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[null,"FSS\n- Audit Procedure Tool - "]
["Contents"]
["V1.0"]
[]
["Worksheet No.","Template","Description"]
[]
[1,"Contents","Overview of audit procedure documents & indicators"]
["2.1","Basic Data","Basic data of the FSS User (Large/medium size farm that is subject to the audit or group manager)"]
["2.2","Basic Data, Smallholders (SHs)","Basic data of the FSS User (Smallholder farm that is subject to the group audit)"]
[3,"Audit Checklist","Verification of Indicators - Stability Pillar"]
[null,null,"Verification of Indicators - Access Pillar"]
[null,null,"Verification of Indicators - Availability Pillar"]
[null,null,"Verification of Indicators - Utilization Pillar"]
[null,null,"Verification of Indicators - Cross-cutting Pillar"]
[4,"Audit Checklist, Group Manager (GM)","Verification of Indicators - Stability Pillar"]
[null,null,"Verification of Indicators - Access Pillar"]
[null,null,"Verification of Indicators - Availability Pillar"]
[null,null,"Verification of Indicators - Utilization Pillar"]
[null,null,"Verification of Indicators - Cross-cutting Pillar"]
[5,"Audit Checklist, Smallholders (SHs)","Verification of Indicators - Stability Pillar"]
[null,null,"Verification of Indicators - Access Pillar"]
[null,null,"Verification of Indicators - Availability Pillar"]
[null,null,"Verification of Indicators - Utilization Pillar"]
[null,null,"Verification of Indicators - Cross-cutting Pillar"]
[6,"SummFSS-QAT","Summary of results interview with workers and/or smallholders"]
[7,"Non-Conformities and Corrective Measures (CMs)","Table for listing explanations regarding identified non-conformities and corresponding corrective measures (relevant for all audit indicators marked with \"no\" in the column \"conformity\" in each audit checklist )"]
[8,"Document Checklist","List of required documents for easy audit preparation - Large/medium size farm "]
[9,"Document Checklist, Group Manager (GM) (SHs)","List of required documents for easy audit preparation - Group manager of SHs "]
[]
["Please read the auditor handbook carefully before using this audit procedure tool!\n\n•  These templates are to be used for certification/verification audits of large/medium size farms and smallholders (for individual certification/verification in the framework of a group with sample audits). \n•  The user may not alter these templates in any way.\n•  This audit procedure tool contains nine worksheets. \n•  Worksheets 2.1 and 2.2 on \"Basic data\" have to be filled-in for each farm that is audited under FSS, either as an individual farm or as the member of a group. WS 2.1 is applicable to all large/medium size farms and group managers; WS 2.2 is applicable only for smallholder members of a group.\n•  The criteria and indicators of the five Food Security pillars are all mandatory. Each indicator represents a mandatory requirement.\n•  For all indicators, it is mandatory to mark the column “Conformity” with either “yes” (conformity) or “no” (non-conformity). \n•  For every “no” (non-conformity) the auditor must explain the decision in the column “Findings”. The reason for conformity or non-conformity has to be specified and explained under the column “Findings”. This column can also be used to report additional aspects of the analyzed indicator in relation to the audited site/system user. \n•  If an indicator is not applicable to a specific audit, the cell \"N/A\" under the \"Conformity\" column must be marked. The auditor must then justify the decision in the column \"Findings\" and move on to the next relevant requirement. \n•  Every “no” (non-conformity) requires the definition of corrective measures in worksheet 7. The number of non-compliant indicators must be stated. The implementation of corrective measures must be verified and confirmed by the auditor.\n•  If the audit is a group audit, worksheet 7 has to be filled-in for the group manager and for the smallholders separately. Non-Conformities and Corrective Measures can be summarized for the sampled smallholder group in one worksheet.\n•  For the audit of a large/medium size farm, worksheet \"3_Audit Checklist\" has to be used. For the audit of a smallholder group, the auditor must use the worksheet \"4_Audit Checklist GM\" for the group manager and worksheet \"5_Audit Checklist SHs\" for the smallholder group. It is not necessary to provide the audit checklist for each smallholder in the sample. However, the auditor is expected to describe in the column \"Findings\" her/his judgement, providing details regarding individual farms in the group, if needed.\n•  Worksheet \"6_SummFSS-QAT\" must be filled-in with information and results based on the interviews conducted with the FSS-QAT during the audit.\n•  Worksheets 6 and 7 have to be printed and signed by the respective persons."]
{"$rows_empty":14}
["Developed and tested within the FSS Project (WHH, WWF, ZEF) "]
["With the support of"]

{"sheet":"2.1_Basic Data","index":1,"n_rows":66,"n_cols":8,"rows_kept":66,"merged":[[0,1,0,4],[1,0,1,7],[2,0,3,7],[7,2,7,7],[8,2,8,7],[9,2,9,7],[10,2,10,7],[11,2,11,7],[12,2,12,7],[13,2,13,7],[14,2,14,7],[15,2,15,7],[16,2,16,7],[17,2,17,7],[18,2,18,7],[19,2,19,7],[20,2,20,7],[21,2,21,7],[22,2,22,7],[23,2,23,7],[24,2,24,7],[25,2,25,7],[26,2,26,7],[27,2,27,7],[28,2,28,7],[29,2,29,7],[31,2,31,7],[32,2,32,7],[33,2,33,7],[34,2,34,7],[35,2,35,7],[36,2,36,7],[37,2,38,7],[39,2,39,7],[40,2,40,7],[41,2,42,7],[44,2,45,7],[46,2,46,7],[47,2,47,7],[48,2,49,7],[51,2,51,4],[51,5,51,7]]}
[null,"FSS\n- Audit Procedure Tool - "]
["Basic Data – Large/Medium Size Farm or Group Manager (GM)"]
["V1.0"]
[]
["1.0.","Certification Body"]
["1.1.","Name of certification body"]
["2.0.","FSS User (Large/medium size farm that is subject to the audit or group manager)"]
["2.1.","Name of farmer/group manager"]
["2.2.","Address of the farm management/group management"]
["2.3.","Street"]
["2.4.","Street no."]
["2.5.","Postal code"]
["2.6.","Place"]
["2.7.","Country"]
["2.8.","Geo-coordinates of farm management/group manager office: Latitude in decimal degrees\n(Example: 50.941218)"]
["2.9.","Geo-coordinates of farm management/group manager office: Longitude in decimal degrees\n(Example: 6.958337)"]
["2.10.","Sustainability standards system in which the FSS is integrated (e.g. UTZ, ISCC, RSPO, etc.)"]
["2.11.","Are other sustainability standards system(s) used?"]
["2.12.","(This includes systems currently in use or used within 12 months of audit.)"]
["2.13.","If yes, please specify the name(s) of the other system(s)"]
["2.14.","What is the version of the sustainability standards system being used for the current audit?"]
["2.15.","Name of employee responsible for implementing sustainability standards system"]
["2.16.","Title"]
["2.17.","Last name"]
["2.18.","First name"]
["2.19.","Phone"]
["2.20.","E-mail"]
["2.21.","Scope to be audited"]
["2.22.","Is the farm being certified individually or audited as a member of a group of farms?"]
["2.23.","Sustainability System Registration Number / Membership Number\n(of the system user registered to be certified)"]
["3.0.","Audit Data "]
["3.1.","Name of auditor(s)"]
["3.2.","Place of the audit"]
["3.3.","Date of the first sustainability audit including FSS (Please use the format: dd.mm.yyyy)"]
["3.4.","Date of re-certification/review audit including FSS (Please use the format: dd.mm.yyyy)"]
["3.5.","Duration of the audit (in hours, in digits)"]
["3.6.","Name(s) of farm representative(s) present during the audit"]
["3.7.","Is the farm using relevant service providers or sub-contractors?"]
[]
["3.8.","Name(s) of relevant service providers/sub-contractors (e.g. logistic providers, plant protection service providers, etc.)"]
["3.9.","Sustainable output material(s)"]
["3.10.","Are crop residues handled, processed, sold or claimed under the certification system?"]
[]
["4.0.","Specific Information"]
["4.1.","Do smallholders exist under farm management/group management?"," "]
[]
["4.2.","How many smallholders are under contract?"]
["4.3.","Size of smallholder farm on average (in ha)"]
["4.4.","Did land use change take place after January 2008?"]
[]
["4.5.","Total size of farm (in ha)"]
["4.6.","Crop details ",{"$nulls":3},"4.7. Required for crops to be delivered as sustainable:"]
[null,"(for crops harvested during the 12-month period prior to the audit)","4.8.","4.9.","4.10.","4.11.","4.12.","4.13."]
[null,null,"Crop","Field size per crop (in ha)","Total amount per crop (in mt)","Month and year of sowing/ planting","Month and year of harvesting","Sustainability certification system the raw material complies with"]
[null,null,"List all cultivated crops, not only the crops to be delivered as sustainable",{"$nulls":3},"[For perennial crops (e.g. palm): month(s) of the main harvest season]"]
{"$rows_empty":10}
["4.14.",null,"Total field size of owned and leased fields in ha:"]

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[null,"FSS \n- Audit Procedure Tool - "]
["Basic Data – Smallholders (SHs)"]
["V1.0",{"$nulls":5},"If you are auditing a smallholder group please add additional rows to document basic data of all smallholders of the group sample"]
[]
["1.0.","Certification Body"]
["1.1.","Name of certification body"]
["2.0.","FSS User (Smallholder farm that is subject to the group audit)"]
["2.1.","Name of smallholder","Smallholder (SH) 1",{"$nulls":3},"SH2","SH3","SH4","SH5","SH6","SH7","SH8"]
["2.2.","Address of the farm"]
["2.3.","Street"]
["2.4.","Street no."]
["2.5.","Postal code"]
["2.6.","Place"]
["2.7.","Country"]
["2.8.","Geo Coordinates of SH House:Latitude in decimal degrees (Example: 50.941218)"]
["2.9.","Geo Coordinates of SH House: Longitude in decimal degrees (Example: 6.958337)"]
["2.10.","Sustainability standards system in which the FSS is integrated (e.g. UTZ, ISCC, RSPO, etc.)"]
["2.11.","Are other sustainability standard system(s) used?"]
[null,"(This includes systems currently in use or used within 12 months of audit.)"]
["2.12.","If yes, please specify the name(s) of the other system(s)"]
["2.13.","What is the version of the sustainability standards system being used for the current audit?"]
["3.0.","Audit Data "]
["3.1.","Name of auditor(s)"]
["3.2.","Place of the audit"]
["3.3.","Date of the first sustainability audit including FSS (Please use the format: dd.mm.yyyy)"]
["3.4.","Date of the re-certification/review audit including FSS (Please use the format: dd.mm.yyyy)"]
["3.5.","Duration of the audit (in hours, in digits)"]
["3.6.","Sustainable output material(s)"]
["3.7.","Are crop residues handled, processed, sold or claimed under the certification system?"]
[]
["4.0.","Specific Information"]
["4.1.","Total size of SH farm (in ha)"]
["4.2.","Did land use change take place after January 2008?"]
[]
["4.3.","Crop details (for crops harvested during the 12-month period prior to the audit)"]
["4.4.","Crop (List all cultivated crops, not only the crops to be delivered as sustainable)"]
["4.5.","Field size per crop (in ha)"]
["4.6.","Total amount per crop (in mt)"]
["4.7.","Required for crops to be delivered as sustainable:"]
["4.8.","Month and year of sowing/planting"]
["4.9.","Month and year of harvesting [For perennial crops (e.g. palm): month(s) of the main harvest season]"]
["4.10.","Total field size of owned and leased fields in ha:"]

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[{"$nulls":3},"FSS\n- Audit Procedure Tool - "]
["Audit Checklist"]
["V 1.0"]
[]
[]
[{"$nulls":5},"COMPLIANCE INFORMATION"]
[{"$nulls":4},"Status of Compliance:",{"$f":"IF(L17<93,\"No, non-compliance with FSS!\",\"Yes, compliance with FSS!\")","v":"No, non-compliance with FSS!"}]
[]
[{"$nulls":4},"Conformity:",{"$f":"SUM(L18:L130)","v":0}]
[{"$nulls":4},"Non-Conformity:",{"$f":"SUM(M18:M130)","v":0}]
[{"$nulls":4},"Not Applicable:",{"$f":"SUM(N18:N130)","v":0}]
[]
[]
["No.","Criteria","Indicator","Verification guidance","Evidences/ \nDocuments required","Findings","Conformity",{"$nulls":4},"Compliance"]
[null,null,"Indicator",{"$nulls":3},"Yes","No","N/A",null,null,"Yes","No","N/A"]
["Stability Pillar"]
["Principle 1: Apply good governance and respect the rule of law",{"$nulls":9},"Sum",{"$f":"SUM(L18:L130)","v":0},{"$f":"SUM(M18:M130)","v":0},{"$f":"SUM(N18:N130)","v":0}]
["1.1","All parties involved in the agricultural operation and related activities shall comply with applicable national, regional and local laws and regulations and ratified international treaties.","1.1.1 A documented system for ensuring legal compliance by the farm management/group manager, contract/smallholder farmers, service providers and contractors shall be implemented and maintained. ","Verify the existence of an internal system and/or process that guarantees compliance with applicable local, regional and national laws and regulations and ratified international treaties.\nEnsure that processes for legal compliance also actively involve contract farmers/smallholders, service providers and contractors.\n\nLaws and ratified international treaties include but are not limited to:\n(1)   The rights of local communities and indigenous groups\n(2)   Land rights/land tenure\n(3)   Health and safety and the rights of workers\n(4)   Rights of all workers (permanent, temporary, casual, self-employed)  (e.g. regarding overtime work, paid holiday leave, sick and parental leave)\n(5)   Tax payment obligations\n(6)   Free-trade agreements\n(7)   Environmental and social impact assessments\n(8)   Soil conservation and management, soil fertility (e.g. application of fertilizers, manure and plant protection products; contamination or accumulation of hazardous substances in soils)\n(9)   Water conservation and management (e.g. abstraction, use and discharge of irrigation water; protection of water bodies)\n(10)  National and international protected areas\nThe farm management should be familiar with the relevant legislation and remain informed on changes in legislation.\n\nChanges to the law and a brief assessment of their impacts on workers, contract farmers/smallholders, service providers and contractors have to be recorded for monitoring purposes in the system.\n\nInterview the farm management, contract farmers/ smallholders, service providers and contractors, workers’ representatives and workers.\n","Documentation of due diligence process, compliance with local, regional and national laws and ratified international treaties, procedure for maintaining the system for ensuring legal compliance (including evidence of appointment of responsible persons in charge).\n\nInterviews with farm management, contract farmers/ smallholders, service providers and contractors, worker representatives and workers.",{"$nulls":6},{"$f":"IF(OR(G18<>\"\",I18<>\"\"),1,\"\")","v":""},{"$f":"IF(H18=\"\",\"\",1)","v":""},""]
[null,null,"1.1.2 All parties involved in the agricultural operation and related activities shall be aware of the law and regulations and comply with them.","Verify that farm management is aware of its responsibilities according to applicable laws when directly enquired. The farm management should be able to demonstrate the participation of relevant stakeholders (worker representatives, employees, contract farmers/smallholders, etc.) in regular meetings held at least once a year.\n\nWorker representatives, workers, contract farmers/smallholders, service providers and contractors should be able to demonstrate in interviews awareness of relevant legislation. \n","Training contents and agenda; trainer name and qualifications; training records, participants, materials.\n\nInterviews with worker representatives, workers, contract farmers/smallholders, service providers and contractors.",{"$nulls":6},{"$f":"IF(OR(G19<>\"\",I19<>\"\"),1,\"\")","v":""},"",""]
[null,null,"1.1.3 A system to ensure the prevention of all forms of bribery, conflicts of interest and fraudulent practices shall be implemented and maintained.","The farm management must demonstrate that a no-corruption policy has been implemented and that all contracts and/or agreements include a clause referring to the no-corruption policy. Verify the farm management can demonstrate that decision processes are managed to avoid bribery, conflicts of interest and fraudulent practices. \nCheck for evidence of training sessions on avoiding unethical practices and risks related to bribery, conflicts of interest, corruption and fraudulent practices. Check for evidence that the training sessions regularly take place and that workers and management participate.\n\nInspect policy documents and training material and verify that contents reflect measures for avoiding bribery, conflicts of business interest and fraudulent practices.\n                          \nInterview farm management staff, trainers, contract farmers/smallholders, service providers, contractors, workers’ representatives and workers to confirm the existence and implementation of the no-corruption policy.\n","Documentation of anti-corruption policy, contracts (with workers and service providers), documentation of due diligence process, declaration of compliance with applicable laws, organisational chart with responsibilities and functions, training documentation (contents and agenda, trainer name and qualification, minutes, list of participants, and materials).\n\nInterviews with the farm management staff, trainers, contract farmers/smallholders, service providers and contractors, worker representatives and workers confirm the existence and implementation of the no-corruption policy. \n",{"$nulls":6},{"$f":"IF(OR(G20<>\"\",I20<>\"\"),1,\"\")","v":""},"",""]
["1.2","All parties involved in the agricultural operation and related activities shall be committed to respecting human rights in all operations and transactions. ","1.2.1 A written policy, in a language understood by all parties involved in the agricultural operation and related activities, shall make a commitment to human rights, including the human right to food, in all operations and transactions, and this policy shall be made available and communicated to all parties involved in the operation.","Check whether management and worker representatives have signed and visually displayed – at least in office areas – a written commitment to human rights, including the human right to food, in all operations and transactions. Ask for documentation on the nationalities of employed workers and cross-check to ensure the written policy is reported in a language understood by all parties. Conduct an interview with workers and management (separately) to verify policy implementation.  \n\nThe manager must know the human rights declaration. The implementation of the policy must be documented and communicated to all levels of the workforce and operations.\n","Documentation of written policy on Human Rights including Human Right to Food in different languages, as well as integration in organisational process (contracts, general documentation).\n\nInterviews with farm management staff, trainers, contract farmers/smallholders, service providers and contractors, worker representatives and workers in order to confirm the existence and implementation of the human rights declaration.   ",{"$nulls":6},"","",""]
["Principle 2: Respect national food security and development strategies ",{"$nulls":10},"","",""]
["2.1","The farm management/group manager shall endorse national strategies with regard to food security and these strategies shall not be contradicted by any business activities. ","2.1.1 The management staff shall be aware of the overall food-security situation in the country.\n\n\n","Ask staff in charge of food security issues the following questions about the country’s food security:\n- What are the main drivers of food insecurity based on the results of the National Food Security Assessment (NaFSA) Tool?\n- What is the percentage of the population suffering from hunger, undernourishment, malnourishment and poverty in the country and the region where the farm is situated?\n- Are there vulnerable groups (e.g. poor smallholders, indigenous groups, single women, elderly people) in the vicinity of the farm? \nAsk about attendance to events on food security and key information learned.\n","Documentation on the food security situation of the country and, if available, on the local/regional situation. Proof of participation in events/training on food security.",{"$nulls":6},"","",""]
[null,null,"2.1.2 All relevant and applicable national and local strategies connected with food security shall be well known and not contradicted.\n","Verify that farm management can demonstrate the existence or development of internal data and/or a document register system containing all applicable strategies for national and local food security. The farm management should be able to provide a written commitment to avoid activities hampering the objectives and implementation measures of national and local strategies. This written commitment should be made public and therefore present at public forums and at the production site. \n\nExamples of strategies present in the country of the production site that have to be reported in the system include but are not limited to:\n- National food security strategy\n- Poverty reduction strategy\n- National and local agricultural strategies/plans\n- National and local development program\n- Climate mitigation and adaptation strategies\n- Local land use plan\n\nAsk relevant staff about the content of the strategies and about attendance to events/training sessions related to these strategies.\n","Visual inspection of the register system and of its documents. Visual confirmation that written commitment is available on-site and at website.\n\nDocumentation of content and agenda of events/training; names and positions of participants. \n\nInterviews with relevant staff.",{"$nulls":6},"","",""]
["Principle 3: Mitigate natural and human-made disaster risks",{"$nulls":10},"","",""]
["3.1","Natural and human-made disaster risks shall be mitigated and procedures shall be in place to ensure a proper response to emergencies. ","3.1.1 Natural and human-made disaster risks in the area of influence of the operation have been identified. Relevant governmental emergency/contingency plans are known.\n","Ask the staff responsible for risk management (or the like) about potential natural and human-made disasters in the region (e.g. drought, floods, earthquakes, extensive fires, landslides, tsunamis, volcanic eruptions, tornados or hurricanes, pests).\n\nThe responsible person must be able to list potential natural and human-made disasters and the existing emergency/contingency plans (whether developed by the farm, government actors or other entities).\n\nInterview external stakeholders such as community representatives, local authorities and local NGOs to confirm findings.  \n","Documentation on the subject; evidence of local emergency/contingency plans (whether governmental or otherwise).\n\nInterviews with staff responsible for risk management (or similar). Interviews with external stakeholders such as community representatives, local authorities and local NGOs to confirm findings.  ",{"$nulls":6},"","",""]
[null,null,"3.1.2 A contingency and risk mitigation plan for the farm and its area of influence has been developed and implemented. This plan shall be in line with existing government plans and appropriate for addressing local risks.","Confirm that farm management staff can answer questions about which external actors and internal personnel are responsible for emergency procedures. \nThe personnel responsible for implementation should be able to demonstrate the processes and the available equipment for safeguarding workers and nearby communities. There should be a contingency and risk mitigation plan available in languages understood by all workers. The plan must be formulated in a way that is easy to understand while including concrete measures for safeguarding and supplying food and water. The farm management staff responsible for risk management must be able to demonstrate that the operation unit works in coordination with the authorities to ensure that workers and nearby communities have access to food and water for any contingency. All workers and staff personnel must be informed about risks and existing emergency plans.\n\nThe plan should at least contain the following:\n- An assessment of natural, human-made and operational risks\n- Measures to mitigate risk and increase resilience, especially regarding recurring natural hazards\n- An emergency plan that takes into account food and drinking water supply for workers, contract farmers/ smallholders, and nearby communities in case of emergency\n- Procedure to coordinate with existing local contingency/emergency plans\n\nInterview workers and external stakeholders such as local authorities, community representatives and local NGOs to confirm findings.\n","Paper documentation of the contingency and risk mitigation plan; maps; documentation of emergency and safety procedures; inspection of storage rooms and protective equipment; inspection of facilities for communicating emergency at the production site.\n\nInterviews with workers and external stakeholders such as local authorities, community representatives and local NGOs to confirm findings.  ",{"$nulls":6},"","",""]
["Access Pillar",{"$nulls":10},""]
["Principle 4: Ensure market access and contribute to local development",{"$nulls":10},""]
["4.1","Local value creation must be supported.","4.1.1 Measures to support local value creation and close income gaps in the area of influence of the operation shall be identified in a consultation process with relevant stakeholders and implemented. \n","Verify through available documentation the outcomes of stakeholder consultation in supporting local value creation. Check if: \n- Manager reports on measures have been planned and/or implemented\n- The consultation process has been documented\n- Workers and relevant stakeholders can confirm what the manager has reported\n\nExamples of measures to support local value creation:\n- Employment of local workers    \n- Rising inclusion of local contract farmers/smallholders in the supply chain\n- Investment in local processing facilities\n- Creating and maintaining school/training centres\n- Supporting shops selling local food products\n- Purchasing local products and services wherever possible\n- Offering contract farmer schemes for smallholders\n- Any other income-generating activity that helps close income gaps\n\nVerify through visual inspection, documentation and interviews if economic activities are implemented/supported by the farm management in addition or as a complement to the core operation.\n                                                                                              \nInterview responsible farm management staff, workers and community representatives to confirm findings.\n","Implementation plan, including description of measures and allocated budget; documentation of stakeholder consultation process.\n\nVisual inspection of implemented measures. \n\nInterviews with responsible management staff, workers and community representatives to confirm findings.  ",{"$nulls":6},"",{"$f":"IF(H30=\"\",\"\",1)","v":""},""]
["4.2","Access to markets for local communities must not be reduced.","4.2.1 The time and effort required for local communities to access food markets must not be negatively influenced by farm’s operations.","Access to local markets and stores for communities (e.g. via transport routes) must be assured. All routes to the farm traditionally used by communities must be maintained and kept accessible to the community. In the event of changes, proof must be shown that distances have not become significantly longer than in the past. \n\nCheck the security practices at the entrances to the organization’s land. Are there guards and permanent road blocks? Are roads too narrow for transport larger than motorbikes? Are roads open to community members travelling with motorbikes and business vehicles? Verify if there is considerable interest in public safety and if checkpoints are closed at certain times. Opening and closing procedures for the gate, barrier, etc. should be reviewed. Check that the guidance map demonstrates that access is not negatively affected (i.e. routes that are too long or not convenient). Check that roads are well maintained and drivable.                                                                    \n\nInterview farm management staff, workers, local representatives, community members and guards.\n","Records of entry and access, records of community consultations, map of the area including roads.\n\nInterviews with relevant farm management staff, workers, representatives from the local community and guards. ",{"$nulls":6},"","",""]
["Principle 5: Safeguard long-term farm profitability and fair business conduct",{"$nulls":10},"","",""]
["5.1","The operation shall be economically viable in the long term.","5.1.1 A business or management plan shall be available, implemented, and regularly reviewed and updated, and shall include plans and measures to support the long-term economic viability of the operation.\n","Verify that the farm management has developed and implemented a business or management plan. This plan should include activities to ensure the farm’s economic viability while also taking into account social and environmental principles, such as the sustainable optimization of yield and input efficiency. In addition, the plan should include market requirements and risk mitigation strategies (e.g. for drought, price fluctuations or climate change). The business or management plan must be regularly reviewed and, if necessary, updated by the farm management.\n\nInterview farm management, farm management staff responsible for agricultural operations, and agricultural service providers.\n","Written business or management plan.\n\nInterviews with farm management and management staff responsible for agricultural operations; interviews with relevant service providers. \n\n",{"$nulls":6},"","",""]
["5.2","Fair, legal and transparent arrangements shall be implemented with all contract/smallholder farmers and service providers.","5.2.1 Written contracts/agreements formulated in a language understood by all parties shall be in place and co-signed copies shall be made available to all parties. In the case of group contractual arrangements (e.g. cooperatives), all members shall have a copy. Agreement/contracts shall clearly define:\n- price/quality parameters,\n- exit arrangements, and\n- compensation measures in the event of farm/group manager bankruptcy.","The arrangements can be verified through contracts, bills or any signed agreement. Are the contract farmers/smallholders independent or a part of the farm group? Agreed payments must be made in a timely manner.\nCheck essential indicators:\n(1)  The contracts must be in an appropriate language and co-signed copies must be available to both parties. In the case of group contract arrangements, all members must have a copy.\n(2)  Payments for harvests must be calculated on paper and signed and handed over to contract farmer/smallholder for his/her own record keeping.\n(3)  Provisions governing price/quality parameters must be clearly defined in the contract.\n(4)  The contract must contain clear provisions on exit arrangements, buy-out possibilities, the transfer of property deeds (when appropriate), and compensation measures in the event of parent organization bankruptcy (when legally required/applicable).\n\nCheck there are meeting minutes that provide evidence of regular discussions/negotiations between farm management and contract farmer/smallholder representatives and service providers.                                                                           \n\nInterview farm management staff responsible for contracts as well as a sample of farmers and service providers.\n","Applicable contract details, delivery notes and invoices.\n\nInterviews with farm management staff responsible for contracts, a sample of farmers, and service providers.",{"$nulls":6},"","",""]
[null,null,"5.2.2 The prices paid to contract farmers/smallholders must be fair. In the case of smallholders, the prices shall be based on living income estimates, when they are available for the region. If no living income estimates are available, prices shall be set following the FAO Guiding Principles for Responsible Contract Farming.","Check contracts between contract farmers/smallholders and farm management on fair price agreements. Verify that pricing in purchase or service agreements is done according to defined quantitative and qualitative parameters both parties agree on. The farm management should always offer fair prices to smallholder farmers with reference to local living income estimates. If respective information is not available for the region, the FAO \"Guiding Principles for Responsible Contract Farming\" must be known by the farm management and applied in price negotiations.\n\nInterview farm management and personnel responsible for accounting. Confirm findings through interviews with contract farmers/smallholders. ","Contracts, documentation of price calculations based on living income estimations or (in the absence of such estimates) FAO Guiding Principles for Responsible Contract Farming.\n\nInterviews with farm management and personnel responsible for accounting. Confirm findings through interviews with contract farmers/smallholders. ",{"$nulls":6},"","",""]
[null,null,"5.2.3 Agreed-upon payments to farmers/smallholders shall be made in a transparent and timely manner.","Check invoices and receipts. Compare this documentation with contractually defined payment amounts, methods and timeframes. Evidence of payment should be provided on paper (signed or fingerprinted) and handed over to the contract farmer/smallholder for his or her own record keeping.\n\nInterview farm management and personnel responsible for accounting. Confirm findings through interviews with contract farmers/smallholders.","Invoices and receipts.\n\nInterviews with farm management and personnel responsible for accounting. Interviews with contract farmers/smallholders for cross-checking purposes.\n\n",{"$nulls":6},"","",""]
["Principle 6: Respect labor rights and ensure good working conditions",{"$nulls":10},"","",""]
["6.1","All workers shall be provided with written contractual agreements that are fair and legally valid.","6.1.1 Workers shall have written employment contracts. Employment contracts shall be in a language understood by all parties, signed by the worker and employer, and include at least the following: job description; working hours; pay rate; overtime regulations; social benefit entitlements and deductions; annual paid leave; maternity leave; protection of the worker from loss of pay in the case of illness, disability or accident; and a notice period for termination that is the same as the notice period for the employer. ","Check whether:\n- all workers are provided with fair legal contracts that they understand.\n- contracts are signed by both the worker and employer.\n- contracts detail all payments and conditions of employment, e.g. job description, working hours, pay rate, deductions (including itemization, e.g. loan, rice, cooking oil, housing, etc.), overtime regulations, sickness, holiday entitlement, social benefit entitlements, annual paid leave, maternity leave, reasons for dismissal, period of notice for termination). \n- contracts are written in a language understood by all parties and, if needed, explained carefully by a manager/ supervisor, or by a person of trust if the worker is illiterate. \n- records indicate that copies of working contracts have been made available to every worker.\n- records are kept for at least 24 months. If a registration system exists, copies of working contracts should be registered with the labor authority in the country where production takes place.\n- all contract requirements are equally extended to contract farmer/smallholders.                                                                \n\nInterview workers and worker representatives and cross-check information provided by farm management.  ","Random sample of contracts with workers and contract farmers/smallholders. Inspection of registration system (if one exists).\n\nInterviews with workers and worker representatives for the purpose of cross-checking information provided by farm management.  ",{"$nulls":6},{"$f":"IF(OR(G38<>\"\",I38<>\"\"),1,\"\")","v":""},"",""]
["6.2","The farm management/smallholder shall pay all workers a decent wage and provide conditions of employment that respect legal requirements or collective bargaining agreements, whichever sets the higher standards.","6.2.1 All workers shall receive at least a living wage in line with the estimations for the country or region made by the Global Living Wage Coalition (if available). If no living wage has been calculated for the country or region, then wages shall at least fulfil legal regulations (government regulated minimum wages), industry minimum standards or collective bargaining agreements (whichever sets the highest standard). ","Ask the farm management, contract farmers/smallholders and workers if they are informed about living wage standards.\n\nAsk how wages have been set. Check whether payslips for all workers demonstrate that living wages (if such data are available) are paid in line with the Global Living Wage Coalition or at least the highest wages resulting from a comparison between legal/industry minimum standards and collective bargaining agreements. Check in workers contracts if these criteria and setting of specific wages are documented. Check contracts and payslips and compare wages paid to living wages or, if such data do not exist, to the highest wage resulting from this comparison. \nRefer to the website of the Global Living Wage Coalition for details: https://www.isealalliance.org/our-work/improving-effectiveness/global-living-wage-coalition\n\nCheck whether minutes of meetings are available that provide evidence of regular discussions or negotiations between management and worker representatives. \n\nInterview workers involved in negotiations and unions representatives as well as individual workers to cross-check information provided by farm management. ","Contracts, payslips, national and sectoral regulation/ documents, Standard Operating Procedures (SOPs), relevant meeting minutes.\n\nInterviews with workers involved in negotiations, union representatives as well as individual workers to cross-check information provided by farm management. ",{"$nulls":6},"","",""]
[null,null,"6.2.2 If payments are calculated by piecework (i.e. based on production rather than hours) or by task, the pay rate must allow workers to earn at least the wage set in line with Indicator 6.2.1, based on regular (legal) working hours under average conditions. Information about this pay rate must be transparent and available to all workers and worker’s organizations. ","Check how the calculation of payment per piecework is performed and if the methodology is appropriate and in accordance with indicator 6.2.1. If, due to bad weather conditions or drought, piece rate workers are offered a different form of work than the usual task, this process and payment should be transparent and documented. \n(see example calculation in Annex V of the auditor handbook.)\n\nNext, examine the contracts and payslips of different workers (men/women, different ethnical groups, local/foreign) and conduct separate personal interviews with them to check and confirm findings. Ask the management how information regarding payment practices is communicated to workers.\n","Contracts, payslips, national and industry specific regulations/documents, standard operating procedures (SOPs), documentation of calculation method for piecework payments, documents on remuneration system.",{"$nulls":6},"","",""]
[null,null,"6.2.3 Working hours, leave and additional benefits shall comply with, or exceed, applicable statutory regulations, sector minimum standards or collective bargaining agreements (the conditions most beneficial to workers should apply).","Analyse national legislation, standards in the sector and collective bargaining agreements and identify the most stringent standards regarding working time (per week or per month), guidelines on leave and other employment benefits. Check if there is a labor union that has set collective bargaining agreements or ask the farm management for these documents. Ask the management about measures to ensure that working time adheres with the most stringent standard. Check the contracts and payslips of different workers (men/women, different ethnic groups, local/foreign, operational levels) to confirm adherence with the most stringent working-time standard.\n\nInterview different workers and worker representatives to confirm information from the management. ","National and industry-specific regulations/documents (e.g. national working hours act), collective bargaining agreements, contracts and payslips, work schedules, time cards, documentation of leave.\n\nInterviews with different workers and worker representatives to cross-check information from farm management. ",{"$nulls":6},"","",""]
[null,null,"6.2.4 It shall be demonstrated that no deductions from wages are made unless they are permitted by national laws or fixed by a collective bargaining agreement. If deductions from wages are made for any provided service, the amounts deducted must be fair and in line with the actual costs incurred, and deductions shall not be used as a disciplinary mechanism. ","Analyse national legislation and collective bargaining agreements and identify conditions (if any) permitting deductions to wages and verify that these conditions are complied with. Ask the management if and what type of deductions are made and check that there is awareness for regulations regarding deductions. \nIf workers are absent from work without a reason (e.g. not because of holiday, illness, private emergency, accident, etc.) and their pay is reduced because of this, management must document this, including a date and time. If possible, this documentation should be countersigned by the worker. \nAnalyse the contracts and payslips of different workers (men/women, different ethnic groups, local/foreign) and conduct separate personal interviews with workers to confirm and cross-check information.\n\nCheck contracts or agreements made between the management and workers that payments are agreed to and follow a fixed schedule. Also ensure that the amount of money deducted for loans, insurance, or payments in kind are fair and reflect real costs. Compare deductions with amounts typically charged by external service providers, banks, insurance companies, etc. The farm management must ensure that the deductions do not threaten food security or living conditions (accomodations, health, etc.) of the worker or his/her family, and are not used for disciplinary purposes.   \n\n ","National and industry-specific regulations/documents; documents on collective bargaining agreements; contracts and payslips; list of regular deductions made; special contracts or agreements between farm management and workers. \n\nContracts and payslips of different workers (men/women, different ethnic groups, local/foreign).\n\nInterviews with workers to confirm and cross-check information.",{"$nulls":6},"","",""]
[null,null,"6.2.5 It shall be demonstrated that workers are not requested to bring their own protective equipment, uniforms or tools.","Check whether protective equipment, uniforms and tools are provided by the farm management on-site at every working area where equipment is needed and/or required (whether legally or practically). Confirm there is a storage room or specific area/corner where the protective clothes and tools are stored and available for all workers in sufficient quantity. Ask the farm management for a documentation/list of purchased protective equipment and tools that is regularly updated. \n\nInterview different workers and worker representatives about the available protective equipment and uniforms provided by the farm management to confirm that the workers are not requested to and do not bring their own tools from home. Also ask whether the farm management regularly replaces worn/defective equipment.\n ","Documentation/list of purchased protection equipment; national and industry specific regulations/documents.\n\nInterviews with different workers and worker representatives.",{"$nulls":6},"","",""]
[null,null,"6.2.6 Workers shall be paid at regularly scheduled intervals (at least monthly) and in a legal tender.","Analyse contracts and payslips for different workers (men/women, different ethnic groups, local/foreign) and conduct separate personal interviews with them. Analyse national legislation and identify the minimum payment interval for the sector (i.e. per week or per month). Ask management how workers are paid specifically.\nSOPs (Standard Operating Procedures) regarding the payment process should be available. If no SOPs are available, ask farm management and workers separately about agreed payment intervals and about proof of payment.                                                                                  \n","National and industry-specific regulations/documents; contracts, payslips, SOPs (Standard Operating Procedures).\n\nInterview workers and worker representatives.",{"$nulls":6},"","",""]
[null,null,"6.2.7 Payments shall be documented with a payslip containing all relevant information and in a language understood by all parties.\n                           ","Analyse the payslips of different workers (men/women, different ethnic groups, local/foreign, operational levels). Identify the nationalities and languages of workers and verify that the payslip is written in a language understood by all parties.\n\nMinimum information that should be stated on the payslips:\n- Farm/farm name and address\n- Name of worker paid\n- Date of payment\n- Total amount of payment (wage) paid\n- Any deductions like tax, health insurance, loans, up-front wage payments, payments in kind (food, water, electricity, etc.)\n- Days paid for holidays\n- Days paid for maternity leave\n- Days paid for sick leave\n- Days not paid due to absence of worker without reason                                                                      \n\nIn the case of illiterate workers there should be a person of trust who assists with questions regarding payslips and confidential data, to explain carefully the content of the payslip to the illiterate worker, e.g. a worker representative or social worker.\n\nInterview workers and worker representatives.","Contracts, payslips, national and industry-specific regulations/documents.\n\nInterviews workers and worker representatives.",{"$nulls":6},"","",""]
[null,null,"6.2.8 Permanent employment relationships shall be used for all core work performed in the operation. Temporary, seasonal and casual (day labour) must be limited to jobs that are temporary, seasonal or occasional/intermittent, and not used to avoid the obligations of permanent employment.","Review a sample of worker contracts at different work levels to verify that permanent employment is used wherever possible in all core activities of the operation. Check temporary, seasonal and casual (day labour) contracts on agreements, rights and duties of the worker and verify that no obligations that favor the worker are circumvented. Check temporary contracts, e.g. regarding job description, duration, (repeated) contract extensions.\nTalk to the farm management and examine whether there are any indications that the organisation is circumventing permanent employment. Ask workers at different work levels with permanent and temporary/seasonal/ocassional contracts about their contract conditions, fluctuation of employment, internal job offers and agreements with the farm management.","Sample of contracts of different work levels to determine employment conditions (temporary, seasonal and casual), payslips.",{"$nulls":6},""]
["6.3","People involved in farm operations shall not be subjected to any form of discrimination based on race, color, gender, religion, political opinion, national extraction, social origin, sexual orientation, family responsibilities, marital status, union membership, age or any other condition that could give rise to discrimination.","6.3.1 An equal opportunities policy that identifies relevant/affected groups shall be made available and publicly communicated.","Check whether there is a publicly available equal opportunities policy that includes identification of relevant/affected groups, and check the document regarding the quality and scope of the policy.\nInterview workers and management staff to confirm that all workers and staff are informed and aware of the existence of this equal opportunities policy and know its contents. \n\nCheck if the policy document can be accessed by everyone online or in a written form or as a notice in a public place on site.","Equal opportunities policy document.\n\nInterviews with workers and management staff to confirm that all workers and other personnel are aware of and informed about equal opportunities policy. ",{"$nulls":6},"",{"$f":"IF(H47=\"\",\"\",1)","v":""},""]
[null,null,"6.3.2 Awareness shall be raised regarding equal opportunity as part of regular training activities.","Ask management/training staff about the organisation of equal opportunities training. Check training content, materials, agendas, frequency (at least once a year), and minutes.\n\nInterview workers to confirm findings.","Training content and agenda, trainer name and qualification, list of participants, training records, training materials.\n\nInterviews with workers to confirm findings.",{"$nulls":6},"","",""]
[null,null,"6.3.3 Workers shall not be subjected to any form of discrimination in hiring, pay, benefits, access to training, promotion, termination, retirement or any other aspect of employment, based on race, color, gender, religion, political opinion, national extraction, social origin, sexual orientation, family responsibilities, marital status, union membership, age or any other condition that could give rise to discrimination.","Analyse the contracts and working duties of different workers (men/women, different ethnic groups, local/foreign) and conduct separate personal interviews with them and the management to confirm findings. Check the work contracts and hiring practices: is there a difference between permanent, casual and temporary staff?\n \nConfirm there is no indication that workers are subjected to any form of discrimination (distinction, exclusion or preference) that denies or impairs equality of opportunity, conditions or treatment in hiring, remuneration, benefits, access to training, promotion, termination, retirement or any other aspect of employment based on individual characteristics, group membership or association, including: race, color, gender, religion, caste, political opinion, national extraction, social origin, sexual orientation, family responsibilities, marital status, disability, union membership, age or any other condition. \n\nInterview representatives from the local community and local NGOs to check whether discrimination is present.\n\nCheck if there are compliance issues or grievances related to discrimination practices (see verification guidance and evidence related to indicator 14.1.1).  ","National and industry-specific regulations/documents; contracts and payslips; records of grievances and complaints.\n\nInterviews with representatives from the local community and local NGOs to determine if discrimination is present.\n\n",{"$nulls":6},"","",""]
[null,null,"6.3.4 Contract farmers/smallholders shall not be subjected to discrimination in contracts, payments, access to training or any other aspect of the business relationship, based on race, color, gender, religion, political opinion, national extraction, social origin, sexual orientation, family responsibilities, marital status, union membership, age or any other condition that could give rise to discrimination.","Analyse contracts of different contract farmers/smallholders and confirm there is no indication that contract farmers/ smallholders are subjected to any form of discrimination (distinction, exclusion or preference) that denies or impairs equality with a view to contract signing, agreements, payments, adherence to payment targets, access to training, termination or any other aspect of the business relationship based on individual characteristics, group membership or association, including race, color, gender, religion, caste, political opinion, national extraction, social origin, sexual orientation, family responsibilities, marital status, disability, union membership, age or any other condition. \n\nConduct separate personal interviews with contract farmers/smallholders and the management to confirm findings. Interview representatives from the local community and local NGOs to check if discrimination is present.\n\nCheck if there are compliance issues or grievances related to discriminatory practices (see verification guidance and evidence related to indicator 14.1.1).    ","National and industry-specific regulations/documents, contracts, evidence of payment, records of grievances and complaints.\n\nInterviews with contract farmers/smallholders and representatives from the local community and local NGOs.\n\n",{"$nulls":6},"","",""]
["6.4","Occupational safety and health conditions for workers shall adhere to recognized national and international standards.\t\n\t\n\t\n\t\n\t\n","6.4.1 A health and safety policy appropriate to the type and size of the operation, and which applies to all people working for the operation, shall be adopted and follow ILO Convention 184 (Safety and Health in Agriculture) or national laws (if they are more stringent).","The farm management can demonstrate that a policy for health and safety is available and have been distributed to the workers and contract farmers/ smallholders. The policy is consistent with the provisions of the ILO Convention 184 (Safety and Health in Agriculture) or with national laws, if they are more stringent than ILO provisions.                                                                              \n\nInterview workers to confirm that they are aware of the policy.","Documentation of internal policy on safety and health in agriculture.\n\nInterviews with workers to confirm that they are aware of the policy.",{"$nulls":6},"","",""]
[null,"Conditions of occupational safety and health for workers shall follow internationally and nationally recognised standards.\n","6.4.2 All people working for the operation shall be provided with health and safety training specific and relevant to the task performed. Training shall cover:\n\n- Work-related health and safety risks \n- Preventative measures for minimising those risks\n- Work-related risks to the environment and/or society\n- The proper transport, storage and handling of hazardous substances and waste\n- Accident and emergency procedures and measures, including the interpretation of labels, markings, signs, and other safety relevant audio and/or visual signals (see Indicator 6.4.3)","Verify that the farm management provides training on work-related health and safety risks and preventative measures for minimizing those risks to all workers and employees considering specific work tasks. Verify training documentation to ensure coverage of environmental and social risks and the correct application, transport, storage and handling of hazardous substances and waste. Training material should inform workers about existing accident and emergency procedures and measures, and show and explain health and safety risk signs, symbols and signals used by the farm.\nThere should be evidence that training regularly takes place and that workers and management participate in such training at least every two years. In the case of new workers, training must be conducted prior to starting working for farm managment.\n\nInterview farm management staff responsible for training. Interview workers to cross-check information provided by the farm management and confirm that workers understand and are able to explain examples of risk signs in the immediate vicinity.","Training content and agenda, trainer name and qualification, list of participants, training records, training materials.\n\nInterviews with farm management staff responsible for training and with workers.",{"$nulls":6},"","",""]
[null,"Conditions of occupational safety and health for workers shall follow internationally and nationally recognised standards.\n","6.4.3 Emergency and accident procedures appropriate for the operation shall be made available and periodically updated based on records of work-related accidents (see Indicator 6.4.4).\n","Verify that farm management can demonstrate the existence of an internal organisational system and/or processes guaranteeing the implementation and maintainance of measures addressing emergencies and accidents and their monitoring.\n\nExamples of measures addressing emergencies and accidents are:\n- The presence of an escape and rescue plan in case of fire or the spillage of dangerous chemicals\n- Signboards indicating escape routes\n- Regular training and simulations of emergency situations (at least once a year)\n\nConduct separate personal interviews with workers in different operations/processes. Confirm that workers are informed about emergency procedures/measures and understand all steps, particularly with relevance to their personal work place and task. ","Visual inspection of the production site (for signboards, emergency tools, etc.); accident and emergency records; escape and rescue plan; training contents and agenda; trainer name and qualification; list of participants; training records and materials.\n\nInterviews with workers.\n",{"$nulls":6},"","",""]
[null,"Conditions of occupational safety and health for workers shall follow internationally and nationally recognised standards.\n","6.4.4 Records of all work-related accidents shall be kept.\n","Check if digital or paper records of work-related accidents are available at the production site. Check through direct interviews with the farm management staff responsible for health and safety that measures have been implemented for reduction of risk following a work-related accident. \nCross-check the information through interviews with workers and clinic or hospital staff, if available. \n                                                                                                                           \n ","Up-to-date accident and emergency records (whether digital or on paper).\n\nInterviews with workers and clinic or hospital staff (if available).",{"$nulls":6},"","",""]
[null,"Conditions of occupational safety and health for workers shall follow internationally and nationally recognised standards.\n","6.4.5 First aid and emergency response material shall be available in sufficient quantity (i.e. readily available and accessible to workers) and in sufficient quality (i.e. up-to-date, periodically inspected and appropriate to address relevant hazards and risks) at all sites, including mobile facilities and in the vicinity of agricultural sites. Designated people on the farm shall be knowledgeable as to the presence and use of such equipment.","Check whether first aid kits and emergency response material (fire fighting and spill-response equipement) are available according to national regulations and recommendations and if they are accessible at all sites (offices, storage areas, repair shops, in the field and at other relevant places). When necessary, portable first-aid kids should be made available so that workers always have access to them when on the job. Check if it is ensured that first aid medical services can be provided in case of emergencies. Check that selected personnel receive training on first aid and that workers are knowledgeable about such equipment and its use.\n\nInterview farm management staff responsible for health and safety. Confirm findings through interviews with workers and personnel that have received first aid training.  ","Health and safety documents; visual inspection of first aid kits, fire fighting and spill-response equipment; training contents and agenda; trainer names and qualifications; list of participants; other training records and materials.\n\nInterviews with farm management staff responsible for health and safety, as well as workers and personnel that have received first-aid training.",{"$nulls":6},"","",""]
[null,"Conditions of occupational safety and health for workers shall follow internationally and nationally recognised standards.\n","6.4.6 Personal protective equipment (PPE) shall be provided to all people working for the operation to protect them from all occupational health and safety hazards associated with their respective tasks (e.g. use of agrochemicals or power tools).","Check if all workers dealing with hazardous chemicals/materials and machinery are provided with protective equipment and clothing appropriate to their tasks and given protection requirements. Verify that the protective equipment and clothing are replaced as soon as possible when damaged or defective. \n\nThere should be a register of all provided protective equipment, including signatures from the workers who received them. Instructions on how to clean the equipment and clothing (sequence of undressing, use of water or specific cleaning products, handling of waste/wastewater, location for cleaning) should be available and given to the involved workers.\n\nInterview farm management staff responsible for health and safety. Confirm findings through interviews with workers.  ","Visual inspection of protective clothing and documentation that workers have received instruction.\n\nInterviews with workers as well as farm management staff responsible for health and safety.",{"$nulls":6},"","",""]
["6.5","The right of all personnel to form and join trade unions of their choice and to bargain collectively shall be respected. ","6.5.1 A policy recognising freedom of association and the right to collective bargaining shall be made available and explained to all workers in languages that they understand. If the right to freedom of association and collective bargaining is restricted under domestic law, alternative means of independent and free association and bargaining for all personnel shall be provided.","Check if a policy is developed and implemented by the farm management authorizing the right of all workers involved in farm activities to engage in collective bargaining and freedom of association. Ideally, this policy should be based on ILO Convention 87 on \"Freedom of Association and the Protection of the Right to Organise\" and ILO Convention 98 on \"the Right to Organise and Collective Bargaining\". The policy should be provided and communicated to all workers involved in farm activities and available in languages understood by all. Check whether the policy is publicly accessible at all times at an official place. \nIf existing national/local laws restrict freedom of association and collective bargaining, the policy should address alternatives to allow for independent and free association and bargaining within the operation.","Written policy on freedom of association and right to collective bargaining (policy should be available in all relevant languages); existing relevant national/local laws.\n",{"$nulls":6},""]
[null,null,"6.5.2 Workers shall have the right to establish and join worker organizations based on their own free choice, without influence or interference by the farm management/group manager/smallholder.","Do worker organizations exist? Check that all workers are free to establish and to join worker organizations of their own free choice or organize themselves to perform collective bargaining. Verify that the farm management supports the establishment of effective worker committees/organizations, or at least not engage in activities that impede their function.\nTalk to workers at different work levels and with committee members and ask if worker organizations are functional and whether the participation and engagement of persons is not directly or indirectly influenced or prohibited by the farm management. ","Documentation confirming existence of worker organizations, meeting records, member lists.\n\nInterviews with workers and workers representatives.",{"$nulls":6},""]
[null,null,"6.5.3 Worker organizations shall operate without interference or influence by farm management, the farm owner or group manager. ","Verify that workers have the right to organize and operate in worker organizations in established organizational structures and meeting forms (i.e. election of representatives, regular meetings, publication of protocols or meeting results accessible by all workers). Ensure that working conditions can be freely negotiated and elected representatives are recognized by the farm management, owner or group manager. Check whether collective bargaining agreements are accepted by the management. \nThe cooperation between worker organizations and management should follow a regulated procedure based on known international practices. Joint meetings should be conducted regularly.\nConfirm management does not influence organization members or interfere in favor of management interests.\n\nInterview farm management about the acceptance and implementation of worker organizations and their connection and collaboration with the management. Cross-check information through interviews with workers, workers representatives and external stakeholders (NGOs).","Documentation confirming existence of worker organizations and meeting records, collective bargaining agreements, records of communication with management, member/representative lists, and procedures for cooperating with management.\n\nInterviews with farm management, workers representatives and external stakeholders (NGOs).",{"$nulls":6},""]
[null,null,"6.5.4 Members of workers’ organizations shall be provided with time needed to fulfil their tasks, whether during or outside regular working hours. Workers exercising this right should not be discriminated against or suffer repercussions. ","Talk to members of worker organizations to verify that they are free to spend their time to participate in the organization's work and have the possibility to fulfil associated responsibilities. Check whether work for the organization is, at a minimum, allowed outside regular working hours and if there is evidence from the management of support for organizational activities during official working hours. The farm management should know that it is prohibited to discriminate against members of workers' organizations or cause them to suffer negative effects from their membership. ","Documentation of time spent for organizational work by members; protocols of meetings.\n\nInterviews with workers representatives and farm management.",{"$nulls":6},""]
["6.6","No forms of forced or trafficked labor shall be used. ","6.6.1 All work shall be performed voluntarily and the following practices shall be prohibited: \n- Retention of identity documents or passports \n- Payment of recruitment or training  fees\n- Contract substitution \n- Involuntary overtime \n- Lack of freedom of workers to quit \n- Penalties for termination of employment \n- Debt bondage \n- Withholding of wages \n- Restrictions to freedom of movement","Verify that there is no use of forced, bonded or involuntary labor on the farm. Undertake a visual inspection of working conditions. \nConfirm that workers involved in farm activities are not requested to relinquish their identity papers to farm management, owner, group manager or a third party. Check salary slips and/or other documents to verify that wages are not garnished or reduced for disciplinary purposes or deposits (e.g. for accomodations, working clothes), for the termination of employment, or for recruiting activities, and confirm that mandatory overtime is prohibited.\n\nTalk to the farm management and confirm findings through interviews with workers from different work levels and workplaces (e.g. managment staff, farm workers, machine workers).\n\nConfirm findings through interviews with community representatives and other stakeholders such as local NGOs.  ","Salary slips, working contracts, visual inspection of the farm and production site. \n\nInterviews with farm management, workers, community representatives and other stakeholders (e.g. local NGOs).",{"$nulls":6},""]
["6.7","Children shall not be employed or exploited. ","6.7.1 A formal policy for the protection of children, including child-labor prohibition and remediation provisions, shall be in place and implemented.","Verify the availability and implementation of a written policy for the protection of children, valid for all farm activities and areas of influence. The policy must define a minimum age for children to work on the farm that complies with the ILO Convention 138 on \"Minimum Age for Admission to Employment\" as well as with the national/local legislation. \nCheck if the policy includes the prohibition of child labour according to ILO Convention 182 on \"Worst Forms of Child Labour\", including:\n\n(a) all forms of slavery or practices similar to slavery, such as the sale and trafficking of children, debt bondage and serfdom and forced or compulsory labour, including forced or compulsory recruitment of children for use in armed conflict;\n(b) the use, procuring or offering of a child for prostitution, for the production of pornography or for pornographic performances;\n(c) the use, procuring or offering of a child for illicit activities, in particular for the production and trafficking of drugs as defined in the relevant international treaties;\n(d) work which, by its nature or the circumstances in which it is carried out, is likely to harm the health, safety or morals of children.\n\nCheck if the policy sets restrictions and guidelines for child work on the farm, e.g. no minors (children under the accepted minimum age) are employed on the farm, no children of school age are employed during school hours, young workers do not undertake hazardous work compromising their health, safety or morals.\n\nThe policy shall include provisions regarding the identification of child labour and their remediation.\n\nInterview the farm management to ensure awareness of prevailing legislation regarding child labour. Also talk with workers and their families and children.","Written policy on the protection of children at work, digital or paper copy of relevant ILO Conventions, national/local legislation, guidelines for child work, procedures to identify child labor, documentation of actions against child labor.\n\nInterviews with farm management as well as workers and their families, including children.",{"$nulls":6},""]
[null,null,"6.7.2 Any type of paid or unpaid work by a child under the age of 15 shall be prohibited. The only exception shall be work by children on family smallholdings within own community, and this shall only acceptable under adult supervision and when it does not interfere with the child’s schooling or put his or her health at risk.","Verify that the farm management ensures that only workers who are above the minimum age allowed in the country but in any case at least 15 years old are permitted to work on the farm. Check if contracts include the workers’ date of birth to confirm minimum age. Does the farm management know about the obligation to prevent possible violations of child labour? (See indicator 6.7.1) Check if child work on farms is permitted by national/local laws. \n\nConfirm that no child labor or unsolved cases of child labor exist.\n\nDo the parents take their children to work instead of sending them to school or other educational programs?\n\nTalk to workers and external stakeholders (school, kindergarden, social NGOs, etc.) to confirm findings.","Workers contracts, national/local laws on child work/labor, visual inspection.\n\nInterviews with workers and external stakeholders.",{"$nulls":6},""]
[null,null,"6.7.3 Young persons shall only be employed in non-hazardous work, and protective restrictions shall be in place for such work.  ","Talk to farm management and verify through visual inspection that young workers (aged 15-18) do not undertake hazardous work that jeopardizes their health, safety, or morals, e.g. chemical spraying, handling of explosive material, exceedingly hard physical work (i.e. carrying heavy items, permanent work in a bent posture), work in risky areas, or work that is morally unacceptable.\n\nCheck whether there are specified working hours for young persons under applicable law, and that these rules are respected, e.g. no working time during school time; working hours between 7am and 9pm; no work at night. Verify restrictions on use of machinery, e.g. no use of heavy machinery/vehicles (e.g. driving of tractors, diggers, trucks) or power tools (e.g. chainsaws, drills).\n\nThe farm management must ensure that young workers are fully protected and receive adequate specific instructions or vocational training in the relevant branch of activity.\n\nInterview young workers and external stakeholders to confirm findings.","Visual inspection, information/instructions for managing young workers, vocational training documents.\n\nInterviews with young workers and external stakeholders.",{"$nulls":6},""]
["Principle 7: Provide training and capacity building",{"$nulls":10},"",{"$f":"IF(H65=\"\",\"\",1)","v":""},""]
["7.1","Training and capacity building focused on improving the agricultural livelihood of all farmers involved in the operation shall be provided.","7.1.1 A training and capacity building program that is addressed at all farmers involved in the operation shall be implemented and available. This program must be developed in consultation with farmers to ensure its contents are tailored to their needs.","Check whether a program has been developed and implemented together with the contract farmers/smallholders, including spouses if they are active in any way on the farm. Examples topics: adult literacy training, financial literacy, gender equity (transformative approaches), crop diversification, family gardening, machine or technology handling, etc.\nThe dialogue with the contract farmer/smallholders should be documented and lead to actions.                                            \n\nInterview contract farmers/smallholders (including spouses involved in farming).","Proof of budget allocation for training; documentation of the consultation with farmers (minutes, list of attendees,  pictures of the session).\n\nEvidence on training provided (training contents and agenda, trainer name and qualification, list of participants, training records, training materials).\n\nInterviews with contract farmers/smallholders (including spouses involved in farming).",{"$nulls":6},"","",""]
["Principle 8: Offer social safety nets",{"$nulls":10},"","",""]
["8.1","All people working for the operation shall have access to medical care.","8.1.1. All people working for the operation shall have sufficient and adequate medical care. Their families shall also have access to medical care if this is required by domestic law.","Medical care is defined as access to appropriate health insurance or, if not available, to equivalent health services. Check if workers are provided with medical care. Check also whether the worker's family has access to medical care, if this is required by national law.                                                            \nCheck the terms of the contract or agreement with the provider of medical care services to verify coverage. \n\nInterview farm management staff responsible for social insurance issues. Confirm information through interviews with workers and workers' representatives and external stakeholders such as local health care centers and social NGOs.  ","Documents on national legal requirements; contracts or agreements with medical service providers; payment documents to health care center or insurance companies; payslips to confirm no wage deductions; documentation of visits to doctors/medical offices; records of accidents, including workers and families involved.\n\nInterviews with workers, worker representatives, external stakeholders, and farm management staff responsible for social insurance issues.\n",{"$nulls":6},"","",""]
[null,null,"8.1.2 All people working for the operation shall have access to appropriate healthcare in the event of work-related illness or injury. These individuals shall have access to free transportation to the nearest hospital or on-site medical facility during working hours. In the event permanent on-site medical support is provided, equipment and training should be adequate to deal with accidents and acute poisoning. All people working for the operation shall have occupational accident insurance coverage.","-Check if workers are given free transport to the nearest hospital in an emergency and ask about the procedure following an accident/poisoning. \n-Check if all workers are covered by accident and medical insurance.\n-Check if there is a doctor/medical office onsite or nearby providing permanent medical support. \n-Check if the farm management has its own medical support; check whether an appropriate and sufficient budget has been allocated.\n-Check if external medical support services are contracted; check the contract and agreements with farm management.\n                                            \nInterview farm management's staff responsible for health and safety issues. Confirm information through interviews with workers and external stakeholders such as local health care centers.","Documentation of visits to doctors/medical offices; hospital documents; contracts or agreements with medical service providers; payment records to health care center or insurance companies; budget plan for medical support; payslips to confirm no wage deductions; records of accidents; insurance documents.\n\nInterviews with workers, external stakeholders, and farm management staff responsible for health and safety. ",{"$nulls":6},"","",""]
[null,null,"8.1.3 A policy shall be in place regarding regular sick leave and leave caused by employment injury. This policy must ensure that workers are protected from being dismissed during temporary sick leave. It must also guarantee the worker some form of income during sick leave. Sick leave should not count towards annual holiday leave. The policy should, at a minimum, adhere to domestic regulations.","Check if working contracts include rules regarding sick leave. Talk to workers and workers' representatives  and external stakeholders such as trade unions and social NGOs to verify whether temporary sick leave is/can be a reason for dismissal. Check accounting to verify whether sick leaves are paid and not deducted from annual leave (check payslips) and if national regulations on sick leave are complied with.                                                                                                                                \nEvaluate whether the length of the sick leave signed off by the doctor is appropiate considering the nature of the injury/illness. ","Relevant legislation, contracts, accounting documents, illness and payment records, payslips.\n\nInterviews with workers and worker representatives as well as external stakeholders such as trade unions and social NGOs.\n\n",{"$nulls":6},"","",""]
["8.2","All people working for the operation shall have access to a provident fund, pension system or equivalent compensation.","8.2.1 All people working for the operation shall have a provident fund or pension scheme. If national legislation has more stringent requirements, then this legislation must be adhered to. If pension arrangements cannot be provided to a subset of workers, e.g. migrant or temporary/seasonal workers, these workers must receive equivalent compensation. ","Check if a pension scheme or fund or equivalent compensation is available for all permanent workers and if an alternative version exists for temporary workers.                                                                           \n\nConfirm findings through interviews with workers and workers' representatives and external stakeholders such as trade unions and social NGOs.  ","Check national legislation, pension/fund documents or equivalent compensation documents, and evidence of payments to pension funds (payment sheets, payslips, accounting documents)\n\nInterviews with workers, worker representatives and external stakeholders.",{"$nulls":6},"","",""]
["Availability Pillar",{"$nulls":10},"","",""]
["Principle 9: Respect land rights",{"$nulls":10},"","",""]
["9.1","Existing land rights and land-use rights, including formal, informal and customary rights, shall be respected in accordance with the Voluntary Guidelines on the Responsible Governance of Tenure (VGGT). All decisions regarding land rights and land use rights, such as purchase, sale or valuation, shall be based on the free, prior and informed consent of all stakeholders. \n\t\n\t\n\t\n\t\n\t\n\t","9.1.1 Existing land rights and land-use rights, including formal, informal and customary rights, shall be assessed prior to the first audit, including FSS verification. Such an assessment shall also be conducted prior to acquisition/rental of land, and – in the case of contract farming or group certification – when new contract farmers or group members are added.","Check whether the farm management conducted an assessment of the actual local situation and if documentation exists regarding formal and informal customary rights, land rights and land-use rights. Talk to locals of the community and ask if they were consulted by the farm management and involved in the assessment of the existing legal rights situation.                         \n\nConfirm findings through interviews with community representatives and other stakeholders such as regional administrations and local NGOs.  ","Legal documents, land registers, relevant contracts, and, if necessary, consultations with regional administrators and NGOs.\n\nInterviews with community representatives and other stakeholders.",{"$nulls":6},"","",""]
[null,null,"9.1.2 It shall be demonstrated that there are legal, customary land-rights or land-use rights for the operation. For the period from 2012 onward, it must be demonstrated that the land-rights or land-use rights were obtained based on ‘free, prior and informed consent’ (FPIC) and following negotiated agreement with affected parties.","Check evidence provided by the farm management/management of land tenure and land-use rights and check that respective contracts are available. \nVerify if:\n- From 2012 onward, land and land use negotiations with indigenous people and/or local communities are based on consultation based on FPIC and there is document testifying that the FPIC process has taken place (refer to the \"Free, Prior and Informed Consent Manual\" of FAO or other recognized guidelines to verify adherence to the FPIC process)\n- Land tenure and land-use rights were obtained through legally authorized procedures and that documentation is original\n- Land expropriations have been duly compensated and performed according to officially authorized procedures\n- Legal procedures for land disputes and conflict resolution have been respected                                  \n\nConfirm findings through interviews with community representatives and other stakeholders such as regional administrations and local NGOs.  ","Legal documents, documenation of FPIC process, land registers, relevant contracts, and, if necessary, consult regional administrators and NGOs.\n\nInterviews with community representatives and other stakeholders.",{"$nulls":6},"","",""]
[null,null,"9.1.3 Land under legitimate dispute shall not be used for operations until such disputes have been settled through free, prior and informed consent and negotiated agreements with affected parties. Maps of an appropriate scale showing the extent of recognised legal, customary or use rights must be developed in a participatory process that involves affected parties (including neighbouring communities, when applicable, and relevant authorities). ","Check if there is a conflict resolution procedure available that incorporates the negotiation strategies of local populations and includes the intervention of a mediator accepted by all parties. \nAsk the farm management about past and existing land disputes. In case of a past land dispute, identify how it was solved. \nIf there is an existing dispute, check that the community was consulted based on FPIC and there is document testifying that the FPIC process took place (refer to the \"Free, Prior and Informed Consent Manual\" of FAO to verify adherence to the FPIC process). For this purpose, acquire documentation and visit the area of the planned site/operation regarding the dispute. Conduct interviews with both parties involved in the land dispute and also cross-check information through interviews with land users, community representatives and other stakeholders such as NGOs. \n                                               \nReview developed maps of land rights and participation protocols of the meeting sessions with affected parties (including neighbouring communities where applicable, and relevant authorities). All borders and land allocations should be clearly shown to scale. A legend should describe the different symbols/colors on the map for different land use rights in a comprehensible way. Verify that the map includes the total area of influence of the operation and neighbouring communities.\n\nNote: It is not sufficient to only assess government-assigned land rights. \nConfirm information through interviews with affected community members/leaders, relevant authorities and land users.\n","Documents containing conflict resolution procedure, dispute resolution records, FPIC documentation, legal documents, land registers, land rights map (in appropriate scale), planting maps, minutes of meetings for participatory mapping (including participants), if necessary information from regional administrators and NGOs.\n\nVisual inspection of planned site/operation.\n\nInterviews with parties involved in land disputes, land users, community representatives and other stakeholders such as NGOs.\n\n",{"$nulls":6},"","",""]
[null,null,"9.1.4 Traditional and customary land use rights shall be respected. Against this backdrop, the use of the land by pastoralists, indigenous people, artisanal fishers and other comparable users must be allowed. This shall exclude any illegal hunting, illegal fishing or illegal collection of products.","Collect information from leaders/elderly and other members of the local community about traditional and customary land use rights and about the use of farm land by pastoralists, indigenous people, artisanal fishers and other comparable users. Ask the locals if they are allowed to use the land for these traditional purposes without restriction or harassment by the farm management (with the exception of illegal hunting, illegal fishing or illegal local products collection). \n\nAsk management, workers and local community members about documented past and existing land disputes/conflicts caused by traditional or customary land use and how they were solved.\n","Legal documents, documentation of FPIC process, cadastral land registers, planting maps, respective contracts are available, if necessary information by regional administration and NGOs\n\nInterviews with  leaders/elderly and other members of the local community, farm management and workers.\n\n",{"$nulls":6},"","",""]
[null,null,"9.1.5 There has been no forced or involuntary physical or economic displacement, resettlement or relinquishment of land rights for the purpose of agricultural production. Extra-judicial intimidation or harassment by contracted security forces shall be also prohibited. There shall be no evidence that the operation has instigated violence.","Ask management, workers and local community members about past and existing land disputes/conflicts and if these led to displacement or resettlement of people or communities, or the relinquishment of land rights. Identify whether violations of land rights are connected to farm operations.        \n\nConduct interviews with both parties involved in a possible land dispute. Check whether there is evidence of violence being instigated by either party, extra-judicial intimidation or harassment by security forces.\nCheck that the community has been consulted based on FPIC and there is document testifying that the FPIC process has taken place (refer to the \"Free, Prior and Informed Consent Manual\" of FAO to verify adherence to the FPIC process).  \n\nInterview external stakeholders, including local authorities, community representatives and local NGOs to confirm findings.","Legal documents, documentation of FPIC process, land registers, relevant contracts, local newspaper.\n\nInterviews with farm management, workers, community representatives, NGOs, local authorities and other stakeholders.",{"$nulls":6},"","",""]
[null,null,"9.1.6 In any negotiations, all relevant information shall be available to all affected parties in appropriate forms and languages, including impact assessments, proposed benefit sharing and associated legal arrangements.","Are informational documents available in reasonable forms and languages for the site/region and do they include assessments of impacts, proposed benefit sharing and legal arrangements?","Documentation of land rights and land-use rights; contracts and agreements in appropriate languages and forms.",{"$nulls":6},"","",""]
[null,null,"9.1.7 When negotiating communities' land or land-use rights, these communities must be represented through institutions or representatives of their own choosing, including legal counsel. ","Check if communities of concern are meaningful represented through institutions or representatives of their own choosing and if they have a legal counsel. Check if each party in the negotiation is represented by an equal number of persons. Interview community members and ask about the process of choosing representatives through an open vote or community authorities. Check if representatives are chosen with respect to their knowledge and practical/working experience in the area being negotiated.\n","Formal documents, meeting records, lists of participants, election results.\n\nInterviews with community members regarding process for choosing representatives (open vote? or appointment?)\n",{"$nulls":6},"","",""]
["Principle 10: Respect water rights and ensure that water quality and availability are maintained or improved",{"$nulls":10},"","",""]
["10.1","Existing water rights must be respected.","10.1.1 Downstream and groundwater users shall be identified and existing formal or customary water rights determined. The potential impacts of the operation on such rights shall be evaluated and documented.\n","Check applicable regulations and existing water rights, both formal and customary, including those of local communities and indigenous people. Are users of downstream or groundwater listed in a document? Check impact assessments and evaluations. Negative impacts include reduction and/or alteration in quality or quantity. This applies to water resources within the farm limits as well as outside the farm when used as a water source.","Impact assessments, evaluation documents, documentation of water rights, list of downstream/groundwater users, agreements with communities.",{"$nulls":6},"","",""]
[null,null,"10.1.2 Water rights must be obtained through legal means. All existing formal or customary water rights, including the rights of pastoralists, indigenous people, artisanal fishers and other comparable users shall be respected and protected. Free prior and informed consent shall be obtained from impacted parties prior to the acquisition of new or existing rights. ","Is it demonstrated that all existing water rights, both formal and customary, are respected? This includes the rights of pastoralists, indigenous people, artisanal fishers and other comparable users. Verify that any acquisition or modification of the water rights of indigenous people or local communities is based on agreements negotiated under the FPIC.\n\nInterview representatives/leaders of affected indigenous people/local communities, e.g. local community leaders/ members, local authorities and NGOs.","Documentation of obtained water rights, documentation of formal and customary water rights by other users, documentation of FPIC process, written agreements with communities.\n\nInterviews with representatives/leaders of affected indigenous people/local communities, e.g. local community leaders/ members, local authorities and NGOs.",{"$nulls":6},"","",""]
[null,null,"10.1.3 Water resources under legitimate dispute shall not be used until such disputes have been settled through agreement with affected stakeholders based free, prior and informed consent.","Visit the relevant area and talk to the local people using water for their daily life, also check the negotiation agreements with all affected stakeholders and interview the people involved in the dispute and other representatives of the community, local authorities, NGOs, farmers, fishers, workers and families.","Records of negotiated agreements.\n\nVisual inspection of the affected community/area.\n\nInterviews with local people, stakeholders, people invoved in dispute and other representatives of the community, local authorities, NGOs, farmers, fishers, workers and families.",{"$nulls":6},{"$f":"IF(OR(G84<>\"\",I84<>\"\"),1,\"\")","v":""},"",""]
["10.2","Water quality and availability in the operation’s area of influence shall be assessed.","10.2.1 Water resources potentially affected both within and outside of the farm shall be identified, and key risks and challenges shall be assessed.\n\n\n\n","Verify that the farm management can identify all existing water resources in the region and the area of influence and shows awareness of all water resources that are potentially affected by farm operations and how they might be affected. Key water risks and shared challenges for the farm and all other water users must be assessed. There should be explicit reference to the need for water users to be aware of the overall situation (context) of water use, availability/status and risks at the catchment level, including identifying and understanding shared water infrastructure, water balance, water quality and water governance/policy.\n\nDoes the farm management know the status of the local natural watercourses and the groundwater status in the area of influence? Check the water supply need of crops and compare this to water available though precipitation. Talk to community members/community leaders, farmers/workers and families, local authorities, fishers and other people living in the area, environmental authorities and NGOs for downstream effects. ","Water management plan, irrigation plan, visual inspection of water meters at production site, origin of water (rain water collection, surface water, well), comparison of water rights and the amount used, monitoring of ground water levels.\n\nInterviews with community members/leaders, farmers/workers and their families, local authorities, fishers and other people living in the area, environmental authorities and NGOs.",{"$nulls":6},"","",""]
["10.3","Water quality shall be maintained or improved.","10.3.1 Measures to contain effluents and avoid runoff and leaching, as well as to prevent pollution and siltation of surface and ground water, shall be implemented.\n","Check whether there is a plan containing mearues to maintain or improve water quality and if these are appropriate and have been implemented.\nConduct interviews with workers about good agricultural practices and community representatives, environmental authorities and NGOs to confirm findings.  \n","Visual inspection of implemented measures.\n\nInterviews with workers, community representatives,  environmental authorities, and NGOs.  ",{"$nulls":6},"","",""]
[null,null,"10.3.2 The quality of potentially affected water bodies and of all drinking water sources in the area of influence of the operation shall be periodically monitored based on the results of a risk assessment (see Indicator 10.2.1). The results must show that water quality is being maintained or improved.","Is a monitoring system available? Inspect monitoring sites for water quality. Check if the development and monitoring results are documented continuously two times a year or in a timeframe following a government-mandated scheme.\n\nCheck whether monitoring results show no decline in water quality in the area of influence of the operation. Monitoring must include drinking water sources located within the area of influence.\n\nInterview environmental authorities or local personnel responsible for water governance and quality.  ","Monitoring documents/records related to water quality; impact assessments.\n\nInterviews with environmental authorities or local personnel responsible for water governance and quality.  ",{"$nulls":6},"","",""]
["10.4","Local water availability shall not be negatively affected.","10.4.1 Situations of water scarcity shall not be created and long-term water availability shall not be affected.","Check that the farm management is aware of the overall water availability situation at the catchment level and whether there is any situation related to water scarcity. Is a monitoring system/mechanism implemented to regularly review water availability in the area of the operation and to reduce the risk of water scarcity, e.g. environmental impact assessment (EIA), engagement in initiatives to identify and collaborate with other users? \nTalk to the farm management about long term plans for the preservation of water availability in the region.\nOverall water use should measured and minimized and water should not be wasted. The farm management should be able to demonstrate that no water is extracted in situations of water scarcity. In the event of water scarcity situations, the farm management should be aware of the causes and able to demonstrate that there is no evidence that this has been caused by the farm activities. \n\nTalk to community members and potentially affected persons and visit relevant areas. Consult with local initiatives engaging in natural water issues, local authorities or NGOs.","Records of water availability and water scarcity (water meters at production site, ground water levels), available monitoring systems/mechanisms (e.g. environmental impact assessments; agreement with initiatives)\n\nVisual inspection of relevant areas. \n\nInterviews with community members and affected persons, individuals involved in local initiatives, government authorities and NGOs.",{"$nulls":6},"","",""]
[null,null,"10.4.2 Important water-related areas, including wetlands, affected by the operation shall be protected, restored (if damaged) and always maintained.","Check if important water related areas have been identified and potential impacts to them have been assessed. There should be an action plan implemented to maintain/restore identified areas. \nVerify this through visual inspection of respective areas.\n\nInterview environmental authorities, local authorities and community representatives, environmental NGOs.   ","Documents/action plans including implementation measures; visual inspection.\n\nInterviews with environmental authorities, local authorities, community representatives, and environmental NGOs.  ",{"$nulls":6},"","",""]
[null,null,"10.4.3 Impacts on water availability within the area of influence of the operation, including water sources for human consumption, shall be assessed and regularly monitored.","Verify that the impact of farm activities on water availability has been assessed. For regular monitoring of the situation, a monitoring plan must be implemented. Results should show no negative impacts on availability of surface and ground water. Verify that the availability of water for human consumption has not been reduced due to farm activities.","Monitoring documents/records and impact assessments.",{"$nulls":6},"","",""]
[null,null,"10.4.4 When irrigation is performed, effective action shall be taken to ensure that water is efficiently used and that water scarcity is not aggravated (see Indicator 10.4.1).","In the event irrigation is used, verify there is an irrigation plan available and implemented to maintain/increase efficiency and effectiveness of irrigation (i.e. drip irrigation, irrigation plan based on crop requirements, use of rain water, timing of irrigation in daytime and season), and that water extraction is minimized and does not compromise water availability in the affected water bodies or groundwater level.","Irrigation plan; information on water supply needs of crops as well as water precipitation; relevant documentation.\n\nVisual inspection in the field.",{"$nulls":6},"","",""]
["Principle 11: Implement sustainable agricultural practices ",{"$nulls":10},"","",""]
["11.1","Good Agricultural Practices (GAP) shall be applied","11.1.1 Soil erosion shall be prevented or minimized through the design of the agricultural production site and sustainable practices shall be used to enhance soil health.","Check that measures to reduce soil erosion are in place, e.g.:\n- Avoidance of tilling in the direction of maximum slope lines\n- Presence of barriers (native or intercropping vegetation) along maximum slope lines\n- Presence of run-off water collecting channels across field surfaces\n- Terracing practices\n- Mulching or use of natural vegetation against water erosion\n- Reduced or no tillage practices\n- Vegetation should cover the soil to prevent erosion where possible (no total area spraying) \n- Natural regeneration or restoration instead of replanting\n- No planting on steep areas/slopes above a certain limit if no terracing is used\n\nCheck also that maps of fragile soils (erosion risks) and topographic characteristics are available, and that\napplied techniques are suitable for soils engaged in agriculture.\n\nInterview the farm management's staff responsible for agricultural management, contract farmers/smallholders and farm workers to confirm findings and the implementation of good agricultural practices.  ","Documents containing measures to prevent/reduce soil erosion, toprographic maps, visual inspection of implemented measures.\n\nInterviews with farm management staff responsible for agricultural management, contract farmers/smallholders, and farm workers.",{"$nulls":6},"","",""]
[null,null,"11.1.2 Practices to protect the soil structure, including the prevention of compaction, as well as to maintain or enhance soil organic matter at the production site, shall be implemented.","Verify that a soil organic matter balance has been compiled (can be generic) or that an analysis of soil organic matter takes place at least every 6 years. Results must be kept for at least 7 years.\n\nVerify that agricultural residues are kept on fields or cut into strips/small residues and mixed into the soil. Other measures include cover crops, crop rotation practices (for annual crops), mulching, use of compost to fertilze and no planting activities on steep areas without terracing.\n\nVerify that heavy machinery is not used on fields when there is heavy precipitation and a high soil moisture content.  ","Results of soil organic matter balance or of analysis of soil organic matter conducted by a qualified person or agricultural extension service.\n\nDocuments containing soil management measures and implementation schedule. \n\nVisual inspection of implemented measures.\n",{"$nulls":6},"","",""]
[null,null,"11.1.3 Practices to maintain and improve the soil nutrient balance while taking into account soil conditions and crop needs and reduce nitrate pollution shall be implemented.","Verify that the provenance of fertilizers is known and that the source is trustworthy.\n\nVerify that fertilizer application is based on input/output balance, soil or leaf analysis, or follows professional recommendations. Most efficient fertilizer application is aimed at reducing runoff.\nConfirm that application manuals, chemical composition and concentration are considered when applying fertilizers. If organic matter or other remaining plant material is used in the production areas (mulched), the material should be evenly distributed.\nVerify that fertilizer with a content of more than 1.5% nitrogen in the dry matter are not applied onto flooded or water logged areas. Verify that the farm management can demonstrate that a distance of at least 3 m to riverbanks and other water bodies is kept. Verify there is no run-off of applied fertilizer into surface water bodies and the ground water. Check if the farm management examines weather conditions during surface application of fertilizers (e.g. wind speed and direction, temperature) and takes them into account. \n\nInterview personnel responsible of the agronomic measures and/or service providers, farm management and/or service providers to confirm the use of fertilizer according to nutritional requirements or professional recommendations.  ","Documentation of input/output balance; records of fertilizer use; soil or leaf analysis documentation; official/professional documents/studies; weather condition monitoring.\n\nLocal visual inspection of the farm.\n\nInterviews with personnel or service providers responsible for agronomic measures as well as farm management and other relevant service providers.",{"$nulls":6},"","",""]
[null,null,"11.1.4 Producers of annual crops shall practise crop rotation. ","Check the existence and implementation of a crop rotation plan when annual crops are grown. Verify the farm management can explain the logical order of crops with respect to soil nutrient balance, protection of groundwater pollution, biodiversity etc. Ensure that changes in environmental conditions over the years in soil fertility, water supply, etc. are observed and considered, and that plans are adapted accordingly.\nConfirm crop rotation practices on site via visual inspection.\nThe plan should be designed for long-term management of the area and take into account proven rotation practices based on agricultural and scientific studies from ministries and organizations and knowledge of service providers. \n\nInterview the farm management, rural/agricultural extension services and other service providers to confirm the utilization of rotation practices.  ","Crop rotation plan; documentation of changes in planting, rotation and environmental parameters; available scientific studies; visual inspection.\n\nInterviews with farm management, rural/agricultural extension services and other service providers.",{"$nulls":6},"","",""]
[null,null,"11.1.5 Integrated Pest Management techniques (IPM) that are adequate for the target crop to reduce the development of pest populations and minimise risks to human health and the environment shall be implemented and monitored.","Verify that responsible staff have received qualified training or advice on IPM.\n\nEvidence of preventive measures should be available. Example of preventive measures include:\n- Beneficial plants attracting natural predators\n- Natural predators (e.g. against rats: owls, snakes)\n- \"Good\" insects (lady beetles, parasitic mini-wasps, spiders)\n\nThe responsible personnel/farm management can show evidence of implementing at least one activity that will determine when, and to what extent, pests and their natural enemies are present and that they use this information to plan what pest management techniques are required.\n\nExample “observation and monitoring” measures:\n- Counts of rat attacks on harvested product\n- Beatle traps for counting\n- Count of bones in owl nests\n- Activity evidence of natural predators \n\nConduct interviews with responsible staff, agricultural extension services or service providers.  ","Evidence that IPM consultant has relevant training and experience; visual inspection; counting list; local inspection of production area; field records.\n\nInterviews with responsible staff, agricultural extension services or service providers. ",{"$nulls":6},"",{"$f":"IF(H97=\"\",\"\",1)","v":""},""]
[null,null,"11.1.6 Records of pesticide use shall be maintained, including, at a minimum, documentation of the reason for use; the name of the pest treated; the product designation, including active ingredients; the amount applied per hectare; the location, date, and target crop; and the number of applications.","Check that complete documentation is available for any pesticides and other chemicals used.\nCheck the annual spraying plan for products used, times, quantity per ha and calculation for the quantity applied. Verify this conforms with manufacturer recommendations and the analysed impact of the pest.\n\nSee also indicator 12.1.3","Chemical management plan, records of pesticides/ chemicals used, relevant instructions/standards.",{"$nulls":6},"","",""]
["11.2","Good practices shall be implemented for the storage, handling, use and disposal of chemicals (pesticides, fuels, fertilizers, etc.)","11.2.1 None of the chemicals recorded in the WHO’s 1a, 1b and 2 lists, the Rotterdam Convention or in the Stockholm Convention on Persistent Organic Pollutants shall be used. Pesticides included in the PAN list of highly hazardous pesticides under the categories H330 (fatal if inhaled) and/or with long term effects according to the EU GHS classification are also prohibited.\n\n","Check if the farm management is aware of the chemicals applied. Verify if any chemicals listed in the WHO’s 1a, 1b and 2 lists, the Rotterdam Convention and the Stockholm Convention on Persistent Organic Pollutants are used/applied at any stage. Check if any chemicals from the PAN list of highly hazardous pesticides are used/applied at any stage which are under the categories H330 (fatal if inhaled) and/or with long term effects according to the EU GHS classification.\n\nConduct bilateral discussions with farm management, contract farmers or responsible persons to verify if there is a basic understanding of the hazardousness of chemicals, especially with respect to chemicals listed in WHO 1a) and 1b) as well as the Annex III of the Rotterdam Convention and the PAN list categories H330 (fatal if inhaled) and/or with long term effects according to the EU GHS classification.\n\nVerify that the producer avoids the use of those chemicals, e.g. by using alternatives, and interview farm workers to confirm this.\n ","Chemical management plan; chemical storage and application records; visual inspection of mixing areas in facility and/or in field; protective clothing (especially respirators/protective dust masks with a high class of protection, FFP1/2/3); on-site verification of chemicals/pesticides being used (to confirm their suitability).\n\nInterviews with farm management and workers.",{"$nulls":6},{"$f":"IF(OR(G99<>\"\",I99<>\"\"),1,\"\")","v":""},"",""]
[null,null,"11.2.2 Manufacturer’s safety instructions for the storage, handling, use and disposal of chemicals shall be followed.","Check if safety instructions are available and posted at the site/farm. Check that they are clearly visible to all persons. \nAsk workers about the procedures they follow when they handle, use and dispose of chemicals; make them show they are familiar with conditions for the application of chemicals (e.g. no strong wind) and with emergency procedures.\n\nCheck worker's protective equipment. (Skin contact and inhalation have to be avoided through the provided equipment. Clothing should cover the whole body. Shoes should be resistent to the falling of heavy and sharp material). Undressing procedures should consider gloves last item to be removed to avoid contact of chemicals with hands. Working clothes should be washed in dedicated water sinks and the collected contaminated water should be safely stored (no dispersion in the environment or contact with ground water). \n\nVerify that personal protective equipment is replaced when it breaks/wears out. ","Visual inspection of safety instructions, signs, notices, etc.\n\nInterviews with workers.\n\n",{"$nulls":6},{"$f":"IF(OR(G100<>\"\",I100<>\"\"),1,\"\")","v":""},"",""]
[null,null,"11.2.3 Pesticides shall be used in accordance with proven methods that minimize risk and do not harm the environment, communities, people working for the operation, women or children. No pesticides shall be used in or near water sources or protected areas.","Check methods of pesticide application on the field and in the documentation. Check the actual location where pesticides are applied and if there is a risk of environmental pollution (e.g. water sources) and if negative impacts to communities within the area of influence exist. Check that procedures are in place to ensure that no workers or other people are on the field when applying pesticides.\nCheck if the applicant/responsible follows label instructions for products used (e.g. on protective clothing, storage, handling, amount of applied active ingredients, etc.). Check if there are clearly documented procedures that regulate all the re-entry intervals for plant protection products applied to the crops according to the label instructions.\n\nNo pesticides at all shall be applied aerially unless it can be demonstrated that no other form of application would have less risks for worker's and communities' health and for the environment. In the event aerial application can be justified, application shall not take place within a 500 m distance to areas of human activities and natural ecosystems, including water bodies.\n\nCheck the policy of the farm management on restrictive time frames, defining daytime and season in a year for the application of pesticides, e.g. only in the early morning or late evening to avoid solar radiation; not in dry season; low lateral winds for effective application; specifications on temperature or humidity.\n\nTalk to farm management staff in charge of pesticide application and workers to verify information. Interview local NGOs, communities and authorities.","Pesticide application records and maps; farm policy on restrictive timeframes; evidence of training (training contents and agenda, trainer name and qualification, list of participants, training records and materials).\n\nVerification on-site; visual inspection of protective equipment.\n\nInterviews with farm management, workers, NGOs, communities and authorities.",{"$nulls":6},{"$f":"IF(OR(G101<>\"\",I101<>\"\"),1,\"\")","v":""},"",""]
[null,null,"11.2.4 No work with pesticides shall be undertaken by young workers or pregnant or breast-feeding women. These individuals must be offered alternative work. ","Check conditions on-site and talk to workers. Ask if women are properly and regularly informed about the risks and about the option of getting an alternative job/work. Female workers must also be offered the opportunity to carry out pregnancy tests for free.\n\nFurther check ID cards if attached to contracts or similar to verify the age of the spraying team members and check job descriptions in the contracts.\n\nIn-person interview with young workers, pregnant or breast-feeding women, medical staff in local health care centers, workers' representatives and farm management.  ","Contracts, ID cards (if available), job descriptions.\n\nVisual inspection of conditions on-site. \n\nInterviews with young workers, pregnant or breast-feeding women, medical staff at local health care centers, worker representatives and farm management.",{"$nulls":6},{"$f":"IF(OR(G102<>\"\",I102<>\"\"),1,\"\")","v":""},"",""]
["Utilization Pillar",{"$nulls":10},"","",""]
["Principle 12: Provide a setting for the safe utilization of food",{"$nulls":10},"","",""]
["12.1","All people working for the operation shall have access to clean and safe facilities.","12.1.1 Accommodations (including collectively used accommodations like dormitories and living areas), sanitary facilities (e.g. toilets, portable WCs, showers) and kitchen/dining/food storage areas, provided to people working for the operation and their families shall be designed, built and maintained to meet basic needs, to comply with legal requirements, and to ensure safe and healthy conditions. Toilet paper or bidet shower and soap shall be made available in all sanitary facilities.","Check that accommodations provided to workers (whether located inside or outside the farm) are clean and safe. The living quarters for the workers at the farm shall be habitable, have a sound roof, windows and doors, and have the basic services of running water, toilets and drains. Sanitary facilities (not only those in living quarters) shall be cleaned regularly so that good hygienic conditions are given at any time (i.e. in large dormitories it might be necessary to clean twice a day). Toilet paper or bidet shower and soap shall be available at all facilities. Check if toilet stalls are lockable and if water is available to flush toilets/latrines.\nCheck if accomodations are protected against mosquitos, e.g. with mosquito nets on each window and exit door or nets above each bed/sleeping place.\n\nCheck conditions on-site, talk to workers and check legal requirements. As a complaint system should be in place, ask for documentation on complaints regarding the facilities. Also ask whether complaints are forwarded to the management during meetings with worker representatives. \n\nInterview also responsible personnel, workers' representatives, cleaning personnel and farm management.  ","Documentation on national/local regulations or legislation on worker accomodations; cleaning schedule; documents proving regular pest-control measures; maintenance records; documentation of complaints; meeting minutes.\n\nDirect visual inspection of respective areas and sanitary facilities.\n\nInterviews with responsible personnel, worker representatives, cleaning personnel, and farm management.  ",{"$nulls":6},"","",""]
["12.2","All people working for the operation shall be provided with access to potable water.","12.2.1 All people working for the operations shall have access to potable water.","Check if all people/workers on the farm always have access to sufficient and safe drinking water. Use for this purpose the FSS-QAT.\n\nConduct in-person interviews with workers, workers' representatives and farm management.  ","Documentation of regular water quality tests.\n\nVisual inspection of potable water facilities and facilities to provide water to field workers.\n\nInterviews with workers, worker representatives and farm management.  ",{"$nulls":6},"","",""]
["Principle 13: Guarantee good nutrition",{"$nulls":10},"","",""]
["13.1","Measures to improve access to adequate, safe, sufficient and affordable food for all people working for the operation shall be undertaken.","13.1.1 Appropriate, clean and safe dining and food storage facilities must be provided. ","Check whether a dining area and food storage facilities are provided on-site. Check if a dining area is available for any weather and that the area is big enough to host the workers attending this facility. Visit the facilities and check if they are kept clean and there is no evidence of rotten food or unhygienic material. Eating facilities, processes and habits (e.g. eating on the floor or on the ground in the field) typical of the local culture/conditions are allowed as long as basic hygienic and safety conditions are respected, e.g. the space to sit must have at least shade/cover from rain and a dry, clean surface.\n\nInterview management staff, workers, workers' representatives, kitchen personnel and farm management.  ","Record of measures, purchasing lists, cleaning schedule, garbage collection calendar.\n\nDirect observation of areas and facilities. \n\nInterviews with management staff, workers, worker representatives, kitchen personnel and farm management.  ",{"$nulls":6},"","",""]
[null,null,"13.1.2 If workers do not have the option of bringing their own food or purchasing it nearby, options to buy diversified and nutritious food must be provided at fair prices.","Check whether food items in the daily diet of workers are able to provide carbohydrates, fats, vegetables, fruits and proteins according to the country \"Food-based dietary guidelines\" of the FAO, if available, or were checked by a nutritionist/medical doctor. (The guidelines per country can be found here: http://www.fao.org/nutrition/nutrition-education/food-dietary-guidelines/en/). Otherwise orient yourself at guidelines from neighboring countries. \n\nAsk if the food is produced at the production site, delivered by catering services or can be bought in nearby restaurants or shops. Check whether meal prices are affordable for workers and ask whether it is considered balanced, sufficient and diversified.\n\nCheck whether the canteen/kitchen/food store at the operation site are kept clean and there is no evidence of rotten food or unhygienic material. Cleaning plans should indicate that the food area is cleaned regularly and there are enough trash cans/bins for food/kitchen waste that are emptied regularly. Canteen personnel should use gloves to prepare and serve food and wear kitchen clothing. Food provided in the canteen or store should be adequately covered and protected from insects or other pollution. The catering service should deliver food in adequate and safely closed, cooled or heated boxes/containers.\n\nTalk to staff/workers about food production processes, hazard analysis and critical control points.\nInterview farm management, workers' representatives, kitchen/food store personnel, catering service personnel.","FAO \"Food-based Dietary Guidelines\" or evidence of checks by nutrition expert/medical doctor; documented activities; purchasing lists; catering service contracts; food production documents and protocols; price lists, cleaning plans; maps showing restaurants and shops in the area; list of food/menus; evidence of pest-control measures.\n\nDirect observation of areas and facilities. \n\nInterviews with staff/workers, farm management, worker representatives, kitchen/food store personnel, catering service personnel.",{"$nulls":6},"","",""]
[null,null,"13.1.3 All people working for the operation (including those involved in other activities such as cooking or cleaning) shall be granted sufficient breaks for eating and drinking in consideration of weather conditions and the type of work performed.","Check if sufficient breaks are scheduled in the working plans and work routines of all workers at the operation (incl. also kitchen and cleaning personnel). Check working contracts to see if breaks are defined. Duration of breaks should be between 15 minutes (interim breaks) and between 30 minutes and two hours (for the lunch break) (ILO Conventions No. 67 and No. 153). Ask workers if sufficient breaks are provided always and without restrictions. Check whether workers are provided with sufficient breaks to drinking liquids, especially in hot weather conditions. Breaks for drinking may also be shorter than 15 minutes, and ideally constant access to water is desirable for all field workers.\n\nInterview also workers' representatives and the farm management.","Worktime regulations, working contracts, documented working plans, worker time cards.\n\nDirect observation of dining areas and break routine.\n\nInterviews with worker representatives and farm management, among others.",{"$nulls":6},"","",""]
[null,null,"13.1.4 All people working for the operation shall have access to healthy and nutritious food of sufficient quality and quantity at all times.","Use the FSS-QAT to review and verify this indicator via personal interviews (see section 6.3 in FSS handbook). There should be no indication that the food security is in any way impaired or disrupted when a person is employed. It should be clearly seen that the farm management has done everything to ensure adequate food intake for the workers at all times. \n\nCross-check the information provided by the workers with relevant stakeholders such as a local doctor or nurse, a school teacher, officer responsible for food security and nutrition at the district level, community leaders, NGOs.","Interviews with workers and relevant stakeholders using FSS-QAT.\n\n",{"$nulls":6},"","",""]
["13.2","Breastfeeding women shall be provided with adequate conditions to nurture their children.","13.2.1 Nursing mothers shall be granted at least two additional 30-minute daily breaks during paid working time to breastfeed children up to 9 months after birth.\n","Identify women with children (age: 0-12 months) in need of breastfeeding and interview them on their break availability and duration. Check contracts or additional agreements for the assurance of this daily break policy.\n\nInterview also workers' representatives.  ","Written policy/regulations; contracts or agreements; documentation of breastfeeding women; worker time cards (if available).\n\nInterviews with breast-feeding women or women with children and worker representatives.  \n",{"$nulls":6},"","",""]
["Cross-Cutting Pillar",{"$nulls":10},"","",""]
["Principle 14: Provide complaint and grievance mechanisms",{"$nulls":10},"","",""]
["14.1","Complaints and grievances mechanisms for workers, contract farmers, communities and stakeholders shall be implemented and maintained.","14.1.1 A documented system for dealing with complaints and grievances voiced by workers, contract farmers, communities and stakeholders shall be implemented and maintained. The system shall allow resolution of disputes in an effective, timely and appropriate manner while also ensuring the anonymity of complainants and whistle-blowers, when requested. This mechanism shall have the following characteristics:\n\n- The mechanisms are communicated and made easily accessible to workers, contract farmers, communities and stakeholders. Special consideration shall be given to illiterate people.\n- Procedures shall be in place to ensure that anyone can confidentially communicate grievances or complaints without risk of reprisal or intimidation. \n- The system shall ensure anonymity of complainants and whistle-blowers\n- The dispute-resolution mechanism shall be based on negotiations between affected parties and decisions shall be agreed to by the vast majority of negatively affected workers/contract farmers/community members/stakeholders.\n- Any complaint or grievance must be acknowledged and dealt with in an effective and timely manner.\n- Records of all complaints and grievances must be kept, including steps taken to address them and the outcome of the process. ","Check if complaints and grievance mechanisms are established for farm workers, surrounding communities and other stakeholders. Check if they have been properly informed about these mechanisms and how to use them in a way easy to understand and in a language understood by all of them. \n\nVerify evidence that issues are dealt with in a timely manner. Check if complaints/grievances and their solutions are documented/monitored and kept anonymous.\n\nIs a responsible person for grievances named and known to the workers and communities around the farm?\n\nAsk workers at different work levels about their experiences or problems when adressing complaints.\n\nInterview also workers' representatives, community representatives and other relevant stakeholders.   ","Evidence of system (including bulletin board announcements or similar); complaints and grievance procedures (should be easy to understand); records of all grievances and complaints and how they have been resolved; documentation of responsible person for complaints and grievances.\n\nInterviews with workers, worker representatives, community representatives and other relevant stakeholders.   ",{"$nulls":6},"","",""]
["Principle 15: Respect women’s rights and ensure gender equity",{"$nulls":10},"","",""]
["15.1","Women shall not experience discrimination and their rights must be respected.","15.1.1 All workers shall receive the same payment and benefits for the same work scope, regardless of gender.","Check and compare contracts and payment documents of all workers for equal payment for the same work. Check if the farm management promotes access to jobs, skills training, recruitment and career development for women and sexual minorities to ensure more gender balance in work and career development. Interview female workers and workers belonging to sexual minorities and their representatives.\n\n ","Payment and benefits records/documents; contracts.\n\nInterviews with female workers and workers belonging to sexual minorities and their representatives.",{"$nulls":6},"","",""]
[null,null,"15.1.2 All women shall have the possibility to articulate and communicate their concerns and ideas through a dedicated gender representative or committee. Confidentiality must be granted if desired.","Identify the members of the committee or the gender representative, enquiry about existing/potential gender issues and ask how they will be solved and how confidentiality is granted. Check documentation and minutes of the meetings, if available and only if confidentiality is granted.\n\nInterview female workers and their representatives.  ","Committee documentation, member lists, meetings minutes.\n\nInterviews with female workers and their representatives.  ",{"$nulls":6},"","",""]
[null,null,"15.1.3 In all stakeholder consultation processes, including the FPIC, women must be appropriately included (proportionally represented) and their voices equally heard and respected.","Analyse minutes of stakeholder consultation processes and check whether measures for the avoidance and the exclusion of discrimination of women have been considered in all stakeholder consultation processes. Check if women had the opportunity to express their opinion. Check the documentation of stakeholder consultations and list of participants if women have been proportionally represented.\n                                                                                                                      \nInterview female community representatives, female stakeholders and relevant NGOs.  ","List of participants and meetings minutes of consultation process; pictures.\n\nInterviews with female community representatives, female stakeholders and relevant NGOs.  ",{"$nulls":6},"","",""]
[null,null,"15.1.4 A policy to prevent sexual harassment and all other forms of harassment or violence shall be implemented and communicated at all levels of the workforce, including contract farmers and service providers. This shall include a procedure concerning where complaints are received, how complaints are handled, which remedial actions are performed and how the process is documented.","Check if a written policy exists, is implemented and communicated to all workers and staff. Verify whether written procedures for complaints and their handling have been explained to workers in a way easy to understand and in a language understood by all levels of the work force. \n\nCheck whether any complaints of harassment (sexual or otherwise) exist and specifically interview female workers about this. Ask female workers at different work levels about their experiences or problems when adressing complaints of harassment. Ask if they are informed about the policy and written procedures to communicate complaints.\nAre the responsible personnel known to all workers, contract farmers/smallholders and service providers?\nCheck if complaints/grievances and their solutions are documented/monitored and kept anonymous.\n\nCross-check with indicator 14.1.1 on complaint and grievance mechanisms.","Complaint procedure documents, records of complaints and actions, policy documents.\n\nInterviews with female workers about harassment (sexual or otherwise).",{"$nulls":6},"","",""]
[null,null,"15.1.5 Workers shall be granted at least eight weeks of maternity leave with compensation consistent with national laws or not less than 2/3 of regular pay, whichever is higher, not including annual leave, and in the absence of any loss or privilege on account of such leave. The employment contract of a woman during her pregnancy or maternity leave shall not be terminated, except on grounds unrelated to the pregnancy or birth of the child. National legislation must be adhered to if it provides more stringent requirements.  ","Check documents of annual leave and contracts for maternity leave and compensation agreements. Compare it with national legislation for social security provisions, non-monetary benefits, etc. Talk to female workers (particularly pregnant ones), gender representatives/committees and workers' representatives.\n\n ","Documentation of maternity leave times, national legislation/laws, contracts, agreements.\n\nInterviews with female workers (particularly pregnant ones), gender representatives/committees and worker representatives.",{"$nulls":6},"","",""]
[null,null,"15.1.6 Policies must be in place to ensure that women working for the farm operation are protected while pregnant. This includes specific procedures relating to their safety, such as protection against physical, chemical or biological agents that could cause harm. Pregnant women shall not work excessive hours and shall be provided with rest periods as appropriate. Legal requirements have priority, if they exceed the requirements laid down in this standard. ","Talk to pregnant women working at the operation and the workers' representative and ask if they are adequately protected and do not have to work excessive hours. Check if the pregnant women have appropriate breaks and are treated specially. Do written procedures exist describing what work is allowed and what is not allowed when pregnant? Check if there are warning signs showing pregnant women whether they are entering a dangerous area or performing work dangerous to them or using materials potentially harmful when pregnant. Check if local legal requirements on this topic exist and if they exceed the requirements mentioned here.\n\n ","Documentation of currently pregnant female workers; procedure documents; records of daily breaks; warning signs for pregnant women.\n\nInterviews with pregnant women and worker representatives.",{"$nulls":6},"","",""]
["Principle 16: Raise awareness for nutrition and support child education",{"$nulls":10},"",{"$f":"IF(H123=\"\",\"\",1)","v":""},""]
["16.1","Awareness  regarding food security and nutrition shall be raised. ","16.1.1 A training program that focuses on improving food and nutrition security shall be provided to all people working for the operation. At a minimum, this training must cover proper nutrition and healthy diets. Other aspects of the training should be determined in collaboration with the target group. ","Check if a training program is provided. Did a documented consultation process take place? Check if the content of the training has been developed by or with inputs from nutrition experts and tailored to people's level of education and food and nutrition needs. Check regular assessments of training needs and the documentation of the program. Training should be carried out once a year for all farm workers with varying focus (e.g. main emphasis on micronutrients, or diets, or food preparation, or food storage).\n\nInterview workers at different work levels, workers' representatives and the farm management.","Documentation of consultation process; training contents and agenda; trainer name and qualification; training records, attendee lists, materials. \n\nInterviews with workers at different work levels, worker representatives and farm management.",{"$nulls":6},"","",""]
[null,null,"16.1.2 In regions with a high risk of food insecurity, training programs for communities within the area of influence shall be supported. These programs shall focus on improving food and nutrition security. The type of support provided must be defined in consultation with local communities and/or authorities.","Check if a training program is provided and if it offers adequate content according to the community members education, nutrition and food situation. Did a documented consultation process take place? Verify whether the community decides about necessary training and its content and gets support from the farm management in organising and conducting training, e.g. with training material, monetary support, connections to experts.\nCheck regular assessments of training needs and documentation of the program.\n\nInterview community leaders, local authorities, the farm management and/or relevant NGOs.  ","Documentation of consultation process; training contents and agenda; trainer name and qualification; training records, attendee lists, materials. \n\nInterviews with community leaders, local authorities, farm management and/or relevant NGOs. ",{"$nulls":6},"","",""]
["16.2","All children living on the operation have access to quality primary school education.","16.2.1 It shall be demonstrated that all children living directly at the agricultural operation or in accommodations provided to workers and their families attend at least primary school.","Check the organisation's records of children living on the farm or any accommodations provided by the farm management and verify through sample interviews that all school-aged children attend primary school. Conduct sample interviews with parents/families or other community members, the farm management and workers’ representatives. \n\nIf no list of children is available, try to verify the situation differently:\n- Is a school available on the farm?\n- Is the school big enough to host all children of the farm?\n- Where do the other children go to school?\n- Which school classes are represented?\n- Is transport service available to take all children of the farm from distant places to school?\n- Are there any restrictions, e.g. religious conditions for attending school?\n\nConduct sample interviews with parents/families or other community members, farm management and worker representatives. Confirm findings through a visit to the local school;  check records and interview teachers. Ask also about the reasons for students being absent (because of work, not enough money for books, no transportation, etc.). ","List of children living on-site and in provided accomodations; list of available schools, incuding their size, classrooms, transport options, and other relevant  documentation.\n \nInterviews with parents/families or other community members, farm management and worker representatives. ",{"$nulls":6},"","",""]
["Principle 17: Assess and monitor local food security",{"$nulls":10},"","",""]
["17.1","Awareness for the overall food-security situation in the area of influence of the operation must be demonstrated. Responsibility for impacts on food security in the area of influence of the operation shall be assumed.","17.1.1 Awareness for the food security situation in the area of influence of the operation must be demonstrated. Any change in the food security must be registered and causes identified.","Check whether the farm management interviews once a year five to six well-informed key stakeholders about the local food security situation (e.g. doctor or nurse from a local health station/clinic, school teacher/director or pre-school staff, government official in charge of food security and nutrition at district level, community leader, environmental or social NGO). A special focus needs to be laid on resettled communities whose resettlement was caused by the farm. The FSS Quick Assessment Tool (FSS-QAT) or an equivalent tool shall be used for the interviews. Check the documentation containing the interview results.\n\nCross-check the results of the interviews conducted by the farm management through interviews with the same stakeholders using the FSS-QAT. ","Records of interviews using the FSS-QAT or a similar tool conducted by farm management.\n\nInterviews with the same stakeholders using FSS-QAT.",{"$nulls":6},"","",""]
[null,null,"17.1.2 The food and nutrition security situation of communities in the area of influence of the operation does not deteriorate due to the operation.","Verify whether open and regular communication takes place between the farm management and the communities to inform both parties about changes and problems.\n\nIf through the implementation of the FSS-QAT (see indicator 17.1.1) or dialog with communities, a deterioration of the food security situation in the area of influence has been detected, the farm management identify the reasons and demonstrate that the food insecurity situation has not been caused by farm operations. In the event the farm operations have negatively affected food security, the farm management must demonstrate that mitigation measures have been formulated in consultation with the community and have been effectively implemented and that the food insecurity situation does not persist any more. \n\nCheck if an independent expert has been engaged by the farm management to identify reasons, design measures, oversee the consultation process with the community, and monitor/document effectiveness.\n\nInterview community members and experts.","Communication records between farm management and communities, special agreements/contracts with the communities, documents of potentially detected food insecurity situations, records of mitigation measures and implementation process, documentation by independent experts.\n\nInterviews with community members and experts.",{"$nulls":6},"","",""]
["17.2","New agricultural operations or the expansion of existing operations must not have a negative effect on the food security situation within the operation’s area of influence, and they must not impair the right to food at the national level.","17.2.1 Prior to starting or expanding operations, potential impact of planned activities on local and national food security must be assessed. It must be demonstrated that these operations will not have negative effects on national food security. Mitigation measures to ensure that local food security does not deteriorate within the area of influence of the operation must be implemented.","Check whether the farm management conducted an ex-ante food-security risk assessment and established a baseline for local and national food security. Verify that the assessment follows international standards, and demonstrates that planned agricultural operations are not expected to have negative effects on national food security. \nIf risks were detected, check whether a plan for avoidance of negative impacts on local and national food security and for monitoring the food security situation has been developed in consultation with directly impacted stakeholders based on an FPIC process, budgeted, documented and timetabled, including responsibilities for implementation. Mitigation measures to protect local food security from deterioration within the area of influence shall be determined and implemented. The plan shall be communicated to all concerned communities and relevant stakeholders. The plan shall be integrated into planning, management and operational activities. The plan has to be monitored and reported upon according to the agreed timetable. There shall be evidence that the monitoring includes the participation of all affected stakeholders. \nIf the negative impacts on food security cannot be mitigated (i.e. measures included in the plan are not sufficient or budget to implement the selected measures is not available), the operation cannot be certified.\nAt national and regional levels, it is demonstrated that the planned new operation is line with national and regional food, development and land-use plans.","Ex-ante food security risk assessments, publicly available plans for avoidance, documentation of stakeholder consultation process based on FPIC, international standards, operation plans (budget plan, timetable).",{"$nulls":6},"","",""]
[{"$nulls":11},""]

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[null,null,"FSS\n- Audit Procedure Tool - "]
["Audit Checklist Group Manager"]
["V 1.0"]
[]
[]
[{"$nulls":5},"COMPLIANCE INFORMATION"]
[null,false,false,null,"Status of Compliance:",{"$f":"IF(L17<93,\"No, non-compliance with FSS!\",\"Yes, compliance with FSS!\")","v":"No, non-compliance with FSS!"}]
[]
[{"$nulls":4},"Conformity:",{"$f":"SUM(L18:L130)","v":0}]
[{"$nulls":4},"Non-Conformity:",{"$f":"SUM(M18:M130)","v":0}]
[{"$nulls":4},"Not Applicable:",{"$f":"SUM(N18:N130)","v":0}]
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["No.","Criteria","Indicator","Verification guidance","Evidences/ \nDocuments required","Findings","Conformity",{"$nulls":4},"Compliance"]
[null,null,"Indicator",{"$nulls":3},"Yes","No","N/A",null,null,"Yes","No","N/A"]
["Stability Pillar"]
["Principle 1: Apply good governance and respect the rule of law",{"$nulls":9},"Sum",{"$f":"SUM(L18:L130)","v":0},{"$f":"SUM(M18:M130)","v":0},{"$f":"SUM(N18:N130)","v":0}]
["1.1","All parties involved in the agricultural operation and related activities shall comply with applicable national, regional and local laws and regulations and ratified international treaties.","1.1.1 A documented system for ensuring legal compliance by the farm management/group manager, contract/smallholder farmers, service providers and contractors shall be implemented and maintained. ","Verify that the GM has prepared an overview of local, regional and national laws and regulations and ratified international treaties that are applicable to the activities of SHs. There must be an updated physical or virtual repository that indicates how these laws and regulations are interpreted and how the SHs should follow them in ongoing operations to ensure compliance. Changes to the law must be recorded for tracking purposes.\nLegal compliance processes should actively involve GM staff, service providers and contractors. \n\nLaws and ratified international treaties with which the GM must comply include:\n(1)   Rights of local communities and indigenous groups\n(2)   Land rights/land tenure\n(3)   Health and safety laws\n(4)   Rights of all workers (permanent, temporary, casual, self employed)  (e.g. overtime work, paid holiday, sick and parental leave)\n(5)   Tax payment obligations\n(6)   Free trade agreements\n(7)   Environmental and social impact assessment requirements\n(8)   Soil conservation and management, soil fertility (relating to e.g. application of fertilizers, manure, plant protection products, contamination and accumulation of hazardous substances in soils)\n(9)   Water conservation and management (relating to e.g. abstraction, use and discharge of irrigation water, protection of water bodies)\n(10)  National and international protected areas\nThe GM should be familiar with relevant legislation and should be aware of changes to legislation.\n\nVerify that the GM periodically provides training/information sessions and training material relevant to legal compliance to its staff and SHs. These sessions should be conducted at least every two years, or whenever the law is significantly updated.\nInterview the GM, SHs, service providers and contractors.","Documentation of due diligence process; of compliance with local, regional, and national laws; and of procedure for maintaining system to ensure legal compliance, including appointment of individual(s) responsible for compliance.",{"$nulls":6},{"$f":"IF(OR(G18<>\"\",I18<>\"\"),1,\"\")","v":""},{"$f":"IF(H18=\"\",\"\",1)","v":""},{"$f":"IF(I18=\"\",\"\",1)","v":""}]
[null,null,"1.1.2 All parties involved in the agricultural operation and related activities shall be aware of the law and regulations and comply with them.","Verify that the GM is aware of its responsibilities under applicable laws when directly enquired. \n\nCheck if the GM provides periodical  training/information sessions and training material on legal compliance to its staff, SHs, service providers and contractors. These sessions should be conducted prior to the first audit that includes FSS, when a new SH joins the group, when a service provider/contractor starts to provide services, and at least every two years thereafter, or when law is significantly amended. \n\nWorkers, SHs, service providers and contractors should demonstrate awareness of relevant legislation during interviews.","Documentation of regular stakeholder meetings, including signed list of participants; documentation of: training content and agenda, trainer name and qualification, signed list of participants, training records, training materials.\n\nInterviews with workers, SHs, service providers and contractors. ",{"$nulls":6},"","",""]
[null,null,"1.1.3 A system to ensure the prevention of all forms of bribery, conflicts of interest and fraudulent practices shall be implemented and maintained.","Verify that the GM has implemented a no-corruption policy and that all contracts and/or agreements include a clause refering to the no-corruption policy. The GM should prepare, communicate, and sign the policy. \nThe GM must demonstrate that a system is in place to avoid corruption, bribery, conflicts of interest, and fraudulent practices in its activities as a group manager and in its interaction with SHs.\nThere shall be evidence of regular trainings and information sessions being held for the GM's staff and SHs regarding the avoidance of unethical practices and risks related to fradulent practices and corruption prevention. These sessions should be conducted when the SH joins the group or starts to provide services, and at least every two years thereafter.\n\nInspect the training material and verify that the contents address avoidance of bribery, conflicts of business interest and fraudulent practices.\n                          \nInterview the GM's staff, trainers, SHs, service providers and contractors and workers to confirm findings. ","Non-corruption policy, contracts (workers, providers, services), documentation of due diligence process, declaration of compliance with applicable laws, and documentation of: training content and agenda, trainer name and qualification, signed list of participants, training records, training materials.\n\nInterview with relevant GM staff, trainers, SHs, service providers, contractors, and workers.",{"$nulls":6},"","",""]
["1.2","All parties involved in the agricultural operation and related activities shall be committed to respecting human rights in all operations and transactions. ","1.2.1 A written policy, in a language understood by all parties involved in the agricultural operation and related activities, shall make a commitment to human rights, including the human right to food, in all operations and transactions, and this policy shall be made available and communicated to all parties involved in the operation.","Confirm that GM has prepared, signed and displayed a written policy of commitment to human rights, including the human right to food, in all operations and transactions. The implementation of this policy must be documented and communicated to all SHs, staff and workers. Ask for documentation concerning the nationalities of employed workers and SHs supplying  materials and products, and verify that the written policy is available in a language understood by all parties. \n\nCheck if the GM has provided training, informational events and/or time for awareness-raising/group-work sessions on the human rights and the human right to food to its staff and SHs. There must be evidence that the trainings take place regularly (i.e. upon joining the group or starting to provide services, and at least every two years thereafter) and that all SHs, managers and parties involved in the operation participate in them. New contractors and SHs must be informed about the human rights and regular training sessions after signing a contract. \n\nConduct interviews with the trainer, SHs, and management (separately) in order to verify findings. ","Documentation of written policy on Human Rights, including Human Right to Food, in different languages; evidence of integration in business practices (contracts, general documentation); documentaton of:\ntraining content and agenda, trainer name and qualification, signed list of participants, training records, training materials.\n\nInterviews with training personnel, SHs, and management.",{"$nulls":6},"","",""]
["Principle 2: Respect national food security and development strategies ",{"$nulls":10},"","",""]
["2.1","The farm management/group manager shall endorse national strategies with regard to food security and these strategies shall not be contradicted by any business activities. ","2.1.1 The management staff shall be aware of the overall food-security situation in the country.\n\n\n","Ask the GM staff in charge of food security issues the following questions on the food security situation of the country:\n- What are the main drivers of food-insecurity based on the results obtained from the National Food Security Assessment (NaFSA) Tool?\n- What percentage of poulation is suffering from hunger, poverty, and under- or malnourishment in the country and region where the farm is situated?\n- Are vulnerable groups (e.g. indigenous groups, single mothers, children, elderly people) present in the region? \n- Who has attended events on food security? What have participants learned in regard to food security?","Documentation on food security situation of the country (should be known and assessed by the group manager or designated staff); proof of participation in events/training on food security; associated documentation.",{"$nulls":6},"","",""]
[null,null,"2.1.2 All relevant and applicable national and local strategies connected with food security shall be well known and not contradicted.\n","Check if the GM keeps an internal record or document system that compiles local and national strategies with relevance to food security. The GM should be able to provide a written and signed commitment to avoid activities that impair local or national food security strategies. The written commitment must be made publicly available and accessible to all persons. Furthermore, the GM must provide all SHs with a copy of this commitment in written form. \n\nStrategies that must be recorded in the system include, but are not limited to: \n- National food security strategies\n- Poverty reduction strategies\n- National and local agricultural strategies/plans\n- National and local development programs\n- Climate mitigation and adaptation strategies\n- Local land use plans\n\nThe GM must provide evidence of training sessions or meetings geared to raising awareness among GM staff concerning national and local strategies relevant for food security. These sessions/meetings must be held at least once each year. \n\nAsk the GM about the substance of these strategies, and about training/meeting attendance. Cross-check the GM's responses by querying training staff. Keep a record of the answers that are provided.","Visual inspection of the register system and of its documents; confirmation that written commitment is available at production site and at organization website. \n\nDocumentation of: training/event content and agenda, trainer name and qualification, signed list of participants, training records, training materials. \n\nInterviews with relevant staff.",{"$nulls":6},"","",""]
["Principle 3: Mitigate natural and human-made disaster risks",{"$nulls":10},"","",""]
["3.1","Natural and human-made disaster risks shall be mitigated and procedures shall be in place to ensure a proper response to emergencies. ","3.1.1 Natural and human-made disaster risks in the area of influence of the operation have been identified. Relevant governmental emergency/contingency plans are known.\n","Ask the GM or employees responsible for risk management (or similar) about potential natural and human made disasters in the region (e.g. drought, floods, earthquakes, fires, landslides, tsunamis, volcanic eruptions, tornados, hurricanes, pest infestations). \n\nThe responsible individual must be able to list potential natural and human made disasters, including emergency/contigency plans adopted by the government or other relevant entities.\n\nInterview external stakeholders such as community representatives, local authorities and local NGOs in order to confirm your findings.  ","Documentation on the subject; evidence of emergency/contingency plans formulated by GM, government, and/or other entities. \n\nInterviews with external stakeholders such as community representatives, local authorities and local NGOs.",{"$nulls":6},"","",""]
[null,null,"3.1.2 A contingency and risk mitigation plan for the farm and its area of influence has been developed and implemented. This plan shall be in line with existing government plans and appropriate for addressing local risks.","When asked, the GM must be able to name external actors and selected SHs responsible for local emergency procedures. \nSHs must be able to demonstrate knowledge about emergency procedures.\n\nThe GM must have a contingency and risk mitigation plan for the smallholder group that is available in languages understood by all SHs. The plan must be easy to understand and include concrete measures to safeguard availability of water and food. The plan should be developed in cooperation with SHs and tailored to the relevant risk level. \nThe GM must demonstrate that the plan has been coordinated with local authorities in order to ensure that SHs and nearby communities have access to food and water under any emergency situation. All SHs must be informed about risks and existing emergency plans. \n\nThe plan should include:\n- An assessment of natural, human-made and operational risks,\n- Measures to mitigate risk and increase resilience, particularly with a view to recurring natural hazards,\n- An emergency plan that, among other things, ensure availability of food and drinking water to workers, SHs and local communities in the event of an emergency, and\n- A procedure for coordinating with existing local contingency/emergency plans.\n\nVerify that the GM has conducted training sessions or meetings with the SHs in order to inform them about risks and the risk mitigation plan. These sessions/meetings should be held whenever a new smallholder joins the group or at least once each year in order to refresh awareness.\nInterview external stakeholders such as local authorities, community representatives and local NGOs in order to confirm your findings.  ","Paper documentation of contingency and risk mitigation plan; documentation of emergency and safety procedures, including maps; visual inspection of storage rooms and protective equipment; visual inspection of facility for communicating emergency/organizing emergency response at the production site.\n\nDocumentation of: training/meeting content and agenda, trainer name and qualification, signed list of participants, training records, training materials.\n\nInterviews with external stakeholders such as local authorities, community representatives, and local NGOs.",{"$nulls":6},"","",""]
["Access Pillar",{"$nulls":10},""]
["Principle 4: Ensure market access and contribute to local development",{"$nulls":10},""]
["4.1","Local value creation must be supported.","4.1.1 Measures to support local value creation and close income gaps in the area of influence of the operation shall be identified in a consultation process with relevant stakeholders and implemented. \n","Verify that measures have been developed in consultation with smallholders.\nConfirm that: \n- the consultation process has been documented (meeting minutes, list of consulted stakeholders, agenda of meetings etc.)\n- Reports are distributed to SHs in order to inform them of planned and/or implemented measures \n- The GM regularly monitors and evaluates the effectiveness of the measures, and keeps associated records\n\nExamples of measures to support local value creation include:\n- Rising inclusion of local SHs in the supply chain\n- Investment in local processing facilities\n- Creating and maintaining schools/training centers\n- Supporting shops that sell local food products\n- Purchasing local products and services wherever possible\n- Offering financing options to SHs\n- Offering training for occupational development\n- Any other income generating activities that contribute to closing income gaps\n\nThe GM must draw up a plan in consultation with SHs regarding how to implement measures in this regard, including means to finance them. If external financial support is required, GM should take steps to obtain this support.\n\nBased on on-site inspection, document review, and interviews, investigate whether, in addition to core farm activities, the GM supports or enables supplementary economic activities. Talk to responsible GM staff, SHs and community representatives in order to confirm your findings.  ","Documentation of implementation plan, including budget; of consultation process; and of measures for local value creation.\n\nVisual inspection of implemented measures. \n\nInterviews with GM, responsible GM staff, SHs, and community representatives.",{"$nulls":6},"",{"$f":"IF(H30=\"\",\"\",1)","v":""},{"$f":"IF(I30=\"\",\"\",1)","v":""}]
["4.2","Access to markets for local communities must not be reduced.","4.2.1 The time and effort required for local communities to access food markets must not be negatively influenced by farm’s operations.","Based on direct inquiry, verify that the GM instructs SHs on the need to comply with this requirement. SHs should be informed that their work may not restrict community access to local markets (e.g. by impairing transport or making detours necessary). If the SHs are unable to draft a map demonstrating compliance, the GM should provide assistance in this regard.\n\nAsk the GM about its communication with SHs on this issue.   ","Guidance map, documentation of communication with SHs.\n\nInterviews with GM.",{"$nulls":6},"","",""]
["Principle 5: Safeguard long-term farm profitability and fair business conduct",{"$nulls":10},"","",""]
["5.1","The operation shall be economically viable in the long term.","5.1.1 A business or management plan shall be available, implemented, and regularly reviewed and updated, and shall include plans and measures to support the long-term economic viability of the operation.\n","Check agreements regarding the group management functions fulfilled by the GM. Verify that training is provided to the SHs on financial literacy and basic farm planning. Options for ensuring economic viability should be addressed in the training that is provided. Check whether the GM provides a template for calculating expenses and revenues. GMs should ensure that SHs regularly monitor their balance sheet. Training should be conducted when a new smallholder joins the group. Otherwise, training should be conducted every two years or at more regular intervals if deemed necessary by the GM or SH. Check whether training material is provided to the SH, and whether it is regularly updated.\n\nIn the event the GM provides more than group management, verify that GM has a written business or management plan for the operation, including information on financing, budgets, profits, future development, and the economic performance of SHs (if, for example, the GM is a mill or ginnery). \n\nThe plan should feature a strategy for ensuring the long-term economic viability of the smallholder group while also identifying necessary activities and areas in need of improvement. The plan should take into account social and environmental factors, such as sustainable yield optimization and input efficiency. In addition, the plan should address market needs and strategies for mitigating risk (such as drought, floods or price fluctuations). The business/management plan should be regularly reviewed and updated as needed by the GM.\n\nInterview the GM, SHs and third-party service providers to confirm responsibilities and cross-check findings.","Written agreement on management functions of GM, written business or management plan, cost-benefit template, training content and agenda, trainer name and qualification, signed list of participants, training records, training materials.\n\nInterviews with GM, SHs, and service providers (agricultural or otherwise)",{"$nulls":6},"","",""]
["5.2","Fair, legal and transparent arrangements shall be implemented with all contract/smallholder farmers and service providers.","5.2.1 Written contracts/agreements formulated in a language understood by all parties shall be in place and co-signed copies shall be made available to all parties. In the case of group contractual arrangements (e.g. cooperatives), all members shall have a copy. Agreement/contracts shall clearly define:\n- price/quality parameters,\n- exit arrangements, and\n- compensation measures in the event of farm/group manager bankruptcy.","Check whether contracts/agreements meet the following requirements:\n(1) The contracts must be in an appropriate language and co-signed copies must be available to both parties. In the case of group contract arrangements, all members must have a copy.\n(2) Payments for harvests must be calculated on paper and signed and handed over to contract farmer/smallholder for his/her own record keeping.\n(3) Provisions governing price/quality parameters must be clearly defined in the contract and also fair (e.g. in accordance with living income estimates or FAO Guiding Principles for Responsible Contract Farming).\n(4) The contract must contain clear provisions on exit arrangements, buy-out possibilities, the transfer of property deeds (when appropriate), and compensation measures in the event of parent organization bankruptcy (when legally required/applicable).\n\nVerify the existence of meeting minutes that demonstrate regular discussions/negotiations between the GM and SHs. \nSuch meetings should be held at least twice per year.                                              \nIn the event GM merely has a management function, i.e. does not purchase agricultural products from the SHs, the GM must demonstrate a written agreement with all parties that empowers the GM accordingly.\n\nInterview GM staff responsible for contracts/agreements.   ","Relevant contracts, delivery notes and invoices, written agreement on management functions, minutes of meetings with SHs.\n\nInterviews with GM staff responsible for contracts/agreements.  ",{"$nulls":6},"","",""]
[null,null,"5.2.2 The prices paid to contract farmers/smallholders must be fair. In the case of smallholders, the prices shall be based on living income estimates, when they are available for the region. If no living income estimates are available, prices shall be set following the FAO Guiding Principles for Responsible Contract Farming.","Check contracts between smallholder farmers and GM on fair price agreements. Verify that pricing in purchase agreements is done according to defined quantitative and qualitative parameters both parties agree on. The GM should always offer fair prices to smallholder farmers with reference to local living income estimates. If respective information are not available for the region, FAO Guiding Principles for Responsible Contract Farming are known by the GM and applied in price negotiations.\n\nInterview GM and personnel responsible for accounting. Confirm findings through interviews with SH.   ","Contracts, documents on living income estimates, FAO document on Guiding Principles for Responsible Contract Farming should be on file.\n\nInterviews with GM and personnel responsible for accounting and SH.",{"$nulls":6},"","",""]
[null,null,"5.2.3 Agreed-upon payments to farmers/smallholders shall be made in a transparent and timely manner.","Check invoices and receipts. Compare this documentation with contractually defined payment amounts, methods and periods. Evidence of payment should be provided on paper, signed or fingerprinted, and handed over to the SH for his or her record keeping.\n\nInterview GM and personnel responsible for accounting. ","Relevant invoices and receipts.\n\nInterviews with GM and personnel responsible for accounting. \n",{"$nulls":6},"","",""]
["Principle 6: Respect labor rights and ensure good working conditions",{"$nulls":10},"","",""]
["6.1","All workers shall be provided with written contractual agreements that are fair and legally valid.","6.1.1 Workers shall have written employment contracts. Employment contracts shall be in a language understood by all parties, signed by the worker and employer, and include at least the following: job description; working hours; pay rate; overtime regulations; social benefit entitlements and deductions; annual paid leave; maternity leave; protection of the worker from loss of pay in the case of illness, disability or accident; and a notice period for termination that is the same as the notice period for the employer. ","Verify that the GM provides employment-contract templates to be used by the SHs when hiring permanent, temporary or seasonal workers. The templates should adhere to legal requirements, and should include, at a minimum, a job description, working hours, pay rate, overtime rules, social benefit entitlements and deductions, annual paid leave, maternity leave, protection of the worker from loss of pay in the event of illness, disability or accident, and a notice period for termination that is the same as the notice period for the employer. \n\nThe GM should provide an employee roster template (i.e. employee list) containing at least: name, status/type of contract (permanent, temporary, seasonal, casual, on labour exchange), age and description of duties.\n\nThe GM must instruct the SH (in training/information sessions or meetings) regarding:\n\n- The type of working relationships and contracts/bargaining agreements suitable for each working relationship\n- The proper use of the employment contract template\n- Keeping an employee roster and keeping copies of working contracts or notes on collective bargaining agreements\n\nTraining shall take place directly after a SH joins the group or at least every two years. Training material that is regularly updated must be provided.","National and sectoral regulations/documents, employment contract templates for SHs, employee roster template (list).\n\nDocumentation of: training content and agenda, trainer name and qualification, signed list of participants, training records, training materials.",{"$nulls":6},"","",""]
["6.2","The farm management/smallholder shall pay all workers a decent wage and provide conditions of employment that respect legal requirements or collective bargaining agreements, whichever sets the higher standards.","6.2.1 All workers shall receive at least a living wage in line with the estimations for the country or region made by the Global Living Wage Coalition (if available). If no living wage has been calculated for the country or region, then wages shall at least fulfil legal regulations (government regulated minimum wages), industry minimum standards or collective bargaining agreements (whichever sets the highest standard). ","The GM must maintain an overview of living wage calculations for the country/region and current figures regarding statutory and industry minimum wages. The GM must also know about any minimum wage set through collective bargaining. The GM must advise the SH about the minimum wage applicable for its workers.\nRefer to the following website for detailed indications: Global Living Wage Coalition: https://www.isealalliance.org/our-work/improving-effectiveness/global-living-wage-coalition\n\n","Documentation of national and sectoral regulations/ standards, country/regional living wage studies/documents, collective bargaining agreements on minimum wage, minutes of meetings about payment discussions/information.\n",{"$nulls":6},"","",""]
[null,null,"6.2.2 If payments are calculated by piecework (i.e. based on production rather than hours) or by task, the pay rate must allow workers to earn at least the wage set in line with Indicator 6.2.1, based on regular (legal) working hours under average conditions. Information about this pay rate must be transparent and available to all workers and worker’s organizations. ","The GM shall calculate, at least annually, the minimum pay rate for piecework or per task that would allow for a decent wage (as defined in indicator 6.2.1; see calculation example in the auditor handbook Annex X) in consultation and in agreement with the smallholders. Calculations shall include the rates to be paid in the event the worker is offered different work due to unforeseeable circumstances such as bad weather conditions or drought.\n\nThe GM must publicly communicate the minimum pay rate for piecework or per task, so that farm workers are able to access this information.\n","Documentation of annual minimum pay rate calculation for piecework or per task, consultation/agreement documents with SHs, inspection of publication form (e.g. notice board, information sheet/flyer)",{"$nulls":6},"","",""]
[null,null,"6.2.3 Working hours, leave and additional benefits shall comply with, or exceed, applicable statutory regulations, sector minimum standards or collective bargaining agreements (the conditions most beneficial to workers should apply).","Analyse national legislation, sector standards or collective bargaining agreements and identify the highest standard regarding working time (per week or per month), guidelines on leave and other working time benefits. Verify that the GM is aware of applicable legislation, sector minimum standards and collective bargaining agreements. Ask the GM if there are collective bargaining agreements available. \n\nCheck whether GM informs SHs about applicable legislation and standards.","National and sectoral regulations/documents (e.g. national working hours act), collective bargaining agreements.\n\n",{"$nulls":6},"","",""]
[null,null,"6.2.4 It shall be demonstrated that no deductions from wages are made unless they are permitted by national laws or fixed by a collective bargaining agreement. If deductions from wages are made for any provided service, the amounts deducted must be fair and in line with the actual costs incurred, and deductions shall not be used as a disciplinary mechanism. ","Check whether the GM can demonstrate awareness of applicable laws and the results of bargaining agreements and whether this information is communicated to SHs.","National and sectoral regulations/documents, collective bargaining agreements.\n",{"$nulls":6},"","",""]
[null,null,"6.2.5 It shall be demonstrated that workers are not requested to bring their own protective equipment, uniforms or tools.","The GM must demonstrate that SHs are informed about the prohibition against requesting farm workers to bring their own protective equipment, uniforms and tools, and that the GM is responsible for providing these things at every working area where it is needed and required, whether by law or practical necessity.\n","National and sectoral regulations/documents, information documents.\n",{"$nulls":6},"","",""]
[null,null,"6.2.6 Workers shall be paid at regularly scheduled intervals (at least monthly) and in a legal tender.","Analyse national legislation and identify the minimum sectoral payment intervals (per week or per month, or daily for casual workers).\nCheck whether the GM informs and instructs SHs about national and sectoral legislation and adherance to minimum sectoral payment intervals. THe GM should advise SHs on different forms and proofs of payment. ","National and sectoral regulations/documents, identified minimum payment intervals for sector.",{"$nulls":6},"","",""]
[null,null,"6.2.7 Payments shall be documented with a payslip containing all relevant information and in a language understood by all parties.\n                           ","The GM shall provide SHs a payslip template to be used as proof of payment for permanent, temporary and seasonal workers in a language understood by all parties. The GM shall also provide necessary clarification on how to use this template. \nAt least the following information must be included in the template:\n\n- SH farm/farm name and address\n- Name of worker paid\n- Date of payment\n- Total amount paid (wage)\n- Any deductions such loans, up-front wage payments, or payment in kind (food, water, electricity)\n- Days paid for holidays\n- Days paid for maternity leave\n- Days paid for sick leave\n- Days not paid due to absence of worker without reason            \n\nThe GM shall explain to SHs alternative proof-of-payment options for casual workers.","National and sectoral regulations/documents, payslip template.",{"$nulls":6},"","",""]
[null,null,"6.2.8 Permanent employment relationships shall be used for all core work performed in the operation. Temporary, seasonal and casual (day labour) must be limited to jobs that are temporary, seasonal or occasional/intermittent, and not used to avoid the obligations of permanent employment.","Verify that the GM provides information and guidance to SHs on different options and types of employment (permanent, temporary, seasonal) and other work relationships (casual or labour on exchange basis), including definitions and current regulations. Verify that the GM advises SHs about the type of contracts to be used according to the type of task, and about the obligations associated with each contract type.\n\nThe GM shall instruct the SH on the need to keep a list of workers' names, status (permanent, temporary, seasonal, casual, on labour exchange), type of work performed and type of contract agreement. This list must include all workers employed on the farm over the past 24 months.\n\nCheck whether associated information material is provided to SHs.","Information material on options and types of employment and contracts, employee roster template.",{"$nulls":6},""]
["6.3","People involved in farm operations shall not be subjected to any form of discrimination based on race, color, gender, religion, political opinion, national extraction, social origin, sexual orientation, family responsibilities, marital status, union membership, age or any other condition that could give rise to discrimination.","6.3.1 An equal opportunities policy that identifies relevant/affected groups shall be made available and publicly communicated.","Check whether the GM has prepared and provided a publicly available equal opportunities policy that identifies relevant/affected groups in the local environment. The policy may include, for example, information on equal contractual conditions and payments, access to training, and other aspects of the business relationship for all people involved in the operations. Check the document regarding the quality and scope of the content.\n\nCheck whether the policy document can be accessed by everyone in written form, as a notice in a public place on-site, and whether it has been actively communicated to SHs. Interview GM staff to confirm findings.\n","Equal opportunities policy document, signed evidence document on awareness of respective legislation.\n\nInterviews with GM staff to confirm that all employees are informed and aware of equal opportunities policy and know its contents. ",{"$nulls":6},"",{"$f":"IF(H47=\"\",\"\",1)","v":""},{"$f":"IF(I47=\"\",\"\",1)","v":""}]
[null,null,"6.3.2 Awareness shall be raised regarding equal opportunity as part of regular training activities.","Ask the GM about training sessions held for SHs to raise awareness and communicate information about equal opportunities policy. Review the training agenda, material, minutes/records, and frequency (training should be held directly after a SH joins the group and at least every two years thereafter). \n\nThe GM must provide the SHs with training material that is regularly updated.","Documentation of: training content and agenda, trainer name and qualification, signed list of participants, training records, training materials.\n\n",{"$nulls":6},"","",""]
[null,null,"6.3.3 Workers shall not be subjected to any form of discrimination in hiring, pay, benefits, access to training, promotion, termination, retirement or any other aspect of employment, based on race, color, gender, religion, political opinion, national extraction, social origin, sexual orientation, family responsibilities, marital status, union membership, age or any other condition that could give rise to discrimination.","Verify that GM informs SHs about how to avoid discrimination when hiring workers.","National and sectoral regulations/documents.\n\nInterviews with representatives from the local community and local NGOs (to check if discrimination is present).\n\n",{"$nulls":6},"","",""]
[null,null,"6.3.4 Contract farmers/smallholders shall not be subjected to discrimination in contracts, payments, access to training or any other aspect of the business relationship, based on race, color, gender, religion, political opinion, national extraction, social origin, sexual orientation, family responsibilities, marital status, union membership, age or any other condition that could give rise to discrimination.","Review contracts/agreements with different SHs to verify there are no indications of discrimination (distinction, exclusion or preference) that denies or impairs equality with a view to contractual terms, payments, access to training, termination, or any other aspect of the business relationship based on individual characteristics and group membership or association (including race, color, gender, religion, caste, political opinion, national extraction, social origin, sexual orientation, family responsibilities, marital status, disability, union membership, age or any other condition). \n\nConduct separate personal interviews with SHs and the GM to confirm findings. Interview representatives from the local community and local NGOs to determine if discrimination is present.  \n\nCheck whether there are grievances related to discriminatory practices (see verification guidance and evidences of indicator 14.1.1).","National and sectoral regulations/documents, contracts/agreements, evidence of payment, records of grievances and complaints.\n\nInterviews with SHs and GM, local community representatives, and local NGOs.",{"$nulls":6},{"$f":"IF(OR(G50<>\"\",I50<>\"\"),1,\"\")","v":""},"",""]
["6.4","Occupational safety and health conditions for workers shall adhere to recognized national and international standards.\t\n\t\n\t\n\t\n\t\n","6.4.1 A health and safety policy appropriate to the type and size of the operation, and which applies to all people working for the operation, shall be adopted and follow ILO Convention 184 (Safety and Health in Agriculture) or national laws (if they are more stringent).","The GM must demonstrate that a written policy for health and safety has been adopted and distributed to all SHs. The policy must be consistent with the provisions of ILO Convention 184 (Safety and Health in Agriculture) or with national laws, if they are more stringent than ILO provisions.                                      \n\nThe GM must provide training, including associated training material, to the SHs. Training must be provided directly after an SH joins the group and at least every two years thereafter.","Internal safety and health policy, ILO Convention 184 (Safety and Health in Agriculture) should be on file, signed evidence document on awareness of respective legislation.\n\nDocumentation of: training content and agenda, trainer name and qualification, signed list of participants, training records, training materials.",{"$nulls":6},"","",""]
[null,"Conditions of occupational safety and health for workers shall follow internationally and nationally recognised standards.\n","6.4.2 All people working for the operation shall be provided with health and safety training specific and relevant to the task performed. Training shall cover:\n\n- Work-related health and safety risks \n- Preventative measures for minimising those risks\n- Work-related risks to the environment and/or society\n- The proper transport, storage and handling of hazardous substances and waste\n- Accident and emergency procedures and measures, including the interpretation of labels, markings, signs, and other safety relevant audio and/or visual signals (see Indicator 6.4.3)","Verify that the GM has developed a training program that addresses the topics listed in the indicator. The content should be specific and relevant to activities and existing risks in the smallholder farms.\n\nTraining should take place directly after an SH joins the group and at least every year thereafter. Updated training material must be provided by the GM.","Documentation of: training content and agenda, trainer name and qualification, signed list of participants, training records, and training materials, including accident and emergency procedures.\n",{"$nulls":6},"","",""]
[null,"Conditions of occupational safety and health for workers shall follow internationally and nationally recognised standards.\n","6.4.3 Emergency and accident procedures appropriate for the operation shall be made available and periodically updated based on records of work-related accidents (see Indicator 6.4.4).\n","Verify that the GM has developed emergency and accidents procedures in collaboration with the SHs (e.g. through working groups, interviews) and ensure that they are appropriate for farm activities. The procedures should be periodically adapted based on records of work-related accidents (see indicator 6.4.4).","Written and up-to-date emergency and accident procedures, records of work-related accidents, evidence of consultation process with SHs.",{"$nulls":6},"","",""]
[null,"Conditions of occupational safety and health for workers shall follow internationally and nationally recognised standards.\n","6.4.4 Records of all work-related accidents shall be kept.\n","Check whether the GM maintains digital or paper records of work-related accidents reported by SHs.","Up-to-date monitoring documentation/records of accidents and emergencies (paper or digital).",{"$nulls":6},"","",""]
[null,"Conditions of occupational safety and health for workers shall follow internationally and nationally recognised standards.\n","6.4.5 First aid and emergency response material shall be available in sufficient quantity (i.e. readily available and accessible to workers) and in sufficient quality (i.e. up-to-date, periodically inspected and appropriate to address relevant hazards and risks) at all sites, including mobile facilities and in the vicinity of agricultural sites. Designated people on the farm shall be knowledgeable as to the presence and use of such equipment.","Verify the GM is aware of the first aid and emergency response material appropriate for the needs of SHs. The GM must advise SHs about the most suitable material and where to acquire it.\n\nCheck whether the GM provides training on first aid and emergency response materials. Trainings should be provided directly after a SH joins the group and at least every two years thereafter. The GM should also provide updated training material.\n","Documentation of: training content and agenda, trainer name and qualification, signed list of participants, training records, training materials.",{"$nulls":6},"","",""]
[null,"Conditions of occupational safety and health for workers shall follow internationally and nationally recognised standards.\n","6.4.6 Personal protective equipment (PPE) shall be provided to all people working for the operation to protect them from all occupational health and safety hazards associated with their respective tasks (e.g. use of agrochemicals or power tools).","The GM must advise SHs on the most suitable personal protective equipment (PPE) for their needs, including where to acquire this equipment. SHs must be informed by the GM that equipment and protective clothing are to be replaced as soon as possible if damaged or defective. Instructions on how to clean the equipment and clothing (removal sequence, use of water or specific cleaning products, handling of wastewater, where to clean) must also be provided to SHs.\n\nCheck whether the GM conducts training on the use of the PPE and whether the GM provides training material to the SHs. Training must be provided directly after a SH joins the group and at least every two years thereafter.","Documentation of: training content and agenda, trainer name and qualification, signed list of participants, training records, and training materials, including cleaning instructions.",{"$nulls":6},"","",""]
["6.5","The right of all personnel to form and join trade unions of their choice and to bargain collectively shall be respected. ","6.5.1 A policy recognising freedom of association and the right to collective bargaining shall be made available and explained to all workers in languages that they understand. If the right to freedom of association and collective bargaining is restricted under domestic law, alternative means of independent and free association and bargaining for all personnel shall be provided.","Verify that the GM has a written policy recognising freedom of association and the right to collective bargaining for all workers involved in farm activities. This policy should be based on established regulations, including ILO Convention 87 on \"Freedom of Association and the Protection of the Right to Organise\" and 98 on \"the Right to Organise and Collective Bargaining\". The policy must be provided and communicated to all SHs and available in a language understood by all. \nIf existing national/local laws restrict freedom of association or collective bargaining, the policy should address alternatives to allow for independent and free association and bargaining in farms.","Policy on freedom of association and the right to collective bargaining, documentation of existing national/local laws.",{"$nulls":6},""]
[null,null,"6.5.2 Workers shall have the right to establish and join worker organizations based on their own free choice, without influence or interference by the farm management/group manager/smallholder.","Check whether the GM trains SHs regarding organized labor, including the right of workers to establish or join a workers' organization and the powers and general activities of a workers' organization. The GM should provide advice on how to proceed if SH workers wish to join a workers' organization.\n\nTrainings must be provided directly after a SH joins the group and at least every two years thereafter. Verify that training material is provided to the SHs.","Documentation of: national regulations, training content and agenda, trainer name and qualification, signed list of participants, training records, training materials.\n",{"$nulls":6},""]
[null,null,"6.5.3 Worker organizations shall operate without interference or influence by farm management, the farm owner or group manager. ","Check whether the GM trains SHs regarding how to behave toward workers' organizations, including prohibitions against interference. Training should include explanations on how open and hidden interference is defined and what is generally allowed and not allowed when dealing with worker organizations. Training should be conducted directly after an SH joins the group and at least every two years thereafter.\n\nVerify that training material is provided to the SHs.","Documentation of: training content and agenda, trainer name and qualification, signed list of participants, training records, training materials.",{"$nulls":6},""]
[null,null,"6.5.4 Members of workers’ organizations shall be provided with time needed to fulfil their tasks, whether during or outside regular working hours. Workers exercising this right should not be discriminated against or suffer repercussions. ","Check whether GM has informed SHs in training sessions about providing workers with sufficient time to fulfil their duties in a workers' organisation. The GM should explain that the SH may not engage in actions that discriminate against members of workers' organizations or cause them to suffer ill effects from their membership.\n\nTraining should be provided directly after an SH joins the group and at least every two years thereafter. Verify that information/training material is provided to the SHs.","Documentation of: training content and agenda, trainer name and qualification, signed list of participants, training records, training materials.",{"$nulls":6},""]
["6.6","No forms of forced or trafficked labor shall be used. ","6.6.1 All work shall be performed voluntarily and the following practices shall be prohibited: \n- Retention of identity documents or passports \n- Payment of recruitment or training  fees\n- Contract substitution \n- Involuntary overtime \n- Lack of freedom of workers to quit \n- Penalties for termination of employment \n- Debt bondage \n- Withholding of wages \n- Restrictions to freedom of movement","The GM must ensure that there has been no use of forced, bonded, or involuntary labor on the smallholder farms. \nTraining sessions must be provided to inform SHs about prohibited contractual and working conditions, i.e. no worker may be requested to relinquish his or her identity papers to the SH, the GM, or a third party; wages may not be withheld or reduced for disciplinary purposes or retained for a deposit (e.g. for accomodations, working clothes); no monetary penalties or physical intimidation or harm are permitted in reponse to a worker quitting; no substitutions or additional grants for recruiting activities are permitted; and the payment of overtime is mandatory.\n\nTraining must be provided directly after an SH joins the group and at least every two years thereafter. Training materials must be provided by the GM.","Documentation of: training content and agenda, trainer name and qualification, signed list of participants, training records, training materials.",{"$nulls":6},""]
["6.7","Children shall not be employed or exploited. ","6.7.1 A formal policy for the protection of children, including child-labor prohibition and remediation provisions, shall be in place and implemented.","Check whether the GM had adopted a written policy for the protection of children, valid for all activities of the group of farms, and that this policy has been distributed to the SHs. The policy must define a minimum age for children working on the farms that complies with ILO Convention 138 on \"Minimum Age for Admission to Employment\" and with national/local legislation. \nCheck whether the policy prohibits child labor according to ILO Convention 182 on \"Worst Forms of Child Labour\", which comprises:\n\n(a) all forms of slavery or practices similar to slavery, such as the sale and trafficking of children, debt bondage and serfdom and forced or compulsory labour, including forced or compulsory recruitment of children for use in armed conflict;\n(b) the use, procuring, or offering of a child for prostitution, for the production of pornography, or for pornographic performances;\n(c) the use, procuring, or offering of a child for illicit activities, in particular for the production and trafficking of drugs as defined in relevant international treaties;\n(d) work which, by its nature or the circumstances in which it is carried out, is likely to harm the health, safety, or morals of children.\n\nCheck whether the policy sets restrictions and guidelines for child work on the farm. The policy should, for example, prohibit employment of children under the accepted minimum age; the employment of school age children during school hours; and hazardous work by children that endangers health, safety, or morals.\n\nCheck whether the policy contains provisions identifying cases of child labor and how to remediate them.","Policy for the protection of children, ILO Convention documents, national/local legislation, procedures to identify child labor, documentation of actions against child labor.",{"$nulls":6},""]
[null,null,"6.7.2 Any type of paid or unpaid work by a child under the age of 15 shall be prohibited. The only exception shall be work by children on family smallholdings within own community, and this shall only acceptable under adult supervision and when it does not interfere with the child’s schooling or put his or her health at risk.","Verify that the GM informs and instructs SHs in training sessions about legal requirements regarding child work on the farm. Training should be based on national legislation and specific laws regarding child labor under the age of 18 (ILO Convention 138). Check whether child work on family farms is permitted by national/local laws. \n\nVerify that SH is informed that only workers above the minimum school leaving age in the country (but, in any event, at least 15 years old) are permitted to work on the farm. The GM should explain to SHs that family members under 15 years old are allowed to work on the farm only when accompanied by an adult and if school obligations are not violated. SHs must be advised that children under the age of 15 may not operate vehicles, heavy machinery, or power tools, may not handle hazardous chemicals/materials, and may not perform work that compromises their health, safety, or morals.\n\nCheck whether training material is provided to the SHs and confirm that training is conducted at least once a year and whenever a new SH joins the group.","Documentation of national/local laws on child work/labor, training content and agenda, trainer name and qualification, signed list of participants, training records, training materials.\n",{"$nulls":6},""]
[null,null,"6.7.3 Young persons shall only be employed in non-hazardous work, and protective restrictions shall be in place for such work.  ","Verify that the GM conducts training sessions to inform SHs of their obligation to provide appropriate working conditions for young persons (individuals aged 15-18). Specifically, young people may not undertake hazardous work that jeopardizes their health, safety, or morals, e.g. chemical spraying, handling of explosive material, exceedingly hard physical work (i.e. carrying heavy items, permanent work in a bent posture), work in risky areas, or work that is morally unacceptable.\n\nCheck whether specified working hours for young persons under applicable law are explained to SHs, e.g. no working time during school time; working hours between 7am and 9pm; no work at night. Verify restrictions on use of machinery, e.g. no use of heavy machinery/vehicles (e.g. driving of tractors, diggers, trucks) or power tools (e.g. chainsaws, drills).\n\nCheck whether training takes place at least once a year for all SHs and whether training materials are provided.","Documentation of: training content and agenda, trainer name and qualification, signed list of participants, training records, training materials.\n",{"$nulls":6},""]
["Principle 7: Provide training and capacity building",{"$nulls":10},"",{"$f":"IF(H65=\"\",\"\",1)","v":""},{"$f":"IF(I65=\"\",\"\",1)","v":""}]
["7.1","Training and capacity building focused on improving the agricultural livelihood of all farmers involved in the operation shall be provided.","7.1.1 A training and capacity building program that is addressed at all farmers involved in the operation shall be implemented and available. This program must be developed in consultation with farmers to ensure its contents are tailored to their needs.","Check whether a written programme has been developed by the GM in consultation with the SHs, including spouses if they are active in any way on the farm. Examples topics: adult literacy training, financial literacy, gender equity (transformative approaches), crop diversification, family gardening, machine or technology handling, etc.\n\nThe dialogue with the SHs should be documented and lead to actions.                                            \n\n","Proof of budget allocation for training, documentation of the farmer consultation (minutes, list of attendees,  pictures of the session).\n\nEvidence on training provided (training content and agenda, trainer name and qualification, list of participants, training records, training materials).",{"$nulls":6},"","",""]
["Principle 8: Offer social safety nets",{"$nulls":10},"","",""]
["8.1","All people working for the operation shall have access to medical care.","8.1.1. All people working for the operation shall have sufficient and adequate medical care. Their families shall also have access to medical care if this is required by domestic law.","Medical care is defined as access to appropriate health insurance or, if not available, to equivalent health services. \n\nCheck whether the GM has identified and communicated the best options for SHs to get access to affordable medical care for themselves, their families and their workers (with the exception of casual workers or workers on exchange basis). The GM should demonstrate activities to support SHs in obtaining affordable medical care and service.\nIn the event no medical services exist in the region, determine whether the GM has engaged with responsible health authorities to request the provision of adequate services for SHs.\n\nInterview GM and collaborating medical services and health authorities to confirm findings.   ","Documentation describing medical care options and advice provided to SH as well as requirements under national law.\n\nInterviews with GM, collaborating medical services and health authorities.",{"$nulls":6},"","",""]
[null,null,"8.1.2 All people working for the operation shall have access to appropriate healthcare in the event of work-related illness or injury. These individuals shall have access to free transportation to the nearest hospital or on-site medical facility during working hours. In the event permanent on-site medical support is provided, equipment and training should be adequate to deal with accidents and acute poisoning. All people working for the operation shall have occupational accident insurance coverage.","Check whether GM has identified the hospital or medical service that is located closest to the area where the farms are located, including the best method of transportation in case of injury or accident. The GM must demonstrate it has informed SHs of these medical service options and their costs.\n\nCheck whether GM has identified and evaluated accident insurance providers and has informed SHs about the best policy options in terms of cost and coverage. The GM should assist with negotiations if a group insurance policy is sought.\n\nInterview GM staff responsible for health and safety issues. ","Information documents for SHs and workers on health insurance options, medical care locations and transport options.\n\nInterviews with GM staff responsible for health and safety issues. ",{"$nulls":6},"","",""]
[null,null,"8.1.3 A policy shall be in place regarding regular sick leave and leave caused by employment injury. This policy must ensure that workers are protected from being dismissed during temporary sick leave. It must also guarantee the worker some form of income during sick leave. Sick leave should not count towards annual holiday leave. The policy should, at a minimum, adhere to domestic regulations.","Check whether GM has prepared a written policy to ensure sick leave from work due to regular illness or employment injury. Review the document to confirm it complies with national regulations and laws on sick leave. Check whether this policy is disseminated in a form accessible to all SHs.","Sick leave policy; national regulations on sick leave should be on file.",{"$nulls":6},"","",""]
["8.2","All people working for the operation shall have access to a provident fund, pension system or equivalent compensation.","8.2.1 All people working for the operation shall have a provident fund or pension scheme. If national legislation has more stringent requirements, then this legislation must be adhered to. If pension arrangements cannot be provided to a subset of workers, e.g. migrant or temporary/seasonal workers, these workers must receive equivalent compensation. ","Verify that the GM is aware of national legislation and has identified provident funds, pension schemes, and retirement saving options suitable for SHs and their workers. Verify that the GM has held informational sessions for SHs and has distributed informational material.\n\n","Information documents for SHs and workers on pensions schemes, funds, and saving alternatives; documentation of national legislation; evidence of information/training sessions (training content and agenda, trainer name and qualification, list of participants, training records, training materials).\n\n",{"$nulls":6},"","",""]
["Availability Pillar",{"$nulls":10},"","",""]
["Principle 9: Respect land rights",{"$nulls":10},"","",""]
["9.1","Existing land rights and land-use rights, including formal, informal and customary rights, shall be respected in accordance with the Voluntary Guidelines on the Responsible Governance of Tenure (VGGT). All decisions regarding land rights and land use rights, such as purchase, sale or valuation, shall be based on the free, prior and informed consent of all stakeholders. \n\t\n\t\n\t\n\t\n\t\n\t","9.1.1 Existing land rights and land-use rights, including formal, informal and customary rights, shall be assessed prior to the first audit, including FSS verification. Such an assessment shall also be conducted prior to acquisition/rental of land, and – in the case of contract farming or group certification – when new contract farmers or group members are added.","Verify the GM assesses the land use and land-use rights of all group members with a view to identifying potential irregularities or disputes. Check whether this assessment is also performed when new members join the group or when existing members expand the farm areas subject to certification. \n\nIn the event of disputes, the GM should engage with the involved parties and monitor whether the dispute has been resolved.         \n\nConfirm findings through interviews with community representatives or other stakeholders such as regional administrations and local NGOs.  ","Legal documents, land registers, documentation from SHs on land rights and land-use rights, related contracts, and, if necessary, information from regional administration and NGOs.\n\nInterviews with community representatives or other stakeholders, such as regional administration and local NGOs. ",{"$nulls":6},"","",""]
[null,null,"9.1.2 It shall be demonstrated that there are legal, customary land-rights or land-use rights for the operation. For the period from 2012 onward, it must be demonstrated that the land-rights or land-use rights were obtained based on ‘free, prior and informed consent’ (FPIC) and following negotiated agreement with affected parties.","Verify the GM has developed a written procedure appropriate for SHs regarding land rights and land-use rights acquisition which includes FPIC provisions based on recognized FPIC guidelines such as FAO. \n\nConfirm that trainings are provided directly after an SH joins the group and at least every two years thereafter. ","Written procedure for acquistion of land rights/land-use, FPIC guidelines, and \"Free, Prior and Informed Consent Manual\" of FAO or similar guidelines from recognized sources.",{"$nulls":6},"","",""]
[null,null,"9.1.3 Land under legitimate dispute shall not be used for operations until such disputes have been settled through free, prior and informed consent and negotiated agreements with affected parties. Maps of an appropriate scale showing the extent of recognised legal, customary or use rights must be developed in a participatory process that involves affected parties (including neighbouring communities, when applicable, and relevant authorities). ","Verify the GM has developed a conflict resolution procedure for SHs that gives due consideration to legal requirements and the negotiation practices of local populations. The procedure should also include a mediator accepted by all parties. \n\nIn the event of disputes, the GM must assist the SHs in implementing the conflict resolution procedure and drawing land rights maps in collaboration with the involved parties. \n\nConfirm the GM maintains records of land disputes and how they have been resolved by the SHs.","Conflict resolution procedure, records of land disputes and resolution process, protocols of meetings for participatory mapping with SHs and third parties, including signed list of participants, FPIC guidelines, and \"Free, Prior and Informed Consent Manual\" of FAO.\n\nInterviews with all parties involved in the land dispute as well as interviews with land users, community representatives, and other stakeholders such as NGOs in order to cross-check information.",{"$nulls":6},"","",""]
[null,null,"9.1.4 Traditional and customary land use rights shall be respected. Against this backdrop, the use of the land by pastoralists, indigenous people, artisanal fishers and other comparable users must be allowed. This shall exclude any illegal hunting, illegal fishing or illegal collection of products.","Verify the GM informs and advises SHs regarding traditional and customary land rights in the region and the need to consider and respect these rights.","Documentation of meetings and information sessions, regional legislation on traditional and customary land rights.",{"$nulls":6},"","",""]
[null,null,"9.1.5 There has been no forced or involuntary physical or economic displacement, resettlement or relinquishment of land rights for the purpose of agricultural production. Extra-judicial intimidation or harassment by contracted security forces shall be also prohibited. There shall be no evidence that the operation has instigated violence.","Verify the GM informs and advises SHs regarding past or existing land disputes/conflicts. SHs must understand that (1) farm activities, present or planned, may not lead to the displacement/resettlement of people or relinquishment of land rights, and that (2) intimidation, harassment or violence of any form is prohibited.\n\nThe GM should explain how to consult with the community or other parties in order to resolve disputes, based on the FPIC consultation process (refer to the \"Free, Prior and Informed Consent Manual\" of FAO to verify the correctness of the FPIC process).  ","Written consultation procedures, FPIC guidelines, and \"Free, Prior and Informed Consent Manual\" of FAO.\n\nInterviews with external stakeholders, including local authorities, community representatives, and local NGOs, in order to confirm findings.",{"$nulls":6},"","",""]
[null,null,"9.1.6 In any negotiations, all relevant information shall be available to all affected parties in appropriate forms and languages, including impact assessments, proposed benefit sharing and associated legal arrangements.","Verify the GM has informed SHs regarding compliance with these requirements.","Written documents, assessments, and arrangements in different languages.",{"$nulls":6},"","",""]
[null,null,"9.1.7 When negotiating communities' land or land-use rights, these communities must be represented through institutions or representatives of their own choosing, including legal counsel. ","Verify the GM is aware of any land negotiation processes being carried out by the SH's group or individual SHs concerning community land or other third-party land. Verify the GM has advised the SHs concerning the need to ensure adequate community representation.","Documentation of meetings and information sessions, guidelines for conducting meetings, meeting minutes template, and participants list.\n\nInterviews with community members (to ask whether representatives are chosen through an open vote or by community authorities).",{"$nulls":6},"","",""]
["Principle 10: Respect water rights and ensure that water quality and availability are maintained or improved",{"$nulls":10},"","",""]
["10.1","Existing water rights must be respected.","10.1.1 Downstream and groundwater users shall be identified and existing formal or customary water rights determined. The potential impacts of the operation on such rights shall be evaluated and documented.\n","Verify the GM is aware of local water rights and of any existing constraints or conflicts that concern the members of the SH group. Verify the GM stays informed of any changes and communicates relevant information to the SHs.\n\nCheck applicable regulations. Interview external stakeholders such as water authorities, representatives of users' associations, community leaders and local NGOs.","Documentation of water rights and regulations, documentation of meetings and information sessions with SHs, list of potential impacts and conflicts.",{"$nulls":6},{"$f":"IF(OR(G82<>\"\",I82<>\"\"),1,\"\")","v":""},"",""]
[null,null,"10.1.2 Water rights must be obtained through legal means. All existing formal or customary water rights, including the rights of pastoralists, indigenous people, artisanal fishers and other comparable users shall be respected and protected. Free prior and informed consent shall be obtained from impacted parties prior to the acquisition of new or existing rights. ","Verify the GM provides SHs with relevant information about existing formal and customary water rights in the region, including constrains and conflicts that concern the SHs. The GM must keep an updated overview of the water rights/permits obtained by group members.\n\nVerify the GM has developed a procedure for water rights acquisition that also contains mandatory provisions regarding FPIC and that is appropriate for SHs. The GM must provide advice on how to use the procedure document. \n\nCheck applicable regulations and existing water rights, both formal and customary, including the rights of pastoralists, indigenous people, artisanal fishers and other comparable users.","Documents on formal and customary water rights/regulations in the region, water rights/permits, documentation of meetings/information sessions with SHs, written procedure for water rights acquisition.\n\nInterviews with representatives/leaders of affected indigenous people/local communities, e.g. local community leaders/members, local authorities, and NGOs.",{"$nulls":6},"","",""]
[null,null,"10.1.3 Water resources under legitimate dispute shall not be used until such disputes have been settled through agreement with affected stakeholders based free, prior and informed consent.","Check whether the GM has developed a conflict resolution procedure for disputes regarding water resources based on FPIC methodology. The GM must demonstrate that records of water related disputes are maintained, including information regarding their outcome.","Conflict resolution procedure, records of water disputes and resolution process.",{"$nulls":6},"","",""]
["10.2","Water quality and availability in the operation’s area of influence shall be assessed.","10.2.1 Water resources potentially affected both within and outside of the farm shall be identified, and key risks and challenges shall be assessed.\n\n\n\n","Check whether the GM has developed a procedure appropriate for SHs to identify water resources that can be affected by farm activities. This procedure should include assessment of potential impacts to the availability and quality of water resources in a manner appropriate for SHs. The GM should provide training to the SHs regarding the procedure, and requests new SHs to carry out the assessment directly after joining the SH group. \nVerify the GM compiles the results of the assessments. Based on the results, the GM should annually identify water bodies where the impact risk to water availability and/or quality is medium to high and members of the group that need to implement preventive or mitigation measures.\n\nTrainings should be provided directly after an SH joins the group and at least every two years thereafter. ","Documentation of water impact assessment, SH assessment results, documentation of water impact risks, identified responsibilities.",{"$nulls":6},"","",""]
["10.3","Water quality shall be maintained or improved.","10.3.1 Measures to contain effluents and avoid runoff and leaching, as well as to prevent pollution and siltation of surface and ground water, shall be implemented.\n","Based on the results of the impact assessment (see 10.2.1), the GM should formulate an impact mitigation plan for implemention by SHs based on the identified responsibilities. The plan should be updated annually based on assessment results from new group members as well as monitoring results (see 10.3.2). \n\nTraining focused on the prevention of water pollution and siltation should be provided directly after an SH joins the group and at least every two years thereafter. Updated training material should be provided. ","Documentation of monitoring results, impact assessments for new SHs, updated risk mitigation plan for SHs. \n\nDocumentation of: training content and agenda, trainer name and qualification, signed list of participants, training records, training materials.\nInterviews with workers about good agricultural practices; interview with community representatives,  environmental authorities, and NGOs to confirm findings.",{"$nulls":6},"","",""]
[null,null,"10.3.2 The quality of potentially affected water bodies and of all drinking water sources in the area of influence of the operation shall be periodically monitored based on the results of a risk assessment (see Indicator 10.2.1). The results must show that water quality is being maintained or improved.","Check whether the GM has developed a monitoring plan based on the results of 10.2.1, focused on highly impacted water sources in the area of influence of the SHs. The monitoring methods selected should be appropriate to the type of impact and to the capacities of the SHs. The frequency of the surveillance should be defined in the monitoring plan. Check whether the monitoring progress and results are compiled twice a year or in a timeframe following governmental requirements (if any). \nVerify the GM keeps records of the results of monitoring performed by the SHs. Confirm that monitoring results show no deterioration in water quality, including that of drinking water sources, caused by the activities of one or more SHs.\n\nTraining should be provided directly after an SH joins the group and at least every two years thereafter. Updated training materials should be provided. Training should focus on SHs with high or medium impacts.","Documentation of: Monitoring plan, GM and SH monitoring results, training content and agenda, trainer name and qualification, signed list of participants, training records, training materials.\n\nInterviews with environmental authorities or local personnel responsible for water governance and quality.",{"$nulls":6},"","",""]
["10.4","Local water availability shall not be negatively affected.","10.4.1 Situations of water scarcity shall not be created and long-term water availability shall not be affected.","Verify the GM is aware of the overall water availability situation at the catchment level and of any situation of water scarcity based on the results of the impact assessment (see 10.2.1) and through information exchange with local authorities, engagement in local initiatives (either directly or via participation of SH in such initiatives), etc.\n\nVerify the GM keeps SHs updated about the water scarcity situation and, together with the SH group, formulates measures to improve water efficiency, reduce water consumption or carry out water harvesting appropriate to the farm activities.\n\nIn situations of water scarcity, the GM should remain informed about the causes through dialog with local authorities or initiatives. The GM should formulate measures to be adopted by SHs to avoid water extraction.\n\nInterview community members/community leaders, local authorities, fishers and other people living in the area, environmental authorities, responsible personnel for water governance and NGOs to confirm findings.\n\nTraining should be provided directly after an SH joins the group and at least every two years thereafter (or more frequently, if water scarcity is expected, e.g. at least once a year in regions prone to drought). Updated training material should be provided.","Measurement documents and assessment results, water availability plan, records of information exchange with authorities/initiatives, and documented improvement measures. \n\nDocumentation of: training content and agenda, trainer name and qualification, signed list of participants, training records, training materials.\n\nInterviews with community members/leaders, local authorities, fishers and other people living in the area, environmental authorities, personnel responsible for water governance, and NGOs.",{"$nulls":6},"","",""]
[null,null,"10.4.2 Important water-related areas, including wetlands, affected by the operation shall be protected, restored (if damaged) and always maintained.","Verify the GM identifies important water related areas within the area of influence of the SH group and assesses conditions and potential impacts.\nVerify that measures to restore and maintain water related areas are formulated and regularly updated.\n\nCheck whether the GM communicates an action plan and measures to SHs, and whether the GM provides training focused on the SHs/farm activities that are actually or potentially generating impacts. Training should be provided directly after an SH joins the group and at least every two years thereafter. Updated training material should be provided.\n\nInterview environmental authorities, local authorities, community representatives and environmental NGOs to verify information and measures.  ","Documents/action plans with implementation measures and updates, monitoring results. \n\nDocumentation of: training content and agenda, trainer name and qualification, signed list of participants, training records, training materials.\n\nInterviews with environmental authorities, local authorities, community representatives, and environmental NGOs",{"$nulls":6},"","",""]
[null,null,"10.4.3 Impacts on water availability within the area of influence of the operation, including water sources for human consumption, shall be assessed and regularly monitored.","Verify the GM assesses the overall impact of SH farming activities on water availability. The GM should develop a monitoring plan according to the level of impact. Monitoring methods should be appropriate to the capacities of the SH.\n\nVerify the GM keeps records of the monitoring carried out by SHs or by the GM if this task was delegated to the group management. Monitoring results show no negative impacts of farm activities on the availability of surface and ground water. Confirm farm activities have not reduced the availability of water for human consumption.\n\nTraining should be provided directly after an SH joins the group and at least every two years thereafter. Updated training material should be provided.","Documentation of assessment results; monitoring plan; SH monitoring results; documentation of training content and agenda, trainer name and qualification, signed list of participants, training records, training materials.",{"$nulls":6},"","",""]
[null,null,"10.4.4 When irrigation is performed, effective action shall be taken to ensure that water is efficiently used and that water scarcity is not aggravated (see Indicator 10.4.1).","Verify the GM advises the SH on the need for irrigation. If irrigation is necessary, the GM should provide training and training materials on how to develop and implement an irrigation plan focused on efficient use of water and the minimization of water extraction (e.g. based on drip irrigation, irrigation suited to crop requirements, rain water use, proper irrigation timing). \n\nTraining should be provided directly after an SH joins the group and at least every two years thereafter. Updated training material should be provided.","Documentation of: training content and agenda, trainer name and qualification, signed list of participants, training records, training materials (irrigation plan template, information on irrigation methods).",{"$nulls":6},"","",""]
["Principle 11: Implement sustainable agricultural practices ",{"$nulls":10},"","",""]
["11.1","Good Agricultural Practices (GAP) shall be applied","11.1.1 Soil erosion shall be prevented or minimized through the design of the agricultural production site and sustainable practices shall be used to enhance soil health.","Verify the GM has a map providing an overview of the type of soils and topographic characteristics of the region(s) where SH farms are located. Verify the GM is aware of erosion risks, and that, based on this knowledge, the GM develops a training program, including measures to prevent or minimize soil erosion.\n\nTraining should be provided directly after a SH joins the group and at least every two years thereafter. Updated training materials should be provided.","Map of soil types and topographic characteristics; documented erosion risks in the region; and training program documents, including content and agenda, trainer name and qualification, signed list of participants, training records, and training materials.",{"$nulls":6},"","",""]
[null,null,"11.1.2 Practices to protect the soil structure, including the prevention of compaction, as well as to maintain or enhance soil organic matter at the production site, shall be implemented.","Verify the GM provides training on best practices to protect soil structure and maintain/enhance organic matter. The training should provide explanations on how and why to carry out organic matter balance and soil analysis. Training should be adapted to local soil conditions and to the existing knowledge and capacities of SH farmers. The GM should promote the exchange of experience among SHs on best practice.\n\nTraining should be provided directly after a SH joins the group and at least every two years thereafter. Updated training materials should be provided.","Documentation of: training content and agenda, trainer name and qualification, signed list of participants, training records, training materials (instructions for organic matter balance and soil analysis).",{"$nulls":6},"","",""]
[null,null,"11.1.3 Practices to maintain and improve the soil nutrient balance while taking into account soil conditions and crop needs and reduce nitrate pollution shall be implemented.","Verify the GM provides training and training material on the handling of fertilizers. This training should address procurement from trustworthy sources, proper use based on application manuals, and the use of organic material. The GM should additionally provide guidance on how to carry out nutrient input/output balance assessments and soil/leaf analysis.\n\nTraining should be provided directly after an SH joins the group and at least every two years thereafter. Updated training materials should be provided.","Guidance documents on handling fertilizers; instruction documents for input/output balance and soil/leaf analysis; documentation of: training content and agenda, trainer name and qualification, signed list of participants, training records, training materials.",{"$nulls":6},"","",""]
[null,null,"11.1.4 Producers of annual crops shall practise crop rotation. ","Check whether the GM provides training to SH producers of annual crops on crop rotation planning and practices, such as a template for crop rotation planning.\n\nTraining should be provided directly after an SH joins the group and at least every two years thereafter. Updated training materials should be provided.","Guidance documents on crop rotation; template for crop rotation planning; documentation of: training content and agenda, trainer name and qualification, signed list of participants, training records, training materials.",{"$nulls":6},"","",""]
[null,null,"11.1.5 Integrated Pest Management techniques (IPM) that are adequate for the target crop to reduce the development of pest populations and minimise risks to human health and the environment shall be implemented and monitored.","Verify the GM has developed an Integtated Pest Management (IPM) plan appropriate for relevant crops that combines preventive, observation and monitoring measures.\n\nVerify evidence of prevention measures. Examples of prevention include:\n- Beneficial plants to attract natural predators\n- Natural predators (e.g. against rats: owls, snakes)\n- \"Good\" insects (lady beetles, parasitic mini-wasps, spiders)\n\nExample measures for observation and monitoring:\n- Counts of rat attacks on harvested product\n- Beatle traps for counting\n- Count of bones in owl nests\n- Evidence of natural predator activity \n\nTraining should be provided directly after an SH joins the group and at least every two years thereafter. Updated training materials should be provided.","IPM plan and documentation of training content and agenda, trainer name and qualification, signed list of participants, training records, training materials.",{"$nulls":6},"",{"$f":"IF(H97=\"\",\"\",1)","v":""},{"$f":"IF(I97=\"\",\"\",1)","v":""}]
[null,null,"11.1.6 Records of pesticide use shall be maintained, including, at a minimum, documentation of the reason for use; the name of the pest treated; the product designation, including active ingredients; the amount applied per hectare; the location, date, and target crop; and the number of applications.","Verify the GM provides templates to SHs containing the information required in the indicator and how to fill in the information. Training should be provided directly after an SH joins the group and at least every two years thereafter. Updated training materials should be provided.\n\nVerify the GM maintains SH pesticide records.","Pesticide record templates for SHs; GM pesticide usage records; documentation of: training content and agenda, trainer name and qualification, signed list of participants, training records, training materials.",{"$nulls":6},"","",""]
["11.2","Good practices shall be implemented for the storage, handling, use and disposal of chemicals (pesticides, fuels, fertilizers, etc.)","11.2.1 None of the chemicals recorded in the WHO’s 1a, 1b and 2 lists, the Rotterdam Convention or in the Stockholm Convention on Persistent Organic Pollutants shall be used. Pesticides included in the PAN list of highly hazardous pesticides under the categories H330 (fatal if inhaled) and/or with long term effects according to the EU GHS classification are also prohibited.\n\n","Verify the GM can demonstrate knowledge about legal regulations and listed prohibited chemicals for agricultural practices (WHO lists, Rotterdam and Stockholm Convention, PAN list should all be on file). Check whether SHs are informed in training about permitted and prohibited chemicals and the reasons for such bans. Check whether SHs receive training in how to use protective clothing, especially respirators/dust masks, to prevent contact or inhalation of chemicals and pesticides. Check whether the GM indicates alternative non-chemical methods or less hazardous chemicals that are suitable and can be used instead by the SHs.\n\nTraining should be provided directly after an SH joins the group and at least every two years thereafter. Updated training materials should be provided.","Legal/national regulations, list of prohibited chemicals (WHO, Rotterdam and Stockholm Convention, PAN list), list of permitted chemicals, document on alternative methods and non-chemical/less hazardous alternatives, protective equipment issuance records (especially respirators/protective dust masks with a high class of protection, e.g. FFP1/2/3), and documentation of: training content and agenda, trainer name and qualification, signed list of participants, training records, training materials.",{"$nulls":6},"","",""]
[null,null,"11.2.2 Manufacturer’s safety instructions for the storage, handling, use and disposal of chemicals shall be followed.","Verify the GM provides suitable training to SHs, including guidelines on how to read and understand the safety instructions. The GM should emphasize that compliance with the instructions is always mandatory. As part of training, examples of typical product safety instructions should be shown and illustrations and symbols explained in detail to avoid missunderstandings regarding application and usage. Verify the GM provides universally valid safety instructions on the handling of chemicals in case no manufacturer's safety instructions are available. This instruction should address conditions of application, emergency procedures, protective equipment, etc.\nCheck whether instruction covers the need for adequate storage facilities as well as adequate disposal of empty chemical containers.\n\nTrainings are provided directly after a SH joins the group and afterwards at least once a year. Updated training materials are provided.","Universal safety instructions for chemicals usage and documentation of: training content and agenda, trainer name and qualification, signed list of participants, training records, training materials.",{"$nulls":6},"","",""]
[null,null,"11.2.3 Pesticides shall be used in accordance with proven methods that minimize risk and do not harm the environment, communities, people working for the operation, women or children. No pesticides shall be used in or near water sources or protected areas.","Verify the GM conducts specific training on the application of pesticides in the field for all SHs. Verify that SHs are informed about proven methods and are provided with step-by-step guidelines on the use of different pesticides. The GM should inform SHs that the aerial application of pesticides must be avoided and is only permitted if organized and monitored by the GM.\nInformation sessions should draw attention to the consequences of pesticide misuse, including potentially serious damage to human health and the environment. Explicit reference should also made to the manufacturer's instructions for product usage, e.g. handling and application specifics; the amount of active ingredient to apply; and re-application intervals.\nCheck whether special attention is devoted to the application of pesticides near protected water and land, and whether pesticide use is prohibited when it could impact drinking water sources or protected areas. \n\nCheck whether the GM provides instruction on when pesticides can be applied, i.e. times of day and year, or under appropriate weather conditions, e.g. in the early morning or late evening to avoid solar radiation; not in the dry season; during low winds; or temperature and humidity requirements. \n\nTraining should be provided directly after an SH joins the group and at least every two years thereafter. Updated training materials should be provided.","Step-by-step guidelines for pesticide application; policy on restrictive time frames; documentation of: training content and agenda, trainer name and qualification, signed list of participants, training records, training materials.",{"$nulls":6},"","",""]
[null,null,"11.2.4 No work with pesticides shall be undertaken by young workers or pregnant or breast-feeding women. These individuals must be offered alternative work. ","Verify the GM informs SHs about work restrictions and pesticide-usage prohibitions for young workers and breast-feeding or pregnant women. Check whether the GM instructs SHs on their responsibility to ensure compliance, including the need for regular monitoring in the field. The GM should advise SHs that these restrictions must be taken into account in worker contracts.\n\nTraining should be provided directly after an SH joins the group and at least every two years thereafter. Updated training materials and information for young workers and women should be provided. These materials should instruct on the importance of pregnancy tests and where to take them.","Documentation of: training content and agenda, trainer name and qualification, signed list of participants, training records, training materials.",{"$nulls":6},"","",""]
["Utilization Pillar",{"$nulls":10},"","",""]
["Principle 12: Provide a setting for the safe utilization of food",{"$nulls":10},"","",""]
["12.1","All people working for the operation shall have access to clean and safe facilities.","12.1.1 Accommodations (including collectively used accommodations like dormitories and living areas), sanitary facilities (e.g. toilets, portable WCs, showers) and kitchen/dining/food storage areas, provided to people working for the operation and their families shall be designed, built and maintained to meet basic needs, to comply with legal requirements, and to ensure safe and healthy conditions. Toilet paper or bidet shower and soap shall be made available in all sanitary facilities.","Verify the GM informs and advises SHs regarding the need for compliance with this requirement.\n \nCheck whether the GM has developed, in consultation with SHs and local experts, a guidance document on the minimum requirements for living quarters, sanitary facilities, and facilities where food is prepared or served within the context of the SH group. This guidance should refer to all accomodations and sanitary facilities (located inside or outside the farm). The guidance document must give consideration to applicable legal requirements. \n\nTraining should be provided directly after an SH joins the group and at least every two years thereafter. Updated training materials should be provided.","National/local regulations/legislation regarding worker accomodation; documentation of consultation process; guidance document on living quarters and sanitary/food preparation facilities; documentation of: training content and agenda, trainer name and qualification, signed list of participants, training records, training materials.\n\nInterviews with responsible personnel, worker representatives, cleaning personnel, and farm management.  ",{"$nulls":6},"","",""]
["12.2","All people working for the operation shall be provided with access to potable water.","12.2.1 All people working for the operations shall have access to potable water.","Verify the GM informs SHs regarding their obligation to provide potable water access to all workers. Check whether the GM gives practical advice on how SHs can ensure access, e.g. with purification tablets or the boiling of water.\n\nTraining should be provided directly after an SH joins the group and at least every two years thereafter. Updated training materials should be provided.","Documentation of: training content and agenda, trainer name and qualification, signed list of participants, training records, training materials.",{"$nulls":6},"","",""]
["Principle 13: Guarantee good nutrition",{"$nulls":10},"","",""]
["13.1","Measures to improve access to adequate, safe, sufficient and affordable food for all people working for the operation shall be undertaken.","13.1.1 Appropriate, clean and safe dining and food storage facilities must be provided. ","Check whether the GM informs SHs about the obligation to provide adequate dining areas for everybody involved in the farm operation. Check whether the GM has set requirements regarding the dining areas and food storage facilities provided by the SHs, i.e. regarding security and cleanliness, or general availability (to SHs, families, workers) during any weather conditions. Eating facilities, techniques and habits (e.g. eating on the floor or on the ground in the field) typical of the local culture/conditions must be permitted as long as basic hygienic and safety conditions are respected, e.g. sitting areas must be clean and provide protection from weather.\n\nVerify that information material and guidance documents are provided to SHs.","Information material and guidance documents.",{"$nulls":6},"","",""]
[null,null,"13.1.2 If workers do not have the option of bringing their own food or purchasing it nearby, options to buy diversified and nutritious food must be provided at fair prices.","Verify the GM informs and advises SHs regarding compliance with this requirement (namely, for the SH to provide anyone working on the farm with options for bringing or obtaining/purchasing nutritious food at fair prices). The GM must also provide SHs with  guidance about the composition of a nutritious meal based on the FAO \"Food-based dietary guidelines\", other national guidelines, or guidelines developed by a nutritionist. Guidelines must always respect the culinary cultures and eating habits of the region (country-specific guidelines can be found here: http://www.fao.org/nutrition/nutrition-education/food-dietary-guidelines/en/). As an alternative, the GM may consult guidelines from neighboring countries. \n","Guidelines for a good nutritious meal, information sheet on nutritious food, FAO \"Food-based dietary guidelines\" or national guidelines on diet.\n",{"$nulls":6},"","",""]
[null,null,"13.1.3 All people working for the operation (including those involved in other activities such as cooking or cleaning) shall be granted sufficient breaks for eating and drinking in consideration of weather conditions and the type of work performed.","Verify the GM advises SHs on the need to provide breaks to workers, including guidance on adequate break lengths and times depending on the activity type (harvesting, cooking, cleaning) and environmental conditions. Confirm the GM is aware of and refers to the ILO Conventions No. 67 and No. 153 regarding break requirements.\n\nTraining should be provided directly after an SH joins the group and at least every two years thereafter. Updated training materials should be provided.","ILO Conventions and documentation of: training content and agenda, trainer name and qualification, signed list of participants, training records, training materials.",{"$nulls":6},"","",""]
[null,null,"13.1.4 All people working for the operation shall have access to healthy and nutritious food of sufficient quality and quantity at all times.","Verify the GM is aware of the food security situation of all people involved in the operation, i.e. SHs, their families and their workers. The GM should obtain this awareness through interviews with SHs, their families, workers, and other  stakeholders (using the FSS-QAT or any other suitable instruments).\n\nIf there are signs of food insecurity, verify the GM formulates measures to ensure that all people involved in the operation have the possibility to eat healthy and nutritious food in sufficient quantity and quality at all times. Measures should be developed in consultation with the SHs and responsibilities allocated depending on the measure. The GM must demonstrate that measures have been implemented. Furthermore, the GM must identify whether external support (e.g. from government, buyers) is needed, and, if so, request this support.\n\nVerify the GM develops a plan and schedule for implementing measures in agreement with the SHs. The plan and schedule should be communicated to the SH and any other relevant parties.\n\nConfirm the GM implements measures for which it is responsible.","Reports on food security situation, records of interviews (using FSS-QAT), documents on measures to ensure food security, documentation of consultation process with SHs, implementation plan.",{"$nulls":6},"","",""]
["13.2","Breastfeeding women shall be provided with adequate conditions to nurture their children.","13.2.1 Nursing mothers shall be granted at least two additional 30-minute daily breaks during paid working time to breastfeed children up to 9 months after birth.\n","Verify the GM informs SHs about their obligation to provide nursing mothers with additional daily breaks in working schedule in order to nurture their children. SHs should be advised on the need to monitor compliance, including the need for due consideration of this requirement in worker contracts (including verbal agreements).","n/a",{"$nulls":6},"","",""]
["Cross-Cutting Pillar",{"$nulls":10},"","",""]
["Principle 14: Provide complaint and grievance mechanisms",{"$nulls":10},{"$f":"IF(OR(G114<>\"\",I114<>\"\"),1,\"\")","v":""},"",""]
["14.1","Complaints and grievances mechanisms for workers, contract farmers, communities and stakeholders shall be implemented and maintained.","14.1.1 A documented system for dealing with complaints and grievances voiced by workers, contract farmers, communities and stakeholders shall be implemented and maintained. The system shall allow resolution of disputes in an effective, timely and appropriate manner while also ensuring the anonymity of complainants and whistle-blowers, when requested. This mechanism shall have the following characteristics:\n\n- The mechanisms are communicated and made easily accessible to workers, contract farmers, communities and stakeholders. Special consideration shall be given to illiterate people.\n- Procedures shall be in place to ensure that anyone can confidentially communicate grievances or complaints without risk of reprisal or intimidation. \n- The system shall ensure anonymity of complainants and whistle-blowers\n- The dispute-resolution mechanism shall be based on negotiations between affected parties and decisions shall be agreed to by the vast majority of negatively affected workers/contract farmers/community members/stakeholders.\n- Any complaint or grievance must be acknowledged and dealt with in an effective and timely manner.\n- Records of all complaints and grievances must be kept, including steps taken to address them and the outcome of the process. ","Verify the GM has developed a documented system for managing complaints and grievances for SHs, workers, local communities, and other stakeholders, and that the system is regularly maintained. Confirm universal and easy access to this system. Check whether the GM informs SHs about existing mechanisms and their use in a manner and language that is easy to understand by all persons.\n \nVerify that the documentation and monitoring of complaints/grievances and their resolution is complete and kept anonymous. Verify that documentation of resolved issues/complaints includes records of time expenditures, developed solutions, and involved parties.\n\nIs an individual responsible for processing grievances known to SHs, workers, and local communities?\n\nInterview workers, SHs, community representatives, and other relevant stakeholders.  \n\n","Evidence/documentation of the system and associated complaint and grievance procedures (must be easy to understand); records of all grievances and complaints and how they have been solved; documents on person responsible for complaints and grievances.\n\nInterviews with workers, SHs, community representatives, and other relevant stakeholders.",{"$nulls":6},"","",""]
["Principle 15: Respect women’s rights and ensure gender equity",{"$nulls":10},"","",""]
["15.1","Women shall not experience discrimination and their rights must be respected.","15.1.1 All workers shall receive the same payment and benefits for the same work scope, regardless of gender.","Verify the SHs are informed about the equal rights of all persons, regardless of gender, and the need for payments and benefits to be uniform for all workers of the same level. Confirm the GM has informed SHs about the need to avoid and address any form of discrimination, especially related to unequal payment. Check whether training includes guidance for SHs to increase gender representation and equal work opportunities for women.\n\nTraining should be provided directly after an SH joins the group and at least every two years thereafter. Updated training materials should be provided.","Documentation of: training content and agenda, trainer name and qualification, signed list of participants, training records, training materials.\n\nInterviews with female workers and workers belonging to sexual minorities and their representatives.",{"$nulls":6},"","",""]
[null,null,"15.1.2 All women shall have the possibility to articulate and communicate their concerns and ideas through a dedicated gender representative or committee. Confidentiality must be granted if desired.","Check whether a system has been developed or support mechanisms are available for the establishment of a gender committee or the election of a gender represetative for the SH group to make sure that women have the option to express their ideas and concerns. Check if and how confidentiality is maintained and personal data are secured. Ask how the committee is elected and how the members are appointed. Female SHs, female workers as well as SH's spouses working in the field should be represented.\n\nIdentify the members of the committee or the gender representative, enquire as to existing/potential gender issues, and ask how they will be solved and confidentiality maintained. Review documentation and meeting minutes, if available, but only if confidentiality is assured.\n","System documentation or documentation of support mechanisms, gender committee documents, member lists, meetings minutes.\n\nInterviews with female workers and their representatives. ",{"$nulls":6},"","",""]
[null,null,"15.1.3 In all stakeholder consultation processes, including the FPIC, women must be appropriately included (proportionally represented) and their voices equally heard and respected.","Verify the GM can demonstrate compliance with this requirement in any stakeholder consultation process that it heads. Check whether SHs are informed about their responsibility to consider women in stakeholder consultation processes and to provide opportunities for equal involvement in discussions.\n\nReview the minutes of the stakeholder consultation processes and check whether measures for the avoidance and the exclusion of discrimination against women have been considered. Check whether women have had the opportunity to express their opinions. Check the documentation of stakeholder consultations and the signed list of participants to confirm women have been proportionally represented.\n                                                                                                                      \nInterview female community representatives, female stakeholders and relevant NGOs.  ","Meeting minutes, pictures of consultation process,  signed list of participants to the consultation process.\n\nDirect observation of site.\n\nInterviews with female community representatives, female stakeholders, and relevant NGOs.",{"$nulls":6},"","",""]
[null,null,"15.1.4 A policy to prevent sexual harassment and all other forms of harassment or violence shall be implemented and communicated at all levels of the workforce, including contract farmers and service providers. This shall include a procedure concerning where complaints are received, how complaints are handled, which remedial actions are performed and how the process is documented.","Check whether a written policy and associated mechanisms have been formulated, implemented and communicated to transmit complaints and prevent any form of harassment or violence against women. This policy should provided to all workers, SHs, service providers, and persons working for the GM in a manner and language that is easy to understand by all affected parties. Written procedures for handling complaints must be explained to all parties, with a special focus on women involved in farm activities or working for the GM. \n\nInterview female workers, female SHs and spouses about existing or past incidents, and ask if they know the policy, the personnel responsible for receiving complaints, and how they can lodge complaints.\n\nCross-check with indicator 14.1.1 on complaints and grievance mechanisms.","Policy documents, complaints procedure, documentation of complaints and remedial action.\n\nInterview female workers, female SHs, and spouses.",{"$nulls":6},"","",""]
[null,null,"15.1.5 Workers shall be granted at least eight weeks of maternity leave with compensation consistent with national laws or not less than 2/3 of regular pay, whichever is higher, not including annual leave, and in the absence of any loss or privilege on account of such leave. The employment contract of a woman during her pregnancy or maternity leave shall not be terminated, except on grounds unrelated to the pregnancy or birth of the child. National legislation must be adhered to if it provides more stringent requirements.  ","Verify the GM informs and advises SHs regarding compliance with this requirement. Verify SHs are informed about national laws and regulations on maternity leave, and that SHs receive guidance on how to grant paid maternity leave in worker contracts. Check whether the GM advises SHs on their obligation to grant a timeframe for maternity leave for all women. SHs should also be informed of the prohibition against restricting or cancelling worker contracts because of pregnancy or maternity. \n\nTraining should be provided directly after an SH joins the group and at least every two years thereafter. Updated training materials should be provided.","National regulations as well as documentation of: training content and agenda, trainer name and qualification, signed list of participants, training records, training materials",{"$nulls":6},"","",""]
[null,null,"15.1.6 Policies must be in place to ensure that women working for the farm operation are protected while pregnant. This includes specific procedures relating to their safety, such as protection against physical, chemical or biological agents that could cause harm. Pregnant women shall not work excessive hours and shall be provided with rest periods as appropriate. Legal requirements have priority, if they exceed the requirements laid down in this standard. ","Verify the GM develops a procedure and trains the SHs on measures to protect pregnant women in the workplace. This should include instruction on what types of work are allowed during pregnancy. Instruction should also include any local legal requirements that exceed the requirements mentioned here.\n\nTraining should be provided directly after an SH joins the group and at least every two years thereafter. Updated training materials should be provided.","Legal regulations, procedural documents, and documentation of: training content and agenda, trainer name and qualification, signed list of participants, training records, training materials.\n\nInterviews with pregnant women and worker representatives.",{"$nulls":6},"","",""]
["Principle 16: Raise awareness for nutrition and support child education",{"$nulls":10},"","",""]
["16.1","Awareness  regarding food security and nutrition shall be raised. ","16.1.1 A training program that focuses on improving food and nutrition security shall be provided to all people working for the operation. At a minimum, this training must cover proper nutrition and healthy diets. Other aspects of the training should be determined in collaboration with the target group. ","Check whether the GM has developed a training program in consultation with SHs (male and female) and whether training is conducted regularly (at least once a year). Is documentation of the consultation process available? Check whether the training program is provided to all SHs, whether the content of the training has been developed by or with the assistance of local nutrition experts, and whether it is tailored to people's level of education, food habits and nutrition needs. Training material should be in a language understood by all.\n\nCheck whether there is a regular assessment of training needs, and whether the program is documented. ","Documentation of consultation process, training content and agenda, trainer name and qualification, signed list of participants, training records, training materials.",{"$nulls":6},"","",""]
[null,null,"16.1.2 In regions with a high risk of food insecurity, training programs for communities within the area of influence shall be supported. These programs shall focus on improving food and nutrition security. The type of support provided must be defined in consultation with local communities and/or authorities.","Verify the GM invites communities in the area of influence to attend the training offered for SHs (see 16.1.1)\n\nCheck whether the training program provided for SHs can also be attended by community members and leaders. Are community members actively invited to the trainings? Are trainings conducted in a language understood by all parties?\n\nInterview community members and leaders.","Invitations sent to community members and documenation of: training content and agenda, trainer name and qualification, signed list of participants, training records, training materials.\n\nInterviews with community leaders and members.",{"$nulls":6},"","",""]
["16.2","All children living on the operation have access to quality primary school education.","16.2.1 It shall be demonstrated that all children living directly at the agricultural operation or in accommodations provided to workers and their families attend at least primary school.","Verify the GM has identified nearby primary schools and their capacities, and whether the GM has communicated this information to SHs. Working with the SH, the GM should determine if school capacities are enough to cover existing educational needs.\n\nIf no primary schools exist nearby, the GM should demonstrate formal remedial action, i.e. consulting with responsible authorities to advocate for the provision of at least primary school education.","List of available schools in the area, documentation of consultation with relevant authorities.\n\nConduct sample interviews with parents/families or other community members, farm management, and worker representatives. ",{"$nulls":6},"","",""]
["Principle 17: Assess and monitor local food security",{"$nulls":10},"","",""]
["17.1","Awareness for the overall food-security situation in the area of influence of the operation must be demonstrated. Responsibility for impacts on food security in the area of influence of the operation shall be assumed.","17.1.1 Awareness for the food security situation in the area of influence of the operation must be demonstrated. Any change in the food security must be registered and causes identified.","Verify the GM conducts interviews once a year with five to six well-informed key stakeholders about the local food security situation (e.g. a doctor or nurse from a local health station/clinic, a school teacher/director or pre-school staff, a government official in charge of food security/nutrition at the district level, a community leader, an environmental or social policy NGO). Confirm that the GM has requested the SH to report any situation of local food insecurity.\n\nConfirm the GM informs SHs each year about the food security situation in the group's area of influence as part of training or information sessions.\nCheck whether open and regular communication takes place between the GM, SHs, and community representatives/members to inform all parties about changes and problems.\n\nA special focus should be placed on any resettled communities. \n\nConfirm the use of the FSS Quick Assessment Tool (FSS-QAT) or similar for interviews. In regions with seasonal hunger periods longer than four weeks, interviews should be conducted twice a year. \n\nAll interview results should be documented and made accessible to the auditor.\n\nCross-check the results of the GM's FSS-QAT. ","Records of interviews conducted by GM using the FSS-QAT assessment or similar tool; SH reports on food insecurity situations; and documentation of: training content and agenda, trainer name and qualification, signed list of participants, training records, training materials.",{"$nulls":6},"","",""]
[null,null,"17.1.2 The food and nutrition security situation of communities in the area of influence of the operation does not deteriorate due to the operation.","If FSS-QAT surveys (see indicator 17.1.1) or communication with SHs indicate a deteriorating food security situation in the group's area of influence, the GM should identify the causes to confirm this food insecurity is not attributable to the operations of the SH group. In the event SHs operations have negatively affected food security, the GM must demonstrate that mitigation measures have been formulated in consultation with SHs and community representatives/members. \n\nCheck whether the GM implements measures that are within its field of responsibility. The GM should also inform SHs about their obligation to undertake remedial measures while providing assistive consultation.\nFollowing measure implementation, the GM should document that the situation of food insecurity has been resolved.\n\nThe GM should hire an independent expert to identify causes, design measures, undertake the consultation process with SHs and community members, and monitor measure implementation.\n\nInterview community representatives/members and the independent expert.","Communication records, special agreements/contracts, documentation of mitigation measures.\n\nInterviews with community members/representatives and independent experts.",{"$nulls":6},"","",""]
["17.2","New agricultural operations or the expansion of existing operations must not have a negative effect on the food security situation within the operation’s area of influence, and they must not impair the right to food at the national level.","17.2.1 Prior to starting or expanding operations, potential impact of planned activities on local and national food security must be assessed. It must be demonstrated that these operations will not have negative effects on national food security. Mitigation measures to ensure that local food security does not deteriorate within the area of influence of the operation must be implemented.","Confirm the GM carried out an impact assessment when planning the formation of the SH group. An impact assessment should also be performed when the originally certified crop area is expanded by 20% or more. \n\nConfirm that an ex-ante food-security risk assessment is conducted to establish a baseline for local and national food security. The impact assessment must be appropriate for the size of the SH group. The assessment should adhere to international standards. It must be possible to rule out negative effects on national food security from planned agricultural operations. \n\nIf risks are identified, the GM must develop a publicly available plan for the avoidance of negative impacts on local and national food security and for monitoring the food security situation while working in consultation with the directly impacted stakeholders. This plan must be based on the FPIC process; must be budgeted, documented, and timetabled; and must identify responsible parties for implementation. The GM should integrate the plan into the SH group and communicate it to all involved parties and relevant stakeholders. The plan must be monitored and reported upon according to a defined timetable. Confirm that this monitoring adequately involves all affected stakeholders. \n\nVerify the GM formulates and implements mitigation measures according to the plan in order to protect local food security from deterioration within the group's area of influence. If the negative impacts on food security cannot be mitigated (i.e. if measures included in the plan are not sufficient or if the budget to implement the selected measures is not sufficient), the operation cannot be certified and should not be implemented.\n","Documentation of ex-ante food security risk assessment; publicly available plan for risk avoidance; documentation of stakeholder consultation process based on FPIC; documentation of international standards; operation plans (budget plan, timetable).",{"$nulls":6},"","",""]
[{"$nulls":11},{"$f":"IF(G131=\"\",\"\",1)","v":""}]

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[{"$nulls":3},"FSS\n- Audit Procedure Tool - "]
["Audit Checklist Smallholders"]
["V 1.0"]
[]
[]
[{"$nulls":5},"COMPLIANCE INFORMATION"]
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[]
[{"$nulls":4},"Conformity:",{"$f":"SUM(L18:L130)","v":0}]
[{"$nulls":4},"Non-Conformity:",{"$f":"SUM(M18:M130)","v":0}]
[{"$nulls":4},"Not Applicable:",{"$f":"SUM(N18:N130)","v":0}]
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[null,{"$f":"IF(AND(B7,C7),\"Please tick off only one check-box!\",\"\")","v":""}]
["No.","Criteria","Indicator","Verification guidance","Evidences/ \nDocuments required","Findings","Conformity",{"$nulls":4},"Compliance"]
[null,null,"Indicator",{"$nulls":3},"Yes","No","N/A",null,null,"Yes","No","N/A"]
["Stability Pillar"]
["Principle 1: Apply good governance and respect the rule of law",{"$nulls":9},"Sum",{"$f":"SUM(L18:L130)","v":0},{"$f":"SUM(M18:M130)","v":0},{"$f":"SUM(N18:N130)","v":0}]
["1.1","All parties involved in the agricultural operation and related activities shall comply with applicable national, regional and local laws and regulations and ratified international treaties.","1.1.1 A documented system for ensuring legal compliance by the farm management/group manager, contract/smallholder farmers, service providers and contractors shall be implemented and maintained. ","n/a","n/a",{"$nulls":6},{"$f":"IF(OR(G18<>\"\",I18<>\"\"),1,\"\")","v":""},{"$f":"IF(H18=\"\",\"\",1)","v":""},""]
[null,null,"1.1.2 All parties involved in the agricultural operation and related activities shall be aware of the law and regulations and comply with them.","Verify the SH is aware when inquired of responsibilities arising from applicable laws and how to comply them. \n\nReview evidence that SH has participated in training and information sessions organized by GM.","Training attendance documents, informational materials.",{"$nulls":6},{"$f":"IF(OR(G19<>\"\",I19<>\"\"),1,\"\")","v":""},"",""]
[null,null,"1.1.3 A system to ensure the prevention of all forms of bribery, conflicts of interest and fraudulent practices shall be implemented and maintained.","Verify SH can demonstrate knowledge of no-corruption policy, and has indicated formal awareness of this policy with a signature.\n\nReview evidence that SH has participated in training and information sessions organized by GM.","Training attendance documents, informational materials.",{"$nulls":6},{"$f":"IF(OR(G20<>\"\",I20<>\"\"),1,\"\")","v":""},"",""]
["1.2","All parties involved in the agricultural operation and related activities shall be committed to respecting human rights in all operations and transactions. ","1.2.1 A written policy, in a language understood by all parties involved in the agricultural operation and related activities, shall make a commitment to human rights, including the human right to food, in all operations and transactions, and this policy shall be made available and communicated to all parties involved in the operation.","Ask the SH directly whether he/she has formally acknowledged and accepted the GM's human rights policy. Check whether the SH has signed the policy and whether a written version of the policy in an appropriate language is on file.\n\nReview evidence that SH has participated in training and information sessions organized by GM.","Signed copy of the policy in relevant language, training materials.",{"$nulls":6},"","",""]
["Principle 2: Respect national food security and development strategies ",{"$nulls":10},"","",""]
["2.1","The farm management/group manager shall endorse national strategies with regard to food security and these strategies shall not be contradicted by any business activities. ","2.1.1 The management staff shall be aware of the overall food-security situation in the country.\n\n\n","n/a","n/a",{"$nulls":6},"","",""]
[null,null,"2.1.2 All relevant and applicable national and local strategies connected with food security shall be well known and not contradicted.\n","n/a","n/a",{"$nulls":6},"","",""]
["Principle 3: Mitigate natural and human-made disaster risks",{"$nulls":10},"","",""]
["3.1","Natural and human-made disaster risks shall be mitigated and procedures shall be in place to ensure a proper response to emergencies. ","3.1.1 Natural and human-made disaster risks in the area of influence of the operation have been identified. Relevant governmental emergency/contingency plans are known.\n","Ask the SH about potential natural and human-made disasters in the region (e.g. droughts, floods, earthquakes, wildfires, landslides, tsunamis, volcanos, tornados, hurricanes, or pest infestations). Verify the SH can demonstrate awareness of major risks.","n/a",{"$nulls":6},"","",""]
[null,null,"3.1.2 A contingency and risk mitigation plan for the farm and its area of influence has been developed and implemented. This plan shall be in line with existing government plans and appropriate for addressing local risks.","Verify the SH has participated in risk management training and meetings devoted to developing a risk mitigation plan. Confirm SH is aware of the existing plan and can implement measures based on the associated risk level. Confirm SH informs workers about risk situation and management, including contents of risk mitigation plan.\n\nTalk to SH workers to confirm findings.","Contingency and risk mitigation plan provided by GM. Training materials.\n\nInterviews with SH and workers.",{"$nulls":6},"","",""]
["Access Pillar",{"$nulls":10},""]
["Principle 4: Ensure market access and contribute to local development",{"$nulls":10},""]
["4.1","Local value creation must be supported.","4.1.1 Measures to support local value creation and close income gaps in the area of influence of the operation shall be identified in a consultation process with relevant stakeholders and implemented. \n","Verify SH participation in the GM's consultation process dedicated to identifying and planning measures to increase local value creation. Visually inspect the site and ask SH if he/she supports the implementation of agreed-upon measures on farm or within farm's area of influence. Ask whether GM provides financial support or other assistance.\n\nInterview SH and/or beneficiaries of value creation measure.","Documentation of financial support from GM, if applicable.\n\nInterviews with SH and/or representatives of benefited communities.\n\nVisual inspection of implemented measure.",{"$nulls":6},"",{"$f":"IF(H30=\"\",\"\",1)","v":""},""]
["4.2","Access to markets for local communities must not be reduced.","4.2.1 The time and effort required for local communities to access food markets must not be negatively influenced by farm’s operations.","Check for formal/informal easements/routes within the farm that are used by the community. Visually verify they are not blocked. \n\nInterview members/representatives of local community to confirm findings.   ","Visual inspection of site/farm.",{"$nulls":6},"","",""]
["Principle 5: Safeguard long-term farm profitability and fair business conduct",{"$nulls":10},"","",""]
["5.1","The operation shall be economically viable in the long term.","5.1.1 A business or management plan shall be available, implemented, and regularly reviewed and updated, and shall include plans and measures to support the long-term economic viability of the operation.\n","Verify the SH can present a business/management plan or, alternatively, can at least explain the revenue/expense calculations that justify the financial viability of her/his farm in the current economic situation.\n\nVerify SH can demonstrate participation in GM training. Also, verify SH can provide written or verbal cost-benefit calculations and actions for maintaining or improving economic viability.","Business/management plan or written cost calculation, training materials.",{"$nulls":6},"","",""]
["5.2","Fair, legal and transparent arrangements shall be implemented with all contract/smallholder farmers and service providers.","5.2.1 Written contracts/agreements formulated in a language understood by all parties shall be in place and co-signed copies shall be made available to all parties. In the case of group contractual arrangements (e.g. cooperatives), all members shall have a copy. Agreement/contracts shall clearly define:\n- price/quality parameters,\n- exit arrangements, and\n- compensation measures in the event of farm/group manager bankruptcy.","Verify the SH has a signed copy of the contract or agreement with the GM written in a language understood by the SH. Confirm the SH understands and has formally accepted the terms of the contract/agreement, and is in compliance with it. Check whether written and signed payment calculations are provided to SH for its record keeping.\n\nAsk SH if regular meetings take place between GM and SH to discuss contract details and arrangements.","Copy of relevant agreements/contracts, written and signed payment calculations.\n\nInterviews with SH.",{"$nulls":6},"","",""]
[null,null,"5.2.2 The prices paid to contract farmers/smallholders must be fair. In the case of smallholders, the prices shall be based on living income estimates, when they are available for the region. If no living income estimates are available, prices shall be set following the FAO Guiding Principles for Responsible Contract Farming.","Verify the SH understands and agrees with purchase agreements. Confirm the SH understands the terms of contracts/bilateral agreements and accepts determined prices. Confirm the SH has a copy of the agreement on file.","Copy of signed purchase agreement.",{"$nulls":6},"","",""]
[null,null,"5.2.3 Agreed-upon payments to farmers/smallholders shall be made in a transparent and timely manner.","Ask whether SH understands payment conditions and receives payments as agreed. Confirm the SH keeps payment documents, invoices, and receipts provided by GM on file.","Signed payment slips in paper form; other payment records.",{"$nulls":6},"","",""]
["Principle 6: Respect labor rights and ensure good working conditions",{"$nulls":10},"","",""]
["6.1","All workers shall be provided with written contractual agreements that are fair and legally valid.","6.1.1 Workers shall have written employment contracts. Employment contracts shall be in a language understood by all parties, signed by the worker and employer, and include at least the following: job description; working hours; pay rate; overtime regulations; social benefit entitlements and deductions; annual paid leave; maternity leave; protection of the worker from loss of pay in the case of illness, disability or accident; and a notice period for termination that is the same as the notice period for the employer. ","Confirm that:\n- all permanent, temporary, and seasonal workers (excluding casual or labor-exchange workers) are provided with fair legal contracts in written form.\n- contracts are signed by workers and SH.\n- the contract was made using the template provided by the GM (or has a similar form, and contains the same information).\n- the contracts are written in a language understood by all parties and, if needed, explained carefully by SH or person of trust.\n- worker lists are kept for at least 24 months. Copies of working contracts must be on file for every permanent, temporary, and seasonal worker indicated on the list.\n- if an official registration system is requested by law, copies of working contracts are registered with the labor authority of the country where production takes place.\n\nIf no contract is available for a given worker, investigate the reasons via separate interviews with the worker and SH. Both must confirm that the working relationship is casual or based on labour exchange.\n\nInterview workers and cross-check information provided by SH.  ","Review of random sample of worker contracts; worker roster (list).\n\nInterviews with workers.",{"$nulls":6},{"$f":"IF(OR(G38<>\"\",I38<>\"\"),1,\"\")","v":""},"",""]
["6.2","The farm management/smallholder shall pay all workers a decent wage and provide conditions of employment that respect legal requirements or collective bargaining agreements, whichever sets the higher standards.","6.2.1 All workers shall receive at least a living wage in line with the estimations for the country or region made by the Global Living Wage Coalition (if available). If no living wage has been calculated for the country or region, then wages shall at least fulfil legal regulations (government regulated minimum wages), industry minimum standards or collective bargaining agreements (whichever sets the highest standard). ","Ask the SH how wages are set. \n\nFor contract workers (permanent or temporary):\nCheck whether payslips for all workers are in line with the pay recommendations provided by the GM. Check whether worker contracts define pay rules. Check contracts and payslips and compare paid wages to those recommended by the GM.\n\nFor casual workers:\nAsk workers about daily pay and compare with pay recommended by the GM. If contracts and payslips are available, compare paid wages to those recommended by the GM.\n\nThese requirements do not apply for work on labor-exchange basis.\n\nInterview individual workers to cross-check information provided by SH.","Contracts, payslips, training material, or information on wage calculation provided by GM.\n\nInterviews with individual workers.",{"$nulls":6},"","",""]
[null,null,"6.2.2 If payments are calculated by piecework (i.e. based on production rather than hours) or by task, the pay rate must allow workers to earn at least the wage set in line with Indicator 6.2.1, based on regular (legal) working hours under average conditions. Information about this pay rate must be transparent and available to all workers and worker’s organizations. ","Confirm that SH:\n- participates in consultation processes with GM to calculate payment,\n- informs workers about the updated minimum pay rate for piece or task work,\n- makes payments to workers based on the pay rate calculated by the GM.\n\nReview contracts and payslips of permanent, temporary, and seasonal workers and any records of payment to casual workers (sample mixture of men/women, different ethnical groups, local/foreign).\n\nConduct separate personal interviews with all type of workers (permanent, temporary, seasonal, casual) to check and confirm findings. ","Contracts, payslips, evidence of payment.\n\nInterviews with all types of workers (permanent, temporary, seasonal, casual).",{"$nulls":6},"","",""]
[null,null,"6.2.3 Working hours, leave and additional benefits shall comply with, or exceed, applicable statutory regulations, sector minimum standards or collective bargaining agreements (the conditions most beneficial to workers should apply).","Check whether SH has been informed of legislation and standards, and check whether implemented rules regarding working time, leave and benefits are in accordance with valid legislation. Check contracts and payslips for different contract workers (men/women, different ethnic groups, local/foreign) to verify working time arrangements meet or exceed applicable norms. Interview permanent and temporary workers to confirm findings.\n\nConduct personal interviews with different occasional workers (men/women, different ethnical groups, local/foreign) to verify working time arrangements meet or exceed applicable norms. \n","Contracts, payslips, work schedules, leave documentation.\n\nInterviews with different workers, including occasional workers (men/women, different ethnic groups, local/foreign).",{"$nulls":6},"","",""]
[null,null,"6.2.4 It shall be demonstrated that no deductions from wages are made unless they are permitted by national laws or fixed by a collective bargaining agreement. If deductions from wages are made for any provided service, the amounts deducted must be fair and in line with the actual costs incurred, and deductions shall not be used as a disciplinary mechanism. ","Ask the SH if and what type of deductions are made, and confirm SH is aware of rules regarding deductions and their implementation. \n\nReview the contracts and payslips of different contract workers (men/women, different ethnic groups, local/foreign) and conduct separate personal interviews with workers to confirm and cross-check information.\n\nReview contracts/agreements made between the SH and contract workers to confirm clear payment provisions, including payment time frames. Furthermore, confirm amounts deducted for a loan, SH service, or similar are fairly valued. Compare amounts with charges typical of other service providers, banks, insurance companies, etc. The SH must ensure that the deductions (1) do not threaten access to food/accomodations for the worker or his family, and (2) are not used for disciplinary purposes.   ","Informational materials from GM, contracts, payslips, list of regular deductions, special (individual) contracts/agreements between SH and workers.",{"$nulls":6},"","",""]
[null,null,"6.2.5 It shall be demonstrated that workers are not requested to bring their own protective equipment, uniforms or tools.","Verify that protective equipment, uniforms, and tools are provided by the SH on-site whenever such equipment is needed or required (whether by law or practical necessity). Check whether there is a storage room or specific area/corner where the protective clothes and tools are stored and made available in sufficient quantity to all people working on the farm. Ask the SH to provide a list of purchased protective equipment and tools; this list should be regularly updated.\nConfirm that workers are allowed to bring equipment, uniforms, and tools but that this is not requested by the SH. If workers bring their own equipment, check records to confirm that SH regularly reviews their proper function.\n\nInterview different workers about available protective equipment and uniforms provided by the SH and verify that workers are not requested to bring their own equipment.  ","Informational materials from GM, documentation/list of purchased protective equipment, records of testing to confirm functionality of worker-owned equipment.\n\nVisual inspection of site/farm, e.g. to check storage rooms\n\nInterviews with different workers.",{"$nulls":6},"","",""]
[null,null,"6.2.6 Workers shall be paid at regularly scheduled intervals (at least monthly) and in a legal tender.","Check contracts and payslips (for permanent, temporary, and seasonal workers) and other proofs of payment (for casual workers) to verify that payment intervals meet existing requirements (as per information provided by GM).\n\nInterview workers (permanent, temporary, seasonal, and casual) to confirm findings.","Informational materials from GM, contracts, payslips, written payment agreements.\n\nInterviews with workers (permanent, temporary, seasonal, and casual).",{"$nulls":6},"","",""]
[null,null,"6.2.7 Payments shall be documented with a payslip containing all relevant information and in a language understood by all parties.\n                           ","Review a sample of payslips for different permanent, temporary, and seasonal workers (men/women, different ethnical groups, local/foreign). Identify the nationalities and languages of workers and verify that payslips are written in a language understood by all parties.                                                             \n\nIn the case of illiterate workers, confirm that a person of trust (e.g. co-worker, community member) is available to explain the payslip and resolve any questions.\n\nConfirm that casual workers receive alternative proof of payment (e.g. receipt) or at least verbal explanation of how the payments are calculated.\n\nInterview SH and workers to confirm findings.","Informational materials from GM, payslip template, workers contracts, payslips.\n\nInterviews with SH and workers.",{"$nulls":6},"","",""]
[null,null,"6.2.8 Permanent employment relationships shall be used for all core work performed in the operation. Temporary, seasonal and casual (day labour) must be limited to jobs that are temporary, seasonal or occasional/intermittent, and not used to avoid the obligations of permanent employment.","Verify that the SH understands the different types of employment (permanent, temporary, seasonal) and other work relationships (casual or labour on exchange basis), including definitions and current regulations. \n\nConfirm that existing contractual agreements between SH and workers are appropriate for the type of work executed by the worker, as requested in the indicator. To confirm this, review the list of workers employed on the farm over the last 24 months.\n\nInterview different types of workers to confirm findings.","Instructional materials from GM; list of workers with contracts details.\n\nInterviews with different types of workers.",{"$nulls":6},""]
["6.3","People involved in farm operations shall not be subjected to any form of discrimination based on race, color, gender, religion, political opinion, national extraction, social origin, sexual orientation, family responsibilities, marital status, union membership, age or any other condition that could give rise to discrimination.","6.3.1 An equal opportunities policy that identifies relevant/affected groups shall be made available and publicly communicated.","Ask whether the SH knows and has formally accepted the equal opportunities policy.\n ","Interviews with SHs and workers.",{"$nulls":6},"",{"$f":"IF(H47=\"\",\"\",1)","v":""},""]
[null,null,"6.3.2 Awareness shall be raised regarding equal opportunity as part of regular training activities.","Verify the SH has participated in training and is aware of the need to ensure equal opportunity. Check whether associated training material has been provided by interviewing SH.","Training materials.\n\nInterviews with SHs.",{"$nulls":6},"","",""]
[null,null,"6.3.3 Workers shall not be subjected to any form of discrimination in hiring, pay, benefits, access to training, promotion, termination, retirement or any other aspect of employment, based on race, color, gender, religion, political opinion, national extraction, social origin, sexual orientation, family responsibilities, marital status, union membership, age or any other condition that could give rise to discrimination.","Review the contracts and working duties of different workers (men/women, different ethnical groups, local/foreign) and conduct separate personal interviews with them and the SH to confirm findings. Review the work contracts and hiring practices: is there a difference between permanent, casual, and temporary staff?\n\nConfirm there is no indication of discrimination (distinction, exclusion, or preference) that denies or impairs equality of opportunity, conditions or treatment in hiring, remuneration, benefits, access to training, promotion, termination, retirement or any other aspect of employment based on individual characteristics and group membership or association, as for example: race, color, gender, religion, caste, political opinion, national extraction, social origin, sexual orientation, family responsibilities, marital status, disability, union membership, age, or any other condition. \n\nInterview representatives from the local community and local NGOs to determine if discrimination is present. \n\nCheck whether there are complaints or grievances related to discriminatory practices (see verification guidance and evidence for indicator 14.1.1).  ","Contracts, payslips, records of grievances and complaints.\n\nInterviews with different workers (men/women, different ethnic groups, local/foreign), SHs, local community representatives, and local NGOs.",{"$nulls":6},"","",""]
[null,null,"6.3.4 Contract farmers/smallholders shall not be subjected to discrimination in contracts, payments, access to training or any other aspect of the business relationship, based on race, color, gender, religion, political opinion, national extraction, social origin, sexual orientation, family responsibilities, marital status, union membership, age or any other condition that could give rise to discrimination.","n/a","n/a",{"$nulls":6},"","",""]
["6.4","Occupational safety and health conditions for workers shall adhere to recognized national and international standards.\t\n\t\n\t\n\t\n\t\n","6.4.1 A health and safety policy appropriate to the type and size of the operation, and which applies to all people working for the operation, shall be adopted and follow ILO Convention 184 (Safety and Health in Agriculture) or national laws (if they are more stringent).","Verify that a copy of the GM's policy is available and the SH knows and is aware of the content. Determine how the policy is communicated to farm workers. \n\nConfirm SH has attended related training.","Copy of the health and safety policy, training materials",{"$nulls":6},"","",""]
[null,"Conditions of occupational safety and health for workers shall follow internationally and nationally recognised standards.\n","6.4.2 All people working for the operation shall be provided with health and safety training specific and relevant to the task performed. Training shall cover:\n\n- Work-related health and safety risks \n- Preventative measures for minimising those risks\n- Work-related risks to the environment and/or society\n- The proper transport, storage and handling of hazardous substances and waste\n- Accident and emergency procedures and measures, including the interpretation of labels, markings, signs, and other safety relevant audio and/or visual signals (see Indicator 6.4.3)","Verify that SH is aware of risks and how to prevent or minimize them. Confirm the SH (1) can demonstrate knowledge about the correct application, transport, storage, and handling of hazardous substances and waste; (2) knows how to interpret relevant audio and visual safety signals; and (3) is familiar with emergency and accident procedures (see indicator 6.4.3). Verify that related information is communicated to workers.\n\nInterview SH and workers to verify awareness and compliance.","Training materials, documented preventive measures, emergency and accident procedures.\n\nInterviews with SHs and workers.",{"$nulls":6},"","",""]
[null,"Conditions of occupational safety and health for workers shall follow internationally and nationally recognised standards.\n","6.4.3 Emergency and accident procedures appropriate for the operation shall be made available and periodically updated based on records of work-related accidents (see Indicator 6.4.4).\n","Verify evidence of SH participation in formal consulting process for the development of emergency procedures. \nIf emergency situations or accidents occurred in the past, verify SH compliance with procedures.","Copy of emergency and accident procedures.\n\nVisual inspection of the production site (for signboards, emergency tools, etc.).",{"$nulls":6},"","",""]
[null,"Conditions of occupational safety and health for workers shall follow internationally and nationally recognised standards.\n","6.4.4 Records of all work-related accidents shall be kept.\n","Verify the SH maintains a record/list of all work-related accidents taking place at SH's farm.","List of work-related accidents and emergencies.",{"$nulls":6},"","",""]
[null,"Conditions of occupational safety and health for workers shall follow internationally and nationally recognised standards.\n","6.4.5 First aid and emergency response material shall be available in sufficient quantity (i.e. readily available and accessible to workers) and in sufficient quality (i.e. up-to-date, periodically inspected and appropriate to address relevant hazards and risks) at all sites, including mobile facilities and in the vicinity of agricultural sites. Designated people on the farm shall be knowledgeable as to the presence and use of such equipment.","Verify the SH acquires and mantains a first-aid kit and emergency response material appropriate to the farm activities as advised by the GM (e.g. fire fighting equipment). Confirm that this equipment is available, accessible, and ready for transport. \n\nConfirm the SH or a designated person at the farm attends relevant training and is knowledgeable about the proper use of first-aid kits and other emergency equipment.","Training material available, visual inspection of first aid kits, emergency response materials, other safety measures.",{"$nulls":6},"","",""]
[null,"Conditions of occupational safety and health for workers shall follow internationally and nationally recognised standards.\n","6.4.6 Personal protective equipment (PPE) shall be provided to all people working for the operation to protect them from all occupational health and safety hazards associated with their respective tasks (e.g. use of agrochemicals or power tools).","Review available receipts to confirm purchase of appropriate PPE and confirm this PPE is actually used by the SH. Confirm that farm workers are outfitted with protective equipment and that this equipment is promptly replaced when worn or defective. Confirm the SH maintains a list of assigned equipment, including the name of the recipient worker and his/her signature. \n\nConfirm that relevant workers comply with instructions for product use (e.g. in terms of required protective clothing, proper storage & handling, and amount of active ingredient to apply). Confirm that relevant workers follow instructions given by GM on how to clean the equipment and clothing (i.e. clothing removal procedure, use of water or specific cleaning products, disposal of wastewater, where to clean, etc.).\n                                                                                               \nVerify that the SH attends training and communicates acquired knowledge to workers.\n\nInterview SHs and confirm findings through interviews with workers.","Visual inspection of: protective clothing to confirm it is complete and clean and used according to requirements/instructions; register of issued equipment, signed by each recipient worker; cleaning instructions  for equipment; training materials.\n\nInterviews with SHs and workers.",{"$nulls":6},"","",""]
["6.5","The right of all personnel to form and join trade unions of their choice and to bargain collectively shall be respected. ","6.5.1 A policy recognising freedom of association and the right to collective bargaining shall be made available and explained to all workers in languages that they understand. If the right to freedom of association and collective bargaining is restricted under domestic law, alternative means of independent and free association and bargaining for all personnel shall be provided.","Confirm SH has a copy of the policy on file and is aware of its contents. Verify that SH informs workers about existing policy and explains their rights. \n\nInterview workers and confirm SH acceptance of workers' right to association and collective bargaining.  ","Copy of policy regarding freedom of association and the right to collective bargaining.\n\nInterviews with workers.",{"$nulls":6},""]
[null,null,"6.5.2 Workers shall have the right to establish and join worker organizations based on their own free choice, without influence or interference by the farm management/group manager/smallholder.","Verify that SH attends training and that SH communicates to its workers information about the right to establish workers associations.\n\nAsk workers if they are allowed to establish and join worker organizations and whether the SH or GM supports, restricts, or otherwise influences such activity.   ","Training materials.\n\nInterviews with workers.",{"$nulls":6},""]
[null,null,"6.5.3 Worker organizations shall operate without interference or influence by farm management, the farm owner or group manager. ","Verify the SH attends training and communicates acquired knowledge to its workers.\n\nIf worker organizations exist, ask members whether the SH or GM supports, restricts, or otherwise influences related activity.   ","Training materials.",{"$nulls":6},""]
[null,null,"6.5.4 Members of workers’ organizations shall be provided with time needed to fulfil their tasks, whether during or outside regular working hours. Workers exercising this right should not be discriminated against or suffer repercussions. ","Verify the SH attends training and communicates acquired knowledge to its workers.\n\nIf worker organizations exist, ask members if they are granted time to carry out associated responsibilities and if they discriminated against by the GM or SH.","Training materials.",{"$nulls":6},""]
["6.6","No forms of forced or trafficked labor shall be used. ","6.6.1 All work shall be performed voluntarily and the following practices shall be prohibited: \n- Retention of identity documents or passports \n- Payment of recruitment or training  fees\n- Contract substitution \n- Involuntary overtime \n- Lack of freedom of workers to quit \n- Penalties for termination of employment \n- Debt bondage \n- Withholding of wages \n- Restrictions to freedom of movement","Verify the SH participates in training and information sessions organized by GM and that respective training material is made available. Confirm that no forms of slavery or forced/compulsory labor are practiced on the farm.\n\nTalk to workers and see if they are forced to do certain work on the farm and whether they are mistreated or disadvantaged (see list in indicator). Cross-check by directly observing conditions on the farm. \n\nConfirm findings through interviews with community representatives and other external stakeholders such as local NGOs.  ","Training materials.\n\nInterviews with workers and external stakeholders.",{"$nulls":6},""]
["6.7","Children shall not be employed or exploited. ","6.7.1 A formal policy for the protection of children, including child-labor prohibition and remediation provisions, shall be in place and implemented.","Verify the SH is aware of the policy prohibiting child labor and has a copy of this policy on file. Verify the SH informs workers about the policy.\n\nInterview workers to confirm their awareness of the policy and its contents.","Copy of policy for the protection of children.\n\nVisual inspection in the field. Interviews with workers.",{"$nulls":6},""]
[null,null,"6.7.2 Any type of paid or unpaid work by a child under the age of 15 shall be prohibited. The only exception shall be work by children on family smallholdings within own community, and this shall only acceptable under adult supervision and when it does not interfere with the child’s schooling or put his or her health at risk.","Verify that only people above the minimum school leaving age in the country and who are at least 15 years old perform work on the farm, with the exception of SH children who work on family's smallholding within the community. Check whether employment contracts identify the worker's date of birth as a means of verifying compliance. Does the SH know about its obligation to prevent possible violations of child labour, as set forth in indicator 6.7.1? Verify SH participation in training and information sessions organized by the GM. \n\nVerify through direct observation whether children under the age of 15 work on the farm. If underaged children are identified, confirm they are accompanied by an adult family member while working and that their obligation to attend school is not being violated. Confirm the work performed by children is not hazardous or dangerous, as per ILO definition.\n\nInterview the SH and his/her family, workers, and any children working on the farm. Also, interview external stakeholders to confirm findings.","Contracts, list of workers (including recorded birth dates), training materials.\n\nVisual inspection of the farm site (for children who work in the field or perform other work). \n\nInterviews with SH and his/her family, workers and any children working on the farm, and external stakeholders.",{"$nulls":6},""]
[null,null,"6.7.3 Young persons shall only be employed in non-hazardous work, and protective restrictions shall be in place for such work.  ","Talk to SH and confirm through visual inspection that young workers (aged 15-18) do not undertake hazardous work that jeopardizes their health, safety, or morals, e.g. spraying of chemicals, handling of explosive materials, physically arduous hard work (i.e. carrying heavy items, permanent work in a bent posture), work in high risk areas, or work that is morally unacceptable. Verify compliance with restrictions on use of heavy machinery/vehicles.\n\nVerify that working hours for young persons specified by authorities are respected, e.g. no work during school hours; working hours between 7am and 9pm; no work late at night. \n\nConfirm the SH ensures that young workers are fully protected and receive adequate instructions or vocational training in the relevant branch of activity.\n\nVerify SH participation in training and information sessions organized by GM.\n\nInterview SH family, young workers on the smallholder farm, and external stakeholders.","Informational/instructional materials for young workers, documentation of vocational training, training material from GM.\n\nInterviews with SH family, any young worker on the smallholder farm, and external stakeholders.",{"$nulls":6},""]
["Principle 7: Provide training and capacity building",{"$nulls":10},"",{"$f":"IF(H65=\"\",\"\",1)","v":""},""]
["7.1","Training and capacity building focused on improving the agricultural livelihood of all farmers involved in the operation shall be provided.","7.1.1 A training and capacity building program that is addressed at all farmers involved in the operation shall be implemented and available. This program must be developed in consultation with farmers to ensure its contents are tailored to their needs.","Confirm that SH (including spouse involved in farming) has participated in the farmer consultation process as part of the capacity building program and has attended corresponding training to improve the agricultural livelihood of the smallholder farm and the entire group.","Informational and training materials.",{"$nulls":6},"","",""]
["Principle 8: Offer social safety nets",{"$nulls":10},"","",""]
["8.1","All people working for the operation shall have access to medical care.","8.1.1. All people working for the operation shall have sufficient and adequate medical care. Their families shall also have access to medical care if this is required by domestic law.","Confirm that SH has access to medical care for itself and family members working on the farm. Check whether the same access to medical care is provided to all other workers (with exception of casual workers or workers on an exchange basis). If required under national law, confirm workers' families also have access to medical care.\n\nCheck whether a pharmacy or shop selling pharmaceutical products is available and reachable by most of the workers. Ask SH to identify medical center/doctor in the area who is responsible for medical care.\n\nConfirm information through interviews with SHs, workers, and external stakeholders such as local health care centers and social NGOs.","Document of enrollment in public medical care programs or contract agreement with medical service provider, payment documents to health care center, evidence of wage deductions from workers.\n\nInterviews with SHs, workers, and external stakeholders such as local health care centers and social NGOs.",{"$nulls":6},"","",""]
[null,null,"8.1.2 All people working for the operation shall have access to appropriate healthcare in the event of work-related illness or injury. These individuals shall have access to free transportation to the nearest hospital or on-site medical facility during working hours. In the event permanent on-site medical support is provided, equipment and training should be adequate to deal with accidents and acute poisoning. All people working for the operation shall have occupational accident insurance coverage.","Confirm the SH is aware of the location of the nearest hospital or medical center able to treat work-related illness or injury and that the SH knows how to transport individuals to this location. Confirm that in the event of a work-related illness or injury, transport and medical service costs are covered for all workers.\n\nInterview workers to confirm they receive free transport to the nearest hospital in an emergency and ask about the procedure following an accident/poisoning. Also, interview SHs and relevant third parties such as local health care centers.  ","Contracts or agreements with medical service provider, evidence of no deductions to worker wages, accident records, insurance documents, records of visits to doctor/medical office.\n\nInterviews with workers, SHs, and external stakeholders such as local health care centers. ",{"$nulls":6},"","",""]
[null,null,"8.1.3 A policy shall be in place regarding regular sick leave and leave caused by employment injury. This policy must ensure that workers are protected from being dismissed during temporary sick leave. It must also guarantee the worker some form of income during sick leave. Sick leave should not count towards annual holiday leave. The policy should, at a minimum, adhere to domestic regulations.","Verify the implementation of a policy developed by the GM (with the exception of casual workers/workers on exchange basis). Confirm that work contracts include provisions on sick leave and that a written version of the GM policy on sick leave is communicated and accessible to all workers. \n\nTalk to workers (with the exception of casual workers/workers on exchange basis) to confirm that temporary sick leave is not a reason for dismissal. Check payslips to verify pay continues during sick leave, and that sick leave is not deducted from annual leave, and that national regulations on sick leave are complied with. Check whether the time granted for sick leave is appropiate for the illness/injury.","Sick leave records/documents, contracts, payslips, illness and payment records.\n\nInterviews with workers (not including casual workers/ workers on exchange basis).",{"$nulls":6},"","",""]
["8.2","All people working for the operation shall have access to a provident fund, pension system or equivalent compensation.","8.2.1 All people working for the operation shall have a provident fund or pension scheme. If national legislation has more stringent requirements, then this legislation must be adhered to. If pension arrangements cannot be provided to a subset of workers, e.g. migrant or temporary/seasonal workers, these workers must receive equivalent compensation. ","Verify the SH and SH's family members have access to a provident fund, pension scheme, or suitable savings strategy for retirement. The savings strategy (which could involve, for example, setting aside 10% of earnings each month) should be implemented at the earliest possible date. If the SH has purchased farmland or equipment, future sale could be considered as a retirement provision.\n\nCheck whether the SH provides all permanent workers with access to a provident fund, pension scheme, or equivalent compensation for retirement (e.g. salary bonus). Check whether alternative compensation exists for temporary and seasonal workers. Note that there are no retirement-provision obligations for casual workers or workers on an exchange basis.     \n\nAs an alternative saving/compensation strategy, the SH may provide compensation \"in kind\" such as land, livestock or buildings (e.g. houses, stalls). Proceeds from the leasing of farmland, buildings, or machinery can be a primary source of retirement income.\n\nInterview workers (with the exception of casual workers/workers on an exchange basis) to see if they know their rights and to confirm findings.","Pension/fund documents or equivalent compensation documents, evidence of payments to pension funds (payment sheets, payslips, accounting documents), evidence of saving strategy for retirement.\n\nInterviews with workers (not including casual workers/ workers on exchange basis).",{"$nulls":6},"","",""]
["Availability Pillar",{"$nulls":10},"","",""]
["Principle 9: Respect land rights",{"$nulls":10},"","",""]
["9.1","Existing land rights and land-use rights, including formal, informal and customary rights, shall be respected in accordance with the Voluntary Guidelines on the Responsible Governance of Tenure (VGGT). All decisions regarding land rights and land use rights, such as purchase, sale or valuation, shall be based on the free, prior and informed consent of all stakeholders. \n\t\n\t\n\t\n\t\n\t\n\t","9.1.1 Existing land rights and land-use rights, including formal, informal and customary rights, shall be assessed prior to the first audit, including FSS verification. Such an assessment shall also be conducted prior to acquisition/rental of land, and – in the case of contract farming or group certification – when new contract farmers or group members are added.","Verify the SH provides required evidence about existing formal and informal customary rights, land rights and land-use rights to the GM (including oral agreements) for the assessment. ","Documentation of existing formal and informal customary rights, land rights, and land-use rights.",{"$nulls":6},"","",""]
[null,null,"9.1.2 It shall be demonstrated that there are legal, customary land-rights or land-use rights for the operation. For the period from 2012 onward, it must be demonstrated that the land-rights or land-use rights were obtained based on ‘free, prior and informed consent’ (FPIC) and following negotiated agreement with affected parties.","Verify the SH complies with the GM's acquisition procedure for land rights/land-use rights. \n\nConfirm that:\n- the FPIC process was used in negotiations with indigenous people and/or local communities that occurred in 2012 or later.\n- land tenure and land-use rights have been obtained through authorized legal procedures and that documentation is authentic.\n- land expropriations have been duly compensated and performed according to authorized official procedures.\n- legal procedures for land disputes and conflict resolution have been adhered to.                                  \n\nConfirm findings through interviews with community representatives and other stakeholders such as regional administrations or local NGOs.  ","Copy of GM procedure for acquiring land rights/land-use rights, documented FPIC process, legal documentation of land tenure and land-use rights, land compensation contracts and documented cash transfers, conflict resolution procedures.\n\nInterviews with community representatives and other stakeholders such as regional administration and local NGOs.",{"$nulls":6},"","",""]
[null,null,"9.1.3 Land under legitimate dispute shall not be used for operations until such disputes have been settled through free, prior and informed consent and negotiated agreements with affected parties. Maps of an appropriate scale showing the extent of recognised legal, customary or use rights must be developed in a participatory process that involves affected parties (including neighbouring communities, when applicable, and relevant authorities). ","In the case of resolved or ongoing land disputes, the SH must provide evidence that the GM's conflict resolution procedure was/is being used. If the land is being used (e.g. cultivated) by the SH, evidence of consent by the parties to the dispute must be provided. If there is no such consent, the SH is not in compliance with this criterion.\n\nReview maps of the land under dispute and the minutes of meetings with involved parties. The map should be appropriately scaled and clearly show all borders and land allocations, including a legend explaining notations regarding land rights in a comprehensible fashion. Verify that the map includes the total area of the farm and is accepted by all involved parties.\n                                             \nConfirm information through interviews with involved parties, community members/leaders, and relevant authorities. ","Relevant contracts/agreements, documentation of dispute resolution process, information from regional administration and NGOs (if necessary), conflict resolution policy/procedure, land rights map of appropriate scale, records of meetings with affected parties.\n\nInterviews with involved parties, community members/leaders, and relevant authorities.",{"$nulls":6},"","",""]
[null,null,"9.1.4 Traditional and customary land use rights shall be respected. Against this backdrop, the use of the land by pastoralists, indigenous people, artisanal fishers and other comparable users must be allowed. This shall exclude any illegal hunting, illegal fishing or illegal collection of products.","Collect information from leaders/elderly and other members of the local community about traditional and customary land use rights. Check whether the SH farm is totally or partially located within areas used by pastoralists, indigenous people, artisanal fishers, and other comparable users. Ask locals if they are permitted to use the land for these traditional purposes without restriction by the SH (this requirement does not apply to illegal hunting, fishing, or local products collection). \n\nAsk the SH and local community members about documented past and existing land disputes/conflicts caused by traditional and customary land use and how they were resolved.","Legal documents, land registers, planting maps, relevant contracts, information from regional administration and NGOs (if necessary).\n\nInterviews with SHs and local community members.",{"$nulls":6},"","",""]
[null,null,"9.1.5 There has been no forced or involuntary physical or economic displacement, resettlement or relinquishment of land rights for the purpose of agricultural production. Extra-judicial intimidation or harassment by contracted security forces shall be also prohibited. There shall be no evidence that the operation has instigated violence.","Verify the SH has a copy of the FPIC-based consulting process set forth by the GM. Ask the SH and local community members about past and existing land disputes/conflicts and whether these led to the displacement/resettlement of people/communities or the relinquishment of land rights. Identify whether violations of land rights are connected to SH farm activities.        \n\nConduct interviews with all parties involved in land disputes. Confirm there is no evidence of violence, extra-judicial intimidation, or harassment (e.g. by the parties to the dispute or security forces). Confirm that community members/involved parties have been consulted using the process set forth by the GM.\n\nInterview external stakeholders including local authorities, community representatives, and local NGOs to confirm findings.","Legal documents, land registers, documentation of FPIC process, copy of consulting procedure, records/minutes of consultation meetings, and (if necessary) information from local newspapers, regional administration, and NGOs.\n\nInterviews with SH, local community members, parties involved in the conflict, and other external stakeholders, including local authorities, community representatives, and local NGOs.",{"$nulls":6},"","",""]
[null,null,"9.1.6 In any negotiations, all relevant information shall be available to all affected parties in appropriate forms and languages, including impact assessments, proposed benefit sharing and associated legal arrangements.","Confirm that informational documents and impact assessment reports, contracts/agreements on benefits, and legal arrangements are available in reasonable forms and languages understood by everyone affected and are shared with all negotiating parties.","Land-rights and land-use documents, contracts and agreements, written informational documents in appropriate language(s) and form(s).",{"$nulls":6},"","",""]
[null,null,"9.1.7 When negotiating communities' land or land-use rights, these communities must be represented through institutions or representatives of their own choosing, including legal counsel. ","Verify that the SH informs the GM about any negotiations related to land owned by or under the control of communities, or any other third-party land.\n\nConfirm that communities are meaningful represented in the negotiation process through institutions or representatives of their own choosing and that they have legal counsel. Check whether each party to the negotiation is represented by an equal number of persons. \n\nInterview community members and ask if community representatives involved in negotiations have been chosen through an open vote or process accepted by the community. Confirm that representatives are chosen with respect to their knowledge and practical/working experience in the field under discussion.","Documents/guidelines/templates from GM, formal documents, meeting records, signed list of participants, documentation of election/appointment process.\n\nInterviews with community members.",{"$nulls":6},"","",""]
["Principle 10: Respect water rights and ensure that water quality and availability are maintained or improved",{"$nulls":10},"","",""]
["10.1","Existing water rights must be respected.","10.1.1 Downstream and groundwater users shall be identified and existing formal or customary water rights determined. The potential impacts of the operation on such rights shall be evaluated and documented.\n","Confirm the SH is aware of downstream/groundwater users and of existing formal or customary rights. Verify the SH is knowledgeable about the availability and quality of water in the catchment area.","Informational documents from GM on water rights, users availability, and quality.",{"$nulls":6},"","",""]
[null,null,"10.1.2 Water rights must be obtained through legal means. All existing formal or customary water rights, including the rights of pastoralists, indigenous people, artisanal fishers and other comparable users shall be respected and protected. Free prior and informed consent shall be obtained from impacted parties prior to the acquisition of new or existing rights. ","Verify the SH can demonstrate that water rights have been obtained using the procedure laid down by the GM. Confirm the SH is aware of any water rights, constraints, and conflicts of relevance to the farm.\n\nInterview affected parties, water association representatives, community leaders, and local NGOs.","GM procedure for acquiring water rights, GM informational documents on water rights (including constraints and conflicts).",{"$nulls":6},"","",""]
[null,null,"10.1.3 Water resources under legitimate dispute shall not be used until such disputes have been settled through agreement with affected stakeholders based free, prior and informed consent.","In the event of a conflict, verify the SH has used/is using the conflict resolution procedure laid down by the GM and that associated rights have been appropriately obtained.\n\nVisit the relevant area and talk to local people using the water resource in their daily life. Also, check the negotiated agreements with all affected stakeholders and interview people involved in the dispute, other community representatives, local authorities, NGOs, farmers, fishers, and families.","Conflict resolution procedure, negotiation agreements with affected parties, formal documentation of water rights.\n\nInterviews with local people, people involved in the dispute, other community representatives, local authorities, NGOs, farmers, fishers, and families.",{"$nulls":6},{"$f":"IF(OR(G84<>\"\",I84<>\"\"),1,\"\")","v":""},"",""]
["10.2","Water quality and availability in the operation’s area of influence shall be assessed.","10.2.1 Water resources potentially affected both within and outside of the farm shall be identified, and key risks and challenges shall be assessed.\n","Verify that the water-resource impacts of farm activities have been appropriately assessed using the procedure laid down by the GM and that the SH has supplied the results of this assessment to the GM.\n\nVerify that the SH can identify all existing water resources in the farm's area of influence and the potential impacts of farm activities. Does the SH know the status of the groundwater in the farm's area of influence? In which waterways are effluents discharged? Check crop supply needs and compare them to water available through precipitation. \n\nTalk to community members/leaders, local authorities, fishers, environmental authorities, water regulators, and NGOs to confirm findings.","Procedure for assessment of water impacts, assessment results for GM, water management plan, irrigation plan, water meters at production site, documentation on origin of water (rain water collection, surface water, well), information of ground water levels, and documents on containing or discharging effluents.\n\nInterviews with community members/community leaders, local authorities, fishers, other people living in the area, environmental authorities, water governance officials, and NGOs.",{"$nulls":6},"","",""]
["10.3","Water quality shall be maintained or improved.","10.3.1 Measures to contain effluents and avoid runoff and leaching, as well as to prevent pollution and siltation of surface and ground water, shall be implemented.\n","Check whether the SH has implemented the water manangement measures recommended by the GM to prevent water pollution and siltation.\n\nVerify that the SH attends training and communicates knowledge thus acquired to its workers.\n\nConfirm findings via interviews with SH and workers.","Training materials, measurement documents, documentation of improved agricultural practices, monitoring documents/records of check points for water quality.\n\nInterviews with workers.",{"$nulls":6},"","",""]
[null,null,"10.3.2 The quality of potentially affected water bodies and of all drinking water sources in the area of influence of the operation shall be periodically monitored based on the results of a risk assessment (see Indicator 10.2.1). The results must show that water quality is being maintained or improved.","Verify that the monitoring plan has been implemented according to the instructions provided by the GM and according to the impact level. Check that the SH compiles and communicates monitoring results to the GM in time intervals defined by the GM.\n\nConfirm that the SH has been trained to implement the monitoring plan appropriate to the impact level.\n\n","Training materials, monitoring plan, documentation of monitoring results for GM.",{"$nulls":6},"","",""]
["10.4","Local water availability shall not be negatively affected.","10.4.1 Situations of water scarcity shall not be created and long-term water availability shall not be affected.","Verify that the SH participates in training and is aware of the water availability/scarcity situation in the region. Confirm that the SH has associated training material on file.\n\nConfirm that the SH has implemented measures determined in collaboration with GM to improve the water situation and avoid extraction in situations of water scarcity.","Training materials, documentation of measure implementation.",{"$nulls":6},"","",""]
[null,null,"10.4.2 Important water-related areas, including wetlands, affected by the operation shall be protected, restored (if damaged) and always maintained.","Verify that the SH participates in training, is aware of the GM's action plan, and has implemented associated measures.\n\nConduct a visual inspection and interview environmental authorities, local authorities, community representatives and environmental NGOs to confirm findings. ","Training materials, action plans, and documentation of measure implementation.\n\nInterviews with environmental authorities, local authorities, community representatives and environmental NGOs.",{"$nulls":6},"","",""]
[null,null,"10.4.3 Impacts on water availability within the area of influence of the operation, including water sources for human consumption, shall be assessed and regularly monitored.","Verify that the SH participates in training and confirm that a monitoring plan has been implemented according to the instructions provided by the GM. Confirm that the results of the monitoring are communicated to the GM. ","Training materials, monitoring plans, records of monitoring results.",{"$nulls":6},"","",""]
[null,null,"10.4.4 When irrigation is performed, effective action shall be taken to ensure that water is efficiently used and that water scarcity is not aggravated (see Indicator 10.4.1).","Verify that the SH participates in training and that the SH has associated training material on file.\n\nIf irrigation is used, confirm the existence of an irrigation plan developed based on GM recommendations. The SH should demonstrate that water is used efficiently and that water extraction is being minimized. Furthermore, the SH must  demonstrate that water extraction does not compromise water availability in affected bodies of water.","Irrigation plan, training materials.",{"$nulls":6},"","",""]
["Principle 11: Implement sustainable agricultural practices ",{"$nulls":10},"","",""]
["11.1","Good Agricultural Practices (GAP) shall be applied","11.1.1 Soil erosion shall be prevented or minimized through the design of the agricultural production site and sustainable practices shall be used to enhance soil health.","Verify that SH participates in training and confirm evidence of measures to reduce soil erosion, e.g.:\n- Avoidance of tilling along maximum slope lines\n- Presence of barriers (native or intercropping vegetation) along maximum slope lines\n- Presence of channels across the field surface to collect run-off water \n- Terracing practices\n- Mulching or use of natural vegetation to prevent water erosion\n- Reduced or no tillage practices\n- Vegetation should cover the soil to prevent erosion when possible (no total area spraying) \n- Natural regeneration or restoration instead of replanting\n- No planting on steep areas/slopes above a certain limit if no terracing used.\n\nConfirm that the applied techniques are suitable for the type of soil being cultivated.\n\nInterview SHs and farm workers to confirm findings, including the implementation of good agricultural practices.  ","Training materials, GM guidance/list of measures to be implemented.\n\nLocal inspection of farmland to verify that specific management strategies have been established for fragile or problematic soils.\n\nInterviews with SHs and farm workers.",{"$nulls":6},"","",""]
[null,null,"11.1.2 Practices to protect the soil structure, including the prevention of compaction, as well as to maintain or enhance soil organic matter at the production site, shall be implemented.","Verify that SH is aware of soil quality, including potentially fragile soils, in farmland areas and that SH has participated in relevant training.\n\nConfirm that SH has implemented measures set forth by GM that are suitable for SH's farmland and soil status in order to maintain or improve soil quality, e.g.:\n\n- Biomass recycling: agricultural residues are kept on fields or cut into strips/small residues and mixed into soil; use of compost to fertilize\n- Ground cover management: use of cover crops and crop rotation practices\n- Other measures: mulching and no cultivation in steep areas\n\nSH must demonstrate that heavy machinery is not used during periods of heavy precipitation or when soil moisture content is high.  ","Training materials, measurement documents.\n\nVisual inspection of farmland and respective areas.",{"$nulls":6},"","",""]
[null,null,"11.1.3 Practices to maintain and improve the soil nutrient balance while taking into account soil conditions and crop needs and reduce nitrate pollution shall be implemented.","Verify the SH has particpated in training and has implemented measures to maintain/improve nutrient balance following the GM's recommendations. \n\nReview purchasing lists with a view to suppliers, brands, and locations of origin to identify where fertilizers come from and if the sources are trustworthy. \nVerify that the application of fertilizer is documented. SHs must demonstrate knowledge about nutritional requirements and the efficient application of fertilizer to reduce runoff. Verify the SH adheres to all instructions for use, including relevant chemical concentrations. If organic matter or other residual plant material is used in the production areas as mulch, verify the material is evenly distributed. Check whether distribution is performed manually or using a machine.\nVerify that fertilizer containing more than 1.5% of nitrogen in a dry state is not applied onto flooded or water-logged areas. \nSH must demonstrate maintenance of at least 3 meter distance to riverbanks and other bodies of water when applying fertilizer, as well as the absence of fertilizer run-off into surface or ground water. \nConfirm the SH considers weather conditions during the surface application of fertilizers (e.g. wind speed and direction, temperature, rainfall). \n\nInterview SHs and workers to confirm findings.","Training materials, guidance documents on handling of fertilizers, incoming/outgoing ledger at storage facilties (if used by SH), lists confirming fertilizer use, records on fertilizer application.\n\nVisual inspection of farm areas. \n\nInterviews with SHs and workers.",{"$nulls":6},"","",""]
[null,null,"11.1.4 Producers of annual crops shall practise crop rotation. ","Verify the SH has participated in training and uses the crop rotation template and other associated documents provided by the GM.\n\nVerify that a crop rotation plan in used in connection with annual crops. The SH must be able to explain the logical chronology of crops with respect to soil nutrient balance, prevention of groundwater pollution, biodiversity, etc. Furthermore, confirm the SH monitors changes in environmental conditions, including those to soil fertility, water supply etc., and adapts the crop rotation plan accordingly.\n\nVerify crop rotation practices on-site through visual inspection.","Training materials, crop rotation plans, planting documentation, records of observed environmental/soil changes.\n\nVisual inspection of the farm area.",{"$nulls":6},"","",""]
[null,null,"11.1.5 Integrated Pest Management techniques (IPM) that are adequate for the target crop to reduce the development of pest populations and minimise risks to human health and the environment shall be implemented and monitored.","Verify the SH has participated in IPM training and has implemented the prevention, observation, and monitoring measures recommended by the GM.\n\nConfirm evidence of at least one activity to determine when and to what extent pests and their natural enemies are present, including the use of this information for pest management, if required.\n\nInterview SHs and workers.","Training materials, documentation of prevention and monitoring actions, pest management plan, documented IPM activities.\n\nVisual inspection of farm area. Interviews with SHs and workers.",{"$nulls":6},"",{"$f":"IF(H97=\"\",\"\",1)","v":""},""]
[null,null,"11.1.6 Records of pesticide use shall be maintained, including, at a minimum, documentation of the reason for use; the name of the pest treated; the product designation, including active ingredients; the amount applied per hectare; the location, date, and target crop; and the number of applications.","Verify the SH has participated in training and has respective training materials on file. Confirm that there is a record of the application of any pesticides and other chemicals that have been used and that the template provided by the GM (or a similar one) has been used for this purpose.","Training materials, filled-in templates for pesticides and chemicals.",{"$nulls":6},"","",""]
["11.2","Good practices shall be implemented for the storage, handling, use and disposal of chemicals (pesticides, fuels, fertilizers, etc.)","11.2.1 None of the chemicals recorded in the WHO’s 1a, 1b and 2 lists, the Rotterdam Convention or in the Stockholm Convention on Persistent Organic Pollutants shall be used. Pesticides included in the PAN list of highly hazardous pesticides under the categories H330 (fatal if inhaled) and/or with long term effects according to the EU GHS classification are also prohibited.\n\n","Verify the SH has participated in training and has implemented the recommendations and measures set forth by the GM.\n\nVerify the SH is aware of the chemicals that have been applied and that the SH has a basic understanding of the hazardousness of chemicals to humans and environment. Confirm that during cultivation activities, the SH has not used any chemicals listed in the measurement documents and guidelines set forth by GM. Check whether the SH wears protective clothing/equipment, especially a respirator/dust mask, when handling/applying chemicals and pesticides in order to prevent skin contact/inhalation.\n\nVerify the SH does not use prohibited chemicals (e.g. by using alternatives). Interview farm workers (e.g. spraying team) to cross-check gathered information.","Training materials, usage instructions, visual inspection of appropriate storage, visual confirmation of protective clothing/equipment (especially respirators/protective dust masks with a high class of protection FFP1/2/3).\n\nVisual inspection of storage room and preparation activities for pesticides/chemicals in order to identify possible forbidden substances.",{"$nulls":6},{"$f":"IF(OR(G99<>\"\",I99<>\"\"),1,\"\")","v":""},"",""]
[null,null,"11.2.2 Manufacturer’s safety instructions for the storage, handling, use and disposal of chemicals shall be followed.","Verify the SH has participated in training and has implemented the recommendations and measures set forth by the GM. Confirm that knowledge and techniques taught in training are communicated to all workers.\n\nAsk the SH and workers (including SH family members) about how they handle, use, and dispose of chemicals. Confirm that all relevant individuals are familiar with the requirements for applying chemicals (i.e. no strong wind) and with emergency procedures. Request the demonstration of an emergency response procedure.\n\nConfirm that chemicals are always stored in a separate area and are not stored together with household goods.\nReview the protective equipment used by SH and workers (including SH family members) in order to confirm prevention of skin contact or inhalation. Specifically, perform a visual inspection of: \n- clothing (should cover the entire body); and\n- shoes (should be resistent to the falling of heavy or sharp materials). \n\nWhen undressing, workers should remove gloves last, in order to avoid skin contact with chemicals. Confirm that dedicated sinks/basins are available to wash working clothes and that contaminated water is safely stored (no disposal in the environment and contact with ground water are permitted). Confirm that empty chemical containers are not used to store drinking water or food.","Training materials, universal safety instructions for chemicals usage\n\nVisual inspection of farm site and protective equipment.",{"$nulls":6},{"$f":"IF(OR(G100<>\"\",I100<>\"\"),1,\"\")","v":""},"",""]
[null,null,"11.2.3 Pesticides shall be used in accordance with proven methods that minimize risk and do not harm the environment, communities, people working for the operation, women or children. No pesticides shall be used in or near water sources or protected areas.","Verify the SH has participated in training and has implemented the recommendations and measures set forth by the GM.\n\nReview pesticide application methods and documentation. Perform a visual inspection of pesticide application locations and confirm there is no risk of environmental contamination (e.g. water sources) or other negative impacts to communities within the farm's area of influence. \n\nConfirm that personal protective equipment is replaced when worn or defective. \n\nVerify the SH is aware of when pesticides can be applied, i.e. times of day and year, or under appropriate weather conditions, e.g. in the early morning or late evening to avoid solar radiation; not in the dry season; during low winds; or temperature and humidity requirements. \n\nInterview SHs, workers, local NGOs, and community authorities/members.","Training materials, pesticides application records and maps, documentation of restrictive time frames.\n\nOn-site inspection, including review of protective equipment. \n\nInterviews with SHs, local people, workers, local NGOs, and community authorities.",{"$nulls":6},{"$f":"IF(OR(G101<>\"\",I101<>\"\"),1,\"\")","v":""},"",""]
[null,null,"11.2.4 No work with pesticides shall be undertaken by young workers or pregnant or breast-feeding women. These individuals must be offered alternative work. ","Verify the SH has participated in training and has implemented the recommendations and measures set forth by the GM.\n\nCheck conditions on-site and talk to SH and workers (including SH family members). Ask women and young workers if they are are properly and regularly informed about risks and about the option of performing alternative work. Ask female workers whether they have been informed about the importance of taking a pregnancy test.\n\nConduct interviews with the SH, young workers, pregnant/breast-feeding women, and medical staff at local health care centers. ","Training materials, documented changes to risky work performed by pregnant women.\n\nVisual inspection of conditions on-site. \n\nInterviews with young workers, pregnant or breast-feeding women, medical staff in local health care centers, and SH. ",{"$nulls":6},{"$f":"IF(OR(G102<>\"\",I102<>\"\"),1,\"\")","v":""},"",""]
["Utilization Pillar",{"$nulls":10},"","",""]
["Principle 12: Provide a setting for the safe utilization of food",{"$nulls":10},"","",""]
["12.1","All people working for the operation shall have access to clean and safe facilities.","12.1.1 Accommodations (including collectively used accommodations like dormitories and living areas), sanitary facilities (e.g. toilets, portable WCs, showers) and kitchen/dining/food storage areas, provided to people working for the operation and their families shall be designed, built and maintained to meet basic needs, to comply with legal requirements, and to ensure safe and healthy conditions. Toilet paper or bidet shower and soap shall be made available in all sanitary facilities.","Verify the SH has participated in training and has implemented (to the best of its ability) the GM's recommendations and measures regarding living quarters, not only for itself, but also for family members and workers living on the farm.\n\nPerform a visual inspection of accomodations and sanitary/food facilities on-site.\n\nConduct interviews with the SH and workers (including SH family members).","Training materials, guidance documents on living quarters, documentation of consultation process with GM, documented measures.\n\nDirect visual inspection of respective areas and sanitary facilities. \n\nInterviews with SH, family workers, and other workers.",{"$nulls":6},"","",""]
["12.2","All people working for the operation shall be provided with access to potable water.","12.2.1 All people working for the operations shall have access to potable water.","Verify the SH has participated in training and has implemented the recommendations and measures set forth by the GM.\n\nConfirm via interviews that safe drinking water is always available to SH, its family, and workers. \n\nUse the FSS QAT and interview workers to verify drinking water availability.\n\n","Training materials, direct interviews using FSS-QAT.\n\nVisual inspection of potable water facilities. \n\nInterviews with SH, family workers, and other workers.",{"$nulls":6},"","",""]
["Principle 13: Guarantee good nutrition",{"$nulls":10},"","",""]
["13.1","Measures to improve access to adequate, safe, sufficient and affordable food for all people working for the operation shall be undertaken.","13.1.1 Appropriate, clean and safe dining and food storage facilities must be provided. ","Verify the SH fulfills this requirement for everybody involved in farm operations, including workers and the SH's family.\n\nConfirm that everyone involved in farm operations has the possibility to eat and take breaks in a safe and clean area, whether directly at work site or nearby, e.g. at SH's house. Confirm that this dining area/break location offers protection against sun and rain (and can thus be used in any weather) and is large enough to accomodate everyone involved in farm operations. Visit the dining area/break location. Confirm it is kept clean by SH and workers and there is no evidence of rotten food or unhygienic conditions.\n\nInterview SH and workers.","Direct observation of areas.\n\nInterviews with SH and workers.",{"$nulls":6},"","",""]
[null,null,"13.1.2 If workers do not have the option of bringing their own food or purchasing it nearby, options to buy diversified and nutritious food must be provided at fair prices.","Talk to SH and workers and ask if all people involved in farm operations are provided with adequate, sufficient, and nutritious food (this food should be cooked/prepared at farm site, if there are no other alternatives for workers). If workers are dependent on meals provided at farm site, confirm that meal prices are affordable for workers and that workers consider meals balanced and diversified.\n\nConfirm that SH kitchen is kept clean and that there is no evidence of rotten food or unhygienic conditions. Garbage should be disposed of properly. Provided food by SH must be adequately covered and protected from insects and pollution.","GM guidelines/checklist on daily diet, GM information sheet on nutritious food, price list.\n\nDirect observation of dining areas and kitchen.\n\nInterviews with SH and workers.",{"$nulls":6},"","",""]
[null,null,"13.1.3 All people working for the operation (including those involved in other activities such as cooking or cleaning) shall be granted sufficient breaks for eating and drinking in consideration of weather conditions and the type of work performed.","Confirm that this requirement is met for SHs, their families, and their workers.\n\nConfirm in person that sufficient breaks are scheduled in the working plans and work routines of all workers at the farm, including family workers and SH. If work contracts are provided (permanent, temporary, and seasonal workers), check whether breaks are included. The granted break duration should be 15 minutes (for interim breaks) and between 30 minutes and two hours (for lunch breaks).\n\nAsk the SH, family workers, and other workers whether sufficient breaks are always provided, without restrictions. Confirm that all workers are allowed to take additional breaks to hydrate, especially in hot weather conditions. ","Contracts (permanent, temporary, seasonal workers), documented breaks in work schedules.\n\nDirect observation of break routine. \n\nInterviews with SH, family workers, and other workers.",{"$nulls":6},"","",""]
[null,null,"13.1.4 All people working for the operation shall have access to healthy and nutritious food of sufficient quality and quantity at all times.","Confirm that the SH has implemented measures for which the SH is responsible in accordance with the GM's implementation schedule.\n\nConfirm that all people involved in farm operations, i.e. the SHs, their families, and their workers, have the possibility to eat healthy and nutritious food in sufficient quantity and quality at all times.\n\nConduct personal interviews using the FSS-QAT to review and verify compliance with this indicator (see section 6.3 in the FSS handbook). There should be no indication that food security is in any way impaired or disrupted.\n\nCross-check information gathered from workers, family workers, and the SH by interviewing relevant stakeholders such as a health officer or teacher.  ","Training materials, documentation of consultation process with GM, implementation schedule, list of measures, direct interviews using FSS-QAT.",{"$nulls":6},"","",""]
["13.2","Breastfeeding women shall be provided with adequate conditions to nurture their children.","13.2.1 Nursing mothers shall be granted at least two additional 30-minute daily breaks during paid working time to breastfeed children up to 9 months after birth.\n","Identify working women with infants (aged 0-12 months) who need to perform breastfeeding and ask them about break availability and duration. If there are workers with contracts/written agreements (permanent, temporary, or seasonal workers), confirm these contracts/agreements provide sufficient daily breaks.","If available, contracts and written agreements (with permanent, temporary, and seasonal workers).\n\nInterviews with femal workers with infants (aged 0-12 months).",{"$nulls":6},"","",""]
["Cross-Cutting Pillar",{"$nulls":10},"","",""]
["Principle 14: Provide complaint and grievance mechanisms",{"$nulls":10},"","",""]
["14.1","Complaints and grievances mechanisms for workers, contract farmers, communities and stakeholders shall be implemented and maintained.","14.1.1 A documented system for dealing with complaints and grievances voiced by workers, contract farmers, communities and stakeholders shall be implemented and maintained. The system shall allow resolution of disputes in an effective, timely and appropriate manner while also ensuring the anonymity of complainants and whistle-blowers, when requested. This mechanism shall have the following characteristics:\n\n- The mechanisms are communicated and made easily accessible to workers, contract farmers, communities and stakeholders. Special consideration shall be given to illiterate people.\n- Procedures shall be in place to ensure that anyone can confidentially communicate grievances or complaints without risk of reprisal or intimidation. \n- The system shall ensure anonymity of complainants and whistle-blowers\n- The dispute-resolution mechanism shall be based on negotiations between affected parties and decisions shall be agreed to by the vast majority of negatively affected workers/contract farmers/community members/stakeholders.\n- Any complaint or grievance must be acknowledged and dealt with in an effective and timely manner.\n- Records of all complaints and grievances must be kept, including steps taken to address them and the outcome of the process. ","Verify the SH is aware of and understands the complaints and grievance system provided by the GM, and has adequately informed workers about the system.\n\nConfirm that workers are provided with informational documents about the system and its function. Confirm that the SH accepts complaints from workers and tries to resolve them. Talk to workers to cross-check information.+","Complaints and grievance procedure.\n\nInterviews with workers.",{"$nulls":6},"","",""]
["Principle 15: Respect women’s rights and ensure gender equity",{"$nulls":10},"","",""]
["15.1","Women shall not experience discrimination and their rights must be respected.","15.1.1 All workers shall receive the same payment and benefits for the same work scope, regardless of gender.","Verify the SH has participated in training and has corresponding training material on file. Check and compare the contracts and payment documents of all workers to confirm equal pay for the same work. \n\nTalk to female workers to verify findings.","Training materials, payment and benefit records/ documents, contracts or other written agreements (if available), documented adjustments to contracts/agreements.\n\nInterviews with female workers.",{"$nulls":6},"","",""]
[null,null,"15.1.2 All women shall have the possibility to articulate and communicate their concerns and ideas through a dedicated gender representative or committee. Confidentiality must be granted if desired.","Verify the SH is aware of the gender committee/representative and its function. Ask if and how women working on the SH farm (both family members and workers) are informed about the gender committee/representative.\n\nTalk to female workers, female SHs, and spouses to confirm whether such a system/committee/representative exists and can be used/consulted by them without hesitation.  ","Information on the system/committee.\n\nInterviews with female workers, female SHs, and spouses.",{"$nulls":6},"","",""]
[null,null,"15.1.3 In all stakeholder consultation processes, including the FPIC, women must be appropriately included (proportionally represented) and their voices equally heard and respected.","Verify the SH can demonstrate compliance with any process for which it is responsible.\n\nReview the minutes of the stakeholder consultation processes to determine whether measures for preventing discrimination have been considered in the discussion. Confirm that women had sufficient opportunity to express their opinions. Review the records of stakeholder consultation meetings and the signed list of participants to confirm that women were proportionally represented.\n                                                                                                                      \nInterview female community representatives, female stakeholders, and relevant NGOs.  ","Meeting minutes, pictures of consultation process,  signed list of participants at consultation meetings.\n\nDirect on-site observation. \n\nInterviews with female community representatives, female stakeholders, and relevant NGOs",{"$nulls":6},"","",""]
[null,null,"15.1.4 A policy to prevent sexual harassment and all other forms of harassment or violence shall be implemented and communicated at all levels of the workforce, including contract farmers and service providers. This shall include a procedure concerning where complaints are received, how complaints are handled, which remedial actions are performed and how the process is documented.","Verify the SH is aware of the policy and mechanisms provided by the GM to prevent any form of harassment or violence against women, and that the SH informs its workers thereof. The policy and written procedures for complaints must be made available and understood by all workers on the farm. \n\nInterview female workers, female SHs, and spouses about current or past incidents. Ask whether they understand the policy and were instructed in the procedure for lodging complaints.\n\nCross-check with indicator 14.1.1 regarding complaints and grievance mechanisms.","Policy documents, complaints procedure.\n\nInterviews with female workers, female SHs, and spouses.",{"$nulls":6},"","",""]
[null,null,"15.1.5 Workers shall be granted at least eight weeks of maternity leave with compensation consistent with national laws or not less than 2/3 of regular pay, whichever is higher, not including annual leave, and in the absence of any loss or privilege on account of such leave. The employment contract of a woman during her pregnancy or maternity leave shall not be terminated, except on grounds unrelated to the pregnancy or birth of the child. National legislation must be adhered to if it provides more stringent requirements.  ","Verify the SH is aware of laws and regulations regarding paid maternity leave, including associated obligations. Talk to female workers (particularly pregnant workers) to confirm that maternity leave is truly provided  and that pregnancy does not have negative consequences for female workers.\n\nThis requirement applies to all workers aside from casual workers or workers on a labour exchange basis.","Training materials, documentation of maternity leave times, national legislation/laws, worker contracts/agreements.\n\nInterviews with female workers, particularly pregnant workers.",{"$nulls":6},"","",""]
[null,null,"15.1.6 Policies must be in place to ensure that women working for the farm operation are protected while pregnant. This includes specific procedures relating to their safety, such as protection against physical, chemical or biological agents that could cause harm. Pregnant women shall not work excessive hours and shall be provided with rest periods as appropriate. Legal requirements have priority, if they exceed the requirements laid down in this standard. ","Verify the SH has participated in training and has associated training material on file. Confirm the SH is aware and implements measures to protect pregnant women who work on the farm and informs all women on the farm about such measures.\n\nInterview pregnant women working on the farm and ask if they are adequately protected and do not have to work excessive hours. Also, confirm that pregnant women are given special treatment and granted appropriate breaks.","Training documents, measurement documents.\n\n\nInterviews with pregnant women working on the farm.",{"$nulls":6},"","",""]
["Principle 16: Raise awareness for nutrition and support child education",{"$nulls":10},"",{"$f":"IF(H123=\"\",\"\",1)","v":""},""]
["16.1","Awareness  regarding food security and nutrition shall be raised. ","16.1.1 A training program that focuses on improving food and nutrition security shall be provided to all people working for the operation. At a minimum, this training must cover proper nutrition and healthy diets. Other aspects of the training should be determined in collaboration with the target group. ","Verify that SHs (whether male or female), family members and head of households participate in the training provided by GM and that the SH has corresponding training documents on file. Did a consultation process take place? Was the training developed with SHs tailored to their level of education and food and nutrition needs? \n\nInterview workers to verify findings and confirm knowledge acquired from training is communicated to all people working on the farm.","Training documents.\n\nInterviews with workers.",{"$nulls":6},"","",""]
[null,null,"16.1.2 In regions with a high risk of food insecurity, training programs for communities within the area of influence shall be supported. These programs shall focus on improving food and nutrition security. The type of support provided must be defined in consultation with local communities and/or authorities.","n/a","n/a",{"$nulls":6},"","",""]
["16.2","All children living on the operation have access to quality primary school education.","16.2.1 It shall be demonstrated that all children living directly at the agricultural operation or in accommodations provided to workers and their families attend at least primary school.","Confirm the SH has sought to raise awareness among its workers about the importance of sending children to school.\n\nConfirm the SH sends its children to school.\n\nConduct interviews with workers (if any) and teachers.","Any evidence that children attend primary school is sufficient, e.g. school uniform, school documents, timetables, fees for school lunch (if any), receipts for purchased school materials.\n\nInterview workers with children (if any) and teachers.",{"$nulls":6},"","",""]
["Principle 17: Assess and monitor local food security",{"$nulls":10},"","",""]
["17.1","Awareness for the overall food-security situation in the area of influence of the operation must be demonstrated. Responsibility for impacts on food security in the area of influence of the operation shall be assumed.","17.1.1 Awareness for the food security situation in the area of influence of the operation must be demonstrated. Any change in the food security must be registered and causes identified.","Verify the SH participates in training/information sessions about food security, and that the informational material is provided by the GM. Check whether the SH has reported to the GM any indication of food insecurity in its household or nearby communities. \n\nCheck whether SH is informed about the food security situation in the region of the GM's farm operations.","Informational materials, reports on observed food insecurity (if any), informational documents from GM on regional food security situation.",{"$nulls":6},"","",""]
[null,null,"17.1.2 The food and nutrition security situation of communities in the area of influence of the operation does not deteriorate due to the operation.","Verify the SH accepts and implements mitigation measures that are developed in collaboration with the GM. Ask the SH whether there is regular communication between the SH, GM, and local communities, and whether there is a consultation processes to define mitigation measures.","Written mitigation measures provided by GM.\n\nIf no written document is available, SH must verbally explain mitigation measures. ",{"$nulls":6},"","",""]
["17.2","New agricultural operations or the expansion of existing operations must not have a negative effect on the food security situation within the operation’s area of influence, and they must not impair the right to food at the national level.","17.2.1 Prior to starting or expanding operations, potential impact of planned activities on local and national food security must be assessed. It must be demonstrated that these operations will not have negative effects on national food security. Mitigation measures to ensure that local food security does not deteriorate within the area of influence of the operation must be implemented.","Verify the SH accepts and implements mitigation measures set forth by the GM. ","Written mitigation measures provided by GM.\n\nIf no written document is available, SH must verbally explain mitigation measures. ",{"$nulls":6},"","",""]
[{"$nulls":11},""]

{"sheet":"6_SummFSS-QAT","index":6,"n_rows":28,"n_cols":6,"rows_kept":28,"merged":[[0,1,0,4],[1,0,1,6],[2,0,3,6],[4,0,5,6],[7,0,7,5],[8,0,8,3],[9,0,9,3],[10,0,10,3],[11,0,11,3],[12,0,12,3],[13,0,13,3],[14,0,14,3],[15,0,15,3],[19,0,20,6],[22,0,22,5],[23,0,23,3],[24,0,24,3],[27,0,27,1]]}
[null,"FSS\n- Audit Procedure Tool - "]
["FSS-QAT - Summary of interview results"]
["V1.0"]
[]
["Based on your interpretation of the interviews conducted with workers and/or smallholders (according to Section 6.3.4 of the handbook), \nenter the total number of workers/smallholders falling under each food security classification."]
[]
[]
["Part A: Summary of Interview Results"]
["Food Security Category in FSS-QAT",{"$nulls":3},"Number of Workers","Number of Smallholders"]
["Food secure",{"$nulls":4},60]
["Mild food insecurity",{"$nulls":4},6]
["Severe food insecurity",{"$nulls":4},3]
["Total number of interviewed workers/smallholders",{"$nulls":3},{"$f":"SUM(E10:E12)","v":0},{"$f":"SUM(F10:F12)","v":69}]
["Percent of food secure workers/smallholders (%)",{"$nulls":3},{"$f":"IF(ISERROR(E10/E13),0,(E10/E13))","v":{"v":0,"d":"0%"}},{"$f":"IF(ISERROR(F10/F13),0,(F10/F13))","v":{"v":0.8695652173913043,"d":"87%"}}]
["Percent of workers/smallholders with mild food insecurity (%)",{"$nulls":3},{"$f":"IF(ISERROR(E11/E13),0,(E11/E13))","v":{"v":0,"d":"0%"}},{"$f":"IF(ISERROR(F11/F13),0,(F11/F13))","v":{"v":0.08695652173913043,"d":"9%"}}]
["Percent of workers/smallholders with severe food insecurity (%)",{"$nulls":3},{"$f":"IF(ISERROR(E12/E13),0,(E12/E13))","v":{"v":0,"d":"0%"}},{"$f":"IF(ISERROR(F12/F13),0,(F12/F13))","v":{"v":0.043478260869565216,"d":"4%"}}]
[{"$nulls":5},"The percentages in the grey cells are calculated automatically based on the number of workers and smallholders in each food security category."]
[]
[]
["Based on your interviews with external stakeholders, including your final judgement regarding each stakeholder and their perceptions of the impact exerted by the operation and farm management \non food security in the area of influence, enter your findings below."]
[]
[]
["Part B: Findings on Interviews with External Stakeholders"]
[{"$nulls":4},"Number of External Stakeholders Answering \"Yes\"","Number of External Stakeholders Answering \"No\""]
["The operation negatively affects local food security"]
[]
[]
["Place, Date, Signature of Auditor  "]

{"sheet":"7_Non-Conformities and CMs","index":7,"n_rows":27,"n_cols":9,"rows_kept":27,"merged":[[0,2,0,5],[1,0,1,8],[2,0,3,8],[8,0,8,8],[9,2,9,3],[9,4,9,5],[9,7,9,8],[11,2,11,3],[11,4,11,5],[12,2,12,3],[12,4,12,5],[13,2,13,3],[13,4,13,5],[14,2,14,3],[14,4,14,5],[15,2,15,3],[15,4,15,5],[17,2,17,3],[17,4,17,5],[19,0,19,8],[20,2,20,3],[20,4,20,5],[21,2,21,3],[21,4,21,5],[22,2,22,3],[22,4,22,5],[23,2,23,3],[23,4,23,5],[24,2,24,3],[24,4,24,5],[26,0,26,1]]}
[null,null,"FSS\n- Audit Procedure Tool - "]
["Non-Conformities and Corrective Measures"]
["V1.0"]
[]
[]
["Name of farm / group manager / smallholder: _____________________________________________________       "]
["Farm address: _______________________________________________________________________________________________________________________________________________________   "]
[]
["Mandatory Improvement Measures "]
["No.","Indicator number","Non-Conformity/Finding",null,"Corrective Action/Measure",null,"Implementation deadline       (e.g. 40 days)","Measure implemented?"]
[{"$nulls":7},"No","Yes"]
[1]
[2]
[3]
[4]
[5]
[6]
["…"]
[]
["Voluntary Improvement Measures and Best Practices"]
["No.","Indicator number","Finding",null,"Voluntary Improvement Measure",null,"Fully implemented","Partially implemented","Not (yet) implemented"]
[1]
[2]
[3]
["…"]
[]
["Place, Date, Signature of Auditor",{"$nulls":3},"Place, Date, Signature of Farm Management"]

{"sheet":"8_Document Checklist","index":8,"n_rows":49,"n_cols":5,"rows_kept":49,"merged":[[0,1,0,2],[0,3,0,4],[1,0,1,4],[2,0,4,4],[9,0,10,0],[9,1,10,1],[9,2,10,2],[9,3,9,4]]}
[null,"FSS \n- Audit Procedure Tool - "]
["Key Document Checklist for Easy Audit Preparation"]
["V1.0"]
[]
[]
[]
["Farm name: _________________________________________       "]
["Address: ____________________________________________________________    ",null,"   Date and Signature: _________________________________________________________"]
[]
["No.","Required documents, information, evidence","Document name / findings ","Available?"]
[{"$nulls":3},"No","Yes"]
[1,"Registration number with sustainability standard"]
[2,"Latest signed terms of use of sustainability standard"]
[3,"Field list with hectare sizes, use, yields, etc. (owned and leased land) "]
[4,"Maps and geocoordinates for each field + total operation"]
[5,"Land (-use) rights documents (land titles, contracts, land rights map) "]
[6,"Documentation of agreements on land (-use) rights"]
[7,"Notified contracts for leased land "]
[8,"List of all suppliers and recipients having supplied and received material during the previous year"]
[9,"Documents on incoming and outgoing material, including feedstock, region and country of origin and if applicable the conversion factor "]
[10,"Business or management plan (if applicable)"]
[11,"Organizational chart (positions, job descriptions/responsibilities)"]
[12,"Operating license"]
[13,"Self-declarations on compliance with FSS requirements from group members (if applicable)"]
[14,"Completed National Food Security Assessment (NaFSA)"]
[15,"Written commitment to ILO core conventions in language understood by the working force (incl. child labor)"]
[16,"Written policy on Human Rights including Human Right to Food (in different languages)"]
[17,"FAO documents (food-based dietary guidelines, Guiding Principles for Responsible Contract Farming)"]
[18,"Contracts/agreements with workers/employees "]
[19,"Contracts with farmers and purchasing entities"]
[20,"Payment sheets"]
[21,"Business statements/records (with respect to yields, revenues, expenses) "]
[22,"Business guidelines (e.g. health & safety policy, anti-corruption policy, protection of children & young workers, equal opportunities policy)"]
[23,"Documentation of training and capacity-building activities (calendar of visits, budget, bills, participants lists, agendas, documents, protocols)"]
[24,"Standard Operating Procedures (SOPs)"]
[25,"Documents of Integrated Pest Management Techniques (IPM) (counting lists, field records, pest control measures)"]
[26,"Chemicals management plan (application records, maps, purchasing contracts)"]
[27,"Monitoring documents related to soil quality and erosion risk (maps of soil types and topographic characteristics [fragile soils, erosion], soil or leaf analysis)"]
[28,"Agricultural development plan"]
[29,"Water management plan (irrigation plan, water origin, monitoring of ground water levels, water scarcity, list of downstream/groundwater users)"]
[30,"Documents of water rights and regulations, negotiated agreements with locals"]
[31,"Impact assessment documents (if available)"]
[32,"Records for entry and access at checkpoints/gates/markets"]
[33,"Contracts with third party services (transportation, insurance policies, medical care)"]
[34,"Minutes of stakeholder consultation processes (FPIC documents)"]
[35,"National/local food security strategies documents/written commitment"]
[36,"FSS-QAT documents"]
[37,"Overview of institutions relevant for food security aspects at regional/local level"]
[38,"Documentation of specific laws and policy programs (e.g. market regulations, smallholder promotion act, agrarian reform laws, nutrition programmes, minimum wages, living income documents, worktime regulations)"]

{"sheet":"9_Document Checklist GM","index":9,"n_rows":47,"n_cols":5,"rows_kept":47,"merged":[[0,1,0,2],[0,3,0,4],[1,0,1,4],[2,0,3,4],[8,0,9,0],[8,1,9,1],[8,2,9,2],[8,3,8,4]]}
[null,"FSS \n- Audit Procedure Tool - "]
["Key Document Checklist for Easy Audit Preparation, General Managers (GM)"]
["V1.0"]
[]
[]
[" Group Manager Name: _________________________________________       "]
["Address: ____________________________________________________________    ",null,"   Date and Signature: _________________________________________________________"]
[]
["No.","Required documents, information, evidence","Document name / findings ","Available?"]
[{"$nulls":3},"No","Yes"]
[1,"Registration number with sustainability standard"]
[2,"Latest signed terms of use of sustainability standard"]
[3,"Field list with hectare sizes, use, yields, etc. (owned and leased land) "]
[4,"Maps and geocoordinates for each field + total operation/group"]
[5,"Land (-use) rights documents of SHs (land titles, contracts, land rights map) "]
[6,"Documents of negotiated agreements on land (-use) rights by SHs"]
[7,"List of all suppliers and recipients having supplied and received material during the previous year"]
[8,"Operating license"]
[9,"Documentation of due diligence for compliance with local, regional and national laws (including compliance by farmers)"]
[10,"Self-declarations on compliance with FSS requirements from group members (if applicable)"]
[11,"Completed National Food Security Assessment (NaFSA)"]
[12,"Written policy on Human Rights including Human Right to Food (in different languages)"]
[13,"FAO documents (food-based dietary guidelines, Guiding Principles for Responsible Contract Farming)"]
[14,"Employment contract templates for SHs"]
[15,"Contracts with farmers and purchasing entities"]
[16,"Written agreement on management functions of GM for group"]
[17,"Template for cost-benefit calculations"]
[18,"Documentation on invoices, receipts, delivery notes"]
[19,"Information provided to farmers on living wages/minimum wages and templates for payslips"]
[20,"General operating guidelines available for SHs (e.g. health & safety policy, anti-corruption policy, policy for protection of children & young workers, equal opportunities policy, policy on freedom of association)"]
[21,"Emergency/accident procedures"]
[22,"Crop rotation plan template "]
[23,"Documentation of training and capacity building activities (calendar of visits, budget, bills, participant lists, agendas, documents, protocols)"]
[24,"Information material on pensions/funds"]
[25,"Integrated Pest Management (IPM) plan "]
[26,"Guidance documents on handling of fertilizers, for input/output balance and soil/leaf analysis (e.g. step-by-step guidelines for pesticide application)"]
[27,"Record template for fertilizers and pesticides/chemicals used"]
[28,"Information documents for SHs on health insurance and medical care options"]
[29,"Monitoring documents related to soil quality and erosion risk (maps of soil types and topographic characteristics [fragile soils, erosion], soil or leaf analysis)"]
[30,"Documentation of water rights and regulations, negotiated agreements with locals, water quality and impacts, irrigation plan template"]
[31,"Minutes of stakeholder consultation processes (FPIC documents)"]
[32,"National/local food security strategies documents/written commitment"]
[33,"Reports on food security situation + documented measures to ensure food security"]
[34,"FSS-QAT documents "]
[35,"Overview of institutions relevant for food security at the regional/local levels"]
[36,"Documentation of specific laws and policy programs (e.g. market regulations, smallholder promotion act, agrarian reform laws, nutrition programmes, minimum wages, living income estimation documents, worktime regulations)"]
[37,"Complaint and grievance procedures (easy to understand)"]