Member Compliance Program Guide
Purpose of This Article
This article provides a high-level overview of the Member Compliance process, explains how to complete the Member Compliance Report, outlines the activities required to achieve compliance, and guides members on how to interpret summary results and take corrective actions where applicable.
What is the Member Compliance Program?
The Member Compliance Program is an annual initiative designed to ensure that RBA members adhere to the RBA Code of Conduct and related compliance criteria.
Who Must Participate?
- Regular Members - Regular Members are companies that have joined the Responsible Business Alliance and are committed to implementing the RBA Code of Conduct within their own operations and supply chain. They participate in compliance activities such as completing SAQs, conducting audits for high-risk sites, and addressing priority findings.
- Full Members - Full Members have the highest level of engagement with the RBA. In addition to meeting all requirements of Regular Members, they actively contribute to RBA initiatives, governance, and working groups. Full Members are expected to demonstrate leadership in responsible business practices and ensure comprehensive compliance across their facilities and major suppliers.
Member Compliance Process Overview
The process involves:
- Completing the Member Compliance Report on the RBA Online Platform.
- Ensuring all required Risk Self-Assessment Questionnaires (SAQs) and audits are completed.
- Closing or actively addressing Disqualifying priority findings.
- Submitting the report before the Member Compliance Program deadline (January 31).
How to Complete the Member Compliance Report
The Compliance Team will launch the Member Compliance Program in early December. This program is designed to ensure that all Regular and Full RBA Members meet compliance requirements.
Key Details:
- Participation is limited to Regular and Full RBA Members.
- The Program can only be completed by users with Company Admin access on RBA Online.
- If you do not have access or encounter issues, please contact the RBA Helpdesk for assistance.
Steps to Complete the Member Compliance Program
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Once you select the sub-menu tab:
- An automated query will run to collect compliance data.
- The data collection process may take up to one minute.
- You will see a warning message:“Member Compliance data is being collected. This may take a minute.”
- Click OK to clear the message and proceed.
The Member Compliance Report contains multiple tabs designed to provide detailed insights into compliance status. The Summary Tab offers a high-level view of overall compliance, making it the primary reference point for quick status checks.
Summary Tab
- Displays compliance status for each category requirement for SAQ, Audits, and disqualifying Priority Findings.
- The expected result is “OK”, indicating that the member company has satisfied the compliance criteria.
Key Compliance Categories
The Results column in the Member Compliance Report displays the compliance status for each category:
- Compliant: The column will show “OK”.
- Non-Compliant: The column will display the reason for non-compliance in red text.
You can start editing the Member Compliance report by following this guidance article: How to Complete the Member Compliance Report
Compliance Timeline - (By January 31st)
Regular and Full RBA Members have until the end of the program period to take any necessary remedial actions to address non-compliance issues. If you require help resolving compliance issues, please contact RBA Support at helpdesk@responsiblebusiness.org.
To ensure timely and accurate assistance, use the following format when submitting your request:
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Email Subject:
Email Body:
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The Support Team will review your request and follow up accordingly.
1. Member Facilities Tab
- Number of SAQs Completed: Regular and Full Members must complete and release SAQs for all registered member-owned facilities. For example, if 4 facilities are registered, then 4 SAQs must be completed and released. The summary will also include data that belong to applicable subsidiary companies. If registered facilities have completed other forms of SAQs that information would need to be uploaded under the Member Facilities tab, within the “Not in RBA Online” Column.
- Audits of High-Risk Sites: 100% of owned high-risk sites must be audited.
- Disqualifying Priority Findings: All open disqualifying priority findings must be closed or actively in the process of closure. If in process, please provide a comment that includes the current status and anticipated closure date.
2. Direct Supplier Facilities Tab
- Number of SAQs Completed: 100% of high-risk major suppliers must complete and release their SAQs.
- Audits of High-Risk Sites: At least 50% of high-risk major suppliers must complete an audit.
- Disqualifying Priority Findings: All open disqualifying priority findings must be closed or actively in the process of closure. If in process, please provide a comment that includes the current status and anticipated closure date.
3. Indirect Suppliers
- Number of SAQs Completed: 100% of major indirect major suppliers must complete and release their SAQs (Risk, or Indirect Spend SAQ).
- Audits of High-Risk Sites: At least 25% of high-risk major suppliers must complete an audit.
- Disqualifying Priority Findings: All open disqualifying priority findings must be closed or actively in the process of closure. If in process, please provide a comment that includes the current status and anticipated closure date.
The Summary Tab also includes discussion notes from each tier (Member facilities, direct supplier facilities, and indirect supplier facilities).
Report Actions
- Refresh Button: Resyncs the data.
- Save Button: Allows members to save work in progress.
- Submit Button: Submits the Member Compliance Report once all work is completed.
Understanding The Summary Results & Taking Corrective Action
This section covers the Results column of the summary tab as well as the actions to take to achieve a satisfactory compliance status.
- OK: Compliance criteria met.
- Red: Non-compliance detected. Review the reason provided in the result field and follow the recommended steps to resolve.
Common corrective actions include:
To achieve compliance, members may need to take one or more of the following corrective actions:
- Establish Trading Relationships: Set up trading relationships with any mjor suppliers currently missing from your network.
- Upload Missing Supplier Data: Ensure that all major suppliers not yet registered in RBA Online have their data uploaded.
- Update Assessment and Audit Records: Upload data for any assessments or audits that have been completed but are not reflected in RBA Online.
- Complete Outstanding SAQs: Review and complete any missing Self-Assessment Questionnaires (SAQs).
- Schedule and Complete Required Audits: Arrange and finalize any audits that are required for compliance.
- Close disqualifying Priority Findings Promptly: Address and close any disqualifying priority findings without delay to maintain compliance status.
Resources & Support
- RBA Code of Conduct: https://www.responsiblebusiness.org/code-of-conduct
| Subject | Resource |
| Member Compliance Report | |
| Supply Chain |
How to invite suppliers to RBA Online How to establish a Trading Relationship to share data |
| SAQ |
How to view your suppliers SAQ How to request an SAQ verification |
| Audits |
How to initiate an audit for your facility |
| Support |
Technical Support - Helpdesk@responsiblebusiness.org Compliance Support - Compliance@responsiblebusiness.org |
RBA Compliance Support Team