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GLOBALGAP Risk Assessment on Social Practices _GRASP_ Checklist

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					GLOBALGAP Risk Assessment on Social Practices (GRASP)

Checklist – GRASP Assessment



V 1.4 Feb 09

English Version




Producer:


Signature:



Assessor:


Signature:



Date of Assessment:
                 How to use this document
This checklist shall provide guidance to assessors who are assessing the implementation of the GRASP
Module on farms. Together with the GRASP implementation guideline, it forms the supporting documents on
how to correctly implement and assess the GRASP Module.




Requirements for GRASP - Assessors                         Below the sub-points, remarks on needed improve-
The GRASP assessment can only be conducted by              ments shall be given on an aggregated level. These
those assessors who hold an according licence pro-         remarks shall be limited to the eventual non-
vided by GLOBALGAP. This license can be obtained           compliance of the sub-points. The final decision on
through participation in a GRASP-training and the          compliance shall be taken on the aggregated level of
successful completion of the GRASP online training.        the control point. Within the checklist, remarks in italic
Please consult about the training programmes with          provide you with assessment instructions and cross-
the GLOBALGAP Secretariat.                                 references.


How to report on the GRASP - Assessment                    Assessment Techniques: Summary
The GRASP Module does not form part of the                 As the control points of the GRASP Module are cov-
GLOBALGAP standards and their accredited certifi-          ering social issues, a special sensitivity of the asses-
cation. Thus it logically complements the GLOBAL-          sor is required. Please consider the following points
GAP standards on issues regarding good social prac-        when you assess the GRASP Module
tice. Assessment and compliance to the control points
is voluntary. However, if a farm decides to conduct        •   Prepare well for the assessment. You must be
the assessment, its documentation in the GLOBAL-               aware of up-to-date information regarding legal
GAP database is mandatory.                                     regulations, bargaining agreements etc. If exis-
                                                               tent, a local interpretation guideline may support
After the assessment, please provide a copy of the             your preparation.
filled checklist to the producer (the farm management      •   Do also read the Implementation Guideline for
and the workers representative) and keep the original          farmers.
as a proof of assessment. Transfer the summaries of        •   If you are assessing in a team, you might share
each control point into the respective chapter in the          the themes amongst you.
GLOBALGAP database.                                        •   If you are assessing other standards on the farm
                                                               on the same day (e.g. GLOBALGAP), do not start
                                                               with the GRASP Module, but rather do it towards
Local interpretation                                           the end of the assessment. It is much easier to
Legal requirements regarding the control points differ         target social issues when a certain level of confi-
from country to country (e.g. minimum wage, age of             dence is already established.
legal employment, working hours etc.). If those are        •   Do not stick to the order provided in the docu-
stricter or more precise than the GRASP require-               ments, but rather find a logical sequence of ques-
ments, legal requirements have to be followed. In              tions according to the situation and the communi-
order to make those requirements transparent to                cation flow. Start with the rather “uncritical” ques-
farmers and assessors, national/local interpretations          tions and the documents checks and then move
of the GRASP Module are developed in a process of              to the more sensible issues.
stakeholder participation. Consult with the GLOBAL-        •   Do give attention to a good atmosphere between
GAP internet page on available national interpreta-            you and the persons you talk to. If persons feel
tions.                                                         controlled or negatively judged by you, it is very
                                                               likely that you will then not be told the truth.
How to fill the checklist                                  •   Observe your non-verbal messages (e.g. facial
The GRASP control points are formulated in a com-              expression, gestures) you are sending out. Do
plex way, often covering more than one aspect. In              not appear on the farm with a checklist in hands.
order to make the requirements clearly understand-             For assessing these control points, it is crucial
able, the checklist provides guidance on how to as-            that you know them by heart. Take your notes
sess each control point. For this, each control point is       only at the very end or after the assessment.
structured into sub-points that give an orientation to     •   If you feel that you may not be told the truth, do
the assessor. For each control point there is a small          not insist. Find other ways of clarifying the issue,
checklist to fill. On the level of these sub-points, the       by checking more documents, talking to a differ-
(minimal) means of verification are provided. In the           ent person or simply by rewording your question
last column, the assessor is required to tick the is-          in a later moment.
sues that he/she has targeted during the assessment.



                                         ––––– GRASP Assessment | 2 ––––
              Example:



Sub-points to be
targeted during                                          Here, the (minimal)
the assessment                                           means of verification for
                                                         each sub-point are listed




                                                                                           Tick the issues
                                                                                           targeted




                                                                                Tick here to give
                                                                                your overall
                                                                                judgement on
                                                                                compliance



                                     Space for general remarks and comments on
                                     improvements needed. Please fill if applicable.




              Legend:

                   Record Verification


                   Site inspection


                   Question to the Farm Manager


                   Question to the responsible Person for workers’ health,
                   safety and good social practice


                   Question to the Employee’s Representative




                                 ––––– GRASP Assessment | 3 ––––
N°       Control Point and Compliance Criteria                                         Verification    Checked
                                                                                                       (please tick)

A.1      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’ representative?

         The farm management and the employee’ representative have signed and displayed a self-declaration assur-
         ing good social practice and human rights of all employees. This declaration contains commitment to the ILO
         core labour conventions (ILO Conventions 111 on discrimination, 138 and 182 on minimum age and child la-
         bour, 29 and 105 on forced labour, 87 on freedom of association, 98 on the right to organize and collective
         bargaining, 100 on equal remuneration and 99 on minimum wage) and has been actively communicated to all
         employees.

         The declaration is complete and contains at least all points referred to in
         the compliance criterium

         The declaration has been signed by the farm management and by the
         employee’s representative (See A.2)

         The declaration is actively communicated to the workers (e.g. displayed
         on the farm or attached to every working contract, information meetings
         etc.)

         The declaration has been handed out to the responsible Person for
         workers’ health, safety and good social practice (GSPR)

         The declaration has been handed out to the Employee’s Representative
         (ER)

         The farm management and the Employee’s Representative know the
         content of the declaration and confirm that it is put into practice

         The declaration is checked and renewed from time to time
         (e.g. on annual basis)



SUMMARY CONTROL POINT A.1:

            Yes, fully compliant                                          Not compliant, but some steps taken


           Yes, some improvements needed                                  Not compliant



Remarks / Improvement needed:




     Record            Site inspection        Farm Manager           Responsible for workers health,   Employee’s
     Verification                                                    safety and good social practice   Representative

                                           ––––– GRASP Assessment | 4 ––––
N°       Control Point and Compliance Criteria                                        Verification    Checked
                                                                                                      (please tick)

A.2      Is there at least one employee or an employees’ council who represents the interests of the staff to the man-
         agement?

         Documentation is available which demonstrates that a clearly identified, named person of trust and / or a em-
         ployees’ council representing the interests of the staff to the management is nominated by all employees and
         recognised by the management. This person shall be able to communicate complaints to the management
         without personal sanctions.

         The election of the representative(s) is documented. In case of a coun-
         cil, its composition is documented. In case of option 2 certification with
         high rotation of employed workforce, a producer (or other suitable per-
         son to execute this task) can be nominated on group level

         The election/ nomination has taken place in the ongoing year or vegeta-
         tion 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(‘s) is/are aware of his/her/their role and rights


         The ER know(s) he/she/ they can file complaints to the farmer without
         personal sanctions (See A.4)



SUMMARY CONTROL POINT A.2:

            Yes, fully compliant                                         Not compliant, but some steps taken


           Yes, some improvements needed                                 Not compliant



Remarks / Improvement needed:




     Record            Site inspection         Farm Manager         Responsible for workers health,    Employee’s
     Verification                                                   safety and good social practice    Representative

                                           ––––– GRASP Assessment | 5 ––––
N°       Control Point and Compliance Criteria                                        Verification     Checked
                                                                                                       (please tick)

A.3      Do the person responsible for workers’ health, safety and good social practice and the person(s) of trust have
         knowledge about and/or access to recent national labour regulations?

         The responsible person and the person of trust demonstrate awareness and access to national regulations
         concerning: gross and minimum wages, working hours, union membership, anti-discrimination, child labour,
         labour contracts, holiday and maternity leave, medical care and pension/gratuity.

         In case of a contact list, it is regularly updated and communicated to the
         GSPR and ER (on annual basis)

         GSPR and ER have knowledge about valid labour regulations on gross
         and minimum wages

         GSPR and ER have knowledge about valid labour regulations on work-
         ing hours

         GSPR and ER have knowledge about valid labour regulations on union
         membership

         GSPR and ER have knowledge about valid labour regulations on
         anti-discrimination

         GSPR and ER have knowledge about valid labour regulations on child
         labour and minimum age of working

         GSPR and ER have knowledge about valid labour regulations on labour
         contracts

         GSPR and ER have knowledge about valid labour regulations on holi-
         day and maternity leave

         GSPR and ER have knowledge about valid labour regulations on medi-
         cal care and pension/gratuity

Check 2-3 points on a risk-base, according to the region, your personal impression of the farm and
your assessing experience



SUMMARY CONTROL POINT A.3:

            Yes, fully compliant                                         Not compliant, but some steps taken


           Yes, some improvements needed                                 Not compliant



Remarks / Improvement needed:




     Record            Site inspection        Farm Manager          Responsible for workers health,    Employee’s
     Verification                                                   safety and good social practice    Representative

                                           ––––– GRASP Assessment | 6 ––––
N°       Control Point and Compliance Criteria                                    Verification       Checked
                                                                                                     (please tick)

A.4      Is there a complaint form and/or procedure available on the farm, where employees can make a complaint?

         A complaint form and/or procedure exist on the farm, the employees have been made aware of its existence
         and complaints or suggestions can be made at any time without personal sanctions. Complaints and their solu-
         tions from the last 24 months are documented and accessible.

         A documented complaint form and / or procedure is available, appropri-
         ate to the size of the farm

         Through the complaint procedure, complaints can be made by employ-
         ees at any time without personal sanctions

         The complaint procedure fixes 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 A.4:

            Yes, fully compliant                                      Not compliant, but some steps taken


           Yes, some improvements needed                              Not compliant



Remarks / Improvement needed:




     Record           Site inspection       Farm Manager          Responsible for workers health,     Employee’s
     Verification                                                 safety and good social practice     Representative

                                         ––––– GRASP Assessment | 7 ––––
N°       Control Point and Compliance Criteria                                      Verification          Checked
                                                                                                          (please tick)

A.5      Does the management hold regular, two-way communication meetings with their employees where issues af-
         fecting the business or related to employees’ health, safety and welfare can be discussed openly?

         At least two meetings a year are held between management and employees. Matters related to the business
         and workers’ health, safety or welfare could be discussed without fear, intimidation or retribution. Records from
         such meetings are kept, the concerns of the employees are recorded. The assessor is not required to make
         judgements about the content, accuracy or outcome of such records.

         Communication meetings and their agenda are announced in advance
         (e.g. 5 days or more before the meeting)

         Communication meetings take place on a regular basis (at least twice a
         year)

         Records / protocols from the meetings are kept for at least 24 months


         The record of the meetings show that matters related to health, safety
         and Good Social practices are openly addressed and the concerns of
         the workers are recorded



SUMMARY CONTROL POINT A.5:

            Yes, fully compliant                                         Not compliant, but some steps taken


           Yes, some improvements needed                                 Not compliant



Remarks / Improvement needed:




     Record           Site inspection         Farm Manager          Responsible for workers health,       Employee’s
     Verification                                                   safety and good social practice       Representative

                                           ––––– GRASP Assessment | 8 ––––
N°       Control Point and Compliance Criteria                                     Verification      Checked
                                                                                                     (please tick)

A.6      Are there records that provide an accurate overview over all employees of the farm? Do they indicate full
         names, a job description, date of birth, date of entry, wage and the period of employment?

         Records demonstrate clearly an accurate overview of all employees (including seasonal workers and subcon-
         tractors) working on the farm. Records contain the regular working time, wage and the period of employment.
         Records of all employees (also subcontractors) must be accessible for the last 24 months.

         Records contain full names and dates of birth of all employees


         Records contain task descriptions of all employees


         Records contain the dates of entry and dates of exit of all employees


         Records are available for all permanent workers, seasonal workers and
         subcontractors

         Records are regularly updated (e.g. on a monthly base)




SUMMARY CONTROL POINT A.6:

            Yes, fully compliant                                          Not compliant, but some steps taken


           Yes, some improvements needed                                  Not compliant



Remarks / Improvement needed:




     Record           Site inspection        Farm Manager          Responsible for workers health,   Employee’s
     Verification                                                  safety and good social practice   Representative

                                          ––––– GRASP Assessment | 9 ––––
N°       Control Point and Compliance Criteria                                    Verification       Checked
                                                                                                     (please tick)

A.7      Are minors employed on the farm?

         Records demonstrate compliance with national legislation regarding minimum age of employment. If not cov-
         ered by national legislation, children below the age of 15 are not employed.

         Dates of birth on the records show that no employee is aged below
         minimum age of employment (or under 15 if no such national legislation
         exists)

         If children -as family members- are working on the farm, they are not
         engaged in work that is dangerous to their health and safety or that
         jeopardizes their development



SUMMARY CONTROL POINT A.7:

            Yes, fully compliant                                        Not compliant, but some steps taken


           Yes, some improvements needed                                Not compliant



Remarks / Improvement needed:




     Record           Site inspection        Farm Manager          Responsible for workers health,   Employee’s
     Verification                                                  safety and good social practice   Representative

                                          ––––– GRASP Assessment | 10 ––––
N°       Control Point and Compliance Criteria                                      Verification      Checked
                                                                                                      (please tick)

A.8      Can copies of working contracts be shown for every employee indicated in the records? Have they been
         signed by both the employee and the employer?

         For every employee indicated in the records, a contract can be shown to the assessor on request. Both the
         employee as well as the employer have signed them. Records must be kept for at least 24 months.

         Random checks show that for all employees mentioned, a copy of a
         contract can be shown (can be combined with A.6)

         The working contracts include at least basic information on the em-
         ployee’s name & address

         The working contracts include at least basic information on the contract
         period

         The working contracts include at least a basic job description


         The working contracts include information on working hours & breaks


         The working contracts include information on wages


         All examined contracts are signed by the farmer and the employee


         Working contracts are kept for at least 24 months




SUMMARY CONTROL POINT A.8:

            Yes, fully compliant                                          Not compliant, but some steps taken


           Yes, some improvements needed                                  Not compliant



Remarks / Improvement needed:




     Record           Site inspection         Farm Manager          Responsible for workers health,   Employee’s
     Verification                                                   safety and good social practice   Representative

                                          ––––– GRASP Assessment | 11 ––––
N°       Control Point and Compliance Criteria                                     Verification         Checked
                                                                                                        (please tick)

A.9      Is there a time recording system that shows daily working time and overtime on a daily basis for all employees?

         There is a time recording system that makes working hours and overtime transparent for both employees and
         employer. Working times of all 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 show the regular working hours for every employee on a
         daily base

         The records show the overtime hours for every employee on a daily
         base

         The records show the breaks / festive days for every employee
         (on a daily base)

         The working records are regularly approved by every employee (e.g.
         regularly signed record sheet, checking clock)

         The records are kept for at least 24 months




SUMMARY CONTROL POINT A.9:

            Yes, fully compliant                                         Not compliant, but some steps taken


           Yes, some improvements needed                                 Not compliant



Remarks / Improvement needed:




     Record           Site inspection        Farm Manager          Responsible for workers health,      Employee’s
     Verification                                                  safety and good social practice      Representative

                                         ––––– GRASP Assessment | 12 ––––
N°       Control Point and Compliance Criteria                                    Verification         Checked
                                                                                                       (please tick)

A.10     Do working hours and breaks indicated in the time records comply with legal regulations and/or collective bar-
         gaining agreements?

         Documented working hours, breaks and rest days are in line with legal regulations and/or collective bargaining
         agreements. Records indicate that regular weekly working hours do not exceed 48 hours. During peak season
         (harvest), weekly working time does not exceed 60 hours. Rest breaks/days are also guaranteed during peak
         season.

         Information on valid labour regulation and/or collective bargaining
         agreements is available/accessible, referring to working hours and
         breaks

         Working hours including overtime as shown in the records (See A.9)
         comply with legal regulations and/or collective bargaining agreements

         Rest breaks / days as shown in the records (See A.9) show compliance
         with national regulations and / or bargaining agreements

         Regular weekly working time does not exceed 48 hours. During peek
         season (harvest), weekly working time does not exceed 60 hours

         The records (see A.9) prove that rest breaks/days are also guaranteed
         during peak season



SUMMARY CONTROL POINT A.10:

            Yes, fully compliant                                       Not compliant, but some steps taken


           Yes, some improvements needed                               Not compliant



Remarks / Improvement needed:




     Record           Site inspection        Farm Manager         Responsible for workers health,      Employee’s
     Verification                                                 safety and good social practice      Representative

                                         ––––– GRASP Assessment | 13 ––––
N°       Control Point and Compliance Criteria                                    Verification       Checked
                                                                                                     (please tick)

A.11     Is there documented evidence demonstrating regular payment of salaries corresponding to the contract
         clause?

         The employer shows adequate documentation of the salary transfer (e.g. employee’s signature on payslip,
         bank transfer). All employees sign or receive copies of their payslips that make the payment transparent and
         comprehensible for them. Regular payment of all employees during the last 24 months is documented.

         Documented evidence (e.g. payslips or list of payments) are available
         for all employees as shown in the employee’s list (See A.6) (Random
         checks)

         Payslips or lists of payments show that payments are made at regular
         and defined intervals and without delay

         Payslips or lists of payments show that payments are made in accor-
         dance with the working contracts (see A.8) and working time records
         (see A.9)

         Documents show that the salary transfers to the workers are made
         adequately in accordance with the payslips (e.g. worker’s signature
         on payslips, bank transfer etc.)

         The record of payments are for at least 24 months




SUMMARY CONTROL POINT A.11:

            Yes, fully compliant                                        Not compliant, but some steps taken


           Yes, some improvements needed                                Not compliant



Remarks / Improvement needed:




     Record           Site inspection        Farm Manager          Responsible for workers health,    Employee’s
     Verification                                                  safety and good social practice    Representative

                                         ––––– GRASP Assessment | 14 ––––
N°       Control Point and Compliance Criteria                                      Verification        Checked
                                                                                                        (please tick)

A.12     Do payslips document the conformity of payment with at least legal regulations and/or collective bargaining
         agreements?

         Wages and overtime payment documented on the payslips are in line with legal regulations (minimum wages)
         and/or collective bargaining agreements (if applicable). If payment is calculated per unit, employees (on aver-
         age) shall be able to gain the legal minimum wage within regular working hours.

         Payslips or list of payments give clear indication on the number of com-
         pensated working time or harvested amount (hours/days) including
         overtime

         Wages and overtime payments as shown in the records comply with
         national labour regulations and/or collective bargaining agreements
         (See A.8)

         Independently from the calculation unit, payslips document that workers
         gain in average at least the legal minimum wage within regular working
         times (especially check if piece-rate is implemented)



SUMMARY CONTROL POINT A.12:

            Yes, fully compliant                                        Not compliant, but some steps taken


           Yes, some improvements needed                                Not compliant



Remarks / Improvement needed:




     Record           Site inspection        Farm Manager          Responsible for workers health,      Employee’s
     Verification                                                  safety and good social practice      Representative

                                         ––––– GRASP Assessment | 15 ––––
N°       Control Point and Compliance Criteria                                        Verification       Checked
                                                                                                         (please tick)

A.13     Do all children living on the farm have access to primary school education?

         All children at primary schooling age (according to national legislation) living on the farm have access to pri-
         mary school education, either through provided transport to a public primary school or through adequate on-
         site schooling.

         There is a list of children in the age of primary schooling living on the
         farm, with sufficient indications on name, name of parents, date of birth,
         school attendance etc.

         There is evidence that all children listed regularly attend primary school
         (e.g. school reports)

         There is evidence of transport facilities if children cannot reach school
         within half an hour walking

         There is evidence of an appropriate on-site schooling system when
         access to schools is not available



SUMMARY CONTROL POINT A.13:

            Yes, fully compliant                                         Not compliant, but some steps taken


           Yes, some improvements needed                                 Not compliant



Remarks / Improvement needed:




     Record            Site inspection        Farm Manager          Responsible for workers health,      Employee’s
     Verification                                                   safety and good social practice      Representative

                                          ––––– GRASP Assessment | 16 ––––
N°       Control Point and Compliance Criteria                                    Verification      Checked
                                                                                                    (please tick)

A.14     What other forms of social benefit does the employer offer to workers, their families and/or the community?
         Please specify in quantities if possible.

         There are incentives for good working performance


         Bonus payments exist in certain cases


         A support for the professional development of employees exists


         Family friendly measures have been taken on the farm


         There are additional measures taken in the field of medical care and
         health provision

         There are additional measures taken to improve the social surroundings
         of the farm



SUMMARY CONTROL POINT A.14:
Description / Remarks:




     Record           Site inspection       Farm Manager         Responsible for workers health,     Employee’s
     Verification                                                safety and good social practice     Representative

                                         ––––– GRASP Assessment | 17 ––––

				
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