WEBVTT Kind: captions Language: en-GB 00:00:00.930 --> 00:00:08.710 Hello and welcome to this step-by-step tutorial to Core Requirement 5.1.2. in assess-and-address. 00:00:08.710 --> 00:00:13.920 This is Tutorial No 5 Basic risk assessment. 00:00:13.920 --> 00:00:19.770 This is Tutorial No. 5 out of 10 step-by-step tutorials that we have produced to help you 00:00:19.770 --> 00:00:25.980 implement the assess-and-address system, protect human rights and promote gender equality. 00:00:25.980 --> 00:00:30.080 This tutorial is highlighted on the screen. 00:00:30.080 --> 00:00:32.099 This is what we re going to be covering in the tutorial. 00:00:32.099 --> 00:00:36.040 We will explain what the tutorial is about and what is required 00:00:36.040 --> 00:00:40.340 We will explain how to download and save the risk assessment and 00:00:40.340 --> 00:00:44.110 how to navigate the document We will run through some recommendations 00:00:44.110 --> 00:00:49.899 about how to prepare for the risk assessment Then we will explain how to complete the assessment 00:00:49.899 --> 00:00:54.360 And lastly, we will remind you of next steps 00:00:54.360 --> 00:00:58.510 By the end of this tutorial, you will know how the assess-and-address committee 00:00:58.510 --> 00:01:03.750 completes the basic risk assessment, using the tool provided. 00:01:03.750 --> 00:01:08.860 Conducting the risk assessment is the responsibility of the assess-and-address committee 00:01:08.860 --> 00:01:12.830 it identifies what mitigation measures you must implement. 00:01:12.830 --> 00:01:16.890 The assessment helps you identify potential problems that could happen 00:01:16.890 --> 00:01:19.470 and take action to prevent them. 00:01:19.470 --> 00:01:25.150 The tutorial takes you through some practical steps to help you find the assessment, 00:01:25.150 --> 00:01:30.020 prepare to answer the questions, and explains 00:01:30.020 --> 00:01:33.710 how to use the tool so you can complete it successfully. 00:01:33.710 --> 00:01:40.500 To comply with Core Requirement 5.1.2, first, the committee has to conduct a basic 00:01:40.500 --> 00:01:45.900 risk assessment for assess-and-address to identify what mitigation 00:01:45.900 --> 00:01:49.340 actions they need to take to reduce the risk of child 00:01:49.340 --> 00:01:53.320 labour, forced labour, discrimination, workplace violence 00:01:53.320 --> 00:01:57.500 and harassment. This is the topic of the tutorial you are 00:01:57.500 --> 00:02:01.590 watching, number 5. It is the first step you take after 00:02:01.590 --> 00:02:07.660 having made your commitment to protect human rights and set up your committee. 00:02:07.660 --> 00:02:13.719 Starting with a risk assessment underlines that assess-and-address is a risk-based approach. 00:02:13.719 --> 00:02:16.120 That means that the system is designed to identify 00:02:16.120 --> 00:02:21.329 risks and try to prevent them from happening. That is why it is so important for people 00:02:21.329 --> 00:02:25.290 to feel comfortable to report concerns and issues. 00:02:25.290 --> 00:02:28.629 Second, the Committee enters the mitigation actions 00:02:28.629 --> 00:02:33.790 into the Management Plan this is where you organise and record exactly what it is you 00:02:33.790 --> 00:02:38.519 need to do and when, in order to implement your mitigation actions. 00:02:38.519 --> 00:02:40.519 This is covered in the next tutorial, number 6. 00:02:40.519 --> 00:02:45.129 It also works through an example of implementing a mitigation measure. 00:02:45.129 --> 00:02:50.130 So we have 2 tutorials that take you step-by-step 00:02:50.130 --> 00:02:52.120 through the risk assessment and mitigation process. 00:02:52.120 --> 00:02:55.510 The Committee must conduct the basic risk assessment 00:02:55.510 --> 00:03:00.540 in Year 0 so it plays a key role in preparing for certification. 00:03:00.540 --> 00:03:06.010 It is then repeated once every three years. 00:03:06.010 --> 00:03:09.859 First of all, we re going to help you find the risk assessment tool. 00:03:09.859 --> 00:03:13.950 If you haven t already found the assessment, you can do so by going to the Rainforest Alliance 00:03:13.950 --> 00:03:20.349 website: www dot rainforest hyphen alliance dot org. 00:03:20.349 --> 00:03:23.379 You can see the link on the slide highlighted in pink. 00:03:23.379 --> 00:03:26.379 Go to the website and look for the Rainforest Alliance 00:03:26.379 --> 00:03:30.959 2020 Sustainable Farm Standard. You will see links there to the certification 00:03:30.959 --> 00:03:35.310 documents including guidance and annexes. 00:03:35.310 --> 00:03:42.229 Search for Annex S3: Farm Risk Assessment. Download this Annex and when you do, 00:03:42.229 --> 00:03:45.579 you will see a folder with four different Excel files inside it 00:03:45.579 --> 00:03:48.790 you need the one selected in the picture on screen: 00:03:48.790 --> 00:03:52.769 Annex S3: Risk assessment tool. 00:03:52.769 --> 00:03:56.670 A couple more useful housekeeping tips. 00:03:56.670 --> 00:04:01.799 When you open up the Excel file you downloaded, go immediately to File in the navigation bar 00:04:01.799 --> 00:04:06.059 at the top left. Click Save As in the drop down. 00:04:06.059 --> 00:04:10.019 You can then choose where to save your file so you can keep it safe and find it again 00:04:10.019 --> 00:04:13.970 easily, and you can also rename your file. For example, 00:04:13.970 --> 00:04:19.680 you could create a folder called Certification. Look at the yellow example on screen 00:04:19.680 --> 00:04:23.229 you can see here how I have changed the name of my file 00:04:23.229 --> 00:04:28.810 I ve added Coop1 as the name of the farm and Jun012021 as the date. 00:04:28.810 --> 00:04:34.909 I find it easier to keep track of all my files when I do this. 00:04:34.909 --> 00:04:39.210 Open up the Excel file called Annex S3 Risk Assessment Tool. 00:04:39.210 --> 00:04:43.770 You will see that it is like a book, with different chapters 00:04:43.770 --> 00:04:47.540 called tabs at the bottom. 00:04:47.540 --> 00:04:48.699 When you click on a tab it opens up a separate sheet. 00:04:48.699 --> 00:04:51.190 The pink circle highlights the two tabs that you need 00:04:51.190 --> 00:04:57.370 to use in order to conduct the risk assessment the Guidance and the Dashboard. 00:04:57.370 --> 00:05:00.910 Click on the Guidance tab you will see that it has some important information that 00:05:00.910 --> 00:05:04.290 you need to read before starting the risk assessment. 00:05:04.290 --> 00:05:06.860 Take some time to read this page. 00:05:06.860 --> 00:05:11.620 Click on the Dashboard have a good look around. This is the page you will be using to complete 00:05:11.620 --> 00:05:18.030 the risk assessment and we will take you through each step. 00:05:18.030 --> 00:05:22.289 Before we talk about how to use the tool, we re going to spend a few minutes talking 00:05:22.289 --> 00:05:26.400 about preparation. All of these steps are recommendations 00:05:26.400 --> 00:05:29.530 rather than required actions but taking these steps will make 00:05:29.530 --> 00:05:33.110 the risk assessment process much easier, and more meaningful. 00:05:33.110 --> 00:05:37.129 There are 4 tasks we recommend and we will go through each one briefly. 00:05:37.129 --> 00:05:41.030 First of all, check what risk level Rainforest Alliance 00:05:41.030 --> 00:05:46.330 has given your country and crop. Second, collect the documents and information 00:05:46.330 --> 00:05:48.860 that will help you answer the questions in the risk assessment 00:05:48.860 --> 00:05:55.599 Third, identify who can help explain the situation and implement the mitigation actions 00:05:55.599 --> 00:06:00.860 that result from the risk assessment Fourth, divide up the work on the committee 00:06:00.860 --> 00:06:06.790 to make sure all the tasks are completed. 00:06:06.790 --> 00:06:10.530 Rainforest Alliance has produced a set of sectoral risk maps 00:06:10.530 --> 00:06:13.719 that assess the risk of child labour and forced labour 00:06:13.719 --> 00:06:19.039 in certain countries for coffee, tea, cocoa and bananas. 00:06:19.039 --> 00:06:21.770 You need to know what the risk level is for your country 00:06:21.770 --> 00:06:24.740 because the mitigation actions you take will be different 00:06:24.740 --> 00:06:28.069 for a high or low risk environment. 00:06:28.069 --> 00:06:31.710 The maps are available online at the Rainforest Alliance website 00:06:31.710 --> 00:06:35.900 In the search box for the website, look for sectoral risk maps 00:06:35.900 --> 00:06:38.870 and the maps and guidance will appear. 00:06:38.870 --> 00:06:42.720 You can see an example risk map for Latin America on the screen. 00:06:42.720 --> 00:06:46.979 If you look at the map and table, the colour red signals high risk, 00:06:46.979 --> 00:06:49.909 orange medium risk and blue low risk. 00:06:49.909 --> 00:06:53.009 The symbols at the top of the table are for the crops: 00:06:53.009 --> 00:06:57.129 and they are, from left to right, coffee, cocoa, tea and bananas. 00:06:57.129 --> 00:07:02.479 On the left side of each column, you can see the risk for child labor, 00:07:02.479 --> 00:07:06.409 on the right side you can see the risk for forced labor 00:07:06.409 --> 00:07:09.729 To find the risk level for a country, go to the country name 00:07:09.729 --> 00:07:15.889 e.g. Mexico, and look right along the corresponding row of the table 00:07:15.889 --> 00:07:20.129 For example, for Mexico you can see that there is an orange circle 00:07:20.129 --> 00:07:25.699 (medium risk) for child labor and forced labour in coffee production. 00:07:25.699 --> 00:07:29.759 Look at Guatemala below you can see two red circles so that means 00:07:29.759 --> 00:07:34.710 it is high risk for the same issues and for coffee. 00:07:34.710 --> 00:07:38.349 If you want to find out more about how the scoring was done for the sector 00:07:38.349 --> 00:07:40.990 risk maps, you can look up the Guidance Briefing and 00:07:40.990 --> 00:07:45.319 Method Note which you can find on the website with the risk maps. 00:07:45.319 --> 00:07:48.259 The risk level indicates the likelihood that child labour 00:07:48.259 --> 00:07:51.370 or forced labour will occur in the production of 00:07:51.370 --> 00:07:55.650 tea, coffee, bananas, and cocoa in a particular country. 00:07:55.650 --> 00:07:58.520 The risk categories give you a sense of the context of risk 00:07:58.520 --> 00:08:02.531 across a whole country and crop that means that, let s say 00:08:02.531 --> 00:08:07.159 you are in a high-risk country for forced labour in coffee production, 00:08:07.159 --> 00:08:12.139 you will need to take mitigation actions, 00:08:12.139 --> 00:08:13.850 regardless of how low risk the situation is at your own farm. 00:08:13.850 --> 00:08:22.680 Remember, you need to check the risk category so you know which mitigation measures to implement. 00:08:22.680 --> 00:08:27.499 When you conduct your basic risk assessment, it is up to you to decide how much information 00:08:27.499 --> 00:08:32.529 you will collect and how you will do it. Remember, your in-depth risk assessment 00:08:32.529 --> 00:08:34.979 is when you investigate issues more deeply. 00:08:34.979 --> 00:08:40.529 Even so, when you answer a question in the basic risk assessment, it can be useful to 00:08:40.529 --> 00:08:43.959 try to verify your answers with three types of information 00:08:43.959 --> 00:08:49.490 typically, that means using documents, reporting the views of people that you ask 00:08:49.490 --> 00:08:53.870 to explain the situation, and noting 00:08:53.870 --> 00:08:55.770 what you observe when you visit a site. 00:08:55.770 --> 00:09:02.690 First, it can be useful to collect the documents and reports that you have that may help you 00:09:02.690 --> 00:09:05.510 answer the risk assessment questions. 00:09:05.510 --> 00:09:08.709 The table highlights the potential sources of information 00:09:08.709 --> 00:09:14.449 that are available on the farm or group. You just need to ask management or other committees 00:09:14.449 --> 00:09:17.399 if they can help you find the information. 00:09:17.399 --> 00:09:20.600 All these documents contain information that could be useful 00:09:20.600 --> 00:09:24.940 such as the registry of workers, farm maps, training records, 00:09:24.940 --> 00:09:29.540 self-assessments, internal inspections, and monitoring reports. 00:09:29.540 --> 00:09:32.500 Some of this data will not be available in Year 0 00:09:32.500 --> 00:09:36.290 because you are just starting, but it depends when you do the assessment. 00:09:36.290 --> 00:09:42.800 Ask your management team to share what they have available. 00:09:42.800 --> 00:09:45.800 As well as collecting the information you already have, 00:09:45.800 --> 00:09:48.610 it is useful to work out what you need to find out. 00:09:48.610 --> 00:09:52.380 On screen, you can see the four human rights issues covered 00:09:52.380 --> 00:09:55.950 in the risk assessment (like child labor or forced labor) 00:09:55.950 --> 00:10:02.420 and the sub-topics covered by the questions (like family work or freedom of movement). 00:10:02.420 --> 00:10:06.000 There are questions on these topic because they help you to understand 00:10:06.000 --> 00:10:10.480 and identify key risks associated with child labour, 00:10:10.480 --> 00:10:14.860 forced labour, discrimination and workplace violence and harassment. 00:10:14.860 --> 00:10:20.209 Let's look in more depth at the child labor questions. 00:10:20.209 --> 00:10:23.610 First, you need to find out what the rules are for checking 00:10:23.610 --> 00:10:28.089 the age of new workers and how those rules are put into practice. 00:10:28.089 --> 00:10:30.500 Your management representative may know the answer 00:10:30.500 --> 00:10:34.430 or you can ask the responsible person in the management team for help. 00:10:34.430 --> 00:10:39.170 You could also ask some workers what sort of checks were done when they joined. 00:10:39.170 --> 00:10:44.709 Second, for the question on hazardous tasks, management should be able to give you the 00:10:44.709 --> 00:10:49.269 list of tasks banned for children and you could ask workers or group members to 00:10:49.269 --> 00:10:52.850 see whether they are aware of these banned tasks. 00:10:52.850 --> 00:10:57.230 Third, for the question about children of school age 00:10:57.230 --> 00:11:01.050 living at site and going to school, you could go to visit the site, 00:11:01.050 --> 00:11:05.990 and watch and look around, and talk to parents, or you could visit the school and talk to 00:11:05.990 --> 00:11:10.000 the teacher. The map of the farm or group should also show 00:11:10.000 --> 00:11:13.959 you where the school is located so you 00:11:13.959 --> 00:11:15.990 can work out how far away it is. 00:11:15.990 --> 00:11:18.810 For the last question, on whether it is typical for 00:11:18.810 --> 00:11:24.311 under-18s to work farms, you could answer based on your own knowledge, you could also 00:11:24.311 --> 00:11:28.650 ask management if they recruit under-18s, you could ask the 00:11:28.650 --> 00:11:31.759 school teacher or community leaders if this is common, 00:11:31.759 --> 00:11:35.930 and you could visit the farm or group area to see for yourself. 00:11:35.930 --> 00:11:40.290 As you can see, it is possible to investigate the answers to these questions more deeply, 00:11:40.290 --> 00:11:48.079 but to do so, you will need help and support from other people. 00:11:48.079 --> 00:11:53.330 Remember one of the requirements in 5.1, which we discussed in tutorial 3, is that 00:11:53.330 --> 00:11:56.329 you must coordinate with other committees and management 00:11:56.329 --> 00:12:01.130 to implement assess-and-address. So, it is important to reach out to other 00:12:01.130 --> 00:12:04.829 committee members to ask for their support for example, the 00:12:04.829 --> 00:12:08.190 gender committee or responsible person could help you mitigate 00:12:08.190 --> 00:12:10.579 any risks that are linked to the situation 00:12:10.579 --> 00:12:13.220 of women or girls. 00:12:13.220 --> 00:12:15.260 Assess-and-address is most effective when you collaborate 00:12:15.260 --> 00:12:18.880 with other people at the group or farm, and in the community, 00:12:18.880 --> 00:12:22.149 because by doing so, you not only raise awareness about the 00:12:22.149 --> 00:12:25.259 importance of human rights, but you also benefit from 00:12:25.259 --> 00:12:31.019 other skills and experience, and share the activities and responsibilities more widely. 00:12:31.019 --> 00:12:34.339 If you haven t already done so, identify a few people outside 00:12:34.339 --> 00:12:39.100 the farm or group who could help the committee in its work on mitigation. 00:12:39.100 --> 00:12:42.380 This could include local teachers, community leaders, women s groups, worker organisations, 00:12:42.380 --> 00:12:48.819 or NGOs, and local experts and professionals. 00:12:48.819 --> 00:12:52.009 Meeting and talking to these people can also be an opportunity 00:12:52.009 --> 00:12:55.580 to improve the information you have to answer questions, 00:12:55.580 --> 00:12:58.480 and to visit a site to see for yourself what is happening. 00:12:58.480 --> 00:13:01.839 For example, when you meet the teacher you could visit the school, 00:13:01.839 --> 00:13:07.210 or when you talk to workers or group members, you can visit the farms. 00:13:07.210 --> 00:13:11.779 Lastly, divide up the tasks between the committee members 00:13:11.779 --> 00:13:15.139 so that you are clear who is responsible for what 00:13:15.139 --> 00:13:18.589 whether it is finding information for a specific question, 00:13:18.589 --> 00:13:23.660 talking to someone, or visiting a site. And after you have done the risk assessment, 00:13:23.660 --> 00:13:28.360 you need to agree who is responsible for a specific mitigation action 00:13:28.360 --> 00:13:32.980 this is entered into the management plan and it means that it is easier to monitor and 00:13:32.980 --> 00:13:41.240 report on progress. You know your country and commodity risk rating, 00:13:41.240 --> 00:13:44.519 you have the information you need to answer the questions, 00:13:44.519 --> 00:13:48.279 you know who is doing what task and you've worked out who can help. 00:13:48.279 --> 00:13:50.880 Let's get started! 00:13:50.880 --> 00:13:54.569 Open up the Excel and click on the Dashboard tab. 00:13:54.569 --> 00:14:00.170 Look in the top left hand corner at the Certificate holder drop down. 00:14:00.170 --> 00:14:04.949 This shows a close-up of the drop-down. Select whichever is appropriate for you 00:14:04.949 --> 00:14:10.209 large farm or group certification. This will change the 00:14:10.209 --> 00:14:13.680 question set you need to answer below. 00:14:13.680 --> 00:14:21.300 Now stay on the Dashboard tab and scroll down the Excel to Row 45 00:14:21.300 --> 00:14:26.199 (you will see the row numbers on the left hand side of the sheet). 00:14:26.199 --> 00:14:30.399 Row 45 is where the Assess-and-address section starts 00:14:30.399 --> 00:14:35.370 and it ends on Row 59 (there are lots of sections in the risk assessment 00:14:35.370 --> 00:14:37.300 which are filled out by different people at the business 00:14:37.300 --> 00:14:40.389 - you just need to focus on your part.) 00:14:40.389 --> 00:14:45.870 You will see that column B Issue has the title of the human rights issue 00:14:45.870 --> 00:14:55.060 that the question is about e.g. in this case, equal opportunities and prevention of discrimination. 00:14:55.060 --> 00:14:58.740 Look at column E this is where the questions are listed. 00:14:58.740 --> 00:15:02.379 Answer each question in the Assess-and-address section 00:15:02.379 --> 00:15:08.569 by clicking the answer (No or Yes) in Column F. 00:15:08.569 --> 00:15:13.509 Look at mitigation actions in Column G. Notice that these actions change 00:15:13.509 --> 00:15:18.310 depending on your answer. Mitigation actions are always very practical 00:15:18.310 --> 00:15:21.589 things that you can do to prevent problems from happening. 00:15:21.589 --> 00:15:26.319 In this example, the action is to make sure that all job vacancies 00:15:26.319 --> 00:15:31.879 are announced widely in appropriate languages this is to make sure that no one is excluded 00:15:31.879 --> 00:15:35.310 from the job and so helps you to prevent discrimination 00:15:35.310 --> 00:15:38.529 in employment. 00:15:38.529 --> 00:15:41.399 You can select your own mitigation action if you think 00:15:41.399 --> 00:15:44.320 the one included is not appropriate for your farm or group 00:15:44.320 --> 00:15:48.810 - perhaps because you have already done it, or there is a better way to fix the problem 00:15:48.810 --> 00:15:54.020 in your local context. Just make sure that you record the new mitigation 00:15:54.020 --> 00:15:58.230 action in Column H and then later you will enter this into the 00:15:58.230 --> 00:16:02.199 management plan. 00:16:02.199 --> 00:16:07.699 Look at the mitigation actions in Column G you will see that some 00:16:07.699 --> 00:16:09.560 are titled low, medium and high risk. 00:16:09.560 --> 00:16:12.149 This is why it matters that you check your risk level in the 00:16:12.149 --> 00:16:16.790 Rainforest Alliance maps it can affect what mitigation actions you take. 00:16:16.790 --> 00:16:19.910 You can see in this example, that two certificate holders 00:16:19.910 --> 00:16:23.160 could give the same answer to a question Yes - 00:16:23.160 --> 00:16:25.970 but if they are medium or high risk for child labour, 00:16:25.970 --> 00:16:32.290 then the mitigation action is different than if they are low risk. 00:16:32.290 --> 00:16:37.170 When you have finished answering all the questions you will have a set of mitigation measures 00:16:37.170 --> 00:16:42.430 that you must implement to address the human rights risks identified, 00:16:42.430 --> 00:16:45.199 and to achieve certification. 00:16:45.199 --> 00:16:49.820 The mitigation measures are in column G 00:16:49.820 --> 00:16:50.820 (and if you included any of your own, in Column H). 00:16:50.820 --> 00:16:54.910 Your next step is to enter these actions into the Management Plan 00:16:54.910 --> 00:16:59.560 which is the topic of the next tutorial tutorial no. 6. 00:16:59.560 --> 00:17:02.080 You can find the management plan template on the 00:17:02.080 --> 00:17:06.130 Rainforest Alliance website in the certification documents 00:17:06.130 --> 00:17:11.110 it is called Guidance B. Template of Management Plan. 00:17:11.110 --> 00:17:14.910 Before we finish, let s review this checklist to 00:17:14.910 --> 00:17:18.050 remind you of the evidence you must demonstrate to an auditor 00:17:18.050 --> 00:17:21.540 to show compliance with 5.1.2. 00:17:21.540 --> 00:17:24.830 You must be able to show a completed basic risk assessment 00:17:24.830 --> 00:17:28.400 You must be able to show the Management Plan with the corresponding mitigation measures 00:17:28.400 --> 00:17:32.460 included in it, and evidence that you are implementing those 00:17:32.460 --> 00:17:34.380 mitigation measures. 00:17:34.380 --> 00:17:38.530 Congratulations! You have just completed Tutorial 5 00:17:38.530 --> 00:17:44.510 on the basic risk assessment tool, for Core Requirement 5.1.2. 00:17:44.510 --> 00:17:47.130 When you are ready, please go to Tutorial 6, 00:17:47.130 --> 00:17:50.440 where we will explain how to use the Management Plan 00:17:50.440 --> 00:17:52.620 and work through a mitigation example. 00:17:52.620 --> 00:17:54.640 Thank you very much and good-bye.