Self Assessment/Verification Frame of Reference

The fourth key element of the new Responsible Care Global Charter calls for continuous improvement and reporting of performance for companies that implement Responsible Care. It specifically requires these companies to ?go beyond self-assessment of the implementation of Responsible Care, and adopt verification processes carried out either by associations, government bodies, or other external organizations?.
This is the first SPIK Responsible Care Program Self-Assessment/Verification Frame of Reference, prepared to address its current needs and the recommendations of the new Global Charter.

  1. Policies – SPIK requires all its members to implement Responsible Care (Board Resolution of 12 July 2005). This requirement immediately applies to companies joining SPIK for the first time. Existing members who are not implementing Responsible Care have been given 3 years to join the program. Membership in SPIK and in the RC Program will no longer be distinct from each other beginning January 1, 2008.

    The SPIK Responsible Care Program requires all implementing members to submit Self-Assessment reports annually, before March 31st of each year (RC Council meeting of 6 May 2005). This policy applies to all new and existing members. Annual submission of Self-Assessment reports is considered one of the basic requirements to the maintenance and active implementation of Responsible Care.

    The SPIK Responsible Care Program shall implement a verification system which can be made available to all members (New Global Charter). Beginning 2008, all members who will have completed three years of RC implementation will be required to submit to some form of verification, at least once every two years, as prescribed in this Frame of Reference. Present implementers have the option to immediately avail of verification services as soon as they become available under this framework.

  2. Self-Assessment – The conduct of Self-Assessment and its reporting to the RC Council is a basic requirement to being considered an active RC implementer. Reports must be prepared by the company RC Coordinator and authenticated or certified by the company CEO. The reports assure the RC Council that there is an active program being implemented and maintained in at least four (4) of the Codes of Management Practices. These are also central to the establishment of the company (and industry) baseline data.

    Procedures for the conduct of the self-assessment exercise are contained in the SPIK Responsible Care Manual ? 1st edition (green cover, pages 32-37). Templates are also available at the RC Secretariat. Reports of the year-just-ended-operations must be submitted to the RC Council not later than March 31st of the succeeding year.

    Mentor services will be assigned by the Verification Center to those who may require assistance in the preparation (first time) of self-assessment reports.

  3. Verification – Verification is the process of checking the correctness of the self-assessment reports, and the adherence to a good management system, for the implementers of Responsible Care.

    The verifier obtains and evaluates implementers? information, their relevance and credibility, draws conclusions, and when requested, makes recommendations on the maintenance or improvements of the implementer?s Responsible Care program.
    Independence on the part of the verifiers is essential to the proper conduct of a verification program, ensuring that verifiers remain objective, impartial and unbiased.

  4. The SPIK Verification Program – The SPIK Verification Program will be implemented in two phases.

    Phase 1 allows new and present implementers to stay for a maximum of 2 years in the self-assessment mode of the program, with option to go for verification anytime before the 2-year period ends.
    The verification program proper, on the other hand, will be conducted in three (3) stages.

    Stage A – Verification will cover, as a minimum, confirmation of:

    • the presence of a system and its organization,which recognizes priorities aligned with the business;
    • code implementation activities and a self-assessment program;
    • good documentation and record-keeping;
    • awareness of all the laws and regulations applicable to their business; and
    • the commitment of employees and management to responsible Care.

    Awareness and understanding of Responsible Care by management and the employees are the success indicators for this verification stage.

    Stage B – Verification will cover:

    • a review of Stage A verification parameters and responses to previous recommendations;
    • the development of their own RC Manual based on the SPIK RC Management System Manual;
    • establishment of baseline data; and
    • establishment of appropriate priorities for the PDCA management cycle operations.

    Performance is this verification stage?s key word.

    Stage C – Verification sets the stage preparatory to Phase 2 verification.

    Implementers may request verification of their program in accordance with the stage they are ready for. Verification reports will indicate which stage or stages were considered in the conduct of the verification. It is, however, expected of implementers to be ready for Stage C verification not later than five (5) years after they join the initiative. Phase 2 of the program will be a full Verification / Audit Plan similar in context to ISO audits. A new Frame of Reference or amendment to this framework will be initiated (and completed in 2007). We should then be able to approach closer, third party verification programs as in other RC implementing organizations, and as envisioned in the new Global Charter.

    Multinationals and big companies which may be required by their parent companies, customers, and/or principals to go beyond the requirements of the present SPIK Verification Framework will have to go for independent verifiers in the meantime.

  5. Verification Activities and Scope – The verification activities and the scope of coverage are defined by the stages being applied in the instant case. Although grouping of activities are guided by the Six (6) Codes of Management Practices, the supervening considerations should focus on the environmental, health, and safety (EHS) initiatives of the implementer. Implementers are required to work on a minimum of four (4) of the Codes of Management Practices to be considered active in the program.

    The following is a brief guideline for activities, subjects and verification points:

    • The area of verification of pollution control, employee health and safety, and process safety will most likely be in the production floor at the business site (plant).
    • The subject of verification for distribution and product stewardship may likely include warehouse facilities, transport contractors, dealers? stock rooms, disposal facilities and similar areas.
    • The subject of verification of community relations starts with management policy review of dialogue relations, initially with its proximate community and then its public.
    • The conduct of verification for management systems will be with the management of the RC program itself.
  6. SPIK Verification Center – The SPIK Responsible Care Verification Center (Center) is established to operate within this Verification Frame of Reference to manage the verification activities of the SPIK Responsible Care Council. It shall be composed of a Center Director, Verifiers, and a Secretariat.

    The Center Director will be appointed by the SPIK Board of Directors upon the recommendation of the RC Council Tri-Cord. The Center Director holds a term of office for one (1) year and may be re-appointed. The Verifiers are qualified according to the qualification rules in the succeeding paragraphs, which may be detailed by issuance from the Verification Center.

    The Center receives applications for verification, directs the ensuing verifications, issues approved verification reports, records and files verification information, conducts verification training, and performs other tasks related to its operation.

    The Center Director manages the Center, approves evaluation reports, and is responsible to the SPIK Board of Directors for the conduct of the SPIK Verification Program.

    There will be a Chief Verifier who prepares and coordinates verifier assignments, manages the verification proper, prepares the opinions and recommendations, and performs other tasks that may be assigned by the Center Director.

    The Verifiers perform actual verification and other supporting and related work.

    The Secretariat serves the office work requirements of the Center. It will create and provide forms and templates for all self-assessment or verification needs.

    The Center Director, Verifiers, and members of the Secretariat shall always maintain an unbiased position, be transparent in their actions, and bind themselves in writing to confidentiality.

    The Center decides on fees to charge for mentoring and/or verification, and the honoraria to grant Verifiers, subject to approval by the SPIK Board of Directors.

  7. Verifier Training and Certification – Application for Verifier training and certification shall be submitted to the Center Director in a form provided for the purpose.

    The applicant should give a brief narration of his experience in RC and/or ISO work, present designation and job functions in the company.

    Accepted applicants must undergo a Verifier’s training course.

    The Chief Verifier, or whoever conducting the training, will submit to the Center Director an evaluation report on the applicant which will be passed upon by the RC Council Tri-Cord.
    The applicant, whose certification has been approved by the Tri-Cord, shall submit a pledge in the proper form, and the Center Director shall issue a Certification and register the Verifier in the Verifiers? Control Book.

    The validity period for the Verifier?s registration is two (2) years, renewable upon application as reviewed by the RC Council Tri-Cord. Verifiers who have not done any verification work for the Center for more than one (1) year will be removed from the registry upon notice. Registration may also be cancelled if Verifier does not satisfy the standards for Verifiers and verification or if Verifier does not apply for renewal of registration.

  8. The Verification Process
    1. Definition of objectives, scope and criteria to be used
      • Determine conformance of objective with RC set standards.
      • Scope will depend upon the verification stage requested, the documentation available and type of activity to be verified.
      • Criteria may include policy, procedures, standards, guidelines etc.
    2. Selection of the Verifier or Verification Team
      Responsibilities of the Verifier or team.

      • Comply with verification requirements (objectives, scope, criteria).
      • Communicate and clarify the verification requirements.
      • Plan and perform verification effectively and efficiently.
      • Document the information gathered during the verification.
      • Evaluate the information for evidence.
      • Report the results of the verification.
      • Maintain records of the verification.
    3. Preparation of the Verification Plan
      A verification plan should include:

      • Objectives, scope and criteria;
      • Date and location where verification will be conducted;
      • Time and duration of the verification;
      • Identification of reference documents;
      • Identification of verification team members; and
      • Confidentiality requirements.
    4. Arrange schedule with the RC member to be verified RC member to be verified should allow at least seven (7) days prior notice to give sufficient time to properly prepare for the verification.
    5. Performing the actual verification
      Opening Meeting:
      Introduce Verifiers
      Confirm verification plan
      Set time and location for the closing meeting

      To gain credibility, respect and trust, the Verifier should be professional in presentation and conduct. Punctuality, politeness and positive attitude are essential. By being open in dealing with people and explaining the treatment of findings, the Verifier is able to set the tone for the verification.

      Checklist or template should be used as guide for the conduct of the verification and should not inhibit additional questioning which may provide valuable insights. It not only reduces side-tracking but also provides evidence that features were examined, provides background for future verification, and is essential for preparing the report.

      Closing Meeting
      Verifier gives objective overview of the findings and ensures that verified company understands what has been found during the verification.

    6. Reporting the Verification – Discussions of the conclusions and recommendations should take place before a final report and formal report is issued to complete the activity.

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