Utz 4c stepping up materials

The objective of this guide is to identify similar practices between the 4C and UTZ codes, in order to determine the correlation level between practices required by both codes and the necessary steps for 4C (Common Code for the Co�ee Community) business partners to Stepping-upto the UTZ Certi�cation. In order to increase possibilities of improving farmers’ and workers’ income, but preserving environmental resources and improving education and working conditions through sustainable criteria.

Stepping-up from4C Compliance to UTZCertification

Introduction

UTZ Certified and the 4C Common Code for the Coffee Community have encouraged responsible production of coffee through the implementation of good agricultural practices.

Both sustainable standards, since their inception, approach and schemes (certification and verification respectively) have achieved important results for coffee growing in different producing countries. Now, given the challenge of achieving an economic, social and environmental responsible coffee production, joint efforts are intended to achieve a higher impact on the sector. For that reason, we seek that coffee growers who have entered sustainable production through 4C may increase their performance level by adopting concepts and good additional practices stated in the UTZ Certified standard, allowing them to consolidate their production process, enter the demanding coffee international market, improve their profitability and thus their own welfare and quality of life, their workers’ and families’.

Achieving the Stepping-up from one level of compliance with sustainable practices to another requires support and use of tools developed by both codes to facilitate understanding of and compliance with specific requirements to meet the objective.

This tool has been developed for technicians responsible of implementing the accompaniment actions as agents. Given its nature and stated basic concepts, it will also be a tool used by process managers and producers aiming to upscale in sustainability. Usefulness of this guide is based on identification of binding items between both codes, as well as on detailed analysis of level of compliance with practices required by the UTZ Certified target code from the bases to understand 4C farmers’ achievements. This situation will allow implementers to develop a training and upgrade strategy based on recognition of improvement areas or critical points.

For this purpose it is fundamental to count on updated results from self-evaluations by the 4C Unit, since it will be the basis for development of a work plan for upscaling of producers willing to obtain the UTZ certification.

Hello our friend, today we want to invite you to jointly Step up to the UTZ Certified code, a new challenge that will allow us to be more competitive and an excellent alternative for a better world.

If we thoroughly comply with the 4C Code, it is a big progress, as by this mean we have covered 30% of the way to the UTZ Code.

Come on! We’ll do it together!

3

Did you know that?

Sustainability Pillars

Together we’ll achieve the goals set by us.

In their structure, 4C and UTZ codes encourage sustainability, which is the capacity of something to resist, withstand and remain in time.

Sustainable development: “It’s a development that meets the needs of the present without compromising the ability of future generations. ” UN Brundtland report “Our Common Future.”

• Society: Decent working and living conditions for farmers and their families as well as employees.

• Environment: Protection of primary forest and conservation of natural resources such as water, soil, biodiversity and energy.

• Economy: Economic viability is the basis for social welfare and sustainability. This includes reasonable earnings for all actors in the coffee chain, free market access and sustainable livelihoods.

IncomeEconomic World

Environment

People Social

EXTINTORMULTIPROPOSITOS

Mantenga libre este lugar

compra de cafÉ

Sistema de Calificación: El semáforo

RojoIndica que la práctica en curso debe ser descontinuada o eliminada.

AmarilloIndica que una práctica debe ser mejorada dentro de un período de transición.

VerdeRefleja una práctica deseable y/o aceptable.

a)

b)

c)

Comprometer a los productores a realizar mejoras continuas para el beneficio de la sostenibilidad.

Que busca:

It is a Code of Conduct that promotes and encourages sustainability in coffee growing and is based on environmental, social and economic improvement of production, post-harvest processing and trade of green coffee, mainly for the benefit of all actors in the coffee chain.

Definition of Common Code for the Coffee Community

Code structure The 4C Code Matrix, presented below for the three dimensions of sustainability, consists of 28 principles and, for each, three criteria: green, yellow and red.

Code Structure

UNACCEPTABLE PRACTICES CODE MATRIX AND INDICATORS

10 Economic,Environmental,Social

Indicators for 4C Unacceptable Practices

Principles (28)

Criteria (84)

Indicators (100+)

Social, environmental and economic

Principles specification categorized as follows:

4C Code Matrix

1. Freedom of association2. Freedom of bargaining3. Discrimination4. Right to childhood and education5. Working conditions6. Capacity and skill development7. Living conditions and education

1. Conservation of Biodiversity2. Use and handling of chemicals3. Soil Conservation4. Soil Fertility and nutrient management5. Water6. Waste7. Energy

1. Market information2. Market access3. Quality4. Record Keeping5. Commerce6. Traceability

Cat

ego

ries

Social Dimension Environmental Dimension Economic Dimension

Criteria or evaluation

Red Yellow Green

10 Unacceptable Practices; their eradication is a requirement to access the 4C verification.

1. Worst forms of child labor.2. Bonded and forced labor.3. Trafficking of persons.4. Prohibiting membership of or representation by a trade union.5. Forced eviction without adequate compensation. 6. Failure to provide adequate housing where required by

workers.7. Failure to provide potable water to all workers. 8. Cutting of primary forest or destruction of other forms of

natural resources designated as protected areas.9. Use of pesticides banned by the Stockholm Convention and

listed in the Rotterdam Convention. 10. Immoral business transactions according to international

covenants, national laws and stated practices.

PART 1Traceability and ManagementChapter 1Traceability, product identification and separation: Includes the points of coffee flow documentation, administration of documents, separation of coffee and a system in place to keep samples allowing a better product control and monitoring.

Chapter 2Management system, record keeping and self-inspection: Related to record keeping and farm identification, self-inspection, accountability and transparency.

PART 2Good Agricultural PracticesChapter 3 Varieties and rootstocks: related to selection of the adequate variety for a productive crop.

Chapter 4Soil management: practices which allow for a sustainable use of soil.

Chapter 5 Fertilizer Use: focused on the safe use of fertilizers, so that they can be used optimally.

Chapter 6 Irrigation: related to careful and efficient use of water.

Chapter 7 Crop Protection (Phytosanitary) Products: it enables a safe use of crop protection products, implementing at the same time practices to ensure their effectiveness.

Chapter 8 Harvesting: Control points aimed at preserving quality of harvested coffee, minimizing food safety risks.

Chapter 9 Post-harvest product handling: suitable post-harvest product handling, preserving quality and minimizing food safety risks.

PART 3 Social and environmental dimensionsChapter 10 Worker rights, health and safety: issues on risk management for working conditions, worker health and rights.

Chapter 11 Natural resources and biodiversity: issues on risk management and conservation of water sources, forests and fauna, among others.

Guía de Implementación UTZ CERTIFIED · Código de Conducta para Café 10 de 72

Capítulo 1Trazabilidad, identificación del producto y separación: incluye los puntos de documentación del flujo del café, administración de documentos, separación del café y sistema para tomar muestras que permite un mejor seguimiento y control del producto.

Capítulo 2Sistema de administración, archivo de registros y autoinspección: relacionado con el archivo de registros e identificación de la finca, autoinspección y responsabilidad y transparencia.

PARTE 1 Trazabilidad y administración

Testimonio de los beneficios de la implementación:KENYA: Rianjagi Farmers Cooperative Society Ltd.

“Con la Certificación UTZ, el porcentaje de pago a los agricultores ha aumentado debido a los ingresos adicionales percibidos por mejor calidad del producto, las primas y los ahorros por economías de escala.”

“La calidad del producto ha mejorado: el porcentaje de la prima recibido a permitido obtener precios más altos por el producto vendido.”


Capítulo 3Variedades y patrones: relacionado con la selección de la variedad adecuada para establecer un cultivo productivo.

Capítulo 5Uso de Fertilizantes: enfocado a hacer un uso seguro de los fertilizantes, de forma tal que se les pueda aprovechar al máximo.

Capítulo 7Productos Fitosanitarios: permite hacer un uso seguro de los productos fitosanitarios, al mismo tiempo que se implementan medidas para garantizar su efectividad.

Capítulo 8Cosecha: puntos de control tendientes a conservar la calidad del café cosechado, minimizando los riesgos a la inocuidad.

Capítulo 9Manejo poscosecha del producto: busca una adecuada manipulación del producto en Poscosecha, conservando la calidad y minimizando los riesgos a la inocuidad.

Capítulo 6Irrigación: relacionado con el uso racional y eficiente del agua.

Capítulo 4Manejo de suelos: medidas que permiten hacer un uso sostenible del suelo.

PARTE 2 Buenas Prácticas Agrícolas

Testimonio de los beneficios de la implementación: GUATEMALA: Cooperativa San José El Obrero-Fedecocagua

Cuando comencé el proceso de certificación UTZ, tenía una producción de 50 libras de café por cuerda (0,04 hectáreas), ahora estoy produciendo 75 libras de café, pero mi meta es mejorar mi productividad aún más.

“Antes de ser certificada, tenía una productividad total en mi finca de 7.000 libras. Hoy en día, tengo una productividad de 11.000 libras de pergamino. Esto también representa un aumento de los ingresos. “

VIETNAM - Phuoc An Company

“Ahora con UTZ se aplican los fertilizantes de acuerdo al potencial del rendimiento, asegurando suficientes nutrientes para los árboles de café. Dice Mr. Ho Chi Dung, productor in An Thuan, Phuoc An Company


PARTE 3 Aspectos sociales y ambientales

Capítulo 10Derechos, salud y seguridad de los trabajadores: puntos relacionados con la administración de riesgos de las condiciones laborales, salud y derechos de los trabajadores.

Capítulo 11Recursos naturales y biodiversidad: puntos relacionados con el manejo de riesgos y conservación de las fuentes de aguas, bosques, fauna, entre otros.

Vietnam: Thai Hoa Company

Nos sentimos seguros de trabajar con UTZ. Es bueno desde el interior hacia el exterior” dice Pham Van Son, productor en An Lac, Dinh Van Lam Ha

Testimonio de los beneficios de la implementación:COLOMBIA: Cooperativa Anserma(Ingeniero agrónomo Omar Orozco)

El uso de la sombra y el cultivo intercalado con plátano, permite una reducción de hasta el 25% de la cantidad de fertilizante químico que se debe aplicar a las plantas de café.“

“La certificación permite la producción conservando el medio ambiente“

“Las condiciones medioambientales y laborales han mejorado.”

Brazil: Ponte Alegre

Las condiciones de trabajo han mejorado en las fincas, principalmente en términos de vivienda, Higiene, duchas y los salarios.

Las condiciones están muy por encima del promedio nacional.

UTZ CERTIFIED DefinitionEs un programa de certificación mundial que establece los estándares para la producción y suministro de café en forma responsable. UTZ Certified, garantiza la calidad social y ambiental de la producción de café y satisface las expectativas de diferentes marcas y consumidores.

Structure of the UTZ CERTIFIED Good Inside Code of ConductThe UTZ Code Structure, which is presented below, has this composition:

3 parts: Traceability and Management, Good Agricultural Practices, Social and Environmental Dimensions. 11 Chapters, which follow the order of the different stages of coffee growing and processing.175 control points, divided into mandatory and additional.

A control point is an activity that must be developed by the farmer in a designed time. E.g.:

AÑO1

AÑO1

AÑO3

AÑO3

AÑO3

AÑO2

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AÑO4

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Control Point 1 P (Producer)

Control Point 2 C (Certificate Holder)

Control Point 3 N (Nursery)

Control Point 4 C/P

Chapter 1 -2 Year 1

Year 1

Year 3

Year 3

Year 2

Year 2

Year 4

Year 4

AÑO1

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AÑO1

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Mandatory control points increase; this means that every year the required control points for the certification also increase. Additional control points. Besides the mandatory control points, a defined number of additional control points (not shaded) must be complied with.

Mandatory

Additional

Total

103

72

175

126

49

175

136

39

175

140

35

175

Control Points

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AÑO AÑO AÑO AÑO1 2 3 4


Explanation of the Guide StructureThe Implementation Guide is presented following the sequence of chapters of the UTZ Certified standard (11 chapters).

Likewise, symbols are used to connect explanations to the Guide’s compliance dimensions or requirements.

a. For the UTZ Control Points

b. For the evidences supporting the compliance with a control point.

c. Levels of compliance

d. When there is no relation or link between 4C criteria and UTZ Control Points.

It indicates that it’s a Mandatory UTZ Control Point and specifies the year of compliance.

It indicates that it’s an Additional UTZ Control Point and specifies the year of compliance.

Record keeping

Implementation

Documentation

e. UTZ Certified Structure by Chapter

For each Chapter the structure is similar to that used in the correlation matrix as follows:

It indicates the UTZ structure.

UTZ Control PointFor the meaning refer

to UTZ Code.

Additional Control Point and year of

compliance.

Mandatory Control Point and year of

compliance.

UTZ Section (Part 1) 4C Section (Part 2) Responsible party and evidences Section (Part 3)

Summary of the general structure:

• UTZ Section (Target level)

Compliance. No need to carry out additional actions.

No relation.

Partial Compliance. Some additional actions are required; those set by the UTZ Code and the UTZ Implementation Guide.

Non Compliance. Additional actions required; those outlined in the UTZ Code and the UTZ Implementation Guide.

No relationship No relationship

CONTROL POINT Level of inspectionYEARSNo.

No. CONTROL POINT Level of inspectionYEARS

The certificate holder has an overview map of the production

area. This map has to include the coffee areas with aggregated

planted areas and nurseries, protected areas, water streams and

sources and human settlements.

Estates identify the coffee fields with a unique name, number,

code or specific color on all the records.

The producer physically identifies all coffee fields with

permanent signs.

The certificate holder has an overview map of the production area. This map has to include the coffee areas with aggregated planted areas and nurseries, protected areas, water streams and sources and human settlements.Estates identify the coffee fields with a unique name, number, code or specific color on all the records.

The producer physically identifies all coffee fields with permanent signs.

Conservation of biodiversity,including protected orendangered native flora andfauna is supported.

Dimension Principle

The map must fully

detail the use of

the land.

Physically identify

all coffee fields with

permanent signs.

GREEN YELLOW REDCOMPLIANCE AGAINST UTZ

Actions to implement

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• 4C Section (Base level). They correspond to 4C principles comparable to UTZ Control Points for green and yellow levels.

• Section to indicate who is responsible for compliance and evidence. For this, one has to refer to UTZ Code and UTZ Implementation Guide requirements. Interpretation may vary according to UTZ statements and what is defined in each Country Annex for Individual or Group Certification.

It indicates the 4C structure.

Column showing the 4C Code components.

Column linked to a UTZ Control Point similar to

4C. Column linked to a UTZ Control Point not similar

to 4C.

Compliance with 4C Code against UTZ

Actions required to comply with the UTZ

Code

Column linked to a UTZ Control Point to indicate

the compliant actor.

Level 1: Record Keeping: a) Review if there is a difference in record keeping or additional records have to be kept (YES / NO). b) Review if, for record keeping, there is need to use an Internal Control System (ICS) and / or on the producer level.

Level 2. Implementation: a) Review if there is a difference in CP or additional actions have to be implemented (YES / NO). b) Verify if the practice needs to be implemented in an ICS and / or on the farmer level.

Level 3: Documentation: a) Review if there are differences in procedures or an additional procedure must be in place (YES / NO). b) Review if they are to be applied in ICS and / or on farmer level for procedures.

No relationship


The map must fully detail the use of the land.

Environmental

Dimension PrincipleNo.

GREEN YELLOW RED

Compliance against UTZ certified Actions to

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Part 1Traceability and Management

This guide is a universal tool and therefore the comparison level must allow using it in any region of the world.

This guide is a universal tool and therefore the comparison level must allow using it in any region of the world.

Given its universal nature, this guide does not consider Not Applicable (NA) situations for any UTZ Control Point or 4C principle. The NA situation could appear in each region where the current guide is used.

The interpretation may vary according to what is stated by UTZ and in each Country Annex for Individual or Group Certification. The 4C red level is equal to a Non-Compliance (NC) in UTZ. Therefore this Guide does not set the red level for 4C criteria that are similar to UTZ. When a UTZ Control Point is similar to 4C criteria but in the red level, compliance is achieved following all procedures described in the UTZ Control Point.

As the 4C standard principles and indicators are wide-ranged, it should be ensured that in the green level all requirements are fully met. This will be the only way to ensure that what is set in the respective UTZ Control Point is fulfilled (with which a similarity has been found). The same occurs for 4C indicators in the yellow level.

A 4C standard principle or indicator itself may be used to be compared with several UTZ Control Points.

To take into account:

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Compliance Partial Compliance Non Compliance

Traceability, product identification and separation:

Chapter 1 It addresses the issues of coffee flow documentation, document management, separation of coffee and a system to keep samples, which allows a better product control and monitoring.




1.A.1

1.A.2

1.A.3

CONTROL POINT Level of inspection GREEN YELLOW RED


YEARS Dimension PrincipleNo.No.

C

C

C

Pending:Invoices and UTZ purchasesCollection / storage report by UTZ producerList of UTZ producers

Pending: Establish checklist for subcontractors / Verification against checklist

Pending: Collection inventories, coffee inventoriesSales Invoice and UTZ purchases

The certificate holder is able to document the product flow of coffee from each production unit such as a field or member of a producer group to the collection point/storage center and throughout all processing and handling, up to sorted and graded coffee, for as long as the certificate holder is the owner of the coffee.

If the certificate holder outsources processing activities, the outsourced processing unit must ensure that traceability, product identification and separation of UTZ CERTIFIED coffee from non-UTZ CERTIFIED coffee.

The certificate holder has a document management system in place that records: - the total quantity of coffee harvested - the purchases and sales of UTZ CERTIFIED coffee - the purchases and sales of non-UTZ CERTIFIED coffee - possible carry over stock of UTZ CERTIFIED coffee from a previous year - the UTZ CERTIFIED sales announcements with unique UTZ CERTIFIED number - the sales invoices with the origin and indication of the UTZ CERTIFIED status

Compliance against UTZ Certified

Economic 6 Mechanisms for internal (within the 4C Unit) traceability are in place

Economic Verification Regulations

66

- Mechanisms for internal (within the 4C Unit) traceability are in place - Business Partner (page 6)Further explanation of the Business Partner definition is given in another document called Code Implementation Guidance under heading 2.3 on page 5.

Economic Verification Regulations

- 6 - 7.4 + 7.8 + 7.9

- Mechanisms for internal (within the 4C Unit) traceability are in place (Written documents are available and operational) - Business Partner Mapping and Organisational chart by 4C Unit (page 13) & Trading 4C Compliant Coffee by 4C Units (page 18) - Once a year, 4C Units must therefore report on their commercial activities via the 4C Online Platform in October of each year. (page 18)

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1.A.4

1.A.5

1.A.6

1.A.7


Compliance against UTZ Certified Actions to

implementYEARS Dimension PrincipleNo.No.

C

C/P

C

C

Procedure, person responsible for the system and functions manual

Pending: Procedure to separate coffee

Pending: Identification of coffee throughout the process (labels in collection and storage points and system records).

Procedure for sampling and sample bank

The certificate holder clearly indicates the responsible person(s) in the organization for traceability, product identification and separation of coffee.This person or group of persons is able to demonstrate and explain the system and is accessible to others in the organization.

The certificate holder at all times strictly separates physically UTZ CERTIFIED coffee from non-UTZ CERTIFIED coffee: -in the fields -during storage -processing -packing -transport Carry over stock of UTZ CERTIFIED coffee from a previous year is kept separate and marked clearly.

The certificate holder clearly and visually identifies UTZ CERTIFIED coffee.

A system is in place where representative lot samples of coffee, green or roasted, are kept to be analyzed in case of any complaint. Samples are kept for at least one year.

Economic 3Coffee quality is monitoredwithin the 4C Unit.


Economic 6Mechamisms for internal (within the 4C Unit) traceability are in place

Economic 6Mechamisms for internal (within the 4C Unit) traceability are in place

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MANAGEMENT SYSTEM, RECORD KEEPING AND SELF-INSPECTIONChapter 2

Record keeping and farm identification, self-inspection, accountability and transparency



2.A.1

2.A.3

2.A.2




Environmental

Economic -

Verification rule

C

C/P

P

1a

47.117.10


Record keeping used to monitor productionefficiency leads to improved farm performance.Granting 4C Verifiers access to information by 4C Units

The map must fully detail the use of the land.

Filing system for at least 2 years

Physically identify all coffee fields with permanent signs.

The certificate holder has an overview map of the production area. This map has to include the coffee areas with aggregated planted areas and nurseries, protected areas, water streams and sources and human settlements.Estates identify the coffee fields with a unique name, number, code or specific color on all the records.

All the records and documents requested by this UTZ CERTIFIED Code of Conduct are up to date and accessible for the inspector.All the documents are archived for a minimum period of two years from the date of first inspection onwards, unless legally required for a longer period of time.

The producer physically identifies all coffee fields with permanent signs.

2.A - Record keeping and farm/field identification


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2.B.1

2.B.3

2.B.2

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Verification rule

Verification rule

Verification rule

C

C

C

C

7.57.8

7.57.8

7.7

Inspection in year 1

General management plan and risk assessment

1 annual inspection to subcontractors

Risk assessment for new sites

The certificate holder undertakes at least one self-inspection per year against the UTZ CERTIFIED Code of Conduct, using the UTZ CERTIFIED checklist.

The certificate holder makes and implements an overall management plan which is based on the risk assessments and includes the action plans in this Code.

Subcontractors carry out an assessment (or the certificate holder does it on behalf of the subcontractor) of compliance against the UTZ CERTIFIED control points relevant to the services provided.The certificate holder is responsible that the control points applicable to the tasks performed by the subcontractor are complied with.

For new agricultural sites, a risk assessment is carried out with regards to food safety and environment.There is a management plan for new sites, setting out strategies to minimize all identified risks.

2.B - Management systems and self-inspection


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2.C.1

2.C.2

2.C.3

2.C.4




C/P

C

C

C

Publication of UTZ CERTIFIED premium. Invoice displaying premium and consolidated report displaying premium transferred

Designate a contact person

Mechanism available for complaints

Management of complaints

The certificate holder can show how the UTZ CERTIFIED premium is distributed within its organization.The costs of operation are clearly documented.

The certificate holder appoints a person whom producers and workers can file questions, ideas and complaints to. This person has to be known and accessible to the group members and workers.The person is well informed with the UTZ CERTIFIED program.

The certificate holder has a complaint mechanism and/or form available for all persons that want to file a complaint relating to issues of compliance with the UTZ CERTIFIED Code of Conduct by the certificate holder and the producers.

The certificate holder adequately records, studies and follows up on complaints and records the corrective actions taken. This includes complaints from the government in case of (alleged) violations of the law.

2.C - Accountability and TransparencyThe UTZ CERTIFIED program is intended to generate both tangible and intangible benefits for coffee producers. Transparency on the amount and the distribution of the tangible benefits, like the UTZ CERTIFIED premium, is a part of responsible coffee production.

No relationship

No relationship

No relationship

No relationship

No relationship

No relationship

No relationship

No relationship

Part 2Good Agricultural Practices

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VARIETIES AND ROOTSTOCKSChapter 3 Choice of the adequate variety for a productive crop.

3.A.1

3.A.2

3.A.3



implementYEARS DIMENSION PRINCIPLENo.No.

C

C

C/N

Responsible person chooses the variety of coffee to plant

Certified record of seed quality

Procedure for Integrated Management Plan of in-house nursery plants

The responsible person (producer, certificate holder or technical advisor) chooses the variety of coffee that is most suited for the local production situation and conditions. Important to consider when choosing the variety:- the required amounts of crop protection products and fertilizers- important pests and diseases- cup quality

The certificate holder has records/certificates available of the seed quality which states variety, batch number and seed vendor.

For an in-house nursery, the certificate holder or producer has an operational plant health quality control system in place.This system monitors and records visible signs of pests and diseases, as well as root problems and identifies the mother plant or field of origin crop as applicable. Recording is periodic at regular established intervals

3.A - In-house and external nurseryAn in-house nursery is a coffee nursery that is owned and managed by the individual producer or by the group of producers (e.g. a cooperative). Only in this case the producer must comply with these control points.

An external nursery is a coffee nursery that is not owned and managed by the individual producer

or the group of producers. The external nursery is a separate entity that is contracted by the producer or a supplier of goods. Only in this case the producer

must comply with these control points.

Control points 3.A.1 and 3.A.2 are applicable for both in-house and external nurseries.

No relationship

No relationship

No relationship

No relationship

No relationship

No relationship

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3.A.4

3.A.5




C/N

C/P

Records of crop protection product applications

Control mechanisms in place to ensure the health of seedlings purchased from third parties

For an in-house nursery, all crop protection product treatments applied to coffee in the coffee nursery are recorded and include the requirements as set out in 7.B.3.

For an external nursery, propagation material that a producer buys from an external coffee nursery is free of visible signs of pest and disease.When plants have visible signs of pest and disease damage, a justification is available (e.g. that the threshold for treatment has not been reached yet).

AÑO AÑO AÑO AÑO1 2 3 43.B.1




Verification ruleC/P 7.2

When GMO coffee is detected, it must be reported to the ICS

If the certificate holder or a group member starts to plant GMO coffee or if there is involvement in (trial) plantings of GMO coffee, the certificate holder informs UTZ CERTIFIED and the buyer.All the relevant regulations are complied with regard to GMO in the country of production.Also the certificate holder informs UTZ CERTIFIED on the status of the GMO coffee.Notifications and records are documented of the specific modification and/or the unique identifier.

3.B - Genetically Modified Organisms

No relationship

No relationship

No relationship

No relationship

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SOIL MANAGEMENTChapter 4 Measures for a sustainable use of soil.

The control points in this chapter are about maintaining the structure and improving the fertility of the soil and to prevent soil erosion.

4.A.1

4.A.3

4.A.2




Environmental

Environmental

Environmental

C

P

P

4a

3

34b

Soil fertility analisys per individual farm or region

Records as evidence of soil conservation practices

Records as evidence of soil conservation practices

The state of soil fertility is assessed.This is done either per individual farm, per group of comparable farms or per region where the comparable farms are located.

The producer uses techniques to prevent soil erosion.There is visual and/or documented evidence that one of these techniques is used. Special attention is given after (re)planting.

The producer uses practices to conserve and recuperate soil structure and fertility. There is visual and/or documented evidence that these practices are used.

Fertilisers are usedappropriately.

Soil conservation practicesare in place.

Soil conservation practicesare in place.

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FERTILIZER USEChapter 5

5.A.1




C

Competent person for recommending use of fertilizer

The responsible person (producer, certificate holder or external advisor), who chooses the fertilizers, is able to demonstrate competence to estimate the quantity, time of application and type of fertilizer (organic and inorganic) to use.

5.A - Choice and use of fertilizers

The control points in this chapter are about the choice of fertilizers that the producer uses, their storage and application. The type and amount of fertilizers applied are appropriate for the situation. The use is recorded.




5.A.2

5.A.3

Environmental

Environmental

C

C/P

4a

2b

1

5a

Fertilisers are usedappropriately.

Harmful effects of pesticides and other

chemicals used on human health and the environment are minimised.Conservation of biodiversity,including protected orendangered native flora andfauna is supported.

Water resources are conserved.

Documented fertilizer program in place.in fertilizer application.

Clear instructions in place for persons involved

The responsible person (producer, certificate holder or external advisor) has a documented fertilizer program in place.This is to ensure that fertilizers are applied judiciously, preventing the amount applied from exceeding the needs of the crop and the storage capacity of the soil. The responsible person demonstrates that consideration has been given to nutritional needs of the crop and soil fertility.

There are clear instructions in place for persons involved in fertilizer application.It is not allowed to apply fertilizers within 5 meters of water streams.


Focused on a safe use of fertilizers, in such a way that they can be optimized.

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5.B.1

5.C.1

5.C.2

5.B.2

CONTROL POINT

CONTROL POINT

Level of inspection

Level of inspection

GREEN

GREEN

YELLOW

YELLOW

RED

RED





YEARS

YEARS

DIMENSION

DIMENSION

PRINCIPLE

PRINCIPLE

No.

No.

No.

No.

C

P

C

C/P

Up to date and complete list of all the fertilizers used and/or stored available

Evidence of equipment calibration

The producer or certificate holder has an up to date and complete list of all the fertilizers used and/or stored.

The producer maintains inorganic fertilizer application equipment (mechanical or motorized) in good condition to ensure proper functioning.

The certificate holder ensures that all inorganic fertilizer application equipment (mechanical or motorized) is calibrated annually.

All applications of organic and inorganic soil and foliar fertilizers are recorded (except for mulch and farm made compost) , including: - date of application (day, month, year) - product brand name, type of fertilizer and chemical composition (name and concentration of active ingredients) - quantity or volume per hectare, plot or field - field identification (name, number or code, location) - method of application and used application equipment - name of the operator

5.B - Records of application

5.C - Application equipment


Records on applications of fertilizers

Social 5d

Evidence of maintenance of inorganic fertilizer application equipment

Employer assures properoccupational health andsafety conditions for workers.

No relationship

No relationship

No relationship

No relationship


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5.D.2

5.D.3

5.D.1




P

C/P

P

Fertilizers are stored separately from, coffee, food and other pesticides.

In a manner that reduces the risk of contamination of water streams and sources.

In a covered storage area that is protected against sunlight and rain.The area is free from humidity and well ventilated.The area is clean; free from waste, spilling or leakage.The storage area is clearly marked with permanent, understandable and visiblewarning signs.

Separate from coffee (cherries, parchment and green) plant propagation material or other food products and from packaging material.Separate from crop protection products to prevent cross contamination.

5.D - Storage

Environmental

Environmental

2b

5a

2b

Fertilizer storage in a manner that reduces the risk of contamination of water streams and sources.

Fertilizer storage area complies with regulations.

Harmful effects of pesticides and other

Chemicals used on human health and the environment are minimised.Conservation of water sources

Harmful effects of pesticides and otherchemicals used on human health and the environment are minimised.

The producer stores all inorganic and organic fertilizers (powders, granules and/or liquids), except for compost and mulch:




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5.E.1

5.E.2




C

P

Analysis of composition of organic matter

Policy of no use of contaminated water

The certificate holder carries out an analysis to determine the content of nutrients of organic fertilizers (such as compost).The certificate holder also makes an assessment to determine the risks of disease transmission from the organic fertilizer.

No human sewage, sludge and sewage water is used on coffee for any purpose.

5.E - Organic Fertilizer


No relationship

No relationship

No relationship

No relationship

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6.A.1

6.A.2




C

C

Keep rainfall records and establish systematic rainfall forecast methods

Means of verification of irrigation design implementation

The certificate holder has rainfall records and systematic rainfall forecast methods available to decide on the application of irrigation water.

If the certificate holder uses evaporation data to calculate irrigation needs, documentation is demonstrated on how and which figures are used to calculate the evaporation rate.

6.A. Predicting irrigation needs

No relationship

No relationship

No relationship

No relationship

IRRIGATIONChapter 6 Use of water in a sustainable manner.

The objective of the control points in this chapter is to check if the certificate holder and the producer are making rational use of irrigation water, not using too much or too little.

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6.B.1




C

The certificate holder has a water action plan to optimize irrigation water use and reduce loss and waste of water.

6.B Irrigation method

Environmental 5aAction plan to optimize use of waterWater resources are

conserved.

6.B.2

6.B.3

C/P

C/P

Means of verification of irrigation design

Records of water use

The certificate holder uses the most efficient and commercially practical water delivery system and/or methods to ensure the best utilization of water resources.The certificate holder shows the efficiency of the irrigation system in terms of the amount of water used per MT of coffee produced.

The certificate holder has records that indicate the date of irrigation, the quantity of water used and where the irrigation water was used.

No relationship

No relationship

No relationship

No relationship

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6.C.1

6.C.2




C

P

Risk assessment

Policy for management and use of wastewater for irrigation purposes

The certificate holder makes an annual risk assessment of phytosanitary, chemical or physical pollution or contamination of irrigation water sources.Irrigation water is analyzed at a frequency according to the results of the risk assessment. In case of adverse results, records are kept of the actions taken.

Untreated sewage water is not used for irrigation.Treated sewage water can only be used on coffee if the water quality complies with the WHO published Guidelines for the Safe Use of Wastewater and Excreta in Agriculture and Aquaculture 2006.

6.C Quality of irrigation water

No relationship

No relationship

No relationship

No relationship AÑO AÑO AÑO AÑO

1 2 3 4

6.D.1

6.D.2




C/P

C

Policy on use of irrigation water extracted from sustainable sources.

Technical concept of the competent authority

Irrigation water is extracted from sustainable sources.

Advice on water extraction is sought from water authorities whenever these are available.

6.D Suministro del agua de irrigación

No relationship

No relationship

No relationship

No relationship


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CROP PROTECTION PRODUCTSChapter 7 It enables a safe use of phytosanitary products, while implementing measures to ensure their effectiveness.

The control points in this chapter concern the choice, use, storage and application of crop protection products. The type and amount of crop protection products applied should be appropriate for the situation. The use is recorded.

7.A.1




C/P

Training records and verification means of skills of the person responsible for the implementation of IPM

The responsible person (producer, certificate holder or technical advisor) who chooses the crop protection products and/or implements the IPM activities is able to demonstrate competence and knowledge.

7.A Choice and use of crop protection products

No relationship No relationship AÑO AÑO AÑO AÑO1 2 3 4

7.A.2 C/P

Crop protection products (and fumigants) can only be used or stored if they are not (any of the below):- non-approved in the EU, USA (EPA) or Japan;- classified by WHO as 1A or 1B;- identified as Persistent Organic Pollutants (POP’s) in the Stockholmagreement;- included in Annex III of the Rotterdam Convention (UNEP’s PriorInformed Consent (PIC) Program list);- on PAN’s Dirty Dozen list.Practical reference can be made to the UTZ CERTIFIED List of Banned Crop Protection products (available on the website)

Environmental 4C Unacceptable

practice Nº 9

2a2b

Pending records and list of products not allowed by USA

Use of pesticides is minimised.AÑO AÑO AÑO AÑO

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7.A.5

7.A.6

7.A.7




C/P

C

C

Only allowed the use and storage of crop protection products authorized by the UTZ code.

The crop protection products used are registered in the country or in the FAO International Code of Conduct

The certificate holder only uses and stores crop protection products that are officially registered and permitted in the country for use on coffee.

If there is no official registration scheme for crop protection products in the country, the producer refers to the FAO International Code of Conduct on the Distribution and Use of Pesticides.

All the crop protection products applied to the coffee are suitable for the pest, disease or weed and can be justified (according to label recommendations or official registration body publication).

No relationship

No relationship

No relationship

No relationship




7.A.3

7.A.4

C

C/P

The certificate holder consults the list of current Maximum Residue Levels (MRL’s) for the market where the coffee is intended to be sold (whether domestic or international).

The producer uses crop protection products with the least chemical toxicity possible for people, flora and fauna.

Economic

Environmental

Environmental

3

2b

2a

The certificate holder consults and meets the MRL of destination countries

The producer uses crop protection products allowed by UTZ with the least chemical toxicity

All the crop protection products applied are authorized, recommended and of proven effectiveness for pest control

Coffee quality is monitoredwithin the 4C Unit.

Harmful effects of pesticides and otherChemicals used on human health and the environment are minimised.

Use of pesticides is minimised.


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7.A.10

7.A.11




C/P

P

Rotations of active ingredients are implemented

Demonstrate the implementation of more than one measure of integrated pest management.

The producer has and implements an anti-resistance strategy if a crop protection product is applied more than once during the crop cycle.This in order to maintain the effectiveness of the crop protection product.

The producer applies recognized IPM techniques where they are technically feasible. The producer knows and is able to show evidence of implementing at least one of each of the following IPM activities:- prevention, reduction, monitoring and intervention- to reduce pest attacks- use low toxicity products- use biological products where possible


7.A.8

7.A.9

P

C/P

All crop protection products are prepared, mixed and applied according to the label instructions.

The protection of coffee against pests, diseases and weeds is done with the appropriate minimum input of crop protection product. Appropriate means as described by the label.The decision on the minimum amount is documented by written justifications.

Environmental

Environmental

Environmental

2b

2a

2a

All crop protection products are prepared, mixed and applied according to the label instructions.

Dose and enforcement recommendations from the pesticide product label are taken into account. There is a record kept on applications.



Use of pesticides is minimised.AÑO AÑO AÑO AÑO1 2 3 4


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7.B.1

7.B.3

7.B.2

C

P

C/P

The certificate holder has an up to date and complete list of all the crop protection products used and/or stored conforming to 7.A.1 - 7.A.3.

All applications of crop protection products are recorded including:- date of application (date, month, year)- product brand name (trade) and chemical composition (name and concentration of active ingredients)- quantity or volume per hectare, plot or field- first allowed harvest date- re-entry time according to the label- justification for application (common name of disease and pest)- field identification or plot (number or code, location)- method of application and used application equipment- name of the operator- name of the person who recommended the product

The crop protection products that the producer uses and/or stores on the production site are documented conforming to 7.B.1 as well as the intoxication symptoms and first aid information, where these are relevant for the product.The information needs to be updated annually in order to include changes in national crop protection product legislation.

EnvironmentalEconomic

EnvironmentalEconomic

Environmental

2a4

2a4

2b

Keep records on crop protection products used and/or stored

Keep records of type, dose, dates, periods of re-entry and justification of applications, lots, methods and personnel involved in the process

Available documentation on intoxication symptoms and first aid, updated annually.

Use of pesticides is minimised.Record keeing used to monitor production efficiency leads to improved farm performance






7.B Records of application

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7.B.4

7.B.5

P

P

The producer makes all people on the farm aware of the concept of re-entry time.There are also visual methods in place that inform people of the re-entry time.

There are clear instructions in place for persons involved in crop protection product application.It is not allowed to apply crop protection products within 5 meters of water streams.

Social

Environmental

5d

2b

1

5a

Train staff on the concept of re-entry time and identify areas and times in batches with applications

Clear instructions provided to persons involved in crop protection product application, including restriction on application within 5 meters of water streams.

Employer assures properoccupational health andsafety conditions forworkers.


Conservation of biodiversity, including protected or endangered native flora and fauna is supported.







7.C.1 C/P

The producer maintains all the crop protection product application equipment (mechanical or motorized) in good condition to ensure proper functioning.

Social 5d

Maintain all the crop protection product application equipment

Working conditionsAÑO AÑO AÑO AÑO

1 2 3 4

7.C Application equipment

7.C.2 CAnnual equipment calibration

The certificate holder ensures that the crop product application equipment (mechanical or motorized) is calibrated annually.


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7.D Disposal of surplus application mix

7.D.2

7.D.1

7.D.3

P

P

P

Handling of leftover pesticides and water used to wash the tank done according to national standard or quantity, dose, and zones permitted by the UTZ Code



in a manner that it is applied over an untreated part of the crop, as long as the recommended dose is not exceeded and records are kept as if it was a normal application.

according to national legislation where it exists, or in absence according to points 7.D.2 and 7.D.3

in a manner that it is applied on designated fallow land, where legally allowed, and as long as records are kept as if it was a normal application

No relationship

No relationship

No relationship

No relationship

No relationship

No relationship




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7.E.1

7.E.3

C/P

P/S

The producer ensures that all crop protection products are transported safely. Attention is given to minimizing possible danger to people, food products and the environment.

in accordance with the label instructions and with all relevant national, regional and local legislation.

Social

Environmental

5d

2b

Ensure that the transport of crop protection products minimizes the risk for people, food and the environment

Crop protection products stored in accordance with the label instructions and with all relevant national, regional and local legislation.







7.E Transport, storage, handling and mixing

7.E.2

7.E.4

P/S

P/S

Store pesticides according to the crops in which it is used

Products stored must ensure that the contents cannot be spilled. In case of re packaging, the new package should have the information of the original label

clearly identified for the crop they are used for.

in the original containers or packaging and properly closed so that it cannot be spilled.When an original packaging is broken or damaged, and the product is transferred to another packaging, the new package contains all the information of the original label.

No relationship

No relationship

No relationship

No relationship

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AÑO AÑO AÑO AÑO1 2 3 47.E.5 P/S

The crop protection products which are powder or granular are stored above those in liquid form

Which are in powder or granular form above products which are liquid form. No relationship No relationship

7.E.6 P/SStructurally sound and secure. The products are well ventilated and it is ensured that the product labels can be easily read.

Environmental 2b

Storage areas of crop protection products must be structurally sound and secure with restricted access to authorized personnel only.


7.E.7 P/SMade of fire-resistant material such as metal, concrete, steel or brick. Environmental 2b

Fire-resistant storage structures


7.E.8

7.E.9

P/SHave shelves made of non-absorbent material such as plastic, glass or metal.

Kept locked and accessible only to people who can demonstrate formal training in safe handling and use of crop protection products.

Environmental

Environmental

2b

2b

Shelves made of non-absorbent material

Storage areas are kept locked and accessible only to people who can demonstrate formal training in safe handling and use of crop protection products




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7.E.11 P/SSeparated from mill equipment and harvested and processed coffee.

Environmental 2b

Storage areas of crop protection products separated from coffee processing areas


7.E.10 Have a permanent and clear hazard warning sign on or next to the access doors.

Environmental 2b

Permanent and clear hazard warning sign on or next to the access doors.


7.E.12 P/S

Able to retain spillage or are bunded according to 110% of the total volume of the storage. This is to ensure that there cannot be any leakage, seepage or contamination to the exterior of the store.

Environmental 2bStorage structures are able to retain spillage


7.E.13

7.E.14

P

P/S

When mixing the crop protection products there is adequate and appropriate measuring equipment so that handling and filling can be done according to instructions.

When storing and mixing, there are procedures and emergency equipment available to deal with operator contamination and accidental spillage of crop protection products. The procedure and the facilities, visual and permanent, are within 10 meters of the storage.

Environmental

Environmental

2b

2b

Adequate and appropriate measuring equipment for the mix of the crop protection products are minimised.

Procedures and emergency equipment in place to deal with operator contamination and accidental spillage of crop protection products.





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7.F.1

7.F.2

7.F.3

7.F.4

P

P

P

P

The producer does not re-use empty crop protection product containers in any form or manner.

The producer cleans empty crop protection product containers by rinsing them 3 times with water (if available with an integrated pressure-rinsing device on the application equipment).The producer returns the rinsing from washing the empty crop protection product containers to the application equipment tank.After rinsing the containers are perforated to prevent re-use.After rinsing the containers are perforated to prevent re-use.

The producer stores, labels and handles empty crop protection product containers adequately and securely until they are collected.This is done according to the rules of a collection system.If available official collection and disposal systems are used and records participation.

The producer disposes crop protection products through one of the below methods: - an official collection and disposal system OR- conforming to all relevant national regulations OR- in a manner that minimizes exposure and risk to humans, the environment and food products.

Environmental

Environmental

Environmental

Environmental

6

2B

6

62B

Not re-using empty crop protection product containers in any form or manner.

Cleaning empty crop protection product containers by rinsing them 3 times with water and perforating them to prevent re-use

Empty crop protection product containers adequately and securely stored, labelled and handled. An appropriate collection system is implemented for the disposal of empty crop protection product containers.

Final disposal methods of crop protection products conforming to all relevant national regulations

Safe waste management isin place.

Harmful effects of pesticides and other chemicals used on human health and the enviroment are minimised.


Safe waste management isin place.Harmful effects of pesticides and other chemicals used on human health and environment is minimised




7.F Empty Crop Protection Product Containers

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7.G.1

7.G.2

P/S

P/S

The producer stores, labels and handles obsolete crop protection products adequately and securely. The storage area is routinely cleaned and/or disinfected to avoid contamination.

The producer disposes obsolete crop protection products through one of the below methods: - an official collection and disposal system OR- conforming to all relevant national regulations OR- in a manner that minimizes exposure and risk to humans, the environment and food products.

Environmental

Environmental

2b

6

2b

6

The storage area is routinely cleaned and/or disinfected. The producer stores, labels and handles obsolete crop protection products adequately and securely.

Official system implemented, in accordance to national regulations, to minimize exposure and risk to humans, the environment and food products.






7.G Obsolete Crop Protection Products

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HarvestingChapter 8 Control points aiming to preserve quality of harvested coffee, minimizing risks for human health.

Good hygiene practices during harvest are of crucial importance to prevent mould formation (OTA) and consequent negative effects on the final cup quality of coffee and the health of final consumer.




8.A.3 P

To prevent mould formation, the producer minimizes at all times contact of the harvested coffee cherries with any possible sources of fungal contamination.

Económico 3

Ensuring the safety of harvest, post harvest and temporary storage areas. Train staff to reduce risks of contamination of coffee berries.



8.A Harvesting risk analysis

8.A.1

8.A.2

C

C

Hygiene and food safety risk analysis performed annually

Implement an action plan to ensure hygiene and food safety. A person must be designated as responsible for the plan implementation.

The certificate holder conducts a hygiene and food safety risk analysis concerning harvest activities.The analysis is reviewed annually.

Based on the risk analysis (8.A.1), the certificate holder makes and implements an action plan on how to assure hygiene and food safety during the harvest.The person responsible for implementation is identified in this plan.

No relationship

No relationship

No relationship

No relationship

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8.B Harvested coffee measurements

8.B.1 P

Weights calibrated annually

The producer ensures that the tools used to define the weight or volume of harvested coffee is calibrated or graduated annually.


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Post-harvest Product HandlingChapter 9 It looks for an adequate product handling

during post-harvesting, preserving quality and minimizing risks for human health.

Good hygiene practices during post-harvest handling services are of crucial importance to prevent mould formation (OTA) and consequent negative effects on the final cup quality of coffee and the health of final consumer.




9.POST-HARVEST PRODUCT HANDLING

9.A.1

9.A.2

C

C

Annual hygiene and food safety risk analysis

Implement an action plan to ensure hygiene and food safety in post-harvest handling facilities. A person is designated as responsible for the plan.

The certificate holder conducts a hygiene and food safety risk analysis concerning post-harvest product handling facilities.The analysis is reviewed annually.

Based on the risk analysis (9.A.1), the certificate holder makes and implements an action plan on how to assure hygiene and food safety in post-harvest handling facilities. The person responsible for implementing is identified in this plan.

No relationship

No relationship

No relationship

No relationship

9.A.3 C

The certificate holder keeps post-harvest handling facilities and equipment clean and maintained so as to prevent fungal, chemical contamination and loss of quality.

Económico 3

Ensuring the safety of temporary storage areas, harvest and post harvest. Train personnel to reduce the risk of fungal contamination or chemical residues from coffee berries.

Coffee quality is monitoredwithin the 4C Unit.AÑO AÑO AÑO AÑO

1 2 3 4

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9.A.4 C/P

Restrict the access of animals and vehicles to post harvest processing facilities.

The certificate holder restricts the access of animals and vehicles to prevent contamination. All entry points to buildings or equipment which may come in contact with animals are adequately protected to prevent entry.


9.A.5 C

The producer or certificate holder (re-)uses coffee by-products such as pulp, hull, husk and parchment as fertilizer, mulch or energy source as much as possible.If possible, solids from the water filtering system are re-used as fertilizer.

Environmental

4b

7a

Coffee by-products properly used, preferably as fertilizer.

Organic mattermanagement is in place.

The use of renewableenergy sources ismaximised and evident.

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9.B Wet method

9.C Dry method

9.B.2 C

Use clean water for pulping, washing and fermenting coffee.

The certificate holder only uses clean water for pulping, washing and fermenting coffee. No relationship No relationship

9.B.1

9.B.3

C

C

The certificate holder makes and implements a water action plan.The objective of this water action plan is to (re-) use water efficiently and to minimize the amount of water used in the process.

The certificate holder treats the contaminated water coming out of the wet processing unit to minimize the impact on environment, water streams and sources.

Environmental

Environmental

5a

5b

A water action plan for the efficient use of water must be implemented in the farm

Treatment of the contaminated water coming out of the wet processing unit must be in place to reduce the Environmental negative impact

Water resources areconserved.

Wastewater management isin place.






9.C.1 C/P

During the drying process, the producer implements measures to minimize fungal contamination

To prevent mould formation the producer minimizes at all times contact of drying coffee cherries with any possible source of fungal contamination.


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9.D Milling, storage and transport

Implement actions to ensure that during the storage of coffee, proper moisture and hygiene management is in place.Also applicable for the mill.

Implement actions to prevent dried coffee beans from getting wet during loading and transportation.

No relationship

No relationship

No relationship

No relationship

9.D.1

9.D.3

9.D.2

P

C

P

The producer assures that during the storage of coffee, proper moisture and hygiene management is in place.This also applies for the mill.

The certificate holder prevents dried coffee beans from getting wet during loading and transportation.

The producer uses reliable techniques to measure the humidity percentage of dried green coffee beans. The equipment or tools to determine the humidity of the coffee are calibrated. Documents are kept.

Economic 3

Humidity measurement by management entity and calibration of equipment.




PART 3Social and environmental dimensions

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WORKER RIGHTS, HEALTH AND SAFETY

Chapter 10 This chapter deals with issues on health, safety and welfare of group members and workers.




10.A Risk management for working conditions

10.A.1

10.A.2

10.A.3

C

C

C

The certificate holder conducts a worker health and safety risk assessment of the production and/or processing units.

Based on the risk assessment (see 10.A.1), the certificate holder makes and implements an action plan promoting healthy and safe working conditions in all production and/or processing units.

The certificate holder appoints a person responsible for coordinating the training and the raising of awareness on labor rights.

Social

Social

Verification rule

5d

5d

7.11

conduct risk analysis on the health and safety of workers in the production and / or processing units. Written document.

implement action plan to promote safe and healthy working conditions in all production and / or processing units. Written action plan (document). Socialize with all producers

A person responsible for coordinating the training and raising of awareness on labor rights must be appointed.




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10.A.4 C

The certificate holder has regular meetings between the responsible person and group members/workers where concerns about health, safety and welfare are discussed openly. Records of these meetings are kept.

Social 5d

A regular meeting schedule must be established, documented and filed.


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10.B.3 C

El titular del certificado se asegura de que siempre esté disponible al menos una persona capacitada en primeros auxilios en las instalaciones centrales, cuando se estén realizando tareas de producción, procesamiento o mantenimiento.

Social 5d

Al menos una persona capacitada en primeros auxilios donde se realizan tareas de producción, procesamiento o mantenimiento.

El empleador asegura condiciones apropiadas de salud y seguridad ocupacional a los trabajadores.




10.B Salud del trabajador y su capacitación en seguridad

10.B.1

10.B.2

C/P

C

Con base en el análisis de riesgos (10.A.1), los miembros/trabajadores del grupo reciben una capacitación adecuada en procedimientos de salud y seguridad. Esta capacitación incluye la manipulación de sustancias peligrosas y/o maquinaria o equipos complejos o peligrosos.Dicha capacitación debe repetirse a los nuevos miembros/trabajadores del grupo o a aquellos reasignados a estas labores.

El titular del certificado mantiene actualizados los registros de capacitación.Estos registros indican la fecha, tipo y tema de la capacitación.

Social

Social

5d

5d

Capacitación en temas de manejo de sustancias peligrosas y maquinaria - equipos. Diligenciar formato de capacitación.

Mantener los registros de capacitación actualizados. Con datos de fecha, el tipo y tema de la capacitación.




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10.C Worker health and safety facilities and accident procedures

10.C.1 C

The certificate holder makes First Aid boxes (with materials before expiry date) available and accessible at all central and processing locations.

Social 5d

Deliver required training in first aid, health and safety. Locate the first aid kits (with products before expiry date) in easily accessible central and processing locations.



Establish written accident and emergency procedure describing:- farm’s map reference or farm address; - who the contact persons are; - how to act in these situations - the location of communication means - an up-to-date list of emergency phone numbers.

Establish an accident and emergency procedure to the issue of HIV/AIDS prevention.

No relationship

No relationship

No relationship

No relationship

10.C.2

10.C.3

C

C

The certificate holder has a clearly written accident and emergency procedure describing: - farm’s map reference or farm address; - who the contact persons are; - how to act in these situations; - the location of communication means - an up-to-date list of emergency phone numbers.

The certificate holder pays attention in the accident and emergency procedure to the issue of HIV/AIDS prevention.

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Establish training / communication plan to all workers / group members on accident and emergency procedure ensuring all permanent workers and supervisors understand it.- Keep records on training / communication plan to all workers / group members.

Place sign indicating all potential hazards on central and processing locations with clear and permanent warning signs and symbols.

Establish a written procedure in accident, emergency and special precautions for workers with disabilities to ensure their health and safety in the workplace.

No relationship

No relationship

No relationship

No relationship

No relationship

No relationship

10.C.4

10.C.5

10.C.6

C

C

C

The certificate holder makes sure that the permanent workers and supervisors of seasonal workers understand the accident and emergency procedure conforming to 10.C.2. The certificate holder clearly and visually displays the accident and emergency procedure at all the central and processing locations.

The certificate holder indicates all potential hazards on central and processing locations with clear and permanent warning signs and symbols.

Special provisions are to be taken for workers with a disability to ensure their health and safety in the workplace.

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10.D.3 PProtective clothing and equipment are stored separately from crop protection products and in a well-ventilated area.

Social 5d

Protective clothing and equipment to be stored separately from crop protection products and in a well-ventilated area.

Clearly indicate in protective clothing and equipment storage area that it is regularly cleaned. If damaged beyond repair, it is disposed of.

Employer assures proper occupational health and safety conditions for workers.




10.D Crop protection product handling, clothing & equipment

10.D.1

10.D.2

P

P

All group members/workers that apply hazardous crop protection products wear suitable protective clothing and equipment that is in good state of repair.For home made and/or traditional products this is done whenever they pose a health risk.

The certificate holder ensures and is able to demonstrate that all group members/workers involved properly use the protective clothing and equipment when handling or applying crop protection products.

EnvironmentalSocial

EnvironmentalSocial

2b

5d

2b

5d

Keep records of crop protection products applications including name of the person who applied the products and made use of protective clothing and equipment.

Establish policy on the use of protective clothing and equipment.

SHarmful effects of pesticides and otherchemicals used on human health and the environment are minimised.







AÑO AÑO AÑO AÑO1 2 3 4 No relationship No relationship 10.D.4 P

Protective clothing is regularly cleaned. If damaged beyond repair, it is disposed of.Single-use items have to be disposed after one use.

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Establish written procedure for workers and group members accidents and emergency who frequently apply hazardous crop protection products to have a medical check-up every year.

No relationship No relationship 10.D.5 C

The certificate holder has all group members/workers who frequently apply hazardous crop protection products checked for their health annually.

10.D.6 PPregnant and breastfeeding women and persons under 18 years do not handle or apply crop protection products.

4C Unacceptable practice No. 1

1

EA written policy must exist ensuring that pregnant and breastfeeding women and persons under 18 years do not handle or apply crop protection products. The policy must be divulged.


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Establish training / communication plan to all workers / group members on basic hygiene.- Keep records on training / communication plan to all workers / group members on basic hygiene.

According to the characteristics of the properties and availability of resources, the certificate holder provides all the group members/workers access to hand washing facilities /equipment and toilets facilities in the vicinity of living and eating sites and where necessary at the work sites.

No relationship

No relationship

No relationship

No relationship

10.E.1

10.E.2

C

C

The certificate holder instructs all group members/workers on basic hygiene. The hygiene instructions are visibly displayed: provided by way of clear signs (pictures) or in the predominant language(s) of the workforce.

The certificate holder provides all the group members/workers access to hand washing facilities /equipment and toilets facilities in the vicinity of living and eating sites and where necessary at the work sites.

10.E Hygiene and housekeeping

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Establish a procedure to implement adequate pest control measures to prevent pests from coming into communal eating and living sites, as well as all production and processing locations.Traps are identified with records.

No relationship No relationship 10.E.3 C

The certificate holder implements adequate pest control measures to prevent pests from coming into communal eating and living sites, as well as all production and processing locations.Traps are identified with records.


10.E.4 C

The certificate holder ensures that the production, processing locations as well as communal eating and living sites, are free of litter and waste.The certificate holder provides designated areas to dispose/store all types of litter and waste, identifying and separating different types of litter and waste.

Establish actions to ensure that the production, processing locations as well as communal eating and living sites, are free of litter and waste. Furthermore, areas must be provided to dispose/store all types of litter and waste, identifying and separating different types of litter and waste.


EnvironmentalSocialPractica Inaceptable No. 6

6

7

6


4C Units work towards improving living conditions and support the basiceducation of Business Partners and workers.

Failure to provide adequate housing where required by workers.

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Establish a filing system to keep records with a clear overview of the workers (including seasonal workers and subcontractors).For permanent workers, the minimum records the overview contains are full names (gender), date of birth or age, date of entry, the period of employment. For seasonal workers, the minimum records the overview contains are number of seasonal workers, date of birth or age, wages and payment.

No relationship No relationship 10.F.1 C

The certificate holder has records with a clear overview of the workers (including seasonal workers and subcontractors).For permanent workers, the minimum records the overview contains are full names (gender), date of birth or age, date of entry, the period of employment. For seasonal workers, the minimum records the overview contains are number of seasonal workers, date of birth or age, wages and payment.

10.F Worker’s rights


10.F.2

10.F.3

Freedom of association and the right to collective bargaining

C

C

All workers have the right to establish and/or join an organization of their choice. The certificate holder and the group members do not in any way block effective functioning of such organizations. Representatives are not subject to discrimination and have access to their members in the workplace.(Ref. ILO Convention 87 on Freedom of Association)

TAll workers have the right to perform collective bargaining.

(Ref. ILO Convention 98 on Right to Organize and Collective Bargaining)

Social

Social

1

2

Establish as group policy that all workers have the right to establish and/or join an organization of their choice and be represented by it. The policy must be divulge.

Establish as group policy that all workers have the right to perform collective bargaining. The policy must be divulge.

Workers and producershave the right to found, tobelong to and to berepresented by anindependent organisationof their choice.

Workers have the right tobargain collectively



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10.F.4

10.F.5

Forced labor

Child labor

C/P

C/P

The certificate holder and members do not use forced, bonded or involuntary labor. The certificate holder and members do not require workers to leave deposits or their identity papers with them or retain any part of the workers salary, benefits or property to force workers to remain on the farm.Workers are free to leave the employer after reasonable notice. Spouses and children of contracted workers are not obliged to work on the farm.(Ref. ILO Convention 29 on Forced Labor and 105 on Abolition of Forced Labor)

Children or minors (below 18) do not conduct hazardous work or any work that jeopardizes their physical, mental or moral well being.They do not work in dangerous locations, in unhealthy situations, at night, or with dangerous substances or equipment, nor do they carry heavy loads.They are not exposed to any form of abuse and there is no evidence of trafficked, bonded or forced labor.



2

1

A group policy must be established stating that the certificate holder and members do not use forced, bonded or involuntary labor. The certificate holder and members do not require workers to leave deposits or their identity papers with them or retain any part of the workers salary, benefits or property to force workers to remain on the farm.

A group policy must be established stating that children or minors (below 18) do not conduct hazardous work or any work that jeopardizes their physical, mental or moral well being.They do not work in dangerous locations, in unhealthy situations, at night, or with dangerous substances or equipment, nor do they carry heavy loads.



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10.F.6

Discrimination

Working hours

C/P

Children under 15 years are not employed as permanent and seasonal workers. If local legislation has established a higher minimum age, this higher age applies.(Ref. ILO Convention 138 on Minimum Age and 182 on Child Labor).

Right to childhood and

education4

A group policy must be established stating that children under 15 years are not employed as permanent and seasonal workers. If local legislation has established a higher minimum age, this higher age applies.


10.F.7

10.F.8

C

C

The certificate holder / members do not engage in discrimination in hiring, remuneration, access to training, promotion, termination and benefits on the basis of gender, race, caste, ethnicity, color, sexual orientation, union membership, marital status, national origin, disability, religion or political opinion.(Ref. ILO Convention 111 on Discrimination).

The maximum number of weekly normal working hours is 48 or less if so determined by national or local legislation or a collective bargaining agreement.The certificate holder records the working hours per worker.(Ref. ILO Convention 1 on Hours of Work).

Social

Social

3

5b

Establish as group policy mechanisms to ensure equal rights with respect to gender, maternity,religion, ethnicity, physical conditions and political views. Aspect to be socialized and divulged amongst all group members and workers.

A work schedule must be established and made visible in notice boards. Records of working hour per worker must be kept.

Equal rights with respectto gender, maternity,religion, ethnicity, physicalconditions and politicalviews are secured.

Working hours complywith national laws /international conventionsand/or collectivebargaining and overtime isfully remunerated.



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10.F.9

10.F.12

C

P

Overtime work is:- at all times voluntary and- paid according to legal or sector standards and- does not exceed 12 hours per week and- is not demanded at a regular basis.Workers are entitled to at least one day off in every seven-day period.

Workers (permanent and seasonal) are paid gross wages that comply with national legislation and sector agreements, whichever is higher.Deductions from wages for disciplinary purposes are not made.

Social

Social

5b

5c

Establish working hours complywith national laws / international conventions and/or collective bargaining and overtime fully remunerated.

Work regulations must be established and must include working conditions in accordance with established national laws, international conventions and / or collective bargaining including wages and contracts.

Working hours complywith national laws /international conventionsand/or collectivebargaining and overtime isfully remunerated.

Wages comply with national laws or sector agreements.




The internal work regulation must comply with the provisions of national laws, international conventions and / or collective bargaining.

Internal work regulation must describe work conditions established in accordance to the provisions of national laws, international conventions and / or collective bargaining including overtime.

No relationship

No relationship

No relationship

No relationship

10.F.10

10.F.11

C

C

No worker works for more than five hours before having a break for at least half an hour.In addition, a woman resuming her work after child birth is entitled to two breaks daily, for an agreed period of time according to legal or sector standards.

When overtime is required, workers are notified timely. Workers working overtime have access to safe transportation home following overtime shifts.

Wages and contracts

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10.F.14 C

Wages (incl. from overtime) are recorded and clear to workers and paid in a manner convenient to them.Additionally, for permanent workers there are employment agreements/contracts providing comprehensive information about their employment conditions, including a detailed composition of wages and benefits.

Social

5b

5a

Work regulations must be established and must include working conditions in accordance with established national laws, international conventions and / or collective bargaining .

It must state that the contract may be written for permanent workers.

EWorking hours comply with national laws / international conventionsand/or collective bargaining and overtime is fully remunerated.

Workers receive a labourcontract.



Establish and divulge a group policy indicating that equal work is remunerated with equal pay.

Work regulation must be in place establishing work conditions provided according to the provisions of national laws, international conventions and / or collective bargaining including all maternity entitlements and protection.

No relationship

No relationship

No relationship

No relationship

10.F.13

10.F.15

C/P

C

Equal work is remunerated with equal pay.(Ref. ILO convention 100 on Equal Remuneration).

Workers receive all maternity entitlements and protection in line with national law and practice. Maternity leave does not result in any discrimination, loss of seniority or deductions of wages.

Maternity and child care provisions

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10.F.16 C/P

The certificate holder and the staff do not engage in the use of corporal punishment, mental or physical oppression and coercion, verbal or physical abuse, sexual harassment or any other kind of intimidation at the workplace.

Social 3

Establish as group policy mechanisms to ensure the staff do not engage in the use of corporal punishment, mental or physical oppression and coercion, verbal or physical abuse, sexual harassment or any other kind of intimidation at the workplace.

Equal rights with respectto gender, maternity,religion, ethnicity, physicalconditions and politicalviews are secured.



Policy to stimulate the participation of groups

Establish and divulge a group policy indicating that the certificate holder allows on-site living families to freely perform cultural expressions like wearing typical clothing, music, language, typical food and handicrafts.

No relationship

No relationship

No relationship

No relationship

10.F.17

10.F.18

C

C

The certificate holder stimulates the equal participation of disadvantaged/ minority groups within the company, particularly with respect to recruitment, staff and a committee membership.

The certificate holder allows on-site living families to freely perform cultural expressions like wearing typical clothing, music, language, typical food and handicrafts.

Respectful treatment of workers

Clearly identify, delineate and preserve areas of social, cultural or religious significance on his/her farm. A policy must be established on this regard.

No relationship No relationship 10.F.19 C

The certificate holder needs to clearly identify, delineate and preserve areas of social, cultural or religious significance on his/her farm.

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10.G Employment of workers

10.G.1

10.G.2

10.G.3

10.G.4

Housing

Education

C

C

C

C

For all workers that live on the production or processing site, the certificate holder provides clean and safe living quarters (which can be locked).Special attention is paid to hygienic sanitation and safe drinking water.

The certificate holder provides living quarters with divisions between families and, if possible, with access to electricity.

The certificate holder stimulates primary education of on-site living children of workers who have the age to go to primary school.The methods, such as awareness raising meetings, with their parents are documented.

If transport to school is not provided by the government or the parents, the certificate holder facilitates safe transport to school for on site living children of workers if the school is too far away to walk, or provide recognized education of the same level.



Social

Social

6

6

4

4

For all workers that live on the production or processing site, the certificate holder must provide clean and safe living quarters (which can be locked).Special attention is paid to hygienic sanitation and safe drinking water.

The certificate holder must provide living quarters with divisions between families and, if possible, with access to electricity.

A policy should be established to encourage primary education for the children of workers living on the farm and in school age. Divulge policy.

If the school is too far away to walk and school transport is not provided by the government or parents, the certificate holder provides safe transport to school for the children of workers living on the farm.

Children have the right tochildhood and education.



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10.G.5

10.G.6

C

C

SIf the certificate holder provides on-site schooling, it is in a safe and suitable building, with qualified teachers. Attendance of children is recorded.

The certificate holder stimulates ongoing training and education of on site living workers and their families, motivating students who graduate from primary school to keep on studying and motivating alphabetization of workers.

Social

Social

4

7

For farms that provide education, care for children is documented. Documents must be filed.

Establish a policy defining the mechanisms to motivate workers to continue studying or to become literate. Divulge the policy.


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Establish and divulge a group policy indicating that access must be provided emergency health care and regular primary health care to all workers and their families, including maternal health care.

Establish educational programs of hygiene, nutrition and other issues that improve the general health of on-site living workers and their families.Keep records of these training activities.

Written procedure for responding to accident and emergency related to HIV / AIDS. Design training plan and keep records of training sessions.

No relationship

No relationship

No relationship

No relationship

No relationship

No relationship

10.G.7

10.G.9

10.G.8

C

C

C

The certificate holder provides access to emergency health care and regular primary health care to all workers and their families, including maternal health care.(Ref. ILO Convention 184 on Safety and Health in Agriculture).

The certificate holder informs all workers/group members on issues related to HIV/AIDS and on HIV/AIDS prevention.

The certificate holder stimulates educational programs of hygiene, nutrition and other issues that improve the general health of on-site living workers and their families.

Asistencia médica

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Natural Resources and Biodiversity

Chapter 11 Natural resources and biodiversity: issues on risk management and conservation of water sources, forests and fauna, among others.

Note that pesticide, fertilizer handling and soil erosion are covered in the previous chapters. Waste and pollution prevention is addressed in other points throughout the Code.




Risk assessment on Environmental impacts.Environmental.

Design and implement an action plan to address Environmental risks identified in risk assessment. Actions must be documents.

No relationship

No relationship

No relationship

No relationship

11.A.1

11.A.2

C

C

EThe certificate holder conducts a risk assessment on Environmental impacts.The assessment is regularly reviewed and kept up to date.The assessment can be done regionally and can be conducted by an external party.

Based on the risk assessment on Environmental impacts (11.A.1), the certificate holder makes and implements an action plan how to address these Environmental risks. Implemented actions are documented.

11.A. Risk-management and conservation

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11.A.3

11.A.4

C

C/P

The certificate holder has a conservation plan or participates in a regional biodiversity or forest management plan.

The producer assesses the possibilities of product diversification as a way of making the coffee production more sustainable.The producer takes into account what the effect is on the quality and quantity of the coffee.

Environmental 1a

EA conservation plan must be developed. On the contrary, participation in a regional management plan or forest biodiversity must be proved. Records of verification are necessary.

Establish and divulge a policy to stimulate product diversification as a way of making the coffee production more sustainable.



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11.B Water sources

11.C Forest and biodiversity

CONTROL POINT

CONTROL POINT

Level of inspection

Level of inspection

GREEN

GREEN

YELLOW

YELLOW

RED

RED





YEARS

YEARS

DIMENSION

DIMENSION

PRINCIPLE

PRINCIPLE

No.

No.

No.

No.

11.B.1

11.C.1

11.B.2

P

C/P

P

The producer protects and conserves all the water streams and sources (incl. ground water) on the farm from contamination and pollution.

Degradation and/or deforestation of primary forest is prohibited.The producer demonstrates that there has been no degradation and/or deforestation of primary forest in the 24 months prior to the date of first registration with UTZ CERTIFIED.

The producer allows a strip of native vegetation to grow along water streams to control erosion, filter out agrochemicals and protect the wildlife habitat.

Environmental


Environmental

5a

8

1

5a

The producer must implement actions to protect and preserve all the water streams and sources in the farm.

A group policy must be established stating that degradation and/or deforestation of primary forest is prohibited. The policy must be divulged.

A strip of native vegetation must be allowed to grow along water streams to control erosion, filter out agrochemicals and protect the wildlife habitat in the farms.

Water resources areconserved.






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Establish and divulge a group policy indicating that the producer does not plant new coffee on land that is not classified as agricultural land and/or approved for agricultural use.

Establish and divulge a group policy indicating that deforestation of secondary forest is only allowed if complied with all of the following: - legal land title is available - government permits are available (if required) - there is compensation with at least equal ecological value, to be confirmed by an independent expert report.

No relationship

No relationship

No relationship

No relationship

11.C.2

11.C.3

C/P

C/P

The producer does not plant new coffee on land that is not classified as agricultural land and/or approved for agricultural use.

Deforestation of secondary forest is only allowed if complied with all of the following: - legal land title is available - government permits are available (if required) - there is compensation with at least equal ecological value, to be confirmed by an independent expert report.

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Establish and divulge a group policy indicating that when using wood for drying of coffee, the producer obtains this wood from managed forests or from the pruning of crops or shade trees, and not from native forests, unmanaged community forests, borders of waterways and other sources of water or protected areas.

Establish and divulge a group policy indicating that the producer must use shade trees whenever this is compatible with the local coffee production practices

Establish and divulge a policy outlining that the producer must, whenever possible, re-forests and stimulates ecological restoration of areas that are not used for agricultural production.

No relationship

No relationship

No relationship

No relationship

No relationship

No relationship

11.C.4

11.C.5

11.C.6

P

C/P

P

When using wood for drying of coffee, the producer obtains this wood from managed forests or from the pruning of crops or shade trees, and not from native forests, unmanaged community forests, borders of waterways and other sources of water or protected areas.

The producer uses shade trees whenever this is compatible with the local coffee production practices and takes into consideration the productivity.

The producer re-forests and stimulates ecological restoration of areas that are not used for agricultural production on the farm as much as possible.

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Establish and divulge a group policy indicating that coffee production does not take place in protected areas. Coffee production does not take place in the immediate vicinity (2km).

Establish and divulge a group policy applicable to coffee production in the immediate vicinity (2km) of a protected area or biological corridor , indicating that the certification holder must be in contact with the park authorities.

No relationship

No relationship

No relationship

No relationship

11.C.7

11.C.8

P

C

Coffee production does not take place in protected areas.Coffee production does not take place in the immediate vicinity (2km) of these areas if this is not allowed in the official management plan for the area.

If coffee production is in the immediate vicinity (2km) of a protected area or biological corridor, the certification holder is in contact with the park authorities.

11.C.9 C/P

The certificate holder has information about the threatened and endangered species, known or likely to be, present in the production area.The producer protects such species and their habitats and restricts hunting, trafficking or commercial collection of such species and habitats.

Environmental 1a

Actions to allow the conservation of biodiversity - including protected orendangered native flora and fauna - must be implemented. A list of identified species must exist.


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11.D Energy sources and use




11.D.1

11.D.2

11.D.3

11.D.4

C

C/P

C/P

C/P

The certification holder records and monitors the use of energy in production and processing.

The producer demonstrates that measures are taken to use energy more efficiently on the farm.

The producer uses renewable energy sources on the farm whenever possible in terms of space and safety and when climate permits to do so.

The producer uses the by-products of coffee growing and processing (pulp, hulls, husk and parchment) as fertilizer, compost, mulch or energy source (for machine drying).

Environmental

Environmental

7b

7b

7a

4b7a

Mechanisms to register and monitor the use of electricity during production and processing must be implemented on the farm. Monthly energy bills can be used.

Mechanisms must be put in place to ensure measures are taken to use energy more efficiently on the farm. Measures must be documented.

Mechanisms must be put in place for the use of renewable energy sources on the farm whenever possible. Actions and mechanisms must be documented.

Establish a group policy for the use of the by-products of coffee growing and processing (pulp, hulls, husk and parchment) as fertilizer, compost, mulch or energy source (for machine drying).

Saving Energy

Saving Energy

Preferential use ofrenewable energy.

Organic mattermanagement is in place.Preferential use ofrenewable energy.

Environmental

Environmental