GLOBALG.A.P. Risk Assessment on Social Practice (GRASP) GRASP Checklist V 1.1 Valid from: 01.01.2011 Mandatory from: 01.07.2011 English Version Date of Assessment: Producer GGN: Registration N : Option: Number of Employees: Duration of Assessment: Producer: Address: Signature: Certification Body: Auditor/Inspector: Signature:
How to use this document This GRASP Checklist shall be used by assessors/inspectors who are assessing the implementation of the GRASP Module. GRASP is the Abbreviation for GLOBALG.A.P. Risk Assessment on Social Practice. After the assessment, the filled in checklist shall be uploaded to the GLOBALG.A.P. Database. Requirements for GRASP Assessors The GRASP Assessment can only be conducted by those GLOBALG.A.P. approved auditors/inspectors who participated in a GRASP Training for Auditors and who successfully completed the GRASP online training. An updated list of approved GRASP auditors/inspectors can be obtained on the GLOBALG.A.P. Website. Please consult about the next GRASP Training for Auditors in your region with the GLOBALG.A.P. Secretariat. Requirements for Producers GRASP is a voluntary add-on module and does not form part of the accredited GLOBALG.A.P. certification. However it logically complements the GLOBALG.A.P. IFA and plant propagation material standards regarding issues of good social practice. Thus only producer / producer groups who are GLOBALG.A.P. certified (or in the process of achieving a certificate) can register for a GRASP Assessment. How to report on the GRASP - Assessment Compliance to the control points is voluntary and has no influence on the GLOBALG.A.P. certification. However, if a producer decides to conduct the assessment, the upload of the filled in checklist(s) to the GLOB- ALG.A.P. Database is mandatory. After the assessment, the producer and the auditor/inspector must sign the completed GRASP Checklist. The results of the assessment will then be visible through the GLOBALG.A.P. Database (proof of assessment) according to the data use agreement signed by the producer in the sub-license agreement (see: GRASP GR Annex II). National Interpretation Guidelines Legal requirements regarding the control points differ from country to country (e.g. minimum wage, age of legal employment, working hours etc.). Legislation overwrites GRASP where relevant legislation is more demanding. Where there is no legislation (or legislation is not so strict), GRASP provides the minimum compliance criteria. In order to make requirements transparent to producers and assessors, National Interpretation Guidelines of the GRASP Module are developed in a process of stakeholder participation. The GRASP Module can only be assessed in those countries for which a National Interpretation Guideline is available. Consult the GLOBALG.A.P. Website on the available National Interpretation Guidelines. If your clients are interested in a GRASP Assessment and there is so far no Interpretation Guideline for your country available, please contact the GLOBALG.A.P. Secretariat to find a solution. Please see further details in the GRASP General Regulations. How to fill in the GRASP Checklist The GRASP control points are formulated in a complex way, often covering more than one aspect. In order to make the requirements clearly understandable, this checklist shall be used to assess each control point. Each control point is structured into sub-points that give an orientation to the assessor/inspector. With these sub-points, the (proposed) minimum means of assessment are provided. In the last column, the assessor/inspector is required to comment on compliance of each sub-point (Yes / No / non-applicable). The final decision on compliance is taken on the aggregated level of the control point. Below each control point, remarks shall be given. However, bear in mind that as an assessor/inspector, you are not allowed to provide consultancy to the producer you or your company is assessing. Within this GRASP Checklist, remarks in italic provide you with assessment instructions and crossreferences. Assessment Techniques: Summary For assessing social issues, a special sensitivity of the assessor is required. Please consider the following points when you assess the GRASP Module Prepare well for the GRASP Assessment. You must be aware of up-to-date information regarding legal regulations, bargaining agreements etc. The National Interpretation Guideline supports your preparation. Do also read the Implementation Guideline. If you are assessing GLOBALG.A.P. on the same day, do not start with the GRASP Module, but rather do it towards the end of the audit. It is much easier to target social issues with an established level of confidence. Do not necessarily stick to the order provided in the checklist, but find a logical sequence according to the situation. Start with rather uncritical issues and documents checks and then move to the more sensitive topics. Especially during the interview with the employees, make sure that he/she is in an environment where he/she can openly talk without farm management being present. Do give attention to a good atmosphere between you and the persons you talk to. If persons feel controlled or negatively judged by you, it is more likely that you will not be told everything. Observe your non-verbal communication (facial expression, gestures etc). Do not inspect the farm with a checklist in front of your face. For assessing the control points, it is crucial that you know them by heart. If you feel that you may not be told the truth, do not insist. Find other ways of clarifying the issue, by checking more documents, talking to a different person or simply by rephrasing your question in a later stage. GRASP Checklist 2
Example: Sub-points to be targeted during the assessment Here, the proposed means of verification for each sub-point are listed Mark your findings here (Yes / No / Not Applicable) Tick here to give your overall judgement on compliance Space for general remarks and comments on improvements needed. Must be completed in the case of a non-applicable. Please fill in. Legend: Question to the Question to the responsible Person for worker s Question to the Employee s Representative GRASP Checklist 3
N Control Point and Compliance Criteria Compliance 1 Is there at least one employee or an employees council to represent the interests of the staff to the management? Documentation is available which demonstrates that a clearly identified, named employees and / or a employees council representing the interests of the employees to the management is elected or nominated by all employees and recognized by the management. This person shall be able to communicate complaints to the management. The election/nomination of the (s) is documented. In case of a council, its composition is documented. In case of option 2 certification with high rotation of employed workforce, a producer (or other suitable person to execute this task) can be nominated on group level The election/nomination has taken place in the ongoing year or production period The representation is actual (all elected/nominated person(s) according to the list still work on the farm or in the group) The ER is/are aware of his/her/their role and rights. In case of a council, all members are interviewed. The job description clearly defines roles and rights of the ER SUMMARY CONTROL POINT 1: Remarks / Improvements needed: GRASP Checklist 4
N Control Point and Compliance Criteria Compliance 2 Is there a complaint procedure available on the farm, through which employees can make a complaint? A complaint procedure exists on the farm, the employees have been informed about its existence and complaints or suggestions can be made. The complaint procedure specifies a time frame to resolve complaints. Complaints and their solutions from the last 24 months are documented and accessible. A documented complaint procedure is available, appropriate to the size of the farm Through the complaint procedure, complaints can be made by employees at any time The complaint procedure sets a time frame to resolve complaints (e.g. during the next month) The complaints and their follow-up are documented and available for the last 24 months SUMMARY CONTROL POINT 2: Remarks / Improvements needed: GRASP Checklist 5
N Control Point and Compliance Criteria Compliance 3 Has a self-declaration on good social practice regarding human rights been communicated to the employees and signed by the farm management and the employees and have the employees been informed? The farm management and the employees have signed and displayed a self-declaration assuring good social practice and human rights of all employees. This declaration contains at least commitment to the ILO core labor conventions (ILO Conventions 111 on discrimination, 138 and 182 on minimum age and child labor, 29 and 105 on forced labor, 87 on freedom of association, 98 on the right to organize and collective bargaining, 100 on equal remuneration and 99 on minimum wage) and transparent and non-discriminative hiring procedures and the complaint procedure. The employees have been informed about the self-declaration and it is revised at least every 3 years or whenever necessary. The declaration is complete and contains at least all points referred to in the compliance criteria The declaration has been signed by the farm management and by the employees (s) and the responsible person for health and safety. The declaration is actively communicated to the workers (e.g. displayed on the farm or attached to the working contract, information meetings etc.) The farm management, the employees (s) and the responsible person for know the content of the declaration and confirm that it is put into practice It is stated that the employees (s) can file complaints without personal sanctions The declaration is checked and revised at least every 3 years or whenever necessary SUMMARY CONTROL POINT 3: Remarks / Improvements needed: GRASP Checklist 6
N Control Point and Compliance Criteria Compliance (Y N N/A) 4 Does the person responsible for workers and good social practice (WHSGSP) and the employees (s) (ER) have knowledge about and/or access to recent national labor regulations? The responsible person for workers and good social practice and the employees (s) have knowledge and/or access to national regulations concerning: gross and minimum wages, working hours, union membership, anti-discrimination, child labor, labor contracts, holiday and maternity leave, medical care and pension/gratuity. WHSGSP and ER have knowledge and/or access about valid labor regulations on gross and minimum wages WHSGSP and ER have knowledge and/or access about valid labor regulations on working hours WHSGSP and ER have knowledge and/or access about valid labor regulations on union membership WHSGSP and ER have knowledge and/or access about valid labor regulations on anti-discrimination WHSGSP and ER have knowledge and/or access about valid labor regulations on child labor and minimum age of working WHSGSP and ER have knowledge and/or access about valid labor regulations on labor contracts WHSGSP and ER have knowledge and/or access about valid labor regulations on holiday and maternity leave WHSGSP and ER have knowledge and/or access about valid labor regulations on medical care and pension/gratuity SUMMARY CONTROL POINT 4: Remarks / Improvements needed: GRASP Checklist 7
N Control Point and Compliance Criteria Compliance 5 Can copies of working contracts be shown for the employees? Do they indicate at least full names, nationality, a job description, date of birth, date of entry, wage and the period of employment? Have they been signed by both the employee and the employer? For every employee, a contract can be shown to the assessor on request (on a sample basis). Both the employee as well as the employer have signed them. s contain at least full names, nationality, a job description, date of birth, the regular working time, wage and the period of employment. s of the employees (also subcontractors) must be accessible for at least 24 months. Random checks show availability of contracts and their conformity with the national regulations based on the National Interpretation Guideline The working contracts include at least basic information on the employee s name and nationality The working contracts include at least basic information on the contract period (e.g. permanent, day labor etc.) The working contracts include at least a basic job description There is no contradiction to the self declaration on good social practice The working contracts include information on working hours & breaks If non-national employees are working on the farm, records indicate their legal status for being employed on the farm. A respective working permit is available SUMMARY CONTROL POINT 5: Remarks / Improvements needed: GRASP Checklist 8
N Control Point and Compliance Criteria Compliance 6 Is there documented evidence indicating regular payment of salaries corresponding to the contract clause? The employer shows adequate documentation of the salary transfer (e.g. employee s signature on pay slip, bank transfer). Employees sign or receive copies of pay slips / pay register that make the payment transparent and comprehensible for them. Regular payment of the employees during the last 24 months is documented. Documented evidence that the payment is made in defined intervals (e.g. pay slips or pay registers) is available for the employees (Random checks) Pay slips or pay registers indicate that payments are made in accordance with the working contracts (e.g. worker s signature on pay slips, bank transfer etc.) The record of payments are kept for at least 24 months SUMMARY CONTROL POINT 6: Remarks: GRASP Checklist 9
N Control Point and Compliance Criteria Compliance 7 Do pay slips / pay registers indicate the conformity of payment with at least legal regulations and/or collective bargaining agreements? Wages and overtime payment documented on the pay slips / pay registers indicate compliance with legal regulations (minimum wages) and/or collective bargaining agreements (if applicable). If payment is calculated per unit, employees shall be able to gain at least the legal minimum wage (on average) within regular working hours. Pay slips or pay registers give clear indication on the number of compensated working time or harvested amount (hours/days) including overtime Wages and overtime payments as shown in the records indicate compliance with national labor regulations and/or collective bargaining agreements (minimum wages), as specified in the National Interpretation Guideline Independently from the calculation unit, pay slips / pay registers document that employees gain in average at least the legal minimum wage within regular working times (especially check when piece-rate is implemented). If there are deductions from salary for employees getting paid below minimum wage, these deductions must be justified in writing SUMMARY CONTROL POINT 7: Remarks: GRASP Checklist 10
N Control Point and Compliance Criteria Compliance 8 Do records indicate that no minors are employed on the farm? s indicate compliance with national legislation regarding minimum age of employment. If not covered by national legislation, children below the age of 15 are not employed. If children -as core family members- are working on the farm, they are not engaged in work that is dangerous to their, that jeopardizes their development or prevents them from finishing their compulsory school education. Dates of birth on the records show that no employee is aged below the legal minimum age of employment or, if not specified in the National Interpretation Guideline, under the age of 15 If children -as core family members- are working on the farm, they are not engaged in work that is dangerous (according to IFA 3.0 All CPCC 3.1) to their, that jeopardizes their development or prevents them from finishing their compulsory school education SUMMARY CONTROL POINT 8: Remarks: GRASP Checklist 11
N Control Point and Compliance Criteria Compliance 9 Do the children of employees living on the farm have access to compulsory school education? There is documented evidence that children of employees at compulsory schooling age (according to national legislation) living on the farm have access to compulsory school education, either through provided transport to a public school or through on-site schooling. There is a list all children in the age of compulsory schooling age living on the farm, with sufficient indications on name, name of parents, date of birth, school attendance etc. Children of management may be excluded There is evidence of transport facilities if children cannot reach school within acceptable walking distance (half an hour walking or according to National Interpretation Guideline) There is evidence of on-site schooling system when access to schools is not available SUMMARY CONTROL POINT 9: Remarks: GRASP Checklist 12
N Control Point and Compliance Criteria Compliance 10 Is there a time recording system that shows daily working time and overtime on a daily basis for the employees? There is a time recording system that makes working hours and overtime transparent for both employees and employer on a daily basis. Working times of the employees during the last 24 months are documented. A time recording system is implemented, appropriate to the size of the farm (e.g. time record sheet, check clock, electronic cards etc.) The records indicate the regular working time for employees on a daily basis The records indicate the overtime hours for employees on a daily basis The records indicate the breaks / festive days for the employees (on a daily basis) The working records are regularly approved by the employees (e.g. regularly signed record sheet, checking clock) Access to these records is provided to the Representative(s) The records are kept for at least 24 months SUMMARY CONTROL POINT 10: Remarks: GRASP Checklist 13
N Control Point and Compliance Criteria Compliance 11 Do working hours and breaks documented in the time records comply with applicant legislation and/or collective bargaining agreements? Documented working hours, breaks and rest days are in line with applicant legislation and/or collective bargaining agreements. If not regulated more strictly by legislation, records indicate that regular weekly working hours do not exceed a maximum of 48 hours, during peak season (harvest), weekly working time does not exceed a maximum of 60 hours. Rest breaks/days are also guaranteed during peak season. Information on valid labor regulation and/or collective bargaining agreements is available/accessible, referring to working hours and breaks Working hours including overtime as shown in the records indicate compliance with legal regulations and/or collective bargaining agreements Rest breaks / days as shown in the records indicate compliance with national regulations and / or bargaining agreements If not regulated more strictly by applicant legislation, regular weekly working time does not exceed 48 hours. During peak season (harvest), weekly working time does not exceed 60 hours The records indicate that rest breaks/days are also guaranteed during peak season SUMMARY CONTROL POINT 11: Remarks: GRASP Checklist 14
ONLY APPLICABLE FOR PRODUCER GROUPS N Control Point and Compliance Criteria Compliance PG1 Does the assessment of the Quality Management System of the producer group show evidence of the correct implementation of GRASP for all producer group members? The assessment of the Quality Management System of the producer group demonstrates that GRASP is correctly implemented, internally assessed and that actions are taken to enable compliance of all producer group members. The implementation of GRASP is included in the Quality Management System of the producer group, based on the GLOBALG.A.P. IFA GR v3.2mar10 Part III for producer group certification There is a system in place to demonstrate that key staff is informed and is aware of development, issues and legislative changes relevant to the compliance to GRASP All documentation relevant to the operation of the QMS for GRASP compliance exist and is it adequately internally controlled A register is maintained of all GLOBALG.A.P. member producers that are implementing GRASP The register contains the Internal inspection date for every producer member s of the internal assessment plan, assessment findings and follow up of corrective actions resulting from an assessment are available SUMMARY CONTROL POINT PG1: Remarks: GRASP Checklist 15
N Recommendation for Good Practice Compliance R1 What other forms of social benefit does the employer offer to workers, their families and/or the community? Please specify in quantities if possible. Incentives for good and safe working performance Bonus payment Support of professional development Family friendliness Medical care / health provisions Improvement of social surroundings Other benefits: CONTROL POINT R1: Description / Remarks: GRASP Checklist 16