Assessment guide AFAQ 26000
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Assessment guide AFAQ 26000 Document Transcript

  • 1. E N T E R P R I S E S / O R G A N I Z AT I O N S Assessment Guide AFAQ 26000 Sustainable Development Corporate Social Responsibility Human Environmental AFAQ Production and consumer Resources results 26000 Regional protection roots Social CORPORATE SOCIAL Strategy and results corporate RESPONSIBILITY Approach social responsibility Economic results
  • 2. Human Environmental AFAQ Production and consumer Resources results 26000 Regional protection roots SocialCORPORATE SOCIAL Strategy and results corporate RESPONSIBILITY Approach social responsibility Economic results2 Assessment Guide AFAQ 26000 - Enterprises / Organizations © Any integral or partial reproduction, made apart from an authorization express of AFNOR Certification or of its having causes, is illicit.
  • 3. Preface W hatever the sector, it has become almost indispensable for companies, and organisa- tions in general, to position themselves in terms of sustainable development. What fac- tors legitimise their activities, products or services? What is their ability to create value sustainably while meeting their stakeholders’ expectations? Organisations are thus increasingly required to account for their contribution to sustainable development and their ability to attain an overall level of performance, balanced on three pillars : economic, social and environmental. 2010 is a historic milestone, both for voluntary regulation tools on an international level, including standardisation, and for Corporate Social Responsibility (CSR). Indeed, the publication on 1st November of ISO 26000, the first international CSR Guidelines, offers a common definition for the first time, enabling such responsibilities to be clearly deline- ated and exercised. ‘Corporate Social Responsibility’ refers to the contribution made by organisations to sustain- able development. ISO 26000 explores and develops these concepts and sets strong bench- marks, both in terms of resources and underlying tenets, by means of 7 core CSR subjects and 7 CSR Principles. The standard implicates both the strategic thinking and the methods of an organisation—as well as its means, goals and its operational deployment of Corporate Social Responsibility. ISO 26000 also takes account of the fact that each organisation’s CSR solutions are unique: they depend on their sector, context and culture, in a changing world where knowledge, innovation and stakeholder expectations continually influence the state of the art of CSR practices. ISO 26000 also reiterates an element that was an integral part of the mandate granted to the experts and stakeholders involved in its development: this standard is not intended for certification. It is in order therefore to help organisations assess the relevance and maturity level of their prac- tices (in a spirit of assessment rather than certification), that over the last three years, AFNOR Certification and the AFNOR Group have acquired unique insights into evaluating the extent to which organisations practise sustainable development. Our methods and expertise have thus proved their robustness and added value, irrespective of sector or size of organisations. AFNOR Certification is thus more than ever ready to work alongside all organisations—from the smallest to the largest—that wish to assess, demonstrate, seek recognition of and improve their approach to Corporate Social Responsibility. Florence Méaux, General Manager Assessment Guide AFAQ 26000 - Enterprises / Organizations 3 © Any integral or partial reproduction, made apart from an authorization express of AFNOR Certification or of its having causes, is illicit.
  • 4. Human Environmental AFAQ Production and consumer Resources results 26000 Regional protection roots SocialCORPORATE SOCIAL Strategy and results corporate RESPONSIBILITY Approach social responsibility Economic results Preamble I n 1987 the United Nations World Commission on Environment and Development, known as the Brundtland Commission, introduced and defined the concept of sustainable development as «development that meets the needs of the present without compromising the ability of future generations to meet their own needs». The various stakeholders attending the UN Rio Summit in 1992 (NGOs, states, local govern- ments, unions, companies) seized on the issue with enthusiasm. Events in recent years have brought concerns and issues related to sustainable development to the forefront, on a worldwide scale, with climate negotiations, mobilisation on biodiversity, the Millennium Goals, the raising issues of the social conditions of workers globally, and so forth. In this context, Corporate Social Responsibility, defined as «the voluntary contribution of organi- sations to sustainable development», offers a framework and an opportunity for organisations— and particularly for businesses—to demonstrate their uptake of social and environmental issues in conjunction with their stakeholders. The year 2010 marks a historic milestone, both for sustainable development, international nego- tiations within the ISO (the International Organization for Standardization) and CSR. Indeed, with the publication on 1st November, of ISO 26000: International Guidelines for Corporate Social Responsibility, actors worldwide have, for the first time, a common frame of reference with which to define and implement CSR. ISO 26000 calls for the formulation of CSR strategy in tandem with the global challenges of sus- tainable development and a given organisation’s characteristics, constraints and opportunities. ISO 26000 provides the keys and makes linkages with the tools, including control mechanisms (indicators...) with which to build, invigorate and improve this process. The approach to social responsibility of each organisation and business is unique and requires responses and practices based on its own issues, context and culture. ISO 26000 stresses this point and makes no a priori requirements. Organisations are invited to measure the soundness of their practices, and these, where appli- cable, deserve to be acknowledged, valued and communicated. Responsible organisations also deserve to be distinguished from the advertising practices and “greenwashing” carried out by actors who occasionally knowingly misrepresent their contribution to sustainable development. It is therefore natural to raise the question of evaluating ISO 26000 compliance as a tool for reflection, steering and external dialogue. Based on the expertise and experience in Sustainable Development issues of the AFNOR Group, AFNOR Certification has developed a methodology for evaluating the ISO 26000 compliance of organisations: AFAQ 260004 Assessment Guide AFAQ 26000 - Enterprises / Organizations © Any integral or partial reproduction, made apart from an authorization express of AFNOR Certification or of its having causes, is illicit.
  • 5. ContentsIntroduction............................................................................................... 6Assess your Corporate Social Responsibility today. ........................ 7 .and pave the way for tomorrowThe assessment process......................................................... 8The AFAQ 26000 Model: General remarks......................... 111. Practices...................................................................................... 12Criterion 1 Vision of CSR& Governance................................................................................ 12 .Criterion 2 Implementation: Integrationand communication of CSR......................................................... 14Criterion 3 Human resources,labour relations and practices...................................................... 16Criterion 4 Modes of production, sustainableconsumption and consumer issues............................................. 18Criterion 5 Local integration: communitiesand local development.................................................................202. Results......................................................................................21Pilier 6 : Environmental results........................................................21Pilier 7 : Social results.......................................................................22Pilier 8 : Economic results.................................................................. 24The AFAQ 26000 Model: Assessment principles.................. 25Recognition valid for up to 3 years. ........................................... 28 .The expertise and skills of evaluators............................................... 30Glossary...................................................................................................... 31 Assessment Guide AFAQ 26000 - Enterprises / Organizations 5 © Any integral or partial reproduction, made apart from an authorization express of AFNOR Certification or of its having causes, is illicit.
  • 6. Human Environmental AFAQ Production and consumer Resources results 26000 Regional protection roots SocialCORPORATE SOCIAL Strategy and results corporate RESPONSIBILITY Approach social responsibility Economic results Introduction AFAQ 26000, building on AFAQ 1000NR 3 years of progress and lessons learned I n 2007, AFNOR Certification developed an assess- A mixture of businesses, non-profit organisations, trade ment approach of the way organisations incorporate unions etc. of all sizes and in all sectors have worked sustainable development into their strategies, man- with us as pioneers in the field. Over a hundred inno- agement and results: AFAQ 1000NR. vative organisations committed to sustainable devel- opment (whether as a recent initiative on their part or It was an innovative strategic choice. By including actors a mature policy), have called upon our experts to take who were themselves expert in sustainable development the temperature of their Corporate Social Responsibility (having participated in the major summits as well as the policy, share our findings with their internal and exter- most innovative methodological developments of recent nal stakeholders, and identify ways forward to further years: SD 21000 etc...), AFNOR Certification made develop their strategies and practices with a view to bet- a choice to invest in the processes and competences ter overall performance. of corporate social responsibility, in anticipation of the release of ISO 26000. Large companies, entities operating within such compa- nies, medium, small and very small businesses (includ- Since the beginning of international work on ISO 26000, ing some with fewer than 10 employees), in the sectors of the mandate of the Standardisation Commission had energy, food, services, building and public works, land- been clear: this would be a new type of standard (a scape, social housing, and many more, have contributed «standard of conduct»), which would neither aim to out- over the past three years to making first AFAQ 1000NR line requirements in terms of a management system, then AFAQ 26000 France’s leading provider of sustaina- nor to become a certifiable framework (the preamble to ble development practice assessment1. Our clients both ISO 26000 explicitly emphasises this stance). in France and abroad have shown confidence both in our original methodology and in the men and women whose Indeed, the relevant practices deployed by each organi- expertise undergirds our approach. sation are different and organic and cannot be prede- fined in advance. According to locations, activities, AFNOR Certification has acquired and consolidated the cultures, practices and available technologies, and on expertise of a dedicated pool of evaluators pooling their stakeholders’ changing circumstances, challenges and CSR assessment practices. These evaluators are quali- expectations, Corporate Social Responsibility consists fied experts and their skills are continuously refreshed precisely of identifying and deploying appropriate prac- and updated, adding even more value for our customers tices and improving and revising these over time. in terms of their current questions about the future. In this context, in order to ascertain uptake of ISO 26000 The enthusiasm of our customers and the course of issues and principles by organisations, the AFNOR international events have more than justified our choices. Group, in line with the recommendations of ISO, consid- ers assessment to be the most relevant methodology, in Make your commitment count with us and join the family both ethical and technical terms, for all matters relating of globally responsible organisations. to corporate social responsibility. AFNOR Certification now has 3 years’ experience of evaluating the contribution of organisations to sustain- able development, thanks to AFAQ 1000NR, which was already in line with ISO 26000. 1. Not counting companies quoted on the stock exchange.6 Assessment Guide AFAQ 26000 - Enterprises / Organizations © Any integral or partial reproduction, made apart from an authorization express of AFNOR Certification or of its having causes, is illicit.
  • 7. Assess your Corporate SocialResponsibility today and pave the wayfor tomorrowAFAQ 26000, assess your Corporate Social development: ISO 26000, the Rio Declaration, GlobalResponsibility Reporting Initiative, Global Compact, SD21000...  n external assessment which defines and implements A AFAQ 26000: Enrich your relationship with ISO 26000 stakeholders  Abalanced measure of your organisation’s strategic, managerial and operational behaviour, practices and  nalysis A and integration of stakeholder expectations: the assessment includes interviews with various stake- outcomes holders (employees, health and safety committees,  rating scale of 1000 points that represents four matu- A customers, suppliers, partners etc.) rity levels: Initial, Progression, Confirmed, Exemplary  upport S for stakeholder dialogue through the  xpert E CSR assessors, qualified and trained within Assessment Report a dedicated pool, with several years of experience in most sectors  pening O up to new stakeholders and improving local integration.A summary Assessment Report—a real tool for strategicand operational management, offering suggestions forimprovement. AFAQ 26000: Develop and strengthen your businessAFAQ 26000: Enhance your contribution to sus-  truly international passport testifying to your organi- Atainable development sation’s CSR achievements  ommunicate your level of performance: a recognised C  evelopment of new markets or products D and communicable Assessment Certificate and Logo,  reas for improvement: reduction of energy costs and A from Progress Level onwards raw materials, security of supply channels, choice of  nsure E the loyalty of your customers and other alternative means of transport... stakeholders through your commitment to social responsibility. AFAQ 26000: an optimised service  everage L your actions and your external stakehold-  n A assessment covering all sustainable development ers (employees, shareholders, partners, customers, issues throughout the organisation (or within a coher- suppliers...) ent area).  ain easier access to markets G > Strategic, managerial and operational practices mprove your awareness and reputation I (strategy, management, HR, production methods, local integration)AFAQ 26000, an approach adapted to your con- > Competency in managing performance in termstext and your strategy of Corporate Social Responsibility (environmental, social, and economic outcomes)  uitable for all kind of organisations (large companies S  ptimised 3-phase process O and subsidiaries, SMEs, very small businesses, local authorities and governments) and sectors  elivered by AFNOR Certification, D the organisations assessment specialists: our optimised value-for-  seful U at all stages of the process: from simple money service delivers strong strategic and opera- inventory to leveraging previous endeavours by your tional added value. organisation  onsistent with the main reference texts on sustainable C Assessment Guide AFAQ 26000 - Enterprises / Organizations 7 © Any integral or partial reproduction, made apart from an authorization express of AFNOR Certification or of its having causes, is illicit.
  • 8. Human Environmental AFAQ Production and consumer Resources results 26000 Regional protection roots SocialCORPORATE SOCIAL Strategy and results corporate RESPONSIBILITY Approach social responsibility Economic results assessment process AFAQ 26000 The assessment approach The assessment follows a clear approach: to demonstrate the capacity of the entity being assessed to appropriately identify its CSR issues, deploy relevant operational and managerial practices and manage results so as to improve its overall performance (in line with stakeholder expectations). Objective: To demonstrate that the organisation’s strategy and practices facilitate the attainment of positive results in various aspects of sustainable development. Focus of conclusions: On-site assessment T  he maturity level of strategy of the extent to which the business and practices has integrated CSR T  he capacity to manage and achieve key outcomes C  ausal linkages between practices and results. Given the comprehensiveness of the AFAQ 26000 model and the diversity of CSR issues, assess- ment is conducted by pairs of assessors, except for organisations of fewer than 50 employees (in which a narrower pool of dedicated assessors is qualified to intervene). Assessment phases The assessment service is conducted in 3 main phases:  n and off-site preparation O  n-site implementation O  n and off-site analysis O8 Assessment Guide AFAQ 26000 - Enterprises / Organizations © Any integral or partial reproduction, made apart from an authorization express of AFNOR Certification or of its having causes, is illicit.
  • 9. The different phases of an AFAQ 26000 assessmentThe main objectives of the three phrases are outlined in the diagram below: 1 2 3 Partial on-site On-site assessment Partial on-site preparation analysis D  ata gathering: D  ata gathering in terms of D  rafting of Assessment Documentary review and approaches, practices and Report identification of diverse results via interviews with A  warding of overall score, indicators specified managers, staff identification of practices to I  dentification of and stakeholders and related be continued and areas for stakeholders to be met documentary analysis improvement (during final (including 5 external M  ulti-site consolidation debriefing meeting) stakeholders) where necessary, depending P  resentation of Assessment D  rafting of assessment on context Certificate containing score plan, including meetings with O  ptional facilitation of focus and relevant level, and specified stakeholders groups: assessment and presentation of associated I  nitial data analysis collective sharing of CSR logo practices On-site preparation con- mprove and manage communication with internal and/ I 1 tributes to a large extent to the added value of an AFAQ 26000 assessment. or external stakeholders (based on the Assessment Report...) Partial on-site .. . preparation The assessment aims are identified and clarified in Preparation, in conjunction with the management of the conjunction with manage- entity being evaluated, can help define the terms most ment. relevant for evaluating its practices and management tools, leading to an assessment plan incorporating theThese aims can be on different levels and are often com- various stakeholders, both internal and external, to beplementary: contacted.  stablish a reliable barometer via a third party assess- E ment of the organisation’s integration of Corporate On-site preparation takes place ahead of the assess- Social Responsibility ment proper. This advance data-gathering exercise  rovide an external perspective and expertise through- P enables the entity being evaluated to outline the benefits out the entity being evaluated, highlighting practices to it expects from the analysis of its practices, manage- be continued and its areas for improvement. Identify ment and outcomes. action plans based on priorities Such a clarification, a learning experience for the entity  acilitate awareness of required changes via an out- F being evaluated, helps the evaluator to identify the enti- side perspective; ty’s key characteristics and issues. The data required for the preparation of the assessment  stablish a system of internal or external comparison E include: (benchmarks) for practices and outcomes  he entity’s policy and strategy T  repare for sustainable development awards P  eneral information about the entity (relationship G  emonstrate commitment to Sustainable Development D with a group, organigram, presentation literature and and Corporate Social Responsibility to clients, pros- description of activity, etc.) pects, and other stakeholders Assessment Guide AFAQ 26000 - Enterprises / Organizations 9 © Any integral or partial reproduction, made apart from an authorization express of AFNOR Certification or of its having causes, is illicit.
  • 10. Human Environmental AFAQ Production and consumer Resources results 26000 Regional protection roots SocialCORPORATE SOCIAL Strategy and results corporate RESPONSIBILITY Approach social responsibility Economic results  he set of indicators to be monitored by the entity (the T to the business and its location(s) be contacted (cli- results must usually cover a sufficient period to indi- ents, suppliers, regional industry, research and envi- cate a trend) ronment officials [DRIRE], occupational health officers,  arious documents relating to management (process V local authority environment and energy management mapping where applicable, records relating to internal authorities, residents’ associations, labour market and external communication on the subject...) integration associations, training networks, fire-fight-  … ers, prefecture...). These stakeholders are contacted either by phone or met during the on-site assessment Identification of stakeholders to be contacted dur- (e.g. during a working lunch). ing the assessment takes place directly with the entity’s management and consists of two steps: The preparation also enables us, in conjunction with  . Identification of internal staff and stakeholders: all 1 the management team, to consider the details of the managers (financial, human resources,...), employees debriefing, identifying the target audience for delivery and their representatives (shop stewards, HSC mem- of the assessment conclusions. A further more com- bers…), shareholders; face-to-face meetings take plete debriefing (including all the scores by practice and place with these stakeholders during the assessment results), before a select audience (management commit- as agreed in the assessment plan. tee, all staff, external stakeholders...) is also an option, depending on the objectives pursued by the leaders of  . Identification of external stakeholders: it is recom- 2 entity being assessed. mended that at least 5 external stakeholders relevant 2 3 On-site assessment Analysis: the Assessment and Debriefing Report The evaluator factually analyses good practices to be continued and areas for improvement, so as to be able The evaluator may make use of an off-site period for to record a score for each sub-criterion in the practice writing the assessment report, consolidating the overall assessment model. score and preparing the debriefing meeting. During assessment, various employees of the entity During the debriefing meeting, the evaluator presents the being evaluated may be interviewed, as well as various organisation’s strengths and areas for improvement for external stakeholders identified during the preparation, the 5 practice criteria and 3 results criteria. in order to gather factual examples which can feed into The overall score and the level attained are also com- planning, implementation, deployment, measurement municated. and improvement of practices covered by the AFAQ 26000 model. Then, against each criterion, s/he debriefs on the salient The evaluator also assesses the relevance of given indi- facts characterising the company’s approach and matu- cators in relation to the issues and the attainment lev- rity level in terms of Corporate Social Responsibility. els of objectives, trends and comparisons with external data, in order to determine the score assigned to out- The evaluator factors in the exchanges of views and comes sub-criteria of the AFAQ 26000 model. comments made by the organisation during the debrief- ing meeting in the final drafting of the assessment report. As the assessment takes place over several days, the assessor may call interim review meetings to present S/he completes the assessment report and sends it to material collected in order to clarify any ambiguities and the chargé d’affaires. The assessment report is then for- facilitate the debriefing meeting. warded by the chargé d’affaires to the assessed entity.10 Assessment Guide AFAQ 26000 - Enterprises / Organizations © Any integral or partial reproduction, made apart from an authorization express of AFNOR Certification or of its having causes, is illicit.
  • 11. The AFAQ 26000 ModelAFAQ 26000 was developed in linewith key benchmarks for sustainabledevelopment: SD21000, GRI, the Human Environmental ResourcesGlobal Compact, the UN Agenda 21, Production resultsand of course the entire contents of and consumer Regionalthe ISO 26000. protection roots Social CORPORATE SOCIAL Strategy and results corporate RESPONSIBILITY Approach social responsibilit Economic resultsAFAQ 26000, a model for assessing the integration of Corporate Social Responsibility strategy and practices byorganisations, focuses on two types of assessment:Assessment of strategic, managerial Assessment of resultsand operational practices relative to the 3 pillars of sustainable development:This involves assessing the maturity of practices in terms This involves assessing the organisation’s ability to iden-of Corporate Social Responsibility throughout the follow- tify and manage indicators relevant to its challenges,ing criteria: against the following three criteria: 1 Vision in terms of CSR & Governance 6  Environmental results 2  Implementation: the integration 7  Social results and communication of CSR 8  Economic results 3  Human resources, labour relations and practices 4  Modes of production, consumption The assessors seek to establish causal links between and consumer issues practices and results. Moreover, each of these three criteria includes a sub- 5  Local integration: communities and local criterion of ability to monitor stakeholder satisfaction development relative to (environmental, social and economic) expec- tations and impact.Each of these criteria consists of several sub-criteria tobe analysed and assessed. The sub-criteria incorporateand implement the content of ISO 26000. Assessment Guide AFAQ 26000 - Enterprises / Organizations 11 © Any integral or partial reproduction, made apart from an authorization express of AFNOR Certification or of its having causes, is illicit.
  • 12. Human Environmental AFAQ Production and consumer Resources results 26000 Regional protection roots SocialCORPORATE SOCIAL Strategy and results corporate RESPONSIBILITY Approach social responsibility Economic results 1. Practices The aim of this section is to review the criteria and sub-criteria for strategic, managerial and operational practices under the AFAQ 26000 model. Criterion 1 Vision of CSR & Governance This is the core criterion of the AFAQ 26000 assessment which addresses them in a comprehensive and contex- model. The evaluator seeks to assess the vision, strategy tualised way. and governance of the approach to corporate social responsibility, consistent with the key concepts of ISO Indeed, the 7 Principles and 7 core subjects are integral to 26000 (including the 7 core questions and the 7 principles any CSR approach. Moreover, it is more educative, func- of Corporate Social Responsibility). tional and pragmatic to have access to an analysis grid whose input sections are based on elements that shape The 7 Principles and 7 core subjects of CSR established the organisation’s operations, enabling us to see how it by ISO 26000 are not sub-criteria of AFAQ 26000 as such. integrates the principles and core subjects (at both strate- They are integrated throughout the assessment model, gic and daily operational levels). Sub-criteria Examples of points to be addressed 1.1. Global CSR reflection  as the organisation-reflected on the contribution of its business H The organisation reflects comprehensively on to sustainable development: intrinsically? Through identifying all the contribution of its business to sustainable its externalities? development. s there within the organisation a clear reflection on how I Corporate Social Responsibility relates to the heart of its business, not only today but also tomorrow?  hat is the scope of these reflections (people, activities, W processes...)? 1.2 Dialogue with stakeholders  as the organisation identified all its stakeholders: both near and H The organisation identifies its stakeholders far, institutional and private individuals? and dialogues with them to identify their s it able to understand their expectations in terms of sustainable I interests with regard to sustainable development and all of its own activities? development.  o what extent does the organisation work in partnership with T its stakeholders to identify their expectations over time, their interests and win/win strategies that can be developed? 1.3 Identification of sphere of influence  as the organisation identified those of its stakeholders who H The organisation identifies, among all its constitute its sphere of influence (i.e. those that it has the stakeholders, those who constitute its sphere capacity to influence in order to promote corporate social of influence. responsibility and sustainable development practices)?  as the organisation identified, within its sphere of influence, H organisations or particular leaders who can convey the values and practices of social responsibility?  ow is it organised so as to use this influence in the service H of sustainable development?12 Assessment Guide AFAQ 26000 - Enterprises / Organizations © Any integral or partial reproduction, made apart from an authorization express of AFNOR Certification or of its having causes, is illicit.
  • 13. 1.4 Analysis of core subjects  the challenges, risks and opportunities identified by the DoThe organisation analyses the implications organisation comprehensively cover the 7 Core subjects of ISOof the seven core subjects of ISO 26000 26000?and related action areas for all its activities.  analysing the implications of the core subjects for its activities InThe 7 core subjects are: governance of the (and vice versa), does the organisation clearly identify all possibleorganisation - human rights - labour relations impacts (especially negative)?and conditions - environment, - fair practices- consumer issues - development and local  the organisation able to specify, in relation to each core Iscommunities. subject, those CSR practices it is deploying and/or could or should deploy?1.5 Prioritisation of issues  connection with sub-criterion 1.4 above, is the organisation InHas the organisation prioritised its issues able to prioritise, in order of importance, its different CSR issuesin terms of CSR, based on the seven core (constraints, opportunities, impacts, risks)?subjects and dialogue with its stakeholders?  Are the issues identified as (significant) priorities not deadlocked on issues related to one of the core subjects?  the issues identified as (significant) priorities cover the main Do environmental, social and economic aspects in an appropriate and balanced way?1.6 Governance and decision-making  Does the organisation follow transparent decision-makingThe decision making processes of a business processes vis-à-vis internal stakeholders? External stakeholders?include transparency, ethical behaviour,  Does the governance and decision-making of the organisationrespect for stakeholder interests and the take the interests of stakeholders into account?principle of legality. They also include duediligence concerning CSR actions.  Does the organisation, in its governance and decision-making methods, incorporate monitoring for sustainable development, stakeholder interests and points of vigilance concerning its CSR activities?1.7 Fair practices Has the organisation identified risks associated with its activitiesThe organisation conducts itself ethically in in terms of ethical conduct and fair practices (cartels, corruption,its dealings with its stakeholders (business unfair non-competitive clauses, non-compliance with procurementpractices...). rules, misinformation on prices and or products, abuse of powerFair practices include fair competition, vis-à-vis suppliers, partners, etc.)?promotion of CSR, due diligence, prevention Does the organisation have prevention and/or monitoringof complicity and the fight against corruption. practices and/or tools that ensure the fairness of its conduct in the implementation of its activities? Is the organisation proactive in the detection of risks and the implementation of appropriate practices, internally and within its sphere of influence?1.8 Vision et Leadership With regard to the above questions, how do managers defineThe leaders implement and share with the leadership and they share their vision, and what are the inputs?entire organisation, and their sphere of How do leaders communicate their vision throughout theinfluence, their vision of what CSR means organisation? Does this include a stance on the organisation’sin terms of the core business missions. contribution to the global sustainable development issues? HowThey demonstrate leadership based on the are managers implementing their vision?7 principles of ISO 26000. The 7 principlesare: -Accountability - Transparency - Ethical How do managers communicate their vision to their sphere ofBehaviour - Recognition of stakeholder influence? To what extent do they show leadership on the principlesinterests, - Respect for the principle of of Corporate Social Responsibility?legality - Incorporation of internationalstandards of behaviour - Respect for humanrights. Assessment Guide AFAQ 26000 - Enterprises / Organizations 13 © Any integral or partial reproduction, made apart from an authorization express of AFNOR Certification or of its having causes, is illicit.
  • 14. Human Environmental AFAQ Production and consumer Resources results 26000 Regional protection roots SocialCORPORATE SOCIAL Strategy and results corporate RESPONSIBILITY Approach social responsibility Economic results Criterion 2 Implementation: Integration and communication of CSR This section involves analysing how CSR strategy (and/ development principles into action in everyday business or related policy/policies ) is supported by processes life. (formal or otherwise) that enable its effective deployment The evaluator determines whether the integration of within the company, in particular in order to achieve the sustainable development principles concerns all activi- related objectives. ties/all business processes, with a view to continuous This criterion involves assessing how the organisation’s improvement. management can turn the integration of sustainable Sub-criteria Examples of points to be addressed 2.1 Identification of strategies  ow does the organisation’s strategy integrate its specific CSR issues? H Strategy, incorporating the main issues s this strategy expressed through the organisation’s activities, I of CSR, is translated into policies and including through policies that integrate its elements? objectives.  o the organisation’s strategy and policies incorporate objectives D relating to its Corporate Social Responsibility? 2.2 Identification of responsibilities s the organisation (identification of roles, missions, responsibilities) of I A clear organisation is defined and staff the entity clearly defined? are enabled to deploy the CSR strategy  oes such organisation provide for the deployment of CSR strategy D and policy. within the entity?  oes such organisation genuinely enable employees to effectively D deploy the strategy? 2.3 Integration of CSR  ow does the organisation ensure the inclusion of Corporate Social H The organisation continuously improves Responsibility issues in all its practices, procedures, systems and the integration of CSR in its practices, activities? To this end, how does it identify the various interfaces with procedures, systems and activities. its stakeholders? s the integration of CSR subject to continuous improvement, in terms I of improved practices and extension of scope?  oes the organisation assess the integration of CSR in its activities for D improvement purposes (through monitoring, indicators, information systems...)? 2.4 Regulatory monitoring  oes the organisation conduct regulatory monitoring? D The organisation conducts regulatory  o what extent is this regulatory monitoring proactive (able to anticipate T monitoring and ensures its implementation. changes)?  ow does the organisation ensure the inclusion and sharing of data in H regulatory monitoring? 2.5 Monitoring of technological and  oes the organisation monitor technological, competitive and best D competitive and best practices practices? The organisation keeps track of the  o what extent is this monitoring of market developments and practices T (technological and competitive) market and proactive (able to anticipate changes)? monitors CSR practices carefully.  ow does the organisation ensure the inclusion and sharing of data H from the monitoring of technological, competitive and best practices?14 Assessment Guide AFAQ 26000 - Enterprises / Organizations © Any integral or partial reproduction, made apart from an authorization express of AFNOR Certification or of its having causes, is illicit.
  • 15. 2.6 Data and information  oes the organisation analyse information and data on products, Dmanagement activities and/or the system?Information and data on products,  hat are the areas and limits of information and data involved and their Wactivities and/or the system is analysed links with corporate social responsibility issues?and exploited.  hat governance is provided by the organisation to analyse such W information and data (possible openness to external stakeholders)?2.7 Internal communication  ow does the organisation define the content of internal HInternal communication (vertical, horizontal communication as well as its targets?and cross-cutting) facilitates the sharing of  oes internal communication appropriately integrate the organisation’s Dinformation. CSR issues?  hat are the internal communication procedures and do they allow W for the sharing of information in vertical, horizontal and cross-cutting ways?2.8 External communication  ow does the organisation define the content of external HExternal communication facilitats communication as well as its targets?appropriately and timely responses to the  oes the external communication appropriately include the Dinformation needs of stakeholders. organisation’s CSR issues?  hat are the external communication procedures and do these W (materials, vehicles, media...) enable stakeholders to be appropriately informed and given an opportunity for dialogue? Assessment Guide AFAQ 26000 - Enterprises / Organizations 15 © Any integral or partial reproduction, made apart from an authorization express of AFNOR Certification or of its having causes, is illicit.
  • 16. Human Environmental AFAQ Production and consumer Resources results 26000 Regional protection roots SocialCORPORATE SOCIAL Strategy and results corporate RESPONSIBILITY Approach social responsibility Economic results Criterion 3 Human resources, labour relations and practices Better human resource management in the service of management skills, commitment, acknowledgement and corporate strategy and improved implementation of the well-being of staff, not to mention labour relations. actions to motivate men and women are core aspects Assessment should help to highlight these from a CSR of business success. Corporate Social Responsibility perspective. Aspects of (physical but also mental) health places men and women at the centre of its concerns and and safety are of course core concerns. also acknowledges that the deployment of responsible practices is in turn dependent on their involvement. Human resource management practices clearly include Sub-criterion Examples of points to be addressed 3.1 Human Resources and CSR  re the organisation’s HR forecasts and plans consistent with its CSR A strategy. strategy? HR-based forecasts and plans ensure  hat are the links between CSR and HR within the organisation? Are W a fit between the organisation’s human these links the subject of an internal dialogue with employees and other resources and its strategy. relevant stakeholders?  re these HR forecasts and plans, in line with CSR strategy, proactive A where necessary in terms of identifying new skills (internal/external...) for recruitment or redeployment? 3.2 Training and skills  oes the organisation ensure the awareness-raising/training of D Training and skills development on the employees regarding sustainable development and general principles general principles of CSR and its impact of CSR? on the company are offered to employees.  oes the organisation ensure the awareness-raising /training of D employees regarding specific CSR issues?  oes the organisation ensure, where necessary, the training and D skills development employees regarding responses to specific HR challenges? 3.3 Involvement of staff vis-à-vis CSR  oes the organisation ensure employees are made aware of their D strategy impact on CSR issues within the organisation? Staff are involved, accountable, and  oes the organisation ensure the involvement and commitment of D acknowledged vis-à-vis achieving VSR staff vis-à-vis the achievement of CSR objectives? Are the relevant goals. mechanisms sustainable?  re the staff accountable and acknowledged vis-à-vis the goals of A CSR? 3.4 Management of HR in line with the  oes the organisation ensure respect for human rights and equity in its D principles of CSR human resource management and take account of cultural and social Human resources management takes diversities? account of cultural and social diversity and  oes the organisation apply the principles of Corporate Social D respects equity and human rights at all Responsibility to its human resource management? levels. s the implementation of human resource management based on CSR I principles supported by internal participatory approaches involving staff? 3.5 Motivation and HR development  ow does the organisation ensure the motivation and acknowledgment H Human resources management enables of its employees? the motivation and recognition of staff as  hat mechanisms facilitate skills and career development? W well as skills and career development.  oes the organisation ensure a fit between such mechanisms and D employees’ expectations and needs?16 Assessment Guide AFAQ 26000 - Enterprises / Organizations © Any integral or partial reproduction, made apart from an authorization express of AFNOR Certification or of its having causes, is illicit.
  • 17. 3.6 Labour dialogue  hat are the labour dialogue procedures (consultation, cooperation, WLabour dialogue is based on discussions dialogue...) within the organisation?with representative bodies and developed  hat are the key issues in labour dialogue within the organisation? Wthrough employer-employee consultation.  o what extent do the organisation and its leaders promote labour T dialogue within the organisation?3.7 Management of health and safety  hat are the input data (diagnosis) of the organisation’s Health Wat work & Safety (HS) policy? What were the processes (contribution ofThe organisation manages aspects of stakeholders...) followed in defining this policy?health and safety, including risk prevention,  hat fields are covered by the HS policy (physical safety, physical and Win partnership with all employees and mental stress, psychosocial problems...)?those involved in its activities.  hat is the scope of the organisation’s HS policy (sites, activities, W people, employees, external operators...)?3.8 Labour conditions and relations  hat are the input data (analysis, diagnosis, dialogue...) for the WThe organisation ensures that all organisation’s reflection on working conditions in the broad sense?employees, and persons involved in its  hat topics are covered by the policies, practices and mechanisms Wactivities enjoy good working conditions, promoting good working conditions for employees? Are these subjectsparticularly in terms of pay, hours and consistent with the challenges of the organisation’s role?work/life balance and individuals’  hat are the policies, practices, devices, designed to create a healthy Wrelationship to their work. work/life balance? Assessment Guide AFAQ 26000 - Enterprises / Organizations 17 © Any integral or partial reproduction, made apart from an authorization express of AFNOR Certification or of its having causes, is illicit.
  • 18. Human Environmental AFAQ Production and consumer Resources results 26000 Regional protection roots SocialCORPORATE SOCIAL Strategy and results corporate RESPONSIBILITY Approach social responsibility Economic results Criterion 4 Modes of production, consumption and consumer issues  This is one of the major aspects of sustainable devel- The organisation must analyse its use of such goods in opment. Indeed, a company’s integration of sustainable particular, and possibly the competitive nature of this principles is necessarily closely linked to two fundamen- deployment in terms of other users and interests. tal factors: first, its area of activity (and its modes of pro- The perennial (sustainable) character or otherwise of duction and consumption) and second, its geographical these goods must be the focus of this reflection, accom- location(s), (considered below in terms of local integra- panied by an analysis of measures for conservation, sav- tion and contribution to local development). ing, compensation, etc. that the organisation may wish Sustainable development poses challenges for a number to consider. of sectors making the transition from a «consumer econ- The evaluator analyses the consistency and depth of omy» to a «service economy». the organisation’s CSR approach by evaluating the rel- An ethical stance must be taken by the organisation on evance of its practices in terms of sustainable produc- all issues, particularly in its relationship with and provi- tion and consumption. sion of information to consumers and in protecting their rights. Finally, the organisation’s contribution to sustain- able development also involves identifying what is meant by Public Goods (including «Global Public Goods»). Sub-criteria Examples of points to be addressed 4.1 Innovation and design towards  ow does the organisation incorporate sustainable development H sustainable production principles and issues into its innovation and design processes? Does The organisation conducts an analysis of the organisation integrate these elements throughout the value chain the life cycle of its products in its design and life cycle? and innovation processes (eco-social  oes the organisation integrate the relevant stakeholders in the stages D design). of innovation and design?  oes the organisation ensure the sharing of concerns and practices of D eco-social design among all staff involved in the stages of innovation and design? 4.2 Purchase and selection of  oes the organisation factor in the principles and issues of sustainable D products and services development in its choice of solutions and purchase of products and The organisation manages its selection services? of products and/or services and benefits,  re the principles and issues of sustainable development incorporated A in connection with production and R & into specifications for the purchase of products and services? D, integrating social and environmental  oes the organisation ensure the sharing of concerns and practices in D criteria in its specifications. terms of sustainable development among all employees involved in the phases of selection and purchase of products and services? 4.3 Purchasing and supplier  oes the organisation factor in the principles and issues of sustainable D relationships development into in its choice of suppliers and providers? The organisation manages its choice  re the principles and issues of sustainable development integrated A of suppliers and its relations with them into tools for analysis, assessment and/or recognition in the choice of in promoting CSR throughout the value suppliers and providers? chain.  oes the organisation ensure the sharing of concerns and practices in D terms of sustainable development among all employees involved in the selection of suppliers and service providers?18 Assessment Guide AFAQ 26000 - Enterprises / Organizations © Any integral or partial reproduction, made apart from an authorization express of AFNOR Certification or of its having causes, is illicit.
  • 19. 4.4 Production (goods and services)  oes the organisation analyse and factor in social aspects (working Dand social aspects conditions, direct and indirect social impact of activities) in itsThe organisation incorporates social production, storage and transportation processes?aspects in its production processes,  ow does the organisation evaluate or ensure the inclusion of social Hincluding storage and transport factors in its production process, including storage and transportation?(ergonomics, working conditions, respect  o what the extent does the organisation factor in these aspects Tfor human rights...). (extraction of raw materials, transportation during intermediate steps, etc.)?4.5 Production (goods and services)  oes the organisation analyse and factor in environmental aspects Dand the environment (direct and indirect impacts, resource scarcity and renewability,The organisation incorporates potential conflicts of use...) in its production, storage and transportenvironmental aspects in its production processes?process, including storage and  oes the organisation evaluate and ensure environmental aspects are Dtransportation. This includes better use factored into its production, storage and transport processes?of energies and resources and reduced  o what extent does the organisation factor in these aspects (extraction Twaste. of raw materials, transport, energy consumed at different stages, etc..)?4.6 Relationship with users,  as the organisation defined its responsibilities in terms of its Hcustomers, consumers relationship with users, customers and consumers? What is the scopeThe organisation enjoys a responsible and what are the issues of this responsibility?relationship with its users, customers and  as the organisation defined good practice in its relationship (display, Hconsumers, in particular through good labelling, marketing, information, listening, data protection) to its users,display, labelling and marketing practices. customers and consumers?This includes aspects of data protection.  re the organisation’s practices based on dialogue with stakeholders, A regulatory monitoring, external benchmarks?4.7 Liability for products and services  as the organisation defined its responsibilities resulting from the Htowards consumers and other nature and characteristics of its products and services, vis-à-visstakeholders consumers and other stakeholders? What are these areas and issues ofThe organisation ensures the protection responsibility (including respect of access to basic services, respect forof health and safety of consumers and human rights and the environment.)?stakeholders involved in the use and/  as the organisation defined good practice in terms of responsibility Hor end of life of its products/services. resulting from the nature and characteristics of its products andThis includes respect for access to basic services?services, respect for human rights and for  re the organisation’s practices based on dialogue with stakeholders, Athe environment. regulatory monitoring, external benchmarks?4.8 Taking account of consumer  oes the organisation meet consumer expectations regarding quality Dexpectations of quality products and products and services?services  oes the organisation meet consumer expectations in terms of after- DThe organisation ensures consumer sales service, support and resolution of claims and disputes?expectations regarding the quality of  ow does the organisation reconcile product and service quality with Hits products and services are taken into sustainable development considerations?account. This includes aspects of service,support and resolution of claims anddisputes. Assessment Guide AFAQ 26000 - Enterprises / Organizations 19 © Any integral or partial reproduction, made apart from an authorization express of AFNOR Certification or of its having causes, is illicit.
  • 20. Human Environmental AFAQ Production and consumer Resources results 26000 Regional protection roots SocialCORPORATE SOCIAL Strategy and results corporate RESPONSIBILITY Approach social responsibility Economic results Criterion 5 L  ocal integration: communities and local development This is a major factor in terms of sustainable develop- ency and depth of the company’s approach to sustain- ment. Indeed, beyond an organisation’s area of activity able development by evaluating the relevance of the link and its means of production and consumption, sustain- between strategic decisions on local integration and able development issues are related to the geographi- their results. cal location in terms of local integration The sustainable development evaluator will seek to assess the consist- Sub-criteria Examples of points to be addressed 5.1 Link between CSR strategy and  as the organisation defined the economic, social, cultural, H the local context geographical and environmental aspects of its location and any others In its CSR strategy, the organisation in which it operates? incorporates the characteristics and risks/  ow does the organisation integrate these features into its strategy, H opportunities associated with the location particularly in terms of Corporate Social Responsibility? in which it operates and/or is present at  hat is the scope of its activities (production, distribution...)? How W various levels. does the organisation ensure the inclusion of these aspects over time? 5.2 Contribution to local  as the organisation defined the environmental aspects of its location H environmental development and any others in which it operates? The organisation participates in the  o what extent is the choice of location(s) and operations (or methods) T environmental development of its related to these environmental features if applicable? location(s) in a spirit of win/win: industrial  oes the organisation implement «win/win» strategies and actions with D ecology, environmental protection and its location(s) to contribute to their environmental development? rehabilitation of natural habitats... 5.3 Contribution to local social  as the organisation defined the economic, social, cultural, H development geographical and environmental aspects of its location and any others The organisation participates in the social in which it operates? development of its location(s) (including  o what extent is the choice of location(s) and operations (or methods) T social investment, education, health, related to their social features, if applicable? culture) in a spirit of win/win.  oes the organisation implement «win/win» strategies and activities D with its location(s) to contribute to their social development? 5.4 Contribution to local economic  as the organisation defined the economic characteristics and issues H development of its location and those in which it operates? The organisation participates in the  o what extent is the choice of location(s) and operations (or methods) T economic development of its location(s) related to their economic features if applicable? in a spirit of win/win: wealth creation,  oes the organisation implement «win/win» strategies and activities D technology and services development, with its location(s) to contribute to their economic development? jobs,... 5.5 Transport of goods and people  ow does the organisation define the economic, social and H and logistics environmental aspects and issues related to transporting goods and The organisation develops a policy of people and to logistics as part of its activities? transporting goods and people, as well as  hat links has it forged with the economic, social, cultural, W logistics, which incorporates the principles geographical and environmental features of its location and any others of sustainable development. in which it operates?  hat choices and practices has the organisation put in place to W minimise negative impact and maximise positive impact in terms of transporting goods and people and logistics?20 Assessment Guide AFAQ 26000 - Enterprises / Organizations © Any integral or partial reproduction, made apart from an authorization express of AFNOR Certification or of its having causes, is illicit.
  • 21. 2. Results The aim of this section is to review the criteria and sub-criteria for «Results» under the AFAQ 26000 assessment model. The three criteria of Results correspond to the three pillars of sustainable development: 6  Environmental results 7  Social results 8  Economic results Each of these contains several sub-criteria based on accepted reference documents such as the GRI. This section presents each of the sub-criteria and illustrates them with examples of indicators. The list of indicators is not exhaustive and should above all be adapted to the issues of the business. Indeed, the purpose of the assessment model is not simply to «say whether the results are good»—it is rather to judge the organisation’s ability to develop appropriate indicators for each sub-criterion so as to manage its performance and impacts in relation to its own issues. The identification of relevant indicators is then the first key to assessment, ahead of issues such as performance, trends and comparison, which follow later on in the assessment. Note : the symbols in brackets correspond to the GRI-G3 typology of the indicator given in the example. 6 Environmental resultsSub-criteria Examples of indicators6.1 Raw materials  egmentation by type and material consumption by weight or volume (EN1) S  ercentage of materials used from recycled materials (EN2) P  ercentage of raw materials used which are evaluated/certified in terms of environmental P and/or social impact  roportion of commodities not used following actions to change production processes P .. .6.2 Use of water Total water withdrawal by source (EN8) Sources of water supply significantly affected by withdrawal (EN9) Percentage and total volume of water recycled and reused (EN10) Amount of water not used following actions to change production processes ...6.3 Biodiversity  ocation and size of land owned, leased or managed, in or adjacent to protected areas and L areas of high biodiversity value outside protected areas (EN11)  escription of significant impact of activities, products and services on biodiversity (...) D (EN12)  xtent and characteristics of protected or restored habitats (EN13) E  trategies, current actions and future plans for managing impact on biodiversity (EN14) S  umber of threatened species featured in the IUCN Red List and its national equivalent N whose habitats are in areas affected by operations, by level of threat of extinction (EN15) .. . Assessment Guide AFAQ 26000 - Enterprises / Organizations 21 © Any integral or partial reproduction, made apart from an authorization express of AFNOR Certification or of its having causes, is illicit.
  • 22. Human Environmental AFAQ Production and consumer Resources results 26000 Regional protection roots SocialCORPORATE SOCIAL Strategy and results corporate RESPONSIBILITY Approach social responsibility Economic results 6.4 Energy and  irect energy consumption by primary energy source (EN3) D Greenhouse Gas Quantities of greenhouse gases associated ndirect energy consumption by primary energy source (EN4) I quantities of greenhouse gases associated  nergy saved due to energy efficiency (EN5) initiatives to provide products and services E based on renewable energy sources and improved efficiency, reduced energy requirements obtained following these initiatives (EN6)... Quantities of non-emitted GHG associated  otal direct and indirect greenhouse gas emissions by weight (teq CO2) (EN16) and other T relevant indirect greenhouse gas emissions by weight (teq CO2) (EN17) … 6.5 Emissions, Gases depleting the ozone layer, by weight (EN19) effluents and Emissions of NOX, SOX and other significant air emissions by type and weight (EN20) waste Total water discharge by quality and destination (EN21) Total volume of waste by type and processing mode (EN22)  olume of waste transported, imported, exported or processed, and deemed hazardous V under the Basel Convention (...) (EN24)… 6.6 Satisfaction  easurement of employee satisfaction with image and actions of the business in terms of M of (internal environmental protection and external)  easurement of environmental associations’ satisfaction with the dialogue and practices M stakeholders implemented by the business to manage its impact and/or add environmental value Environmental  easurement of satisfaction of supervisory authorities with the quality of relationships, M expectations regulatory reporting, reporting of accidents... In the environment section, composite indicators, such as a company’s ecological footprint may also contribute to performance management... 7 Social results Sub-criteria Examples of points to be addressed 7.1 Employment  otal workforce by employment type, employment contract and region (LA1) T  mployee turnover number and percentage of employees by age, sex and geographic E area (LA2) 7.2 Health and safety  ethods of auditing and reporting occupational accidents and diseases M  ate of occupational accidents, occupational diseases, absenteeism, number of R working days lost and total number of fatalities, by region (LA7)  escription of policies and programmes on HIV/AIDS; evidence of substantial D compliance with the guidelines of the ILO... 7.3 Training and  verage hours of training per year per employee per job category (LA10); A education  kills development and lifelong learning programmes for long-term employability of staff S and assistance in managing their end of career (LA11)  ercentage of employees receiving regular performance and development reviews P (LA12)  pecific skills management policies and programmes… S22 Assessment Guide AFAQ 26000 - Enterprises / Organizations © Any integral or partial reproduction, made apart from an authorization express of AFNOR Certification or of its having causes, is illicit.
  • 23. 7.4 Diversity, Equity  escription of equal opportunities policies or programmes, monitoring systems for Dand Equal Opportunity verifying compliance and monitoring results  omposition of governance bodies and breakdown of employees by gender, age, C minority status and other indicators of diversity (LA13)  otal number of incidents of discrimination and action taken (HR4) T  orrelation of the basic salary of men to that of women by occupational category C (LA14)…7.5 Human rights and  ercentage and total number of significant investment agreements including clauses on Pcivil society human rights or having been subject to a control on this point (HR1)  ercentage of suppliers and sub-contractors whose respect for human rights has been P monitored; measures taken (HR2)  otal hours of employee training on policies and procedures relating to human rights T relevant to operations; percentage of employees trained (HR3)  perations identified as involving significant risk of child labour, and measures taken to O help abolish this work (HR6)  otal number of incidents of violations involving rights of indigenous people and actions T taken (HR9)  hare of operating revenues in the area of activity redistributed to local communities; S nature, scope and effectiveness of any programmes and practices to assess and manage the impact of operations on communities (SO1)  ercentage and total number of strategic business areas analysed for risks related to P corruption (SO2)  ercentage of employees trained in anti-corruption policies and procedures in P organisations (SO3)  easures taken in response to incidents of corruption (SO4)… M7.6 Satisfaction of  easurement of employee satisfaction with the image and actions of the company in MStakeholders (internal terms of respect for people and working conditions (company internal environment andand external) Social near environment, work/life balance): internal social barometerexpectations  easurement of satisfaction of associations in the social field (integration) with the M dialogue and practices implemented by the company to manage its impact and/or social value  easurement of satisfaction of supervisory administrations (DRT, CRAM, CPAM...) with M the quality of exchanges and regulatory reporting (AT, social audits, etc.)… Assessment Guide AFAQ 26000 - Enterprises / Organizations 23 © Any integral or partial reproduction, made apart from an authorization express of AFNOR Certification or of its having causes, is illicit.
  • 24. Human Environmental AFAQ Production and consumer Resources results 26000 Regional protection roots SocialCORPORATE SOCIAL Strategy and results corporate RESPONSIBILITY Approach social responsibility Economic results 8 Economic results Sub-criteria Examples of indicators 8.1 Economic  urnover T performance and  argin and changes/margin distribution; M market presence  egmentation of markets, customers, products; S  iquid assets L nvestment capacity… I 8.2 Redistribution  rofit-sharing P of value added  ocio-economic consequences of fair trade initiatives… S 8.3 Wage policy  ages W  ifferences between the highest and lowest wages D  aises, bonuses R  ay scales… P 8.4 CSR Investments  SR-related investment projects for sustainable development C  evelopment and impact of investment in infrastructure and services… D 8.5 Quality and  uality indicators and social responsibility of products (according to GRI 3) Q consumer satisfaction  onitoring of disputes etc. (Product liability according to GRI3)… M 8.6 (Internal and  ny type of economic expectations on the part of all concerned, except in connection A external) stakeholder with consumer product quality (see 8.5) satisfaction Economic  easurement of satisfaction of owners, partners, shareholders, employees, one-off or M expectations external employees;  easurement of community satisfaction, partners, suppliers (procurement policy and M terms of payment...)…24 Assessment Guide AFAQ 26000 - Enterprises / Organizations © Any integral or partial reproduction, made apart from an authorization express of AFNOR Certification or of its having causes, is illicit.
  • 25. The AFAQ 26000 Model:Assessment principlesThe AFAQ 26000 model analyses a company’s incorpo- improvementration of CSR, i.e. its capacity to include a contributionto sustainable development in all its activities, practices, Continuous improvement is now widely recognised as aprocesses... management principle used by leaders and managers of organisations to contribute, over time, to improved per-To do this it examines two issues: formance and stakeholder satisfaction.  he relevance and deployment of practices, on the one T The application of this universal principle to improve hand organisational performance is based on the practice of  he relevance of indicators used and the level of results T the «Deming Cycle» known as PDCA: literally, Plan/Do/ achieved, on the other Check/Act.Beyond the score obtained, assessment can qualita-tively assess (discussion of strengths and areas forimprovement) each criterion and sub-criterion analysed.Systemic linkages between the model’s sub-criteria con-tribute in many ways to the formulation of a comprehen-sive analysis and measure progress to achieve «holistic»integration (as recommended by ISO 26000) of CSR. Act PlanAn assessment method based on continuous Check DoThe identification and planning of practices and actions principle of continuous improvement in fostering theshould be based on sound and integrated analysis overall performance of an organisation.(Plan), and precedes deployment, which should be ascomprehensive and systematic as necessary (Do). The AFAQ 26000 assessment method is based on thisThe analysis and measurement of implementation and flexible, rigorous and contextualised approach. It hasresults (Check), in conjunction with consideration of proven itself in terms of its application to issues of incor-the benchmark, facilitates the identification of areas for poration of sustainable development by organisations.improvement (Act). The cycle thus completed enables It allows for an assessment of the maturity of organisa-the planning of more relevant practices over time, which tional practices and the results achieved in terms of CSR.are then in turn subjected to the PDCA approach.The educational value of the PDCA cycle is that it appliesto any level and to the activities of any organisation.Thus, the PDCA cycle can be applied to strategy andits management, processes, products, innovation, riskmanagement, etc. This demonstrates the power of the Assessment Guide AFAQ 26000 - Enterprises / Organizations 25 © Any integral or partial reproduction, made apart from an authorization express of AFNOR Certification or of its having causes, is illicit.
  • 26. Human Environmental AFAQ Production and consumer Resources results 26000 Regional protection roots SocialCORPORATE SOCIAL Strategy and results corporate RESPONSIBILITY Approach social responsibility Economic results Continuous improvement and formalisation The application of AFAQ 1000NR to organisations of all types and sizes in a wide variety of sectors has demonstrated the robustness of PDCA in various contexts. Indeed, the very words ‘continuous improvement’ suggest the formalisation of a (thematic or integrated) management system in order to secure and possibly certify the application of this principle. But the implementation of PDCA can be an effective way of conducting business even in the absence of systematic formalisation. PDCA becomes an analytical framework applied to the approach behind an action without necessarily requiring notes, procedures, etc. (Just as the process approach may lead to mapping a process, but also facilitates its assessment without such prior mapping...). The flexible application of PDCA, without a priori formalisation requirements, facilitates the analysis and leveraging of practices, as well as the highlighting of their limitations, in a wide variety of contexts. The assessment of Corporate Social Responsibility Practices by AFAQ 26000 is thus also applicable to medium and small businesses. The nature of these companies does not require the systematic formalisation of all elements of their Corporate Social Responsibility practices. Assessment of practices The assessment of criteria related to practices facilitates the identification of practices to be continued and areas for improvement through an analysis of different categories, structured according to a continuous improvement approach. The evaluator ensures that each criterion is investigated in an appropriate and planned way, then deployed and assessed for final review for purposes of improvement. For each sub-criterion, a score is calculated based on the assessment of company practices, according to the following table: Scoring or practices 0% Not implemented, or informally implemented and/or not relevant to the CSR issues and context of the organisation 25% Clearly implemented, but occasionally or haphazardly rather than systematically; and/or overly empirical practice with insufficient evidence of sustainability in relation to CSR and organisational context 50% Implemented methodically and systematically in all areas and for everyone involved, beginning with a follow-up assessment of relevance and effectiveness 75% Appropriate and methodically and systematically implemented, regularly evaluated and improved and empirically based on measures taken and/or feedback 100% Implemented, evaluated and improved, methodically and systematically, based on results obtained and compared with external best practices (benchmarking)26 Assessment Guide AFAQ 26000 - Enterprises / Organizations © Any integral or partial reproduction, made apart from an authorization express of AFNOR Certification or of its having causes, is illicit.
  • 27. Assessment of resultsThe assessment of outcomes is based on a more joint approach. The evaluator assesses the ability of the indica-tors available to cover meaningfully the various areas identified in the model, depending on the organisation’s CSRissues. The level of results is also assessed, particularly in terms of objectives, trends, and comparison with competi-tors or the best in a particular field. S/he also seeks causality between practices and results.The main principles of assessment are identical to those defined for strategic, managerial and operational practices.Appropriate analysis conditions for the performance criteria are linked to the four steps of PDCA. Scoring or performance 0% No result, anecdotal information or indicators covering areas/scope not relevant to the issues 25% Results are partially collected and reported based on relevant indicators 50% Trends are favourable and targets are met. The indicators are relevant and the results are segmented appropriately. 75% Elements of comparison exist and cause and effect relationships are correctly identified 100% All comparisons are favourable compared to top performing organisations in various fieldsWeighting and final scoreThe different scores are then weighted to obtain the final AFAQ 26000 assessment score.The assessment results in a score out of 1000 points which ranks the organisation on one of four levels:  rom 0 to 300 points: Initial F  rom 301 to 500 points: Progression F  rom 501 to 700 points: Confirmed F  ver 701 points: Exemplary O For the various levels, except Commitment Level, the organisation may use the logo AFAQ 26000 corre- sponding to the level achieved over 36 months, provided they take the monitoring or renewal option within 18 months (see below). Assessment Guide AFAQ 26000 - Enterprises / Organizations 27 © Any integral or partial reproduction, made apart from an authorization express of AFNOR Certification or of its having causes, is illicit.
  • 28. Human Environmental AFAQ Production and consumer Resources results 26000 Regional protection roots SocialCORPORATE SOCIAL Strategy and results corporate RESPONSIBILITY Approach social responsibility Economic results AFAQ 26000 Recognition valid for up to 3 years. A flexible monitoring mechanism at 18 months Making your Corporate Social Responsibility valua- Meanwhile, the context and environment in which organ- tion sustainable over time: a long-term issue for your isations grow and the CSR issues and expectations of organisation. stakeholders are themselves constantly evolving. Implementation of Corporate Social Responsibility prac- It is therefore necessary to leverage the CSR process tices and associated outcomes is both an everyday and through AFAQ SR 26000, to remain credible in the long a long-term endeavour. term, adopt methods tailored to these constraints and exploit short and long term opportunities. Pathways to progress always exist: whether in terms of relevance and integration of CSR practices, or consoli- dation and alignment of the management with organisa- tional strategy. In addition, AFAQ 26000 recognition is valid for 3 years (36 months) from the initial assessment. The 3-year recognition cycle of AFAQ 26000 is flexible and includes an optional monitoring mechanism at the 18-month stage or a renewed assessment. The AFAQ 26000 recognition cycle includes a mandatory monitoring after 18 months, which means the recognition remains valid for 18 months. A renewal assessment must then be carried out after 36 months to initiate a new 3-year cycle. The renewal assessment may of course be conducted before this deadline, should this meet the aims of the organisational plans. The choice of a follow-up assessment or renewal is made by the organisation as part of the criteria below depending on its aims. 18 month 3 years Initial assessment Follow-up Renewal assessment assessment28 Assessment Guide AFAQ 26000 - Enterprises / Organizations © Any integral or partial reproduction, made apart from an authorization express of AFNOR Certification or of its having causes, is illicit.
  • 29. Option 1 : My organisation wishes to implement the 18-month  monitoring mechanism18 months are not always sufficient for significant The organisation’s ability to document and illustrate theimprovements to be demonstrated in terms of Corporate monitoring of these practices at the end of 18 months, isSocial Responsibility, even where the organisation has judged to be competent and it is thus enjoined to main-maintained its initial performance levels. tain the pressure. These factual aspects, combined withFurthermore, the context and internal and external con- the expertise of the Assessment Manager, guarantee anstraints may not, after 18 months, be conducive to the appropriate analysis that incorporates the risks associ-execution of a new comprehensive assessment. ated with the organisation and/or its activity.The assessment is a high strategic point in the organisa- Feedback from stakeholders, in qualitative terms, illus-tion’s life and must come at the right time to serve its trates the organisation’s ability to meet expectationsproject. related to key CSR issues. The discernment of the Assessment Manager facilitates a contrasting and com- plementary analysis of this previous point.In such cases, continued AFAQ 26000 recognition cor-responding to the level obtained during the initial assess-ment is dependent on the AFAQ 26000 monitoring If the output data of the AFAQ 26000 monitoringmechanism which focuses on two areas: mechanism are positive, the certificate of assessment and the validity of the associated logo is extended by T  he organisation sends AFNOR Certification the doc- 18 months. umentary evidence attesting to the maintenance of practices identified in the initial assessment report. If Otherwise, AFNOR Certification does not renew AFAQ these practices have been changed to meet new con- 26000 recognition and an initial assessment must take straints or opportunities, empirical demonstration of place when the risks or bad practices identified have relevance is requested by AFNOR Certification. been managed or modified by the organisation. A report is prepared by the Assessment Manager, without devel- T  he Assessment Manager interviews 5 stakeholders oping a new assessment report. from the organisation who are affected by its key CRS issues and/or its overall performance. This sample of Option 1 AFAQ 26000 monitoring mechanism can be stakeholders facilitates, where applicable, the confir- implemented once only. This means that after 36 months mation and illustration of aspects of the performance of of recognition following the initial assessment, the use of the organisation’s key CSR practices. The Assessment option 2 «Renewal assessment» is required: Manager reserves the right to nominate the 3 stake- holders to be called forward.Option 2 : My organisation wishes to implement an assessment renewal... and possibly attain a higher maturity level if prac-tices have progressed18 months may be sufficient to implement new practices,in conjunction with a possibly revised or amended strat-egy, depending on the analysis of CSR issues conductedduring the initial assessment, and/or changes in theorganisation’s context and activity. The organisation mayalso wish the assessment to focus on a broader remit. New Assessment ReportThis constitutes a new situation, which is then analysed New Global Score,and which lends itself to a comprehensive assessment,or ‘renewal’. The issue may also be, as so often in this N  ew Maturity Level and relevant logo,type of approach, to remotivate employees and build new if applicable.consensus within the company about the maturity level N  ew identification of practicesand the progress options that characterise the process. and options for progressThe phrasing and output data are then similar to those ofthe initial assessment, according to arrangements madebetween the organisation and AFNOR Certification. Assessment Guide AFAQ 26000 - Enterprises / Organizations 29 © Any integral or partial reproduction, made apart from an authorization express of AFNOR Certification or of its having causes, is illicit.
  • 30. Human Environmental AFAQ Production and consumer Resources results 26000 Regional protection roots SocialCORPORATE SOCIAL Strategy and results corporate RESPONSIBILITY Approach social responsibility Economic results The expertise and skills of assessors The AFAQ 26000 assessment model, both in terms of Corporate Social Responsibility and sus- tainable development and in terms of assessment practice, requires fully competent evaluators. The non-prescriptive nature of the model requires evaluators to apply skills and expertise which facilitate understanding of the extent to which practices are relevant, their level of deployment and the extent to which results are achieved. The qualities required are possessed by the auditors of the AFNOR Certification Group: listening, empathy, discipline, impartiality, ability to synthesise etc. The model also calls on diplomatic and pedagogic skills. AFNOR Certification calls for auditors with robust and proven expertise and experience in the field of sustainable development. ISO non-auditor experts with appropriate and complementary profiles supplement the pool of evaluators dedicated to AFAQ 26000. The assessment team is complementary:  he Assessment Manager conducts an open dialogue, making sure to include all of the mod- T el’s criteria. His/her questioning incorporates the PDCA approach for practices and outcomes alike.  he evaluator plays a real «cover» role to ensure that all criteria are examined. S/he identifies T practices to be continued and areas for improvement, and his/her objectivity allows him/her to supplement the questions and insights of the Assessment Manager.  he assessment plan takes advantage of the complementarity of the two parties (for structures T with over 50 employees) and optimises timelines in the areas covered by each of them. Skills training for assessors is organised by AFNOR Compétences. It helps develop mastery of the AFAQ 26000 model and the methodological tools of analysis and assessment. The objec- tive is a repeatable and reproducible assessment, thus facilitating the attainment of the benchmark much coveted by enterprises and desirable from the perspective of sustainable development.30 Assessment Guide AFAQ 26000 - Enterprises / Organizations © Any integral or partial reproduction, made apart from an authorization express of AFNOR Certification or of its having causes, is illicit.
  • 31. Assessment Guide AFAQ 26000 - Enterprises / Organizations 31© Any integral or partial reproduction, made apart from an authorization express of AFNOR Certification or of its having causes, is illicit.
  • 32. Go for the simple approach: you can contact our sales advisers at: Tel: +33 (0)1 41 62 80 11 Communication Afnor Group- K11 02 112 - Design: Gaya. AFNOR Certification, SAS au capital de 18 187 000 euros. RCS Bobigny B 479 076 002. certification@afnor.org www.boutique-certification.afnor.org11 rue Francis de Pressensé - 93571 La Plaine Saint-Denis Cedex - France - Tél. : +33 (0)1 41 62 80 00 - Fax : +33 (0)1 49 17 90 00www.afnor.org