RBA Validated Audit Process (VAP)

Agenda

01 Introduction to RBA

02 RBA Validated Audit Process

03 VAP Scope

Agenda 04 Preparing for the VAP

05 Corrective Action Plan

06 Closure Audit Process

07 Resources
Introduction to RBA
 Who we are

The RBA is a coalition of the

world’s leading companies
working together to improve
efficiency and social, ethical,
and environmental
responsibility in the global
supply chain.

http://www.responsiblebusiness.org/
The Code of Conduct

The Code establishes standards to

ensure that working conditions in the
industry supply chain are safe, that
workers are treated with respect and
dignity, and that business operations
are environmentally responsible and
conducted ethically
 RBA Code of Conduct

http://www.responsiblebusiness.org/standards/code-of-conduct/ 7
RBA Audit Process
 Standards of VAP

APM Managed Audit Process

Process oversight by RBA
Program Manager
Capability Building
Audit Process based in Full Scope of
continuous improvement
Facility Audited
Corrective action plan verification Reduce audit fatigue and increase
to verify compliance report sharing

VAP Collaborative Approach

Integrity
Minimum of 2 auditors on site always
Shadow audit program
Audit Documentation
Findings and conformance ratings are
documented, all data points are
triangulated to validate conclusions
3rd Party Audit
Auditee owns the audit report
Third party Assessment
Audit Firm certification and performance review
 Audit Criteria

VAP audits produce in-depth

evaluations of the social,
Legal
RBA
Customer ethical, occupational
Code of
Requirements
Conduct
Requirements
health and safety and
environmental performance
of suppliers as measured
against the audit criteria.

VAP Audit Criteria The audit criteria are based

on the RBA Code of
Conduct.
 The Journey of a factory

Capability Building
RBA online learning academy Self - Assessment Recognition
In person Code & VAP Training Evaluate performance against Level dependent on
Create a factory action plan RBA Code of Conduct audit score

Continuous
Start Improvement

Factory Lead VAP Audit

Training Conduct an audit in your
facility / factory
Identify one person to become
RBA factory lead certified
Optional
 RBA Code of Conduct Elements V7.1

Health and Management

Labor Environmental Ethics
Safety Systems

Treat employees with Evaluate and control exposure Supply Chain Management
Protect the Environment Uphold the highest standards
dignity and respect to hazards Systems
A1) Freely Chosen Employment B1) Occupational Safety C1) Environmental Permits and D1) No Improper Advantage E1) Company Commitment
A2) Young Workers Reporting
B2) Emergency Preparedness D2) Disclosure of Information E2) Materials Restrictions
A3) Working Hours C2) Hazardous Substances
B3) Occupational Injury and Illness D3) Intellectual Property E3) Responsible Sourcing of Minerals
A4) Wages and Benefits C3) Solid Waste
B4) Industrial Hygiene D4) Fair Business, Advertising and E4) Supplier Responsibility
A5) Humane Treatment C4) Air Emissions Competition
B5) Physically Demanding Work
A6) Non-Discrimination / Non- C5) Water Management D5) Protection of Identity and Non-
B6) Machine Safeguarding
Harassment Retaliation
C6) Energy Consumption and
B7) Food, Sanitation and
A7) Freedom of Association Greenhouse Gas Emissions D6) Privacy
Housing

Management Systems
Performance Review and
Risk Management Control Processes Communications
Continuous Improvement
M1.1 Legal and customer M2.1 Management M3.1 Communication
requirements responsibility M4.1 Management
M3.2 Worker Feedback, accountability
M1.2 Risk Assessment and M2.2 Control Processes Participation and grievance
Risk Management M4.2 Audits and Assessments
M2.3 Training
M4.3 Corrective Action Process
Preparing for the VAP
What to expect
 RBA Online Process

Each step of the process contains a hyperlink to the corresponding RBA-Online Help section

Create an RBA Pay your Create a facility Create trading

Online Account subscription in the system relationships

Complete your Initiate an audit Sign auditee Sign attachment

facility SAQ request agreement B

Get your VAP

Submit your CAP
audit report

2
 RBA VAP Process Overview
Step 1 Step 2 Step 3 Step 4 Step 5
RBA-Online Audit request & On site audit Audit report Follow up
Self Assessment scheduling

RBA schedules and

Register on RBA-Online On site audit is
coordinates the Audit report review & Corrective Actions
and conduct a Self conducted under
audit with your release on RBA- Plan review and
Assessment of your facility the oversight of approval
company Online
(SAQ) the RBA APM
(APM)

Register on RBA-Online Request VAP Audit

Pre-audit call with auditors Draft report is released Verify with your customer
complete and release the through RBA-Online
for CAP options
SAQ for your facility and
provide access to your
customers in RBA-Online RBA contracting and VAP 2 – 8 days process
Review draft report
Audit Scope (varies per facility)
Corrective action plan is
reviewed and approved
Request access to RBA Final report released on
VAP audit cost approval RBA-Online
learning academy (free for
RBA Members)

Non-compliance closure
audit scheduling audit verification required

3
 Audit Report (VAR) Process - Timeline

Audit
AQM
Audit firm Firm Audit firm Final VAR
sanitizes
Completed
VAP Audit

sends prepares Quality issue final reviewed

draft and
signed draft Assurance report and
sends to
AFA to report Process including released
auditee for
AQM and sends QA input to Auditee
review
to AQM

+2 day +10 days +13 days +18 days +21 days *

AQM – Audit Quality Manager *number of calendar days from closing meeting
Audit Preparation

Link to VAP Ops

Manual 7.1.1
5
 During the Audit

Opening meeting

Facility walk-through

Interviews with management and workers

Document review
TIP: Ensure management
is at opening and closing Daily wrap up / closing meeting
meetings
6
 Auditee Responsibilities

Ensure all documents are ready for review by lunch time on Day 1. If not, audit will be canceled.

Provide resources to complete working hours template on Day 1.

Assign representatives for Labor, Ethics, Employee Health and Safety (EHS) and Management Systems.

Ensure management rep. and workers selected for interviews are available at the times agreed

Ensure personnel, time and wage records for subcontracted workers in core operations are available by the end of
Day 1

Provide required PPE and safety guidance during facilitytours

7
Corrective Action Plan
Management and Verification
 Closure Audit Process
Verification

Priority Findings

Major/Minor Findings
Follows same process as Triggered by the customer
Mandatory within specific
initial audit (request, or auditee
timeframes
scoping, costing approval,
scheduling, on site, report)
Triggered by APM Typically all findings are
included in a single closure
Timing should be based audit
upon the type of findings in Any other findings the
the initial audit (Priority, auditee has closed and is
Major, Minor, Risk-of- ready to have verified,
Nonconformance) especially those requiring
on-site verification, these
can be included in a Priority
The closure audit should
Finding Closure Audit.
not occur later than 18
These need to be agreed
month maximum from
on upfront with the APM
initial audit date

The focus of a closure audit is on the open findings but if the auditor encounters a code violation then that must be recorded
and becomes a new finding
VAP Recognition
VAP Recognition Program
Resources
And contact information
 Online Resources

VAP Guidance Documents

The below documents are selected chapters from the VAP operations manual. Please note the entire
VAP operations manual is not publicly available. If you have any questions, please contact us.

• Auditee Preparation (English)

• Auditee Corrective Action Plan Management (English)
• Root Cause Analysis (English)
• Code Interpretation Guidance V7.1.1
• Operations Manual Notifications
• Working Hours Guidance (English)
• Definition of Fees (effective as of Jan. 1, 2021) (English)
• Worker-Type Guidance (English)
• VAP Definitions (English)
• Auditee Agreement (generic template)
• Authorized Recipient Attachment (Attachment B)

2
 Contacts

• RBA-Online
• www.rba-online.org
• Contracting, Code and technical assistance
• vap@responsiblebusiness.org (RBA Audit ProgramManager)
• Validated Assessment Process
• jcmartinez@responsiblebusiness.org (JC Martinez, Director of Audit Operations)
• Invoicing and payment
• RBAFinance@responsiblebusiness.org
• General non VAP RBAinformation
• info@responsiblebusiness.org
• Tools and Resources
• http://www.responsiblebusiness.org/standards/vap/