Detailed step-by-step instructions on the Prewave platform
Content
Generating the BAFA report
Structure of the BAFA report
Report details
A - Strategy and anchoring
B - Risk analysis and prevention
C - Violations and corrective actions
D - Complaints procedure and E - Evaluation and conclusions
Annex B2 - Preventative Measures
Generating the BAFA report
Once the risk analysis has been completed, all measures have been planned and the BAFA report is now to be generated, proceed as follows to download it with all previously defined information:
First, navigate to the "Reporting" tab (see Fig. 1)
Fig. 1: The "Reporting" tab in the risk analysis
It is also possible to export the information from the analysis outside of the regular risk analysis. This generated Excel report is divided into the following three areas:
(a) "Metadata": The most important parameters of the analysis are documented here as defined in the "General Information" tab (see section 2.2.2): Name of Analysis, Key Date, Perspective, Level of Analysis as well as Analysis Period).
(b) "Risk Analysis": All suppliers considered in the risk analysis are listed here, including all data determined in the analysis with regard to scoring and influence.
(c) "Action Planning" - This sheet lists all actions, their status and their due date (as defined).
However, if you want this information to be generated for the BAFA report, you have to tick the "Approve for report" box. By clicking on "Export", an Excel file is generated and either downloaded directly or saved in the "Reporting" centre (Fig. 2)
Fig. 2: "Approve for report" must be ticked in order to use this analysis for the BAFA report.
You must always navigate to the "Reporting" centre. You can get there by clicking on the user name at the top right of the Prewave platform. One of the items in the menu that opens is "Reporting" (Fig. 3)
Fig. 3: Navigation to the "Reporting" centre
Select "Create Report" in the "Reporting" centre to generate the BAFA Report (Fig. 4).
Fig. 4: To generate a BAFA report the button "Create Report" needs to be clicked
You can then click on the LkSG - BAFA report as shown in Fig. 5:
Fig. 5: Selecting the report
Tool Tip:
The reporting period is the period that is used for the measures set on Prewave.
Concrete example: For the financial year 01.01. - 31.12.2023, measures & actions were set on Prewave until 31.03.2024. To include all measures in the report, the start date is 01.01.2023 and the end date is 31.03.2024.
Finally, the time period for which the report is created is specified. This period also determines the measures that are included in the report. (Fig. 6, Point 1). You can also select a team for which this report is to be generated (2). If a team is selected, only the measures set by the respective team are listed. This can be helpful if individual teams are responsible for certain collections, i.e. different areas of responsibility have been defined for reporting. Click on "Create Report" (3) to create the report in the system.
Fig. 6: The year for which the report is generated must be specified. Assigning a team is optional.
Structure of the BAFA report
The result is an Excel report with the following content:
- Report Details
- A - Strategy and anchoring
- B - Risk analysis and prevention
- C - Violations and corrective measures
- D - Complaints procedure
- E. - Evaluation and conclusions
🧠 Good to know: The generated report is in German language.
The reasoning behind this is that the BAFA expects the questions in regards to the German Due Diligence Act (LkSG) to be answered in German.
Report details
This tab contains report details and parameters, a legend of the column names and a coding of the colour legend and answer legend.
Depending on the colour coding of the cells, answers to the Prewave questionnaire have been added (standardised in dark yellow or dynamic in light yellow with information from the risk analysis carried out) or are to be completed by you (marked in light blue - see Fig. 8). Under "Risk analysis considered", the business areas are listed that were defined in Chapter 2.2.2 Step 2: Categorisation of key suppliers in the "General information" tab under "Scope of analysis" (e.g. direct suppliers in the example in Fig. 8).
Fig. 8: The BAFA report: Preview of the "Report details" sheet
A - Strategy and anchoring
The system cannot generate answers for the report questionnaire on this page. The "Answer" field is marked with a light blue colour code and must be completed by you. Please put an X in the appropriate place. The questions are to be answered by means of multiple choice and partly with a free text. They are not voluntary, i.e. every question must be answered.
Fig. 9: The BAFA report: preview of the "Strategy and anchoring" sheet
[A1] Monitoring of risk management and responsibility of the Executive Management
It must be answered whether responsibilities for monitoring risk management have been defined for the reporting period and which persons are responsible for this.
[A2] Policy statement on the human rights strategy
In six subordinate questions, it must be answered whether the management has established a reporting process that ensures that it is informed regularly, at least once a year, about the work of the person responsible for monitoring risk management and whether there is a policy statement that was created or updated on the basis of the risk analysis carried out during the reporting period, whether this policy statement is publicly available and to which target groups the policy statement for the reporting period was communicated. Furthermore, we ask which elements the policy statement contains and whether it has been updated for the current period.
[A3] Embedding of the human rights strategy within the organisation
It must be determined here in which relevant specialist departments/business processes the anchoring of the human rights strategy was ensured during the reporting period. The multiple choice answers include areas such as HR/HR, environmental management, etc.
A cross must be placed next to each applicable answer if it is a multiple choice question and a text must be inserted if the field is labelled "[free text]".
These areas must be clarified internally. Prewave can provide advice when answering, but cannot provide answers for you.
B - Risk analysis and prevention
This tab contains fields with answers automatically generated by the platform in light yellow. Fields with a dark yellow background are filled with a standard text from the platform. Fields highlighted in blue contain internal customer information and are not generated automatically (see Fig. 10).
Fig. 10: The BAFA report: Preview of the "Risk analysis and prevention" sheet
A total of 6 areas are examined:
[B1] Implementation, procedure and results of the risk analysis:
B1.1 Was a regular (annual) risk analysis conducted during the reporting period to identify, prioritise and prioritise human rights and environmental risks?
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# Possible Answer |
Reference to Prewave Tool |
|---|---|
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113-115 are filled dynamically by Prewave. If the area to be analysed was selected in "General Information" (see chapter 2.2.2. Step 2: Classification of key suppliers), a cross is automatically placed in the correct position. |
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116: If "Yes" was selected for 113 or 114, define |
N/A |
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117 is filled in automatically, as the period of the analysis ("Period") was defined in the same tab. You are also asked which risk analysis method was used. |
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118 This is a standardised text (highlighted in dark yellow) and describes the procedure of the analysis with Prewave provided by TaylorWessing with a legal opinion. |
N/A |
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119/120 Is answered via the information in the General Information - Scope of Analysis. If Tier-N Suppliers is not selected, 120 is marked as applicable |
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121 This is a standardised text (highlighted in dark yellow) and describes the Tier-N analysis if "yes" was selected for 119 |
N/A |
B1.2 Were ad hoc risk analyses also carried out during the reporting period?
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# Possible Answer |
Reference to Prewave Tool |
|---|---|
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122 is filled dynamically by Prewave. If it has been selected in the "General Information" that an event-related risk analysis has been carried out, a cross is automatically placed in the correct position here. |
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A cross is placed at 123-127, depending on the reason selected for the ad hoc risk analysis. |
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If only a regular risk analysis is carried out, "No" is ticked at 128. If a regular and an event-related analysis are released for the BAFA report, Prewave recognises this and also dynamically adjusts your response. |
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If 128 was answered with "No", reasons must be given in free text at 129. |
N/A |
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If you have carried out an event-related risk analysis, the reason from the prewave tool ("Reason Description") is entered at 130 (e.g. "Establishment of a new sales office in Vietnam") |
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If an ad-hoc risk analysis has taken place in the system, this has been released for the report and the free text for describing the findings ("Findings") has been completed in the "Reporting" tab of the risk analysis, the text is entered at 131 |
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If an incident-related risk analysis has been carried out, the extent to which findings from the processing of information/complaints have been incorporated must be described in 132 in free text. |
N/A |
B1.3 Which risks were specifically identified as part of the risk analyses? Select for your own business unit, the direct supplier and, if applicable, the indirect supplier.
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# Possible Answer |
Reference to Prewave Tool |
|---|---|
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If risks in the areas of Human Rights, Health & Safety, Labour Rights or Environment were identified in the approved risk analyses during the reporting period, Prewave dynamically indicates this in the appropriate place in 133-145. |
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If there is no risk in one of the above-mentioned areas, "No risks" in 146 is ticked. |
N/A |
❗ Reminder: The following event groups are considered in the LkSG perspective: Labor rights, Human rights, Health & safety and Environment.
Certain event types are assigned to each of these event groups. For example, the Labor rights event group includes Labor demonstration, Labor dispute, Labor rights violation, Labor strike, Protest/demonstration and Worker suicide.
In the BAFA questionnaire it is asked, among other things, which risks are identified and prioritized as part of the risk analysis. This is where the individual event types and event groups come into play again:
As soon as an individual event type (e.g.: Labor rights violation) is shown as red with a score of 55 or worse or dark red with a score of 40 or worse, this event type is identified and listed as a risk.
Furthermore, the entire risk group can have an influence on the answers to the questions: If the entire risk group is rated 55 or worse (red or dark red), event types that are "only" rated orange (so 70 or worse) are also listed as a potential risk in the BAFA questionnaire.
B1.4 Were the risks identified during the reporting period weighted and prioritised and, if so, on the basis of which appropriateness criteria?
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# Possible answer |
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Fields 147-151 are statically answered with Yes by Prewave. |
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If other factors or no factors at all have been taken into account, a corresponding answer or justification must be given in 152-154 in free text and internally by the customer. |
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In 155, Prewave's standard text describes how the weighting and prioritisation process was carried out and what considerations were made. |
[B2] Preventive measures in own business area:
B2.1 Which risks were prioritised in your own business area during the reporting period? Name the specific risk and the country in which it occurs.
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# Possible Answer |
Reference to Prewave Tool |
|---|---|
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In fields 156-169, a cross is dynamically placed in the appropriate position if either no risk was identified in your own business area or where a risk was identified in one of the areas listed (prohibition of child labour, forced labour, etc.). |
e.g: “high” priority of actions  Exemplary specific alert that can lead to a high priority for action: 
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If a cross is placed next to "No risks" in 156, reasons must be given in 170. |
N/A |
B2.2 What preventive measures were implemented in the reporting period to prevent and minimise the priority risks in your own business area?
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# Possible Answer |
Reference to Prewave Tool |
|---|---|
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If preventive measures have been implemented, a cross is dynamically placed in fields 171-173. For this, the status of the measure must be "in progress" or "finished".
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The status of a measure can be documented and tracked under "Actions", among other things:
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A cross is placed in 174 if no prevention measures have been implemented. |
N/A |
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If a cross is placed next to "No risks" in 174, reasons must be given in 175. |
N/A |
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If at least one of the answers from 171-173 was selected, the implemented measures are dynamically specified in the free text field 176. |
N/A |
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To be filled by the customer, fields 177/178 must be used to enter the measures that contribute to the prevention and minimisation of the priority risks and how the interests of potentially affected parties were taken into account when planning the measures. |
N/A |
B2.3 Has a process for reviewing the effectiveness of the measures (training, risk-based control measures and other measures) been defined and implemented?
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# Possible Answer |
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As the effectiveness evaluation was realised with risk assessment, measure tracking and recording in Prewave, "Yes" is statically selected in field 179. |
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If you still want to select "No or only partially", you can select this in field 180. |
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In relation to 179, Prewave statically enters in 181 how the process for checking the effectiveness of the measures is carried out. |
[B3] Preventive measures for direct suppliers:
B3.1 Which risks were prioritised for direct suppliers during the reporting period? Name the specific risk and in which country it occurs.
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# Possible Answer |
Reference to Prewave Tool |
|---|---|
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Comparable to question 2.1: In fields 182-195, a cross is dynamically placed in the appropriate position if either no risk was identified at direct suppliers or where a risk was identified in one of the listed areas of the human or environmental rights categories (prohibition of child labour, forced labour, etc.). The country in which the risk occurred is also dynamically inserted. |
e.g: “high” priority of actions 
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If a cross is placed next to "No risks" in 182, you must give reasons in 196. |
N/A |
B3.2 What preventive measures were implemented during the reporting period to prevent and minimise the priority risks at direct suppliers?
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# Possible Answer |
Reference to Prewave Tool |
|---|---|
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Customer-internal free text in 197/198. |
N/A |
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Compare with B2.2: If preventive measures (e.g. a code of conduct, awareness training...) have been implemented, a cross is dynamically placed in fields 199-203. The status of the measure must be "in progress" or "finished".
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 The status of a measure can be documented and tracked under "Actions", among other things:
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Customer-internal free text in 204-207. |
N/A |
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The specifications of the implemented measures are dynamically entered in 208. |
see above |
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Customer-internal free text in 209/210. |
N/A |
B3.3 Has a process for reviewing the effectiveness of the measures (procurement practices, purchasing strategy and other measures) been defined and implemented?
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# Possible Answer |
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Compare with B2.3: As the effectiveness test was realised with risk assessment, action tracking and recording in Prewave, "Yes" is statically selected in field 211.
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If you still want to select "No or only partially", you can select this in field 212. |
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In relation to 211, the process for checking the effectiveness of the measures is entered statically by Prewave in 213. |
[B4] Preventive measures for indirect suppliers:
B4.1 Which risks were prioritised for indirect suppliers in the reporting period based on the event-related risk analysis? Name the specific risk and in which country it occurs.
Compare with B2 and B3 (here there is only a systemic distinction as to whether indirect suppliers were also included in the analysis:
[B5] Communicating the results:
B5.1 Have the results of the risk analysis(es) for the reporting period been communicated internally to relevant decision-makers? Please select:
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# Possible Answer |
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All fields 249-255 are to be filled in by the customer. Enter a cross in the field that names the appropriate decision-makers to whom the results were communicated. |
[B6] Changes and event-driven effectiveness review:
B6.1 Have there been any changes in the prioritised risks since the previous reporting period?
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# Possible Answers |
Reference to Prewave Tool |
|---|---|
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In 256-258, Prewave dynamically sets a cross if a previous year's report is available or not, or whether changes in the priority measures were identified by comparing the two reports. |
N/A |
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If the answer "No" (257) has been selected, the customer must give reasons in the free text in 259. |
N/A |
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If the answer "Yes" (256) is selected, Prewave 261 dynamically lists the different priorities for measures, comparing them between the previous year and the current reporting period. |
N/A |
C - Incidents and remedial measures
Also similar to the "Risk analysis and prevention" tab, the "Injury and remedial measures" tab contains fields with answers automatically generated by the platform in light yellow. The answers appear in the field with a light yellow background under "Example answer". Fields with a dark yellow background are filled with a standard text from the platform. For example, the question "C1.1 Were violations detected in your own business area during the reporting period?" shown in Figure 11, the answer was automatically entered in the "Sample answer" column. The sample answers can be transferred to the "Answer" column if this is the final answer. In contrast to the fields highlighted in light yellow and yellow, the fields highlighted in blue contain internal customer information that is not generated automatically.
In principle, the "Actions and remedial measures" tab focuses on findings of violations in the company's own business area and at direct and indirect suppliers.
[C1] Findings of violations and corrective actions in own business area
C1.1 Were violations identified in your own business area during the reporting period?
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# Possible Answer |
Reference to Prewave Tool |
|---|---|
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261-264 is dynamically ticked and 265 & 266 statically filled with a description of the prewave methodology for processing and identifying violations.
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267-268 are free text fields, as the specific remedial measures in a company's own business area may vary from company to company and not all measures need to be taken by Prewave. |
N/A |
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269-281 are dynamic fields. Prewave checks whether there are any detected incidents (incident reviews) whose risk event type matches the legal position specified in the question. |
 
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282-283 are answers that are dynamically provided by Prewave based on the recorded answers from 261-263. |
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284 is a free text field and only needs to be answered if 283 has been ticked |
N/A |
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285 List of incidents identified in the reporting period at own companies or locations with assigned corrective measures initiated, which did not achieve the status "Mitigation finished" in the associated case processing ("Incident Review"). |
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286-288 only need to be answered if one of the questions 261-263 was answered in the affirmative. |
N/A |
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289 only needs to be answered if 282 was answered with YES. |
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290 Only needs to be answered if 282 answered YES. |
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291 only needs to be answered if 282 was answered with YES. |
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292 must only be answered if 261-263 have been marked as applicable and is a free text field that must be answered on a customer-specific basis. |
N/A |
[C2] Detection of violations and remedial action at direct suppliers
C2.1 Were any violations identified at direct suppliers during the reporting period?
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# Possible Answer |
Reference to Prewave Tool |
|---|---|
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293 is marked as applicable if there are detected incidents at direct suppliers in the reporting period. Detected incidents are "alerts" resulting from media monitoring, complaint mechanisms or other findings with associated case processing (= "incident review") that is neither in the "Skipped" nor "Aborted" status. |
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294 is marked as applicable if NO incidents were detected at direct suppliers in the reporting period. Detected incidents are "alerts" resulting from media monitoring, complaint mechanisms or other findings with associated case processing (= "incident review") that is neither in the "Skipped" nor "Aborted" status. |
N/A |
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295 & 296 No matter how the answers from 293 & 294 turn out, a description of the procedure for determining any violations is always requested. The standard answer is as follows: |
For direct suppliers, the following procedures are used to identify violations: |
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297 is answered, if 293 was answered with YES, the following standard text is provided: |
For identified incidents, the appropriate remedial actions are determined as part of case processing based on the legal appropriateness criteria. The appropriateness criteria (severity and probability, capacity to influence, contribution to causation and type/scope of business activity) form the basis for weighting and prioritising the identified incident and the remedial action to be initiated. The evaluation of the appropriateness criteria for each identified incident is documented in a checklist as part of the incident review. |
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An answer is required for 298 & 299 if 293 was answered with YES. This is internal customer information. |
N/A |
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300-312 are dynamically filled fields. Prewave checks whether there are any detected incidents (incident reviews) whose risk event type matches the legal position specified in the question. If there is an incident review with a matching event type. |
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313 & 314 are responses that are dynamically answered by Prewave based on the recorded response 293. |
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315 is a free text field and only needs to be answered if 314 has been ticked |
N/A |
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If 313 was ticked, a list of the remedial actions initiated appears, which are assigned to incidents identified at direct suppliers during the reporting period. Standard texts for each type of action with the option of customer-specific additions. |
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317 is filled with a standard text for the Prewave procedure if 313 is applicable. |
N/A |
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318 must be answered on a customer-specific basis. |
N/A |
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319 only needs to be answered if 313 was answered with YES. |
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320 only needs to be answered if 313 was answered with YES. |
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321 only needs to be answered if 313 was answered with YES. |
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322 only needs to be answered if 293 has been marked as applicable and is a free text field that must be answered on a customer-specific basis. |
N/A |
C2.3 For the reporting period, were there any violations at direct suppliers that could not be resolved within a foreseeable period of time?
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# Possible Answer |
Reference to Prewave Tool |
|---|---|
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323 is ticked if there are identified incidents at direct suppliers in the reporting period that have not achieved the status "Mitigation finished" in the associated case processing ("Incident Review"). |
 OR  |
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324 is applicable if there are NO identified incidents at direct suppliers in the reporting period that have not achieved the status "Mitigation finished" in the associated case processing ("Incident Review"). |
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If 323 applicable, this results from a list of the incidents identified during the reporting period at direct suppliers with assigned remedial actions initiated that have NOT reached the status "Mitigation finished" in the associated case processing ("Incident Review"). |
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If 323 applicable, 326 results from a list of the remedial actions initiated that are assigned to incidents identified at direct suppliers in the reporting period and have not reached the status "Mitigation finished" in the associated case processing ("Incident Review"). Standard texts for each type of measure with the option of customer-specific additions.
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Example response: Corrective actions: Training and further education: Change in business relationships: Other/additional measures: |
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If 323 applicable, 327 is answered with a standard text describing Prewave's methodology for determining the effectiveness of measures. |
Standard text: |
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If 323 applicable, you must describe in 328 how the interests of potentially affected persons and/or their legitimate representatives have been taken into account in the design, implementation and review of the effectiveness of the measures. |
N/A |
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If 323 applicable, you must describe in 329 what the concrete schedule of the concept looks like. |
N/A |
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If 323 is applicable, 330 is ticked if remedial actions of the type "Corrective Action Plan" have been initiated, which are assigned to incidents identified at direct suppliers during the reporting period and have not reached the status "Mitigation finished" in the associated case processing ("Incident Review"). |
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If 323 applicable, you must indicate in 331 whether you have participated in a merger with other companies as part of industry initiatives and industry standards. |
N/A |
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If 323 is applicable, 332 is ticked if remedial actions of the type "Temporary suspension" have been initiated, which are assigned to incidents at direct suppliers during the reporting period AND have NOT reached the status "Mitigation finished" in the associated case processing ("Incident Review"). |
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If 323 is applicable, all other remedial actions initiated that are assigned to underlying incidents at direct suppliers in the reporting period AND have NOT reached the status "Mitigation finished" in the associated case processing ("Incident Review") are entered in 333. Standard texts for each type of measure with the option of customer-specific additions. |
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If 323 applicable, 334 shows the number of initiated remedial actions of the type "Temporary suspension" or "Offboarding" that are assigned to underlying incidents at direct suppliers in the reporting period AND have NOT reached the status "Mitigation finished" in the associated case processing ("Incident Review"). |
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[C3] Findings of violations and remedial actions at indirect suppliers
C3.1 Were any violations identified at indirect suppliers during the reporting period?
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# Possible Answer |
Reference to Prewave Tool |
|---|---|
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335 is ticked if there are incidents identified at indirect suppliers in the reporting period. Detected incidents are "alerts" resulting from media monitoring, complaint mechanisms or other findings with associated case processing (= "incident review") that is neither in "Skipped" nor "Aborted" status. |
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336 is ticked if there are no detected incidents at indirect suppliers in the reporting period. Detected incidents are "alerts" resulting from media monitoring, complaint mechanisms or other findings with associated case processing (= "incident review") that is neither in "Skipped" nor "Aborted" status. |
OR
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If 336 is ticked, a standard text from Prewave on the procedure for identifying breaches at indirect suppliers is 337 provided. |
For indirect suppliers, the following procedures are used to determine violations: |
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If 335 has been ticked, a standard text from Prewave on the procedure for determining violations at indirect suppliers is given in 338. |
For indirect suppliers, the following procedures are used to determine violations: |
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If 335 has been ticked, a standard text from Prewave on the procedure for prioritising and weighting detected violations is provided in 339 |
For detected incidents, the appropriate remedial action is determined as part of case processing based on the statutory appropriateness criteria. The appropriateness criteria (severity and probability, influence, contribution to causation and type/scope of business activity) form the basis for weighting and prioritising the detected incident and the remedial action to be taken. The evaluation of the appropriateness criteria for each identified incident is documented in a checklist as part of the incident review. |
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If 335 has been ticked, a customer-specific statement is expected in 340 & 341 |
N/A |
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342-354 are dynamically filled fields. Prewave checks whether there are any detected incidents (incident reviews) whose risk event type matches the legal position specified in the question. If there is an incident review with a matching event type. |
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C3.2 Were there any violations at indirect suppliers during the reporting period that could not be resolved within a foreseeable period of time?
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# Possible Answer |
Reference to Prewave Tool |
|---|---|
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355 is ticked if there are incidents identified at indirect suppliers in the reporting period that have not achieved the status "Mitigation finished" in the associated case processing ("Incident Review"). |
 OR  |
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356 is ticked if there are NO identified incidents at indirect suppliers in the reporting period that have not achieved the status "Mitigation finished" in the associated case processing ("Incident Review"). |
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If 355 is applicable, a list of the incidents identified at indirect suppliers during the reporting period with assigned remedial actions initiated that did NOT achieve the status "Mitigation finished" in the associated case processing ("Incident Review") appears in 357. |
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If 355 is applicable, 358 contains a list of the remedial actions initiated that are assigned to incidents at indirect suppliers in the reporting period and have NOT reached the status "Mitigation finished" in the associated case processing ("Incident Review"). Standard texts for each type of action with the option of customer-specific additions. |
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If 355 applicable, a standard text on the procedure for testing the effectiveness of the measures appears in 359. |
The results of the measures are evaluated and incorporated into the risk assessment of the business unit ("assessment score" component of the 360° risk score). A measure with a positive result (e.g. completed training) contributes to an improvement in the risk assessment, while a measure with a negative result (e.g. an audit with critical findings) contributes to a deterioration in the risk assessment. In addition, high-risk suppliers or companies/locations in our own business area are subject to continuous media monitoring. Any breaches identified (through media monitoring, the complaints mechanism or other findings) contribute directly to a deterioration in the risk assessment. The risk assessment therefore always reflects the current risk situation and serves as a basis for regularly evaluating the effectiveness of both risk management and individual measures. |
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If 355 is ticked, a customer-specific statement is expected in 360. |
N/A |
D - Complaints procedure and E - Evaluation and conclusions
The last two chapters D & E of the Bafa report are structured in the same way. They must only be completed with internal customer information. Here you are required to tick the applicable multiple choice answer or fill in a free text if applicable.
Annex
Disclaimer: The information shown in the annex tabs in the Prewave provided Bafa Report Template are not for direct reporting purposes to the BAFA. The information have been provided as complementary information to the aggregated information provided in chapter B and C.
They can be used for internal reporting purposes or upon audit from the Bafa in case you are being asked to lay out more specific information.
Annex B1
The information from the annex tabs is not intended for reporting use to the BAFA. Only the aggregated information from Chapters B and C serve in regards of your reporting obligation. It is provided to our end users in order to support you in case of an audit by the BAFA and respond to more specific questions than the general questions asked in the BAFA questionnaire.
The Annex B1 tab displays risk information about each of your suppliers selected for the BAFA Reporting. It only shows relevant data.
- This means it only shows targets with at least one high or above group risk score in the respective Risk Groups of the LkSG perspective (Health & Safety, Human rights, Labor rights and Environment).
Other inconspicuous targets are not included in the annex B1.
How to read an use the information?
Value: These are the column headers provided in the Bafa Report
Data Type: shows in which data type the information is provided, so you can better handle the information in whatever analysis you will do.
Context: Provides information about the values, for better understanding of what they mean
Potential Uses: Information only becomes valuable when actionable. This is why this column describes what end users can expect to do with the information by provided by Prewave.
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Value |
Data Type |
Context |
Potential Uses |
|---|---|---|---|
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Name |
String |
Prewave provided name of supplier |
Can be used for searching the target in the search box. |
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Prewave ID |
Integer |
Prewave system id |
Can help match information with other information about this target and support search in-app. |
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Supplier ID |
Alphanum |
Customer system id provided by the customer at discovery or passed through the Prewave application |
Provided for matching with Prewave external system data and improved search in Prewave search box. |
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Included in Risk Analysis |
String |
Risk Analysis name provided by the customer. Figures in which risk analysis the provided target is included, |
This information is provided to better understand why the target is being displayed in the Bafa Report. This information is supposed to be used as reference for easier navigation to the risk analysis where more information about the target can be found. |
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Risk Analysis Scope |
String |
Figures the scope of the risk analysis the target has been included in. [Possible values: Own business, Tier-1, Tier-N] |
This information is provided in order to better understand which scope is affected (supplier? Own business area?). In case you encounter questions about a specific scope simply use this column to filter the relevant results. |
|
Group |
String |
Provides the name of the affected high or above risk group. |
- |
|
Group Risk score |
Integer |
Specifies the exact risk score of the target in the affected risk group. |
- |
|
Group Risk (category) |
String |
Specifies the risk category (only High or Critical) |
- |
|
Impact |
String |
Specifies the overall impact on the supplier based on the chosen Degree of influence model. Besides the known impact categories (No, Low, Mid, High and Critical), it is also possible to encounter NA. This simply means that due to missing spend AND/OR revenue no impact could be calculated. |
Provides the impact category to better understand whether the considered target can be taken influence over or not. |
|
Action Priority |
String |
The action priority in this table is calculated by Group risk and impact. It is possible that you will encounter targets that weren’t prioritized in the risk analyses due to the fact that the overall risk score was not as grave as the individual group risk displayed in the Annex B1. |
Can be used as complementary indication to the recommendations shown in the initial risk analysis for further action taking. This does not mean that actions need to be taken! Important are the indication resulting from the overall action priority shown in the risk analysis. |
|
M1 Risk |
Boolean |
Will be ticked with X in case a high or above risk was detected for the risk group describing the prohibition of child labour (Verbot von Kinderarbeit). |
In case you are being asked to provide further information on risks associated to the specific legal positions. Please take notice that a detected high or above risk does not always require your action. Action is then required when important risks also meet the sufficient impact, which is materialised in the action priority as your key indicator for action taking. |
|
M1 Prio |
Boolean |
Will be ticked with X in case the combination of impact and above group risk score results in a high or above action priority. Please note, that it is possible that a supplier with a high group action priority did not have a high or above action priority during the risk analysis. This is because in the risk analysis the overall risk score is being compared to the impact. |
Can be used as complementary indication to the recommendations shown in the initial risk analysis for further action taking. This does not mean that actions need to be taken! Important are the indication resulting from the overall action priority shown in the risk analysis. |
|
M2 Risk |
Boolean |
Will be ticked with X in case a high or above risk was detected for the risk group describing the prohibition of forced labour (Verbot von Zwangsarbeit). |
In case you are being asked to provide further information on risks associated to the specific legal positions. Please take notice that a detected high or above risk does not always require your action. Action is then required when important risks also meet the sufficient impact, which is materialised in the action priority as your key indicator for action taking. |
|
M2 Prio |
Boolean |
Will be ticked with X in case the combination of impact and above group risk score results in a high or above action priority. Please note, that it is possible that a supplier with a high group action priority did not have a high or above action priority during the risk analysis. This is because in the risk analysis the overall risk score is being compared to the impact. |
Can be used as complementary indication to the recommendations shown in the initial risk analysis for further action taking. This does not mean that actions need to be taken! Important are the indication resulting from the overall action priority shown in the risk analysis. |
|
M3 Risk |
Boolean |
Will be ticked with X in case a high or above risk was detected for the risk group describing the disregard for occupational health and safety and work-related health hazards (Missachtung von Arbeitsschutz und arbeitsbedingten Gesundheitsgefahren). |
In case you are being asked to provide further information on risks associated to the specific legal positions. Please take notice that a detected high or above risk does not always require your action. Action is then required when important risks also meet the sufficient impact, which is materialised in the action priority as your key indicator for action taking. |
|
M3 Prio |
Boolean |
Will be ticked with X in case the combination of impact and above group risk score results in a high or above action priority. Please note, that it is possible that a supplier with a high group action priority did not have a high or above action priority during the risk analysis. This is because in the risk analysis the overall risk score is being compared to the impact. |
Can be used as complementary indication to the recommendations shown in the initial risk analysis for further action taking. This does not mean that actions need to be taken! Important are the indication resulting from the overall action priority shown in the risk analysis. |
|
M4 Risk |
Boolean |
Will be ticked with X in case a high or above risk was detected for the risk group describing the disregard for freedom of association (Missachtung der Koalitionsfreiheit). |
In case you are being asked to provide further information on risks associated to the specific legal positions. Please take notice that a detected high or above risk does not always require your action. Action is then required when important risks also meet the sufficient impact, which is materialised in the action priority as your key indicator for action taking. |
|
M4 Prio |
Boolean |
Will be ticked with X in case the combination of impact and above group risk score results in a high or above action priority. Please note, that it is possible that a supplier with a high group action priority did not have a high or above action priority during the risk analysis. This is because in the risk analysis the overall risk score is being compared to the impact. |
Can be used as complementary indication to the recommendations shown in the initial risk analysis for further action taking. This does not mean that actions need to be taken! Important are the indication resulting from the overall action priority shown in the risk analysis. |
|
M5 Risk |
Boolean |
Will be ticked with X in case a high or above risk was detected for the risk group describing the prohibition of unequal treatment in employment (Verbot der Ungleichbehandlung in Beschäftigung). |
In case you are being asked to provide further information on risks associated to the specific legal positions. Please take notice that a detected high or above risk does not always require your action. Action is then required when important risks also meet the sufficient impact, which is materialised in the action priority as your key indicator for action taking. |
|
M5 Prio |
Boolean |
Will be ticked with X in case the combination of impact and above group risk score results in a high or above action priority. Please note, that it is possible that a supplier with a high group action priority did not have a high or above action priority during the risk analysis. This is because in the risk analysis the overall risk score is being compared to the impact. |
Can be used as complementary indication to the recommendations shown in the initial risk analysis for further action taking. This does not mean that actions need to be taken! Important are the indication resulting from the overall action priority shown in the risk analysis. |
|
M6 Risk |
Boolean |
Will be ticked with X in case a high or above risk was detected for the risk group describing the prohibition of withholding an appropriate wage (Verbot des Vorenthaltens eines angemessenen Lohn). |
In case you are being asked to provide further information on risks associated to the specific legal positions. Please take notice that a detected high or above risk does not always require your action. Action is then required when important risks also meet the sufficient impact, which is materialised in the action priority as your key indicator for action taking. |
|
M6 Prio |
Boolean |
Will be ticked with X in case the combination of impact and above group risk score results in a high or above action priority. Please note, that it is possible that a supplier with a high group action priority did not have a high or above action priority during the risk analysis. This is because in the risk analysis the overall risk score is being compared to the impact. |
Can be used as complementary indication to the recommendations shown in the initial risk analysis for further action taking. This does not mean that actions need to be taken! Important are the indication resulting from the overall action priority shown in the risk analysis. |
|
M7 Risk |
Boolean |
Will be ticked with X in case a high or above risk was detected for the risk group describing the destruction of the natural basis of life through environmental pollution (Zerstörung der natürlichen Lebensgrundlagen durch Umweltverunreinigungen). |
In case you are being asked to provide further information on risks associated to the specific legal positions. Please take notice that a detected high or above risk does not always require your action. Action is then required when important risks also meet the sufficient impact, which is materialised in the action priority as your key indicator for action taking. |
|
M7 Prio |
Boolean |
Will be ticked with X in case the combination of impact and above group risk score results in a high or above action priority. Please note, that it is possible that a supplier with a high group action priority did not have a high or above action priority during the risk analysis. This is because in the risk analysis the overall risk score is being compared to the impact. |
Can be used as complementary indication to the recommendations shown in the initial risk analysis for further action taking. This does not mean that actions need to be taken! Important are the indication resulting from the overall action priority shown in the risk analysis. |
|
M8 Risk |
Boolean |
Will be ticked with X in case a high or above risk was detected for the risk group describing the unlawful violation of land rights (Widerrechtliche Verletzung von Landrechten). |
In case you are being asked to provide further information on risks associated to the specific legal positions. Please take notice that a detected high or above risk does not always require your action. Action is then required when important risks also meet the sufficient impact, which is materialised in the action priority as your key indicator for action taking. |
|
M8 Prio |
Boolean |
Will be ticked with X in case the combination of impact and above group risk score results in a high or above action priority. Please note, that it is possible that a supplier with a high group action priority did not have a high or above action priority during the risk analysis. This is because in the risk analysis the overall risk score is being compared to the impact. |
Can be used as complementary indication to the recommendations shown in the initial risk analysis for further action taking. This does not mean that actions need to be taken! Important are the indication resulting from the overall action priority shown in the risk analysis. |
|
M9 Risk |
Boolean |
Will be ticked with X in case a high or above risk was detected for the risk group describing the Prohibition of the commissioning or use of private/public armed forces that could lead to impairments due to a lack of instruction or control (Verbot der Beauftragung oder Nutzung privater/öffentlicher Streitkräfte, die aufgrund mangelnder Unterweisung oder Kontrolle zu Beeinträchtigungen führen können). |
In case you are being asked to provide further information on risks associated to the specific legal positions. Please take notice that a detected high or above risk does not always require your action. Action is then required when important risks also meet the sufficient impact, which is materialised in the action priority as your key indicator for action taking. |
|
M9 Prio |
Boolean |
Will be ticked with X in case the combination of impact and above group risk score results in a high or above action priority. Please note, that it is possible that a supplier with a high group action priority did not have a high or above action priority during the risk analysis. This is because in the risk analysis the overall risk score is being compared to the impact. |
Can be used as complementary indication to the recommendations shown in the initial risk analysis for further action taking. This does not mean that actions need to be taken! Important are the indication resulting from the overall action priority shown in the risk analysis. |
|
M10 Risk |
Boolean |
Will be ticked with X in case a high or above risk was detected for the risk group describing the Prohibition of other actions that could influence the aforementioned human rights legal positions (Verbot sonstiger Handlungen, die benannte menschenrechtliche Rechtspositionen beeinflussen könnten). |
In case you are being asked to provide further information on risks associated to the specific legal positions. Please take notice that a detected high or above risk does not always require your action. Action is then required when important risks also meet the sufficient impact, which is materialised in the action priority as your key indicator for action taking. |
|
M10 Prio |
Boolean |
Will be ticked with X in case the combination of impact and above group risk score results in a high or above action priority. Please note, that it is possible that a supplier with a high group action priority did not have a high or above action priority during the risk analysis. This is because in the risk analysis the overall risk score is being compared to the impact. |
Can be used as complementary indication to the recommendations shown in the initial risk analysis for further action taking. This does not mean that actions need to be taken! Important are the indication resulting from the overall action priority shown in the risk analysis. |
|
U1 Risk |
Boolean |
Will be ticked with X in case a high or above risk was detected for the risk group describing the ban on the production/use and/or disposal of mercury - Minamata (Verbot Herstellung/Einsatz und/oder Entsorgung von Quecksilber - Minamata). |
In case you are being asked to provide further information on risks associated to the specific legal positions. Please take notice that a detected high or above risk does not always require your action. Action is then required when important risks also meet the sufficient impact, which is materialised in the action priority as your key indicator for action taking. |
|
U1 Prio |
Boolean |
Will be ticked with X in case the combination of impact and above group risk score results in a high or above action priority. Please note, that it is possible that a supplier with a high group action priority did not have a high or above action priority during the risk analysis. This is because in the risk analysis the overall risk score is being compared to the impact. |
Can be used as complementary indication to the recommendations shown in the initial risk analysis for further action taking. This does not mean that actions need to be taken! Important are the indication resulting from the overall action priority shown in the risk analysis. |
|
U2 Risk |
Boolean |
Will be ticked with X in case a high or above risk was detected for the risk group describing the prohibited production and/or use of substances within the scope of the Stockholm Convention (POPs) and non-environmentally sound handling of waste containing POPs (Verbotene Produktion und/oder Verwendung von Stoffen im Anwendungsbereich des Stockholmer Übereinkommens (POP) sowie nicht umweltgerechter Umgang mit POP-haltigen Abfällen). |
In case you are being asked to provide further information on risks associated to the specific legal positions. Please take notice that a detected high or above risk does not always require your action. Action is then required when important risks also meet the sufficient impact, which is materialised in the action priority as your key indicator for action taking. |
|
U2 Prio |
Boolean |
Will be ticked with X in case the combination of impact and above group risk score results in a high or above action priority. Please note, that it is possible that a supplier with a high group action priority did not have a high or above action priority during the risk analysis. This is because in the risk analysis the overall risk score is being compared to the impact. |
Can be used as complementary indication to the recommendations shown in the initial risk analysis for further action taking. This does not mean that actions need to be taken! Important are the indication resulting from the overall action priority shown in the risk analysis. |
|
U3 Risk |
Boolean |
Will be ticked with X in case a high or above risk was detected for the risk group describing the prohibited import/export of hazardous waste within the meaning of the Basel Convention (Verbotene Ein-/Ausfuhr gefährlicher Abfälle im Sinne des Basler Übereinkommens). |
In case you are being asked to provide further information on risks associated to the specific legal positions. Please take notice that a detected high or above risk does not always require your action. Action is then required when important risks also meet the sufficient impact, which is materialised in the action priority as your key indicator for action taking. |
|
U3 Prio |
Boolean |
Will be ticked with X in case the combination of impact and above group risk score results in a high or above action priority. Please note, that it is possible that a supplier with a high group action priority did not have a high or above action priority during the risk analysis. This is because in the risk analysis the overall risk score is being compared to the impact. |
Can be used as complementary indication to the recommendations shown in the initial risk analysis for further action taking. This does not mean that actions need to be taken! Important are the indication resulting from the overall action priority shown in the risk analysis. |
Annex B2
The information from the annex tabs is not intended for reporting use to the BAFA. Only the aggregated information from Chapters B and C serve in regards of your reporting obligation. It is provided to our end users in order to support you in case of an audit by the BAFA and respond to more specific questions than the general questions asked in the BAFA questionnaire.
The Annex B2 tab displays preventative action information about each of your suppliers selected for the BAFA Reporting. It only shows relevant data.
-
This means it only shows actions data of actions labeled in category preventative measure
-
It only shows action information within the time range selected for your reporting period
-
It only shows actions that are executed (in progress), in review or finished. Skipped actions will be disregarded as skipped indicates irrelevancy in all action reporting contexts.
-
It only shows actions implemented for targets included in the underlying risk analyses of your BAFA report
How to read and use the the information
Value: These are the column headers provided in the Bafa Report
Data Type: shows in which data type the information is provided, so you can better handle the information in whatever analysis you will do.
Context: Provides information about the values, for better understanding of what they mean
Potential Uses: Information only becomes valuable when actionable. This is why this column describes what end users can expect to do with the information by provided by Prewave.
|
Value |
Data Type |
Context |
Potential Uses |
|---|---|---|---|
|
Scope |
String |
Figures the scope of the risk analysis the target has been included in. [Possible values: Own business, Tier-1, Tier-N] |
This information is provided in order to better understand which scope is affected (supplier? Own business area?). In case you encounter questions about a specific scope simply use this column to filter the relevant results. |
|
Name |
String |
Prewave provided name of supplier |
Can be used for searching the target in the search box. |
|
Prewave ID |
Integer |
Prewave system id |
Can help match information with other information about this target and support search in-app. |
|
Supplier ID |
Alphanum |
Customer system id provided by the customer at discovery or passed through the Prewave application |
Provided for matching with Prewave external system data and improved search in Prewave search box. |
|
Action Key |
Integer |
Unique identifier for customer environment actions |
This unique identifier can be used for matchings in the context of custom reports or as search key within Prewave |
|
BAFA Action Category |
NULL |
- |
- |
|
Action Type |
String |
Prewave has over 30 different action types that can be executed AND/OR documented. |
This information can be used for further high level analyses on what kind of actions have been done. This information can then be combined with other information like status etc. in order to assess the effectiveness of certain action types to name only one example. |
|
Action Title |
String |
The Action Title is per default a combination of action type and the Supplier Site connected to the action. A custom action title can be provided upon action creation. |
Can be used as a query term to search for actions and helps navigating the information. |
|
Action Description |
String |
Field value optionally provided by action creator. If not provided this field will be blank. |
Can be used to obtain information about what exactly has been done and provide further information to the reporting functions in your organisation. Prewave recommend to maintain this field for better readability and comprehensiveness |
|
Action Created at |
Date |
Date value that indicates the point in time of action creation. Cannot be edited afterwards in the system. |
Can be used for time analyses and compared to the action due date value to assess amount of time attributed to completion etc. |
|
Action Due date |
Date |
Date value that indicated the point in time fixed where completion of the action is expected. |
Can be used to compare against Action state in order to identify actions that are overdue. |
|
Action State |
String |
Categorical field that indicated the progress or completion state of an action. |
Can be used to assess the progress of the overall action portfolio and steer initiatives for actions that are not done yet. |
Annex C1
The information from the annex tabs is not intended for reporting use to the BAFA. Only the aggregated information from Chapters B and C serve in regards of your reporting obligation. It is provided to our end users in order to support you in case of an audit by the BAFA and respond to more specific questions than the general questions asked in the BAFA questionnaire.
The Annex C1 tab displays incident review information about each of your suppliers selected for the BAFA Reporting. It only shows relevant data.
-
This means it only shows actions data of actions labeled as incident review
-
It only shows incident review information within the time range selected for your reporting period
-
It only shows incident reviews that are planned, in progress, in review or finished. Skipped actions will be disregarded because skipped indicates irrelevancy in all action reporting contexts.
-
If an incident review is shown in the list it doesn’t mean an actual incident has happened. It means that an incident has been created and is not skipped (labeled as irrelevant). Only incident reviews in status in progress, in review or finished are considered as actual incidents in chapter C.
-
It only shows incident reviews implemented for targets included in the underlying risk analyses of your BAFA report
How to read and use the the information
Value: These are the column headers provided in the Bafa Report
Data Type: shows in which data type the information is provided, so you can better handle the information in whatever analysis you will do.
Context: Provides information about the values, for better understanding of what they mean
Potential Uses: Information only becomes valuable when actionable. This is why this column describes what end users can expect to do with the information by provided by Prewave.
|
Value |
Data Type |
Context |
Potential Uses |
|---|---|---|---|
|
Scope |
String |
Figures the scope of the risk analysis the target has been included in. [Possible values: Own business, Tier-1, Tier-N] |
This information is provided in order to better understand which scope is affected (supplier? Own business area?). In case you encounter questions about a specific scope simply use this column to filter the relevant results. |
|
Name |
String |
Prewave provided name of supplier |
Can be used for searching the target in the search box. |
|
Prewave ID |
Integer |
Prewave system id |
Can help match information with other information about this target and support search in-app. |
|
Supplier ID |
Alphanum |
Customer system id provided by the customer at discovery or passed through the Prewave application. Can be NULL if incident review was done on Site Group. |
Provided for matching with Prewave external system data and improved search in Prewave search box. If this value is NULL this means that an incident has been taken out on a Site Group and not a particular Site. You can use the Prewave ID to navigate to the Site Group and see all connected Sites. |
|
Incident Key |
Integer |
Unique identifier for customer environment incidents |
This unique identifier can be used for matchings in the context of custom reports or as search key within Prewave |
|
Incident Title |
String |
The Incident Title is per default a combination of incident type name and the Supplier Site connected to the action. A custom incident title can be provided upon incident creation. |
Can be used as a query term to search for actions and helps navigating the information. |
|
Incident Description |
String |
Field value optionally provided by incident creator. If not provided this field will be blank. |
Can be used to obtain information about what exactly has been done and provide further information to the reporting functions in your organisation. Prewave recommend to maintain this field for better readability and comprehensiveness |
|
Alert ID |
Integer |
Unique identifier for alert items in Prewave |
Can be used for matching purposes and/or to uniquely identify an alert in Prewave by using the alert id search bar in the feed section. |
|
Alert Title |
String |
A combination of the affected event types the alert status and the target names of targets affected |
Can be used for attaching alerts to certain actions and for search functions in Prewave |
|
Incident Level |
String |
Categorical field [Possible values: Site, Site Group] |
Can be used to identify whether an alert has been specifically associated to an entity directly supplying your operations or if the incident could only be associated to the broader group of your supplier. |
|
Incident Created at |
Date |
Date value that indicates the point in time of action creation. Cannot be edited afterwards in the system. |
Can be used for time analyses and compared to the action due date value to assess amount of time attributed to completion etc. |
|
M1 |
Boolean |
Will be set to TRUE in case an event type is affected in the source alert that describes the prohibition of child labour (Verbot von Kinderarbeit). |
In case you are being asked to provide further information about potential incidents (incident review - planned) and actual incidents (incident review - in progress, in review, finished) |
|
M2 |
Boolean |
Will be set to TRUE in case an event type is affected in the source alert that describes the prohibition of forced labour (Verbot von Zwangsarbeit). |
In case you are being asked to provide further information about potential incidents (incident review - planned) and actual incidents (incident review - in progress, in review, finished) |
|
M3 |
Boolean |
Will be set to TRUE in case an event type is affected in the source alert that describes the disregard for occupational health and safety and work-related health hazards (Missachtung von Arbeitsschutz und arbeitsbedingten Gesundheitsgefahren). |
In case you are being asked to provide further information about potential incidents (incident review - planned) and actual incidents (incident review - in progress, in review, finished) |
|
M4 |
Boolean |
Will be set to TRUE in case an event type is affected in the source alert that describes the disregard for freedom of association (Missachtung der Koalitionsfreiheit). |
In case you are being asked to provide further information about potential incidents (incident review - planned) and actual incidents (incident review - in progress, in review, finished) |
|
M5 |
Boolean |
Will be set to TRUE in case an event type is affected in the source alert that describes the prohibition of unequal treatment in employment (Verbot der Ungleichbehandlung in Beschäftigung). |
In case you are being asked to provide further information about potential incidents (incident review - planned) and actual incidents (incident review - in progress, in review, finished) |
|
M6 |
Boolean |
Will be set to TRUE in case an event type is affected in the source alert that describes the prohibition of withholding an appropriate wage (Verbot des Vorenthaltens eines angemessenen Lohn). |
In case you are being asked to provide further information about potential incidents (incident review - planned) and actual incidents (incident review - in progress, in review, finished) |
|
M7 |
Boolean |
Will be set to TRUE in case an event type is affected in the source alert that describes the destruction of the natural basis of life through environmental pollution (Zerstörung der natürlichen Lebensgrundlagen durch Umweltverunreinigungen). |
In case you are being asked to provide further information about potential incidents (incident review - planned) and actual incidents (incident review - in progress, in review, finished) |
|
M8 |
Boolean |
Will be set to TRUE in case an event type is affected in the source alert that describes the unlawful violation of land rights (Widerrechtliche Verletzung von Landrechten). |
In case you are being asked to provide further information about potential incidents (incident review - planned) and actual incidents (incident review - in progress, in review, finished) |
|
M9 |
Boolean |
Will be set to TRUE in case an event type is affected in the source alert that describes the Prohibition of the commissioning or use of private/public armed forces that could lead to impairments due to a lack of instruction or control (Verbot der Beauftragung oder Nutzung privater/öffentlicher Streitkräfte, die aufgrund mangelnder Unterweisung oder Kontrolle zu Beeinträchtigungen führen können). |
In case you are being asked to provide further information about potential incidents (incident review - planned) and actual incidents (incident review - in progress, in review, finished) |
|
M10 |
Boolean |
Will be set to TRUE in case an event type is affected in the source alert that describes the Prohibition of other actions that could influence the aforementioned human rights legal positions (Verbot sonstiger Handlungen, die benannte menschenrechtliche Rechtspositionen beeinflussen könnten). |
In case you are being asked to provide further information about potential incidents (incident review - planned) and actual incidents (incident review - in progress, in review, finished) |
|
U1 |
Boolean |
Will be set to TRUE in case an event type is affected in the source alert that describes the ban on the production/use and/or disposal of mercury - Minamata (Verbot Herstellung/Einsatz und/oder Entsorgung von Quecksilber - Minamata). |
In case you are being asked to provide further information about potential incidents (incident review - planned) and actual incidents (incident review - in progress, in review, finished) |
|
U2 |
Boolean |
Will be set to TRUE in case an event type is affected in the source alert that describes the prohibited production and/or use of substances within the scope of the Stockholm Convention (POPs) and non-environmentally sound handling of waste containing POPs (Verbotene Produktion und/oder Verwendung von Stoffen im Anwendungsbereich des Stockholmer Übereinkommens (POP) sowie nicht umweltgerechter Umgang mit POP-haltigen Abfällen). |
In case you are being asked to provide further information about potential incidents (incident review - planned) and actual incidents (incident review - in progress, in review, finished) |
|
U3 |
Boolean |
Will be set to TRUE in case an event type is affected in the source alert that describes the prohibited import/export of hazardous waste within the meaning of the Basel Convention (Verbotene Ein-/Ausfuhr gefährlicher Abfälle im Sinne des Basler Übereinkommens). |
In case you are being asked to provide further information about potential incidents (incident review - planned) and actual incidents (incident review - in progress, in review, finished) |
Annex C2
All information from the annex tabs not intended for reporting use to the BAFA. Only the aggregated information from Chapters B and C serve in regards of your reporting obligation. It is provided to our end users in order to support you in case of an audit by the BAFA and respond to more specific questions than the general questions asked in the BAFA questionnaire.
The Annex C2 tab displays remedial actions connected to incident reviews of each of your suppliers selected for the BAFA Reporting. It only shows relevant data.
-
This means it only shows actions data of actions connected to incident reviews that are planned, in progress, in review or finished. This ensures that remedial measures outside of the LkSG operations are not shown.
-
It only shows action information within the time range selected for your reporting period,
-
It only shows remedial actions that are planned, in progress, in review or finished. Skipped actions will be disregarded because skipped indicates irrelevancy in all action reporting contexts.
-
It only shows remedial actions created for targets included in the underlying risk analyses of your BAFA report,
How to read and use the the information
Value: These are the column headers provided in the Bafa Report
Data Type: shows in which data type the information is provided, so you can better handle the information in whatever analysis you will do.
Context: Provides information about the values, for better understanding of what they mean
Potential Uses: Information only becomes valuable when actionable. This is why this column describes what end users can expect to do with the information by provided by Prewave.
|
Value |
Data Type |
Context |
Potential Uses |
|---|---|---|---|
|
Scope |
String |
Figures the scope of the risk analysis the target has been included in. [Possible values: Own business, Tier-1, Tier-N] |
This information is provided in order to better understand which scope is affected (supplier? Own business area?). In case you encounter questions about a specific scope simply use this column to filter the relevant results. |
|
Name |
String |
Prewave provided name of supplier |
Can be used for searching the target in the search box. |
|
Prewave ID |
Integer |
Prewave system id |
Can help match information with other information about this target and support search in-app. |
|
Supplier ID |
Alphanum |
Customer system id provided by the customer at discovery or passed through the Prewave application. Can be NULL if incident review was done on Site Group. |
Provided for matching with Prewave external system data and improved search in Prewave search box. If this value is NULL this means that an incident has been taken out on a Site Group and not a particular Site. You can use the Prewave ID to navigate to the Site Group and see all connected Sites. |
|
Incident Key |
Integer |
Unique identifier for customer environment incidents |
This unique identifier can be used for matchings in the context of custom reports or as search key within Prewave |
|
Incident Title |
String |
The Incident Title is per default a combination of incident type name and the Supplier Site connected to the action. A custom incident title can be provided upon incident creation. |
Can be used as a query term to search for actions and helps navigating the information. |
|
Incident Description |
String |
Field value optionally provided by incident creator. If not provided this field will be blank. |
Can be used to obtain information about what exactly has been done and provide further information to the reporting functions in your organisation. Prewave recommend to maintain this field for better readability and comprehensiveness |
|
Alert ID |
Integer |
Unique identifier for alert items in Prewave |
Can be used for matching purposes and/or to uniquely identify an alert in Prewave by using the alert id search bar in the feed section. |
|
Alert Title |
String |
A combination of the affected event types the alert status and the target names of targets affected |
Can be used for attaching alerts to certain actions and for search functions in Prewave |
|
Action Key |
Integer |
Unique identifier of attached remedial measure to incident review |
Can be used for matching purposes to see to how many incident review the action relates to |
|
BAFA Action Category |
NULL |
- |
- |
|
Action Type |
String |
Prewave has over 30 different action types that can be executed AND/OR documented. |
This information can be used for further high level analyses on what kind of actions have been done. This information can then be combined with other information like status etc. in order to assess the effectiveness of certain action types to name only one example. |
|
Action Title |
String |
The Action Title is per default a combination of action type and the Supplier Site connected to the action. A custom action title can be provided upon action creation. |
Can be used as a query term to search for actions and helps navigating the information. |
|
Action Description |
String |
Field value optionally provided by action creator. If not provided this field will be blank. |
Can be used to obtain information about what exactly has been done and provide further information to the reporting functions in your organisation. Prewave recommend to maintain this field for better readability and comprehensiveness |
|
Action Created at |
Date |
Date value that indicates the point in time of action creation. Cannot be edited afterwards in the system. |
Can be used for time analyses and compared to the action due date value to assess amount of time attributed to completion etc. |
|
Action Due date |
Date |
Date value that indicated the point in time fixed where completion of the action is expected. |
Can be used to compare against Action state in order to identify actions that are overdue. |
|
Action State |
String |
Categorical field that indicated the progress or completion state of an action. |
Can be used to assess the progress of the overall action portfolio and steer initiatives for actions that are not done yet. |