Utz 4c stepping up materials

Stepping-up from 4C Compliance to UTZ Certification

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 Coffee Community) business partners to Stepping-upto the UTZ Certification. In order to increase possibilities of improving farmers’ and workers’ income, but preserving environmental resources and improving education and working conditions through sustainable criteria.

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!

Sustainability Pillars • 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.

Did you know that?

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.”

Together we’ll achieve the goals set by us.

Income

World

Economic

Environment

People Social 3

Sistema de Calificación: El semáforo

Definition of Common Code for the Coffee Community 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.

Rojo

4C Code Matrix

a)

Amarillo

Code structure

b)

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

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.

Social Dimension

UNACCEPTABLE PRACTICES

10

Economic, Environmental, Social

CODE MATRIX AND INDICATORS

Principles (28)

Criteria (84)

Indicators for 4C Unacceptable Practices

Social, environmental and economic

MULTIPROPOSITOS

Mantenga libre este lugar

1. Freedom of association 2. Freedom of bargaining 3. Discrimination 4. Right to childhood and education 5. Working conditions 6. Capacity and skill development 7. Living conditions and education

Principles specification categorized as follows:

Indicators (100+)

compra de cafÉ

EXTINTOR

Categories

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

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

Environmental Dimension Economic Dimension 1. Conservation of Biodiversity 2. Use and handling of chemicals 3. Soil Conservation 4. Soil Fertility and nutrient management 5. Water 6. Waste 7. Energy

Criteria or evaluation

Red

Yellow

Green

1. Market information 2. Market access 3. Quality 4. Record Keeping 5. Commerce 6. Traceability

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

Verde

c)

Refleja una práctica deseable y/o aceptable.

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

PARTE 1

PART 1 Traceability and Management Capítulo 1

UTZ CERTIFIED Definition Es 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.

PARTE 2

Structure of the UTZ CERTIFIED Good Inside Code of Conduct The 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.

Year 1

Control Point 1 P (Producer)

Year 2

AÑO

Year 3

Year 4

AÑO

AÑO

AÑO

1

2

3

4

Control Point 2 C (Certificate Holder)

AÑO

AÑO

AÑO

AÑO

Control Point 3 N (Nursery)

AÑO

AÑO

AÑO

AÑO

1

3

2

1

Control Point 4 C/P

Control Points

2

AÑO

3

AÑO

1

AÑO

2

3

Mandatory control points increase; this means that every year the required control points for the certification also increase.

4

Additional control points. Besides the mandatory control points, a defined number of additional control points (not shaded) must be complied with.

4

AÑO

4

Year 1

Year 2

Year 3

Year 4

Mandatory

103

126

136

140

Additional

72

49

39

35

Total

175

175

175

175

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

Chapter 7 Trazabilidad, identificación del producto y separación: incluye los puntos de documentación del flujo del Chapter 1 Crop Protection (Phytosanitary) Products: it enables a safe use of crop café, administración de documentos, separación del café y sistema para tomar muestras que permite un mejor Traceability, product identification and separation: Includes the points of protection products, implementing at the same time practices to ensure seguimiento control del producto. coffee flow documentation, administration ofydocuments, separation of their effectiveness. coffee and a system in place to keep samples allowing a better product control and monitoring.

Chapter 8 Harvesting: Control points aimed at preserving quality of harvested coffee, Capítulo 2 Chapter 2 minimizing food safety risks.

Sistema de administración, archivo de registros y autoinspección: relacionado con el archivo de registros e Management system, record keeping and self-inspection: identificación de la finca,self-inspection, autoinspección y responsabilidad y transparencia.

Related to record keeping and farm identification, Chapter 9 accountability and transparency. Capítulo 3 Post-harvest product handling: suitable post-harvest product handling, preserving and un minimizing food safety risks.

Variedades y patrones: relacionado con la selección de la variedad adecuada paraquality establecer cultivo productivo.

Buenas Prácticas Agrícolas

PARTE 3

Aspectos sociales y ambientales

Capítulo 10 PART 2 Capítulo 4 Derechos, salud y seguridad de los trabajadores: Manejo de suelos: medidas que permiten hacer un uso sostenible del suelo. condiciones laborales, salud y derechos de los trab Good Agricultural Practices PART 3 Capítulo 5 Uso de Fertilizantes: enfocado a hacer un uso seguro de los fertilizantes, de environmental forma tal que se les dimensions pueda Chapter 3 Social and aprovechar al máximo.

Varieties and rootstocks: related to selection of the adequate variety for a

A control point is an activity that must be developed by the farmer in a designed time. E.g.: Chapter 1 -2

Trazabilidad y administración

AÑO

1

AÑO

1

productive crop.

Chapter 10 Testimonio de los beneficios de la implementación:Capítulo 6 Capítulo Worker rights, health and safety: issues on risk11management for working KENYA: Rianjagi Farmers Society Ltd. Irrigación: relacionado con el uso racional y eficiente del agua.

ChapterCooperative 4 conditions, worker health and rights. Recursos naturales y biodiversidad: puntos rela Capítulo fuentes de aguas, bosques, fauna, entre otros.

SoilUTZ, management: practices which allow for7a sustainable use of soil.

“Con la Certificación el porcentaje de pago a los agricultores ha Productos Fitosanitarios: permite hacer un uso seguro de los productos fitosanitarios, al mismo tiempo que se Chapter 11 aumentado debido a los ingresos adicionales percibidos por mejor implementan medidas para garantizar su efectividad.

Chapter 5 Natural resources and biodiversity: issues on risk management and calidad del producto, las primas y los ahorros por economías de escala.”

Fertilizer Use: focused on the safe use of fertilizers, so that they can be used conservation of water sources, forests and fauna, among others.

Capítulo 8 optimally.

“La calidad del producto ha mejorado: el porcentaje de la prima recibido Cosecha: puntos de control tendientes a conservar la calidad del café cosechado, minimizando los riesgos a la inocuidad. a permitido obtener precios más altos por el producto vendido.”

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

Testimonio de los beneficios de la implementación: B COLOMBIA: Cooperativa Anserma L Guía de Implementación UTZ CERTIFIED · Código de Conducta para Café 10 de 72 Omar Orozco) (Ingeniero agrónomo p El uso de la sombra y el cultivo intercalado con lo Testimonio de los beneficios de la implementación: plátano, permite una reducción de hasta el 25% de la VIETNAM - Phuoc An Company GUATEMALA: Cooperativa San José El Obrero-Fedecocagua L cantidad de fertilizante químico que se debe aplicar “Ahora con UTZ sea las aplican los Cuando comencé el proceso de certificación UTZ, tenía una plantas de café.“ fertilizantes de acuerdo al potencial del producción de 50 libras de café por cuerda (0,04 hectáreas), ahora “La certificación rendimiento, asegurando suficientes permite la producción conservando el estoy produciendo 75 libras de café, pero mi meta es mejorar mi V medio ambiente“ nutrientes para los árboles de café. productividad aún más.

Explanation of the Guide Structure The 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 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.

e. UTZ Certified Structure by Chapter For each Chapter the structure is similar to that used in the correlation matrix as follows:

Summary of the general structure:

No.

CONTROL POINT

Responsible party and evidences Section (Part 3)

4C Section (Part 2)

UTZ Section (Part 1)

Level of inspection

YEARS

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.

AÑO Estates identify the coffee fields with a unique name, number, 1 code or specific color on all the records.

AÑO

2

AÑO

3

Dimension

AÑO

4

The producer physically identifies all coffee fields with permanent signs.

COMPLIANCE AGAINST UTZ GREEN YELLOW RED

Principle

Actions to implement

The map must fully detail the use of the land.

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

No relationship

No relationship

Physically identify all coffee fields with permanent signs.

• UTZ Section (Target level) b. For the evidences supporting the compliance with a control point.

It indicates the UTZ structure.

Stepping-up from 4C Compliance to UTZ Certification

Record keeping

6

No.

Implementation

Level of inspection

YEARS

CONTROL POINT The certificate holder has an overview map of the production

Documentation

area. This map has to include the coffee areas with aggregated planted areas and nurseries, protected areas, water streams and sources and human settlements.

c. Levels of compliance

Estates identify the coffee fields with a unique name, number, code or specific color on all the records.

Compliance. No need to carry out additional actions.

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

No relation.

1

AÑO

2

AÑO

3

AÑO

4

Mandatory Control Point and year of compliance.

The producer physically identifies all coffee fields with permanent signs.

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

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

AÑO

UTZ Control Point For the meaning refer to UTZ Code.

Additional Control Point and year of compliance.

• 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.

Column showing the 4C Code components.

Actions required to comply with the UTZ Code

Compliance with 4C Code against UTZ

Dimension

Environmental

No.

Principle

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

Compliance against UTZ certified

GREEN YELLOW

RED

Actions to implement

The map must fully detail the use of the land.

No relationship

Column linked to a UTZ Control Point similar to 4C.

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.

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

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.

Column linked to a UTZ Control Point to indicate the compliant actor.

Stepping-up from 4C Compliance to UTZ Certification

It indicates the 4C structure.

7

To take into account:

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.

Stepping-up from 4C Compliance to UTZ Certification

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.

8

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.

Part 1

Traceability and Management

Chapter 1

Stepping-up from 4C Compliance to UTZ Certification

No.

10

Traceability, product identification and separation:

1.A.1

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.

1.A.2

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.

1.A.3

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

Level of inspection

YEARS

CONTROL POINT

AÑO

1

AÑO

1

AÑO

1

AÑO

2

AÑO

2

AÑO

2

AÑO

3

AÑO

3

AÑO

3

AÑO

4

AÑO

4

AÑO

4

C

C

C

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.

Dimension

Economic

Economic Verification Regulations

Economic Verification Regulations

No.

Principle

6

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

6 6

- 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.

Compliance against UTZ Certified

GREEN YELLOW

Actions to implement

RED

Pending: Invoices and UTZ purchases Collection / storage report by UTZ producer List of UTZ producers

Pending: Establish checklist for subcontractors / Verification against checklist

- Mechanisms for internal (within the 4C Unit) traceability are in place (Written documents are available and - 6 operational) - 7.4 - Business Partner Mapping and + 7.8 Organisational chart by 4C Unit (page + 7.9 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)

Pending: Collection inventories, coffee inventories Sales Invoice and UTZ purchases

Compliance

Partial Compliance

Non Compliance

1.A.4

1.A.5

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.

1.A.6 The certificate holder clearly and visually identifies UTZ CERTIFIED coffee.

1.A.7

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.

Level of inspection

YEARS

CONTROL POINT

AÑO

1

AÑO

2

AÑO

3

AÑO

4

Dimension

C

1

AÑO

1

AÑO

1

AÑO

2

AÑO

2

AÑO

2

AÑO

3

AÑO

3

AÑO

3

AÑO

4

AÑO

4

AÑO

4

Principle

No relationship

Economic AÑO

No.

6

Compliance against UTZ Certified

GREEN YELLOW

No relationship

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

C

Economic

Economic

6

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

3

Coffee quality is monitored within the 4C Unit.

Procedure, person responsible for the system and functions manual

Pending: Procedure to separate coffee

C/P

C

Actions to implement

RED

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

Procedure for sampling and sample bank

Part 1 Traceability and Management

No.

11 Compliance

Partial Compliance

Non Compliance

Chapter 2

MANAGEMENT SYSTEM, RECORD KEEPING AND SELF-INSPECTION

Record keeping and farm identification, selfinspection, accountability and transparency

2.A - Record keeping and farm/field identification No.

Stepping-up from 4C Compliance to UTZ Certification

2.A.1

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.

Level of inspection

YEARS

CONTROL POINT

AÑO

1

AÑO

2

AÑO

3

AÑO

4

producer physically identifies all coffee 2.A.2 The fields with permanent signs.

2.A.3

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.

C

Dimension

Environmental

P

AÑO

1

AÑO

2

AÑO

3

AÑO

4

C/P

No.

1a

Principle

4 7.11 Verification rule 7.10

GREEN YELLOW

Actions to implement

RED

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

No relationship

Economic -

Compliance against UTZ Certified

The map must fully detail the use of the land.

No relationship

Record keeping used to monitor production efficiency leads to improved farm performance.

Granting 4C Verifiers access to information by 4C Units

Physically identify all coffee fields with permanent signs.

Filing system for at least 2 years

12 Compliance

Partial Compliance

Non Compliance

2.B - Management systems and self-inspection

2.B.1

2.B.2

YEARS

CONTROL POINT

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

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.

2.B.3

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.

2.B.4

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.

Aﾃ前

1

Aﾃ前

2

Aﾃ前

3

Aﾃ前

4

Compliance against UTZ Certified

Actions to implement

Level of inspection

Dimension

No.

C

Verification rule

7.5 7.8

C

Verification rule

7.5 7.8

1 annual inspection to subcontractors

7.7

General management plan and risk assessment

C

C

Verification rule

No relationship

Principle

GREEN YELLOW

RED

Inspection in year 1

No relationship

Risk assessment for new sites

Part 1 Traceability and Management

No.

13 Compliance

Partial Compliance

Non Compliance

2.C - Accountability and Transparency The 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.

Stepping-up from 4C Compliance to UTZ Certification

No.

Level of inspection

YEARS

CONTROL POINT

2.C.1

The certificate holder can show how the UTZ CERTIFIED premium is distributed within its organization.

The costs of operation are clearly documented.

C/P

2.C.2

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.

C

2.C.3

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.

2.C.4

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.

AÑO

1

AÑO

1

AÑO

2

AÑO

2

AÑO

3

AÑO

3

AÑO

4

AÑO

4

C

C

Dimension

No.

No relationship

No relationship

No relationship

No relationship

Principle

Compliance against UTZ Certified

GREEN YELLOW

Actions to implement

RED

No relationship

No relationship

No relationship

No relationship

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

14 Compliance

Partial Compliance

Non Compliance

Part 2

Good Agricultural Practices

Chapter 3

VARIETIES AND ROOTSTOCKS

Choice of the adequate variety for a productive crop.

3.A - In-house and external nursery An 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.

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.

An external nursery is a coffee nursery that is not owned and managed by the individual producer No.

Stepping-up from 4C Compliance to UTZ Certification

3.A.1

16

CONTROL POINT

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

YEARS

Level of inspection

DIMENSION

No.

PRINCIPLE

Compliance against UTZ Certified

GREEN YELLOW

C

No relationship

No relationship

Responsible person chooses the variety of coffee to plant

C

No relationship

No relationship

Certified record of seed quality

The certificate holder has records/certificates

3.A.2 available of the seed quality which states variety, batch number and seed vendor.

3.A.3

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

Actions to implement

RED

C/N

No relationship

No relationship

Compliance

Procedure for Integrated Management Plan of in-house nursery plants

Partial Compliance

Non Compliance

No.

3.A.4

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.

3.A.5

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).

Level of inspection

YEARS

CONTROL POINT

DIMENSION

C/N

No.

PRINCIPLE

No relationship

C/P

Compliance against UTZ Certified

GREEN YELLOW

Records of crop protection product applications

No relationship

No relationship

Actions to implement

RED

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

No relationship

3.B - Genetically Modified Organisms

3.B.1

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.

Level of inspection

YEARS

CONTROL POINT

Aﾃ前

1

Aﾃ前

2

Aﾃ前

3

Aﾃ前

4

C/P

DIMENSION

Verification rule

No.

PRINCIPLE

Compliance against UTZ Certified

GREEN YELLOW

Actions to implement

RED

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

7.2

Part 2 Good Agricultural Practices

No.

17 Compliance

Partial Compliance

Non Compliance

Chapter 4

SOIL MANAGEMENT

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.

Stepping-up from 4C Compliance to UTZ Certification

No.

CONTROL POINT

YEARS

Compliance against UTZ Certified

Actions to implement

Level of inspection

DIMENSION

No.

C

Environmental

4a

Records as evidence of soil conservation practices

Records as evidence of soil conservation practices

PRINCIPLE

4.A.1

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.

4.A.2

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

P

Environmental

3 Soil conservation practices 4b are in place.

4.A.3

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.

P

Environmental

Soil conservation practices are in place.

3

GREEN YELLOW

RED

Soil fertility analisys per individual farm or region

Fertilisers are used appropriately.

18 Compliance

Partial Compliance

Non Compliance

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

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 - Choice and use of fertilizers No.

5.A.1

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.2

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.

5.A.3

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.

Level of inspection

YEARS

CONTROL POINT

AÑO

1

AÑO

1

AÑO

1

AÑO

2

AÑO

2

AÑO

2

AÑO

3

AÑO

3

AÑO

3

AÑO

4

AÑO

4

AÑO

4

DIMENSION

No.

No relationship

C

C

C/P

PRINCIPLE

Environmental

Environmental

4a

Fertilisers are used appropriately.

2b

Harmful effects of pesticides and other

1

chemicals used on human health and the environment are minimised.

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

5a

Water resources are conserved.

Compliance against UTZ Certified

GREEN YELLOW

Actions to implement

RED

No relationship

Competent person for recommending use of fertilizer

Documented fertilizer program in place.in fertilizer application.

Clear instructions in place for persons involved

Part 2 Good Agricultural Practices

Chapter 5

FERTILIZER USE

19 Compliance

Partial Compliance

Non Compliance

5.B - Records of application

Stepping-up from 4C Compliance to UTZ Certification

No.

20

5.B.1

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

5.B.2

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

Level of inspection

YEARS

CONTROL POINT

Aﾃ前

1

Aﾃ前

2

Aﾃ前

3

Aﾃ前

4

DIMENSION

No.

C

PRINCIPLE

No relationship

C/P

No relationship

Compliance against UTZ Certified

GREEN YELLOW

Actions to implement

RED

No relationship

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

No relationship

Records on applications of fertilizers

5.C - Application equipment No.

CONTROL POINT

YEARS

Level of inspection

5.C.1

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

P

5.C.2

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

C

DIMENSION

Social

No.

5d

PRINCIPLE

Compliance against UTZ Certified

GREEN YELLOW

Evidence of maintenance of inorganic fertilizer application equipment

Employer assures proper occupational health and safety conditions for workers.

No relationship

Actions to implement

RED

No relationship

Compliance

Evidence of equipment

calibration

Partial Compliance

Non Compliance

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

5.D.1

5.D.2

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.

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

Level of inspection

YEARS

CONTROL POINT

AÑO

1

AÑO

2

AÑO

3

AÑO

4

DIMENSION

No.

PRINCIPLE

No relationship

P

Compliance against UTZ Certified

GREEN YELLOW

No relationship

other

1

AÑO

2

AÑO

3

AÑO

4

P

Environmental

Chemicals used on human health

5a and the environment are minimised.

Conservation of water sources

5.D.3

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 visible warning signs.

C/P

Environmental

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

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

2b Harmful effects of pesticides and AÑO

Actions to implement

RED

Fertilizer storage area complies with regulations.

Harmful effects of pesticides and other 2b chemicals used on human health and the environment are minimised.

Part 2 Good Agricultural Practices

No.

21 Compliance

Partial Compliance

Non Compliance

5.E - Organic Fertilizer No.

5.E.1

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.

C

Aﾃ前

1

Aﾃ前

2

Aﾃ前

3

Aﾃ前

4

P

DIMENSION

No.

No relationship

No relationship

PRINCIPLE

Compliance against UTZ Certified

GREEN YELLOW

Actions to implement

RED

No relationship

No relationship

Analysis of composition of organic matter

Policy of no use of contaminated water

Stepping-up from 4C Compliance to UTZ Certification

5.E.2

Level of inspection

YEARS

CONTROL POINT

22 Compliance

Partial Compliance

Non Compliance

Chapter 6

IRRIGATION

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.

6.A. Predicting irrigation needs CONTROL POINT

6.A.1

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

6.A.2

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.

YEARS

Level of inspection

C

C

DIMENSION

No.

No relationship

No relationship

PRINCIPLE

Compliance against UTZ Certified

GREEN YELLOW

Actions to implement

RED

No relationship

No relationship

Keep rainfall records and establish systematic rainfall forecast methods Means of verification of irrigation design implementation

Part 2 Good Agricultural Practices

No.

23 Compliance

Partial Compliance

Non Compliance

6.B Irrigation method No.

6.B.1

6.B.2

CONTROL POINT

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

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.

YEARS

Level of inspection

DIMENSION

C

Environmental

No.

5a

PRINCIPLE

Compliance against UTZ Certified

GREEN YELLOW

Action plan to optimize use of water

Water resources are conserved.

Means of verification of irrigation design

C/P

No relationship

No relationship

C/P

No relationship

No relationship

The certificate holder has records that

the date of irrigation, the quantity 6.B.3 indicate of water used and where the irrigation water

Actions to implement

RED

Records of water use

Stepping-up from 4C Compliance to UTZ Certification

was used.

24 Compliance

Partial Compliance

Non Compliance

6.C Quality of irrigation water No.

6.C.1

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.

6.C.2

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.

Level of inspection

YEARS

CONTROL POINT

DIMENSION

No.

PRINCIPLE

Compliance against UTZ Certified

GREEN YELLOW

Actions to implement

RED

Risk assessment No relationship

C

AÑO

1

AÑO

2

AÑO

3

AÑO

4

P

No relationship

No relationship

No relationship

Policy for management and use of wastewater for irrigation purposes

6.D Suministro del agua de irrigación

water is extracted from sustainable 6.D.1 Irrigation sources.

6.D.2

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

Level of inspection

YEARS

CONTROL POINT

AÑO

1

AÑO

2

AÑO

3

AÑO

4

C/P

C

DIMENSION

No.

No relationship

No relationship

PRINCIPLE

Compliance against UTZ Certified

GREEN YELLOW

Actions to implement

RED

No relationship

No relationship

Policy on use of irrigation water extracted from sustainable sources.

Technical concept of the competent authority

Part 2 Good Agricultural Practices

No.

25 Compliance

Partial Compliance

Non Compliance

Chapter 7

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

CROP PROTECTION PRODUCTS

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 Choice and use of crop protection products No.

Stepping-up from 4C Compliance to UTZ Certification

7.A.1

7.A.2

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.

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 Stockholm agreement; - included in Annex III of the Rotterdam Convention (UNEP’s Prior Informed 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)

Level of inspection

YEARS

CONTROL POINT

AÑO

1

AÑO

1

AÑO

2

AÑO

2

AÑO

3

AÑO

3

AÑO

4

AÑO

4

DIMENSION

C/P

C/P

No.

PRINCIPLE

No relationship

Environmental 4C Unacceptable practice Nº 9

Compliance against UTZ Certified

GREEN YELLOW

Actions to implement

RED

No relationship

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

Pending records and list of products not allowed by USA

2a Use of pesticides is minimised.

2b

26 Compliance

Partial Compliance

Non Compliance

7.A.3

Level of inspection

YEARS

CONTROL POINT

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).

C

The producer uses crop protection products

7.A.4 with the least chemical toxicity possible for people, flora and fauna.

7.A.5

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

7.A.6

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.

7.A.7

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).

AÑO

1

AÑO

1

AÑO

1

AÑO

1

AÑO

2

AÑO

2

AÑO

2

AÑO

2

AÑO

3

AÑO

3

AÑO

3

AÑO

3

AÑO

4

AÑO

4

AÑO

4

AÑO

4

C/P

DIMENSION

Economic

Environmental

C/P

PRINCIPLE

3

Coffee quality is monitored within the 4C Unit.

2b

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

No relationship

C

C

No.

No relationship

Environmental

2a

Compliance against UTZ Certified

GREEN YELLOW

Actions to implement

RED

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

No relationship

No relationship

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

Use of pesticides is minimised.

Part 2 Good Agricultural Practices

No.

27 Compliance

Partial Compliance

Non Compliance

No.

Stepping-up from 4C Compliance to UTZ Certification

7.A.8

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

7.A.9

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.

7.A.10

The producer has and implements an antiresistance 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.

7.A.11

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

Level of inspection

YEARS

CONTROL POINT

AÑO

1

AÑO

1

AÑO

2

AÑO

2

AÑO

3

AÑO

3

AÑO

4

AÑO

4

P

C/P

DIMENSION

Environmental

Environmental

P

Environmental

Actions to implement

PRINCIPLE

2b

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

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

Use of pesticides is minimised.

Dose and enforcement recommendations from the pesticide product label are taken into account.

There is a record kept on applications.

2a

No relationship

C/P

Compliance against UTZ Certified

No.

2a

GREEN YELLOW

RED

No relationship

Rotations of active ingredients are implemented

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

Use of pesticides is minimised.

28 Compliance

Partial Compliance

Non Compliance

7.B Records of application

7.B.1

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.

7.B.2

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.

7.B.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

Level of inspection

YEARS

CONTROL POINT

AÑO

1

AÑO

1

AÑO

1

AÑO

2

AÑO

2

AÑO

2

AÑO

3

AÑO

3

AÑO

3

AÑO

4

AÑO

4

AÑO

4

C

C/P

P

DIMENSION

Environmental Economic

Environmental

Environmental Economic

No.

PRINCIPLE

2a 4

Use of pesticides is minimised.

Record keeing used to monitor production efficiency leads to improved farm performance

2b

2a 4

Compliance against UTZ Certified

GREEN YELLOW

Actions to implement

RED

Keep records on crop protection products used and/or stored

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

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

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

Use of pesticides is minimised.

Part 2 Good Agricultural Practices

No.

29 Compliance

Partial Compliance

Non Compliance

No.

7.B.4

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.

Level of inspection

YEARS

CONTROL POINT

AÑO

1

AÑO

2

AÑO

3

AÑO

4

P

DIMENSION

Social

No.

PRINCIPLE

5d

Employer assures proper occupational health and safety conditions for workers.

Compliance against UTZ Certified

GREEN YELLOW

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

effects of pesticides and 2b Harmful other

Stepping-up from 4C Compliance to UTZ Certification

7.B.5

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.

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

chemicals used on human health and the environment are minimised.

AÑO

1

AÑO

2

AÑO

3

AÑO

4

P

Environmental

1

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

5a

Water resources are conserved.

Actions to implement

RED

7.C Application equipment No.

7.C.1

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

Level of inspection

YEARS

CONTROL POINT

AÑO

1

AÑO

2

AÑO

3

AÑO

4

C/P

DIMENSION

Social

No.

5d

PRINCIPLE

Compliance against UTZ Certified

GREEN YELLOW

Maintain all the crop protection product application equipment

Working conditions

The certificate holder ensures that the crop

7.C.2 product application equipment (mechanical or motorized) is calibrated annually.

C

No relationship

Actions to implement

RED

No relationship

Annual equipment calibration

30 Compliance

Partial Compliance

Non Compliance

7.D Disposal of surplus application mix

7.D.1

7.D.2

7.D.3

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 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.

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

Level of inspection

YEARS

CONTROL POINT

AÑO

1

AÑO

1

AÑO

1

AÑO

2

AÑO

2

AÑO

2

AÑO

3

AÑO

3

AÑO

3

AÑO

4

AÑO

4

AÑO

4

P

P

P

DIMENSION

No.

No relationship

No relationship

No relationship

PRINCIPLE

Compliance against UTZ Certified

GREEN YELLOW

Actions to implement

RED

No relationship

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

No relationship

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

No relationship

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

Part 2 Good Agricultural Practices

No.

31 Compliance

Partial Compliance

Non Compliance

7.E Transport, storage, handling and mixing

Stepping-up from 4C Compliance to UTZ Certification

No.

7.E.1

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.

7.E.2

clearly identified for the crop they are used for.

7.E.3

7.E.4

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

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.

Level of inspection

YEARS

CONTROL POINT

AÑO

1

AÑO

1

AÑO

1

AÑO

1

AÑO

2

AÑO

2

AÑO

2

AÑO

2

AÑO

3

AÑO

3

AÑO

3

AÑO

3

AÑO

4

AÑO

4

AÑO

4

AÑO

4

C/P

DIMENSION

Social

No.

P/S

GREEN YELLOW

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

safety conditions for workers.

2b

No relationship

Store pesticides according to the crops in which it is used

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

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

No relationship

Actions to implement

RED

Employer assures proper

No relationship

Environmental

Compliance against UTZ Certified

5d occupational health and

P/S

P/S

PRINCIPLE

No relationship

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

32 Compliance

Partial Compliance

Non Compliance

Which are in powder or granular form above

7.E.5 products which are liquid form.

7.E.6

7.E.7

7.E.8

7.E.9

Level of inspection

YEARS

CONTROL POINT

AÑO

1

AÑO

2

AÑO

3

AÑO

4

Structurally sound and secure. The products are well ventilated and it is ensured that the product labels can be easily read.

P/S

Have 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.

P/S

AÑO

1

AÑO

2

AÑO

3

AÑO

4

No.

PRINCIPLE

No relationship

P/S

P/S

Made of fire-resistant material such as metal, concrete, steel or brick.

DIMENSION

Environmental

Environmental

Environmental

Environmental

Compliance against UTZ Certified

GREEN YELLOW

Actions to implement

RED

No relationship

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

2b

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

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

2b

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

Fire-resistant storage structures

2b

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

2b

Shelves made of nonabsorbent 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

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

Compliance

Partial Compliance

Part 2 Good Agricultural Practices

No.

33

Non Compliance

No.

Have a permanent and clear hazard warning

7.E.10 sign on or next to the access doors.

Stepping-up from 4C Compliance to UTZ Certification

from mill equipment and 7.E.11 Separated harvested and processed coffee.

7.E.12

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.

7.E.13

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

7.E.14

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.

Level of inspection

YEARS

CONTROL POINT

AÑO

1

AÑO

1

AÑO

2

AÑO

2

AÑO

3

AÑO

3

Environmental

AÑO

4

AÑO

4

DIMENSION

P/S

P/S

P

P/S

Environmental

Environmental

Environmental

Environmental

Compliance against UTZ Certified

Actions to implement

No.

PRINCIPLE

2b

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

2b

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

2b

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

2b

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

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

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

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

2b

GREEN YELLOW

RED

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

Storage areas of crop protection products separated from coffee processing areas

Storage structures are able to retain spillage

34 Compliance

Partial Compliance

Non Compliance

7.F Empty Crop Protection Product Containers

7.F.1

7.F.2

7.F.3

7.F.4

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.

Level of inspection

YEARS

CONTROL POINT

AÑO

1

AÑO

1

AÑO

2

AÑO

2

AÑO

3

AÑO

3

AÑO

4

AÑO

4

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.

P

P

P

AÑO

1

AÑO

2

AÑO

3

AÑO

4

P

DIMENSION

Environmental

Environmental

Environmental

Environmental

No.

6

PRINCIPLE

Compliance against UTZ Certified

GREEN YELLOW

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

Safe waste management is in place.

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

Harmful effects of pesticides and

2B other chemicals used on human

health and the enviroment are minimised.

6

Actions to implement

RED

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.

Safe waste management is in place.

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

Safe waste management is 6 in place.

2B Harmful effects of pesticides and other chemicals used on human health and environment is minimised

Part 2 Good Agricultural Practices

No.

35 Compliance

Partial Compliance

Non Compliance

7.G Obsolete Crop Protection Products No.

7.G.1

No.

PRINCIPLE

Compliance against UTZ Certified

GREEN YELLOW

2b other P/S

chemicals used on human health and the environment are minimised.

Environmental

6

2b Aﾃ前

1

Aﾃ前

2

Aﾃ前

3

Aﾃ前

4

P/S

Environmental

6

Actions to implement

RED

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

Harmful effects of pesticides and

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.

DIMENSION

Safe waste management is in place.

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

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

Safe waste management is in place.

Stepping-up from 4C Compliance to UTZ Certification

7.G.2

Level of inspection

YEARS

CONTROL POINT

36 Compliance

Partial Compliance

Non Compliance

Chapter 8

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

Harvesting

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 Harvesting risk analysis

8.A.1

8.A.2

8.A.3

Level of inspection

YEARS

CONTROL POINT

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

The analysis is reviewed annually.

No.

No relationship

C

AÑO

1

AÑO

2

AÑO

3

AÑO

4

P

PRINCIPLE

No relationship

C

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.

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

DIMENSION

Económico

3

Compliance against UTZ Certified

GREEN YELLOW

Actions to implement

RED

No relationship

No relationship

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.

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

Coffee quality is monitored within the 4C Unit.

Part 2 Good Agricultural Practices

No.

37 Compliance

Partial Compliance

Non Compliance

8.B Harvested coffee measurements No.

Level of inspection

YEARS

CONTROL POINT

DIMENSION

No.

PRINCIPLE

Compliance against UTZ Certified

GREEN YELLOW

The producer ensures that the tools used to

8.B.1 define the weight or volume of harvested

1

Aﾃ前

2

Aﾃ前

3

Aﾃ前

4

P

No relationship

No relationship

Weights calibrated annually

Stepping-up from 4C Compliance to UTZ Certification

coffee is calibrated or graduated annually.

Aﾃ前

Actions to implement

RED

38 Compliance

Partial Compliance

Non Compliance

Chapter 9

Post-harvest Product Handling

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

The certificate holder conducts a hygiene and food safety risk analysis concerning postharvest product handling facilities.

The analysis is reviewed annually.

9.A.2

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.

9.A.3

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

Level of inspection

YEARS

CONTROL POINT

DIMENSION

No.

No relationship

C

No relationship

C

AÑO

1

AÑO

2

AÑO

3

AÑO

4

C

PRINCIPLE

Económico

3

Compliance against UTZ Certified

GREEN YELLOW

Actions to implement

RED

No relationship

No relationship

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.

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 monitored within the 4C Unit.

Part 2 Good Agricultural Practices

No.

39 Compliance

Partial Compliance

Non Compliance

Stepping-up from 4C Compliance to UTZ Certification

40

No.

9.A.4

9.A.5

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.

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.

Level of inspection

YEARS

CONTROL POINT

Aﾃ前

1

Aﾃ前

2

Aﾃ前

3

Aﾃ前

4

DIMENSION

No.

PRINCIPLE

No relationship

C/P

Compliance against UTZ Certified

GREEN YELLOW

Actions to implement

RED

No relationship

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

Organic matter

4b management is in place.

C

Coffee by-products properly used, preferably as fertilizer.

Environmental

7a The use of renewable

energy sources is maximised and evident.

Compliance

Partial Compliance

Non Compliance

9.B Wet method No.

9.B.1

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.

9.B.2

The certificate holder only uses clean water for pulping, washing and fermenting coffee.

9.B.3

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

Level of inspection

YEARS

CONTROL POINT

C

AÑO

1

AÑO

1

AÑO

2

AÑO

2

AÑO

3

AÑO

3

AÑO

4

AÑO

4

DIMENSION

Environmental

PRINCIPLE

Environmental

Compliance against UTZ Certified

GREEN YELLOW

Actions to implement

RED

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

resources are 5a Water conserved.

No relationship

C

C

No.

No relationship

Use clean water for pulping, washing and fermenting coffee.

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

management is 5b Wastewater in place.

No.

9.C.1

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

Level of inspection

YEARS

CONTROL POINT

AÑO

1

AÑO

2

AÑO

3

AÑO

4

C/P

DIMENSION

No.

No relationship

PRINCIPLE

Compliance against UTZ Certified

GREEN YELLOW

Actions to implement

RED

No relationship

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

Part 2 Good Agricultural Practices

9.C Dry method

41 Compliance

Partial Compliance

Non Compliance

9.D Milling, storage and transport

Stepping-up from 4C Compliance to UTZ Certification

No.

9.D.1

The producer assures that during the storage of coffee, proper moisture and hygiene management is in place.

This also applies for the mill.

9.D.2

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.

9.D.3

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

Level of inspection

YEARS

CONTROL POINT

AÑO

1

AÑO

1

AÑO

2

AÑO

2

AÑO

3

AÑO

3

AÑO

4

AÑO

4

DIMENSION

No.

P

P

C

PRINCIPLE

No relationship

Economic

3

Compliance against UTZ Certified

GREEN YELLOW

No relationship

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

Also applicable for the mill.

Humidity measurement by management entity and calibration of equipment.

Coffee quality is monitored within the 4C Unit.

No relationship

Actions to implement

RED

No relationship

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

42 Compliance

Partial Compliance

Non Compliance

PART 3

Social and environmental dimensions

Chapter 10

WORKER RIGHTS, HEALTH AND SAFETY

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

10.A Risk management for working conditions No.

Stepping-up from 4C Compliance to UTZ Certification

10.A.1

Level of inspection

YEARS

CONTROL POINT

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

10.A.2

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.

10.A.3

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

C

C

Aﾃ前

1

Aﾃ前

2

Aﾃ前

3

Aﾃ前

4

C

DIMENSION

Social

Social

Verification rule

No.

PRINCIPLE

Compliance against UTZ Certified

GREEN YELLOW

Actions to implement

RED

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

Written document.

Employer assures proper

5d occupational health and safety conditions for workers.

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

Employer assures proper

5d occupational health and safety conditions for workers.

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

7.11

44 Compliance

Partial Compliance

Non Compliance

10.A.4

CONTROL POINT

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.

YEARS

Level of inspection

C

DIMENSION

Social

No.

5d

PRINCIPLE

Compliance against UTZ Certified

GREEN YELLOW

Actions to implement

RED

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

Employer assures proper occupational health and safety conditions for workers.

PART 3 Social and environmental dimensions

No.

45 Compliance

Partial Compliance

Non Compliance

10.B Salud del trabajador y su capacitación en seguridad No.

Stepping-up from 4C Compliance to UTZ Certification

10.B.1

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.

10.B.2

El titular del certificado mantiene actualizados los registros de capacitación.

Estos registros indican la fecha, tipo y tema de la capacitación.

10.B.3

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.

Level of inspection

YEARS

CONTROL POINT

AÑO

1

AÑO

2

AÑO

3

AÑO

4

C/P

C

C

DIMENSION

No.

PRINCIPLE

Compliance against UTZ Certified

GREEN YELLOW

Actions to implement

RED

Social

5d apropiadas de salud y seguridad

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

Diligenciar formato de capacitación.

Social

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

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

Social

El empleador asegura condiciones ocupacional a los trabajadores.

5d

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

El empleador asegura condiciones

5d apropiadas de salud y seguridad ocupacional a los trabajadores.

46 Compliance

Partial Compliance

Non Compliance

10.C Worker health and safety facilities and accident procedures

10.C.1

10.C.2

10.C.3

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

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.

Level of inspection

YEARS

CONTROL POINT

AÑO

1

AÑO

2

AÑO

3

AÑO

4

C

C

C

DIMENSION

Social

No.

PRINCIPLE

Compliance against UTZ Certified

GREEN YELLOW

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.

Employer assures proper

5d occupational health and safety conditions for workers.

No relationship

No relationship

Actions to implement

RED

No relationship

No relationship

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.

PART 3 Social and environmental dimensions

No.

47 Compliance

Partial Compliance

Non Compliance

No.

Stepping-up from 4C Compliance to UTZ Certification

10.C.4

10.C.5

CONTROL POINT

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

10.C.6 with a disability to ensure their health and safety in the workplace.

YEARS

Level of inspection

C

C

C

DIMENSION

No.

No relationship

No relationship

No relationship

PRINCIPLE

Compliance against UTZ Certified

GREEN YELLOW

Actions to implement

RED

No relationship

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.

No relationship

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

No relationship

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

48 Compliance

Partial Compliance

Non Compliance

10.D Crop protection product handling, clothing & equipment

No.

Level of inspection

YEARS

CONTROL POINT

DIMENSION

No.

Compliance against UTZ Certified

PRINCIPLE

GREEN YELLOW

SHarmful effects of pesticides and

10.D.1

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.

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

2b other AÑO

1

AÑO

2

AÑO

3

AÑO

4

P

chemicals used on human health and the environment are minimised.

Environmental Social

Employer

assures

Actions to implement

RED

proper

5d occupational health and safety conditions for workers.

Harmful effects of pesticides and

10.D.2

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.

2b other AÑO

1

AÑO

2

AÑO

3

AÑO

4

P

Establish policy on the use of protective clothing and equipment.

chemicals used on human health and the environment are minimised.

Environmental Social

Employer

assures

proper

5d occupational health and safety

10.D.3

10.D.4

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

Protective clothing is regularly cleaned. If damaged beyond repair, it is disposed of.

Single-use items have to be disposed after one use.

AÑO

1

AÑO

1

AÑO

2

AÑO

2

AÑO

3

AÑO

3

AÑO

4

AÑO

4

P

P

Social

5d

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

Employer assures proper occupational health and safety conditions for workers.

No relationship

No relationship

Clearly indicate in protective clothing and equipment storage area that it is regularly cleaned.

If damaged beyond repair, it is disposed of.

PART 3 Social and environmental dimensions

conditions for workers.

49 Compliance

Partial Compliance

Non Compliance

No.

10.D.5

Level of inspection

YEARS

CONTROL POINT

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

Stepping-up from 4C Compliance to UTZ Certification

apply crop protection products.

No.

C

Pregnant and breastfeeding women and

10.D.6 persons under 18 years do not handle or

DIMENSION

Aﾃ前

1

Aﾃ前

2

Aﾃ前

3

Aﾃ前

4

P

No relationship

4C Unacceptable practice No. 1

PRINCIPLE

Compliance against UTZ Certified

GREEN YELLOW

Actions to implement

RED

No relationship

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

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.

1

50 Compliance

Partial Compliance

Non Compliance

10.E Hygiene and housekeeping

10.E.1

10.E.2

CONTROL POINT

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.

YEARS

Level of inspection

C

C

DIMENSION

No.

No relationship

No relationship

PRINCIPLE

Compliance against UTZ Certified

GREEN YELLOW

Actions to implement

RED

No relationship

No relationship

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.

PART 3 Social and environmental dimensions

No.

51 Compliance

Partial Compliance

Non Compliance

No.

Stepping-up from 4C Compliance to UTZ Certification

10.E.3

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.

Level of inspection

YEARS

CONTROL POINT

AÑO

1

AÑO

2

AÑO

3

AÑO

4

DIMENSION

No.

C

No relationship

6

10.E.4

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.

AÑO

1

AÑO

2

AÑO

3

AÑO

4

C

PRINCIPLE

Environmental Social Practica Inaceptable No. 6

7

6

Compliance against UTZ Certified

GREEN YELLOW

Actions to implement

RED

No relationship

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.

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.

Safe waste management is in place.

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

Failure to provide adequate housing where required by workers.

52 Compliance

Partial Compliance

Non Compliance

10.F Worker’s rights

10.F.1

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.

AÑO

1

AÑO

2

AÑO

3

Freedom of association and the right to collective bargaining 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 AÑO AÑO 10.F.2 such organizations. Representatives are not AÑO 1 2 3 subject to discrimination and have access to their members in the workplace.

(Ref. ILO Convention 87 on Freedom of Association)

10.F.3

TAll workers have the right to perform collective bargaining.

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

Level of inspection

YEARS

CONTROL POINT

AÑO

1

AÑO

2

AÑO

3

AÑO

4

AÑO

4

AÑO

4

DIMENSION

No.

C

C

C

PRINCIPLE

Compliance against UTZ Certified

GREEN YELLOW

No relationship

Social

Social

1

2

Actions to implement

RED

No relationship

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.

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.

Workers and producers have the right to found, to belong to and to be represented by an independent organisation of their choice.

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

Workers have the right to bargain collectively

PART 3 Social and environmental dimensions

No.

53 Compliance

Partial Compliance

Non Compliance

No.

Level of inspection

YEARS

CONTROL POINT

DIMENSION

No.

PRINCIPLE

Compliance against UTZ Certified

GREEN YELLOW

Forced labor

Stepping-up from 4C Compliance to UTZ Certification

10.F.4

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)

AÑO

1

AÑO

2

AÑO

3

AÑO

4

C/P

4C Unacceptable practice No. 2

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.

2

Child labor

10.F.5

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.

AÑO

1

AÑO

2

AÑO

3

AÑO

4

C/P

4C Unacceptable practice No. 1

Actions to implement

RED

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.

1

54 Compliance

Partial Compliance

Non Compliance

10.F.6

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).

Discrimination The certificate holder / members do not engage in discrimination in hiring, remuneration, access to training, promotion, termination and benefits on the basis of race, caste, ethnicity, color, sexual 10.F.7 gender, orientation, union membership, marital status, national origin, disability, religion or political opinion.

(Ref. ILO Convention 111 on Discrimination).

Level of inspection

YEARS

CONTROL POINT

AÑO

1

AÑO

1

AÑO

2

AÑO

2

AÑO

3

AÑO

3

AÑO

4

AÑO

4

C/P

C

DIMENSION

Right to childhood and education

Social

No.

PRINCIPLE

Compliance against UTZ Certified

GREEN YELLOW

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.

4

3

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.

Equal rights with respect to gender, maternity, religion, ethnicity, physical conditions and political views are secured.

Working hours

10.F.8

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).

AÑO

1

AÑO

2

AÑO

3

AÑO

4

C

Social

5b

Actions to implement

RED

A work schedule must be established and made visible in notice boards.

Records of working hour per worker must be kept.

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

PART 3 Social and environmental dimensions

No.

55 Compliance

Partial Compliance

Non Compliance

Stepping-up from 4C Compliance to UTZ Certification

No.

56

10.F.9

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.

10.F.10

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.

10.F.11

Level of inspection

YEARS

CONTROL POINT

AÑO

1

AÑO

1

AÑO

2

AÑO

2

AÑO

3

AÑO

3

AÑO

4

AÑO

4

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

C

DIMENSION

Social

C

No.

5b

PRINCIPLE

No relationship

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

No relationship

No relationship

Wages and contracts

10.F.12

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.

AÑO

1

AÑO

2

AÑO

3

AÑO

4

P

Social

Actions to implement

RED

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

No relationship

C

Compliance against UTZ Certified

GREEN YELLOW

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.

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.

5c Wages comply with national laws or sector agreements.

Compliance

Partial Compliance

Non Compliance

Equal work is remunerated with equal pay.

10.F.13 (Ref. ILO convention 100 on Equal

Level of inspection

YEARS

CONTROL POINT

AÑO

1

AÑO

2

AÑO

3

AÑO

4

DIMENSION

No.

C/P

PRINCIPLE

No relationship

Compliance against UTZ Certified

GREEN YELLOW

No relationship

Remuneration).

10.F.14

5b

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.

C

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

Social

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

Workers receive a labour

Maternity and child care provisions

10.F.15

AÑO

1

AÑO

2

AÑO

3

AÑO

4

C

No relationship

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

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

5a contract.

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.

Actions to implement

RED

No relationship

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.

PART 3 Social and environmental dimensions

No.

57 Compliance

Partial Compliance

Non Compliance

No.

Level of inspection

YEARS

CONTROL POINT

DIMENSION

No.

PRINCIPLE

Compliance against UTZ Certified

GREEN YELLOW

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.

Stepping-up from 4C Compliance to UTZ Certification

Respectful treatment of workers

58

10.F.16

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.

10.F.17

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

10.F.18

10.F.19

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

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

AÑO

1

AÑO

2

AÑO

3

AÑO

4

C/P

C

AÑO

1

AÑO

2

AÑO

3

AÑO

4

C

C

Social

3

Equal rights with respect to gender, maternity, religion, ethnicity, physical conditions and political views are secured.

No relationship

No relationship

No relationship

Actions to implement

RED

No relationship

No relationship

No relationship

Compliance

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.

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

Partial Compliance

Non Compliance

10.G Employment of workers Level of inspection

YEARS

CONTROL POINT

DIMENSION

No.

PRINCIPLE

Compliance against UTZ Certified

GREEN YELLOW

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.

Housing

10.G.1

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.

C

The certificate holder provides living quarters

divisions between families and, if 10.G.2 with possible, with access to electricity.

C

4C Unacceptable practice No. 6

4C Unacceptable practice No. 6

6

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

6

Education

10.G.3

10.G.4

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.

Aﾃ前

1

Aﾃ前

2

Aﾃ前

3

Aﾃ前

4

C

C

Social

Social

4

4

Actions to implement

RED

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

Children have the right to childhood and education.

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 to childhood and education.

PART 3 Social and environmental dimensions

No.

59 Compliance

Partial Compliance

Non Compliance

No.

CONTROL POINT

YEARS

Level of inspection

DIMENSION

No.

C

Social

Compliance against UTZ Certified

GREEN YELLOW

4

Children have the right to childhood and education.

7

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

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

Divulge the policy.

children is recorded.

C

Social

Stepping-up from 4C Compliance to UTZ Certification

10.G.6

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.

Actions to implement

RED

For farms that provide education, care for children is documented.

Documents must be filed.

SIf the certificate holder provides on-site

it is in a safe and suitable building, 10.G.5 schooling, with qualified teachers. Attendance of

PRINCIPLE

60 Compliance

Partial Compliance

Non Compliance

Level of inspection

YEARS

CONTROL POINT

DIMENSION

No.

PRINCIPLE

Compliance against UTZ Certified

GREEN YELLOW

Asistencia médica

10.G.7

10.G.8

10.G.9

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 stimulates educational programs of hygiene, nutrition and other issues that improve the general health of onsite living workers and their families.

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

AÑO

1

AÑO

2

AÑO

3

AÑO

4

C

C

C

No relationship

No relationship

No relationship

Actions to implement

RED

No relationship

No relationship

No relationship

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 onsite 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.

PART 3 Social and environmental dimensions

No.

61 Compliance

Partial Compliance

Non Compliance

Chapter 11

Natural Resources and Biodiversity

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.

Stepping-up from 4C Compliance to UTZ Certification

11.A. Risk-management and conservation No.

11.A.1

11.A.2

CONTROL POINT

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.

YEARS

Level of inspection

C

C

DIMENSION

No.

No relationship

No relationship

PRINCIPLE

Compliance against UTZ Certified

GREEN YELLOW

Actions to implement

RED

No relationship

No relationship

Risk assessment on Environmental impacts.

Environmental.

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

62 Compliance

Partial Compliance

Non Compliance

11.A.3

11.A.4

CONTROL POINT

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.

YEARS

Level of inspection

C

C/P

DIMENSION

Environmental

No.

1a

PRINCIPLE

Compliance against UTZ Certified

GREEN YELLOW

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.

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

No relationship

Actions to implement

RED

No relationship

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

PART 3 Social and environmental dimensions

No.

63 Compliance

Partial Compliance

Non Compliance

11.B Water sources No.

11.B.1

Stepping-up from 4C Compliance to UTZ Certification

11.B.2

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

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

Level of inspection

YEARS

CONTROL POINT

AÑO

1

AÑO

2

AÑO

3

AÑO

4

P

DIMENSION

Environmental

No.

1

AÑO

2

AÑO

3

AÑO

4

P

Compliance against UTZ Certified

GREEN YELLOW

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

conserved.

Environmental

Actions to implement

RED

5a Water resources are

1 AÑO

PRINCIPLE

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.

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

5a Water resources are conserved.

11.C Forest and biodiversity No.

11.C.1

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.

Level of inspection

YEARS

CONTROL POINT

AÑO

1

AÑO

2

AÑO

3

AÑO

4

C/P

DIMENSION

4C Unacceptable practice No. 8

No.

PRINCIPLE

Compliance against UTZ Certified

GREEN YELLOW

Actions to implement

RED

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

8

64 Compliance

Partial Compliance

Non Compliance

11.C.2

11.C.3

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.

Level of inspection

YEARS

CONTROL POINT

AÑO

1

AÑO

1

AÑO

2

AÑO

2

AÑO

3

AÑO

3

AÑO

4

AÑO

4

C/P

C/P

DIMENSION

No.

No relationship

No relationship

PRINCIPLE

Compliance against UTZ Certified

GREEN YELLOW

Actions to implement

RED

No relationship

No relationship

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.

PART 3 Social and environmental dimensions

No.

65 Compliance

Partial Compliance

Non Compliance

No.

Stepping-up from 4C Compliance to UTZ Certification

11.C.4

11.C.5

11.C.6

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.

Level of inspection

YEARS

CONTROL POINT

AÑO

1

AÑO

1

AÑO

2

AÑO

2

AÑO

3

AÑO

3

AÑO

4

AÑO

4

P

C/P

P

DIMENSION

No.

No relationship

No relationship

No relationship

PRINCIPLE

Compliance against UTZ Certified

GREEN YELLOW

Actions to implement

RED

No relationship

No relationship

No relationship

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, reforests and stimulates ecological restoration of areas that are not used for agricultural production.

66 Compliance

Partial Compliance

Non Compliance

11.C.7

11.C.8

11.C.9

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.

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.

Level of inspection

YEARS

CONTROL POINT

AÑO

1

AÑO

1

AÑO

2

AÑO

2

AÑO

3

AÑO

3

AÑO

4

AÑO

4

DIMENSION

No.

P

No relationship

No relationship

C

C/P

PRINCIPLE

Environmental

1a

Compliance against UTZ Certified

GREEN YELLOW

Actions to implement

RED

No relationship

No relationship

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.

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

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

PART 3 Social and environmental dimensions

No.

67 Compliance

Partial Compliance

Non Compliance

11.D Energy sources and use No.

CONTROL POINT

The certification holder records and monitors

11.D.1 the use of energy in production and

YEARS

Level of inspection

C

processing.

The producer demonstrates that measures

11.D.2 are taken to use energy more efficiently on

C/P

DIMENSION

Environmental

Environmental

Stepping-up from 4C Compliance to UTZ Certification

the farm.

The producer uses renewable energy sources

11.D.3 on the farm whenever possible in terms of

C/P

Environmental

space and safety and when climate permits to do so.

11.D.4

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).

C/P

Environmental

No.

PRINCIPLE

Compliance against UTZ Certified

GREEN YELLOW

Actions to implement

RED

7b Saving Energy

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.

7b Saving Energy

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.

Preferential use of

7a renewable energy.

4b 7a

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).

Organic matter management is in place.

Preferential use of renewable energy.

68 Compliance

Partial Compliance

Non Compliance