3b bsci pp supplier manual appendix english pdf

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© Copyright 2008 The English version is the legally binding one. BSCI PP-3b-03/08

APPENDIX 3 – THE INTERNAL SOCIAL MANAGEMENT SYSTEM Contents

1. Introduction ......................................................................................................................................................................... 89

2. Content of the Social Management System ..................................................................................................... 89

3. Training and Information ............................................................................................................................................ 90

4. Internal Audit Procedure............................................................................................................................................... 90

5. Internal Auditor Qualification ................................................................................................................................... 91

6. BSCI Audit Tools and Documents ............................................................................................................................ 91

Appendix A – Interpretation Guidelines for BSCI Audit Questionnaire: I Processing Unit... 92

Appendix B – Interpretation Guideline for BSCI Audit Tool: II Farm ................................................. 121

February 2008 Version 2

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1. The Internal Social Management System 1. Introduction As most suppliers who export to Europe source from several farms – in some cases up to hundreds of farms – the BSCI methodology has been adapted to create a methodology that allows external auditors to audit just a sample of farms, whereas the supplier company is responsible for ensuring compliance – or development towards compliance – on the farms. If external BSCI auditors were to perform social audits on all farms supplying the company, this would be a time-consuming and costly exercise. As a result, an important requirement of the BSCI in primary production is for the supplier company to establish and implement a social management system to ensure that the BSCI Requirements are not only met in the processing unit(s), but also on the regularly supplying contract farm(s). This development is in line with the recent developments in quality and food safety, for which a management system is also required. An internal social management system would be defined as a “documented social assurance system that allows an external auditor to delegate the inspection and improvement of individual farms to an identified responsible person/unit in or by the audited company”. 2. Content of the Social Management System The internal social management system required by the BSCI is a dynamic set of policies and procedures managed by the supplier company in cooperation with the processing unit(s) and contract farm(s) for planning and performing their activities in a way that contributes to the implementation of the BSCI Requirements. First and foremost, there should be a clear overview of the social management system that covers all processing unit(s) and all contract farm(s). The description and structure should contain the following elements:

• Overview of the overall social policy of the company • Definition of the management structure and responsibilities in the company, including the

governance of processing unit(s) and farm(s) • Appointment of a responsible person for the implementation of the internal social

management system • List of internal auditors / assessors and documentation of their qualifications (training

certificates and/or records) • Definition of the internal audit / assessment procedure (see below)

The company should then define policies and procedures for each requirement in the BSCI Code of Conduct in accordance with national labour legislation and international labour standards, which should contain the following elements:

• Short-, medium-, and long-term objectives and goals • List of activities, including a timeline for implementation • Responsible persons for each of the activities • Policies and procedures for efficient implementation of the activities and compliance with the

BSCI requirements • Records and documentation (if necessary: provide the necessary documentation to the farms)

Finally, the company should have procedures in place to measure and document progress along the implementation process:

• Regularly updated lists of all processing units and farms • Declaration of commitment at all processing units and farms (BSCI Code of Conduct or an

equivalent document posted at the unit)

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• Self-Assessments filled out for all processing units and contract farms • Internal audit / assessment reports filled out for those processing units and contract farms

already integrated in the internal audit procedure • Procedure to follow-up on non-compliances (corrective action plans, training policy, etc.)

As many companies already have quality and food safety management systems in place, these structures could be used to also shape the social management system in a consistent manner. As a result, the company would have an integrated approach. It is therefore up to the company to decide how to shape the system and in which order or manner the above-mentioned requirements are fulfilled. The purpose of the BSCI requirement to create a social management system is not to oblige large amounts of paperwork. The focus should rather be on the actual implementation. However, documenting the necessary steps towards compliance allows the company to effectively and efficiently demonstrate their efforts and work to external auditors. 3. Training and Information The supplier company is requested to develop a training programme to train the farm management on the different BSCI Requirements in the Code of Conduct, relevant national labour regulations and international labour standards. Documentation of these trainings should cover the topics, a participation list and and information about the instructor or trainer. Training can be provided by external service providers. In addition, it is important that the farm management demonstrates a commitment to comply with the BSCI Social Requirements and is familiar with and supports the system. This commitment to implement the BSCI Requirements must be available and communicated to all workers on the farm, including temporary and seasonal workers. A good way of informing the workers is to post the BSCI Code of Conduct or an equivalent document in the local language(s) on the farm(s) and explain the content to all workers in information meetings or trainings. Once the implementation process has started, it is important that the supplier company supports the individual processing unit(s) and farm(s) in achieving compliance. As the BSCI is a development-oriented system, the focus should be on continuous improvement with a positive approach, rather than on a sanction model. When defining and implementing the policies for each BSCI requirement, the company should keep this in mind. The supplier company, processing unit(s) and farm(s) should maintain copies of all records and documentation created for the social management system for at least twelve months. The internal social management system should be evaluated regularly and adapted in cooperation with farm management whenever the circumstances change and specific changes are necessary. For training and information on specific topics, it may be helpful to cooperate with local partners or stakeholders. Agriculture or producer associations often deliver specific services related to certification and compliance with standards. In addition, the local government, consultants and some trade unions and NGOs could also provide more information and training on labour legislation and social issues. 4. Internal Audit Procedure An essential part of any management system is the evaluation of its functioning. The supplier company must have the necessary processes for follow up, measurement and analysis of the internal social management system. For this purpose, the BSCI requires an internal audit procedure. As a starting point, the processing unit(s) and farm(s) must all complete the BSCI Self-Assessment Questionnaire for Primary Production: I Processing Unit, II Farm or III Smallholder which forms the

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basis for the upcoming internal audit / farm assessment, as well as the upcoming BSCI audit. In addition, the Self-Assessment is a good tool for the farm management to get acquainted with the requirements. After the Self-Assessment, the supplier company is required to internally audit those processing unit(s) and farm(s) belonging to the company and externally assess the independent contract farm(s) using the BSCI Audit Questionnaire for Primary Production: I Processing Unit and the BSCI Audit Questionnaire & Report: II Farm to ensure that the processing unit(s) and contract farm(s) are complying with the BSCI Social Requirements. The following criteria apply to the internal audit procedure:

• (All) processing unit(s) and two-thirds of the contract farms shall be audited / assessed in a BSCI-cycle of three years.

• Qualified staff shall perform these internal audits / assessments. • Records must be kept that demonstrate the qualification of the internal auditors. • Internal audit reports / assessment reports shall be documented. • Efficient corrective actions are to be taken as a result of deviations. • An improvement plan shall be created that includes the follow-up on corrective action plans,

including an overview of training measures, results and re-audits. The company shall provide assistance to the processing unit(s) and contract farms, or ask external service providers to do so.

4.1 Internal Audit Scope The BSCI requirements must be fulfilled by all processing units producing for the BSCI Member company and the farms supplying them. As a result, an internal audit should take place at the processing unit(s) and on the farms that have steady contractual relationships with the processing unit(s). In some cases the supplier company also owns one (or more) farms, whereas other suppliers’ processing units source from independent farms. The number of contract farms to be audited in an internal audit is determined by taking two thirds of the total number of farms that have a steady contractual agreement with the processing unit. 4.2 Internal Audit Preparation It is important that the internal auditors are familiar with the respective national labour regulations and background information, and can apply them in the audit. The following organisational matters should be communicated to the processing unit managers and contract farmers in advance of the audit:

• Audit procedure and estimated timeframe for processing unit and farms • Which persons should be available for the audit (if applicable) and why • Which documents will be inspected in the processing unit

o See Supplier Manual for an overview • Which documents will be inspected on the farm

o See Farm Manual for an overview • A minimum of twelve months of documentation and figures should be available

4.3 Conduct of Internal Audit Internal audits must be done in a systematic, uniform, and complete manner, in order to ensure that the results are comparable in the framework of the BSCI, and to form a good basis for improvement after the audit. The auditors should be as neutral as possible. The internal auditors should generally start with the internal audit of the processing unit where they assess overall company policies and the social performance in the processing unit. The first part of the audit will consist of the following elements: 1) opening meeting, 2) interview with management, 3) examination of processing unit documents, 4) processing unit inspection and 5) interview with workers of the processing unit.

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The internal auditors then perform audits on a number of contract farms supplying the processing unit. The internal farm audit / assessment consists of the following elements: i) introductory meeting and interview with farm management, ii) examination of farm documents, iii) farm inspection, iv) interview with workers of the farm, and v) review of the Corrective Action Plan with farm management. After the farm audits / assessments, the internal auditors continue in the processing unit. Step 6) is for the auditors to draft a proposal for the Corrective Action Plan for the whole company, in which he/she should integrate the results of the audit at the processing unit, as well as an assessment of the functioning of the social management system based on the internal farm audits. The final step 7) is an evaluation meeting with management. The internal auditors are free to decide on the time sequence, and can adapt the schedule to the specific circumstances. The elements are further explained below. Opening Meeting In the opening meeting, the internal auditors and the other participants introduce themselves and explain the internal audit procedure. It is important to clearly explain the purpose and goals of the internal audit / assessment. To make sure that the internal audit is valid, it is always recommended to ask the management of all independent unit(s) or farms to sign the Declaration of Consent and give:

• Permission for the auditor to take photos of the site • Permission for the auditor to interview workers • Permission for data to be stored in a database • Permission for data to be disclosed to third parties in the framework of the BSCI

During the opening meeting with the management of the processing unit or farm, the auditor needs to record the data in the Audit Questionnaire for Primary Production: I Processing Unit or the Audit Questionnaire & Report: II Farm. Interview with Management It is important for the internal auditors to exchange information with the management, whether it is an internal audit in the processing unit or on the farm. The auditor will begin to ask members of management some questions during the introductory meeting, particularly regarding the management system and the available documentation and methods. In the course of the audit, it may be necessary to clarify various matters between the auditor and management more than once. Examination of Documents There are several documents to check during the conduct of an internal audit, in order to assess whether they conform to the requirements of the BSCI. Details of which documents must be provided and checked are given in the respective Audit Questionnaires and comprehensive lists can be found in the respective Supplier Manual and Farm Manual. Auditors cannot check all documents in detail, because this would take too much time. In general, it is a good idea to get a general overview and to conduct sample checks of certain details. It could be helpful to make copies, photographs or notes of representative documents and attach them to the report after the audit. Twelve months of documentation should be available during the audit. As a recommendation, BSCI suggests to use the sample size for worker interviews as a guideline for the sample size for checking documents (wage list, working hours, payroll, etc.). At least three months of documents should be checked (latest month, one month peak season, one month low season). These requirements apply to both the processing unit and farm.

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Production Site Inspection The following circumstances are to be checked during the inspection in the processing unit:

• Fire protection equipment, fire extinguishers and their installation • Emergency exits, escape routes and their marking/signposting • Health and safety relevant issues: equipment, personnel, training, etc. • Machines, electrical equipment and power generators • Room temperature, ventilation and lighting conditions • General cleanliness and hygiene • Sanitary facilities (toilets, washrooms, drinking water facilities) • Required social amenities e.g. sick room, first-aid kits, eating area, coffee/tea making area,

crèche for children, etc. • Dormitories/housing, if provided to workers

The following areas are checked during the inspection on the farm:

• Fire protection equipment • Crop protection and chemical storage • Emergency and accident procedures and their marking/signposting • Health and safety relevant issues: equipment, personnel, training, etc. • Machine safety and electrical equipment • Climate and weather influence on working conditions • General cleanliness and hygiene • Sanitary facilities (toilets, washrooms, drinking water facilities) • Required social amenities e.g. first-aid kits, eating area, coffee/tea making area, etc. • Dormitories/housing, if provided to workers

Interviews with Workers Interviews with workers are very important when performing a social audit. They are used to verify the results of the document check and the information given by the management. The interview should focus on aspects for which clarification is necessary, or to give an example: e.g. the amount of wages, wage payment, working times, time off for public holidays, vacation entitlement. In some cases, worker interviews are the only way to get information, for example about discrimination, possible incidents, or disciplinary measures. Of course the interviews are to be held in a confidential, and possibly anonymous, way and should always aim to protect the workers who are being interviewed. The company should consider feedback from workers as a constructive contribution and an opportunity to improve the working conditions, and not as a form of criticism or even a reason for dismissal. If the workers do not feel that they can speak openly, there will not be any benefits of worker interviews in the internal audit procedure. It is therefore crucial that the internal auditors find a good and confidential method to perform interviews. Fifty percent of the interviews should be conducted individually, and fifty percent in group interviews. The BSCI suggests the following sample size for interviews (and document checks) in the processing unit:

• < 300 workers: min. 15 interviews • > 300 workers: min. 25 interviews

The sample size for farms is prescribed as following:

• < 50 workers: min. 5 interviews • > 50 workers: min. 10 interviews

Borderline Decisions and Ethical Duties of Auditors Sometimes auditors may find themselves in situations which make it difficult to give a clear assessment during the audit. On principle, the assessment of every item is dependent on the decision of the auditor. In case of doubt, the auditor should use his/her ethical principles as an auditor. The

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protection of the individual and human rights is a key value for orientation. If the internal auditor suspects a real danger for the physical safety of workers, the auditor should require immediate corrective actions. Preparation of Corrective Action Plans (CAPs) After the internal auditor has completed the internal audit procedure, all necessary corrective actions are entered in the Corrective Action Plans for Parts B and C in the Social Audit Report for the processing unit. The necessary corrective actions on the farms are entered in the Corrective Action Plan for Part B in the Audit Questionnaire & Report: II Farm. Corrective actions should be drafted for all deviations in the social performance of the processing unit(s) and farms. An overview of the findings on the farm level should be integrated in the Corrective Action Plan for Part B in the Social Audit Report. Implementation of corrective actions for Part B is compulsory for the processing unit(s) and the farms. Implementation of corrective actions for Part C is voluntary for the processing unit(s). The following must be observed for preparation of the Corrective Action Plans:

• Clear and accurate description of the non-compliances • Easy explanations, so that they can also be understood by third parties • Maximum time period of 12 months for the implementation of the CAPs • Immediate request for action if very critical issues are discovered, including child labour,

mental or physical abuse and/or other extreme circumstances • Conclusions in the Farm Summary Report

Closing Meeting In each individual processing unit and farm that was audited, a closing meeting should take place between the management and the audit team. The purpose of such a meeting is to discuss the results of the internal audit / assessment and particularly which points are non-compliant and how the unit or farm could improve those points. Once all internal audits and assessments of processing unit(s) and farms have been concluded and the internal auditor has created a proposal for an overall Corrective Action Plan, the closing meeting shall take place between the management team of the company and the auditor. A time limit should be set for implementation of the corrective actions, with a maximum of 12 months. The overall corrective action plan should integrate both the processing unit and farm(s). In the overall corrective action plan, the corrective action requests for the individual units and farms need to be integrated and structural issues resulting from the farm audits may need to be addressed with all farmers supplying the processing unit through general information exchange or training. Reports After completion of the internal audits, the auditor must finalise the Audit Questionnaire & Report for each farm and prepare a final internal Social Audit Report for the whole company. The Social Audit Report is always to be communicated to the external BSCI auditor before the BSCI audit takes place. A Social Audit Report is to be structured as follows:

• Master Data (Part A of the audit) • Assessment BSCI Social Requirements (Part B of the audit) • Corrective Action Plan BSCI Social Requirements (CAP B) • Assessment «Best Practice for Industry» (Part C of the audit) • Corrective Action Plan «Best Practice for Industry» (CAP C) • Attachments:

o Workers Interview Sheet o Customer Record Sheet o Child and Young Worker Record Sheet (where relevant) o Pictures

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o Farm Summary Report on findings and requests for corrective actions

Name and address of company, audit findings, name of the SAI-accredited audit company, and of auditor(s) are to be entered on the cover sheet. 4.4 Audit Duration Both an official BSCI audit and internal audits have the same goal; to help the company and its units and farms to improve their social performance. The more time spent on carefully examining the working conditions, the better prepared a processing unit or farm would be to successfully improve the situation and to achieve a good result in the BSCI audit. For official BSCI audits, the audit duration in the processing unit is defined as: < 250 workers: minimum 1 person-day on site (8 hours) 250 - 1000 workers: minimum 2 person-days on site > 1000 workers: minimum 3 person-days on site In the Internal Audit Procedure, (all) processing unit(s) and two-thirds of the contract farms have to be audited / assessed in three years. The audit duration for the individual farms should be determined by the internal auditor and the farm based on size, location, number of workers, and, most importantly, the time needed to do a good internal audit. For re-audits, the audit duration is usually half of the initial audit duration. Only those farms that have non-compliances should be re-audited, and only the non-compliant points have to be re-audited. 5. Internal Auditor Qualification Internal audits / assessments must be performed by qualified staff. This could be internal staff of the supplier company, but it is also possible to hire external experts (for example consultants or auditors). In any case, it must be guaranteed that the internal auditors can show proof or documentation of their qualifications. Each internal auditor must be trained on all topics covered in the BSCI Requirements, including the respective ILO Conventions, national labour regulations, local regulations and collective bargaining agreements. Possible partners for the training of internal auditors could be national, regional and local governments, as well as consultants, training institutes, schools or universities, producer or industry associations, trade unions and specific NGOs. The training received by the internal auditors should be clearly documented by the necessary certificates and qualifications, training records, accreditation / credentials of the trainer, etc. Note: official BSCI auditors may not perform the role of internal auditor to avoid a conflict of interest. 6. BSCI Audit Tools & Documents The BSCI provides certain documents to facilitate the internal auditing procedure, including the Audit Questionnaire: I Processing Unit, the Audit Questionnaire & Report: II Farm, the Social Audit Report, the Social Re-Audit Report, and the Farm Summary Report. These documents are to be used by the internal auditors to ensure that internal audit / assessment results can easily be compared with official BSCI audit results. In each of the documents, the auditor needs to indicate whether the audit is an internal audit or an external BSCI audit. The internal auditor should only use the documents for the internal audit procedure and clearly indicate for which activities he/she uses the audit tools. Each document has a specific space designed to indicate whether it is used for internal or official BSCI use.

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6.1 Content of the Audit Questionnaires To ensure that the internal audit results are comparable to the BSCI audit results, the internal auditors are to use the same interpretation and scoring methodology. The internal auditors should use the documents in much the same way as the BSCI auditors. Both the BSCI Social Audit Questionnaire for Primary Production: I Processing Unit and the BSCI Audit Questionnaire & Report for Primary Production: II Farm contain the following components: Part A Part A of the Questionnaire is used to record basic information – the “master data”. This informations serves the purpose of providing information and is not evaluated as such. Part B Part B of the Questionnaire is used to check social requirements that have to be fulfilled as a minimum («BSCI Social Requirements»). Part C Part C covers «Best Practice»-criteria, without which certification to SA8000 would not be possible. Please note: Auditing Part C and the creation of a corresponding Corrective Action Plan is only applicable to the processing unit, and not to the individual farms. Part C is therefore not integrated into the Audit Questionnaire & Report: II Farm. Other Documents

• Workers Interview Sheet • Customer Record Sheet • Child and Young Worker Record Sheet • Corrective Action Plan (CAP) Form, Part B and Part C • Social Audit Report Form • Social Re-Audit Report Form • Farm Summary Report Form • Declaration of Consent

For more information about these documents, see the respective explanations in the Interpretation Aids in appendix A and B. 6.2 Evaluation and Scoring Evaluation of Individual Questions Each question shall be answered with a «Yes» or a «No» in the boxes provided. In general, the answer «Yes» indicates conformity with the requirements and the answer «No» indicates non-compliance with the requirements. The evaluation standards are indicated in the question, and refer to the national legal requirements and the international guidelines. For each question, the auditor must enter a valuation of either «+» (Requirements fulfilled) or «-» (Requirements not fulfilled) in the «Conclusion» field. If a question is not relevant at this production site, «NA» must be entered (for «Not Applicable»). Scoring of Sections Part B Once all questions in a chapter are answered, the result of a section can be determined following the soring scheme below and should be entered in the «Scoring» field:

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Assessment Interpretation

2 «Good»

«No deviation from BSCI Social Requirements» or «Minor deviations from BSCI Social Requirements, but full protection of workers is observed»:

There is no significant deviation from the requirements.

The auditor can assess an audit result with good, if there are not more than two deviations in non-crucial points, if there is no immediate danger to workers and if there are no systematic faults. (Crucial points are marked in the BSCI Audit Questionnaires with a double frame.)

1 «Improvements Needed»

«Deviations in less than half of the requirements and not in crucial points»:

Fulfilment of at least half the audit points. There are no deviations in crucial points. (Crucial points are marked in the BSCI Audit Questionnaires with double frame.)

0 «Critical»

«Deviations in the majority of requirements and/or in crucial points»:

The requirements are not fulfilled in more that half the points, and/or not fulfilled in crucial points. (Crucial points are marked in the BSCI Audit Questionnaires with a double frame.)

NA «Not Applicable»

«Requirements do not match to the company/farm structure»:

The requirements are not relevant with respect to the structure of the company/farm.

IMPORTANT: «Crucial points/crucial questions» are identified by a double frame. Note for Re-Audits: «NR» for Not Re-audited is entered in the «Scoring» field if the requirements of the section were not re-examined in the Re-Audit. (If there were no deviations in the first audit, there is no reason for re-examination in the Re-Audit.) Scoring of Sections Part C (only in the Processing Unit(s)) The result of a section is to be determined as follows, and entered in the «Scoring» field:

Assessment Interpretation

2 «Good» «No deviation from requirements»: Requirements are met in all points.

1 «Improvements Needed» «Deviations from requirements»: There is at least one deviation from requirements.

NA «Not Applicable» «Requirements do not match to the company structure»: Requirements are not applicable for the structure of the company.

6.3 Interpretation of Individual Questons Specific guidelines on the interpretation of the content of the BSCI Audit Questionnaire: I Processing Unit and the BSCI Audit Questionnaire & Report: II Farm are included in the appendices. If the meaning of a specific question is still not entirely clear after consulting the guidelines, the Supplier Manual also includes detailed information about the requirements and expectations.

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APPENDIX B – INTERPRETATION GUIDELINE FOR BSCI AUDIT QUESTIONNAIRE: I PROCESSING UNIT The individual components and questions of the Audit Questionnaire: I Processing Unit are explained below. The explanations serve for orientation, and aim to ensure that evaluation by the auditors is as uniform as possible. 1. Header line The header line must be completed on all pages of the Social Audit Questionnaires for Primary Production, to make sure that the individual pages can be correctly allocated later. Name of Company:

Enter the name of the company to be audited. Date of Audit:

Enter the date on which the audit is conducted. If the audit is conducted over several days, enter the date of the last audit day and final meeting. Audit Number:

The supplier company may give an audit number to trace the audit in its own internal procedures. This number should correspond to the number on the Audit Questionnaire & Report for Primary Production: II Farm. 2. Lines for Characterisation of the Audit If an internal audit is performed by an internal audit team, the internal auditor should indicate on the right side of the page whether the audit is an initial internal audit or an internal re-audit. An internal re-audit can also be a further review audit following a previous Re-Audit. Please name the auditors. 3. Chapter A. Master Data The questions of this section serve for documentation, and are not evaluated. This section is intended to show the structure of the audited company in a clear and logical manner. Basic Data, Legal Status / Official Company Registration:

Indicate the legal form of the company, for example a private-sector company (sole proprietorship, private limited company, or public limited company) or a state-controlled company. Basic Data, Languages spoken:

Indicate the principal languages spoken by workers in the processing unit. A.1 General Company Structure and Size Business activities:

Identify the main business activities of the company. Multiple answers are possible. Labour law statutes:

Indicate which national labour law statutes are applicable for the (different) business activities of the company. If different laws apply for the different business activities, please indicate which activities are considered to be industrial and which activities are considered agricultural (or other).

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Business Activities, Production structure:

Indicate the type of primary production at the farm divided in three categories, namely crops, livestock and aquaculture. Indicate for each category which of the main product categories are produced. Business Activities, Most important produce, its share of total production and its peak months:

List the most important products produced on the farm, their share of the total production in % and the peak months for each of these products. The entry of data is not limited to the space given, if more products are produced, please provide data on a separate sheet. Company Structure & Size, No. of Customers:

Enter the total number of customers supplied by the company in the last 12 months. Details of the most important customers must be entered in the Customer Record Sheet. Company Structure & Size, Processing units / Farms:

Enter the total number of processing units and farms. Specify the number of processing units and farms owned by the company and the number of independent processing units and contract farms supplying the company. Company Structure & Size, Farm Organisation:

Specify if and how the independent farms are organised. This could be a cooperative, specific contractual relation with the processing unit, or other forms of cooperation. Company Structure & Size, Size of the Company:

Indicate the size of the entire property of the company in hectares, as well as the size of the actual floor space of the processing unit(s) in hectares. Company Structure & Size, List of Units:

Specify if a list of processing units and farms is available specifying the name, address, contact person and product information of each processing unit and farm (own and independent). A.2 Sales Revenue Export / Domestic Market Export/Domestic Market:

Indicate the percentage of products processed or packed that are intended for export. Indication of percentage of products processed or packed that are intended for the domestic market. Turnover in US$:

Indicate the sales volume in US$ of the company to be audited in the last three business years. Total capacity:

Indicate the total amount of production per year, indicated in the unit of measurement applicable to the type of production. Maximum production per month in peak season:

Indicate the maximum production per month in the peak season in the unit of measurement applicable to the type of production. Average production per month in low season:

Indicate the average production per month in the low season in the unit of measurement applicable to the type of production.

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A.3 Employment Structure in the Processing Unit (at the date of the audit) Departments (at the date of the audit):

List the departments in the company. For large companies, it is enough to indicate a rough structure. Alternatively, an organisation chart may be attached if the company has one. No. of workers:

Indicate the number of workers in the departments mentioned before, including fulltime, part-time and temporary workers. For large companies, rough indications are sufficient. Working schedule (at the date of the audit):

Note what are the daily working hours at the date of the audit in the processing unit, as well as the daily office hours. Shifts (at the date of the audit):

If the company works in shift operation, enter the working times for each shift and the number of workers working in the «day shift», «middle shift» and «night shift». Overview of workers (at the date of the audit):

Enter the number of workers in the processing unit on the date of the audit. Average number of workers in peak and low season:

Enter the average total number of workers working in the processing unit in the peak and low seasons. Male workers:

Enter the number of male workers. Female workers:

Enter the number of female workers. This includes women who are on maternity leave on the day of conduct of the audit. Management position:

Enter the number of women in management positions. Pregnant/maternity leave:

Enter the number of pregnant women and number of women on maternity leave at the time of the audit. Children below min. age of .… years:

Note the legal minimum age for workers in the space provided, and answer the question accordingly. Indicate if any of these children are apprentices. Young workers between ... and 18 years of age:

Note the minimum age for workers defined above in the space provided. Indicate if any of these young workers are apprentices. Apprentices:

Enter the number of apprentices employed by the company. B.5.3 of the Social Audit Questionnaire checks whether the training legislation is complied with. Ensure that there are no fictitious apprenticeship contracts.

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Wage Earners:

In many cases the management of a company indicates that all workers are paid on a monthly basis, because workers receive their pay once or twice per month. But in fact some of the workers are paid on the basis of a weekly, daily or hourly fixed rate or a specific rate for the quantity picked or task performed. In order to get an accurate indication, the factual basis of calculation is to be specified. Workers on probation:

National legislation often permits definition of the first months of a new employment relationship as probation period. The maximum duration of probation is generally specified in the national legislation. In many cases, a probation period can be defined both in the case of unlimited as with limited employment. The purpose of employment on probation, both the employer and the worker, is to try out the employment relationship. The employment relationship is normally associated with special periods of notice for termination, while other obligations such as the payment of minimum wages and of social security contributions remains unaffected in employment on probation. This must be checked, particularly in section B.4 of the Social Audit Questionnaire for Primary Production: I Processing Unit. Disabled persons:

If there are disabled workers, enter the number. In the further course of the audit, it must be checked whether disabled workers are treated in accordance with their capabilities, and whether or not there is discrimination against them (see B.8). Temporary or seasonal workers:

Enter the number of temporary or seasonal workers currently working in the company. These are workers who are working only for a temporary period in the company, usually for the duration of the peak and harvest season, and are primarily there for the purpose of earning money. These could be local workers from the area, but also workers coming from other regions, including nationals who come from different areas to work in those areas providing a higher number of employment opportunities and immigrants from other countries. 4. Chapter B. BSCI Social Requirements Section B.1 Management Practice This section requires basic information about the management structure of the company. B.1.1 Valid certificates (please provide copies or certification number, date, validity and

certification body).

ISO 22000: Food safety management system that has been audited and certified by an auditing company accredited to ISO 22000.

ISO 14001: Environmental management system that has been audited and certified by an auditing company accredited to ISO 14001.

ISO 9001: Quality management system that has been audited and certified by an auditing company accredited to ISO 9001.

IFS: Quality and food safety system that has been audited and certified by an auditing company accredited against ISO/IEC 17021:2006 for IFS.

BRC: Quality and food safety system that has been audited and certified by an auditing company accredited against ISO/IEC 17021:2006 for BRC.

GlobalGAP: Quality and food safety system that has been audited and certified by an auditing company accredited against ISO/IEC 17021:2006 for GlobalGAP.

SA8000: Social management system that has been audited and certified by an auditing company accredited by SAI (Social Accountability International, New York). Please note: If a valid SA8000-certificate exists, covering the scope of the BSCI, the performance of an audit in the framework of the BSCI does not apply.

Fair Trade: Certification program that guarantees a minimum price (for example Fairtrade Labelling Organisation, Max Havelaar).

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Rainforest : Social and environmental system Alliance For each certificate or audit report, it should be clearly specified whether the certificate or report covers processing unit(s), farm(s) or both activities and which specific units are covered. B.1.2 a) Has the company communicated a visible and understandable commitment to all workers

to comply with the BSCI Social Requirements and to respect national labour regulations in the country of operation and ILO Conventions by posting the BSCI Code of Conduct in the relevant languages in the company premises and/or attaching it to the worker’s contract?

b) Has the company informed all workers about the content of the BSCI Code of Conduct?

The company’s social commitment has to be clearly communicated to all workers and has to be posted on company premises together with the BSCI Code of Conduct visible to all workers in relevant languages. It is also possible to attach the commitment to each worker’s contract. It is required that the company sets out in writing its commitment to good social performance. The communication of such a commitment leads to greater transparency and increased communication about social responsibility to workers and other stakeholders. B.1.3 Has a senior management representative been appointed who, irrespective of other duties, is

responsible that the BSCI Requirements are met in the entire operations of the company, including the farms? (…)

A senior management representative has been appointed in the company, with active responsibility for ensuring social standards. This person makes appropriate inspections, draws up plans for corrective action, ensures implementation, and takes preventive measures. This person is also responsible for the implementation of a social management system for the monitoring and development of the farms. B.1.4 Is a qualified person/Are qualified persons responsible for updating and implementing

national labour regulations especially but not only with regard to matters subject to continuous change like wages and safety? (…)

Knowledge of relevant labour regulations in the company is decisive to fulfil the social requirements. There shall be a qualified person or qualified persons in the company. In particular the national labour regularions on wages and safety are subject to continuous changes. Up-to-date knowledge on these subjects is therefore essential in the company, and this can only be ensured by appointing a person/persons responsible for these matters, having sufficient qualification. There is no need for a legal education for this purpose. B.1.5 Has the company appointed a qualified person/qualified persons on the operational level for

implementation of the social management system and checking compliance with the BSCI Requirements including health and safety? (…)

Responsibility of this person/these persons shall refer to all normative requirements of Part B in the processing unit, with special emphasis on the implementation of the social management system and internal auditing procedure, as well as occupational health and safety. Only the appointment of such qualified person(s) is not sufficient for compliance. Compliance needs objective evidence that implementation is on-going and developing. B.1.6. Internal Social Management System

a) Does the company provide a complete and up-to-date list of all processing units (incl. packing units) and all farms?

A complete and up-to-date list of processing units and farms must be available before and/or during the audit which specifies the name, address, contact person and product information of each processing unit and farm (own and independent). The list forms the basis for the social management system, and is an important element of a successful sampling during the audit.

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b) Does the company have a documented management system and structure with qualified resources to effectively ensure that the social requirements of the BSCI are met on the level of both processing unit(s) and contract farms through internal audits and training?

The BSCI assumes that companies take responsibility for the working conditions in all processing units and all farms with a steady contractual relationship, regardless of whether these are own farms or independent ones. This co-responsibility has the effect of a «snowball system» for the BSCI members, working through the company and its farms to continue the effect of improvement. The company therefore has to implement a social management system, with respect to the selection, management and monitoring of (at least) its contract farms (see paragraph 2.2.3 Audit Scope for further information). The social management system should collect in writing all policies, procedures and programs to manage social aspects in compliance with local law and the requirements of the BSCI and be managed by the responsible management representative. One important element is the expectation that the company management supplies the farms with the necessary documentation to effectively implement the BSCI Social Requirements on the farm level.

c) Does the company train all contract farmers and processing unit managers in a formal way about the BSCI Requirements for social standards and working conditions? (…)

There are communication structures established (free choice of arrangement) which are demonstrably capable of ensuring continuous exchange between supplier company management and processing unit managers and contract farmers in order to secure compliance with social standards and working conditions. Participation of managers and farmers is ensured (e.g. regular exchange between management and farmer representatives, complaint processes and suggestions scheme implemented, training measures with a view to labour and social rights).

d) Is a completed self-assessment based on the BSCI Self-Assessment Questionnaire for Primary Production: I Processing Unit, II Farm or III Smallholder available in each unit and on each contract farm for review by the internal or external auditor?

Each processing unit and each contract farm supplying the company must have a completed self-assessment based on the BSCI Self-Assessment Questionnaire for Primary Production: I Processing Unit and II Farm or III Smallholder – depending on the size of the farm – available for review by the internal or external auditor. This ensures transparency in the management system, and it is also a tool for farmers to get more insight in their strengths and weaknesses with regard to social issues.

e) Does the company have a clearly documented internal audit procedure that performs an internal audit of the processing unit(s) and two times the square root of contract farms per year? If yes, please provide documentation.

The internal audit procedure requires qualified staff (either internal staff or external experts) to perform an annual internal audit (of processing unit(s) and own farms) or farm assessment (of independent farms) of all processing units and two times the square root of contract farms based on the BSCI Audit Questionnaire for Primary Production: I Processing Unit or II Farm. All procedures for the performance of internal audits/farm assessments need to be clearly described and documented. For more information, please refer to the BSCI Supplier Manual for Primary Production.

f) Are internal audits at farms carried out by qualified staff within the company or a qualified external verification body?

The company can meet these requirements by various measures, e.g. by implementing the internal audit procedure with competent workers of its own, or by hiring external experts to perform the internal audits/farm assessments. Either way, the competence of qualified staff must be demonstrated.

g) Is there documented evidence of training for each of the qualified staff members and does the training cover all BSCI Requirements and the respective ILO conventions, national labour regulations and collective bargaining agreements?

The qualified staff responsible for performing internal audits/farm assessments or, in the case of inspection by external experts, the staff checking the internal audits/farm assessments and reporting

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the outcome need to be trained and knowledgeable about all BSCI Requirements, as well as the respective ILO conventions, national labour regulations and collective bargaining agreements. The content of training provided to the qualified staff needs to be documented and, if possible, verified by a competent authority (i.e. training institution).

h) Are completed internal audit reports for the audited processing unit(s) and farms available at the company for review by the external auditor?

As a result of the internal audits, it is necessary for the responsible person to prepare and/or maintain completed Internal Farm Audit Reports based on a template provided by BSCI to enable review by the external auditor.

i) Are effective corrective actions taken as a result of the internal audits or farm assessments and are these documented?

In the course of the audit, the company must be able to provide evidence that a continuous improvement process has been initiated with respect to working conditions of its farms. This may be done by Internal Audit Reports and Corrective Action Plans of its own qualified staff or external experts, by reports on qualification measures carried out, or by credible reports from audit or consulting companies, trade unions, NGO’s or other third parties. j) Does the comparison between internal audit results and results of the BSCI Audits in the

unit(s) and on the farms confirm the proper functioning of the internal audit procedure?

The audit results on the processing unit and farm level are to be compared with the previous results of the internal audits or farm assessments performed by the qualified staff of the processing unit or external experts. If the comparison shows that internal audit or farm assessment results are comparable to the BSCI audit results, this indicates that the quality of the internal audit procedure is satisfactory. The evaluation of questions B.1.6.h and B.1.6.i together indicate whether the social management system of the company is functioning properly. B.1.7 Does the company recognize all workers’ rights to choose to affiliate, or not to affiliate, with

lawful organizations, associations, trade unions, worker councils, etc. without interference? (…)

The company must clearly refrain from directly or indirectly interfering with or preventing the process of worker affiliation, and have a documented policy or statement in which it recognizes and supports freedom of association and collective bargaining. The company needs to make clear to workers that they are willing to engage workers in collective dialogue through some representative structure and that they are willing to provide them with an opportunity to do so, if the workers wish. There should be records specifying the names and positions of the workers representing workers organizations and/or trade unions. B.1.8 a) Do regular two-way communication meetings take place between management and

workers (minimum twice per year)? b) Are there records from such meetings?

Two-way communication meetings are an important tool to exchange information between management and workers, and should therefore take place at least twice per year. The minutes of each meeting should be recorded, as well as attendance figures. B.1.9 a) Is there a complaint form and procedure available in the processing unit, where workers

can complain? b) Are there records from complaints and solutions over the past 12 months?

The company should provide a documented complaint mechanism to enable its workers to exchange concerns and complaints with the management and enable the management to address these issues in a constructive manner. Records from complaints and solutions should be kept for at least 12 months.

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Section B.2 Documentation The existence of certain documents is often legally required, and provides evidence for the company, the workers and the auditors with respect to correctness of the information given. In Section B.2 the auditor checks the creation and updating of those documents that should be provided as minimum written records for an audit. The correctness of the documents submitted must always be examined. The auditor must ensure that the documents are not in conflict with other sources of information. B.2.1 Does the company have a written policy in line with the BSCI Social Requirements that

describes the social responsibility of the company especially with regard to child labour, female workers, discrimination, forced labour, working hours, compensation, working conditions, health and social facilities, safety, freedom of association and collective bargaining? Please attach a copy.

It is required from the company that it should set out in writing its principles for the individual social issues in line with the BSCI Social Requirements; which is comparable to the Code of Conduct for a retail company. The creation of such a document leads to greater awareness in particular in company management, and facilitates communication of the issue of social responsibility to workers and other stakeholders. B.2.2 a) Do personnel data files with the following components exist for all workers that were

employed during the last 12 months? (…)

If the company knows its workers, that in itself may help to promote minimum social standards. For example, if the company does not check the age of workers when they are recruited, it is not possible to effectively exclude child labour. Companies must therefore create a personnel file for each worker, containing at least a copy of the ID card and a copy of the employment contract. If the submission of an ID card is not available in a country, it is possible to use other documents such as a copy of birth certificate or doctor’s certificate, or school certificates. Even if the respective national legislator does not demand the conclusion of written employment contracts, the BSCI does require that the employment relationship is concluded in written form (at least in the Processing Unit(s). An «employment contract» should include the following elements:

• Family name and first name of worker • Date of birth of worker, if known • Address of worker • Company name and address of employer • Beginning of employment contract • End of employment contract (if applicable) • Clauses governing termination of employment • Indication of probation period • Amount of gross pay, bonuses and special payments • Working responsibilities and areas of worker • Special agreements, for example references to plant regulations • Date and signature of worker (or fingerprint if applicable) • Date and signature of employer

B.2.3 a) Is there a time record system in place that shows the daily working time, including breaks

and overtime, on a daily basis for all workers during the last 12 months? (…) The company must register daily working time, but may decide for itself what arrangements it makes for time record systems (attendance lists, punch/time cards, electronic data processing). The system must be logical and comprehensive. The company is to be marked down if one or more of the following criteria is not recorded:

• Actual start of work and actual end of work • Number of overtime hours worked • Days free from work

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• Days of absence The correctness of handwritten entries by third parties should be confirmed in writing by the worker (e.g. at the end of the month).

b) Are the working hours indicated in the time records limited to 48 hours of normal working time and 12 hours overtime per week?

The regular working hours in the processing unit must be limited to 48 hours working time plus 12 hours of overtime per week. It should be noted that the «48+12 hour regulation» is only applicable where there are not already more stringent national labour regulations in force, setting the maximum limit for regular working hours and hours of overtime per week (see question B.2.3.c).

c) Do working hours and breaks indicated in the time records comply with the national working time regulations?

The working hours and breaks, including overtime, in the time records should also be compared with the national labour regulations. The national regulations are applicable if they are more stringent than the above-mention «48+12 hour regulation» (see question B.2.3.b). If this is indeed the case, the company’s score will be marked down if the national labour regulations are not applied. B.2.4 a) Do all workers receive payslips?

All workers should receive a payslip, showing a breakdown of the individual elements of their pay, overtime supplements, other supplements and deductions. The payslip is to be set out in a comprehensible and accurate manner.

b) Do payslips clearly document working time, overtime, overtime compensation and social contributions?

All payslips should show a breakdown of normal working time, overtime, overtime compensation and social contributions.

c) Do the wages indicated on the payslips correspond to the following documentation? (…) d) Do the wages indicated on the payslips comply with national labour regulations? e) Do the deductions on the payslips comply with national labour regulations? (…)

The data on the payslips should correspond to the working contracts and the time record system, and all data should also comply with the national labour regulations regarding wages, social contributions and deductions. Please check if the data on the payslips is in accordance with these requirements. B.2.5 Are there local regulations or collective bargaining agreements (e.g. with trade unions) to

make exemptions from national labour regulations? If yes, please attach a copy.

This question is for documentation purposes. No evaluation is to be made. If there is a trade union or in-house representation of interests, appropriate documents are to be provided, in particular written agreements between the workers’ representatives or the trade union and the employer, containing regulations to ensure compliance with social standards. Typical example: company agreement with a trade union.

If yes: Do the documented wages and working hours correspond to the local regulations and collective bargaining agreements?

The auditor has to compare the provisions in the local regulations or collective bargaining agreements with the respective documentation in the company, including the formulations of the working contracts, time records and payslips with regard to wages and working hours. If the local regulations or collective bargaining agreements are not respected, the score will be marked down. B.2.6 a) Is there documented evidence demonstrating payment of salaries?

b) Is there documented evidence demonstrating payment to social security or insurance funds?

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The company must be able to show documented evidence of correct payments to the workers, as well as social insurance funds, for example in the form of payment receipts or bank statements. Section B.3 Working Time B.3.1 How is the working time in the processing unit organised?

During the audit, it should be examined whether the worker interviews confirm that the actual working time corresponds to the working time as recorded in the requested documentation of section B.2, and if the working time confirmed by workers corresponds to the ILO Conventions, national labour regulations and collective bargaining agreements. Each question should be specified for peak and low season (unless otherwise indicated). All sub-questions in question B.3.1 are for purposes of documentation and not to be evaluated.

a) When do daily working hours start and end? (…)

The beginning and end of regular working time is to be entered in the questionnaire. The purpose of this question is to determine the hours actually worked per day in order to earn the basic wage, not including paid overtime and not including breaks (which are covered subsequent questions). In order to evaluate the answer, the times determined here are later compared with the nationally applicable working time regulations.

b) When do daily breaks start and end?

The beginning and end of the breaks is to be entered, and the duration of break times calculated.

c) What is the normal number of working days per week?

The purpose of this question is to find out the number of days actually worked per week in the company in order to earn the basic wage.

d) What is the normal number of weekly working hours per person?

This question determines the number of hours actually worked per week in order to earn the basic wage, not including paid overtime, and not including the total weekly time of the breaks.

e) What is the average number of weekly overtime hours per person?

The average amount of weekly overtime hours worked by all workers is to be determined from the time record documents provided and should be confirmed by the workers.

f) What was the highest number of individual overtime hours last week?

In comparison with question B.3.1.g, the objective is to find out whether there are only individual workers or groups of workers that do excessive overtime, or whether the overtime in the company is at too high a level in general.

g) What was the average number of individual overtime hours last week?

The average number of overtime hours worked by all workers last week is to be determined from the time record documents provided, should be confirmed by the workers and is then to be compared with question B.3.1.f. Please not that evaluation of question B.3.1.f and B.3.1.g is to be done in section B.8 on discrimination. B.3.2 Do interviews with the workers confirm that the working time in the processing unit

corresponds to the time record system?

This question specifically aims to determine through document inspection and worker interviews whether workers confirm that the actual working time and overtime worked is in accordance with the

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working time and overtime as stated in the time records required in section B.2 and registered in Question B.3.1. B.3.3. Do interviews with the workers confirm that the working hours do not exceed 48 hours of

normal working time plus 12 hours of overtime per week?

The regular working hours in the processing unit must be limited to 48 hours working time plus 12 hours of overtime per week. There is a greater chance for accidents when weekly working times exceed that figure. Tiredness of the employees leads to loss of concentration, and that has an impact on quality. The references are the time records of the last 12 months and worker interviews. B.3.4. If the national labour regulations are stricter than the above-mentioned working hours, do

worker interviews confirm that the working time in the processing unit corresponds to these national working time regulations?

If there are national labour regulations in force in the country of operation that are more stringent than the «48+12 hour regulation», the company must follow these regulations for regular working hours and hours of overtime per week. The workers shall confirm that the national labour regulations are indeed applied. B.3.5 Are there local regulations or collective bargaining agreements (e.g. with trade unions) to

make exemptions from legal working time regulations?

This question is for documentation purposes. No evaluation is to be made. Please check if the respective local regulations or collective bargaining agreements are available. If yes: Do worker interviews confirm that the actual working hours in the processing unit

correspond to the local regulations or collective bargaining agreements?

If management submits an approval from the local labour authority, permitting the legally specified working times to be exceeded or any other authorisations e. g. from collective bargaining agreements with trade unions, such approval shall be valid, accepted by all workers affected and shall also be limited by the rule that working time per week (regular working time plus overtime hours) shall not exceed 60 hours and one day off after each 6 consecutive days of work. In addition, it should be ensured that workers confirm that the working hours respect the agreements. B.3.6 Do interviews with the workers confirm that the workers work overtime or during holidays

only on a voluntary basis or as stipulated in the respective collective agreements? (…)

The rule is that working overtime and holidays must be voluntary on the part of workers. Experience shows that overtime and holidays is often made compulsory by management. This is not allowed by the BSCI except if the overtime is to cover a short-term business demand (e.g. harvest time) or the holidays fall into this period, and there is a written baseline agreement with the trade union (if the workers of the company are trade union members) or with the workers’ representatives (if the workers of the company are not trade union members) or with each of the individual workers affected. It is at the discretion of the auditor to decide what «short-term» demand for work is. The auditor must make sure that the workers confirm that overtime and holidays are worked out of their own free will. B.3.7 Do worker interviews confirm that they are provided with at least 1 day off after latest each

6 consecutive days of work (in low and peak season)?

Under ILO Convention 14, one day off (24 hours) is specified in every 7 day period. «One day off» (24 hours) in every 7-day-period means one day off after latest each 6 consecutive days of work in both peak and low season. The time record documents submitted for the last 12 months are to be used to determine whether workers have at least one day off in the period mentioned. The number of work days permissible in succession is stipulated by law in practically all countries. If these regulations are not observed - or workers do not confirm the implementation of these regulations - the score is to be marked down. B.3.8 Can all workers demonstrate that they are aware of the regulations with regard to working

time?

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The company should provide its workers with means to inform themselves about the working time regulations and allow workers to communicate their concerns to the management. The auditor should ensure that workers confirm and have access to possibilities to inform themselves. A useful occasion for the exchange of information are the regular two-way communication meetings as specified in question B.1.8. Section B.4 Compensation It is important to ensure that all workers earn at least the legal minimum wage in the regular working time, and that they do in fact receive it. In addition, it must be ensured that the national labour regulations with regard to compensation are respected for all workers. All workers, including part-time, seasonal and temporary workers, must be granted the legal minimum wage and may not be discriminated based on personal characteristics. If this is not the case, it should be noted and is to be evaluated in section B.8 on discrimination. B.4.1 a) What is the legal minimum wage for regular working time in the processing unit per

month, day and/or hour, whichever is applicable?

This question is for purposes of documentation and is not to be evaluated. The nationally or regionally specified minimum wages (including higher wages agreed by collective bargaining, and wages in accordance with agreements for specified sectors or trades) must be entered here per month, day and hour (whichever is applicable). Note whether the data refer to gross pay or net pay.

b) What is the lowest wage for regular working time paid by the company per month, day and/or hour, whichever is applicable?

The lowest basic wage paid in the company for the regular monthly working time of a regular full-time worker is to be entered here per month, day and hour (whichever is applicable). The information basis for this are the wage lists of the last 12 months and worker interviews.

c) Do worker interviews confirm that the workers earn at least the legal minimum wage (also in case of productivity or task rates)?

The score is to be marked down if documents show or workers confirm that not all workers receive the nationally or regionally stipulated minimum wage for the regular working time and/or if the company’s guaranteed regular working wage is below the applicable minimum wage. In case of productivity-rate wage or task-rate wage, the legal minimum rate wage needs to be respected in the same manner. It should be ensured that a worker of average performance level can achieve the specified number of weight, units or tasks within the regular working time. B.4.2 a) What are the premiums according to national regulations?

This question is for purposes of documentation and is not to be evaluated. The wage premiums specified by law are to be entered as percentages. Compensation for overtime hours is to be examined and evaluated on the basis of the wage record system, the wage lists and the wage payment slips.

b) Are the premiums paid at the correct hourly rate?

It must be ensured that the compensation of overtime hours is paid on an hourly basis and that the correct premiums are paid. This has to be calculated on the regular hourly wages that each single worker has earned and should be checked with the relevant documentation, counting methods, worker interviews and if necessary with samples. It should be ensured that workers earning a productivity-rate wage are also compensated with overtime supplements if they work in excess of the regular working time (within the legally permissible limits). All workers, including part-time, seasonal and temporary workers, must be granted the same legal premiums and may not be discriminated based on personal characteristics. If this is not the case, it should be noted and is to be evaluated in section B.8 on discrimination.

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B.4.3 a) Do worker interviews confirm that the payments the workers received are in conformity with the respective pay slips? If not, please describe.

It must be ensured that the workers are paid the same amount of money as stated in the respective payslips. All deductions must be recorded on the payslips. Please check carefully if there are deductions that are not recorded on the payslips.

b) Is it ensured that there are no illegal and/or unreasonable deductions from the salaries that are not shown on the payslips? (…)

If services are offered by the company for which the workers have to pay or for the use of which deductions are made from their wages, it must be examined whether deductions and the amount are within legal limits. Use of these services by workers must always be voluntary. It is not allowed to make automatic deductions without the services being used. And the company may make deductions for legally required services only if this is permitted by the legal stipulations. It is not permissible to make deductions from wages for the use of objects, buildings or services which are directly necessary for execution of the work. That includes entry fees, charges for the use of tools and machines, for the use of sanitary facilities or for the provision of protective clothing for work, for drinking water or for washing facilities. B.4.4 a) Do worker interviews confirm that the workers receive paid leave and benefits (including

legal and/or religious holidays, maternity leave and benefits) according to national labour regulations?

The national labour regulations for paid days of leave, paid legal and/or religious holidays and maternity leave must be complied with and confirmed by the workers. Apart from the right to maternity leave, expectant mothers and mothers with infants are often granted special privileges under national labour regulations, e.g. longer breaks, additional service, maternity pay, etc. The word benefit refers to additional compensation, for example bonuses, transport, food, clothing, etc., to which workers have a legal entitlement. All workers, including part-time, seasonal and temporary workers, must be granted equal benefits and may not be discriminated based on personal characteristics. If this is not the case, it should be noted and is to be evaluated in section B.8 on discrimination.

b) Do the workers receive other forms of social benefits (incentives, bonuses, accommodation, education etc.)? (…)

This means additional compensation for the workers, where there is no legal entitlement, e.g. bonuses, transport, food, clothing. This question is not to be evaluated, because these are discretionary provisions. It is for purposes of documentation. However, such benefits should be mentioned in the Social Audit Report under «Remarks». B.4.5 Do worker interviews confirm that they receive a written and transparent information on

wages and terms of payment upon employment?

The exact conditions of employment, including information on wages and terms of payment, must be included in the working contracts of all workers and explained clearly to all workers during the hiring procedure. B.4.6 a) Are all workers paid in monetary value (cash, cheque or bank transfer)? If not, please

describe.

Wage payments for work actually performed must be made in either money, cash, by cheque or by bank transfer.

b) Do worker interviews confirm that salaries are paid regularly according to the stipulations in the contracts or national compensation regulations?

Unless otherwise specified in legal requirements, the wages of the workers should be paid not later than 5 days after the end of the period for which they are calculated. It must be ensured that the conditions as specified in contracts or national labour regulations are respected.

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B.4.7 Are there local regulations or collective bargaining agreements (e.g. with trade unions) to make exemptions from national compensation regulations?

If management submits an approval from the local labour authority or any other authorisation e.g. from collective bargaining agreements with trade unions permitting to make exemptions from national compensation regulations, such approval must be valid from a regulatory perspective and be accepted by workers affected. Compensation below legal minimum wage for regular working time is not permissible in any case. Whether or not national or regional regulations exist is a question for purposes of documentation and is not to be evaluated.

If yes, do worker interviews confirm that the wages, leave and benefits, and payment methods correspond to the respective local regulations or collective bargaining agreements?

Ensure through documentation check and worker interviews if local regulations or collective bargaining agreements are respected in the remuneration of workers. B.4.8 Can all workers demonstrate that they are aware of the regulations with regard to

compensation, paid leave and legal benefits?

The company should provide its workers with means to inform themselves about the regulations regarding compensation, paid leave and legal benefits. The auditor should ensure that workers confirm the possibility to communicate their concerns to the management. A useful occasion for the exchange of information are the regular two-way communication meetings as specified in question B.1.8. Section B.5 Child Labour / Young Workers: Preliminary Remarks:

Child workers must be recorded in the Child and Young Worker Record Sheet. Child workers are all workers under the age of 15, regardless of exemption provisions of ILO Convention 138, (Minimum Age Convention) Article 7, or older workers who are under the age that may be prescribed by national legislation for employment or for continuation of general mandatory schooling. Young workers are those workers who have not reached the age of 18. Whether or not the specific case of child work is an exemption situation pursuant to ILO Convention 138, Article 7 is to be noted in the appropriate column of the Child and Young Worker Record Sheet. B.5.1 Are all workers employed by the Company at least 15 years of age unless local minimum age

law stipulates a higher age for work or general mandatory schooling, in which case the higher age applies?

If not: Do legal regulations allow those children to work in accordance with ILO Convention 138, article 7: (…)

If the question cannot be answered with a «Yes», the «children» are to be entered in the Child and Young Worker Record Sheet, even if examination in accordance with ILO Convention 138, Article 7 shows that this is not non-permissible child labour. Even if there is only one case of non-permissible child labour in the company, the score is to be marked down. If the audit shows that child labour was used in the past (for example if a worker declares in an interview that he/she has just turned 15, and has been working in the company for 4 years), this does not lead to marking down in question B.5.1. The facts are to be recorded in the Social Audit Report or Social Re-Audit Report under «remarks». B.5.2 a) Do all workers who are subject to local compulsory education laws go to school during

school hours?

It is possible that some young workers and children permitted to work may still be liable to compulsory education. In this case, those workers must attend school and may not work during school hours.

b) Do combined hours of daily transport, school and work time not exceed 10 hours a day for those workers subject to local compulsory education laws?

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The combined hours of daily transport, school and work time may not exceed 10 hours per day for those workers attending school to ensure that these workers are not overly tired.

c) Is the annual plan for school holiday available?

The annual plan for school holiday, if available, must be used to determine the specific holiday periods. B.5.3 a) Does the company protect young workers (all workers who have not reached the age of

18) from unsafe, unhealthy or otherwise harmful working conditions?

Young workers (workers above the age of a child but under 18 years) are normally under the special protection of the national labour regulations with regard to their health, safety and general development. It must be checked that these young workers are not subjected to health and safety risks or other dangerous situations.

b) Does the company comply with the national regulations for young workers with regard to health and safety, training, compensation and working hours? (…)

The company must comply with the applicable national labour regulations regarding young workers, including provisions about health and safety, training, compensation and working hours. Please carefully check the respective documentation and interview workers to confirm if the regulations are applied correctly. B.5.4 Does the company comply with the national regulations for apprentices (…)?

It is to be checked whether the training legislation is complied with. It is not permissible to set up false apprenticeship contracts, e.g. in order to save wage cost (see also C.8). B.5.5 In the case that children were found (…)

In the case that children were found to be working the following measures must be initiated by the company immediately in the event of non-permissible child labour: 1. The child must be removed from production immediately, with continued payment of wages if

the child contributes to earning a living for the family. Instead of continued payment to the child another unemployed member of the family not classified as «child» can be accepted into employment in order to safeguard the family’s livelihood.

2. If relevant the child must be returned to the school system immediately. 3. The actions taken are to be recorded in the Child and Young Worker Record Sheet. Section B.6 Forced Labour Disciplinary Measures / Prisoner Labour B.6.1 Are workers allowed to leave the processing unit and company premises after work at any

time?

Workers must not be prevented by instructions, threats or physical or mental force from leaving the workplace, the processing site or the company premises after work. B.6.2 Is it ensured that security guards (armed or unarmed) do not keep the workforce under

pressure?

It must be checked if the security guards are not putting pressure and/or force on the workers. B.6.3 Are workers are free to terminate their contracts and to leave the processing unit without

sanctions as stipulated in the terms of the contract or national labour regulations?

It should be ensured that workers are free to terminate their contracts within the legal framework, stipulations of their contract and within a reasonable timeframe. All forms of sanctions or direct or indirect debt servitude are forbidden and should be evaluated as negative. B.6.4 Are original documents of workers, such as ID-cards, passports or birth certificates

only held by the employer with explicit permission from the workers?

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Original documents of the workers may not be kept in the possession of the company for a medium-term or long-term period, but only for as long as the company needs them for administrative purposes. For this purpose, workers shall receive a receipt when they hand over such documents to the company, with a description of the document, indication of the purpose, and time of return. If by way of exception it is in the interest of the worker for the employer to administer the original documents (e.g. due to lack of security at accommodation), a written agreement shall be made on custody of the documents, if possible with involvement of workers’ representatives. In order to avoid any misunderstandings, the employer should transfer the task of administration as a trustee for such documents to an independent third party or institution, to which the worker can have recourse directly. B.6.5 Are workers hired without the requirement of monetary deposits?

Deposits or protection charges of any kind required to be paid by workers lead to marking down of the company’s score. B.6.6 Is it ensured that there is no bonded labour?

It must be checked whether there are workers that are in a kind of dependent relationship to third parties. Third parties may also be persons outside of the company, if the management knows about such dependent relationship. B.6.7 Is work conducted without any threat of illegal penalty or sanctions?

Any illegal penalty or other illegal sanction is not permissible, f. e. the access to food, water, toilets, medical treatment is interdicted as a disciplinary measure. B.6.8 a) If the visit highlights the presence of prisoners, is such work by prisoners allowed under

ILO Conventions 29/105?

In the event that prisoners are employed, it must be checked whether the regulations of ILO Conventions 29 / 105 are complied with. National regulations are irrelevant where they set less stringent requirements.

b) Are the labour laws applied for those prisoners?

In the event that prisoners are employed under the terms of ILO Conventions 29/105, there must be no difference made compared with the other workers with respect to compliance with the legal requirements. Section B.7 Freedom of Association and Collective Bargaining The right of freedom of association and the right of collective bargaining are regarded as core labour standards and as inalienable human rights. ILO Convention 87 regulates the right of workers to set up associations and organisations, to join them, and to undertake activities within the framework of the national labour regulations of the respective country. ILO Convention 98 regulates the right of workers to negotiate common concerns of the workers (especially payment) with the employer. Neither of these and the further relevant Conventions are aimed at the promotion of trade unions. Union membership by workers must not to be required, nor must it be hindered or rendered ineffective. Assessment in the audit is to be effected on this basis. B.7.1 Do workers have the freedom to choose to establish, affiliate and take action in free and

independent workers’ organisations, including employee councils, associations or trade unions, without interference from the employer?

The workers are entitled to choose the organisation and the form of organisation. The employer is not expected to promote trade unions. On the other hand, the employer may not prevent the organisation/membership of free and independent trade unions, neither directly nor indirectly in so far as this is done within the national labour regulations of the respective country. Please check carefully.

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B.7.2 Is a free, independent workers’ organisation, association or worker representation present in the company? If yes, please fill in the names of the workers’ organisation(s) resp. union(s) and representative(s). (…)

This question is for purposes of documentation and is not to be evaluated. The names of the workers’ organisation(s) respectively union(s) and their representative(s) must be entered here. B.7.3 Do representatives of the free and independent workers’ organisation(s) have access to their

members in the workplace within the legal framework?

The representatives of the organisation(s) must also be capable of action. It is therefore not permitted to prevent them from contacting the members in the framework of what is permitted by law, nor must they be hindered in doing so. An entry of «NA» is to be made if there is no such workers’ organisation in the company. B.7.4 Are workers’ representatives affiliated to free and independent workers’ organisations

allowed to bargain collectively?

The workers must be permitted to have joint representation of their concerns and negotiation vis-à-vis management. The typical (but not exclusive) case is a collective bargaining agreement negotiated by trade unions. An entry of «NA» is to be made if there are no such workers’ representatives. B.7.5 a) Are the workers aware who is their representative towards management? b) Do workers know how to exchange information with management?

The workers must be aware who is their representative, their exact tasks and responsibilities, and how they can exchange information with management. The workers should also confirm that they support this particular representative. If this is not the case, the score should be marked down. An entry of «NA» is to be made if there are no such workers’ representatives. B.7.6 If the rights of freedom and collective bargaining are restricted by law, is it ensured that

there are alternative ways (parallel means) for worker influence and collective bargaining, for example in the form of a freely chosen worker representative or council? If yes, please describe.

This question is relevant if national regulations or other circumstances restrict freedom of free and independent association and of collective bargaining, as is still the case today in China for example (although there are considerable relaxations there now). In these countries, it is expected of employers that they at least permit alternative forms of worker representation and negotiation. The company needs to make clear to workers that they are willing to engage workers in collective dialogue through some representative structure and that they are willing to provide them with an opportunity to do so, if the workers wish. This may for example be a Workers’ Committee or a Workers’ Spokesperson for social affairs, provided that these are freely and independently elected by the workers, that they operate in accordance with their mandate, and that they are also heard by company management. B.7.7 Do worker interviews confirm the possibility to complain anonymously (about minor and

major problems)?

a) Do workers know about these possibilities? b) Do those possibilities secure that the management takes note of the complaints? c) Does the management try to find solutions for those complaints with the workers?

There must be a procedure in existence in the company and known to workers, guaranteeing that workers can draw attention to any violation of their social rights without danger of reprisals. Company management must demonstrate credibly that there are appropriate procedures for the treatment and remedying of grievances. B.7.8 Do worker interviews confirm the existence of regular two-way communication meetings

between management and workers?

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Workers must confirm that there is a regular exchange of information between management and workers through biannual communication meetings. The minutes of the meetings should reflect the concerns of the workers. B.7.9 Has the company experienced a strike, walkout, demonstration or other significant conflict

with workers during the past 2 years (…)?

This question is for purposes of documentation, and is not to be evaluated. Section B.8 Discrimination B.8.1. Do worker interviews confirm that all workers (…) are treated equally and that there is no

discrimination based on (…)?

There may not be any discrimination or unequal treatment of workers on the grounds of any personal characteristics, including age, caste, disability, ethnic and national origin, gender, membership in workers’ organisations, including unions, political affiliation, race, religion, sexual orientation, social background.

If not: In which labour and hiring policies does discrimination occur and which workers / groups of workers (...) are concerned? (…)

If during the audit the internal auditor finds evidence of inequality of workers, please indicate in which labour and hiring policies the deviations were found, which workers or groups of workers were concerned and what reason the management gives for the deviations. Please consider the evaluations, notes and remarks of the other sections of the Questionnaire, notably section B.3 Working Time and B.4 Compensation. B.8.2 a) Is it ensured that the employer does not ask questions regarding pregnancy or

contraception during the recruitment procedure?

Pregnancy tests as a requirement for recruitment are not permissible. The question about whether pregnancy tests are made or pregnancy test results required to be submitted should always be asked in indirect form only, e.g. by questions about recruitment criteria and procedures, and (where medical examinations are carried out in the course of recruitment) by questions about the methods of examination.

b) Do worker interviews confirm that women are not mistreated or fired as a result of being pregnant ?

Check whether women are disadvantaged, discriminated or dismissed from employment in the event of a pregnancy. B.8.3 a) Is it ensured that there is no evidence of sexual harassment in the processing unit ?

Sexual harassment must may not be permitted or tolerated in the company.

b) Is it ensured that there is no evidence of other forms of verbal, physical or psychological threats, abuse or harassment in the processing unit? (…)

Any other form of verbal, physical or psychological threats, abuse or harassment must not be permitted or tolerated in the company. B.8.4 Are workers protected from any form of discipline, dismissal or discrimination because they

complain against infringements of their rights?

Workers must have a possibility to submit complaints about infringements of rights to which they are entitled, without having to fear reprisals. Examination, in particular by worker interviews, can be very well supported by those responsible in the company presenting their complaints procedures on the basis of practical examples of application (from submission of a complaint by the workers to treatment to correction of the situation by those responsible in the company).

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Section B.9 Working Conditions The inspection capabilities of the auditors for evaluation of this section are limited within the framework of a social audit, in particular for questions B.9.2 to B.9.6. A detailed and qualified examination requires technical aids and time, and these are not normally available. The auditor must rely on his knowledge and experience in evaluation of these questions, in order to recognise any shortcomings. In the event of doubts about proper conditions, there is always the possibility of marking down the score and including in the Corrective Action Plan an obligation to mandate an expert for further clarification of the matter. B.9.1 Are overall conditions of the working area acceptable?

The answer to this question should take into account not only risk factors which may be expected to constitute direct danger for the physical safety of the workers (e.g. old building, parts of the building falling down, etc.). Marking down the score is also justified if the building is unsuitable for processing, or the arrangements of setup of the processing area do not permit work in human dignity. This includes for example lack of furniture and working equipment, working on the floor (unless this is culturally determined and definitely and clearly so desired by the workers), arrangement of machines in a manner which does not correspond to the flow of work, unnecessary physical stresses and strains for the workers, etc. Mark-down is definitely required if the conditions are such that there is danger for health and/or life of the workers. B.9.2 Is the room temperature acceptable?

A once-only check in the course of an audit is normally not enough in cases of doubt to make a general assessment of whether the temperatures are acceptable. The design of the building must also be taken into account for evaluation. For example, a corrugated iron roof without insulation on a works hall exposed to strong radiation from the sun will lead to intolerable indoor temperatures. The geographical and climatic differences must be taken into account: working in a room cooled to 16 °C may be perceived as pleasant and healthy where typical outside temperatures in the country are 40 °C, whereas a room temperature of 16 °C is normally not sufficient in a cold/humid climatic environment. Records of illness and occupational accidents can help to clarify the matter. In case of doubt, mark-down is to be made, with an indication in the Corrective Action Plan that this matter needs to be clarified and further steps defined. B.9.3 Is adequate ventilation in the processing area provided?

The ventilation requirement is very much dependent on the manner of processing. There is considerable interaction between room temperature and outside temperature. B.9.4 Is the noise level acceptable? If there are doubts about this, the company should provide an expert report from a qualified expert. This is to be indicated in the Corrective Action Plan. Comparison between the national noise protection requirements and documents of the machine manufacturer about noise emission are normally not sufficient, because noise emissions are often caused by a number of machines in one work hall. B.9.5 Are lighting conditions adequate?

In general, daylight should be preferred to electric lighting. Badly maintained lighting facilities (e.g. defective lamps) are an indication of lack of sensitivity and attention to this matter. B.9.6 Is the working area clean?

Workers must not be exposed to health hazard due to inadequate hygienic conditions. The employer must take the measures that are possible in the framework of the cultural and economic environment in order to create and maintain a clean and hygienic working environment. This also includes «hygiene education», which may be necessary depending on origin and educational level of the workers.

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Section B.10 Health and Social Facilities B.10.1 a) Are first aid kits with necessary supplies available at all times?

The requirements for first-aid material are normally defined in the national labour regulations. If there are no such regulations, there must be first-aid kits provided to an extent appropriate for the size and layout of the building and rooms, the hazard potential of the workplaces, and the number of workers. These are to be protected from external effects (e.g. the effects of heat, dirt, dust, moisture, chemicals, etc.). The content of the first-aid kits depends on the national labour regulations. As a minimum, they should contain bandaging material, means for treatment of open wounds, eye injuries and burns, and first-aid blankets, painkillers and instructions for giving first aid.

b) Is there anybody in charge of dispensing and stocking first-aid material? Please note name and position.

There must be provisions for continuous availability of first-aid material. This can most easily be done by appointing a person or persons responsible for dispensing and re-stocking first-aid material. B.10.2 Is there an acceptable and clean sickroom / first aid room? (…)

Check whether the national labour regulations require the existence of a sickroom. If no sickroom is required, this question is to be answered with «NA». B.10.3 Quick medication in case of emergency (…)

As a rule, the national labour regulations define what kind of medical provisions have to be provided by companies. If there are no such definite labour regulations, it is required as a minimum that there should be a procedure to ensure emergency treatment (for example a contract with a nearby hospital or doctor). B.10.4 Is clean drinking water provided for all workers?

Clean drinking water must be available to all workers during working times. National labour regulations often give a definition of the characteristics and inspection required for potable water. B.10.5 Do workers have access to an appropriate, clean area for the storage of food, eating and

cooking?

In general there is a definition in the national legal requirements, indicating based on company size whether an eating room or cafeteria must be provided. B.10.6 Are clean washing facilities provided for all workers, lockable or separated by gender?

There must be sufficient and clean washing facilities for workers that can be locked or are separated by gender. B.10.7 Are clean changing rooms available in areas where workers have to wear special protective

clothes during working hours and are these lockable or separated by gender?

There must be (a) clean changing room(s) in the case mentioned that can be locked or are separated by gender. B.10.8 Are clean toilets provided in adequate numbers for all workers, lockable or separated by

gender? If separated, how many for women and men?

The number of toilets required by national labour regulations is to be entered and compared with the actual conditions. If there are less than the required number, this will cause a mark-down in the score. The toilets must be lockable or separated by gender. B.10.9 If the company provides transportation for the workers, is it ensured that the transportation

is safe and complies with national regulations?

The conditions for transportation of workers required by national labour regulations are to be considered and compared with the actual conditions. If there are no provisions in the national labour

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regulations, the company should ensure that the vehicles used for transportation are authorized for the transportation of people, that safety measures (for example seat belts) are properly installed and that the health and safety of the workers is not endangered during the transportation. Section B.11 Occupational Health and Safety By way of distinction from Section B.9 Working Conditions, which is concerned with general conditions of work, this section deals with concrete measures for health and safety. B.11.1 Risk Assessment (…)

Each company is required to perform a risk assessment to establish what deficiencies in health, safety and personal hygiene could result in substantial danger for workers. As a result, the company must estimate its seriousness and potential effects, and then create an action plan to promote safe, healthy and hygienic working conditions for all workers. An important element of the action plan is the protection of the special needs of women related to reproductive health, pregnancy and breastfeeding, as well as the consideration of general health risks in the risk assessment. This would particularly be the case if health issues or epidemics exist (for example TB or HIV/Aids), or if the working environment is particularly prone to specific health risks (for example the transfer of infections and diseases by insects). The different sections below provide a good overview of the topics that should be covered in the action plan. If the company has not performed a risk assessment, nor established measures in an action plan to prevent unsafe and unhealthy working conditions, the company’s score is to be marked down. B.11.2 Training (…)

The questions listed under B.11.2 a)-g) are a guideline for the auditor on what he should pay attention to during the production site inspection. If there is even one point of non-conformance in the sub-questions, and if it cannot be remedied during the audit, a «-» is to be entered under Conclusion for the whole of the question. Formal trainings and instructions on general health and safety, accident and emergency procedures, the use of personal protective equipment, and basic hygiene must be given to all workers before the start of their activities and training records must be available for all workers. In every company there must be a reasonable number of workers trained to give first aid in emergencies. Such workers must have a certificate showing that they have completed such training. National guidelines have to be met. All workers handling and/or administering medicines, chemicals, disinfectants, crop protection products, biocides, waxes or other hazardous substances must have certificates of competence and/or details of the qualifications required for specific tasks. Training records of all workers must be available for inspection. B.11.3 Personal Protective Equipment (…)

The questions listed under B.11.3 a)-f) are a guideline for the auditor on what he should pay attention to during the processing unit inspection. If a situation is not applicable in the specific company, the corresponding question is to be answered with «NA». If there is even one point of non-conformance in the sub-questions, and if it cannot be remedied during the audit, a «-» is to be entered under Conclusion for the whole of the question. B.11.4 Accident and Emergency Procedures (…)

The questions indicated under B.11.4 a)-l) are a guideline for the auditor on what he should pay attention to during the processing unit inspection. If a situation is not applicable in the specific company, the corresponding question is to be answered with «NA». For evaluation, see comments under B.11.3.

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B.11.5 Chemicals (including Crop Protection Products, Detergents and Solvents)

The questions indicated under B.11.5 a)-s) are a guideline for the auditor on what he should pay attention to during the processing unit inspection. If a situation is not applicable in the specific company, the corresponding question is to be answered with «NA». For evaluation, see comments under B.11.3. B.11.6 Electricity (...)

The questions indicated under B.11.6 a)-k) are a guideline for the auditor on what he should pay attention to during the processing unit inspection. For evaluation, see comments under B.11.3. B.11.7 Fire protection

The questions indicated under B.11.7 a)-h) are a guideline for the auditor on what he should pay attention to during the processing unit inspection. For evaluation, see comments under B.11.3. To ensure transparency, the terms used are explained below.

a-d) Is a sufficient number of fire fighting equipment installed (…)?

Normally the national labour regulations specify the standard requirements for fire extinguishers and other fire fighting equipment. There must in all cases be functioning fire extinguishers in sufficient quantity (see recommendation of manufacturer). The fire extinguishers must be distributed in a meaningful manner, so that they can be reached by workers easily and within a short time. They must be placed at a height such that they can easily be reached by workers. It is easier for workers to find the fire extinguishers in an emergency if the place where they are kept is appropriately marked. All fire fighting equipment must be kept in proper condition.

e) Are fire extinguishers regularly inspected?

The functioning condition of fire extinguishers must be checked at specified intervals. As a rule, fire extinguishers are marked by a tag when they are inspected, and this shows the duration of validity.

f) Are fire drills regularly (at least annually) carried out? g) Is a sufficient number of workers trained in fire fighting practice?

There are some workers trained as the «fire brigade». Such workers are specially trained in the handling of fire fighting equipment and in how to lead evacuation of the building and sites. Fire drills for this purpose are to be held at least once a year. The national legal requirements may specify that there must be a minimum number of persons with training/qualification in fire fighting in the company.

h) Are evacuation drills carried out with the whole workforce regularly (at least annually)?

Organised drills for all workers, announced to the workers in advance, are called «evacuation drills». In an evacuation drill, the workers practise how to leave the building in an orderly and speedy manner in the event of an emergency. Evacuation drills must be carried out with all workers at regular intervals, and all new workers must be instructed accordingly. B.11.8 Escape routes (…)

The questions listed under B.11.8 a)-d) are a guideline for the auditor on what he should pay attention to during the processing unit inspection. For evaluation, see comments under B.11.3. Evacuation plans are plans of the buildings, showing as a minimum the current standpoint, and the position of escape routes including emergency exits and fire extinguishers. For question B.11.9 d) enter NA if the national labour regulations do not require emergency lights and there are no emergency lights provided. If there are emergency lights even though there is no legal requirement for them, the question is to be examined and evaluated accordingly.

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B.11.9 Emergency Exits (...)

The questions listed under B.11.9 a)-e) are a guideline for the auditor on what he should pay attention to during the processing unit inspection. For evaluation, see comments under B.11.3. In many production or processing halls, the doors can only be opened inwards. This may make it difficult or impossible to achieve rapid evacuation in an emergency. Under the requirements of the BSCI, the doors in rooms with more than 10 workers must be capable of opening outwards. If national labour regulations use the basis of a different number of persons or room size, these are naturally to be given preference. If it is not possible to change an emergency exit so that it can be opened outwards, it must be fixed in open position during working times. B.11.10 Machine safety (...)

The questions listed under B.11.10 a)-g) are a guideline for the auditor on what he should pay attention to during the processing unit inspection. If a situation is not present in the company, the relevant question is to be answered with «NA». For evaluation, see comments under B.11.3. Section B.12 Dormitories B.12.1 Does the company provide dormitories or any kind of overnight accommodation for the

workers?

If this question is answered with «No», the subsequent questions are not necessary. If this question is answered with «Yes» the address(es) of the dormitory/ies must be noted, if such dormitory/ies is/are not located at the site. The number of workers accommodated in dormitories is to be entered regardless of the location of the dormitory/ies. B.12.2 Is the dormitory separated from processing area and warehouses?

Workers must not be accommodated in the processing area. B.12.3 Are workers allowed to enter and leave the dormitories and company premises at any time?

There must be no indicator showing that workers are under constraint in connection with their accommodation. Workers must be permitted to leave the building and premises in their free time, without having to ask for permission. The workers must also be permitted to choose accommodation outside of the dormitory if they have a possibility of doing so. Nevertheless, there may be rules of behaviour regulating the life of the community. In this case, it must be checked carefully whether the workers are in agreement with these rules of behaviour. B.12.4 Are the sleeping quarters separated by gender?

Sleeping quarters must in all cases provide separate accommodation for women and men. B.12.5 a) Is the dormitory clean, safe and adequately lit?

Workers must not be exposed to any health hazard on the grounds of the conditions in the dormitory. The measures possible within the cultural and economic environment must be taken in order to create and maintain a clean and hygienic living environment. It must also be checked whether there is sufficient lighting available. In particular, it should be borne in mind that the workers are in the dormitory mostly in the evening hours.

b) Is the room temperature acceptable?

The room temperature is largely dependent on the outside temperature and on the design of the building, and interaction between these must be observed.

c) Is the space per person acceptable (…)?

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If there are no national labour regulations, evaluation is up to the subjective feeling and discretion of the auditor. But it must be considered in all cases that every worker must have as a minimum, in addition to a bed, a space for storing personal items, and that the room should not be evidently over-occupied. B.12.6 a) Are there adequate numbers of clean washing facilities and toilets?

The dormitory must be equipped with an adequate number of washing facilities and toilets. It must be ensured that these are clean and hygienic within the framework of the cultural and economic environment.

b) Are the washing facilities and toilets separated by gender?

The dormitory must provide separated washing facilities and toilets for women and men. B.12.7 Is there clean drinking water?

Clean drinking water must be available to all workers who live in a dormitory. B.12.8 a) Are there enough unblocked, marked emergency exits?

The number of emergency exists must be sufficient so that the occupants can leave the building in a rapid and orderly manner in an emergency. The emergency exits must not be blocked or locked from the inside, and they must be marked as emergency exits.

b) Does adequate fire protection equipment exist?

As a rule, the national legal requirements set out legal standards for fire fighting equipment. There must in all cases be an adequate number of functioning fire extinguishers (note recommendation of manufacturer). Their functioning capability must be tested at certain intervals. As a rule, fire extinguishers are marked with a tag on inspection, showing the duration of validity. The fire extinguishers must be distributed in a meaningful manner, so that they can be reached by dormitory occupants easily and within a short time. They must be placed at a height such that they can easily be reached. It is easier to find the fire extinguishers in an emergency if the place where they are kept is appropriately marked. All fire fighting equipment must be kept in proper condition. Organised drills are to be conducted for occupants, announced in advance, so that they can learn how to leave the building in an orderly and speedy manner in the event of an emergency. Such drills must be repeated at regular intervals. Section B.13 Environment This section checks minimum requirements for environmental protection in summary form. The questions are not a substitute for a comprehensive and possibly additionally agreed environmental audit, and are not a substitute for the duty to comply with corresponding national labour regulations in the various areas. The inclusion and checking of this area is intended to protect the company and the company’s customers from gross or evident environmental malpractice. B.13.1 Is waste management arranged in a way that does not lead to pollution of the environment?

There are some places where waste disposal is not organised by public authorities. This may lead to dumping of waste material in the environment. The auditor must also take a look at the surroundings of the company. Regardless of national regulations, it is not permissible for the company to dump waste in natural environments, or to burn it on open fires. In such cases, the company must always be marked down. B. 13.2 Are obsolete chemicals and empty chemical containers properly and separately identified,

maintained and disposed of by authorised / approved channels in a manner that avoids exposure to the environment and humans?

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Obsolete chemicals and empty chemical containers which spill into the soil may pollute the ground water or pose a risk for the safety of human beings and animals. Chemicals must therefore be disposed off properly, regardless of the national legal regulations and the state disposal facilities available. B. 13.3 Is it ensured that chemicals do not leak into the ground?

Chemicals must be stored in such a way that they do not leak into the ground, and cannot pollute the groundwater. The safest form of protection is collecting basins. B. 13.4 Is it ensured that empty vessels having contained chemicals are made unusable?

Empty vessels that have contained chemicals must be made unusable for any other purpose after use. B. 13.5 Are procedures in place to ensure that effluent (waste water) is treated as required by

national laws and regulations to prevent environmental pollution?

Waste waters can be a great danger for the environment. The company must therefore implement procedures to ensure that waste water is treated as required by the respective national laws and regulations. If there are no national legal regulations on this matter, the company shall attempt to prevent environmental pollution as much as possible. B. 13.6 Are emissions in legal conformity?

«Emissions» in this context refer to air pollution. 5. Chapter C. Best Practice for Industry Preliminary Remark The BSCI is currently linked solely to the SA8000 Standard as its «Best Practice» However, certification to SA8000 is voluntary for the company, and is not a condition for taking up or maintaining a business relationship with the BSCI members. The Audit Part C (Best Practice for Industry) must be conducted completely during the official BSCI audit for the processing unit, and a Corrective Action Plan for Part C of the questionnaire must be drawn up. But unlike Corrective Action Plan Part B «BSCI Social Requirements», the company has freedom of decision with respect to Corrective Action Plan Part C as to whether it agrees wholly or partly to the corrective actions, or whether it refuses such corrective actions. In any case, the Corrective Action Plan Part C is needed for subsequent qualification measures of the BSCI members. Considering these aspects, we strongly recommend the internal auditors to also internally audit part C of the Audit Questionnaire to be well prepared for the BSCI audit. The Audit Questionnaire for Primary Production: II Farm does not include the assessment of part C. These questions will only be audited on the level of the processing unit. For the questions in Part C of the questionnaire, reference is made to the details given in the SAI Guidance Document valid from time to time; these must be taken into account by the auditor. The following remarks are also applicable. Section C.1 Policy C 1.1 Has the top management defined a company policy to their workers for social accountability

and labour conditions that (…)

Unlike the company policy required in question B.2.3, the policy required here is related directly and in all standard requirements to the SA8000 Standard, and therefore has a wider scope. This includes among other things the basic needs wage, and compliance with strict management system requirements, among other things for the inclusion and monitoring of farms within the cooperative, suppliers/sub-suppliers, and for internal and external communication.

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Section C.2 Planning and Implementation C 2.1 Does the company ensure that the requirements of the SA8000 Standard are understood and

implemented at all levels of the organisation? Do the methods include, among others: a), b), c), d)…

The requirements of Part B of the questionnaire already specify the appointment of responsible persons with certain competencies, such as overall responsibility in senior management (B.1.3), responsibility for updating and implementation of legal provisions (B.1.4), responsibility on the operational level for implementation and checking compliance with the social requirements including health and safety (B.1.5) Question C 2.1 is aimed at implementation of a comprehensive and holistic management system which covers all parameters of the SA8000 Standard, not only for the company and the farms, but also for subcontractors and other suppliers. Thus for example responsibilities must be comprehensively defined, all workers must be trained regularly for compliance with the social management system, new workers and temporary workers must be correspondingly trained before their appointment. The functional capability of the social management system must be continuously monitored. Section C.3 Management Review C 3.1 Does top management periodically review the adequacy, suitability, and continuing

effectiveness of the company’s policy, procedures and performance results vis-à-vis the requirements of the SA8000 Standard and other requirements to which the company subscribes?

The functioning capability of the management system must be reviewed regularly by the top management of the company. C 3.2 Are system amendments and improvements implemented where appropriate?

It must be evident whether the system is appropriate to identify weaknesses, and whether the identification of weaknesses has had consequences for improvement or adaptation of the system. Section C.4 Control of Subcontractors, Suppliers/Sub-suppliers and Service Providers Experience shows that in industry the working conditions in the production facilities of suppliers and subcontractors are often particularly problematic. This is associated with rejection of responsibility for the working conditions in such production facilities by companies. «No intervention is possible», «No influence is permitted», «Price pressure is too great to deal with these issues» – these are just some of the expressions used to justify rejection of responsibility. The BSCI assumes that companies share part of the responsibility for such working conditions, regardless of whether these are their own production sites, the production sites of subcontractors and suppliers, and the activities of service providers. This co-responsibility has the result of working through the company and its own production sites and continuing this effect on the company’s suppliers, subcontractors and service providers. The company therefore has to exercise a minimum of duties of care and attention, with respect to the selection, management and monitoring of its subcontractors. C 4.1 Has the company established, and does the company maintain, appropriate procedures to

recruit subcontractors, supplier/sub-suppliers and service providers based on their ability to meet the requirements of the SA8000 Standard?

Selection of subcontractors, suppliers and service providers is determined not only by price and quality, but also by social performance capability with respect to the required social standards. There must be mechanisms in the company for checking future subcontractors, the results of such checks

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must be recorded, and the check must be conducted by qualified persons of the company or by third parties mandated to conduct the check. Requirement by the company for the subcontractor(s) to present its (their) own Social Audit Report in accordance with the BSCI always meets the requirements of B.1.10, but is not obligatory. However, this will reduce the company’s own inspection effort. C 4.2 Does the company maintain appropriate records of subcontractors, suppliers / sub-suppliers

commitment to social accountability? Do these records include, among others, the written commitments to: a)–d)?

There are written agreements of the company with its subcontractors and suppliers, comprising at least items a)-d) of question B.1.11. Requirement by the company for the subcontractor(s) to present its (their) own Social Audit Report in accordance with the BSCI always meets the requirements of B.1.11, but is not obligatory. However, this will reduce the company’s own inspection effort. C 4.3 Has the company established a system to monitor the subcontractors, suppliers/sub-

suppliers and service providers’ social performance against the requirements of the SA8000 Standard?

The company can meet these requirements by various measures, e.g. by regular inspections by competent workers of its own, implementation of an internal monitoring system with training and checks, inspection of subcontractors, suppliers and service providers by external experts. Requirement by the company for the subcontractor(s) to present its (their) own Social Audit Report in accordance with the BSCI always meets the requirements of B.1.12, but is not obligatory. However, this will reduce the company’s own inspection effort. C 4.4 Does the company maintain reasonable evidence that the subcontractors, suppliers/sub-

suppliers and service providers continuously improve conditions to meet the requirements of the SA8000 Standard?

In the course of the audit, the company must be able to provide evidence that a continuous improvement process has been initiated with respect to working conditions of its subcontractors and suppliers. This may be done by inspection reports of its own qualified inspectors, or by inspection reports on qualification measures carried out, or by credible reports from audit or consulting companies, trade unions, NGO’s or other third parties. Presentation of Social Audit Reports and/or Social Re-Audit Reports of the subcontractor(s) and supplier(s) in accordance with the BSCI by the company always meets the requirements of B.1.13, but is not obligatory. However, this will reduce the company’s own inspection effort. Section C.5 Control of Homeworkers C 5.1 Does the Company take special steps to ensure that home workers are afforded a similar

level of protection as would be afforded to directly employed personnel under the requirements of the SA8000 Standard? Do these special steps include, among others: a)-d)

Home workers are to be given equal treatment contractually and legally with other workers. It is to be ensured that the rights and obligations resulting from the requirements of the SA8000 Standard are understood and applied by home workers. The company must have records at its disposal, showing detailed data for the home workers, their compensation in accordance with the calculated working time, and the goods produced. The company must conduct announced and unannounced visits to the home workers, to check compliance with the contractual conditions.

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Section C.6 Compensation In many countries, the legal minimum wages are not sufficient to cover the basic needs of the workers and their family dependents and in addition for them to have a part of their compensation at their free disposal. The SA8000 Standard requires payment of a «basic needs wage». The procedure and formula for calculation of the basic needs wage are to be taken from the SAI Guidance Document in its version as valid from time to time. The auditors must fill in the calculated «basic needs wage» (net) in C.6.1 of the questionnaire. Additionally auditors have to document the calculation in the section «Remarks» of Part C of the Social Audit Report or have to attach a copy of the calculation to the Social Audit Report. In case the company does not pay a basic needs wage a well-defined plan for achieving such a wage step by step within a specified and reasonable period of time has to be worked out. «Reasonable period of time» can be a time frame up to 36 months beginning with the date of the audit. If this plan is realistic the demands above are regarded as met. Then the plan has to be attached to the Social Audit Report. Section C.7 Child Labour C 7.1 Has the company established and documented, and does it maintain and effectively

communicate to personnel and other interested parties, policies and procedures for remediation of children found to be working?

The company must acknowledge and communicate how it would proceed in the event that illegal child labour were to occur within the company. Section C.8 Evasion C 8.1 Is there any evidence that labour-only contracting arrangements (...)?

In some cases, national legal requirements are interpreted and applied in such a way as to reduce the effect of the standard requirements or to evade them completely. For example, workers are formally treated as apprentices or trainees, without granting them the corresponding rights. It is to be established in this section whether the company abuses such rules in order to evade legal requirements (see also details under B.5.4). Section C.9 Outside Communication C 9.1 Has the company established, and does the company maintain procedures to communicate

regularly to all interested parties data and other information regarding performance of the requirements of the SA8000 Standard, including, but not limited to, the results of management reviews and monitoring activities?

The company is to communicate the results of implementation of the SA8000 Standard to its stakeholders. For this purpose, the results of the management review are to be published, and also the results of the inspection activities. The company has a wide degree of freedom of decision in the manner and form of its communication. 3.4.6. Other Documents 3.4.6.1. Interview Sheet The Interview Sheet serves to record essentials from the interviews conducted. 3.4.6.2. Child and Young Worker Record Sheet This form is for recording of children and young workers employed in the company. The following data are to be recorded:

• Name: Name of the child

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• Birthday: Date of birth if available, otherwise estimated age • Attending school: The child is attending a school • Present during regular school-lessons: The child was found in the company during regular

school lesson times • Met in non hazardous areas: The child is employed in non-hazardous areas of the company • Receives an education: The child receives education in the company, in keeping with the

applicable legal requirements • Since when in the company: Since when has the child been employed in the company • Working under ILO Convention 138 exceptions: An exceptional state as defined in ILO

Convention 138 is applicable • In the event of illegal child labour: the actions taken are to be described

3.4.6.3. Customer Record Sheet The Customer Record Sheet serves for recording of the customers of a company. This is to identify the nine most important customers of the company and if applicable, their requests for social audits. 3.4.6.4. Declaration of Consent In the «Declaration of Consent» form, the company declares its consent for the auditors to take photos, for interviews to be conducted with workers, and for the data to be captured in a database and disclosed to third parties within the framework of the BSCI.

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APPENDIX B – INTERPRETATION GUIDELINE FOR BSCI AUDIT QUESTIONNAIRE & REPORT: II FARM The individual components and questions of Audit Questionnaire & Report II: Farm are explained below. The explanations serve for orientation, and are intended to ensure that evaluation by the auditors of different SAI accredited auditing companies is as uniform as possible. As the Audit Questionnaire & Report for Primary Production II Farm serves as an audit questionnaire and report in one, the document contains elements of both. For the processing unit, these documents still maintain their separate forms, but as not to complicate the process of duplication of master data in several documents for each and every farm (up to ten farms in some audits), the two documents have been bundled. The internal auditors should use the same document for the performance of internal audits / farm assessments in the processing unit(s) and on the farms. The internal auditor is requested to indicate that the document is used for an internal audit or re-audit. In addition, the internal auditors are requested to always clearly indicate the name of the auditor and the audit number (if applicable). 1. Summary of Results The first page of the Audit Questionnaire & Report for Primary Production: II Farm contains a summary of the audit details and results and can be used by the farm or supplier company to communicate the audit results. 2. Header line The header line must be completed on all pages of the Audit Questionnaire & Report for Primary Production: II Farm to make sure that the individual pages can be correctly allocated later. Name of Farm:

Enter the name of the farm to be audited. Date of Audit:

Enter the date on which the audit is conducted. Audit Number:

The supplier company may give an audit number to trace the audit in its own internal procedures. This number should correspond to the number on the Audit Questionnaire & Report for Primary Production: I Processing Unit. 3. Lines for Characterisation of the Audit Indicate by entering a cross whether this is an internal initial audit or an internal re-audit. It is also to be identified as a «Re-Audit» if it is a further review audit following a previous Re-Audit. The auditors should be named. 4. Chapter A. Master Data The questions of this section serve for documentation, and are not evaluated. This section is intended to show the structure of the audited farm. Basic Data, Legal Status:

Indication of the legal form of the farm. Basic Data, Languages spoken:

Indication of the principal languages spoken by workers.

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Farm Certifications:

Indicate which certifications the farm has accomplished and if certificates are available. Internal Audits

Indicate if internal audits have taken place and if reports of internal audits are available. A.1 Farm Structure and Size Management structure:

Indicate if the farm is an independent unit, and if the farm is part of a cooperative or farmer group. Also indicate the name of the cooperative or farmer group. Production structure:

Indicate the type of primary production at the farm divided in three categories, namely crops, livestock and aquaculture. Indicate for each category which of the main products are produced. Most important products, their share of total production and their peak months:

Indicate the most important products produced on the farm, their share of the total production in % and the peak months for each of these products. Total production per year:

Indication of the total amount of production per year, indicated in the unit of measurement applicable to the type of production Maximum production per month in peak season: Indicate the maximum production per month in the peak season in the unit of measurement applicable to the type of production Average production per month in low season:

Indicate the average production per month in the low season in the unit of measurement applicable to the type of production Farm size:

Indicate the total size of the farm and the area currently used for production. Specify per type of production the number of units and their respective sizes. A.2 Employment on the Farm (at the date of the audit) Working schedule (at the date of the audit):

Indicate what are the regular daily working hours on the farm, as well as the regular daily office hours (if applicable). Overview of workers (at the date of the audit): Total number of workers:

Enter the number of workers on the farm on the date of conduct of the audit. Average number of workers in peak and low season:

Enter the average number of workers working on the farm in the peak and low seasons. Male workers:

Enter the number of male workers.

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Female workers:

Enter the number of female workers. This includes women who are on maternity leave on the day of conduct of the audit. Pregnant/maternity leave:

Enter the number of pregnant women and the number of women on maternity leave at the time of the audit. If there are no pregnant women or women on maternity leave on a farm with a large number of female workers, the cause of this is to be determined in the course of the audit. It is possible that the women are not granted the rights to which they are legally entitled. Apprentices:

It is to be determined how many apprentices the farm employs and to which age group these apprentices belong. B.5.3 of the Social Audit Questionnaire checks whether the training legislation is complied with. It is not unusual for fictitious apprenticeship contracts to be established in order to reduce wage cost or employ children and young workers. If this is the case, reduction is to be made in B.5 of the Social Audit Questionnaire for Primary Production: II Farm (see also details of B.5). Children below min. age of .… years:

Note the legal minimum age for workers in the space provided, and answer the question accordingly. Indicate if any of these children are apprentices. Young workers between ... and 18 years of age:

Note the minimum age for workers defined above in the space provided. Indicate if any of these young workers are apprentices. Wage Earners:

Some of the workers are paid on the basis of a weekly, daily or hourly fixed rate or a specific rate for the quantity picked or task performed. In order to get an accurate indication, the factual basis of calculation is to be specified and entered here. Workers on probation:

Enter the number of workers on probation at the date of the audit. National legislation often permits definition of the first months of a new employment relationship as probation period. The maximum duration of probation is generally specified in the national legislation. In many cases, a probation period can be defined both in the case of unlimited as with limited employment. The purpose of employment on probation, both the employer and the worker, is to try out the employment relationship. The employment relationship is normally associated with special periods of notice for termination, while other obligations such as the payment of minimum wages and of social security contributions remains unaffected in employment on probation. This must be checked, particularly in section B.4 of the Social Audit Questionnaire for Primary Production: II Farm. Disabled persons:

If there are disabled workers, enter the number. In the further course of the audit, it must be checked whether disabled workers are treated in accordance with their capabilities, and whether or not there is discrimination against them (see B.8). Temporary or seasonal workers:

These are workers who are working only for a temporary period on the farm, usually for the duration of the peak and harvest season, and are primarily there for the purpose of earning money. These could be local workers from the area, but also workers coming from other areas, including nationals who come from different regions to work in those areas providing a higher number of employment opportunities and immigrants from other countries.

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3.5.5 Chapter B. BSCI Social Requirements Explanatory Note

The Audit Questionnaire & Report for Primary Production: II Farm is a tool to be used by BSCI auditors, as well as internal auditors, to assess the level of social compliance on the farm. As farms differ in size and employment structure, not all chapters and questions are applicable on every farm. It is up to the discretion of the auditor to decide if a question is applicable in a particular situation. However, the decisions of the auditor not to apply certain chapters or questions must be supported by sufficient argumentation in the designated space in the Questionnaire and must be in accordance with the Master Data of the farm provided in chapter A. The size of the farm indicates whether all questions or only the most important questions should be addressed on the farm. The BSCI provides the following guideline (and the decision by the auditor to divert from this guideline should therefore be supported by sufficient argumentation):

• If a farm has no workers, not even in peak season, the auditor should apply only the chapters 10 (Health and Social Facilities), 11 (Occupational Health and Safety), and 13 (Environment). This is to ensure that for the farmer and his family members, the working environment is appropriate and safe.

• If a farm has between 1 and 5 workers on a continuous basis, the auditor should apply all chapters, but can limit this to the most important questions in each chapter (highlighted in bold while indicating (ALL)).

• If a farm has more than 5 workers on a continuous basis, the auditor should apply all chapters and answer all questions. Certain questions could, occasionally, not be applicable. If this is the case, please provide the arguments why a question is not applicable.

Note: if an audit takes place in low season while no workers are present on the farm, but in peak season the farm regularly employs workers, certain provisions must be in place (i.e. documentation, policies, records, etc.). Applicability of the Audit Questionnaire

This section of the document provides the necessary space to enter the applicability of the Audit Questionnaire & Report for Primary Production: II Farm according to the BSCI guideline and – if necessary - argumentation for the decision not to apply certain sections of the Audit Questionnaire (see Explanatory Note). Overview Previous Audit Results

This section of the Audit Questionnaire & Report allows the auditor to enter previous audit results (without details) to facilitate the comparison and improvement process. Please note that a separation should be made between previous BSCI Audit Results and previous Internal Audit Results. Section B.1 Management Practice This section requires basic information about the management structure of the farm. The questions that should be answered by both commercial farms and smallholders will also be highlighted in bold in this part of the Audit Guidelines. Non-bold questions are applicable to commercial farms only. B.1.1 a) Has the farm communicated a visible and understandable declaration of (ALL) commitment to all their workers to comply with the BSCI Social Requirements and

to respect national labour regulations in the country of operation and ILO Conventions by making the BSCI Code of Conduct or an equivalent document in the relevant languages available on the farm

(ALL) b) Has the farm informed all workers about the content of the BSCI Code of Conduct?

The farm’s social commitment has to be clearly communicated and explained to all workers and has to be made available on the farm together with the BSCI Code of Conduct in relevant languages. It is also possible to attach the commitment to each worker’s contract accordingly. It is required that the

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farmer sets out in writing his/her commitment to good social performance. The communication of such a commitment leads to greater transparency and increased communication about social responsibility to workers and other stakeholders. B.1.2 a) Do regular two-way communication meetings take place between management (ALL) and workers (minimum twice per year)?

(ALL) b) Are there records from such meetings?

Two-way communication meetings are an important tool to exchange information between farm management and workers, and should therefore take place at least twice per year. The minutes of each meeting should be recorded, as well as attendance figures. B.1.3 a) Has the farm appointed a qualified person / qualified persons for implementation and

checking compliance with the BSCI Requirements including health and safety? If yes, please note name(s) and position (s):

Responsibility of this person/these persons shall refer to all normative requirements of Part B on the farm, with special emphasis on occupational health and safety. Only the appointment of such qualified person(s) is not sufficient for compliance. Compliance needs objective evidence that implementation is on-going and developing.

b) Is the qualified person aware of the legal rights and duties under national labour legislation?

Knowledge of relevant labour regulations in agriculture is decisive to fulfil the social requirements. The qualified person shall be well aware of the legal requirements on wages and safety, since these are subject to continuous changes. Up-to-date knowledge on these subjects is important on the farm, and the responsible person should be sufficiently trained and qualified, and documentation of training and qualifications should be available. There is no need for a legal education for this purpose. B.1.4 Does the farmer or farm management recognize all workers’ rights to choose to affiliate, or

not to affiliate, with lawful organizations, associations, trade unions, worker councils, etc. without interference? If yes, please note name(s) and position(s) of representatives.

The farmer or farm management must clearly refrain from directly or indirectly interfering with or preventing the process of worker affiliation, and have a documented policy or statement in which it recognizes and supports freedom of association and collective bargaining. The farmer or farm management needs to make clear to workers that they are willing to engage workers in collective dialogue through some representative structure and that they are willing to provide them with an opportunity to do so, if the workers wish. There should be records specifying the names and positions of the workers representing workers organizations and/or trade unions. B.1.5 a) Is there a complaint form and procedure available on the farm, where workers (ALL) can complain?

b) Are there records from complaints and solutions over the past 12 months?

The farm should provide a documented complaint mechanism to enable its workers to exchange concerns and complaints with the farm management and enable the management to address these issues in a constructive manner. Records from complaints and solutions should be on file for at least 12 months. Section B.2 Documentation The existence of certain documents is also required on the farms, and provides evidence for the farm management, the workers and the auditors with respect to correctness of the information. In Section B.2 creation and updating of the documents are being checked that should be provided as minimum written records for an audit (see also appendix 2 for a complete list of documents required on the farm). The correctness of the documents submitted must be examined. During the audit it must be ensured in particular that the documents are not in conflict with other sources of information.

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B.2.1 Are there records of workers that provide an accurate overview of all workers (ALL) (including temporary and seasonal workers) in the last 12 months including name,

date of birth, job description, wage, date of entry and the period of employment?

If the farm has an accurate overview of its workers, that in itself may help to promote good social standards. Farms must therefore create records for all workers, containing at least:

• Family name and first name of worker • Date of birth of worker, if known, and verification method (ID card, birth/doctor/school

certificate) • Address of worker • Job description • Wage description • Beginning of employment • End of employment (if applicable)

B.2.2 a) Can copies of ID cards or birth certificates be shown for all workers (to ensure (ALL) all workers meet the minimum age requirement)?

If the farm does not make sufficient check on the age of workers when they are recruited, it is not really possible to exclude child labour. Copies should therefore be taken of the ID cards (or any other proof of age) to ensure the worker is legally allowed to work. (ALL) b) Can signed copies of working contracts be shown for all workers?

Even if the national labour regulations do not demand written employment contracts, the BSCI does generally require that the employment relationship is concluded in writing. An «employment contract» should have at least the following elements:

• Family name and first name of worker • Date of birth of worker, if known • Address of worker • Farm name and address of employer • Beginning of employment contract • End of employment contract if applicable • Clauses governing termination of employment • Indication of probation period • Amount of gross pay, bonuses and special payments • Working responsibilities and areas of worker • Special agreements, for example references to plant regulations • Date and signature of worker (or fingerprint if applicable) • Date and signature of employer

Please note that on the farm level – even on commercial farms – it is not a critical non-compliance if written contracts are not (yet) established. However, it should be noted in the Corrective Action Requests to create written contracts. B.2.3 a) Is there a time record system in place that shows the daily working time, (ALL) including breaks and overtime on a daily basis for all workers during the last 12

months? (…)

The farm must register daily working time, but may decide for itself what arrangements it makes for time record systems (attendance lists, punch/time cards, electronic data processing). The system must be logical and comprehensive. The farm is to be marked down if one or more of the following criteria is not recorded:

• Actual start of work and actual end of work • Number of hours of overtime worked • Days free from work • Days of absence

The correctness of handwritten entries by third parties should be confirmed in writing by the worker (e.g. at the end of the month).

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Please note: the auditor will need to refer to the time record system and the recorded working hours later during the audit. It would be recommended to save notes on the content.

(ALL) b) Are the working hours indicated in the time records limited to 48 hours of

normal working time and 12 hours overtime per week?

The regular working hours on the farm must be limited to 48 hours working time plus 12 hours of overtime per week. It should be noted that the «48+12 hour regulation» is only applicable where there are not already more stringent national labour regulations in force, setting the maximum limit for regular working hours and hours of overtime per week (see question B.2.3.d). (ALL) c) If there are additional overtime hours during the harvest, are these overtime

hours clearly defined and documented in the time records?

If additional overtime hours are necessary due to specific conditions related to the harvest of primary food products, the farm must clearly define these additional overtime requirements and record the overtime hours in the time records specifying that these are exceptional overtime hours related to the harvest. (ALL) d) Do working hours and breaks indicated in the time records comply with the

national working time regulations?

The working hours and breaks, including overtime (also during harvest), in the time records should also be compared with the national labour regulations. The national regulations are applicable if they are more stringent than the above-mention «48+12 hour regulation» (see question B.2.3.b) and if there are specific national regulations on overtime during the harvest. The farm’s score will be marked down if the national labour regulations are not applied if these are stricter than the BSCI Requirements. B.2.4 a) Do all workers receive payslips? (ALL)

All workers should receive a payslip, showing a breakdown of the individual elements of their pay, overtime supplements, other supplements and deductions. The payslip should be comprehensible and accurate. (ALL) b) Do payslips clearly document normal working time, overtime, overtime

compensation and social contributions?

All payslips should show a breakdown of normal working time, overtime, overtime compensation and social contributions. (ALL) c) Do the wages indicated on the payslips correspond to workers’ records, working

contracts and time records? (ALL) d) Do the wages indicated on the payslips comply with national labour regulations? (ALL) e) Do the deductions on the payslips comply with national labour regulations? (…)

The data on the payslips should correspond to the working contracts and the time record system, and all data should also comply with the regulations as defined by national regulations. Please check if the data on the payslips is in accordance with these requirements. B.2.5 Are there local regulations or collective bargaining agreements (e.g. with trade unions) to

make exemptions from national labour regulations? If yes, please give a reference or attach a copy of the agreement.

This question is for documentation purposes only. No evaluation is to be made. If there is a trade union or in-house representation of interests, appropriate documents are to be provided, in particular written agreements between the workers’ representatives or the trade union and the employer, containing regulations to ensure compliance with social standards. Typical example: farm agreement with a trade union.

If yes: Do the documented wages and working hours correspond to the local regulations and collective bargaining agreements?

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During the audit it is to be ensured that the local regulations or collective bargaining agreements are respected in the formulations of the working contracts, time records and payslips with regard to wages and working hours. B.2.6 a) Is there documented evidence demonstrating payment of salaries? (…)

b) Is there documented evidence demonstrating payment to social security or insurance funds? (…)

The farm must be able to show documented evidence of correct payments to the workers, as well as social insurance funds. Section B.3 Working Time B.3.1 How is the working time on the farm organized? (ALL)

All sub-questions in question B.3.1 are for the purpose of documentation only, and shall not be evaluated. During the audit, it should be examined whether the actual working time corresponds to the working time as recorded in the requested documentation of Section B.2, and if the working time corresponds to the ILO Conventions, national regulations and collective bargaining agreements. The purpose of this specific question is to determine the actual working times on the farm by comparing documents and interviewing workers. (ALL) a) When do daily working hours start and end?

Enter the beginning and end of regular working time in the questionnaire and ask workers for confirmation. The purpose of this question is to determine the hours actually worked per day in order to earn the basic wage, not including paid overtime and not including breaks (which are covered in question B.3.2). (ALL) b) When do daily breaks start and end?

Enter the beginning and end of the breaks as documented and confirmed by workers. Calculate the duration of breaks. (ALL) c) What is the normal number of weekly working days per person?

Enter the number of regular weekly working days for each worker. This should be the number of days actually worked per week on the farm in order to earn the basic wage. (ALL) d) What is the normal number of weekly working hours per person?

Enter the number of hours actually worked per week in order to earn the basic wage, not including paid overtime, and not including the total weekly time of the breaks. (ALL) e) What is the average number of weekly overtime hours per person?

Determine the average number of overtime hours worked by all workers per week from the time record documents provided and confirm the number with workers. (ALL) f) What was the highest number of individual overtime hours last week?

Determine the maximum number of overtime hours worked by one specific worker during last week. In comparison with question B.3.1.g, the objective is to find out whether there are only individual workers or groups of workers that do excessive overtime, or whether the overtime in the company is at too high a level in general. (ALL) g) What was the average number of individual overtime hours last week?

The average number of overtime hours worked by all workers last week is to be determined from the time record documents provided, should be confirmed by the workers and is then to be compared with question B.3.1.f.

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Please not that if discrimination is suspected, evaluation of question B.3.1.f and B.3.1.g is to be done in section B.8 on discrimination. B.3.2 Do worker interviews confirm that the working time on the farm corresponds to the (ALL) time record system? (…)

This question aims to compare the actual working time confirmed by the workers with the working time as stated in the time records required in section B.2. B.3.3. Do the interviews with the workers confirm that the working hours on the farm do (ALL) not exceed 48 hours of normal working time plus 12 hours of overtime per week?

The regular working hours on the farm must be limited to 48 hours working time plus 12 hours of overtime per week. Excessive tiredness of the employees leads to decrease of concentration, and that has an impact on safety and quality. The references are the time records of the last 12 months and worker interviews. B.3.4 Are additional overtime hours during harvest time: (ALL)

(ALL) a) requested only on an exceptional basis? The overtime hours during harvest must be limited to exceptional circumstances leading to an unforeseen need to perform certain tasks on the farm within a shorter period of time than originally expected. An example would be the need to harvest in a short period or a sudden change in the climate that could seriously endanger the quality of the crop or product.

(ALL) b) agreed by the workers?

Those workers requested to perform exceptional overtime must agree to the overtime, as overtime must always be voluntary and may not be forced upon the workers. (ALL) c) recuperated within a timeframe of two months?

The exception period may not be longer than two months. Within this exception period, the average number of working hours must be limited to maximum 60 hours per week per worker, so that the additional overtime hours are adequately compensated in the time before or after harvest. (ALL) d) limited to two harvest periods per year?

The farm may not specify more than two exceptional harvest periods per year during which additional overtime hours are required. B.3.5 Is it ensured that workers do not work more than 12 hours per day? (ALL)

Under no circumstances are the workers allowed to work more than 12 hours per day on the farm, regardless of the consequences for the farm. If any of the workers exceed 12 hours of working time per day, the farm’s score is to be marked down. B.3.6 If the national labour regulations are stricter than the above-mentioned working (ALL) hours, do worker interviews confirm that the working time on the farm

corresponds to these national working time regulations?

If there are national labour regulations in force in the country of operation that are more stringent than the «48+12 hour regulation» and the above-mentioned exceptions during the harvest, the farm must follow these regulations for regular working hours and hours of overtime per week. The workers shall confirm that the national labour regulations are indeed applied. B.3.7 Are there local regulations or collective bargaining agreements (e.g. with trade unions) to

make exemptions from working time regulations?

Whether or not national or regional regulations exist is a question for purposes of documentation and is not to be evaluated.

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If yes: Do worker interviews confirm that the actual working hours correspond to local regulations or collective bargaining agreements?

If management submits an approval from the local labour authority, permitting the legally specified working times to be exceeded or any other authorisations e. g. from collective bargaining agreements with trade unions, such approval shall be valid, accepted by all workers affected and shall also be limited by the rule that working time per week (regular working time plus overtime hours) shall not exceed 60 hours on a regular basis and one day off after each 6 consecutive days of work. B.3.8 Do workers work overtime or during holidays only on a voluntary basis or as (ALL) stipulated in the respective collective bargaining agreements?

The rule is that overtime and working during holidays must be voluntary on the part of workers. Experience shows that overtime and work during holidays is often made compulsory by management of farms for reasons of harvesting requirements. This is not permissible in the BSCI except if the overtime is to cover a short-term business demand (e.g. peak season in combination with weather conditions), and there is a written baseline agreement to this effect with the trade union (if the workers of the farm are trade union members) or with the workers’ representatives (if the workers of the farm are not trade union members) or with each of the individual workers affected. It is at the discretion of the auditor to decide what «short-term» demand for work is. B.3.9 Are workers provided with at least one free day following six consecutive days (ALL) worked (also in peak season)?

Under ILO Convention 14, one day off (24 hours) is specified in every 7 day period. «One day off» (24 hours) in every 7-day-period means one day off after latest each 6 consecutive days of work. The time record documents submitted for the last 12 months are to be used to determine whether workers have at least one day off in the period mentioned. The number of work days permissible in succession is stipulated by law in practically all countries. If these regulations are not observed, the farm’s score is to be marked down. B.3.10 Can the workers demonstrate that they are aware of the regulations with regard to working

time?

The farm should provide its workers with means to inform themselves about the working time regulations and allow workers to communicate their concerns to the management. The auditor should ensure that workers have access to possibilities to inform themselves. A useful occasion for the exchange of information are the regular two-way communication meetings as specified in question B.1.3. Section B.4 Compensation It is important to ensure that all workers earn at least the legal minimum wage in the regular working time, and that they do in fact receive it, also on the farm. In addition, it must be ensured that the national labour regulations with regard to compensation are respected for all workers. B.4.1 a) What is the legal minimum wage for the regular working time on the farm per (ALL) month, week, day or hour, whichever is applicable?

This question is for purposes of documentation and is not to be evaluated. The nationally or regionally specified minimum wages (including higher wages agreed by collective bargaining, and wages in accordance with agreements for specified sectors or trades) must be entered here, either by month, week, day or hour depending on the method specified by law. Note whether the data refer to gross pay or net pay. (ALL) b) What is the lowest wage for regular working time that is paid by the farm (…)?

This question is for purposes of documentation and is not to be evaluated. The lowest basic wage paid on the farm for the regular working time of a worker is to be entered here, either by month, week, day or hour, depending which is the method used on the farm. The information basis for this are the wage lists and payslips of the last 12 months and must be confirmed by the workers.

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(ALL) c) Do worker interviews confirm that the workers earn at least the legal minimum wage (…)?

The farm’s score is to be marked down if not all workers receive the nationally or regionally stipulated minimum wage for their working time and/or if the farm’s guaranteed regular working wage is below the applicable minimum wage. In case of productivity-rate wage, the legal minimum rate wage needs to be respected in the same manner. It should be ensured that an worker of average performance level can achieve the specified number of weight or units within the regular working time. The wages should be verified by the workers. B.4.2 a) What are the premiums according to national regulations? (ALL)

This question is for purposes of documentation and is not to be evaluated. The overtime supplements specified by law are to be entered as percentages. (ALL) b) Are the premiums paid at the correct hourly rate?

It must be ensured that the premiums are correctly paid. This has to be calculated on the regular hourly wages that the single worker has earned and should be checked with the relevant documentation, including the wage lists and the payment slips. The workers should confirm that overtime rates are indeed paid and correspond to the documents. It should be ensured that workers earning a productivity-rate wage are also compensated with overtime supplements if they work in excess of the regular working time (within the legally permissible limits). B.4.3 a) Do worker interviews confirm that the payments the workers received are in (ALL) conformity with the respective payslips?

It must be ensured that the workers are paid the same amount of money as stated in the respective payslips. All deductions must be recorded on the payslips. Please check carefully if there are deductions that are not recorded on the payslips. (ALL) b) Do worker interviews confirm that there are no illegal and/or unreasonable

deductions from the salaries that are not shown on the payslips?

If services are offered by the farm for which the workers have to pay or for the use of which deductions are made from their wages, it must be examined whether deductions and the amount of deductions are legal. This must be examined with particular care if the workers are dependent on these services due to lack of any alternative (e.g. accommodation, food, etc.). Use of these services by workers must always be voluntary. It is not permissible to make automatic deductions without the services being used. The farm may make deductions for legally required services only if this is permitted by the legal stipulations. It is not permissible to make deductions from wages for the use of objects, buildings or services which are directly necessary for execution of the work. That includes entry fees, charges for the use of tools and machines, for the use of sanitary facilities or for the provision of protective clothing for work, for drinking water or for washing facilities. B.4.4 a) Do worker interviews confirm that the workers receive paid leave and benefits (including

legal and/or religious holidays and maternity leave and benefits) according to national labour regulations?

The national labour regulations for paid days of leave, paid legal and/or religious holidays and maternity leave must be complied with for all workers. It should be ensured that there is no discrimination on the basis of any personal characteristics. Apart from the right to maternity leave, expectant mothers and mothers with infants are often granted special privileges under national labour regulations, e.g. longer breaks, additional service, maternity pay, etc. The word benefit refers to additional compensation, for example bonuses, transport, food, clothing, etc., to which workers have a legal entitlement. b) Do the workers receive other forms of social benefits (incentives, bonuses, professional

development, etc.)? If yes, please specify.

This means additional compensation for the workers, where there is no legal entitlement, e.g. bonuses, transport, food, clothing. This question is not to be evaluated, because these are

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discretionary provisions. It is for purposes of documentation. However, such benefits should be mentioned in the Social Audit Report under «Remarks». B.4.5 a) Are all workers paid in monetary value (cash, cheque or bank transfer)? If not, please

describe.

Wage payments for work actually performed must be made in money, cash, by cheque or by bank transfer for all workers.

b) Do interviews with the workers confirm that their salaries are paid on a regular basis according to the stipulations in the contracts or national labour regulations?

Unless otherwise specified in legal requirements, the wages of the workers should be paid out not later than 5 days after the end of the period for which they are calculated. It must be ensured that the conditions as specified in contracts or national labour regulations are respected. B.4.6 Are there local regulations or collective bargaining agreements (e.g. with trade unions) to

make exemptions from national compensation regulations?

Whether or not national or regional regulations exist is a question for purposes of documentation and is not to be evaluated. If the farmer submits an approval from the local labour authority or any other authorisation e.g. from collective bargaining agreements with trade unions permitting to make exemptions from national compensation regulations, such approval must be valid from a regulatory perspective and be accepted by workers affected. If yes: Do worker interviews confirm that the wages, leave and benefits, and payment

methods correspond to the respective local regulations or collective bargaining agreements?

Compensation below legal minimum wage for regular working time is not permissible in any case. Please check if local regulations or collective bargaining agreements are respected. B.4.7 Can all workers demonstrate that they are aware of the regulations with regard to

compensation, paid leave and legal benefits?

The farm should provide its workers with means to inform themselves about the regulations regarding compensation, paid leave and legal benefits, and allow workers to communicate their concerns to the management. The auditor should ensure that workers confirm and have access to possibilities to inform themselves. A useful occasion for the exchange of information are the regular two-way communication meetings as specified in question B.1.8. Section B.5 Child Labour / Young Workers Preliminary Remarks:

Child and young workers must be recorded in the Child and Young Worker Record Sheet. Child workers are all workers under the age of 15, regardless of exemption provisions of ILO Convention 138, (Minimum Age Convention) Article 7, or older workers who are under the age that may be prescribed by national legislation for employment or for continuation of general mandatory schooling. Young workers are all workers under the age of 18. Whether or not the specific case is an exemption situation pursuant to ILO Convention 138, Article 7 is to be noted in the appropriate column of the Child and Young Worker Record Sheet. Please note the ILO Requirements on the participation of children in agriculture. B.5.1 Are all workers working for the farm at least 15 years of age unless local minimum (ALL) age law stipulates a higher age for work or general mandatory schooling, in which

case the higher age applies?

(ALL) If not: Do legal regulations allow those children to work in accordance with ILO Convention 138, article 7: (…)

If the question cannot be answered with a «Yes», the «children» are to be entered in the Child and Young Worker Record Sheet, even if examination in accordance with ILO Convention 138, Article 7

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shows that this is not non-permissible child labour. Even if there is only one case of non-permissible child labour in the farm, the farm’s score is to be marked down. If the audit shows that child labour was used in the past (e.g. an worker declares in an interview that he/she has just turned 15, and has been working in the farm for 4 years), this does not lead to marking down in question B.5.1. The facts are to be recorded in the Farm Audit Report or Farm Re-Audit Report under «remarks». B.5.2 a) Do all workers who are subject to local compulsory education laws go to school during

school hours?

It is possible that some young workers and children permitted to work may still be liable to compulsory education. In this case, those workers must attend school and may not work during school hours.

b) Do combined hours of daily transport, school and work time not exceed 10 hours a day for those workers subject to local compulsory education laws?

The combined hours of daily transport, school and work time may not exceed 10 hours per day for those workers attending school to ensure that these workers are not overly exhausted.

c) Is the annual plan for school holiday available?

The annual plan for school holiday, if available, must be used to determine the specific holiday periods. B.5.3 Do all children living on the farm have access to primary education?

All children in the age of primary education who live on the farm must have access to primary education, either through a public school in the surroundings of the farm, transportation to a public school in the area or through adequate on-site education. B.5.4 a) Does the farm protect young workers (all workers who have not reached the age (ALL) of 18) from unsafe, unhealthy or otherwise harmful working conditions?

Young workers (workers above the age of a child but under 18 years) are normally under the special protection of the national labour regulations with regard to their health, safety and general development. It must be checked if these young workers are not subjected to health and safety risks or otherwise dangerous situations. (ALL) b) Does the farm comply with the national regulations for young workers with

regard to health and safety, training, compensation and working hours?

The farm must comply with the applicable national labour regulations regarding young workers, including provisions about health and safety, training, compensation and working hours. Please carefully check the respective documentation and interview workers to confirm if the regulations are applied correctly. B.5.5 Does the farm comply with the national regulations for apprentices (…)?

It is to be checked whether the training legislation is complied with. It is not permissible to set up false apprenticeship contracts, e.g. in order to save wage cost. B.5.6 In the case that children were found (…)

In the case that children were found to be working on the farm the following measures must be initiated by the company immediately in the event of non-permissible child labour: 1. The child must be removed from production immediately, with continued payment of wages if the

child contributes to earning a living for the family. Instead of continued payment to the child another unemployed member of the family not classified as «child» can be accepted into employment in order to safeguard the family’s livelihood.

2. If relevant the child must be returned to the school system immediately. 3. The actions taken are to be recorded in the Child and Young Worker Record Sheet.

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Section B.6 Forced Labour Disciplinary Measures / Prisoner Labour B.6.1 Are workers allowed to leave the farm after work at any time? (ALL)

Workers must not be prevented by instructions, threats or physical or mental force from leaving the farm and/or the premises after work. B.6.2 Is it ensured that security guards (armed or unarmed) do not keep the workforce (ALL) under pressure?

It must be checked whether the security guards are exerting pressure and/or force on the workers. B.6.3 Are workers are free terminate their contracts and to leave the farm without (ALL) sanctions as stipulated in the terms of the contract or national labour regulations?

All forms of direct or indirect debt servitude are prohibited and will be evaluated as negative. B.6.4 Are original documents of workers, such as ID-cards, passports or birth certificates (ALL) only held by the employer with explicit permission from the workers?

Original documents of the workers must not be kept in the possession of the farm for a medium-term or long-term period, but only for as long as the farm needs them for administrative purposes. For this purpose, workers shall receive a receipt when they hand over such documents to the farm, with a description of the document, indication of the purpose, and time of return. If by way of exception it is in the interest of the worker for the employer to administer the original documents (e.g. due to lack of security at accommodation), a written agreement shall be made on custody of the documents, if possible with involvement of workers’ representatives. In order to avoid any misunderstandings, the employer should transfer the task of administration as a trustee for such documents to an independent third party or institution, to which the worker can have recourse directly. B.6.5 Are workers hired without the requirement of monetary deposits? (ALL) Deposits or protection charges of any kind required to be paid by workers lead to marking down of the farm’s score. B.6.6 Is it ensured that there is no bonded labour? (ALL)

This question deals with work violating human dignity by bonded labour for third parties. It must be checked whether there are workers on the farm that are in this kind of dependent relationship to third parties. Third parties may also be persons outside of the farm, if the farm management knows about such dependent relationship. B.6.7 Is work conducted without any threat of illegal penalty or any other illegal (ALL) sanction?

Any illegal penalty or other illegal sanction is not permissible, f. e. the access to food, water, toilets, medical treatment is interdicted as a disciplinary measure. B.6.8 a) If the visit highlights the presence of prisoners, is such work by prisoners allowed under

ILO Conventions 29/105?

In the event that prisoners are employed, it must be checked whether the regulations of ILO Conventions 29 / 105 are complied with. National regulations are irrelevant where they set less stringent requirements.

b) Are the labour laws applied for those prisoners?

In the event that prisoners are employed under the terms of ILO Conventions 29/105, there must be no difference made compared with the other workers with respect to compliance with the legal requirements.

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Section B.7 Freedom of Association and Collective Bargaining The right of freedom of association and the right of collective bargaining are regarded as core labour standards and as inalienable human rights. ILO Convention 87 regulates the right of workers to set up associations and organisations, to join them, and to undertake activities within the framework of the national labour regulations of the respective country. ILO Convention 98 regulates the right of workers to negotiate common concerns of the workers (especially payment) with the employer. Neither of these and the further relevant Conventions are aimed at the promotion of trade unions. Union membership by workers must not to be required, but nor must it be hindered or rendered ineffective. Assessment in the audit should be based on these assumptions. B.7.1 Do workers have the freedom to choose to establish, affiliate and take action in (ALL) free and independent workers’ organisations including worker councils,

associations or trade unions without interference from the farmer or farm management?

The workers are entitled to choose the organisation and the form of organisation. The employer is not expected to promote trade union structures. On the other hand, the employer must not prevent the organisation/membership of free and independent trade unions neither directly nor indirectly in so far as this is done within the national labour regulations of the respective country. Please check carefully. B.7.2 Is a free, independent workers’ organisation, association or worker representation (ALL) present on the farm (…)? If yes, please fill in the names of the workers’

organisation(s) resp. union(s) and representative(s).

This question is for purposes of documentation and is not to be evaluated. Please indicate which type or organisation(s) are present on the farm. The names of the workers’ organisation(s) resp. union(s) and their representative(s) must be entered here. B.7.3 Do worker interviews confirm the existence of regular two-way communication (ALL) meetings between management and workers?

Workers must confirm that there is a regular exchange of information between management and workers through biannual communication meetings. The minutes of the meetings should reflect the concerns of the workers. B.7.4 Are workers’ and union representatives allowed to perform their tasks without interference

from the farmer or the farm management?

The farm must enable the representatives to conduct their tasks as long as the activities are in conformity with the national labour regulations and collective agreements. It is important that the farmer or farm management accepts the activities of the worker representatives and gives them sufficient protection on the farm. If this is not the case, the farm’s score is to be marked down. B.7.5 a) Are the workers aware who is their representative?

The workers must be permitted to have joint representation of their concerns and negotiation vis-à-vis management. To ensure that workers are adequately represented, the workers must indicate their awareness as to whom is their representative. This question is aimed at discovering whether the representative is supported by the workforce and able to perform the task of representation. b) Do workers know how to exchange information with management?

The workers should also indicate that they know the different ways to address their problems and concerns with management, notably in the case of worker representation in the farm or through the trade unions and worker organisations. B.7.6 Are the workers aware of the possibility to file complaints?

The workers must be aware of the complaint procedure (including complaint form) and indicate that the use of this procedure is not harmful to them in any way if they would decide to use it.

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Section B.8 Discrimination B.8.1. Do worker interviews confirm that all workers (including women, part-time, (ALL) seasonal, temporary and migrant workers, union representatives, etc.) are treated

equally and that there is no discrimination (…)?

(ALL) If not: In which labour and hiring policies does discrimination occur and which workers / groups of workers (migrant or seasonal workers, women, union representatives, etc.) are concerned? (…)

There must be no unequal treatment or discrimination of workers on the grounds of any personal characteristics. If discrimination is suspected or discovered, please indicate in the table which policies are affected, which (groups of) workers are concerned and what reasons the management uses to justify the situation. B.8.2 a) Is it ensured that the employer does not ask questions regarding pregnancy or

contraception during the recruitment procedure?

Pregnancy tests or contraception as a requirement for recruitment are not permissible. The question about whether pregnancy tests are made or pregnancy test results required to be submitted should always be asked in indirect form only, e.g. by questions about recruitment criteria and procedures, and (where medical examinations are carried out in the course of recruitment) by questions about the methods of examination.

b) Do worker interviews confirm that women are not mistreated or fired as a result of being pregnant?

Check whether women are disadvantaged, discriminated or dismissed from employment in the event of a pregnancy. B.8.3 a) Is it ensured there is no evidence of sexual harassment on the farm? (…)

Sexual harassment may not be permitted or tolerated on the farm.

b) Is it ensured that there is no evidence of other forms of verbal, physical or psychological threats, abuse or harassment on the farm?

Any other form of verbal, physical or psychological threats, abuse or harassment may not be permitted or tolerated on the farm. B.8.4 Are workers protected from any form of discipline, dismissal or discrimination because they

complain against infringements of their rights?

Workers must have a possibility to submit complaints about infringements of rights to which they are entitled, without having to fear reprisals. Examination, in particular by worker interviews, can be very well supported by those responsible on the farm presenting their complaints procedures on the basis of practical examples of application (from submission of a complaint by the workers to treatment to correction of the situation by those responsible on the farm). Section B.9 Working Conditions The inspection capabilities of the auditors for evaluation of this section are limited within the framework of a social audit, in particular for questions B.9.2 to B.9.6. A detailed and qualified examination requires technical aids and time, and these are not normally available. The auditor must rely on his knowledge and experience in evaluation of these questions, in order to recognise any shortcomings. In the event of doubts about proper conditions, there is always the possibility of marking down the score and including in the Farm (Summary) Report an obligation to mandate an expert for further clarification of the matter. B.9.1 Are overall conditions of the working area/on the farm facilities acceptable? (ALL)

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The answer to this question should take into account not only risk factors which may be expected to constitute direct danger for the physical safety of the workers (e.g. climate conditions (lack of shelter from the sun), geographical location (steep hills), dangerous surroundings, etc.). Marking down the score is also justified if the land is unsuitable for the work requested of the workers, or the arrangements of setup of the working area do not permit work in human dignity. This includes for example lack of working equipment, working in unbearable positions or on the floor (unless this is culturally determined and definitely and clearly so desired by the workers), arrangement of machines in a manner which does not correspond to the flow of work, unnecessary physical stresses and strains for the workers, etc. Mark-down is definitely required if the conditions are such that there is hazard for health and/or life of the workers. B.9.2 Are climate conditions considered when determining the working time, especially in warm or

tempestuous seasons (different working hours, longer breaks, two-partite working days)?

A once-only check in the course of an audit is normally not enough in cases of doubt to make a general assessment of whether the temperatures and climate conditions are acceptable during the year. The arrangement of working hours and break times, the type of work and the physical circumstances must be taken into account, as well as the design of working area and buildings. For example, working while exposed to strong radiation from the sun will lead to intolerable temperatures and health risks. Records of illness and occupational accidents can help to clarify the matter. In case of doubt, mark-down is to be made, with an indication in the Farm (Summary) Report that this matter needs to be clarified and further steps defined. B.9.3 Are religious festivals or activities considered when determining the working time (different

working hours, longer breaks, two-partite working days)?

The arrangement of working hours and break times, the type of work and the physical circumstances must be considered during specific religious holidays, festivals and activities. For example, during Ramadan it is recommendable to allow workers flexible working times to accommodate the fasting. In case of doubt, mark-down is to be made, with an indication in the Farm (Summary) Report that this matter needs to be clarified and further steps defined. B.9.4 Is the working area clean?

Workers must not be exposed to health hazard due to inadequate hygienic conditions. The farm must take the measures that are possible in the framework of the cultural and economic environment in order to create and maintain a clean and hygienic working environment. This also includes «hygiene education», which may be necessary depending on origin and educational level of the workers. Section B.10 Health and Social Facilities Please note: Section B.10 of the Social Audit Questionnaire II: Farm has been benchmarked with the existing requirements of GlobalGAP certification on the farm. If a farm is certified by GlobalGAP or an equivalent standard officially benchmarked to GlobalGAP, there is no need to audit this chapter during a BSCI audit. However, if deviations are observed during farm inspection, please note these as non-compliances and in the remarks section. B.10.1 a) Are first aid boxes with necessary supplies available at all times in the vicinity of (ALL) work?

The requirements for first-aid material are normally defined in the national labour regulations. If there are no such regulations, there must be first aid boxes provided to an extent appropriate for the hazard potential of the work location and the number of workers. These are to be protected from external effects (e.g. the effects of heat, dirt, dust, moisture, chemicals, etc.). The first aid boxes should be available close to the actual location where the work is performed. The content of the first aid boxes depends on the national labour regulations. As a minimum, they should contain bandaging material, means for treatment of open wounds, eye injuries and burns, and first aid blankets, painkillers and instructions for giving first aid.

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b) Is someone in charge of dispensing and stocking first-aid material? Please note name and position.

There must be provisions for continuous availability of first-aid material. This can most easily be done by appointing a person or persons responsible for dispensing and re-stocking first-aid material. B.10.2 a) Is there always an appropriate number of persons (at least one) trained in first (ALL) aid present on the farm?

On every farm there must be a reasonable number of workers trained to give first aid in emergencies. Such workers must have a certificate showing that they have completed such training. National guidelines have to be met.

b) Is there a procedure for quick medical assistance in case of emergency?

As a rule, the national labour regulations define what kind of medical provisions have to be provided by farms. If there are no such definite labour regulations, it is required as a minimum that there should be workers who have a training in first aid, first aid supplies, and a procedure to ensure emergency treatment (for example a contract with a nearby hospital or doctor). B.10.3 Is clean drinking water provided for all workers? (ALL)

Clean drinking water must be available to all workers during working times. National labour regulations often give a definition of the characteristics and inspection required for drinking water. B.10.4 a) Do workers have access to clean hand washing equipment in the vicinity of their work?

Workers should have access to clean hand washing equipment at all times to ensure a high standard of personal hygiene and to avoid risks of contamination by food stuffs or chemicals. Clean hand washing equipment should not only be provided at the farm, but also on the fields if there are no facilities in the surroundings.

b) Do workers have access to clean food storing and dining facilities?

In general there is a definition in the national legal requirements, indicating based on size whether an eating room or cafeteria must be provided. If there are no such regulations, it should be ensured that workers have access to a clean, hygienic area where they can store, cook and consume food during breaks.

c) Do workers have access to clean toilets in the vicinity of work?

The number of toilets should correspond to the number of workers on the farm (also in peak season). If there are less than the required number, this will cause a mark-down in the farm’s score. The toilets must be in the close vicinity of work, which means that toilets must also be provided if the workers are on the fields. Toilets should always be lockable or separated by gender.

d) Do workers have access to clean washing facilities and changing rooms where workers have to wear special protective clothing?

There must be sufficient and clean washing facilities and changing rooms for workers if it is required to change into special protective clothing to perform tasks on the farm. B.10.5 If the farm provides transportation for the workers, it is ensured that the transportation is

safe and complies with national regulations?

All transportation provided by the farm must comply with the national regulations for the transportation of workers. If there are no such regulations, the vehicles used for transportation must be suitable for the transportation of people. The driver(s) must have the respective licenses and the vehicles must be approved and maintained on a regular basis. Safety measures should be taken to protect the workers in case of an accident. If the transportation forms an unacceptable risk for the health or safety of workers, the farm’s score is to be marked down.

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Section B.11 Occupational Health and Safety By way of distinction from Section B.9 Working Conditions, which is concerned with general conditions of work, this section deals with concrete measures for health and safety. Please note: Section B.11 of the Social Audit Questionnaire II: Farm has been benchmarked with the existing requirements of GlobalGAP certification on the farm. If a farm is certified by GlobalGAP or an equivalent standard officially benchmarked to GlobalGAP, there is no need to audit this chapter during a BSCI audit. However, if deviations are observed during farm inspection, please note these as non-compliances and in the remarks section. B.11.1 Risk Assessment (…)

Each farm is required to perform a risk assessment to establish what deficiencies in health, safety and hygiene could result in substantial danger for workers. As a result, the farm must estimate its seriousness and potential effects, and then create an action plan to promote safe, healthy and hygienic working conditions for all workers. An important element of the action plan is the protection of the special needs of women related to reproductive health, pregnancy and breastfeeding, as well as the consideration of general health risks in the risk assessment. This would particularly be the case if epidemics exist (for example TB or HIV/Aids), or if the working environment is particularly prone to specific health risks (for example the transfer of infections and diseases by insects). The different sections below provide a good overview of the topics that should be covered in the action plan. If the farm has not performed a risk assessment, nor established measures in an action plan to prevent unsafe and unhealthy working conditions, the farm’s score is to be marked down. B.11.2 Training (…)

The questions listed under B.11.2 a)-g) are a guideline for the auditor on what he should pay attention to during the farm inspection. If there is even one point of non-conformance in the sub-questions, and if it cannot be remedied during the audit, a «-» is to be entered under Conclusion for the whole of the question. Formal trainings and instructions on general health and safety, accident and emergency procedures, the use of personal protective equipment, and basic hygiene must be given to all workers before the start of their activities and training records must be available for all workers. On every farm there must be a reasonable number of workers trained to give first aid in emergencies. Such workers must have a certificate showing that they have completed such training. National guidelines have to be met. All workers handling and/or administering medicines, chemicals, disinfectants, crop protection products, biocides, waxes or other hazardous substances must have certificates of competence and/or details of the qualifications required for specific tasks. Fire protection measures must be recorded with indication of the extent of such measures, the number of workers participating, photos and date. B.11.3 Personal Protective Equipment (…)

The questions listed under B.11.3 a)-f) are a guideline for the auditor on what he should pay attention to during the farm inspection. If a situation is not applicable on the specific farm, the corresponding question is to be answered with «NA». If there is even one point of non-conformance in the sub-questions, and if it cannot be remedied during the audit, a «-» is to be entered under Conclusion for the whole of the question. B.11.4 Accident and Emergency Procedures (…)

The questions indicated under B.11.4 a)-e) are a guideline for the auditor on what he should pay attention to during the farm inspection. If a situation is not applicable on the specific farm, the corresponding question is to be answered with «NA». For evaluation, see comments under B.11.3.

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B.11.5 Crop Protection Products & Chemicals (...)

The questions indicated under B.11.5 a)-t) are a guideline for the auditor on what he should pay attention to during the farm inspection. If a situation is not applicable on the specific farm, the corresponding question is to be answered with «NA». For evaluation, see comments under B.11.3. B.11.6 Electricity (...)

The questions indicated under B.11.7 a)-c) are a guideline for the auditor on what he should pay attention to during the farm inspection. For evaluation, see comments under B.11.3. B.11.7 Machine safety (...)

The questions listed under B.11.8 a)-c) are a guideline for the auditor on what he should pay attention to during the farm inspection. If a situation is not present on the farm, the relevant question is to be answered with «NA». For evaluation, see comments under B.11.3. B.11.8 Fire protection

The questions indicated under B.11.8 a)-c) are a guideline for the auditor on what he should pay attention to during the farm inspection. For evaluation, see comments under B.11.3. To ensure transparency, the terms used are explained below.

a) Is a sufficient number of fire fighting equipment installed (…)?

Normally the national labour regulations specify the standard requirements for fire extinguishers and other fire fighting equipment. There must in all cases be functioning fire fighting equipment in sufficient quantity. The fire fighting equipment must be distributed in a meaningful manner, so that they can be reached by workers easily and within a short time. They must be placed at a height such that they can easily be reached by workers. It is easier for workers to find the fire fighting equipment in an emergency if the place where they are kept is appropriately marked.

b) Is fire fighting equipment in good condition and regularly inspected?

All fire fighting equipment must be kept in proper condition. The functioning condition of fire extinguishers must be checked at specified intervals. As a rule, fire extinguishers are marked by a tag when they are inspected, and this shows the duration of validity.

c) Are a sufficient number of workers trained in fire fighting practices?

There are some workers trained as the «fire brigade». Such workers are specially trained in the handling of fire fighting equipment and in how to lead evacuation of buildings, facilities and sites. The national legal requirements may specify that there must be a minimum number of persons with training/qualification in fire fighting on the farm. Section B.12 Dormitories B.12.1 Does the farm provide dormitories or any kind of overnight accommodation for the (ALL) workers?

If this question is answered with «No», the subsequent questions are not necessary. If this question is answered with «Yes» the address(es) of the dormitory/ies must be noted, if such dormitory/ies is/are not located at the site. The number of workers accommodated in dormitories is to be entered regardless of the location of the dormitory/ies. B.12.2 Are workers allowed to enter and leave the dormitories and farm premises at any (ALL) time?

There must be no indicator showing that workers are under constraint in connection with their accommodation. Workers must be permitted to leave the building in their free time, without having to ask for permission. The workers must also be permitted to choose accommodation outside of the dormitory if they have a possibility of doing so. Nevertheless, there may be rules of behaviour

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regulating the life of the community. In this case, it must be checked carefully whether the workers are in agreement with these rules of behaviour. B.12.3 a) Are the dormitories clean, safe and adequately lit? (ALL)

Workers must not be exposed to any health hazard on the grounds of the conditions in the dormitory. The measures possible within the cultural and economic environment must be taken in order to create and maintain a clean and hygienic living environment. It must also be checked whether there is sufficient lighting available. In particular, it should be borne in mind that the workers are in the dormitory mostly in the evening hours. (ALL) b) Is the room temperature acceptable?

The room temperature is largely dependent on the outside temperature and on the design of the building, and interaction between these must be observed. (ALL) c) Is the space per person acceptable (…)?

If there are no national labour regulations, evaluation is up to the subjective feeling and discretion of the auditor. But it must be considered in all cases that every worker must have as a minimum, in addition to a bed, a space for storing personal items, and that the room should not be evidently over-occupied. Please note the space per person in m. B.12.4 Are the dormitories separated from production areas and warehouses?

Workers must not be accommodated in the production areas. B.12.5 Are the sleeping quarters separated by gender?

Sleeping quarters must in all cases provide separate accommodation for women and men. B.12.6 a) Are there adequate numbers of clean washing facilities and toilets?

The dormitories must be equipped with an adequate number of washing facilities and toilets. It must be ensured that these are clean and hygienic within the framework of the cultural and economic environment.

b) Are the washing facilities and toilets separated by gender?

The dormitories must provide separated washing facilities and toilets for women and men. B.12.7 Is there clean drinking water?

Clean drinking water must be available to all workers who live in the dormitories. B.12.8 a) Are there enough unblocked, marked emergency exits?

The number of emergency exists must be sufficient so that the occupants can leave the building in a rapid and orderly manner in an emergency. The emergency exits must not be blocked or locked from the inside, and they must be marked as emergency exits.

b) Does adequate fire protection equipment exist?

As a rule, the national legal requirements set out legal standards for fire fighting equipment. There must in all cases be an adequate number of functioning fire extinguishers (note recommendation of manufacturer). Their functioning capability must be tested at certain intervals. As a rule, fire extinguishers are marked with a tag on inspection, showing the duration of validity. The fire extinguishers must be distributed in a meaningful manner, so that they can be reached by dormitory occupants easily and within a short time. They must be placed at a height such that they can easily be reached. It is easier to find the fire extinguishers in an emergency if the place where they are kept is appropriately marked. All fire fighting equipment must be kept in proper condition.

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Organised drills are to be conducted for occupants, announced in advance, so that they can learn how to leave the building in an orderly and speedy manner in the event of an emergency. Such drills must be repeated at regular intervals. Section B.13 Environment This section checks minimum requirements for environmental protection in summary form. The questions are not a substitute for a comprehensive and possibly additionally agreed environmental audit, and are not a substitute for the duty to comply with corresponding national legal requirements in the various areas. The inclusion and checking of this area is intended to protect the farm and the farm’s customers from gross or evident environmental malpractice. Please note: Section B.13 of the Social Audit Questionnaire II: Farm has been benchmarked with the existing requirements of GlobalGAP certification on the farm. If a farm is certified by GlobalGAP or an equivalent standard officially benchmarked to GlobalGAP, there is no need to audit this chapter during a BSCI audit. However, if deviations are observed during farm inspection, please note these in the remarks section. B.13.1 Is the waste management arranged in a way that does not lead to pollution of the (ALL) environment?

There are some places where waste disposal is not organised by public authorities. This may lead to dumping of waste material in the environment. The auditor must also take a look at the surroundings of the farm. Regardless of national regulations, it is not permissible for the farm to dump waste in natural environments, or to burn it on open fires. In such cases, the farm must always be marked down. B.13.2 Are obsolete chemicals and empty chemical containers properly and separately (ALL) identified, maintained and disposed of by authorised / approved channels in a

manner that avoids exposure to the environment and humans?

Obsolete chemicals and empty chemical containers which spill into the soil may pollute the ground water or pose a risk for the safety of human beings and animals. Chemicals must therefore be disposed off properly, regardless of the national legal regulations and the state disposal facilities available. B.13.3 Is it ensured that chemicals do not leak into the ground?

Chemicals must be stored in such a way that they do not leak into the ground, and cannot pollute the groundwater. The safest form of protection is collecting basins. B.13.4 Is it ensured that empty vessels having contained chemicals are made unusable?

Empty vessels that have contained chemicals must be made unusable for any other purpose after use. B.13.5 Are procedures in place to ensure that effluent is treated according to legal regulations and

does not endanger the workers?

Agricultural and industrial waste waters are a great danger for the environment and health of workers. Procedures need to be in place to ensure that waste waters are only discharged to the environment in a safe way, even if there are no national legal regulations on this matter. B.13.6 Are emissions in legal conformity?

«Emissions» in this context refer to air pollution. 3.5.6. Declaration of Consent In the «Declaration of Consent» form, the farm declares its consent for the auditors to take photos, for interviews to be conducted with workers, and for the data to be captured in a database and disclosed to third parties within the framework of the BSCI.

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3.5.7. Audit Report – Results The Report section of the Audit Questionnaire & Report for Primary Production: II Farm is built up in much the same way as the original Social Audit Report (see Interpretation Aid on page 71). In this section, you will find the following parts:

• Assessment BSCI Social Requirements (Part B): assessment and description of the results • Assessment Social Management System: comparison BSCI and internal audit results • Remarks: general remarks and issues related to the audit • Photographic presentations: photos highlighting the findings both outside and in farm facilities • Corrective Action Requests / Plan BSCI Social Requirements (CAP B): obligatory improvement

action for implementation of the minimum requirements 3.5.8. Other Documents 3.5.8.1. Interview Sheet The Interview Sheet serves to record essentials from the interviews conducted. 3.5.8.2. Child and Young Worker Record Sheet This form is for recording of children employed on the farm. The following data are to be recorded:

• Name: Name of the child • Birthday: Date of birth if available, otherwise estimated age • Attending school: The child is attending a school • Present during regular school-lessons: The child was found on the farm during regular school

lesson times • Met in non hazardous areas: The child is employed in non-hazardous areas of the farm • Receives an education: The child receives education on the farm, in keeping with the applicable

legal requirements • Since when in the company: Since when has the child been employed by the farm • Working under ILO Convention 138 exceptions: An exceptional state as defined in ILO

Convention 138 is applicable • In the event of illegal child labour: the actions taken are to be described

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