Quality Assurance

System and Certification

DFL SOCIAL COMPLIANCE REPORT
DFL Social Compliance Audit Checklist

Instructions:
(1) Mark ü under the appropriate scope column if the organization being audit conforms to the DFL Social Compliance Requirement.

(2) If the organization is not conforming to the DFL Social Compliance Clause Requirement, mark X under the appropriate scope column, and
describe the non-conformity in the Remarks column.
(3) After the audit, create the audit non-conformity report in the Audit Report Tab.

Acronyms:
IND - Industrial
AGRI - Agriculture
Both - Agriculture and Industrial

DFL Social Compliance Requirement IND AGRI BOTH REMARKS

1.0 Management Systems

Compliance to Applicable Legal ü
1.1
Requirements
1.2 Management System

1.3 Business Integrity

1.4 Audits & Assessment

1.5 Documentation & Record Keeping

1.6 Social Responsibility Policy

Self-declaration of Good Social
1.7
Practice
2.0 Hiring and Employment Status

2.1 Hiring and Contracts

2.2 Employment Condition

3.0 Wages, Benefits and Compensation

4.0 Hours of Work

5.0 Child Labor

6.0 Forced Labor

Discrimination, Harassment &
7.0
Abuse
8.0 Employee Discipline
Complaints / Grievance &
9.0
Suggestion Process
Freedom of Association and
10.0
Collective Bargaining
11.0 Subcontracting
Management and Employee's
12.0
Representatives and/or RGSP
13.0 Sanitary Facilities

14.0 Resting/ Eating Areas

15.0 Drinking Facility

16.0 Health & Safety

16.1 General Safety

16.2 HIRADC & Mgt Plan

16.3 Safety Competence

16.4 SHE Committee

Emergency preparedness and
16.5
response
16.6 Electrical Safety

16.7 Ventilation & Lighting

16.8 Uniforms & PPE

16.9 Air, Noise & Temperature

16.10 Confined Space

16.11 Fall

16.12 Machinery and Equipment

Chemicals and Hazardous Materials
16.13
Safety
16.14 Pregnant Women

16.15 Transportation

17 Environment
 PART 1 ( Standard Alignment)
Clause No. Title
1.0 Management Systems
1.1 Compliance to
Applicable Legal
Requirements

1.2 Management System

1.3 Business Integrity

1.4 Audits & Assessment

1.5 Documentation &

Record Keeping
1.6 Social Responsibility
Policy

1.7 Self-declaration of
Good Social Practice

2.0 Hiring and Employment Status

2.1 Hiring and Contracts
2.2 Employment
Condition

3.0 Wages, Benefits and Compensation

4.0 Hours of Work
5.0 Child Labor

6.0 Forced Labor

7.0 Discrimination, Harassment & Abuse
8.0 Employee Discipline
9.0 Complaints / Grievance & Suggestion Process

10.0 Freedom of Association and Collective Bargaining

11.0 Subcontracting

12.0 Management and Employee's Representatives and/or RGSP

13.0 Sanitary Facilities

14.0 Resting/ Eating Areas

15.0 Drinking Facility

16.0 Health & Safety

16.1 General Safety
16.2 HIRADC & Mgt Plan

16.3 Safety Competence

16.4 SHE Committee

16.5 Emergency
preparedness and
response
16.6 Electrical Safety

16.7 Ventilation & Lighting

16.8 Uniforms & PPE

16.9 Air, Noise &
Temperature

16.10 Confined Space

16.11 Fall

16.12 Machinery and

Equipment
16.13 Chemicals and
Hazardous Materials
Safety

16.14 Pregnant Women

16.15 Transportation

17.0 Environment
 PART 1 ( Standard Alignment)
Standards
nt Systems
1. All valid and applicable business licenses and permits are available onsite.
2. All applicable laws and regulations are complied.

1. Management shall identify a person or persons at the Facility or work site to be responsible for monitoring and implementing
practices to comply with all Applicable Laws and Regulations and the Supplier Code of Conduct. (Costco)
2. Management systems are in place to ensure timely updates of changes in law. (McDonalds)
3. Management representative is designated to ensure compliance with laws, including making sure everyone understands and follows
the Customer Expectations. (McDonalds)
5. Businesses shall identify their stakeholders, their impact and salient issues. (SMETA)
6. Businesses shall measure their direct, indirect and potential impacts on stakeholders’ (rights holders) Human Rights. (SMETA)
7. Suppliers are expected to implement and maintain systems for delivering compliance to this Code. (SMETA)
8. Suppliers are expected to communicate this Code to all employees. (SMETA)
9. Suppliers should communicate this code to their own suppliers and, where reasonably practicable, extend the principles of this
Ethical Code through their supply chain. (SMETA)
10. Systems are in place to ensure that all relevant land rights have been complied with. (SMETA)

1. We expect our business partners to act with due diligence and develop the necessary management systems, policies and processes
to a reasonable extent as well as effectively prevent and address any human rights impacts that may be detected in the supply chain.
(ALDI)
2. Any act of corruption, extortion, embezzlement, or bribery - including but not lim-ited to - the promising, offering, giving or accepting
of any improper monetary or other incentive is not tolerated. (ALDI)
3. Facility complies with laws prohibiting bribery, corruption, extortion, and embezzlement, and the US Foreign Corrupt Practices Act
(FCPA). (McDonalds)
4. There are no attempts of bribery reported by the auditor. (McDonalds)
5. Facility signs and complies with the audit firm's audit integrity documentation, such as a gifts and gratuity policy. (McDonalds)

1. Suppliers must permit auditing to verify compliance with the Code as required. Audits are facility inspections that include employee
interviews and a review of supplier records and business practices. (McDonalds)
2. The auditor is to have access to all areas of the facility. Access is to include but not be limited to all production areas, offices, and,
where provided, dormitories and canteens/ cafeterias. (McDonalds)
3. The facility must not coach, coerce, or incentivize workers to provide information to an auditor that does not accurately represent the
true situation in the facility. (McDonalds)

1. All documentation necessary to verify compliance shall be maintained, and shall be made available upon request of Costco or its
third -party auditor. This requirement also applies to any third- party employment agencies used by the Facility. Documentation
includes, but is not limited to licenses, permits, certifications, policies and procedures, and Employee and Facility records. (Costco)
2. Suppliers and business partners shall maintain accurate records and information regarding their activities, structure, and
performance, and to disclose these in accordance with applicable regulations and industry benchmark practices. (ALDI)
3. The facility must not maintain any fraudulent documentation or duplicate sets of records with the intent to deceive any third party.
(McDonalds)
4. Twelve (12) months of accurate and complete records are retained at all times. (McDonalds)
5. Worker handbook, legal postings are in the language(s) of the workers. (McDonalds)
 1. Management has demonstrated their commitment towards sustainability and ensures the policies are incorporated into the
company's Vision & Strategy and code of conduct. (Kerry)
2. Businesses should have a policy, endorsed at the highest level, covering human rights impacts and issues and ensure it is
communicated to all appropriate parties, including its own suppliers. (SMETA)

1. The declaration is complete and contains at least all points referred to ILO core labor conventions. (GRASP, FSA)
2. The declaration has been signed by the management and by the employees’ representative(s). (GRASP, FSA)
4. The declaration is actively communicated to the employees (e.g. displayed on the production site/in the handling unit/management
office or attached to the working contract, information at meetings etc.). (GRASP, FSA)
5. The management, the responsible person for the implementation of GRASP and the employees’ representative(s) know the content
of the declaration and confirm that it is put into practice. (GRASP)
6. It is stated that the employees’ representative(s) can file complaints without personal sanctions. (GRASP)
7. The declaration is checked and revised at least every 3 years or whenever necessary. (GRASP)

Employment Status
1. Random checks show availability of written contracts for all employees signed by both parties.
2. There is evidence that the employees have the correct contract according to national legislation and/or collective bargaining
agreements.
3. The working contracts include at least basic information on the employee’s name, date of birth and nationality according to the
applicable GRASP National Interpretation Guideline. (GRASP)
4. The working contracts or attachments to the contracts include basic information on the contract period (e.g. permanent, period or day
laborer etc.), the wage, working hours, breaks, and a basic job description. (GRASP)
5. In the contract, there is no contradiction to the self-declaration on good social practice. (GRASP)
6. Records of the employees must be accessible for at least 24 months. (GRASP)
7. Provide employees with clear information about payment received for their work and their employment conditions. This may be a
written contract, and where necessary, additional verbal explanation to the workers. In the latter case, the procedures should be
included in an human resources or farm management plan. (FSA)
8. Employees shall not pay any fees or other payments to the employer or agent for the purpose of being hired or as a condition of
employment. No such fees shall be deducted and withheld from wages or otherwise passed on to the Employees.
9. Where required by law, Employees shall be provided with a written employment contract outlining the terms of employment, in a
language understood by the Employee. (Costco)
10. Pregnancy or HIV tests, or birth control, shall not be required as a condition of employment. (Costco)
11. Employees’ legal status shall be verified. Only Employees with valid work authorization issued by an appropriate legal authority
shall be hired. (Costco)
12. Employee terminations shall be in full compliance with the law and copies of termination records shall be maintained. (Costco)
13. Employees’ age documentation shall be verified, and where allowed by law, copies of such documents shall be maintained for each
Employee. (Costco)
 (SMETA)
1. Can workers voluntarily leave their employment after reasonable notice with no monetary penalties for leaving including withholding
of bonuses already earned?
2. Is there a process in place for workers to receive their final salary payment if they do not return e.g. after Chinese New Year?
3. Are there any clauses in contracts that would restrict workers leaving?
4. Are there any financial arrangements either personal or for family members or dependants e.g. loans which would restrict workers
leaving?
5. Do security guards’ contracts clearly state their duties and set appropriate limits on the way they interact with workers to ensure that
they are not used to restrict workers’ movements?
6. How does the site handle privacy rights of workers e.g. are there any workers under constant surveillance and if so, how is privacy
handled?
7. Are workers free to leave at the end of their shift and not unreasonably delayed by e.g. security checks?
8. Are workers free to communicate with external individuals including family members etc.?
9. Are workers free to refuse overtime and if so what procedures are in place?
10. Did migrant workers have to pay any fees, taxes, deposits or bonds?
11. Is there evidence that employers provide workers with the necessary documentation to leave employment / country e.g. exit visa’s
etc.?
12. The probationary periods do not exceed the law.
13.1 To every extent possible, work performed must be on the basis of recognised employment relationships established through
national law and practice.
14. Obligations to employees under labour or social security laws and regulations arising from regular employment relationships shall
not be avoided through the use of labour-only contracting, sub-contracting, or home-working arrangements, or through apprenticeship
schemes where there is no real intent to impart skills or provide regular employment, nor shall any such obligations be avoided through
the excessive use of fixed-term contracts of employment.
15. Businesses have full understanding of the entire recruitment process including all labour recruiters and intermediaries in terms of
required legal and/or ethical requirements.
16. There are effective management systems in place to identify and monitor the hiring and management of all migrant workers,
contract, agency, temporary or casual
labour.
17. Employment agencies must only supply workers registered with them.
18. No workers pay recruitment fees at any stage of the recruitment process.
19. Workers’ contracts accurately reflect the agreed payment and terms in the recruitment process and are understood and signed by
workers.

1. No one is locked in or guarded for the purposes of preventing exit from the facility. (McDonalds)
2. Workers are allowed to leave their employment at any time, without being penalized financially and without potential loss of
residency. (McDonalds)
3. Workers do not feel threatened or afraid that something bad will happen to them or their families if they leave their job. (McDonalds)
4. Workers feel free to leave the workplace at the end of the working shift. (McDonalds)
5. Workers are free to move around the workplace, take restroom and water breaks when needed. Permission is given to leave the
facility under reasonable circumstances, such as for personal or family emergencies, without disciplinary penalty. (McDonalds)
6. Sites producing for the Customer have not sourced from and are not on a publicly-available national governmental list or registry that
documents forced labor violations. (McDonalds)

nefits and Compensation

(GRASP)
1. Documented evidence that the payment is made in defined intervals (e.g. pay slips or pay registers) is available for the employees
(random checks).
2. "Pay slips or pay registers indicate that payments are made in accordance with the working contracts (e.g. employee´s signature
on pay slips, bank transfer etc.)."
3. The records of payments are kept for at least 24 months.
4. Pay slips or pay registers give clear indication on the number of compensated working time or harvested amount including
overtime (hours/days).
5. Wages and overtime payments as shown in the records are according to the contracts and indicate compliance with national labor
regulations (minimum wages), and/or collective bargaining agreements as specified in the GRASP National Interpretation Guideline.
6. Independently from the calculation unit, pay slips/pay registers document that employees gain in average at least the legal
minimum wage within regular working times (especially check when piece-rate is implemented). If there are deductions from salaries
and employees are being paid below minimum wage, the deductions must be justified in writing.

(FSA)
1. Ensure a fair work load, regularly paid wages meet the minimum required under local and national laws, and provide fair labour
conditions such as paid holiday leave, paid sick leave, paid parental leave.
This includes:
1.1. National law and/or international standards (ILO Conventions) for paid holiday leave, paid sick leave, and paid parental leave for
your permanent and temporary workers are followed. This includes:
- Holiday leave is not used as a substitute for sick leave.
- Permanent employees have at least two weeks of paid leave per year (or equivalent for shorter contracts).
1.2. Wages and benefits of permanent and temporary workers meet or exceed the minimum required under local and national laws and
are paid on a regular basis.
2. Piece rate systems are monitored to ensure that the total salary paid meets the requirements of a sufficient wage.
3. Prevent discrimination of permanent and temporary workers.
This includes that workers:
3.1. receive appropriate payment for their tasks and abilities while having equal work opportunities. This means that the same skill
level, experience, type of work, and level of responsibility is rewarded in the same way and that workers performing the same tasks
have the same possibility to get promoted. This shall be checked with labour contracts and pay slips.

(Costco)
1. Employees shall be paid at least the legal minimum and overtime wages for hours worked.
2. Wages shall be paid at least monthly or on a legally required schedule, whichever is more strict. Wages shall be paid directly to the
Employee, or if the Employee has agreed otherwise, paid directly into an Employee- controlled account. An itemized wage statement
for all Employees shall be provided, which, at a minimum, shall include pay period, wages earned for pay period, rate of pay, regular
and overtime hours worked, deductions, and benefits.
3. Unless required by law, there should be no other deductions from wages.
4. Employees shall be provided all legally mandated benefits, including Social Security, parental leave, annual leave, sick leave and
statutory holidays.
5. Accurate payroll and production records shall be maintained.

(Kerry)
1. Employees are fairly compensated and comply with all applicable wage according to the regulations of the country in which they
operate.
(ALDI)
1. As a minimum, our suppliers and business partners shall comply with the wages mandated by the government’s minimum wage
legislation, or industry standards approved on the basis of collective bargaining, whichever is higher. The use of overtime is intended
only as an exception, voluntarily, and paid at a premium rate. Wages are to be paid in a timely manner, regularly, and fully in legal
tender. The level of wages is to reflect the skills and education of workers and shall be based on regular working hours.
(McDonalds)
1. Minimum wage is paid to everyone according to local/national law, or industry benchmark if local law is silent.
2. Wages paid meet legal requirements on compensation.
3. Regular and overtime working hours are paid as per local/national laws, collective bargaining agreements, individual employment
contracts, and applicable overtime agreements
4. Workers are paid on time and in full each pay period, as per law.
5. Workers are paid directly or pay is sent to a bank account under the worker’s name. Cash payments are acceptable as long as the
worker signs to verify receipt.
6. Payroll receipts are provided to all.
7. Payroll receipts clearly indicate regular and overtime hours, compensation and benefits, taxes, deductions, and allowance, are
designed in accordance with local laws, and in the language(s) of the workers.
8. Statutory benefits are provided in accordance with local/national law, including but not limited to retirement benefits, severance pay,
health insurance, social insurance, leave (i.e., annual, family, sick, maternity/paternity, etc.), and holidays.
9. Facility pays legally mandated withholdings to the appropriate government agency (agencies).
10. Facility maintains and/or ensures that they have a process to access and make available complete payroll records, including correct
wage calculation including hourly, piece rate, agency, and subcontract workers, etc.
11. If an approved government issued waiver was obtained for extending working hours, the hours and wages for the total working
hours are calculated and paid correctly.
12. If allowed by law, deductions made from wages (e.g., food, housing, utilities) are reasonable. All people, including local and migrant
workers, are able to opt out of these benefits unless they are mandated by law. In absence of law, total combined charges for food,
housing, utilities should be no more than 50% of minimum wage and must be outlined in work contract.
13. The facility has postings on wages and benefits, as required by law.
14. There is an internal audit process to ensure that wages are calculated correctly.
15. The facility tracks and analyzes trends of errors in wage calculations, and identifies root causes for the prevention of these issues in
the future.
(SMETA)
1. Wage deductions, any deposits or withholdings (other than mandatory e.g. tax and social insurance) to establish:
a. Are there any deductions – please give full details, including exact details of any voluntary deductions (although they may meet the
law they may not meet the code).
b. That there is a written agreement to the deduction, which meets the law and is signed by the worker.
c. That any deductions do not reduce wages to below minimum legal wage.
d. Whether deductions are for disciplinary reasons and whether this is legal.
e. That deposits are not taken for workplace essentials such as PPE.
f. That deposits are not a compulsory condition of gaining employment.
g. That any agreed (by the worker) and withheld deposits/withholdings are returned to the worker as appropriate.
h. That there are no other deductions when commencing, during, or as a condition of employment.
i. Are there any fees charged for accommodation and if so, is this voluntary (worker can choose whether to be in this accommodation or
not) and at a fair market price?
j. All outstanding payments to workers are made on termination of employment
2. Wages and benefits paid for a standard working week meet, at a minimum, national legal standards or industry benchmark
standards, whichever is higher. In any event wages should always be enough to meet basic needs and to provide some discretionary
income.
3. All workers shall be provided with written and understandable information about their employment conditions in respect to wages
before they enter employment and about the particulars of their wages for the pay period concerned each time that they are paid.
4. Deductions from wages as a disciplinary measure shall not be permitted nor shall any deductions from wages not provided for by
national law be permitted without the expressed permission of the worker concerned. All disciplinary measures should be recorded.
5. Whether all hourly/weekly/monthly paid orkers as well as any piece rate workers are paid at least the legal minimum wage rate
(usually stated for standard hours
excluding overtime).
6. Where it is legally permitted to pay e.g. apprentices/trainees less than the legal minimum wage, does the site employ these
categories of workers and are they paid correctly.
7. Where any workers are paid below the minimum rate the auditor should record the amount and detail how wages compare with any
accepted living wage as well as legal minimums.
8. Where any workers are found to be earning below the minimum legal wage, the auditor should record, where possible, what % of the
total workforce is affected.
9. Whether wages are periodically reviewed.
10. Whether there is a system to assess and ensure wages are fair and meet the basic needs of the worker and to provide some
discretionary income.
11. Whether overtime wage rates are paid at the legally required rate for e.g. weekly overtime, weekly rest day overtime, public holiday
and annual leave overtime. Where
there is no legal requirement for premium pay, check that the premiums are in line with industry best practice and record the actual
overtime premium paid including if
no overtime premium paid, also whether any premiums are paid only on certain days e.g. only on rest days/only weekends etc.
12. Where local law allows overtime pay below 125%, this must be recorded in the SMETA Audit Report. Where less than 125% is
permitted by law and the site is paying less than 125% premium for overtime, the exact overtime premium paid should be recorded on
the SMETA report in the appropriate boxes.
13. The auditor should also state if there are specific conditions under which less than 125% is being paid e.g.
a. It is allowed by law.
b. Was it collectively bargained by representatives of the workforce.
c. Are workers paid consolidated wages, i.e. higher than minimum wages for all hours but the same rate for standard hours and
overtime hours.
d. Whether this is written into the contracts and understood by the workers.
14. Sedex Stakeholder Forum strongly recommends that less than 125% OT paid is raised as a non-compliance against the ETI Base
Code, even where it meets the law. The intention is to retain visibility of less than 125% on the Sedex system, to allow the supply chain
to further investigate the situation and agree if any corrective action is required. Where there is significant evidence that workers are
NOT disadvantaged by lower OT premiums, a suitable corrective action maybe “disc used and agreed as acceptable with the
customer” if all parties agree with this, the non-compliance could then be closed on a follow-up. However, this must remain visible for
future customers.
15. In cases where there is a locally accepted living wage, auditors shall clearly report what the amount is and how it has been
calculated e.g. market basket of goods etc.
16. Whether all legally required allowances and benefits are provided to workers e.g. social insurance.
17. Whether any legally allowed deductions are correctly calculated such as social security payments, union dues etc. and promptly
paid to the appropriate agency e.g. government/unions.
18. Check that wages are not withheld as a deposit and auditor should state the law in relation to this.
19. Check whether wages are reduced or deducted as a form of punishment and if yes, is this in line with national law.
20. Carry out wages review in conjunction with the hours review and check the calculation for wages to ensure accuracy and that
wages are in agreement with hours worked and the law. Evidence should be crosschecked through worker interview.
21. Whether all workers are given written and understandable information about their employment including wages and hours before
they enter employment and that they receive understandable information of their pay for each pay period.
22. Whether there is a system in place to ensure workers receive final salary payments especially after unplanned leaving such as after
Chinese New Year.
23. Whether workers are paid regularly and in line with the law. If there is a legal requirement for a minimum wage to be paid in every
pay period, does this occur.
24. How they are paid e.g. by cash, cheque, bank transfer and not any non-monetary means.
25. Check a minimum of 3 pay periods, Peak, Current/Most recent and Low/Random applying the full sample size to each period.
26. Whether any legally allowed deductions for e.g. housing food etc. reduce wages to below minimum wages and whether this
contravenes the law.
27. If deductions are made for company loans, check they are lawful and that there is correct loan accounting shared with the
employee.
28. Check contracts to establish that:
a. There is a signed copy or letter of engagement for each worker (signed by the worker).
b. Workers have an understandable copy.
c. It includes job description, terms and conditions, length of contract, any probationary period, leave, notice period, pay, hours,
discipline and grievance procedures.
29. Check payslips to establish:
a. Wage rates paid – normal and overtime – meet at least the legal required minimums.
b. Number of hours worked (including standard and overtime hours).
c. Method of calculating wages.
d. Frequency of wage periods and timing of wage periods.
e. Method of payment.
f. Any deductions/withholdings e.g. tax, social insurance, rent, transport etc. meet legal and code requirements.
g. Whether understandable to workers.
30. Check personnel files to establish:
b. That legally allowed deductions have a signed agreement from the worker.
c. Any disciplinary records e.g. for unacceptable behaviour/conduct.
31. Check any agency agreements for workers provided by labour providers.
a. Agreements between the site and the labour provider, which state individual responsibilities.
b. Agreements between each appropriate worker and the labour provider.
c. Check that rates paid to the agencies/ labour providers are sufficient to pay agency workers all legal wages as well as agency costs.
32. Where it is not possible to verify accuracy of wages and hours records e.g. because of discrepancy with worker testimony or
production records, auditors should make it clear to management that fraudulent records are seen as a more serious issue than correct
records which do not meet the standard. Sites should be encouraged to show accurate records to allow for an open and frank
discussion with customers on how they can work together to make improvements.
33. Where the discussion fails to reveal correct records the auditor should record management explanation of why the discrepancy
occurred.
35. Whether all workers (include all types of workers e.g. permanent, casual temporary, agency, part time etc.) understand:
a. How their wages are calculated and the pay rates.
b. Whether there are any deductions taken from their wages and if so how much and what for.
c. Whether they are aware of any deductions or fines and have they agreed to them.
d. Do they pay deposits for any type of necessary work equipment and if yes, how is it returned to them.
e. Their wage slips – do they get them and do they understand them.
f. Whether they pay any social insurance and if yes, do they know what it covers.
36. Whether they are financially stable and are able to earn enough to cover expenses and have some discretionary income.
37. How they receive their wages, e.g. cash, cheque, bank transfer and are they paid on time.
38. Are they able to take legally mandated leave and is it paid according to law, e.g. annual leave, maternity leave.
39. If any have loans from their employer, have they signed an agreement and do they believe the terms and conditions are fair.
40. Are they aware of any of their wages being kept as a deposit. If yes, do they know how this will be returned to them.
41. Do they have a copy of their contract and did they sign it.
42. Were they aware of the terms and conditions before commencing employment.
43. Do they know how they will receive their final salary settlement if they decide to leave e.g. after Chinese New Year.
44. In the case of any fixed term or agency workers – are they given opportunities to apply for permanent positions.
45. Workers benefits extend beyond what is expected, site offers workers additional benefits: for example, free lunch/meals, sports
facilities, transport to work etc.
46. Where the site has calculated a living wage using a methodology from a credible source, and this wage is paid or exceeded.
47. Workers receive a guaranteed annual bonus.
48. Site supports workers to set up bank accounts and trains workers on good personal financial management (note the site should not
give individual financial advice but guidance on good practice).
49. Site provides additional benefits such as free transportation, meals etc.
(GRASP)
1. A time recording system is implemented, appropriate to the size of the company (e.g. time record sheet, check clock, electronic
cards, etc.).
2. The records indicate the regular working time for employees on a daily basis.
3. The records indicate the overtime hours as defined by contracts per legislation for all employees on a daily basis.
4. The records indicate the breaks/festive days for the employees (on a daily basis).
5. The working records are regularly approved by the employees (e.g. regularly signed record sheet, checking clock).
6. Access to these records is provided to the employees’ representative(s).
7. The records are kept for at least 24 months.
8. Information on valid labor regulation and/or collective bargaining agreements regarding working hours and breaks is available (e.g. in
the GRASP National Interpretation Guideline).
9. Working hours including overtime as shown in the records indicate compliance with legal regulations and/or collective bargaining
agreements.
10. Rest breaks/days as shown in the records indicate compliance with national regulations and/or bargaining agreements.
11. If not regulated more strictly by applicable legislation, regular weekly working time does not exceed 48 hours. During peak season
(harvest), weekly working time does not exceed 60 hours.
12. The records indicate that rest breaks/days are also guaranteed during peak season.

(FSA)
1. Ensure a fair work load, regularly paid wages meet the minimum required under local and national laws, and provide fair labour
conditions such as paid holiday leave, paid sick leave, paid parental leave?
This includes:
a. Daily working hours do not exceed max. number of hours set by national regulations and ILO Conventions: [Reference: ILO
Conventions C1, C14, C30 and C106], this includes that:
- Working hours are limited to 48 hours (or less) per week.
- Overtime does not exceed 12 hours per week, unless agreed and overtime is not forced.
- Employees are given reasonable breaks while working and sufficient rest periods between shifts. Breaks are strategically scheduled
so that no employee is required to work for extended periods of time during a shift without a rest period.
- Employees can use toilet facilities whenever necessary.
- Workers are given at least 24 consecutive hours of rest every seven day period.
b. Overtime work is voluntary and compensated according to national legislation. If deductions from wages take place this should be
clear to workers and never be used for disciplinary purposes. The producers' and employees' representatives have knowledge about
this and access to valid labour regulations and working hours. Procedures about how to inform workers on deductions should be in
place.

(Costco)
1. Employees’ combined regular and overtime working hours shall not exceed legal limits or 60 hours per week, whichever is more
strict. Exceptions to this requirement must be in compliance with the law and only due to exceptional circumstances, such as work that
is continuous in nature or in the event of an emergency. Employees shall be informed about overtime obligations prior to time of hire
and in advance of the overtime shift, and be allowed to refuse to work overtime without punishment, penalty or disciplinary action.
Where required by law, overtime waivers approved by appropriate legal authority must be obtained.
2. At least one day off in a seven- day workweek shall be provided.

(Kerry)
1. Employees are fairly compensated and comply with hours laws according to the regulations of the country in which they operate.
(McDonalds)
1. Workers are free to decline overtime work, and without monetary disciplinary action.
2. Workers are aware of the overtime policy upon hire: communicated expected overtime hours per day/ week/ month, conditions, and
procedures to opt out.
3. Workers do not work more than 21 consecutive days.
4. Workers do not work more than 18 consecutive hours.
5. Regular and overtime hours are within allowable limits under applicable law and/or collective bargaining agreement.
6. Total working hours do not exceed 80 hours in a work week, regardless of law.
7. Rest and meal breaks are provided in line with local law, employee contracts, and applicable collective bargaining agreements.
8. The facility provides at least one (1) day off of 24 consecutive hours every seven days, with no more than 12 consecutive days of
work with one (1) rest day at the beginning and one (1) rest day at the end of a two (2)-week period being permitted. If law, the
employment contract, or collective bargaining agreements are more stringent, then the more stringent requirement should be followed.
Special restrictions are respected for protected groups, such as pregnant workers, workers with disabilities, with regard to working
hours, rest days,
9. Facility has a system in place to record working hours accurately and consistently.
10. If a manual time system is used, people acknowledge personally the manual recording of actual working hours by signature or
initials at least once per week ( tick or other symbols are not acceptable).
11. The facility tracks and analyzes trends in excessive working hours, identifying the root cause, to prevent these issues from
occurring in the future.

(SMETA)
1. Working hours must comply with national laws, collective agreements, and the provision of 6.2–6.6 below, whichever affords the
greater protection for workers. Sub clauses 6.2 – 6.6 are based on International Labour standards.
2. Working hours, excluding overtime, shall be defined by contract and shall not exceed 48 hours per week*.
3. All overtime shall be voluntary. Overtime shall be used responsibly, taking into account all of the following: the extent, frequency and
hours worked by individual workers and the workforce as a whole. It shall not be used to replace regular employment. Overtime shall
always be compensated at a premium rate, which is recommended to be not less than 125% of regular rate of pay.
4. The total hours worked in any 7-day period shall not exceed 60 hours, except where covered by clause 6.5 below.
5. Working hours may exceed 60 hours in any 7-day period only in exceptional circumstances where all of the following criteria are met:
• This is allowed by national law.
• This is allowed by collective agreement freely negotiated with a workers’ organisation representing a significant portion of the
workforce.
• Appropriate safeguards are taken to protect the worker’s health and safety; and
• The employer can demonstrate that exceptional circumstances apply such as unexpected production peaks, accidents or
emergencies.
6. Workers shall be provided with at least one day off in every 7-day period or, where allowed by national
(SMETA)
7. Are there policies and procedures which cover:
a. Terms of employment, standard work hours and days, rest days/leave entitlement.
b. Overtime requirements and pay.
c. Discipline and grievance procedures for lateness and other hours issues.
d. Where deductions are made for lateness, what is the amount and does this correctly reflect time not worked.
e. Special terms and conditions for young workers (under 18 years), pregnant women, nursing mothers, if a legal requirement.
f. Re-work procedures.
g. Shift schedules.
h. New recruits and training hours.
i. Method of recording hours worked.
8. Workers contracts or letters of engagement for:
a. Required or contracted/standard work hours. These should not exceed 48 hours per week or the law, but if the law allows, the
company and worker may agree to work a lower level as standard with the ability to request flexible working up to the legal maximum or
48 hours per week. Where national law and the workers contract allows for working hours to be averaged over a number of weeks, the
auditor should take this into account in their assessment of the required working hours.
b. Rest day and holiday entitlement.
9. Overtime requests and conditions. Overtime premiums which do not meet the law must always be recorded as a noncompliance.
10. What is the method for recording of hours, is it accurate and are there any signs of falsified records (e.g. double books).
11. Do records of hours worked separate standard/contracted hours and overtime hours.
12. Review the hours and wages records of all employees selected for individual interview. The additional number of records required
to meet the recommended sample size to be taken from the wider population of workers, taking care to include different work sections
and worker levels (but excluding supervisors and managers). An adequate sample size is dependent on the risks of the country and
industry. However, as a minimum, 10 records for up to 100 workers (10% of the workforce) should be reviewed, and thereafter numbers
for each pay period selected should be as described in ‘6.5.3 Audit Length, Sample Size and Timetable’ in the ‘SMETA Best Practice
Guidance’.
(SMETA)
13. Where required or standard/contracted hours and/or overtime hours exceed the legal maximum this must always be recorded as a
non-compliance against the law.
Non-compliance must be recorded also when the total hours worked per week exceeds a maximum of 60 hours per week unless the
conditions meet the terms of ETI Base Code Clause 6.5. The auditor must be very clear when writing the audit report, what the exact
situation is and the audit report has been modified to make this possible. If the law allows more than 60 total hours per week and if
hours greater than 60 per week are found, auditors should:
a. Review the frequency of this and the number of workers affected (see new hours table) and whether the conditions under which
companies may exceed 60 hours per week as described in code 6.5 apply e.g.
• National law allows this;
• A collective agreement allows this which was freely negotiated with a workers’ organisation representing a significant portion of the
workforce;
• Appropriate safeguards are taken to protect the workers’ health and safety; and
• The employer can demonstrate that exceptional circumstances apply such as unexpected production peaks, accidents, or
emergencies. In this case the issue should be stated as an observation only and the full conditions established i.e. for hours exceeding
60 hours per week, in order to record an observation ALL the above criteria should
be met.
•The auditor must record in the observation box, how the above criteria have been established and substantiated. If one or more of the
above criteria are not fulfilled, this must be raised as a noncompliance.
b. Review any communication with clients concerning reasons for this and their management processes (record this as a good
example).
c. Check if there is evidence for overtime being used to make up for labour shortages and discuss why this is necessary rather than
employing more workers.
d. If workers cannot be hired, how is the site exploring options to ensure that overtime is minimized.
14. Review of records from the relevant sample to include and report on (e.g. in ‘Current Systems and Evidence Examined’):
a. Full 12 months’ hours and wages records in conjunction with time cards and individual pay records (or a 12-month cycle for seasonal
work).
b. Report on all records analysed of
the standard/contracted workweek, overtime hours and any holiday or rest day working.
c. Check whether breaks, holidays and rest periods are in line with the law.
d. Where overtime hours exceed the national law but are within any waivers obtained, it is important to review a 12-month cycle
(waivers often permit “annualised hours” i.e. a maximum number of overtime hours per year).
e. Where possible, auditors should check legality of local waivers – are they signed and by whom.
15. For completing the detailed wages and hours records within the audit report, the auditor should:
a. Record the TOTAL number of records reviewed.
b. In all cases for wages and hours recording, it is important to state the units and time interval covered, e.g. per day, per week, per
month, per year etc.
c. Find and report on the highest number of hours worked amongst all workers. Record the hours (what is the range of actual hours
worked – what is the company’s average).
d. Record the number of workers that are working the highest hours. Clearly state the actual hours found. Record the extent of the
working hours reviewed, are there any individuals who have higher working hours than others, are there any high working hours by
(SMETA)
16. Are there management systems in place to allow workers to volunteer for overtime (note this as good practice).
17. Review contracts and all terms and conditions for signs of compulsory overtime or hours required to finish the job or compulsory
production quotas that cannot be reasonably completed within the standard/contracted workday. Also, check for collective agreements
concerning overtime agreements.
18. Check working hours against pay records to ensure no inconsistencies.
19. Examine quality records and production records such as broken needle reports, accident reports etc. to cross-check hours’ records.
20. Where inconsistencies are noted, management shall be invited to provide accurate records as soon as these start to be discovered.
An investigation should be undertaken to establish the underlying cause and whether this is due to poor record keeping, isolated
incidents or repeated occurrences. Sufficient detail should be provided in the audit report. Auditors should make it clear to management
that fraudulent records are seen as a more serious issue than correct records which do not meet the standard. Sites should be
encouraged to show accurate records to allow for an open and frank discussion with customers on how they can work together to make
improvements.
21. Where the discussion fails to reveal correct records, the auditor should record the management’s explanation of why the
discrepancy has occurred.
22. Where the auditor cannot verify records, it is essential to at least complete the wages and hours analysis table with the individual
records available. Gather evidence to ascertain the facts and also the context of any inconsistencies found.
23. Auditors should encourage the management to consider the root causes of excessive work hours. Auditors should capture the view
of management on the above and other contributors in the appropriate section of the SMETA audit report e.g. under the Working Hours
Analysis table ‘Comments: (Please state here any specific reasons/circumstances that explain the highest working hours)’. Wherever
possible the management should provide proof of their statements – this will be useful to customers as they begin to examine how they
can support their suppliers in reducing working hours.
24. Where standard hours or overtime hours exceed the legal maximum, this must always be recorded as a non-compliance against
the law.
25. What are their standard/contracted/ required hours and do workers understand this.
26. How are they recorded: if a punch card or swipe card system is used, do they do it themselves; If a paper based system is used, do
the workers sign to corroborate the records.
27. If remote logging of hours is undertaken, how is this verified by the workers. What systems exist to handle disagreements over
hours.
28. Are workers able to leave the facility after their required or contracted/standard workday (e.g. if transportation is provided, is it
available for workers who do not perform overtime).
29. What are their overtime hours and how often do they work overtime.
a. What do you think are the reasons for working overtime hours. Are they explained by management.
b. What are their overtime hours and whether they feel comfortable and able to refuse overtime.
c. Is there a process/records to show workers have given separate consent for all overtime (OT) worked.
30 Are they aware of any collective agreements concerning overtime and how these have been agreed.
31. Have they ever worked without recording their hours.
32. Are overtime hours ever paid in cash without being recorded.
33. Is there a separate system for recording overtime hours and if so what is it.
34. During what part of the year is the site busiest.
35. What breaks to they get during the day and are they sufficient to eat and rest.

1. Child labor is prohibited.

2. Dates of birth on the records show that no employee is aged below the legal minimum age of employment.
3. Facility reviews, validates, and/or has a process to maintain legal proof of age documentation, upon hire.
4. The use of legitimate workplace apprenticeship programs, which comply with Applicable Laws and Regulations, are permitted.
(Costco), McDonalds)
4.1. Employees under the age of eighteen (18) shall not perform hazardous work that may jeopardize their health, safety or morals.
Hazardous work includes, but is not limited to: work at dangerous heights or in confined spaces; work with hazardous substances,
dangerous machinery, equipment and/or tools; work that involves the manual handling or transport of heavy loads; and night work.
5. There are policies and procedures in place to prohibit the hiring of underage labor, and the assignment of hazardous or overtime
work to young workers. (McDonalds)
 1. All employees are treated fairly, honestly, and with respect; Any form of forced and bonded labour is prohibited.
2. All Employees shall work on a voluntary basis and not be subject to any exploitation, such as forced, bonded and indentured labor,
or sexual exploitation. Employees shall not be subject to any forms of coercion, fraud, deception, or giving up control of their person to
another for the purpose of such exploitation. (Costco)
3. Employees shall not be mandated to work overtime hours or complete production quotas that result in a violation of legal working
hour requirements. Employees shall maintain possession or have control of personal identity and travel documents. Employees’
freedom of movement shall not be restricted, nor shall Employees be prevented from terminating employment. Wages shall not be
withheld except as mandated by law. (Costco)
4. Employment relationships are voluntary and based on mutual consent, without the threat of a penalty. (FSC)
5. There is no evidence of any practices indicative of forced or compulsory labor, including, but not limited to, the following: (FSC)
• physical and sexual violence
• bonded labor
• withholding of wages /including payment of employment fees and or payment of deposit to commence employment
• restriction of mobility/movement
• retention of passport and identity documents
• threats of denunciation to the authorities.
6. Workers are not required to lodge “deposits” or their identity papers with their employer and are free to leave their employer after
reasonable notice. (SMETA)

ion, Harassment & Abuse

(FSA)
1. Ensure a safe, secure working environment in terms of social behaviour and treat workers with respect.
1.1. Documentation shall be available for all aspects covered by the procedure, which shall include at least the following:
- Preventive measures to ensure that behaviour, gestures, language, and physical contact are not sexually abusive, coercive, or
threatening.
2. Prevent discrimination of permanent and temporary workers?
2.1. This includes that workers:
- Have the right to freely practice their religion and fulfil needs relating to cultural background, disability, gender, and sexual orientation.
This can be assured with:
- agreements with workers on special days, needs regarding food, etc.
- interviews with workers.
2.2. Receive appropriate payment for their tasks and abilities while having equal work opportunities. This means that the same skill
level, experience, type of work, and level of responsibility is rewarded in the same way and that workers performing the same tasks
have the same possibility to get promoted. This shall be checked with labour contracts and pay slips.

(Costco)
1. All Employees shall be treated with dignity and respect. Physical, sexual, verbal or mental abuse, coercion or threats, corporal
punishment, or any form of harassment during hiring or employment is prohibited.
2. Abusive security practices, including opposite sex frisking and removal of clothing, is prohibited.
3. Discrimination in hiring and employment practices based on race, color, religion, gender, age, national, social or ethnic origin,
maternity, sexual orientation, gender identity or expression, political opinion, disability, marital status, or any other status or personal
characteristic shall not be allowed.
4. Employee medical tests that can be used to discriminate in hiring or employment practices shall not be required.
5. Employees who wish to join or not join trade unions and to bargain collectively shall not be discriminated against based on such
associations.

(Kerry)
1. All employees are treated fairly, honestly, and with respect - no child labour, forced labour, discrimination, harassment, etc to be
observed.
(FSC)
1. The organization shall ensure that there is no discrimination in employment and occupation.
2.1 Employment and occupation practices are non-discriminatory.
(ALDI)
1. We will not tolerate any form of discrimination in hiring, remuneration, access to training, promotion, termination or retirement based
on gender, age, religion, race, caste, social background, ethnic and national origin, disability, nationality, membership of workers’
organisations, political affiliation, sexual orientation, or any other personal characteristics. Workers shall not be harassed or disciplined
on any of the grounds listed above.
(McDonalds)
1. Facility is free from discrimination in the areas of recruitment, training, working conditions, job assignment, standard wages, non-
standard wages such as bonuses, opportunity to work overtime, benefits, promotions, discipline, termination, and retirement in these
areas: race, color, age, gender, gender identification and expression, sexual orientation, ethnicity and national origin, disability,
pregnancy, religion, political affiliation, union membership, marital status, medical condition, or any other personal characteristics.
2. Facilities should ensure all are treated equally regarding benefits, dormitory, and/or canteen/cafeteria privileges.
3. There is an anti-discrimination policy that prohibits discrimination on the basis of any attributes including: race, color, age, gender,
gender identification and expression, sexual orientation, ethnicity and national origin, disability, pregnancy, religion, political affiliation,
union membership, marital status, medical condition, or any other personal characteristics.
4. There are procedures that ensure that decisions made on hiring, working conditions, job assignment, salary – including bonuses,
promotion, opportunity to work overtime, benefits, discipline, termination, and retirement, are based on suitability for the job, merit, and
job performance, rather than personal characteristics.
5. The facility has communicated the general anti-discrimination policy to all working onsite; the facility has also communicated to
relevant staff, such as managers, Human Resources, etc., additional specific requirements on anti-discrimination that are relevant to
their work.
6. Facility is free from sexual, psychological, and physical harassment and abuse; intimidation; verbal harassment; and bullying.
7. Security practices are gender-appropriate and non-intrusive.
8. Unwanted sexual attention does not occur.
9. There is an anti-abuse policy at the facility that covers sexual, psychological, and physical harassment and abuse; intimidation;
verbal harassment; and bullying.
10. The facility has communicated the general anti-abuse policy to all working onsite; the facility has also communicated to relevant
staff, such as managers, Human Resources, etc., additional specific requirements on anti-abuse that are relevant to their work.
11. There is a documented procedure for reporting abuse that reminds all working onsite to file reports using the established grievance
mechanism.
(SMETA)
1. There is no discrimination in hiring, compensation, access to training, promotion, termination or retirement based on race, caste,
national origin, religion, age, disability, gender, marital status, sexual orientation, union membership or political affiliation.
2. Are there policies and procedures in place which cover the need for all workers to be treated equally in all matters of employment
and which cover:
a. Recruitment and employment.
b. Compensation (e.g. equal pay for equal work).
c. Access to training.
d. Promotion, benefits and advancements.
e. Termination and retirement.
f. Equal opportunities.
g. Discrimination based on race, caste gender, origin etc.
h. Any discrimination based on category of worker or type of contract e.g. agency, temporary, migrant and local workers.
i. And are these communicated to workers in relevant languages or suitably explained where literacy is low.
3. Checks that site practices follow established policies and procedures.
4. Examines the recruitment process for:
a. Systems for advertising and hiring new staff e.g. verify the language used in job postings and the list of job requirements.
b. How the workers are selected for interview.
c. How interviews are conducted – by whom and what questions are asked.
d. Policies and requirements for any health checks prior to employment with particular reference to pregnancy and HIV testing to
ensure they do not discriminate; this includes core workers as well as non-core such as cleaners, subcontractors, security guards.
e. Interview notes and application forms do not indicate discrimination e.g. asking female workers if they are likely to marry, asking
about union membership.
f. Checks contracts to examine potential discrimination e.g. requirement not to have children for a period.
5. Examines professional development systems:
a. On-going training is available to enable workers to progress.
b. Is there a clear progression path available for all workers.
c. An equal and clear fair selection criteria is in place for all promotions and benefits.
d. All selection criteria are applied in each case and documented.
e. If there is a bonus / benefits system, this is communicated transparently to all workers.
6. Examines the termination policies and practices.
a. Verify disciplinary and notice letters to workers.
b. Investigate why workers have left.
c. Examine termination conditions of any union members.
d. Review any patterns for dismissals relating to age, pregnancy etc.
e. Is there an exit interview and is it effective.
7. Check payroll records to ensure:
a. No pay inequality based on unfair or unlawful discrimination e.g. pay based only on age should be raised as a non-compliance – see
supplementary guidance
b. All workers receive all benefits to which they are entitled.
8. Check worker grievance procedures. Are there ways in which workers can report discrimination.
11. Are workers aware of any antidiscrimination policies at the site.
12. Whether workers feel discriminated against with regards to any aspect of their employment e.g. pregnancy tests.
13. Whether they are aware of any maternity or paternity benefits and whether they are aware of any workers who have been given
them and then returned to work afterwards.
14. Have they any experience relating to people reporting issues of discrimination and action taken as a result.
15. Do they know how to report discrimination and are they fearful of repercussions.
16. Are they able to take religious holidays or any other religious observations such as breaks for prayer
17. Sites, supervisors, management are comprised of approximately 50% male and 50% female.
18. Site offers ‘integration’ events – social activities that contribute to bringing unity to different cultures in the workplace.
19. Site employs disabled people and makes appropriate adjustments for access around the site.
20. Site has an effective diversity policy and procedures
21. Physical abuse or discipline, the threat of physical abuse, sexual or other harassment and verbal abuse or other forms of
intimidation shall be prohibited.
22. Companies should provide access to a confidential grievance mechanism for all workers.
(SMETA)
23. Any policies and procedures concerning disciplinary action e.g.
a. Disciplinary rules and actions.
b. Prevention of harassment/abuse/ intimidation.
c. Security practices: Reviews the contracts of any security guards as well as their job descriptions to ascertain likelihood of
harassment or extreme discipline (security should be used to keep the site safe i.e. intruders out, not keep workers in).
d. Record if any deductions from wages were made for disciplinary reasons. If legally allowed, report on whether they were clearly
documented and that the amount did not take workers below minimum legal wage.
24. Whether the site has a policy which includes non-retaliation, clear lines of accountability, roles, responsibilities and subsequent
reporting outcomes.
25. Check that policies and procedures are communicated and understood by all levels of personnel e.g. using posters, training, worker
handbook, other means when literacy is low.
26. Examines records of disciplinary and grievance activity and reports on actions/ outcomes.
27. Where unions/worker reps exist, check they are aware of the policies and procedures and have they agreed to them. Grievance
and appeal procedures. This should include but not be limited to checking and reporting on the below:
28. Is there a grievance mechanism in place and is it documented. The auditor gives details on the type of mechanism used e.g.
hotline, whistle blowing mechanism, comment box etc.
29. How is the grievance mechanism communicated and who has access e.g. workers only / business partners / wider community etc.
30. Is there a non-retaliation policy communication, training and governance monitoring process.

(SMETA)
31. Who oversees and monitors the grievance mechanism and have they had the relevant skills and training
32. Is the process transparent and accessible? Auditor reports and gives details.
33. What training (if any) is given and how is it recorded – especially to those employees working in stakeholder facing roles. The
auditor should check for any specific training for relevant management and workers.
34. Whether the grievance mechanism is accessible from multiple access points
35. Whether users of the grievance mechanism are kept informed throughout the process.
36. Whether the site records in a confidential manner details of grievances and their outcomes
37. Whether the site monitors the grievance mechanism’s effectiveness on a regular basis
38. Discusses with workers whether they think disciplinary procedures and practices are fair, non- arbitrary and effective.
39. Whether workers are aware of any disciplinary cases and what the outcomes have been.
40. Checks if workers are aware of any grievance action and what the outcomes of these appeals have been.
41. Checks with workers their view of the security guards (if applicable) and their role.
42. Checks with workers concerning anecdotal or other evidence of corporal punishment or of verbal or physical or mental coercion or
harassment.
43. Checks that workers are aware of any reporting mechanisms and feel free to use them
44. Checks that the workers are aware of any policies/procedures and if they are aware of their grievance rights.
45. Checks whether workers know of any complaints about inappropriate disciplinary actions and the outcomes.
46. Checks with union/worker reps whether they are aware of the disciplinary policies and procedures and whether they have agreed to
them.
47. Checks if workers know how to report any harsh treatment.
48. A scheme is in place that financially rewards staff to be respectful of each other
49. The grievance mechanism fulfils all UNGP requirement
 1. Written disciplinary policies and procedures and records of disciplinary actions for all Employees shall be maintained. Illegal or
excessive disciplinary actions or monetary fines are prohibited. (Costco)
2. All disciplinary procedures must be in compliance with local laws, be established in writing, and must be explained verbally to
workers in clear and understandable terms. The use of corporal punishment, mental or physical coercion, and verbal abuse is
forbidden. (ALDI)
3. Facility does not use monetary disciplinary practices. (McDonalds)
4. Facility consistently applies the discipline process. (McDonalds)
5. Facility complies with all applicable laws regarding disciplinary practices. (McDonalds)
6. Facility clearly communicates rules, regulations, and disciplinary process and procedures in language(s) understood by all, at the
time of hire, and updates this communication as required. (McDonalds)
7. Facility tracks disciplinary actions, analyzes trends in non-compliances that resulted in disciplinary action, identifies root causes for
these non-compliances related to training, and modifies training and communication to all to prevent future issues. (McDonalds)

/ Grievance & Suggestion Process

1. A documented complaint and suggestion procedure is available, appropriate to the size of the company. (GRASP)
2. Employees are regularly and actively informed about the complaint and suggestion procedure. (GRASP)
3. The procedure states clearly that employees will not be penalized for filing complaints or suggestions. (GRASP)
4. Complaints and suggestions are discussed in meetings between the employees´ representative(s) and the management. (GRASP)
5. The procedure sets a timeframe to resolve complaints and suggestions (e.g. during the next month). (GRASP)
6. The complaints, suggestions and their follow-up are documented and available for the last 24 months. (GRASP)
7. Ensure a safe, secure working environment in terms of social behaviour and treat your workers with respect; Documentation shall be
available for all aspects covered by the procedure, which shall include at least the following: (FSA)
7.1. Permanent and temporary workers can safely and without facing repercussions report complaints and these are documented
(registry of complaints);
7.2. Appropriate corrective actions (follow up) are taken accordingly.
7.3. Appropriate action may be investigation, reprimands, dismissal, and/or reporting to local authorities.
8. If allowed by law, an anonymous and confidential method for all Employees to raise concerns to senior level management at the
Facility without fear of retaliation shall be provided. Employees’ submissions and the progress of their resolution shall be tracked and
recorded. (Costco)
9. Workers can report suggestions and grievances anonymously. (McDonalds)
10. The facility fully investigates worker suggestions and grievances. (McDonalds)
11. The worker suggestion and grievance processes are effective and aligned with local law. (McDonalds)
12. There is no retaliation for workers that have reported suggestions or grievances. (McDonalds)
13. Worker suggestion and grievance processes are outlined in written policies and procedures in the language(s) of the workers.
Written policies and procedures include the following: (McDonalds)
13.1. What the worker making the suggestion or grievance can expect from the process.
13.2. Timeline for further communication.
13.3. Assurance of confidentiality in making the report.
13.4. Anti-retaliation policy.
14. There is/are person(s) identified to manage the worker suggestion and grievance processes. These processes also include input
from all levels of people to ensure that the processes function properly. (McDonalds)
15. The facility communicates the worker suggestion and grievance policies and procedures to all people in the relevant language(s).
(McDonalds)
16. The facility has an internal verification process to review the worker suggestions and grievances. This process analyzes trends in
suggestions/grievances to undertake corrective and preventative actions to address issues at the root. (McDonalds)
17. Where businesses have an adverse impact on Human Rights within any of their stakeholders, they shall address these issues and
enable effective remediation. (SMETA)
18. Businesses shall have a transparent system in place for confidentially reporting, and dealing with human rights impacts without fear
of reprisals towards the reporter. (SMETA)

Association and Collective Bargaining

(FSA)
1. Give all workers the right to establish, join, or actively participate in an association of their choice
1.1. This includes:
- Not opposing the effective functioning of labour organizations
- Workers are allowed the right of collective bargaining
- This will be checked through records, agreements with workers, and interviews with workers.
(Costco)
1. Employees who wish to join or not join trade unions and to bargain collectively shall not be interfered with, penalized or retaliated
against. Employees shall not be discriminated against based on such associations.

(Kerry)
1. Employees are free to join or refrain from joining workers' organizations.

(FSC)
1. The organization shall respect freedom of association and the effective right to collective bargaining.
2. workers are able to establish or join worker organizations of their own choosing their constitutions and rules.
3. The organization respects the full freedom or worker’s organization to draw up their constitution and rules.
4. The organization negotiates with lawfully establish workers to engage in lawful activities, related to forming, joining, or assisting
worker’s organization, or to refrain from doing the same, and will not discriminate or punish workers for exercising these rights
5. The organization fully negotiates with lawfully established worker’s organization and/ or duly selected representatives in good faith
and with the best efforts to reach a collective bargaining agreement.
6. Collective bargaining are implemented where they exist.

(ALDI)
1. Our business partners must respect the workers’ rights to freedom of association and collective bargaining. Workers’ rights include
the right to elect representatives or, where permitted by na-tional law, the right to form and join trade unions of their choice and to
bargain collectively. We do not tolerate discriminating practices against workers because of a trade union membership.

(McDonalds)
1. Facility does not require and/or discourage union membership as a condition of hire or continued employment.
2. Suppliers shall respect the rights of people to bargain collectively where such rights are established by law or contract
3. Representatives within the facility are freely elected without management interference, in accordance with local law.
4. Representatives in worker associations include non-management employees, if required by law.
5. Representatives are allowed to carry out activities relating to workers' rights and interests without management interference and are
given access to the workplace in order to carry out their representative functions, all in accordance with law.
6. There is a written policy in the language(s) of the workers on freedom of association and collective bargaining at the facility.
7. The facility communicates the policy regarding freedom of association and collective bargaining to the workers.
8. The facility has a system to stay up to date on legal requirements related to freedom of association and collective bargaining.
(SMETA)
1. Whether it is a legal requirement to have a union and/or a workers committee at the site and records which one(s).
2. Whether there is a site policy on freedom of association.
3. Checks whether management recognises and negotiates with any unions present.
4. Checks that management places no restriction on the establishment and growth of free and representative workers’ organisations –
including unions.
5. Where the right to freedom of association is restricted under law, workforce rights are recognised by organising parallel means e.g.
workers’ committees.
6. Where unions are legally allowed checks:
a. Whether there is a union on site.
b. If workers are free to join the union if they wish.
c. That union officials are freely elected and allowed to perform their functions – with paid time off if a legal requirement.
d. If the employer takes deductions for union fees, checks that workers have given written consent, that deductions are legal, recorded
on wage slips and paid to the union.
7. Where workers are represented by a union or workers committee checks:
a. Whether the worker representatives are volunteers and how they are elected.
b. That workers are aware of their union or worker representatives and of the issues that can be raised through them.
c. That the group which represents workers is independent of management and represents workers effectively.
d. The meeting minutes of both worker meetings and their meetings with management are published with agreed actions and
responsibilities.
e. What is the remit of the committee? Are there limitations on the scope of what they can discuss with management?
f. That management shows evidence of responding to concerns and proposals raised in the meetings.
g. Whether there is a collective bargaining agreement and if so what % of the workforce is covered?
h. What feedback arrangements are made for workers who do not wish to join the union e.g. other workers’ groups, suggestion box,
worker survey, confidential hot line.
i. Is there evidence of an active process of discussions and responses.
8. Where workers are not represented by a union or workers committee and the law allows, checks:
a. For any policies or procedures preventing workers from joining or forming a union.
b. The site’s attitude if workers wish to join or form a union.
c. How management and workers communicate in the absence of a union or workers’ committee.
d. Examines files to establish whether any disciplinary actions or sackings occurred for workers attempting to start or join a union.
9. Examines the personnel files of any union or worker representatives to check:
a. Whether there are any disciplinary records from management.
b. Any evidence of union or worker representatives being discriminated against.
c. Evidence of union members being dismissed.
d. Whether there is payment for time spent in a representative function.
10. Establishes whether there have been any strikes at the site and records the dates and circumstances – at least as observations.
11. Does the site train all workers on the importance of a freely elected worker committee.
 (SMETA)
12. Establish whether any workers are members of a trade union or are aware of a trade union on site.
13. Whether they feel free to join a union if they choose.
14. Whether workers are aware of their rights to organise and bargain collectively.
15. Are workers aware of whom their representatives are.
16. If workers elect their representatives freely, either for a union or a workers committee.
17. If workers are satisfied with their representatives and feel that they are effective.
18. Whether any policies and procedures have been communicated to workers by e.g. briefings, worker handbook and for nonnative
speakers or those of limited literacy what was the form of communication.
19. Whether collective bargaining agreements have been circulated to workers.
20. If workers are aware of any meeting minutes and actions resulting from committee/union meetings with management.
21. If facilities are provided for trade union activities.
22. Whether they know of any discrimination against worker reps.
23. Whether they are aware of any strikes/ industrial action at the site and if so record the circumstances.
24. Whether workers feel that their representative group is effective.
25. Interview worker representative’s / union representatives and check:
a. Are they free from management interference.
b. How were they elected and was it by the workforce.
c. Do they feel they are permitted to be effective.
d. Do they have facilities for union duties including paid time off.
e. Whether there are instances of reps being discriminated against or unfairly dismissed.
f. Whether they have been given any training on how to negotiate with management.
g. Whether they are able to communicate grievances to management including supporting workers in disputes between co-workers with
supervisors etc.
h. Are they able to negotiate with management including collectively bargaining.
i. How often do they meet with managers.
j. What topics are covered.
k. Who writes the minutes of the meetings and communicates these to the workforce.
26. The site invites trade unions on site on a regular basis and allow workers to freely choose to join a trade union.
27. The site trains all workers on the importance of a freely elected worker committee.
28. The site ensures that all Managers and Supervisors are trained to have the skills to listen and communicate on grievances with
workers.

1. Supplier and Facility shall only use legally recognized employment agencies with a current license and shall ensure that recruitment
of Employees, whether directly or indirectly, is in compliance with Applicable Laws and Regulations. (Costco)
2. Supplier is responsible for ensuring compliance with Costco’s Supplier Code of Conduct throughout the Merchandise supply chain.
(Costco)
3. All Facilities engaged in the production of Merchandise sold to Costco are required to be disclosed to and approved by Costco. The
failure to do so is considered Unauthorized Subcontracting. (Costco)
4. Facility shall only employ or contract home work practices consistent with Applicable Laws and Regulations. Facility shall document
and monitor all home work. (Costco)
5. Facility shall maintain a list of all entities, including Subcontractors and Home Workers, who produce or provide materials or services
that are incorporated into the manufacturing, processing, harvesting or production of Merchandise sold to Costco. (Costco)
6. Facility informs the Customer of use of a subcontractor for any part of the Customer’s production. (McDonalds)
7. There should be no sub-contracting unless previously agreed with the main client. (SMETA)
8. Systems and processes should be in place to manage sub-contracting, homeworking and external processing. (SMETA)

nt and Employee's Representatives and/or RGSP

1. The RGSP provides the employees´ representative(s) with the valid labor regulations (e.g. the GRASP National Interpretation
Guidelines). (GRASP)
2. RGSP and the employees´ representative(s) have knowledge about or access to the valid labor regulations on gross and minimum
wages and deductions from wages. (GRASP)
3. RGSP and the employees´ representative(s) have knowledge about or access to the valid labor regulations on working hours.
(GRASP)
4. RGSP and the employees´ representative(s) have knowledge about or access to the valid labor regulations on freedom of
association and right to collective bargaining. (GRASP)
5. RGSP and the employees´ representative(s) have knowledge about or access to the valid labor regulations on anti-discrimination.
(GRASP)
6. RGSP and the employees´ representative(s) have knowledge about or access to the valid labor regulations on child labor and
minimum age of working. (GRASP)
7. RGSP and the employees´ representative(s) have knowledge about or access to the valid labor regulations on holiday and maternity
leave. (GRASP)
8. The election/nomination procedure has been defined and communicated to all employees. (GRASP)
9. Documentation shows that the election and the counting of votes were carried out fairly and openly. In case of representative(s) not
elected but nominated, there is a document justifying why elections could not take place. (GRASP)
10. The results of the election (name of employees´ representative(s) or in case of council composition of the council) were
communicated to all employees. (GRASP)
11. The election/nomination has taken place in the ongoing year or production period. The representation is current (all
elected/nominated person(s) according to the list still working for the company). (GRASP)
12. The employees´ representative(s) is/are recognized by the management and a job description clearly defines his/her/their role and
rights. The employees´ representative(s) is/are aware of his/her/their role and rights (in case of an employees´ council, all members are
interviewed). (GRASP)
13. There is documentary evidence of regular meetings at accurate frequency between the employees´ representative(s) and the
management, where GRASP related issues are addressed. (GRASP)
14. Management representative is designated to ensure compliance with laws, including making sure everyone understands and
follows the Customer Expectations. (McDonalds)
15. Businesses should have a designated person responsible for implementing standards concerning Human Rights. (SMETA)
16. Suppliers shall appoint a senior member of management who shall be responsible for compliance with the Code. (SMETA)

1. Basic needs of employees are fulfilled, for example, access to clean toilet facilities and potable water. (Kerry, McDonalds, GGAP)
2. Adequate and clean toilet and hand washing facilities shall be provided with running water and necessary supplies. Such facilities
shall be well- lighted, ventilated, private and separated by gender. (Costco, McDonalds, GGAP)
3. Toilet facilities meet local hygiene requirements, and include sinks with running water and soap. (McDonalds)
4. Toilet facilities are cleaned and serviced regularly to ensure they remain in sanitary condition. (McDonalds)
5. Sufficient clean and hygienic toilets separated by gender and meeting the law. (SMETA)

1. Workers have access to clean food storage areas and designated rest areas; A place to store food and a place to eat shall be
provided to the workers if they eat on the farm. (GGAP)
2. All food preparation and canteen areas shall comply with all Applicable Laws and Regulations that address sanitation and health and
safety. (Costco)
3. Facility maintains a valid and current food handler health certificate for food preparation personnel, as required by law. (McDonalds)
4. Facility maintains a valid and current food permit/ hygiene certificate for the kitchen, as required by law. (McDonalds)
5. Correct hygienic practices such as hand washing are used. (McDonalds)
6. People found to have communicable diseases, such as Hepatitis B or tuberculosis, are not allowed to work in the food service area.
(McDonalds)
7. Dining halls/break rooms, if provided, are clean and well maintained. (McDonalds)
8. Canteen/dining hall provides enough seating. (McDonalds)
9. Food safety training is required for everyone who works in the canteen/ cafeteria. (McDonalds)
10. Physical exam records are on file for everyone within the canteen/ cafeteria, as required by law. (McDonalds)
a. Safe drinking water shall be provided that is easily accessible to all Employees at all times. There shall be no restrictions on drinking
water. (Kerry, McDonalds, GGAP)

(FSA)
1. Ensure a safe, secure working environment in terms of social behaviour and treat workers with respect.
- There shall be procedures in place that ensure health and safety plans are correctly implemented.
(Costco)
1. Employees shall be provided with written information on health and safety, and good sanitation maintenance. Health and safety
notices shall be posted and updated regularly. All health and safety information shall be in language(s) understood by all Employees.

(Kerry)
1. A safe, healthy, and pollution free working condition shall be provided to all employees, where adequate steps are taken to prevent
accidents and injuries to health.
(ALDI)
1. We expect our suppliers and business partners to establish and follow a clear set of standards and procedures regarding
occupational health and safety. Suppliers and business partners shall ensure the stability and safety of equipment and buildings, as
well as the protection of workers against any foreseeable emergency.
(McDonalds)
1. Documented procedures identify health and safety training needs, including:
- Appropriate training materials and methods for all people within the facility.
- Mechanism for controlling, updating relevant documents to ensure they are accurate, up to date.
2. All workers are provided job-specific health and safety training prior to starting a job, and periodically in line with local law. This
minimally includes:
- Hazard recognition, and how to report.
- Safe operation of machinery.
- Proper inspection and use of PPE.
- Safe handling of waste, hazardous materials, and operating equipment.
3. All people working in the facility, including third-party contractors, who perform authorized maintenance and servicing activities
receive appropriate training on lock-out/ tag-out procedures and practices, prior to conducting any work. This includes:
- Overview of the relevant lock-out/ tag-out process.
- Understanding site-specific energy controls.
- Dangers of overriding or ignoring lock-out/tag-out procedures.
4. The facility should establish an emergency response team. Everyone part of this team should be trained on the proper use of fire
extinguishers.
5. All individuals within the facility are knowledgeable and informed of fire prevention procedures, which include:
- Hot work permits.
- Storage and handling of combustible materials.
- Good housekeeping.
- Fire hazard identification.
6. Training is provided on the prevention of potential transmission of communicable diseases. Training includes:
- Symptoms and modes of transmission.
- Methods to reduce exposure.
- Applicable PPE selection.
- Actions to take in an emergency including reporting.
- Post-exposure evaluation.
- Signs, labels, and color-coding used to prevent and control exposure.
6. Facility trains everyone on reporting unsafe conditions/hazards within the workplace, and in the event of an injury or illness on the
job.
7. The facility tracks injuries, accidents, and near misses, and maintains and acts upon these records.
8. Training records are maintained for at least 12 months.
(SMETA)
1. A safe and hygienic working environment shall be provided, bearing in mind the prevailing knowledge of the industry and of any
specific hazards. Adequate steps shall be taken to prevent accidents and injury to health arising out of, associated with, or occurring in
the course of work, by minimising, so far as is reasonably practicable, the causes of hazards inherent in the working environment.
2. Workers shall receive regular and recorded Health & Safety training and such training shall be repeated for new or reassigned
workers.
3. Access to clean toilet facilities and to potable water and, if appropriate, sanitary facilities for food storage shall be provided.
4. Accommodation, where provided, shall be clean, safe and meet the basic needs of the workers.
5. The company observing the code shall assign responsibility for Health & Safety to a senior management representative.

(SMETA)
1. Checks whether there are Health and Safety policies and procedure in place at the site, appropriate to the size and complexity, both
for the workplace and any associated residential facilities.
2. Checks how these policies and procedures are communicated to the workforce e.g. included in workers manual etc.
3. Whether there is appropriate Health and Safety risk assessments/site inspections carried out on a regular basis, how this is recorded
and what actions are taken to minimise the risks/hazards found. These should cover at least (but not be limited to):
a. Working environment.
b. Machinery chemicals and other hazards.
c. Workers in hazardous roles.
d. Young workers/disabled workers/ women and other potentially vulnerable workers.
e. Personal protective equipment, its issue and use.
f. Worker facilities and resources e.g. dormitory and canteen.
g. Fire risks, including any locked or barred exits/emergency exits.
h. Fire fighting equipment, including sprinklers, fire hoses, fire extinguishers.
i. Accidents and on-site injuries.
j. Restricted areas are maintained where appropriate e.g. access to hazardous chemicals storage areas.
4. Checks whether the following documents are available:
a. Building licenses and construction approval from appropriate authorities for all structures on site.
b. Valid inspection certificates as per local regulations.
c. Machine inspections and maintenance reports.
d. Evidence of fire drills covering all shifts.
e. Appropriate approval certificates for water use and disposal, waste disposal, hazardous waste etc.
f. Any local inspection certificates by local agencies/government e.g. fire, hazardous substances, waste water (use and disposal), gas
emissions etc.
g. Any prosecutions from relevant authorities and what was the outcome.
h. Evidence that actions required from local inspections or prosecutions have been taken
i. Safety training records and worker training certificates if appropriate e.g. for fork lift truck driving, security team etc.
j. Accident/injury/sickness register and any necessary licenses, certifications for e.g. performing first aid function and/or related Health
& Safety functions.
k. Procedures for maintaining first aid supplies and/or agreements with external parties.
l. Evidence that accidents/injuries have been investigated and preventative action taken.
m. Risk assessment reports and action plans for reducing/eliminating the risks identified.
n. Hazardous waste history and tracking records (e.g. disposal certificates).
o. Blood policy and procedures (linked to first aid/injuries).
p. Needle and blade control policies.
q. Electrical safety certificates and records of maintenance checks.
r. Water test for potability where required.
s. Evidence of hygiene inspections and certificates for any canteen facilities and people working in them.
t. Pest control agreements and records of inspection.
u. Records of distribution and maintenance of PPE and whether any charge to workers.
v. Checks purchase records for all necessary protective equipment, ensures that there is a clear history of equipment being bought and
1. Ensure that the farmer and workers who have been injured or are ill do not perform activities that are detrimental to their health and
safety or that of the other workers. This aspect should be included additionally in the risk assessment and the health & safety plan
respectively. (FSA)
2. The producer have a written risk assessment for hazards to workers’ health and safety.
The written risk assessment can be a generic one but it shall be appropriate to conditions on the farm, including the entire production
process in the scope of certification. The risk assessment shall be reviewed and updated annually and when changes that could impact
workers' health and safety (e.g. new machinery, new buildings, new plant protection products, modified cultivation practices, etc.) occur.
(GGAP)
3. The farm have written health and safety procedures addressing issues identified in the risk assessment of AF 4.1.1.
The health and safety procedures shall address the points identified in the risk assessment (AF 4.1.1) and shall be appropriate for the
farming operations. They shall also include accident and emergency procedures as well as contingency plans that deal with any
identified risks in the working situation, etc. The procedures shall be reviewed annually and updated when the risk assessment
changes. The farm infrastructure, facilities and equipment shall be constructed and maintained in such a way as to minimize health and
safety hazards for the workers to the extent practical. (GGAP)
4. All people working on the farm received health and safety training according to the risk assessment in HIRADC and Mgt Plan
All workers, including subcontractors, can demonstrate competency in responsibilities and tasks through visual observation (if possible,
on the day of the inspection). There shall be evidence of instructions in the appropriate language and training records. Producers may
conduct the health and safety training themselves if training instructions or other training materials are available (i.e. it need not be an
outside individual who conducts the training). (GGAP)

1. Records shall identify workers who carry out such tasks and can demonstrate competence (e.g. certificate of training and/or records
of training with proof of attendance). This shall include compliance with applicable legislation. (GGAP)

1. A member of management is clearly identifiable as responsible for the workers’ health, safety, and welfare.
Documentation is available that clearly identifies and names the member of management who is responsible for ensuring compliance
with and implementation of existing, current and relevant national and local regulations on workers’ health, safety, and welfare. (GGAP)

2.1 A regular two-way communication take place between management and workers on issues related to workers’ health, safety, and
welfare. There is evidence of actions taken from such communication.
Records show that communication between management and workers about health, safety, and welfare concerns can take place
openly (i.e. without fear of intimidation or retribution) and at least once a year. The auditor is not required to make judgments about the
content, accuracy, or outcome of such communications. There is evidence that the concerns of the workers about health, safety, and
welfare are being addressed. (GGAP)

3. An established “Environment, Labor, Health & Safety Committee” is in place with the following: (McDonalds)
- Composed of members from variety of shifts, functions, and personnel.
- Has assigned management sponsor.
- Has process for implementing safety committee recommendations.
- Meets at least quarterly, or more frequently as required by law.
- Meeting outcomes are documented and communicated to rest of organization.
(SMETA)
1. Checks if there is a Health and Safety committee and whether workers are represented. (SMETA)
a. Examines any minutes of meetings.
b. Notes if any action taken.
c. Interviews the Health and Safety committee to investigate and record its effectiveness.
2. Check whether there is a Health and Safety committee and are there worker representatives – Interviews the health and safety
committee members to record their view of its effectiveness.
3. What training have workers received.
4. Do they know the trained first aiders are and are there enough trained first aiders on each shift.
5. Are they aware of the types of common accidents occurring at this site.
6. Do they know what to do in case of accidents.
7. The intervals between fire drills.
8. Do they feel safe and secure in the workplace and are they happy with the general condition e.g. canteen, hygiene facilities,
housekeeping, accommodation etc.
9. Do they have access to storage space (in the workplace and in accommodation) and is it secure, safe and fit for purpose?
10. Do they use PPE and have they been trained in its correct use. Do they understand the risks of not using it.
11. What arrangements are made for them when they are sick?
12. How receptive are managers to any concerns raised on Health and Safety.
13. What action is taken against anyone who disregards Health and Safety rules and if
this is disciplinary does this happen at all levels, workers and management.
14. Do they have free access to toilets?
15. Are they empowered to remove themselves from work if they feel that the site is unsafe?
16. Scope of health and safety training for workers goes beyond that of the code/s
– it extends to include issues such as Wellbeing and Nutrition for example – site takes a holistic approach to worker health.
17. Training for Health and Safety is engaging and interactive – for example local fire service visit site to demonstrate how to use a fire
extinguisher.
18. Site offer workers multiple brands/types of PPE equipment. For example, there could be different shapes and sizes of dust mask, to
ensure that the use of PPE is comfortable and easy to use.
19. Workers who are trained to higher level of Fire Safety (such as ‘Warden level to help with evacuations) or First aiders, are not only
paid for training but they are encouraged to take these roles through higher wages or bonuses for fulfilling their roles.
20. Site eliminates any hazards as a first and desirable action, only using PPE where no other solution is possible.

1. Accident and emergency procedures exist, visually displayed, and are they communicated to all persons associated with the farm
activities, including subcontractors and visitors. (GGAP)

Permanent accident procedures shall be clearly displayed in accessible and visible location(s) for workers, visitors, and subcontractors.
These instructions are available in the predominant language(s) of the workforce and/or pictograms.
The procedures shall identify the following:
• The farm's map reference or farm address
• The contact person(s)
• An up-to-date list of relevant phone numbers (police, ambulance, hospital, fire-brigade, access to emergency health care on site or
by means of transport, supplier of electricity, water, and gas)
Examples of other procedures that can be included:
• The location of the nearest means of communication (telephone, radio)
• How and where to contact the local medical services, hospital, and other emergency services. (Where did it happen? What
happened? How many injured people? What kind of injuries? Who is calling?)
• The location of fire extinguisher(s)
• The emergency exits
• Emergency cut-offs for electricity, gas, and water supplies
• How to report accidents and dangerous incidents

2. Potential hazards clearly identified by warning signs?

Permanent and legible signs shall indicate potential hazards. This shall include, where applicable: Waste pits, fuel tanks, workshops,
and access doors of the storage facilities for plant protection products/fertilizers/any other chemicals. Warning signs shall be present
and in the predominant language(s) of the workforce and/or in pictograms. (GGAP)
4. Safety advice for substances hazardous to workers’ health is available/accessible.
When required to ensure appropriate action, information (e.g. website, telephone number, material safety data sheets, etc.) is
accessible. (GGAP)

5. First aid kits are available at all permanent sites and in the vicinity of fieldwork.
Complete and maintained first aid kits (i.e. according to local recommendations and appropriate to the activities being carried out on the
farm) shall be available and accessible at all permanent sites and readily available for transport (tractor, car, etc.) where required by the
risk assessment. (GGAP)

6. There are always an appropriate number of persons (at least one person) trained in first aid present on each farm whenever on-farm
activities are being carried out.
There is always at least one person trained in first aid (i.e. within the last 5 years) present on the farm whenever on-farm activities are
being carried out. As a guideline: One trained person per 50 workers. On-farm activities include all activities mentioned in the relevant
modules of this standard. (GGAP)

(Costco)
1. Emergency exits shall be clearly marked, free of any obstructions, unlocked and provided with signs understood by all Employees.
Emergency exits shall open in the direction of travel with a single release. Secondary emergency exits on each floor shall be provided.
2. Emergency exit routes shall be clearly marked with direction of travel, free of any obstructions and well- lighted at all times.
Emergency exit routes shall lead to a safe assembly area. The assembly area should not be located near storage of chemicals and/or
hazardous materials and equipment.
3. Fire extinguishers shall be located near storage of chemicals and hazardous materials and along emergency exit routes. Fire
extinguishers shall be appropriate to the type of production, clearly marked, free of any obstructions and be inspected monthly or as
required by law, whichever is more strict.
4. Emergency alarms shall be clearly marked, free of any obstructions and easy to detect in areas with high noise levels.
5. Evacuation plot plans shall be provided in Employee areas and along emergency exit routes.
6. Fire and other emergency evacuation drills shall be conducted every twelve (12) months for all Employees on every shift and floor or
as required by law, whichever is more strict.
7. Emergency evacuation shall be monitored by trained Employees.
8. Procedures shall be adopted and steps shall be taken to prevent accidents, injuries and the spread of diseases.
9. At least one trained first -aid personnel shall be assigned and available on every shift. In the event of serious injuries, Employees
shall receive medical treatment at the nearest medical facility. These services shall be provided at no cost to the Employees, unless
such Employees’ health insurance coverage, if any, provides otherwise.
10. Fully stocked and clearly marked locations of first -aid medical supplies shall be accessible to Employees.
11. Eye wash stations and/or chemical showers shall be provided when required by law and/or under relevant working conditions.
12. All Employees shall receive legally required medical tests related to their specific occupation.
13. Records of Employee accidents and injuries shall be maintained, including records of investigations, and corrective and preventive
actions.

(Kerry)
1. Emergency preparedness activities are implemented and documented, such as fire extinguishing, emergency exits, evacuation plan,
etc
(McDonalds)
1. Exits are a permanent fixture in the building.
2. Exits are not blocked, permanently or temporarily.
3. Exits are not locked.
4. All exits should meet the following criteria:
- Can be opened from the inside by one (1) personal alone without assistance, and within ten (10) seconds.
- Can be opened with one (1) hand.
- Can be opened with no more than two (2) actions: e.g., [1] turn the thumb-turn latch, [2] open the door.
- If exits are powered, can open in the event of a power cut.
- Exits may only be locked if they can be opened meeting all of the above criteria and this is expressly permitted by local law.
5. Exits should open in the direction of travel, unless exits with another type of design are expressly permitted by local law. If permitted
by local law, those exits must meet all of the following relevant criteria:
- For doors opening inwards: (a) Door opening inwards does not block an established egress route, (b) Door will not be used by more
than 50 employees at any given time.
- For sliding doors: (a) Items should not be stacked near the door to prevent the items from falling on the door’s tracks and blocking the
path for the door to open in an evacuation, such as after an earthquake. (b) Track for sliding door does not protrude from the floor and
present a trip hazard.
- For rolling doors: (a) Door can be opened within ten (10) seconds to a height that would allow a person to evacuate.
- For two (2) consecutive doors in a row, such as in an air shower to prevent dust and bugs, or for all power-operated doors: (a) Door
can open immediately without running through the air shower or other special cycle in the event of an emergency. (b) All people
working onsite have been trained on how to open this door immediately during an emergency, without following the normal operation of
the door, e.g., push an emergency open button, manually slide the door open.
6. There are sufficient secondary emergency evacuation exits for production floors, office areas, warehouse/storage buildings, and
canteen. A secondary exit must be provided for all spaces unless local law permits only one (1) exit. If local law is silent on the
requirement for secondary exits, the facility should follow international standards.
7. Exit route doors must also be free of decorations or anything that could distract from their function as exit route doors.
8. Each route beyond the exit must not be blocked and must safely lead to an adequate assembly point to accommodate the building
occupants likely to use the exit route. Assembly points must not be blocked.
9. Exit route doors should be marked in the language(s) understood by workers. Exit signs shall be readily visible from any direction of
egress travel.
8. The path to exits and within exits shall be marked by readily visible exit signs to clearly indicate the direction of egress by occupants.
All doors along the exit route shall be marked by exit signs.
9. Doors located next to/near emergency exits that may be mistaken for emergency exits should be marked with signs that state “Not
an Exit” in the language(s) understood by the workers.
10. Exit doors must not lead to a drop-off higher than 18cm (approximately 7 inches); drop-offs must be marked, and the markings must
be clearly understood by all people working onsite.
(McDonalds)
11. Exit doors should not open to an area shared with vehicle or machine traffic; but if shared, there is a lane demarcated for vehicle or
machine traffic.
12. Exit paths do not lead to areas with hazardous chemicals or machinery. Direction of egress is marked to lead workers away from
these hazardous areas. All people working onsite have been trained on the meaning of these markings.
13. Handrails should be of uniform height, sturdy, easy to grip, and should not affect the use of the stairs.
14. All firefighting equipment is free from blockage.
15. A fire detection and alarm system that is distinct, audible, and if required by nature of the facility, visible. Alarm system activation
buttons and alarm speakers and/or lights are located in all areas of the workplace and tested regularly to ensure proper working order.
16. Firefighting equipment is current and correct for the nature of operations in terms of quantity and the correct class to extinguish the
types of fire hazards present in the facility.
17. Firefighting equipment is marked in the language(s) understood by the workers to indicate the location of this equipment should the
equipment not be readily visible.
18. Firefighting equipment is mounted and installed according to law.
19. Emergency lighting is maintained and in working order. To ensure continued illumination for not less than 90 minutes in case of
primary power loss, the emergency exit sign shall be connected to an emergency power system.
20. A comprehensive emergency and evacuation plan for any type of emergency situations, including, but not limited to, the following:
fires, medical emergencies, environmental accidents, natural disasters, active shooters, air raids, and civil disobedience; the plan
should also be in compliance with all laws. The plan should reflect the risks that affect the facility.
21. All people working at the facility should be trained and tested on the plan no less than once per year, and the facility should also
communicate relevant procedures to visitors and contractors.
22. Emergency evacuation drills based on the comprehensive emergency plan are conducted at least once per year, or more often if
required by law, on all shifts. Drills should include evacuation without power.
23. Emergency evacuation plans are posted, indicating users’ physical location with “you are here” in language(s) understood by those
within the workplace.
24. Facility has a site coordinator assigned to assist facility management in assuring that all elements of the fire protection and
emergency preparedness program are in place and working. The coordinator receives training in emergency preparedness planning
and is familiar with all elements of the facility’s emergency plan.
25. Facility has required fire inspection certification(s), and these are current.
26. All incidents and emergencies are investigated in order to identify root causes, and a strategy developed and implemented to
prevent recurrences.

(McDonalds)
27.There must be adequately trained staff to handle medical emergencies, with people with current qualifications in first aid and CPR
on each shift.
28. There should be at least two (2) people trained in first aid, and two (2) people trained in CPR, or 1% of the facility workforce,
whichever is greater, on each shift.
29. First-aid kits are fully stocked and readily accessible to all, with expiration dates of products therein checked periodically, and
expired materials replaced promptly.
30. Medical and/or occupational health exams are provided as required by law.
31. A documented process to prevent the transmission of communicable diseases from contact with bodily fluids is implemented. The
process should include identification of job classifications that might have exposure to blood-borne pathogens, such as nurses, first aid
personnel, or cleaning staff.
32. Approved medical professionals and/or a first aid treatment room on site, if required by law.
33. The facility has implemented a program to identify, evaluate, and control exposure to workplace hazards, such as manual handling,
heavy lifting, highly-repetitive tasks, machine operation, chemical handling, and other physically demanding jobs, to prevent work-
related injuries.
(SMETA)
1. What action is taken against anyone who disregards Health and Safety rules and if this is disciplinary does this happen at all levels:
workers and management.
2. During the site tour, auditor makes appropriate checks on the following (but not limited to):
a. Fire evacuation plans for workplace and accommodation.
b. Noise and dust levels and records any risk to workers.
c. Are there any severe cracks / structural issues which are cause for concern
Note: this would only be a visual check and cannot be taken as an indicator of the building not being safe. Equally absence of such
reporting does not mean that there are no structural issues.
d. At least 2 exits on each floor and all exits are unblocked, unbarred unlocked and lead to an assembly point or a different place of
safety.
e. On each floor, the exits meet local regulations with regard to travel distance and separation distance.
f. Fire fighting equipment is sufficient by meeting local regulations and or customer requirements (whichever affords greater protection),
and is up to date and is regularly checked and maintained.
g. That accommodation is not attached to production or any warehouses or storage areas.
h. That safety precautions in the accommodation and the worksite are checked regularly (meeting local regulations and or customer
requirements, whichever affords greater
protection), to include, fire fighting equipment, exits and regular fire drills and health and hygiene checks, structural safety certificates).
3. For Health and Safety training records checks that training is appropriate to the task.
a. Use of machinery.
b. Working with and disposal of chemicals.
c. First aid and safety.
d. Housekeeping.
e. Personal protective equipment including for visitors / other people who enter the business premises.
f. Fire safety procedures including use of fire fighting equipment where appropriate.
g. All visitors and contractors to the site are informed of risks and provided with training.
h. Records of training kept in workers’ personnel files.

(SMETA)
j. Toilets and washing facilities are properly provided with running water, soap, towels etc.
k. That workers have free access to toilets.
l. That machines are operated in a safe manner with e.g. correct guarding, “2-button operation”, correct safety precautions, including
warning signs as necessary.
m. Electrical installation safety e.g. plugs wiring, cut outs and other control devices.
n. That ventilation, light, temperature, noise level is appropriate and meets the local laws and is sufficient for worker comfort.
o. That any hazardous chemicals have MSDS, adequate storage with precautions for spillage, are they are properly labelled and that
workers are correctly trained to use them.
p. That PPE is being correctly used, is free of charge and that workers are fully trained in correct usage and benefits.
q. That working areas have adequate space, with sufficient ease of access and exits.
r. That medical facilities are appropriate, meeting local regulations and or customer requirements (whichever affords greater protection),
for the size of site and number of workers and meets legal requirements.
s. There is a doctor or nurse on site or there is easy access to first aider/ trained medical aid.
t. That any childcare facilities are legal and meet any local laws/regulations.
u. Evacuation routes are sufficient in number and sufficiently identifiable as per local law requirements.
v. Where facility provides worker transport e.g. buses and other vehicles – it is fit for purpose, safe and maintained and operated by
competent persons.
w. Fire alarms and notifications are sufficient so as to alert personnel in a timely manner in the event of a fire.
x. Emergency fire alarms and emergency exit lights are connected to a secondary power source.
y. Emergency assembly areas are sufficient in number, size, location and visibility to ensure the safety of evacuated personnel.
z. Emergency stairwells and evacuation routes within multi-story or multibusiness buildings are sufficient in number and appropriately
designed to support safe evacuation of personnel.
1. Electrical panels, wiring and outlets shall be inspected at least monthly, and shall not be damaged, exposed, or pose a trip hazard.
(Costco)

2. Electrical systems and wiring are maintained in safe condition, including the following elements: (McDonalds)
- Panels receive regular maintenance.
- Panels are covered and easily accessible.
- Wiring is insulated and covered.
- Wiring does not present a trip or overhead hazard.

3. Qualified electricians are available to monitor electrical systems and provide maintenance as needed. (McDonalds)

1. Properly ventilated work areas shall be provided, especially in all areas where painting, lacquering, spraying, or sanding is done or
where chemicals or hazardous materials are used. In hot environments, sufficient fans shall be provided, and in cold environments,
sufficient heating shall be provided without risk to Employee safety. (Costco)
2. Adequate lighting in the work space for all Employees shall be provided. (Costco)
(McDonalds)
1. Proper PPE is provided free of charge, including replacements as required to all people within the workplace.
2. Management monitors to ensure the provided PPE is inspected, worn, and used correctly.
3. PPE is to be provided for any of the following conditions:
- Eye/ face protection should be provided where there is potential for injury.
- Foot protection: Adequate footwear is to be worn at all times. The facility provides protective shoes/boots where foot injuries could
occur.
- Hearing protection should be provided to reduce the noise exposure to less than 85 decibels (dB).
- Hand protection should be provided to adequately protect against potential injury.
- Protective clothing should be provided to prevent exposure to hazards such as: chemicals, lacerations, punctures, cold, burns, or
blood.
- Head protection, such as hardhats, should be provided to protect against falling objects or other striking or impact hazards.
- Respiratory protection should be provided where the potential for inhalation exposure to harmful types of airborne contaminants could
occur. People with any type of respiratory conditions should not be assigned to areas where respirators are required.
- Infectious material exposure: Where the potential for exposure to infectious materials exist, PPE is to be provided, as well as
appropriate handling procedures communicated, to prevent the transmission of diseases.
- All visitors are provided with appropriate PPE when entering or working in areas where signage indicates PPE is required. Safety and
PPE requirements are communicated to visitors upon arrival at the site.
4. All are trained on why they need to wear PPE, how to use it correctly, and the benefit.
5. Facility has installed signage visible where PPE is to be worn, in language understood by all.

(GGAP)
1. Workers, visitors, and subcontractors are equipped with suitable protective clothing in accordance with legal requirements and/or
label instructions and/or as authorized by a competent authority.
Complete sets of protective clothing, which enable label instructions and/or legal requirements and/or requirements as authorized by a
competent authority to be complied which are available on the farm, utilized, and in a good state of repair. To comply with label
requirements and/or on-farm operations, this may include some of the following: Rubber boots or other appropriate footwear,
waterproof clothing, protective overalls, rubber gloves, face masks, appropriate respiratory equipment (including replacement filters),
ear and eye protection devices, life-jackets, etc. as required by label or on-farm operations.

2. Protective clothing is cleaned after use and stored in such a way as to prevent contamination of personal clothing.
Protective clothing is kept clean according to the type of use and degree of potential contamination and in a ventilated place. Cleaning
protective clothing and equipment includes separate washing from private clothing. Wash re-usable gloves before removal. Dirty and
damaged protective clothing and equipment and expired filter cartridges shall be disposed of appropriately. Single-use items (e.g.
gloves, overalls) shall be disposed of after one use. All protective clothing and equipment including replacements filters, etc. shall be
stored outside of the plant protection products/storage facility and physically separated from any other chemicals that might cause
contamination of the clothing or equipment. No N/A.
(Costco)
1. Uniforms and personal protective equipment, if required, shall be provided at no cost to Employees.
Personal protective equipment shall be provided to all Employees performing tasks involving painting, lacquering, spraying, sanding or
application of chemicals or hazardous materials, and to all Employees exposed to physical dangers. Personal protective equipment
includes, but is not limited to: face masks, eye protection, gloves, welding masks, hard hats, safety shoes, insulated clothing and
hearing protection.

(McDonalds)
1. Air quality is monitored for the health and safety of all people within the workforce.
2. Air pollution control systems, such as spray paint booths, are maintained in a safe and proper working condition and are of a design
appropriate and adequate to the pollution hazard they are controlling.
3. Air discharge—such as dust, fumes, gas, mist, odor, smoke, vapor, pollen, soot, carbon, acid, or particulate matter, or any
combination thereof—is controlled with a system designed for the specific pollutant(s) to minimize air pollution to protect all people.
Examples of stationary sources of air pollution include:
- Furnaces, boilers, water heaters, and emergency generators that burn fossil fuel, such as natural gas or fuel oil.
- Spray booths for painting and finishing that have ducts to the outside.
- Solvent cleaning stations.
3. Noise and temperature levels are monitored for the health and safety of all.
4. Facilities with machines that utilize rotating parts should conduct vibration monitoring, as required by law or the manufacturer’s
recommendations, and maintain records of this monitoring.

(McDonalds)
1. Confined or enclosed workspaces (such as tanks, pits, boilers, silos, vaults, enclosed conveyors, pressure vessels, and manholes)
are identified, with related hazards evaluated, before people are allowed to enter.
2. All confined spaces are identified by a posted sign which requires those entering to follow established entry procedures. All safety
signage should be posted in language(s) understood by the workforce, as necessary.
3. Only authorized and trained people are permitted to enter confined-space areas or to assist another person with work in a confined-
space area.

(McDonalds)
1. All water, inside or outside of the facility drains properly to prevent standing water, and reduce hazards of slipping or breeding of
insects
2. Provides functioning fall protection when work is performed that exposes workers to a potential fall of greater than 1.8 meters
(approximately 6 feet). Examples of fall protection are:
- Guardrails.
- Safety nets.
- Personal fall arrest systems, such as full body harnesses or lifelines.
3. Every open-sided floor or platform 1 meter (approximately 39 inches) or higher should be guarded by adequate railing on all open
sides, except where there is an entrance to a ramp, stairway, or fixed ladder.
4. Loading docks above 1 meter (approximately 39 inches) in height are to have a demarcation, such as a chain, to prevent falls.

(McDonalds)
1. Special appliances, equipment, and machinery, i.e., forklifts, cargo lifts, boilers, pressure vessels, furnaces, etc., has been properly
registered and affixed with a registration certificate as required by law.
2. The operators of all special equipment, i.e., forklifts, cargo lifts, boilers, electrical devices, etc., and machines are properly trained in
safe operating procedures, AND are licensed, where applicable.
3. Potentially dangerous parts of machinery are covered with appropriate machine safeguards and these guards are properly
maintained.
4. Machines have proper emergency stop switches, where applicable.
5. Power isolation equipment (i.e., lockout/ tag out) is used during maintenance repair
6. Exposures to safety hazards are evaluated, identified, and controlled.
7. The facility follows requirements for the maintenance, inspection, and operation of all equipment, appliances, and machinery
according to industry standards, manufacturer recommendations, or applicable law.
8. Records are kept for work related injuries and accidents.

(SMETA)
1. For any machinery present on site, checks documentation.
a. Machinery safety certificate (if required).
b. Installation and preventive maintenance records
c. That maintenance records are up to date.
(McDonalds)
1. Chemicals are properly labeled, used, stored, and maintained in a manner that prevents leaks and inadvertent mixing of incompatible
materials by using appropriate secondary containment in line with the requirements in Safety Data Sheets (SDS).
2. All chemicals used at the facility are registered for the intended use or as allowed under local law.
3. Emergency eyewash and showers are readily available where corrosives and chemicals are used and stored; and in line with the
recommendations provided in SDS. Emergency eyewash and showers are inspected weekly and records of inspections are kept.
4. Facility disposes of carcinogens, toxins, and hazardous wastes in a manner that protects the health and safety of all as well as the
environment.
5. Liquid propane gas tanks and cylinders, acetylene tanks, and chemical storage areas are safely located away from sources of
ignition such as sparks, flames, heat, and flammable materials, are properly vented, and in a secured area at a reasonable distance
from all human beings to prevent safety hazards.
6. Safety data sheets (SDS) are readily available in the work areas where chemicals are used or kept in a place where they are
accessible by workers and are in language(s) understood by the people using the chemicals.
7. The facility and/or hired third-party vendor has a valid business permit to engage in the collection, storage, and disposal of
hazardous wastes.
8. Hazardous wastes (including chemicals, combustibles, flammables) are properly handled, stored, and disposed.
9. Periodic monitoring and review of risks related to chemical and hazardous material safety is conducted in all areas to determine if
exposures are properly controlled and below established limits.
10. A high-level risk assessment regarding chemicals and hazardous materials is completed to determine and prioritize areas of high
risk.

(FSA)
1. Pregnant women and people that suffer from chronic or respiratory diseases also shall not undertake hazardous work as mentioned
below:.
- Only for light work and are not forced or bonded labour;
- For a limited number of hours (max. 14 hours a week);
- If the work does not jeopardize their physical and mental well-being;
- If the work does not interfere with their schooling;
- Do not work in unhealthy situations, at night, or with dangerous substances or equipment, nor do they carry heavy loads;
- Are always accompanied by an adult relative.

Transport for workers (on-farm, to and from fields/orchard) as provided by the producer is safe and compliant with national regulations
when used to transport workers on public roads. Vehicles or vessels shall be safe for workers and, when used to transport workers on
public roads, shall comply with national safety regulations. (GGAP)

1. Procedures and standards for waste management, handling and disposal of chemicals and other dangerous materials, emissions
and effluent treatment must meet or exceed legal requirements. All local and national environmental regulations and relevant provisions
of the ALDI CR Principles and environmental standards must be met. (ALDI)

(COSTCO)
1. Supplier and Facility shall comply with all Applicable Laws and Regulations that address the environment.

A. Handling and Disposal of Hazardous Waste

All chemicals and hazardous materials, including wastewater and solid waste generated from operations, shall be handled and
disposed of using environmentally responsible practices. In the event that hazardous or polluting materials are discharged improperly,
appropriate authorities shall be notified and immediate action shall be taken to correct and remediate.
B. Use of Ozone -Depleting Chemicals
To improve the air quality when using chemicals and hazardous materials, the elimination of ozone depleting chemicals (ODCs) during
the manufacturing process is strongly encouraged.
C. Recycling
Recycling is strongly encouraged.
(Kerry)
1. Operations are carried out with care for the environment and comply with all applicable environmental laws and regulations.

(Mcdonalds)
1. All required permits, licenses and/or registrations for discharge/disposal are current and available: e.g., greenhouse gas emissions
(GHE); solid waste disposal; water use and/or abstraction; wastewater effluents treatment or discharge; air emissions; and hazardous
substance management.
2. Facility is free from any environmental violations resulting in monetary penalties and/or non-monetary sanctions in the past 12
months.

(SMETA)
1. Suppliers must comply with the requirements of local, national and international laws related to environmental standards.
2. The supplier should be aware of and comply with their end client’s environmental requirements.

(SMETA)
1. Businesses as a minimum must meet the requirements of local and national laws related to environmental standards.
2. Where it is a legal requirement, businesses must be able to demonstrate that they have the relevant valid permits including for use
and disposal of resources e.g. water, waste etc.
3. Businesses shall be aware of their end client’s environmental standards/code requirements
4. Suppliers should have an environmental policy, covering their environmental impact, which is communicated to all appropriate
parties, including its own suppliers.
5. Suppliers shall be aware of the significant environmental impact of their site and its processes.
6. The site should measure its impacts, including continuous recording and regular reviews of use and discharge of natural resources
e.g. energy use, water use (see 4–pillar audit report and audit checks for details).
7. Businesses shall make continuous improvements in their environmental performance.
8. Businesses shall have available for review any environmental certifications or any environmental management systems
documentation
9. Businesses should have a nominated individual responsible for co–ordinating the site’s efforts to improve environmental
performance.
10. Suppliers should have completed the appropriate section of the SAQ and made it available to the auditor.
11. Has the site recently been subject to (or pending) any fines/prosecutions for noncompliance to environmental regulations.
 Part 2 ( Standards Interpretation &
Part 3 (Standard NC Conversion)
Implementation)

Business permit, Sanitary Permit, Fire Safety Critical

Inspection Certificate, BIR, DOLE Registration,
CDA. DTI, BMBE (if applicable)

Prohibition of forced labor, child labor,

Paternity/Maternity Leave, Solo Parent Welfare,
Social Security law, Anti-violence against women and
children; compensation & benefits, hours of work,
etc

List of applicable legal requirements Major

Evaluation of compliance/ Internal Assessment

Code of Conduct Major

HR-58 Business Ethics Policy
HR-59 Company Gift Giving Policy

Internal Audit Major

Records/ Documents retention and disposition Major

Document Mgt Program
Social Responsibility Policy Major

Prohibition of forced labor, child labor,

Paternity/Maternity Leave, Solo Parent Welfare,
Social Security law, Anti-violence against women and
children; compensation & benefits, hours of work,
etc

Self declation on Good Social Practice Critical

Employment Contract Major

201 Files
Hiring procedure
HR-01 Annex B: Policy on Employment
Job Postings
 Major

HR-01 Employment Policy Major

Social Compliance on Compensation Critical
HR-105 Salary and Wage Administration
Employment Contract
Payslip/Payroll
DTRs
201 files
Service Agreement
Mandatory Remittances & Records
Leave records
Retirement & Resignation
New Hire Orientation Module
Internal Audit

Critical

Critical

Critical
Critical
Critical
Critical
Critical
Critical
Payroll Major
Payslip
DTR
HR-07 Overtime Policy
Employment Contract
Self-declaration on Good Social Practice
Rest day policy

Major

Major
Major

Major
Major
Major
 Major

HR-01: Employment Policy Major

HR-22 Annex B: Policy on Training and Development
On-the-job (OJT) Program
Memorandum of Agreement from School (OJT)
201 Files
HR-04 Protection of children policy
Social Responsibility Policy Major
Self-declaration on Good Social Practice
Scheduled Focus Group Discussion
HR-07 Overtime Policy
HR-01 Employment Policy
Payslip/Payroll

Social Responsibility Policy Major

Self-declaration on Good Social Practice
Code of Conduct
Schedule Focus Group Discussion
HR-01 Employment Policy
Job Postings
Payslips/Payrol

Major

Major

Major

Major
Major
Major

Major
Major

Major
Company Rules & Regulations Major
Union Handbook
Payroll/Payslip
Management System Refresher (MSR) Training
Module
Disciplinary & Terminated workers Cases

HR-44 Grievance Major

SRS16-DPI-01 Complaint and Suggestion Procedure
on Social Practice Issue 1
Complaint Registry

Collective Bargaining Agreement Major

Social Responsibility Policy
Self-declaration on Good Social Practice
Union Minutes of Meetings
Major

Major
Major
 Major

Service Agreement Major

Social Compliance Audit
List of all entities (HR, Procurement)
Social Responsibility Policy Major
Self-declaration on Good Social Practice
Management & Employees' Representatives
SRS15-DPI-01 Election Procedure for Employees
Representative Issue 1
ER Job Description

List of all faucets, handwashing, toilets & drinking Major

water
Monitoring/Cleaning activity checklist and evidences

Internal Audit Major

Service Agreement
Annual PE
Monitoring/Cleaning activity checklist and evidences
Food safety training, module and attendance
List of all faucets, handwashing, toilets & drinking Major
water
Monitoring/Cleaning activity checklist and evidences

Major

Major

Major

Major

Major
Major

Major
Major

Major

Major
Major

Major
Major

Major

Major
Major
Major

Major
Major

Major
Major

Major

Major

Major
Major

Major

Major

Major

Major

Major
 Major

ask for the risk assessment of the worker to justify Major

the provisions of the requirement for pregnant
women.

Major

Major

Major
Major

Major

Major

Major
 Quality Assurance
System and Certification
DFL SOCIAL COMPLIANCE AUDIT REPORT

INFORMATION
Department BMCRP-G Builders
Division
Manager/ Director
Representative/Designation Geraldiine Guerrea/ Owner
Representative/Designation
E-mail Address [email protected] Contact Number 9171121237
AUDIT INFORMATION
Audit Date 7-Feb-24
Lead Auditor Chrisitne UY
Audit Team Member(s) Cynthia Marie Abellera

AUDIT RESULT
Scope of Audit Both CI Plan Deadline 8-Mar-24
Type of Audit Social Compliance E-mail CI Plan to
Critical 0 Follow-up Visit Mode On-site
Findings
Major 2 Verification Date Based on the timeline
DFL Social Compliance Audit Status
SOCIAL COMPLIANCE SCORE
High Risk
SUMMARY OF FINDINGS
DFL Social Compliance Requirement 1.5 Documentation & Record Keeping Finding Major
1) Location: BMCRP-G Builders
Observation:
Lapses on the Documented Information of the Social Compliance Policies

Findings & Evidences:

There is no Social Compliance Policies presented at the time of audit.

DFL Social Compliance Requirement 3.0 Wages, Benefits and Compensation Finding Major
2) Location: BMCRP-G Builders
Observation :
There is no documented evidence presented for the wages and benefits of the drivers.

Findings and Evidences:

There is no payslips and remittances presented at the time of audit.

DFL Social Compliance Requirement 16.1 General Safety Finding OFI

3) Location: BMCRP-G Builders
Observation:
There is no documented evidence that drivers comply the Health and Safety Standards

Findings and Evidences:

1. There is no Xray result presented aat the time of audit. However, drivers already done for the Annual PE. Xray result to follow.
2. There is no Sanitary Permit presented at the time of audit. Verification of receipt Sanitary Permit was already paid.

DFL Social Compliance Requirement Finding

Quality Assurance
System and Certification
DFL SOCIAL COMPLIANCE AUDIT REPORT

STATUTORY and REGULATORY REQUIREMENTS

Business Permit/Mayor's Permit: 20204-F-0029 Date Issued: 15-Jan-24 Valid Until: 31-Dec-24 Remarks
LGU Sanitary Permit: Date Issued: 16-Feb-24 Valid Until: 31-Dec-24 Remarks
Fire Safety Inspection Certificate Date Issued: 2/27/2024 Valid Until: 2/27/2025 Remarks
DTI Certificate of Registration: Date Issued: 6/19/2024 Valid Until: 6/19/2028 Remarks
DOLE Registration Date Issued: n/a Valid Until: n/a Remarks
(Regulatory Requirement) Date Issued: Valid Until: Remarks
(Regulatory Requirement) Date Issued: Valid Until: Remarks
(Regulatory Requirement) Date Issued: Valid Until: Remarks
(Regulatory Requirement) Date Issued: Valid Until: Remarks
(Regulatory Requirement) Date Issued: Valid Until: Remarks
(Regulatory Requirement) Date Issued: Valid Until: Remarks
(Regulatory Requirement) Date Issued: Valid Until: Remarks
THIRD PARTY CERTIFICATION
(3P Cert) Certifying Body: Date Issued: Valid Until: Remarks
(3P Cert) Certifying Body: Date Issued: Valid Until: Remarks
(3P Cert) Certifying Body: Date Issued: Valid Until: Remarks
(3P Cert) Certifying Body: Date Issued: Valid Until: Remarks
(3P Cert) Certifying Body: Date Issued: Valid Until: Remarks
AUDITOR'S NOTES
 Risk Category
Low Risk 0 NC
Medium Risk 0 Critical. All are Major
NC only
High Risk 1-5 Critical
Very High Risk 6 and above Critical