Applying a risk-based approach to assurance systems

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The challenge
The risk maps
Risk-based implementation and assurance
The added value
Download project outputs

Introduction

Project details

Project title: Use of risk maps for child and forced labour in risk-based assurance processes

Project lead: Rainforest Alliance

Project partners: Ergon Associates

Duration: September 2020 to October 2021

Contact: Kaitlyn Sephton - ksephton@ra.org

Funded through the ISEAL Innovations Fund, which is supported by the Swiss State Secretariat for Economic Affairs SECO

The challenge

Consumers and companies are more engaged than ever in identifying the risks of human rights abuses in global supply chains, including child labour and forced labour. According to the International Labour Organization, 152 million children are engaged in child labour, and 1.4 million people are trapped in forced labour in agriculture around the world. But the risks of child labour and forced labour vary considerably across countries and sectors, which results in inefficient allocation of resources, and the chance of risks being both under and over-looked.

The risk maps

The Rainforest Alliance has created Child Labour and Forced Labour Sector Risk Maps to assess risk across regions in the tea, cocoa, banana and coffee sectors. Based on the maps, an area is given two scores which are combined for an overall rating; the ‘structural risk score’ is calculated using national data on the regulatory and socio-economic environment, and the ‘risks in practice’ score is based on sector and country specific research reports from governments, NGOs, multilateral organisations, and the Rainforest Alliance’s own data. This innovations project tested the feasibility of applying risk maps as part of the assurance system in Kenya, Côte d’Ivoire, and Honduras.

Cocoa pods, Honduras © Rainforest Alliance

Risk-based implementation and assurance

The project confirmed through certificate holders and certification bodies the validity of the methodology and effectiveness of the risk evaluation. As a result, child and forced labour risk mapping will be incorporated into the Rainforest Alliance’s assurance model, with auditors referencing the risk maps in the audit process. Farms located in countries and sectors designated as medium or high risk will have to identify and mitigate those risks, actively work towards targets to reduce them, and implement more robust self-monitoring, by using the Rainforest Alliance’s required Farm Risk Assessment Tool. The risk levels enable assurance processes, and the corresponding interventions, to proportionally target the most relevant risks for a given context.

The added value

Risk maps are an important tool to inform human rights due diligence processes for producers. The targeted approach of the risk maps allows for more effective deployment of limited resources, and strengthened assurance. A higher risk does not mean buyers should not source from a particular country or sector. It is an indication that active measures must be put in place to ensure robust due diligence processes in these areas, which will allow better mitigation of these risks, and collaboration among stakeholders to address structural issues.

Download project outputs

The Rainforest Alliance risk maps case study

The Rainforest Alliance, Risk Maps Case Study

This case study forms part of the Rainforest Alliance project Use of Risk Maps for Child and Forced Labour in Risk-Based Assurance Processes, supported by the ISEAL Innovations Fund. The project sought to test the prototypes of sectoral risk maps for child labor and forced labor in Kenya, Côte d’Ivoire, and Honduras.

The Rainforest Alliance Risk Maps case study487.09 KB

Annex A: Questionnaire for CBs244.78 KB

Annex A: Questionnaire for CHs226.21 KB

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