Criterion: Company Commitment
Requirements for corporate policy statements affirming commitment to responsible practices
Full Description
E1. Company Commitment
Code 7.0
Corporate social and environmental responsibility policy statements affirming Auditee's commitment to compliance and continual improvement, endorsed by executive management and posted in the facility in the language of the workers or in a language the workers can understand.
Elements to Demonstrate Compliance to RBA Code
1. Policy
Adequate and effective policies/Code(s) that are endorsed by executive management, covering:
- a. Labor
- b. Health & Safety
- c. Environment
- d. Ethics
2. Procedures & Practices
Procedures & Practices are in place such that:
- a. A statement/Code is signed/endorsed by the highest-level manager at the facility or company, with a stated commitment to regulatory compliance and other requirements and a commitment to continuous improvement.
- b. The policy statement is appropriate for the nature and scope of the facility's operations.
- c. Requirements apply for each component (Labor, Health & Safety, Environmental and Ethics). If a component has a valid certification, then this is considered conformance for that component on this question (e.g., if a valid ISO 14001 certificate is in place the Auditor will not verify the Environmental Management System).
NOTE: The executive endorsement of the code can be absent when the policy/Code is publicly displayed (e.g., intranet or internet site).
NOTE: For Ethics, items/principles in BOLD must be covered at a minimum in at least one of their code of business ethics, standards of business conduct, business principles or code of conduct or similar document. The words do not have to match, but the principles need to be there: General Ethics — conduct business with honesty/integrity, protection of identity and non-retaliation; Legal compliance — Anti-Corruption or Anti-Bribery, Anti-Trust, Privacy, Intellectual Property (IP) Protection, Responsibly Sourcing Minerals.
3. Site Observations
- a. Corporate social and environmental responsibility policy statements in a language understood by each worker are visible to all workers.
4. Rating
| Priority | Major | Minor | Not Applicable |
|---|---|---|---|
| Not Applicable | One or more of the following is true: (1) Two or more of minimum requirement elements are missing or ineffective; (2) Does not contain commitment to continuous improvement and legal compliance; (3) Percentage of workers not aware of code content is >20% | One or more of the following is true: (1) No endorsement of senior management; (2) One of minimum requirement elements is missing or ineffective, or a system element is not adequately documented or is prohibited; (3) Percentage of workers not aware of code content is ≤20% | Not Applicable |
Profiles using this criterion
RBA Assessment Program
- VAP Full Assessment | 7.0.0
Conformity Alignment
Priority
Pass: No
Definition: "Critical non-conformance requiring immediate action"
Remediation: 30 days
Major
Pass: No
Definition: "Significant non-conformance requiring corrective action"
Remediation: 90 days
Minor
Pass: Yes
Definition: "Non-conformance with limited impact"
Conditions: Corrective action plan required
Remediation: 180 days
Opportunity
Pass: Yes
Definition: "Opportunity for improvement identified"
Conformance
Pass: Yes
Definition: "Full conformance with criterion requirements"
Related Criterion
VAP: Supplier Responsibility
Relationship: Related
Communicating code requirements to suppliers
VAP: Labor Management System
Relationship: Related
Labor policy integration
Change Log
1.0.0 (2021-01-01)
Changed
- Initial historical baseline — Company Commitment (RBA Code of Conduct 7.0): Earliest imported version. Required corporate social and environmental responsibility policy statements affirming commitment to compliance and continual improvement, endorsed by executive management and posted in the facility in a language the workers understand. Adequate and effective policies/Code(s) covering Labor, Health & Safety, Environment and Ethics, endorsed by the highest-level manager, appropriate for the nature and scope of operations. Used explicit Major/Minor rating bands (Priority was Not Applicable for this criterion).