policies in the past year: Supervisors female

Labour standards T & I Good Please enter the number of staff and workers that have received training on Labour Standards/Human Resources policies in the past year: Supervisors male

Labour standards T & I Good What are the key next steps to improve performance on Labour Standards and Rights or Human Resources this year? (Action 1)

Labour standards T & I Good Which of the following training topics have been provided to staff? Please select all that apply.

Supplier

management

Monitoring Advanced Average length of supplier relationships. Please enter average number of months.

Supplier

management

Monitoring Advanced What actions are taken to monitor providers of services' performance against your Code of

Conduct? Supplier

management

Monitoring Advanced What actions are taken to monitor suppliers of goods' performance against the Code of Conduct?

Supplier

management

Monitoring Basic How many different suppliers do you currently source from?

Supplier management

Monitoring Basic What actions are taken to monitor providers of services' performance against your Code of Conduct?

Supplier management

Monitoring Basic What actions are taken to monitor suppliers of goods' performance against the Code of Conduct?

Supplier management

Monitoring Good What actions are taken to monitor providers of services' performance against your Code of Conduct?

Supplier management

Monitoring Good What actions are taken to monitor suppliers of goods' performance against the Code of Conduct?

Supplier management

Monitoring Good What percentage of supplier relationships last more than 6 months?

Supplier management

Policy and Resources Basic Do you have staff responsible for achieving customer Ethical Trade requirements at your business?

Supplier management

Policy and Resources Basic How many staff are dedicated to managing supplier adherence with the Code of Conduct?

Supplier management

Policy and Resources Basic Which of the below written policies are in place throughout the enterprise? Please select all applicable options.

Supplier management

Policy and Resources Good Is there a person responsible for managing supplier adherence to your Code of Conduct?

Supplier management

Policy and Resources Good Please upload your Supplier Code of Conduct.

Supplier management

Processes Advanced Does the business consider the impact of purchasing practices when purchasing from suppliers?

Supplier management

Processes Advanced Do you have a process for selecting new suppliers of goods?

Supplier management

Processes Advanced Do you have a process for selecting new suppliers of services?

Supplier management

Processes Advanced What actions are taken if suppliers of goods breach the Code of Conduct?

Supplier management

Processes Basic Does the business consider the impact of purchasing practices when purchasing from suppliers?


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Supplier management

Processes Basic Do you have a process for selecting new suppliers of goods?

Supplier management

Processes Basic Do you have a process for selecting new suppliers of services?

Supplier management

Processes Good Does the business consider the impact of purchasing practices when purchasing from suppliers?

Supplier management

Processes Good Do you have a process for selecting new suppliers of goods?

Supplier management

Processes Good Do you have a process for selecting new suppliers of services?

Supplier management

Processes Good What actions are taken if suppliers of goods breach the Code of Conduct?

Supplier management

T & I Advanced Have you worked with any brands, non-governmental organisations (NGOs) or experts to improve in the past 2 years? If yes, please select the relevant focus areas.

Supplier management

T & I Advanced How many suppliers have been trained?

Supplier management

T & I Advanced Please enter the total number of your staff that have received training on Ethical Trade / Responsible Sourcing / Social Compliance for suppliers in the past year: Managers female

Supplier management

T & I Advanced Please enter the total number of your staff that have received training on Ethical Trade / Responsible Sourcing / Social Compliance for suppliers in the past year: Managers male

Supplier management

T & I Advanced Please enter the total number of your staff that have received training on Ethical Trade / Responsible Sourcing / Social Compliance for suppliers in the past year: Managers total

Supplier management

T & I Advanced Please enter the total number of your staff that have received training on Ethical Trade / Responsible Sourcing / Social Compliance for suppliers in the past year: Supervisors female

Supplier management

T & I Advanced Please enter the total number of your staff that have received training on Ethical Trade / Responsible Sourcing / Social Compliance for suppliers in the past year: Supervisors male

Supplier management

T & I Advanced Please enter the total number of your staff that have received training on Ethical Trade / Responsible Sourcing / Social Compliance for suppliers in the past year: Supervisors total

Supplier management

T & I Advanced What actions are taken to support suppliers of goods to make improvements on labour practices?

Supplier management

T & I Advanced What actions are taken to support suppliers of services to make improvements on labour practices?

Supplier

management

T & I Basic Do you provide the following training? Please select all applicable answers.

Supplier

management

T & I Basic In which of the following areas has training been carried out for your suppliers?

Supplier

management

T & I Basic What actions are taken to support suppliers of goods to make improvements on labour practices?

Supplier

management

T & I Basic What actions are taken to support suppliers of services to make improvements on labour

practices? Supplier

management

T & I Good Please complete information about the Ethical Trade / Responsible Sourcing improvement project:

What is the project name?

Supplier management

T & I Good What actions are taken to support suppliers of goods to make improvements on labour practices?

Supplier management

T & I Good What actions are taken to support suppliers of services to make improvements on labour practices?

Supplier management

T & I Good What are the key next steps to improve supplier performance this year? (Action 1)

Risk assessment tool methodology - Sedex

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