Implementation Guide UTZ CERTIFIED Good Inside Code of Conduct for Coﬀee

Implementation Guide UTZ CERTIFIED Good inside Code of Conduct for Coﬀee

ISBN: 978-94-90283-04-9 www.utzcertiﬁed.org www.utzcertiﬁed-trainingcenter.com www.solidaridadnetwork.org UTZ CERTIFIED is a programme aimed at the sustainability of the market that improves professional agriculture and has a positive impact on productivity, quality and e ciency.

Project work team Vera Espindola Francisco Bustamante Diana Bedoya Solidaridad is a development organisation with the mission of reducing poverty through the chains of Carlos Isaza a sustainable supply of agro-products. Solidaridad considers that sustainable economic development Leonardo Sánchez is the best solution to structural poverty in developing countries. Solidaridad works in the chains of sustainable production from the producer to the consumer so that producers in developing countries can increase their capacity to manage a professional business. Design Mariana Álvarez Matijasevic UTZ CERTIFIED and Solidaridad has a strategic alliance, the creation of a support network for producers and an improvement programme to meet the needs of the producer and facilitates the Reviser quality and volume required by the market. Darío Ángel

With the support of:

UTZ CERTIFIED Good Inside ISBN: 978-94-90283-04-9 De Ruyterkade 1013 AA Amsterdam The Netherlands T: + 31 20 530 8031 This material is a product of a joint initiative by UTZ CERTIFIED and the SOLIDARIDAD Foundation. www.utzcertied.org. www.utzcertied-trainingcenter.com UTZ CERTIFIED is the intellectual property rights holder. It authorises the reproduction of all of the document for educational purposes only, provided that its integrity is preserved and the participating organisations are cited. Any other use of this document requires written authorisation from UTZ CERTIFIED. Table of contents

Page Introduction 4 How to use this guide 7 PART 1 Traceability and Administration 9 Chapter 1 - Traceability, product identification and separation Chapter 2 - Management system, record keeping and self-inspection 11 12 PART 2 Good Agriculture Practices 15 Chapter 3 - Varieties and rootstocks Chapter 4 - Soil management 17 Chapter 5 - Fertilizer Use 18 Chapter 6 - Irrigation 19 Chapter 7 - Crop Protection Products 20 Chapter 8 - Harvesting 21 Chapter 9 - Post-harvest product handling 25 26 Part 3 Social and Environmental Aspects 29 Chapter 10 - Workers’ rights, health and safety Chapter 11 - Natural resources and biodiversity 31 35 Annex 1 Example of the administration of group members 38 How to manage administratively a group

Annex 2 40 Records and documents

Annex 3 66 Guide Comments Table- Internal Control System - Records and Documents Reference to the guidance comments, including ICS comments, records and documents

3 of 72 Introduction

How to obtain and maintain your UTZ certification in a sustainable manner?

The UTZ standard for coffee consists of a group of internationally and prioritising problems, developing a work plan, implementing practical high recognised criteria for the responsible production of coffee, both socially solutions with strong impact and being ready, if appropriate, to certify their farm and environmentally. It is based on the International Labor Organization ILO as UTZ CERTIFIED. Conventions and includes the principles of good agricultural practices. UTZ’s approach is based on risk management as well as a continuous improvement In general terms, and although these variables change between countries model in the structure of the Code. and producers, when effectively addressing productivity, quality, business management, social and environmental issues, as being problem areas, a positive To implement or put into practice the Code of Conduct, you can define multiple impact on income, living conditions and the environment will be achieved. That strategies, times and resources depending on local conditions, the number of is why the Coffee Improvement System is based on focusing on problem areas producers, availability of resources, training officers and above all the decision that have most impact on income and sustainability and where the producer can to improve and the motivation of producers and their organisations. This Guide intervene with their knowledge and resources. aims to give a better understanding of the Code of Conduct, its structure and progressive implementation. At no time does it try to show a single way to It is an option to apply a Continuous Improvement system (PDCA; Plan, Do, implement the Code of Conduct, everything is open to the actual conditions in Check, Act), in various situations related to coffee production and its sustainable the field and the resources available. management. In the following image, you will find a suggested sequence of steps which contributes in using the PDCA cycle. We recommend taking certain steps to obtain and maintain UTZ certification in a sustainable manner. The concept we focus on is developed by Solidaridad It is important to point out that there is not a predetermined implementation “Coffee Improvement System”. This approach is designed to be a tool for order of the process; or a starting stage. The order and starting point is facilitators and farmer promoters who support coffee farmers in identifying determined by the facilitator taking into account the issue they wish to address.

4 of 72 Introduction

As for UTZ certification we recommend the following path:

1. Identify producers: determine the group’s most common problems in the production process and the strengths and weaknesses they have for the implementation process of UTZ.

2. Based on this, establish the most relevant topics that will need to be addressed and analysed to obtain UTZ certification. For this, consider prioritising and focusing on the concept of the Improvement System and the structure of the UTZ Code based on the compliance per year with the mandatory and additional points.

3. Then prioritise the topics, according to the most decisive factors for the producers, which would give sustainable solutions, practices with a high impact on the improvement of the coffee process on the farms, considering the resources they have to implement the solutions and practices.

4. Remember, the activities involved in the production process integrates problems and solutions from several areas (productivity, production costs and product quality, among others). Taking the above into account, it is important to develop a proposal for a management and training plan that takes into account the different stages of the PDCA cycle.

5 of 72 Introduction

Example point 5 - Management Plan 5. The management plan, is developed in a way that Good Inside Cooperative Management Plan for UTZ certification displays which points / activities can be merged Status to facilitate the implementation. Additionally, you Control Goal Objective Activity Responsible Proof Execution (Complaince point indicator) evaluate with which ones you already comply with. The list will then show a comprehensive picture of Provide clear answers Demonstrate the Put up a site to store the group’s current situation. 1.A.7 on time to the demands on accuracy and traceability samples which have been Production and Show fisical Mar/11 coffee quality and of operations collected for each batch quality control evidence lots UTZ Certified Visit farms and elaborate 6. Map 100% of the producers Demonstrate the origin the maps together with the Technical team, The training plan is developed in a way that 2.A.1 who are UTZ certified and geographic location producer and possibly cooperative Map of farm Feb/11 of the certified coffee the children and producers displays which points / activities require training for producers and when they are implemented. Annual internal inspection Technical team, Revised checklist 2.B.1 to all members (100%) Perform an Internal inspection cooperative including the Oct/10 who are in the process internal inspection and producers applicable control of (re)certification points 7. The internal inspection in the case of a producer 100% of the certified UTZ 2.A.2 coffee is identified with Make signs, visits the Producer and Signs on group is a very important step in identifying Identify the coffee lots fields, field reports technical team the field Oct/10 permantent signs important aspects in the implementation and 100% of the farms have Register the operations Make registration forms Technical team, finding out the status of compliance of the 2.A.3 registration forms and control and activities with and deliver these forms cooperative Documents over their activities the farm to the farms and producers control points of the Code of Conduct. Based on this inspection the Internal Control System can Example point 6 - Training Plan define producers who are ready to be submitted for auditing (external). Good Inside Cooperative Training plan for UTZ certification We hope that these steps will provide you support Control in initiating and maintaining UTZ certification. point Topic Audience Participants Resources When Place Status

1.A.4 Trainings on certiﬁcation Producers, responsibles Audiovisual equipment, 1.A.5 topics at the farms for the farm, storage, 30 training material, Ago/10 Farm 1.A.6 and mills transport and dry mill food and transport "The Best" 1.A.7

Handling of Producers and Training material, Farm 7.F 30 samples of products, Jul/10 "The Best" empty products farm responsibles food and transport

Training on topics Food and Transport, Producers and Nov/10 Farm 9.B for the wet mill farm responsibles 30 farm with a wet mill "The Best"

11.A Trainings on the topics Producers and Audiovisual equipment, Farm related to the 30 training material, "The Best" B y C environment farm responsibles food and transport

6 of 72 How to use this guide

This implementation guide is a support tool that serves to facilitate the Additionally, the following information is provided: understanding of the Code of Conduct and visualizes the control points in a simple way by chapter, year and level of implementation. A major advantage of Some additional points that are not mentioned in the chapters are explained the guide is that it shows the way the different documents developed by the UTZ at the end of each of the parts. CERTIFIED Foundation and SOLIDARIDAD in the process to facilitate and support the implementation of the Code. At the end of each part an example is shown how to calculate the control points step by step. The guide has been organised by retaining the same structure of the parts and chapters that the Code of Conduct. In this way when you are reading the Code An example on how to manage and give follow-up to a producer group who and you have any doubt about a part or a chapter, you can easily find it in the has producers in different years of compliance. guide. The document can be read as a whole in order to understand the process of implementation and certification or can be read by part, chapter or a specific year. Also examples of records and documents are given on how to meet the relevant control points. These examples should only be used for understanding When you start reading you will find that each chapter has been structured by purposes, each farm or group of producers must create documents and years. From left to right of the page it is possible to see the control points that records tailored to their needs and context. should be implemented from the first year until the fourth year. Finally a table is provided where you can quickly locate a control point and the The image on the next page shows how you can read the document and how to page where it is discussed, if there is a guidance comment or a ICS guidance perform a search for a specific point. comment and if an example of record or document is given.

7 of 72 How to use this guide

You can search for information by locating the Some points that are chapter and the year of related to speciﬁc topics implementation. Chapter 8 Harvest are grouped in a folder. These points are related but spread over diﬀerent years of compliance.

Within the year you can locate a speciﬁc control point and the level at which the related point(s) must be implemented. Holder means Certiﬁcate Holder.

Some years do not show any information, this means that there are no mandatory control points to be complied with in that speciﬁc year.

Icon that refers to the Coﬀee Improvement At the bottom of page there are System modules supporting documents which you can also consult. There is an icon N Icon that refers to the Good Practices guide for that refers to the document and a O E coﬀee production

text which is located in the S information that can be found in the Icon that refers to the Methods and Training referenced document. Tools for rural producers

8 of 72 PART 1 Traceability and Administration

By complying with the control points related to traceability and administration administrative aspects of coffee production can be improved. Many of the control points in this part are used to ensure good planning, monitoring of activities and to improve decision-making. Good administrative management enables also to achieve other proposed objectives related to production such as land, natural resources, labour capital and human resources. Having monitor and control mechanisms and accurate information contribute to the decision making in the daily management of a coffee farm.

Traceability offers the consumer safety over the product’s origin and gives them the opportunity to know the manner in which it has been handled. Traceability or tracking of the product allows the evolution and route that the product or batch has followed along the chain. With this process, the product can be better monitored and controlled. Being able to provide this traceability information improves the transparency of the farm and chain.

Some benefits when complying with chapters 1 and 2 of the Code are:

Identifying problems and opportunities in order to improve on product quality aspects. Control over the product’s flow. Improved management of stored coffee stocks. Coffee production records used for monitoring the plots. Historical records showing the trends/behaviour of the product which then can be used for planning purposes, evaluate and assigning, for example labour.

9 of 72 PART 1 Traceability and Administration

Chapter 1 Traceability, product identification and separation: Includes the points on the coffee flow documentation, administration of documents, separation of coffee as well as to have a system in place to keep samples which allows to have a better control and management of the cofee.

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

Testimonial: benefits of implementation KENYA: Rianjagi Farmers Co-operative Society Ltd.

“With UTZ Certification, the percentage of payment to farmers has increased due to the additional income earned due to better product quality and bonuses and savings due to economies of scale.”

“The product’s quality has improved: the percentage of the bonus received allowed them to get higher prices for the sold product.”

10 of 72 Chapter 1 Traceability, product identification and separation

All the control points related to traceability are mandatory and must be complied with from the first year onwards. Year Year Year Year

Start the traceability process by documenting the flow of coffee along the supply chain. Holder 1.A.1 Define a process for taking and handling coffee samples. The samples must be kept for at 1.A.7 least a year.

When processing activities are subcontracted check that the subcontractor ensures the traceabili- Holder ty, identiﬁcation and separation of the product. 1.A.2

In the stages of: harvesting, collection points, processing, packaging, storing, transporting and Holder sales separate, identify and record UTZ certified coffee from non-certified. 1.A.3 1.A.4 Appoint a person in charge of these tasks. 1.A.6

Separate UTZ CERTIFIED coffee from uncertified. Also separate UTZ CERTIFIED coffee stocks from Holder/ the previous year. producer 1.A.5

Consultation and supporting documents

N Chapter 5 refers to aspects related to traceability and

E managing records. It also contains information on S managing coﬀee samples.

11 of 72 Chapter 2 Management system, record keeping and self-inspection

Year Year Year Year

Make a map showing the Demonstrate and location of the producers' Holder Holder/ 1.A.1 document the Producer farms that are part of 1.A.7 distribution of the 2.C.1 the group. premium that is obtained from the Keep the records updated sale of certified and available for the audit. Holder/ coffee. Document File the records required for Producer the operation costs. certification for a minimum 2.A.3 period of two years.

For management and self-inspection take into account the following: Ensures that the subcontractor conducts the Holder Make an overall Perform at least one 2.B.2 Holder Holder assessment of compliance management plan 2.B.3 self-inspection a year; the 2.B.1 with the control points that based on a risk checklist can provide you are related to their activity. assessment. support in this.

Accountability and transparency: for managing complaints and claims take following into account: Deﬁne a person Establish a mechanism and form Holder responsible for Holder 2.C.3 2.B.2 for complaints and claims and 2.C.4 concerns, complaints monitor them, and claims. when necessary.

Consultation and supporting documents

N Recommendations for making maps can O E be found in chapter 5.

12 of 72 PART 1 Additional control points

Some additional control points have to be complied with every year. Remember that some points that are additional in the first year become mandatory in the second year. The same applies for the third and fourth year.

In Part 1 for the fourth year there are two additional control points, none of these points are mandatory in any of the 4 years. But as you must comply with 1 additional point in year 3, and 1 additional point in year 4 to obtain UTZ certification you must decide which of these additional points will be implemented in year 3, and in year 4.

The following are the additional control points mentioned:

Producer 2.A.2 Identify physically all coffee fields.

Perform a risk assessment for the new cultivation sites focused on food safety and the environment. Producer 2.B.4 Have a management plan for these new sites

N Chapter 5 discusses traceability and managing OE records and examples of coffee field identification can be found in this chapter

13 of 72 PART 1 Calculation of the mandatory and additional control points

Comments The producer organisation “Good Inside” (a group Control Point Justify the comments certification), is being audited in the third year of Nº when the control point is not met and when it is not applicable certification. The group DOES NOT subcontract Year 1 Year 2 Year 3 Year 4 Year N/A Level of Level inspection processing or production activities. Si el titular del certificado subcontrata las actividades del procesamiento, se verifica que las unidades de procesamiento 1.A.2 C X El titular del certificado no subcontrata contratadas aseguren la trazabilidad, identificación las actividades de procesamiento y separación del café de UTZ CERTIFIED del café no UTZ CERTIFIED The control points that do not apply to this case in the example are: 1.A.2 – 2.B.2. Los subcontratistas realizan una evaluación (o el titular del certificado la hace a nombre del subcontratista) del cumplimiento 2.B.2 de los puntos de control UTZ CERTIFIED relevantes para los C X El titular del certificado no utiliza servicios que provee. subcontratistas en el proceso de producción Step1 El titular del certificado es responsable del cumplimiento de los puntos Mark the points that do not apply in the checklist. de control aplicables a las tareas que desempeña el contratista. Step 2: Justify in the comments column Comments why the points do not apply. Nº Control Point Justify the comments when the control point is not met Step 3:

Year 1 Year 2 Year 3 Year 4 Year N/A and when it is not applicable Level of Level inspection Identify the additional control points The producer physically identifies all coffee fields 2.A.2 with permanent signs. P X that are complied with for year 3. Step 4: Calculate the total complied mandatory control Year Year Year Year points for year 3. In this case there are 13 complied 1 2 3 4 mandatory control points. Total mandatory control points chapter 1-2 12 13 15 16 Step 5: Number of mandatory control points complied with 13 Then calculate the non applicable control points Number of mandatory control points Not Applicable 2 from step 1 and 2. In this case, there are 2 non The sum of complied mandatory control points and not applicable mandatory control points has to equal applicable control points. the total of mandatory control points in this part.

Total additional control points required for certification 0 0 1 1 Step 6: Number of additional control points complied with 0 0 1 Finally calculate the additional control points that have been identified in step 5. In this case, If an additional control point is not applicable, it can NOT be counted in or deducted from the number there is 1 complied additional control point. of additional control points required for certification.

14 of 72 PART 2 Good Agricultural Practices

Coffee is a permanent crop, in where the decisions that are made, are often not easy to change in the short or medium term. In this type of crop set-up investments are generally high and the possibility of recovering them depends largely on productivity. The crop’s productivity largely depends on the capacity that it has to maintain a highly productive population over time. That is why, plants in good nutritional conditions are required and the work that the crop needs has to be performed in a proper manner. If, for example, the cycle of cultivation moves on, population losses occur due to pests, diseases, and general mismanagement of the crop, the productivity starts to diminish. Replacing lost plants implies making new investments. It helps the producer to better understand sustainability, a concept strongly linked to time, when coffee is seen as a business for the long term.

This part of the guide contains the main practices that must be carried out on the crop and the soil to ensure optimal development of the plants, while maintaining a good population, a optimal productivity and an excellent quality.

This Part 2 is related to Good Agricultural Practices.

Good management practices that are carried out on the crop have the following direct benefits:

Improve and maintain the productivity of coffee crops. Ensure efficient management of resources, soil and water in a manner that can be used on the short-term, without deteriorating or with the least negative impact possible. Safely management and optimal use of fertilisers and crop protection products.

Obtain products that meet the quality requirements of consumers. Ensure the coffee is produced safely.

15 of 72 PART 2 Good Agricultural Practices

Chapter 3 Varieties and rootstocks: related to the selection of the adequate variety to establish a productive crop. Chapter 4 Soil management: practices which allow for a sustainable use of the soil. Chapter 5 Fertiliser use: focused on the safe use of fertilisers, so that they can be used optimally.

Chapter 6 Irrigation: related to the careful and efficient use of water. Chapter 7 Crop Protection Products:enables a safe use of crop protection products, and at the same time implementing practices to ensure its effectiveness. Chapter 8 Harvesting: Control points aimed at preserving the quality of harvested coffee, minimising food safety risks. Chapter 9 Post-harvest product handling: suitable post-harvest product handling, maintaining quality and minimising food safety risks.

Testimonial: benefits of implementation GUATEMALA Cooperative San José El Obrero-Fedecocagua VIETNAM - Phuoc an Company “Now with UTZ, fertilisers are applied When I started the UTZ certification process I had a production of according to the yield potential, ensu- 50 pounds of coffee per acre (0.04 hectares), I am now producing 75 ring sufficient nutrients for the coffee pounds of coffee, but my goal is to improve my productivity further. trees. Mr. Ho Chi Dung, producer in An Thuan, Phuoc An Company “Before being certified, I had a total productivity in my farm of 7,000 pounds. Today, I have a productivity of 11,000 pounds of parchment. This has also represented an increase in revenue.“

16 of 72 Chapter 3 Varieties and rootstocks

Take into account the control points related to varieties and rootstocks and make a good crop establishment process.

Year Year Year Year

If you are involved in planting samples Record the treatments In the case of external Holder/ Holder/ Holder/ of genetically modiﬁed coﬀee (GM) Producer carried out in the in-house Producer nurseries check the health Producer report it to UTZ CERTIFIED and the 3.B.1 nursery. This control is useful 3.A.4 of the plants. Use good 3.A.5 buyer. Comply with the established for following-up and detec- quality seedlings in the regulations and document the process. ting causes of problems that establishment can save may arise. money and start the crop with a high production potential.

Consultation and supporting documents: N Chapter 2 contains useful information The productivity module details the

E on the establishment phase. importance of making a good S selection of the variety.

17 of 72 Chapter 4 Soil management

Implement practical measures to ensure soil productivity over time.

Year Year Year Year

Assess the state of soil fertility. Objective to establish the suitability of the soil for coffee. Type Holder of soil is identified based on a soil profile, soil analysis or local/regional soil map. 4.A.1

Based on the initial analysis deﬁne and implement management measures aimed at conser- Producer 4.A.2 ving and, where necessary, improving soil conditions. 4.A.3

Consultation and supporting documents:

N Chapter 2 explains how to take a good soil sample In the environmental management module you can

E and also conservation practices are described. ﬁnd sustainability strategies for a good management S of the soil.

18 of 72 Chapter 5 Fertiliser use

Manage fertilisers well and gets the most out of them

Year Year Year Year

When selecting and using fertilisers take the following into account: Assign a person responsible with technical knowledge. Holder Document the fertilisation programme taking technical and 5.A.1 environmental parameters into account. 5.A.2 Schedule at least one Holder calibration a 5.C.2 Have instructions for people who apply fertilisers. Do not Holder/ year for the apply fertilisers less than 5 metres away from water ﬂows. Producer fertiliser 5.A.3 application equipment.

Related to application records Record all the applications performed, including: application Holder/ Holder Producer Have an updated list of used and stored fertilisers. date, product name, type of 5.B.1 fertiliser, amount to apply, 5.B.2 method of application, equipment used and name of the operator.

When storing fertilisers take following into account: Separate them from coffee, plant material, food, packing Producer 5.D.1 material and crop protection products. In a manner that Takes into account the special reduces the risk of contamination of water sources and flows. 5.D.2 Holder/ conditions for the storage site. Producer Identify the storage area 5.D.3 Do not use human sewage, sludge and sewage water on Producer coffee for any purpouse. 5.E.2

Consultation and supporting documents:

N In chapter 2 you can ﬁnd N Chapter 4 expands on the information of O recommendations on storage sites O E

E fertilisation criteria. S for fertilisers.

19 of 72 Chapter 6 Irrigation

Use water in a sustainable manner, use good quality water and prevent problems of coffee contamination. Water for human consumption is increasingly scarce. This chapter aims at a careful use of this resource.

Year Year Year Year

Keep records of rain and Implement an action plan to applies prediction methods Holder Holder 6.A.1 optimise the use of water. 6.B.1 Do not use untreated wastewater. It based on historical informa- can aﬀect the quality and safety of the Producer tion. Know the farm's water coﬀee produced. Take existing 6.C.2 balance allows you to optimise regulations into account. the irrigation system to be implemented. Carry out an annual Holder assessment of contamination 6.C.1 risks. Analyse the irrigation water. Document the process when implementing measures.

Keep irrigation records, it Holder/ The water used must be extracted Holder/ from sustainable sources. Remember enables you to give follow up Producer Producer on the use of this resource. 6.B.3 that the water supply for the farm is 6.D.1 necessary for a long period of time. These records are useful for making decisions with regard Establish an eﬃcient irrigation Holder/ system, seek technical advice Producer to water management. to deﬁne the irrigation system. 6.B.2

Consultation and supporting documents: In the environmental management The module on coﬀee quality describes module you can ﬁnd sustainability the risks that may be present during the strategies for water management. washing due to water misuse.

20 of 72 Chapter 7 Crop Protection Products (I)

Make a proper selection of the required crop protection products, look for good advice that indicate the recommended and proper use of products.

Year Year Year Year

When selecting and using crop protection products take the following into account:

Assign a person responsible with technical knowledge. Holder/ Producer Use products with the least toxicity possible, 7.A.1 which are registered for use in coffee, which 7.A.2 are not banned, which are suitable for the 7.A.4 7.A.5 problems that arise, using the minimum Consult the list UTZ Holder amount appropriate (documenting the 7.A.9 CERTIFIED List of Implement an Holder/ 7.A.3 anti-resistance strategy. Producer justification), and consults the UTZ CERTIFIED Maximum Residue Limits 7.A.10 list of Banned Crop Protection Products. (MRL) for your specific market.

Apply FAO regulations if there there is no oﬃcial registration in your country. Holder Apply recognised IPM Producer 7.A.6 techniques 7.A.11 Ensure that the products used are suitable for 7.A.7 problems that arise, justiﬁy their use.

Prepare, mix and implement the products Producer according to the instructions on the label. 7.A.8

Consultation and supporting documents:

N Chapter 3 describes the most N Chapter 3 contains more

O N Chapter 3 contains information related important techniques for O E information on managing crop E O to selecting crop protection products. S integrated pest management to E S protection products. S be implemented in the crop.

21 of 72 Chapter 7 Crop Protection Products (II)

Manage the crop protection products in a safely manner for the product, people and environment.

Year Year Year Year

Related to application records

Have an updated list of used and stored crop protection products. Holder/ Producer Document the crop protection products used and or stored on the production 7.B.1 site. Update the information anually. 7.B.2

Record the applications of crop protection products including: application date, product name, chemical composition, doses per hectare, plot or field, Producer 7.B.3 first allowed harvest date, re-entry time, justification of application, method 7.B.4 and equipment used, operator name, person who recommended the product. 7.B.5 Inform the people involved on the re-entry time and the indications of use. Do not apply products less than 5 metres away from water streams.

Related to application equipment: Holder/ Schedule at least one calibration a Holder Keep the application equipment for crop protection products Producer year for the application equipment. 7.C.2 in a good condition. 7.C.1

Dispose any surplus of the application mixture, taking into account: National legislation or in its absence, in accordance with points 7.D.2 and 7.D.3 Producer 7.D.1 in a manner that it is applied over an untreated part of the crop, without 7.D.2 exceeding recommended doses or in a fallow ﬁeld. 7.D.3 Record the application as if it were a normal application.

Consultation and supporting documents:

N Chapter 3 contains more information on N Chapter 3 contains useful

O O

E the storage of crop protection products. E information about managing the S S application equipment.

22 of 72 Chapter 7 Crop Protection Products (III)

Year Year Year Year

Transport products safely minimising potential hazards to Holder/ Producer people, food and the environment. 7.E.1

Store according the following: Identifying the type of crop in which it should be used. Producer/ In accordance with labelling instructions and legislation. storage 7.E.2 Properly closed in its (original) package. 7.E.3 7.E.4 Storing the products in powder or granular form above products 7.E.5 in liquid form.

When mixing products, use the correct measurement Producer equipment. 7.E.13

Take the following conditions into account for the storage area: That it is structurally sound and secure. Producer/ storage That it remains closed and accessible only to trained That products are well ventilated. 7.E.6 people handling crop protection products. Producer/ Made from ﬁre-resistant materials. 7.E.7 storage With shelves made from non-absorbent 7.E.8 That it has permanent hazard warning signs. 7.E.9 materials. 7.E.12 7.E.10 7.E.14 That it is separated from the mill equipment and 7.E.11 Able to retain spillage. harvested and processed coﬀee. That there are procedures and equipment available able to deal with any contamination and accidental spills.

Consultation and supporting documents: N Chapter 3 has additional information of the storage O E conditions for pesticides. The environmental management S module describes some risks due to the The environmental management module describes mismanagement of pesticides. some strategies for handling hazardous waste.

23 of 72 Chapter 7 Crop Protection Products (IV)

Year Year Year Year

For the management of crop protection product packaging take into account the following:

Do not reuse empty packaging. Producer 7.F.1 Store, label and handle the empty crop Producer 7.F.2 protection product adequately and 7.F.3 Rinse three times and perforate the containers to prevent reuse. 7.F.4 securely until they are collected. Implement a suitable system for disposing empty crop protection product containers.

For managing obsolete crop protection products take into account the following:

Producer/ Store, label and handle obsolete Implement a suitable system for obsolete crop protection products adequately and safe. Routinely Producer/ storage storage products. 7.G.2 clean and disinfect storage sites. 7.G.1

Consultation and supporting documents:

N Chapter 2 describes some ways on how to handle N Chapter 3 contains information on managing obsolete O O E used packaging. E products.

S S In the environmental management module some problems are described, generated by the poor handling of empty containers and expired products, some management strategies are also proposed.

24 of 72 Chapter 8 Harvest

Coffee consumers demand a good quality product that does not put their health at risk. That is why it is important to implement these practices related to the harvested coffee.

Year Year Year Year

In relation to the risk analysis of the harvest take into account:

Based on the risk analysis Minimise the contact of the harvested coﬀee make an action plan to Holder with any possible sources of contamination Producer 8.A.2 8.A.3 assure the hygiene and by fungi. Perform an annual hygiene Holder and food safety risk analysis. food safety. Identiﬁy the Perform training activities with collectors to 8.A.1 person responsible for understand that they are working with a implementing it. food product.

Annually calibrate tools used for weighing or Producer measuring volume. 8.B.1

Consultation and supporting documents:

N Chapter 4 contains information related to the risk O E analysis and the contamination by fungi.

Find recommendations to develop a training session.

25 of 72 Chapter 9 Post-harvest product handling

Handling the product in post-harvest is important in order to avoid a negative effect on the cup quality of the coffee.

Year Year Year Year

Take the following into account for the post-harvest risk analysis: Holder Annually analyse Keep the facilities where the post-harvesting of the the health and Holder Develop and coﬀee takes place in a good condition. 9.A.3 Adequately use 9.A.1 implement an Holder of coﬀee Holder food safety risks action plan 9.A.2 by-products. 9.A.5 related to the post-harvested based on the Restrict the access of animals and vehicles to Holder/ risk analysis. Producer product. post-harvest facilities. 9.A.4

Use clean water for pulping, washing and Holder fermenting. Treat the water resulting from 9.B.2 these processes to prevent a negative impact 9.B.3 Avoid wetting dry Holder on the environment. coﬀee during 9.D.3 Implement an loading and action plan to Holder transport. optimise the use 9.B.1 Minimise the risks of fungi Holder/ of water. forming during drying. Producer 9.C.1 Ensure proper moisture and hygiene during milling, Producer storing and transportation. Also use reliable 9.D.1 techniques to measure humidity; calibrate the 9.D.2 equipment or tools used to determine the humidity.

Consultation and supporting documents:

N Chapter 2 explains how to N Chapter 6 relates to N

O O O Chapter 4 describes the coﬀee mill stages and aspects to take E implement vermicompost E the environment E into account to ensure the coﬀee's quality. S S S and get the most out of and conservation. the waste. The environmental management module describes some strategies for handling water.

26 of 72 Part 2 Additional control points

In Part 2 for the fourth year there are seven additional control points, listed below. Keep in mind that you must choose some of these to comply with depending on the situation of the group or producer.

Chapter 3 Assign a responsible competent person to select the most suited Holder variety of coffee. 3.A.1 3.A.2 Make records and seed quality certificates available.

Holder/ For an in-house nursery, an operational plant health quality control Nursery system is in place. 3.A.3

Chapter 5 Keep the application equipment for inorganic fertilisers in a good Producer condition. 5.C.1

Perform an analysis to determine the nutrient content of used Holder organic fertilisers. 5.E.1 Perform an assessment to determine the risk of transmission of diseases with organic fertilisers.

Chapter 6 Use the evaporation data to calculate irrigation requirements and Holder demonstrate it in a document. 6.A.2 6.D.2 Seek expert advice for water extraction.

27 of 72 PART 2 Calculation of the mandatory and additional control points

Note: Out of the 10 control points that do not apply, only two are shown as an example. The producer organization “Good Inside” (group certification), is in the third year of certification. Comments The group DOES NOT have an in-house nursery, the Control Point Justify the comments organisation buys the seedlings from a supplier. Nº when the control point is not met and when it is not applicable Year 1 Year 2 Year 3 Year 4 Year N/A Furthermore IT DOES NOT use genetically modified Level of Level inspection organisms, GMOs, nor does it use irrigation. For an in-house nursery, all crop protection product treatments On the farm they don’t handle in-house 3.A.4 applied to coffee in the coffee nursery are recorded and include C/N X nurseries. This work is contracted and the requirements as set out in 7.B.3. therefore there are no records. The control points that do not apply to the case in this example are: 3.A.4, 3.A.5, 6.A.1, 6.A.2, 6.B.1, For an external nursery, propagation material that a producer buys from an external coffee nursery is free of visible signs 6.B.3, 6.C.1, 6.C.2, 6.D.1 and 6.D.2 of pest and disease. 3.A.5 When plants have visible signs of pest and disease damage, C/N X On the farm there is no in-house nurseries a justification is available (e.g. that the threshold for treatment has not been reached yet). Step 1: Mark the points that do not apply in the checklist. Year Year Year Year Step 2: 1 2 3 4 Justify in the comments column why Total mandatory control points chapter 3-9 49 68 75 80 the points do not apply. Number of mandatory control points complied with 65 Step 3: Number of mandatory control points Not Applicable 10 Calculate the total identified mandatory control points that are complied with for year 3. In this case The sum of complied mandatory control points and not applicable mandatory control points has to equal the total of mandatory control points in this part. there are 65 complied mandatory control points.

Total additional control points 38 19 12 7 Step 4: Then calculate the non applicable control points Total additional control points Please check the box for the situation applicable for your certification from step 1 and 2. In this case, there are 10 non applicable control points. The certificate holder for which applies irrigation and nursery chapter applies 4 3 2 2 The certificate holder for which the irrigation chapter applies (but no nursery) 3 2 0 0 Step 5: Then indicate what the situation for certification The certificate holder for which the nursery chapter applies (but no irrigation) 2 2 1 1 is. In this case it is "certificate holder with no X The certificate holder with no nursery and no irrigation 1 1 0 0 irrigation and no nursery" Number of additional control points complied with 0 Step 6: If an additional control point is not applicable, it can NOT be counted in or deducted from the number Finally calculate the additional control points that of additional control points required for certification. have been identified in step 4. In this case, there is 0 complied additional control points.

28 of 72 PART 3 Social and environmental aspects

When implementating the social aspects (chapter 10) and environmental aspects (chapter 11), the focus should be on understanding the generated benefits by the organisation when applying these control points. Human talent is the resource most used and within the cost structure of a farm is the cost that most weighs. Therefore, whatever we do to achieve a good performance and an optimum worker performance has a significant impact on farm productivity. It is people that make the organization a success; it is often human error which may compromise the viability of a coffee organization.

Some aspects that affect the productivity of the people, is training to develop their skills and abilities to do the job, as well as the conditions to motivate them for a good work performance.

The social aspects are also related to measures to ensure that the work on the farm is done in a safe manner, minimizing the health risks of the workers and their families.

The sustainable management of natural resources of the farm is a necessary condition to allow the coffee producing farm to be viable on the long term. The destruction of natural resources not only compromises the capacity of the coffee farm, but produces an economic deteroriation of the farm and the region.

Implementing routine, preventive and conservation practices at the end is more economic and viable than trying to solve complex problems which occur when not taking the necessary measures on time, such as water shortages, loss of top soil, among others.

Adopting measures for forest conservation, wildlife and native flora brings benefits to the producer and its cultivation, as this is the habitat for biological control and natural enemies of pests and diseases.

29 of 72 PART 3 Social and environmental aspects

Chapter 10 Workers’ rights, health and safety: criteria related to the risk management of labour conditions, workers’ health and rights.

Chapter 11 Natural resources and biodiversity: criteria related to the risk management and conservation of water sources, forests and fauna, among others.

Brazil: Ponto Alegre Testimonial: benefits of implementation The working conditions have improved in the farms, COLOMBIA: Anserma Cooperative mainly in terms of housing, hygiene, showers and wages. (Agronomist Omar Orozco) The conditions are well above the national average. The use of the shade and intercropping with bananas, allows the quantity of chemical fertiliser applied to the coffee plants to be reduced by up to 25%. “ Vietnam: Thai Hoa Company “Certification enables eco-friendly production” “We feel safe working with UTZ. It is good from the inside to the outside” said Pham Van Son, producer in “Environmental and labour conditions have improved.” An Lac, Dinh Van Lam Ha.

30 of 72 Chapter 10 Workers’ rights, health and safety (I)

Work is a key element for human development for this reason it is important to consider the aspects that are part of a good work environment.

Year Year Year Year

With regard to risk management for working conditions, take following into account: Perform a worker Make and Assign a person responsible for Holder implement an Holder Holder health and safety risk 10.A.1 10.A.2 training and raising awareness of 10.A.3 assessment. action plan worker rights. based on the risk assessment.

With regard to worker health and safety training take following into account: A person trained in ﬁrst Holder/ Keep training records, which aid is always available in Holder Train workers based on the risk Holder 10.B.3 assessment on health and safety Producer include date, type and subject 10.B.2 the central facilities procedures. 10.B.1 of training. when activities are carried out.

Worker health and safety facilities and accident procedures: Have a written accident and emergency procedure in place. Holder This should also include the subject of 10.C.2 Make ﬁrst aid kits available and 10.C.3 Holder HIV/AIDS prevention. 10.C.4 accessible at all central and 10.C.1 processing locations. This procedure is understood by 10.C.5 permanent workers and supervisors of seasonal workers and clearly visually displayed. All potential hazards are indicated with clear and permanent warning signs and symbols.

Consultation and supporting documents In the module of safety and wellbeing, training to In this guide you can ﬁnd workers is highlighted as well as guaranteeing recommendations to develop a adequate conditions for their health and security. training session.

31 of 72 Chapter 10 Workers’ rights, health and safety (II)

Year Year Year Year

Workers who apply crop protection products should use protective equipment that are in Producer 10.D.1 good condition. 10.D.2 Protective clothing and equipment is stored 10.D.3 separately from crop protection products. Also 10.D.4 10.D.6 clothing is washed regularly. Children under 18 years old, pregnant women should not handle or apply crop protection products.

With regard to hygiene and housekeeping take following into account: Keep production, processing locations as well Holder Train on basic hygiene. Holder as communal eating and living sites cleans. 10.E.3 Provide access to hand washing Holder Carry out pest control. facilities and toilet facilities. 10.E.2 Hygiene instructions are 10.E.1 10.E.4 visibly displayed. Provide assigned area for litter and waste.

32 of 72 Chapter 10 Workers’ rights, health and safety (III)

*The control points marked with an asterisk only apply to individual / multi-site certiﬁcation 10.F.1- 10.F.11- 10.F.15 – 10.G.1 – 10.G.4 – 10.G.5 – 10.G.7 Year Year Year Year

Clear overview of workers. For permanent workers: full names (gender), date of birth or age, date of entry, Holder period of employment. For seasonal workers: number of seasonal workers, date of birth or age, wages and 10.F.1* payment.

Take into account worker rights to establish or join an organization. Farmer representatives are not subject to Holder discrimination. 10.F.2 Allow workers the right to engage in collective bargaining. 10.F.3

Workers are not forced to: Holder/ Perform forced labour; leave deposits for ID papers; make their wives and children work. Producer 10.F.4 Working minors should not perform hazardous work. Children under 15 years are not employed as 10.F.5 permanent or seasonal workers. If local legislation has established a higher minimum age, this higher age 10.F.6 applies. Workers should not receive corporal punishment, mental or physical oppression and coercion, 10.F.16 verbal or physical abuse, sexual harassment.

There is no discrimination in hiring, remuneration, access to training, promotion and beneﬁts on the basis of Holder gender, race, caste, ethnicity, colour, sexual orientation, union membership, marital status, national origin, 10.F.7 disability, religion or political opinion.

Holder In relation to working hours take following into account: 10.F.8 Maximum working hours, overtime paid, break periods, also for breast-feeding women. 10.F.9 10.F.10

Consultation and supporting documents

In the module of safety and wellbeing there is information to motivate the performance of the workers and improve their productivity.

33 of 72 Chapter 10 Workers’ rights, health and safety (IV)

*The control points marked with an asterisk only apply to individual / multi-site certiﬁcation 10.F.1- 10.F.11- 10.F.15 – 10.G.1 – 10.G.4 – 10.G.5 – 10.G.7 Year Year Year Year

Pay all workers in accordance with national law. Producer Do not make deductions for disciplinary purposes. 10.F.12

Holder/ Equal work is remunerated with equal pay. producer Keep records of wages. Holder 10.F.13 Set up employment 10.F.14 contracts with permanent wprkers.

Provide maternity entitlements and protection to Holder workers in accordance with national law. Maternity 10.F.15* leave should not result in loss of seniority or deduction of wages.

Allow on-site living families to freely perform cultural Holder expressions. 10.F.18 If workers' children are educated on the farm it Holder must be in an appropriate 10.G.5* Provides clean and safe Holder place, with qualiﬁed Stimulate primary education of on-site living children Holder living quarters for 10.G.1* teachers. Record attentance. of workers who have the age to go to primary school. 10.G.3 workers.

Perform continuous Holder training on issues related 10.G.9 Provide access to emergency health care and regular Holder to HIV/AIDS and its primary health care. 10.G.7* prevention.

Consultation and supporting documents The control points marked with In the module of safety and wellbeing there is information to an asterisk only apply to motivate the performance of the workers and improve their individual / multi-site certiﬁcation productivity. 10.F.1- 10.F.11- 10.F.15 – 10.G.1 – 10.G.4 – 10.G.5 – 10.G.7 It also contains information on the implications of child labour and women's work.

34 of 72 Chapter 11 Natural resources and biodiversity

It is important to identify the negative impacts generated on the environment by agriculture.

Year Year Year Year

For risk-management and Protect and preserve all water streams and Producer conservation take sources. Have a strip of native vegetation. 11.B.1 11.B.2 following into account:

Make and implement Holder Conduct a risk Conserve primary forests. Holder/ an action plan based 11.A.2 Holder/ assessment on Producer on the risk 11.A.3 Do not plant new coffee on land that is not Producer environmental 11.A.1 assessment. classified as agricultural land. 11.C.1 impacts. 11.C.2 A conservation plan is Manage secondary forests in agreement 11.C.3 in place or participate with the recommendations of the Code. 11.C.5 in a forest management plan. Use trees for coffee shading if local conditions permit it.

For managing energy sources and its use take into account When using wood for drying of coffee, wood Producer the following: is obtained from managed forests, not from 11.C.4 native forests. Monitor and record Holder/ the farm's energy Producer consumption. 11.D.1 Record and monitor Holder/ Do not produce coffee in protected areas. Producer energy use. Producer 11.C.7 11.D.1 If coffee is planted near protected areas, Use by-products from Holder contact park authorities. Holder coffee cultivation and 11.D.4 11.C.8 processing.

Consultation and supporting documents N Chapters 2 and 6 contain

The environmental management module provides E information on managing information on managing the farm's natural resources. S by-products.

35 of 72 Part 3 Additional control points

Some additional control points have to be complied with every year. Remember Chapter 10 that some points that are additional in the first year become mandatory in the Conduct planned meetings with the workers to address their Holder second year. The same applies for the third and fourth year. Keep in mind that concerns. Records of these meetings are kept. 10.A.4 you must choose some of these to comply with depending on the situation of the group or producer. Take special provisions with disabled workers to ensure their health Holder and safety. 10.C.6 In Part 3 for the fourth year there are 14 additional control points, listed below. At least once a year a medical check-up is performed on the Holder workers who apply crop protection products. 10.D.5 * The control points marked with an asterisk only apply to individual / multi-site certification When overtime is required, notify timely. Provide workers access Holder 10.F.1, 10.F.11, 10.F.15, 10.G.1, 10.G.4, 10.G.5 and 10.G.7 to safe transportation home following overtime shifts. 10.F.11*

Promote the participation of minority groups. Holder Identify, delineate and preserve areas of social, cultural or 10.F.17 religious significance of the worker. 10.F.19 10.G.2 Provide accommodation with divisions between families and possible access to electricity.

Provide workers’ children with the means necessary to studying, Holder for example transport. Promote the education of the worker 10.G.4* and his family. 10.G.6 10.G.8 Stimulate educational programmes on hygiene and nutrition to improve the health of on-site workers and the families.

Chapter 11 Holder/ Perform an assessment of the possibility of diversifying the Producer 11.A.4 farm’s products. Holder/ Have information on endangered and protected species in the area Producer in place. 11.C.9 Use renewable energy sources. 11.D.3

Producer Re-forest areas that do not have a productive use 11.C.6

36 of 72 Part 3 Calculation of the mandatory and additional control points

Comments The producer organization “Good Inside” (group Nº Control Point Justify the comments certification), is in the third year of certification. All when the control point is not met

Year 1 Year 2 Year 3 Year 4 Year N/A and when it is not applicable Level of Level inspection post-harvest work is performed in a coffee mill station. The certificate holder indicates all potential hazards on central 10.C.5 and processing locations with clear and permanent C X There are no processing units warning signs and symbols. The control points that do not apply to the case in When using wood for drying of coffee, the producer obtains the example are: 10.C.5, 11.C.4, 11.D.1 and 11.D.4 this wood from managed forests or from the pruning of crops The coffee is not dried on the farm; 11.C.4 or shade trees, and not from native forests, unmanaged P X therefore no woord is cut community forests, borders of waterways and other sources from native forests. of water or protected areas. Step 1: The certification holder records and monitors the use There is no processing 11.D.1 of energy in production and processing. C/P X taken place at the farm. Mark the points that do not apply in the checklist.

The producer uses the by-products of coffee growing 11.D.4 and processing (pulp, hulls, husk and parchment) as fertilizer, C/P X There are no subproducts, as the Step 2: compost, mulch or energy source (for machine drying). coffee is not processed on the farm. Justify in the comments column why the points do not apply. Year Year Year Year 1 2 3 4 Step 3: Total mandatory control points chapter 10-11 36 45 52 57 Calculate the total identified mandatory control Number of mandatory control points complied with 48 points that are complied with for year 3. In this case there are 48 mandatory control points. Number of mandatory control points Not Applicable 4 The sum of complied mandatory control points and not applicable mandatory control points has to equal Step 4: the total of mandatory control points in this part. Then calculate the non applicable control points Total additional control points 34 25 18 14 from step 1 and 2. In this case, there are 4 non Additional control points required for certification applicable control points. Please check the box for the situation applicable for your certification The certificate holder is an individual farm (employs hired labor) 5 4 3 2 Step 5: Then indicate what the situation for certification is. The certificate holder is a smallholder group (1) - The group has hired labor either in 4 3 2 1 the central processing or smallholders employ workers In this case it is "The group has no hired labor The certificate holder is a smallholder group (2) - The group besides the ICS staff" X has no hired labor besides the ICS staff 1 1 0 0 Number of additional control points complied with 0 Step 6: If an additional control point is not applicable, it can NOT be counted in or deducted from the number Finally calculate the additional control points of additional control points required for certification. that have been identified in step 4. In this case, there is 1 complied additional control points.

37 of 72 Annex 1 How to manage administratively a group?

This is a proposal on how to manage a group administratively its compliance In this case the producer entered the UTZ CERTIFIED program with the group in with the UTZ Code throughout the years. It is intended to give organizations year 2009 and in the next 4 years needs to advance each year, just like as the an easy tool, in order to know and monitor the progress of the group members Code is structured. with the compliance of the mandatory and additional control points of the UTZ certification. Please note that this tool is an example and by no means is it the The following boxes per level are used to record in which stage the producer is, if only way to manage this information. already the internal inspection is done, or if the producer finalized compliance with the requirements for that year and therefore ready to receive the external audit. The Internal Control System, ICS, of the organizations can manage in one single record the level of compliance of each of its farms, group members. This simple tool It is very important to have a control on the producers’ information, in which year intends to be easily understood and which you can update quickly whenever new they are with the Code of Conduct, if the internal inspection took place as part as information comes in. Managing this information of a group requires attention of the of the self inspection. If the internal inspection has not taken place, it is then a sign ICS especially when the group members increase and the group needs to manage its for the group to step up and analyze the situation for each of the group members. implementation, internal inspection and approval of members in different years of compliance with the UTZ Code. In the following table an example is shown how the fill this in for the record.

How do you use this record? Year of Compliance 1 Year of Compliance 2 In process Realized In process Realized This record needs to be managed by the responsible person of the ICS who enters Year of Internal Complied Year of Internal Complied the required information in order to manage control in the Farms Compliance compliance Inspection compliance Inspection Check Record. 2009 2010 In the Farms Compliance Check Record the farms are entered who are either new or are already certified UTZ. Subsequent it is indicated in which year of In this example, the producer complies with the requirements of year 1 in 2009, compliance they belong to; year 1, 2, 3 or 4 which is based on the entry date with which means including the internal inspection. In this moment, the producer is in UTZ. The following table gives an example of this: year 2, and has not received yet the internal inspection, which means the producer is still in process implmenting the requirements which are needed for certification Year of Compliance 1 Year of Compliance 2 Year of Compliance 3 Year of Compliance 4 of year 2. In process Realized In process Realized In process Realized In process Realized Year of Internal Complied Year of Internal Complied Year of Internal Complied Year of Internal Complied compliance Inspection compliance Inspection compliance Inspection compliance Inspection 2009 2010 2011 2012 The whole example shows us how to manage producers in multiple years of compliance.

38 of 72 Annex 1 How to manage administratively a group?

Year of Compliance 1 Year of Compliance 2 Year of Compliance 3 Year of Compliance 4

In process Realized In process Realized In process Realized In process Realized Farm Entry date with Year Year Year Year Name of the Farm UTZ CERTIFIED of Internal Complied of Internal Complied of Internal Complied of Internal Complied code compliance Inspection compliance Inspection compliance Inspection compliance Inspection 1 Las Orquídeas 10/07/2010 2009 2010 2011 2010 2 Los Toros 10/08/2009 2010 2011 2012 2013 3 Alberto Gómez 10/10/2011 2008 2009 2010 2011 4 Grupo Zeta 10/11/2010 2009 2010 2011 2012 5 María Montes 10/05/2009 2010 2011 2012 2013 6 Raúl Pineda 10/05/2007 2008 2009 2010 2011 7 Pedro Ulate 05/05/2008 2010 2011 2012 2013 8 Clara Sánchez 06/07/2010 2009 2010 2011 2012 9 Francisco Mejía 20/01/2010 10 Alberto Sánchez 07/08/2009 2007 2008 2009 2010 11 12 13 14

NOTE: In addition to this record, the head of the ICS of the organization can information is entered, showing the status of the farms year after year, and then have a different tool to manage the information in an advanced manner. This also knowing which control point is applicable for each farm. Please click here to tool serves as a simple database which is updated automatically every time new get this example in Excel.

39 of 72 Annex 2 Records and Documents

On the following pages, you can find a serie of records and documents which serve Name Control Points Page as an example how compliance can be with control points which require records or documents. It is important to note that these examples are examples and not Record 1 - Delivery of certified coffee 1.A.1 41 the only way to comply with the control points. Also depending on the context, Record 2 - Receipt of certified coffee 1.A.2 42 region or country where the implementation occurs, there may be several variants at the mill or plant and better proposals in order comply with the requirements of the Code. Record 3 - Record of production, 1.A.3 43 handling and sale of coffee Given that there are different measurement units in each region and it is difficult Record 4 - Traceability procedure and handling to standardise a unit, we have opted to use the units of measurement from the 1.A.1 - 1.A.7 44 metric system. It is up to the reader to make adjustments to units used regionally. of samples UTZ coffee Also the information completed in the records and documents should not be Record 5 - Complaint form 2.C.3 - 2.C.4 45 considered as recommendations or suggestions by UTZ and Solidaridad. The sole Record 6 - Application record of fertilizers 3.A.4 - 5.B.2 46 aim of the following examples is pedagogical. and crop protection products 7.B.3 - 7.D.2

Record 7 - Rainfall record 6.A.1 47

Record 8 - Irrigation record 6.B.3 48 Record 9 - Veriﬁcation and maintenance 7.C.2 - 8.B.1 49 of application equipment

Doc. 01 - Risk analysis on hygiene and food safety of coﬀee 8.A.2 - 8.A.2 Doc. 02 - Action plan on hygiene 50 - 52 and food safety of coﬀee 9.A.1 - 9.A.2

Doc. 03 - Risk assessment on environmental impacts 9.B.1 - 11.A.1 - 11.A.2 53 - 56 Doc. 04 - Action plan on environmental impacts

Doc. 05 - Risk assessment on worker health and safety 10.A.1 - 10.A.2 57 - 63 Doc. 06 - Action plan on worker health and safety

10.A.4 - 10.B.1 64 Record 10 - Training and general activities 10.B.2 - 10.B.3

10.F.1 - 10.F.8 - 10.F.12 Record 11 - Payment to workers and working hours 65 10.F.13 - 10.F.14 Record 12 - Energy consumption 10.D.1 66

40 of 72 Coﬀee Mill Delivery of UTZ CERTIFIED coﬀee Control point Record 01 Good Coffee Year 2009 1.A.1

Dispatch number 2009 - 034 Date: 1-ago-09 Source: Coffee Mill Good Coffee Address: Coffee lane. Town Great Cherry Destination: Green Quality Address: Port of Green, Storage 25

Transporter: Charles Gitan Vehicle: Truck License plate: WRT - 456 Amount of product: 9000 Kilos Product description: 150 bags of gold coffee, ready to export. Complies with HB quality.

Observations: The vehicle's conditions are checked and it complies with the transport conditions coffeee insurance. If you have any claims for the receipt of the product, its condition or the quantities, description or quality does not match that stated, please contact by telephone on 99999-999, or by email at [email protected]

Signature of the dispatcher Signature of the transporter Name: Anthony Aziiza Name: Charles Gitan Identiﬁcation: 98765 Identiﬁcation: 123456 Record 02

Coﬀee Mill RECEIPT OF CERTIFIED UTZ COFFEE AT MILL OR PLANT Control point Good Coffee Year 2009 1.A.2

Receipt number: 3456 Date: April 29, 2009 Source: Farm “The Best” Address: Coffee lane., Town Great Cherry

Amount of product: 300 Kilos Product description: UTZ certified parchment coffee. In 8 bags.

Observations: The product quality analysis is performed, in accordance with receipt standards

Signature of the deliverer Signature of the receiver Name: George Kajuga Name: Anthony Aziiza Identification: 65489 Identification: 98765 UTZ Certified Farm or Producer Purchase or collection point for coffee Record 03

Cooperative Production,handling and sale of UTZ coﬀee Control point “The Best” Year: 2009 1.A.3

Kilos of Kilos of Amount Dispatch Average Date parchment parchment coﬀee Destination Observations coﬀee bought dispatched or sold stored number humidity (%) 15-mar 300 kg 300 kg 0 2006-01 Mill 10,50% 30-mar 400 kg 200 kg 200 kg 2006-02 Mill 11% 14-abr 300 kg 150 Kg 350 kg 2006-03 Mill 12% 29-abr 290 Kg 300 kg 340 kg 2006-04 Mill 10% 17-may 450 Kg 790 kg 1-jun 280 Kg 280 Kg 790 kg 2006-05 Mill 11,50% 14-abr 500 kg 290 Kg 1000 Kg 2006-06 Mill 12% Record 04

Farm: Traceability procedure and Control point The Best / Owner Charles Wakata handling of samples UTZ CERTIFIED 1.A.1 - 1.A.7 Date: July 1st, 2009

GENERAL OBJECTIVE Define the instructions for the harvesting, transport and wet process to producers and coffee mill staff, to protect the integrity of UTZ certified coffee.

MANAGER Staff member managing the transport of coffee and coffee mill.

PROCEDURE 1. Weigh each one of the coffee receipts that enters the mill and send the document receipt, clearly indicating the origin. 2. Receive UTZ certified coffee separately, mill it and then mill the uncertified coffee. 3. Completely extract the pulp from the UTZ certified coffee. 4. Send the UTZ certified coffee to a tank identified for this purpose. Use the identification card. 5. Transport the UTZ certified and uncertified coffer separately to the drying patio or mechanical dryer. 6. Identify the UTZ certified coffee in the drying patio or mechanical dryer. 7. Unload the mechanical dryers separately and pack in bags, store certified coffee identifying the label. Mark the piles according to whether they are UTZ certified or not. Use silos or separate deposits for UTZ certified or uncertified coffee. 8. Make the dispatches independently or clearly separated, identifying in the dispatch if it is UTZ certified coffee.

UTZ CERTIFIED COFFEE SAMPLE 1. At the last moment before the coffee is removed for sale a sample of green coffee should be taken. 2. Take the sample including coffee from each bag. 3. Store a sample of at least 1/2 pound of green coffee. 4. Store samples in clean containers that can be plastic or glass. 5. Identify the samples with labels containing basic information: date, batch or release number, field or group of farms where the coffee originates from, person responsible for taking the sample. 6. Keep the samples in a dry, ventilated and safe place. 7. Store samples for a minimum period of 12 months.

APPROVED: Charles Wakata. Record 05 Cooperative Control point Complaint form The Best 2.C.3 - 2.C.4

Customer: Mill Supreme Coffee Date: July 15, 2009 Claim (product or UTZ standards) The coffee received has a high moisture level, 14%. Exceeding the permitted level by 12%

Claimant signature:

Signature of the person receiving the claim:

Possible cause of the claim: Humidity in the store

Corrective action implemented: Date: 16-jul-09 Manager: George Kajuga Improve the storage in the store, use better storage areas

Follow-up of corrective action implemented: Date: 1-aug-09 Manager: George Kajuga The coffee delivered is within the permitted limits Farm: Control point Record 06 The Best Crop Protections Product and Fertilizer applications 3.A.4 - 5.B.2 Owner 7.B.3 - 7.D.2 Year: 2009 7.D.3 Charles Wataka

Operator name Charles Wataka Abdul Bisaso Daniel Maffa Daniel Maffa Application date 1-jun-09 1-jun-09 12-jun-09 13-jun-09 Field or plot The Volcano The Lagoon The Volcano Storage Plague or sickness - fertilisation Berry borer control Weed control Fertilisation Fertilisation

Quantity or output per hectare or volume 1.5 Litres per hectare 1.2 Litres per hectare 500 kilos per hectare 2 grams per bag

Trade name LORSBAN ROUND-UP Urea Urea Active ingredient and concentration Chlorpyrifos (48%) Glyphosate (48%) Nitrogen (46%) Nitrogen (46%) Doses 5 cc/ Litre of water 7 cc/ Litre of water 80 grams per tree 2 grams per plant Boots, overall, protective Boots, overall, protective Protection equipment apron, mask, gloves apron, mask, gloves Boots, gloves Boots, gloves

Application method or type of machinery Manual back sprinkler Manual back sprinkler Manual Manual

Amount of surplus mixture 10 Litres 10 Litres No No

Place for applying the surplus Edge of the batch Edge of the batch no no

Time of re-entry 3 days NA NA NA

Pre-harvest period (period of shortage) 21 Days No No No

Harvest date 22-jun-09 No No No

Product selection authorisation Group production plan Engineer Albert Seromba Engineer Albert Seromba Group production plan Record 07

Cooperative: Daily rainfall record Control point The Best Year: 2009 6.A.1

Date Rainfall (mm) Observations

1 abr 2

2 abr 20

5 abr 15

1 jul Strong torrential rain 59 accompanied by thunder storm Record 08

Cooperative: Registro de consumo de agua riego Control point

The Best Year: 2009 6.B.3

Date Cubic meters (m3) Plot Manager of water used

1-abr 20 The Volcano George Nababi 2-abr 30 The Lagoon George Nababi 5-abr 45 The Volcano George Nababi 1-jul 2 Storage George Nababi Record 09 Cooperative: Veriﬁcation and maintenance of application equipment Control points The Best Year: 2009 7.C.2 - 8.B.1

Date Producer Name and description Name of person of machine or equipment Calibration description Calibration state performing the calibration

The regulation dimensions are 1 Jun Pascal Ziwa Volume measurement measured and comply with Good Charles Lwanga equipment the standard measure

The weight was tested with 15 Jul John Kamya Scales for received coffee standard of 50 kilos Good Charles Lwanga

1 Back sprinkler, 13 Aug Good John Kavuma Pascal Ziwa 20 litre capacity Calibration

13 Aug Charles Luutu 2 Back sprinklers, Calibration Good John Kavuma 20 litre capacity

3 Back sprinklers, 13 Aug Calibration Bad John Kavuma Charles Luutu 20 litre capacity

3 Back sprinklers, Change of nozzle 19 Aug Charles Lwanga John Kamya 20 litre capacity and general greasing

1 Back sprinkler, Change of straps 19 Aug Pascal Ziwa Charles Lwanga 20 litre capacity and general painting

3 Back sprinklers, 25 Aug Calibration Good John Kavuma Charles Luutu 20 litre capacity Annex 2 Records and Documents

Document 01 Risk analysis on hygiene and food safety of coffee (I) The aim of the following guidance is to provide support on how to make a 2. Structure of the risk analysis on hygiene and food safety of coffee risk analysis related to hygiene and food safety of coffee in order to meet the requeriments of 8.A.1 and 9.A.1 of the UTZ Code. To facilitate the understanding 2.1. Introduction: of this guidance, the following terms are explained: The risk analysis on the safety of coffee must have an introduction with a brief description of the activities undertaken at the coffee mill and what is Flowchart: Systematic representation of the sequence of stages or operations the scope of the analysis. carried out in a process. 2.2. Description of the process and flowchart: Danger: Biological, chemical or physical agent present in a product, or even the A description of the post-harvest process is provided together with a situation it is in, that can have an adverse effect on health. flowchart, which are clear, in order to find the risks of hygiene and food safety, making clear reference to the different units until getting to the end Safe product: The condition of food products which ensures that no harm will of the whole process. come to the consumer when preparing and /or consuming in accordance with the intended use. Example of a ﬂowchart Biological Risk: Refers to the presence of any biological contaminate that could put the health of the end consumer of the coffee at risk, such as pathogenic micro-organisms that cause infections, poisoning or other consequences on the Coﬀee transportation Washed medium and long-term health of people.

Physical Risk: Refers to the presence of any physical contaminate that could put the health of the end consumer of the coffee at risk, such as bones, metal Receipt Dried fragments or any other foreign objects.

Chemical Risk: Refers to the presence of any chemical contaminate, such as veterinary medicines, pesticides, chemical additives and other substances that Pulping might put the health of the end consumer of the coffee at risk. Storage

Scope: The scope of the risk analysis on the safety of the coffee must be 1. indicated, mentioning the different stages of the process in which the analysis is performed. Fermented

50 of 72 Annex 2 Records and Documents

Document 01 Risk analysis on hygiene and food safety of coffee (II)

2.3. List of hygiene and food safety risks Example of a risk analysis and identification of critical risks: For each of the phases of the process described in the previous point all the hazards that can reasonably be foreseen must be listed. The risks selected as critical should be included in the risk analysis on food safety. Once these risks have been minimised or eliminated the other risks that Stage in the have not been classified as critical should improve. All this should be revised Coﬀee Physical Risk Chemical Risk Biological Risk at least once a year. Activity

Possible presence of Are these Is this Poor condition of Fuel products in Justification Prevention Coffee the storage space micro-organisms and Stage Risks risks risk the storage space signi cant? of the hazard measures transportation of the vehicle of the vehicle fungi in the storage critical? space of the vehicle Biological: Possible presence of Use of the vehicle Routine cleaning Coffee micro-organisms and Yes in other activities No Poor condition of transp. and disinfection the canvas which fungi in the storage and its poor cleaning of the vehicle covers the product space of the vehicle

Physical: poor Prior check of condition of the Yes Vehicle not the vehicle No 2.4. Risk analysis on hygiene and food safety storage space of maintained before dispatch the vehicle The possible identified risks should be analysed in order to determine what the risks are and eliminate or reduce them to acceptable levels as this is essential for producing a safe product. Chemical: poor Prior check condition of the Transport Yes of the vehicle Yes canvas which of the vehicle's fuel before dispatch convers the product

51 of 72 Document 02 Farm Control points The Best / Owner Charles Wakata Hygiene and food safety of coﬀee Action and follow up plan Date June 1, 2009 8.A.2 - 9.A.1 - 9.A.2 Applied by John Kamya

Aspect to be checked Action plan, Date set for Manager Follow-up of compliance actions for compliance compliance with deﬁned actions

Chemical risks

Policies for cleaning and The policy and training 15-oct Leo Owuma record document are being training the transporters Presence of fuel during the managed, November transport of coffee Daily supervision of vehicles 15-oct Leo Owuma The cleaning check record prior to the transport of coffee are being managed

Biological risks

Separation of coffee The document is being Tadeo Namawa lots with problems 30-jul managed, 5 August Presence of fungi in the coffee storage Evaluation of causes for The document is being 30-jul Tadeo Namawa the presence of fungi managed, 5 August

Physical risks

No physical risks encountered

Other critical points identiﬁed

General considerations A change is being made to the units to facilitate the entire clean-up operation Annex 2 Records and Documents

Document 03 Risk assessment on environmental impacts (I) The aim of the following guidance is to provide support on how to make a risk 1. Scope assessment on environmental impacts in order to meet the requirement of The scope of the risk assessment on the environmental impact must be 11.A.1 of the UTZ Code. To facilitate the understanding of this guidance, the indicated, mentioning the different stages of the process in which the analysis following terms are explained: is performed.

Environmental Aspect: elements of the activities, products or services of an 2. Structure of the risk assessment on environmental impacts organisation that can interact with the environment. In other words, any natural resource taken from the environment to carry out some of the activities of the 2.1. Introduction production process or the waste generated as a result of the activity. The risk assessment on environmental impacts must have an introduction with a brief description on the activities undertaken at the mill; production Environmental Impact: any change to the environment, whether adverse or beneficial, data, type and quantity of of the waste produced and which stages are resulted from all or part of the activities, products or services of an organisation. included in the scope of the assessment.

Relation environmental aspect and impact: the environmental aspect and 2.2. Identification of the environmental aspects impact relationship is the same cause and effect relationship. An analysis of each of the stages of the production process should be done which are within the scope, with the aim of identifying the environmental aspects. Environmental Aspect Environmental Impact To carry out the identification of environmental aspects the following CAUSE EFFECT structure must be used.

Example: Format for identifying environmental aspects What effect on the environment does the pulping have? Consumption of resources and water contamination.

Activity Environmental Aspect Environmental Impact What causes water contamination? Use of water for pulping coffee. Pulping Water during pulping Water contamination

Activity Environmental Aspect Environmental Impact Cause Eﬀect The identification of the environmental aspects should be conducted by the Water consumption Resource consumption Pulping manager of the coffee mill or the person responsible for the farm or anyone Production of Waste Water Water contamination appointed by him.

53 of 72 Annex 2 Example of records and documents

Document 03 Risk assessment on environmental impacts (II)

The identification can be done based on the observations made ofthe Evaluation Criteria Score environmental impacts which occur during the activities, for example: Interaction with the environment is almost imperceptible or very limited 1 Severity Slight harm to the environment occurs 2 Air contaminants: emission of odours, combustion gases, toxic gases, etc. of the impact Consumption of resources: water, electricity, inefficient use of the soil, flora When the eﬀect to the environment is direct, severe damage 3 and fauna, etc. When the occurrence is 2 or 3 times a month or less frequently 1 Soil contamination: caused by fuel or chemical spills, hazardous and regular Frequency When the occurrence is once or twice a week 2 solid waste, fats, etc. When the occurrence is every day. 3 Water contamination: discharges of untreated sewage, leachates or any pollutant substance affecting a natural source. Once the evaluation of environmental aspects has been carried out it is necessary In this cases environmental aspects are considered to be the cause of the to classify them as Significant or Insignificant. In order to do so the evaluation environmental impact. criteria need to be summed and classified according to the following:

2.3. Evaluation of Environmental Aspects Significant If the sum of criteria is greater than or equal to 8. Once that all the environmental aspects have been listed each of the environmental aspects must be evaluated to determine the impact using Insignificant If the sum of criteria is less than 8. the following evaluation criteria: The significant environmental aspects need to be considered in the action plan. In order to do so they need to be included in the Risk assessment on environmental impacts Evaluation Criteria Score indicating the preventive measures of control or mitigation of the environmental impact according to each aspect. Once the environmental aspects have been minimized Properly checked 1 or controlled, they need to be clasified as Insignificant. Mitigation Checks exist but they must be extended or improved 2 checks There are no checks 3 Environm. Severity of Frequency Mitigation Scale of Total Industrial Scale (within the facilities of production) 1 Aspect the impact of the Impact checks the Impact Scale of the Impact Local scale (neighborhood) 2 Waste water 3 3 1 2 9 Regional scale 3

54 of 72 Document 04 (I) Farm The Best / Owner Charles Wakata Environmental Impacts Control points Action plan and follow up Date June 10, 2009 9.B.1 - 11.A.1 - 11.A.2 Applied by Paul Lwasa

Follow-up of Resource Preventative measures Date set Activity Causes Environmental impact Manager compliance aﬀected control or mitigation of for compliance with deﬁned the environmental impact actions Use physical means to prevent Soil Use of fungicides in Soil contamination diseases: warm water and 15-aug Charles Bumba Farm (due to the disinfection of due to filtering the river-washed sand. filtering) the substrate water solution and fungicide Change location of germinators 15-aug John Gingo Reduction in the soil's Rationalise the use of Addition of chemical 12-dec Soil fertilisers potential due to chemical fertilisers Charles Bumba chemical fertilisers supported by analysis Reduction in plant Clearly define the Biodiversity Deforestation of 15-aug protected areas and animal protected and reforesta- John Gingo diversity tion areas Training to prevent chemical Farm fertilisers coming into contact 15-aug John Gingo with water sources Water Use of chemical Contamination of Do not fertilise in periods of fertilisers water sources high rainfall, preserve an area of 5 meters without using 30-jul John Gingo fertilisers on the edge of permanent streams Careless use of Train operators on how to Contamination of apply chemicals to prevent Activities Water insecticides and water sources 5-jul Charles Bumba fungicides contact with water performed Farm Application of agro Contamination of air Resistant varieties, apply a Air and jan-10 Charles Bumba water chemical products and water sources suitable nutrition plan Document 04 (II)

Basic sanitation in housing, Misuse of water Pollution of water Farm Water resources construction of two septic ene-10 John Gingo systems

Stop using water in: The transport of coffee to the mill and pulp extraction. Decrease in the water in classification and washing. Keep records of the 15-sep John Gingo Misuse of water Pollution and high use volume resulting from by-products Water of the water resource in the harvest in order to plan for their use.

Water recycling. Maintenance Humid of infrastructure needed to 15-sep John Gingo coffee mill recycle by-products.

Check electricity Proceed with consumption every month. Every month John Gingo constant Poor use of electricity High demand for monitoring Energy consumption resource Use the drying patios in the low harvest season 30-jul John Gingo

Combustion equipment Equipment Dry Air Air pollution must be kept in a good 15-sep John Gingo coffee mill maintenance plan condition

Establish recycling and waste collection management 15-ago Charles Bumba Solid waste Pollution with Farm and Soil coffee mill management solid waste Training in solid waste management 15-ago Charles Bumba

Other impacts identiﬁed:

General considerations: Annex 2 Records and Documents

Document 05 Risk assessment on workers’ health and safety (I)

The aim of the following guidance is to provide support on how to make a risk 2. Documentary structure of a basic health and safety risks analysis assessment on workers’ health and safety in order to meet the requeriments of 10.A.1 of the UTZ Code. To facilitate the understanding of this guidance, the 2.1. Introduction following terms are explained: The risk assessment on workers’ health and safety must have an introduction with a brief description on the activities undertaken at the Incident: An event that is uncontrolled, planned or the result of unexpected mill; production data, numbers of existing employees and which stages are situations, which can lead to some kind of injury that is not considered as damage. included in the scope of the assessment.

Accident: An event that is uncontrolled, planned or the result of unexpected 2.2. Identification of areas situations, which can lead to damage. An analysis must be carried out in order to identify the areas wich are within the scope. The following format must be used. Damage: Injuries or serious conditions to people, loss of human lives, serious damage to equipment, facilities or the environment. Format for identifying areas

Risk: Chance of the incident or accident happening and its consequences. Type of Area Wet mill (pulping)

Risk Agent: Risks that affect the health of a person in a working environment. Activities Undertaken Pulping is done by a pulping machine

Scope Machinery Used Pulping machine with an electric motor 1. The scope of the risk assessment on workers’ health and safety must be indicated, mentioning the different stages of the process in which the analysis Tools Used None is performed. Materials and Substances Used Water for the pulping process

57 of 72 Annex 2 Example of records and documents

Document 05 Risk assessment on workers’ health and safety (II)

Risk identification and analysis Biological No handbasins No toilets Identifying the risks related to the activities performed as well as its analysis Cracked ﬂoors must be done. Falling objects The risks can be identified according to a category as indicated in the list below. Sharp objects Mechanical Faulty tools Physical Noise Faulty equipment Vibration No protections Lighting No anchorages Ventilation Entrapments High temperature Crushings Low temperature No polarisation Humidity Exposure to high voltage Chemical Radiation Electrical Faulty taps Fumes Faulty installation Dust Protectors and insulations Gases and vapours Unstable stowage Liquids No stowage/platforms Pesticides Storage Loads not recommended Paints Material incompatability Oils Shelving without anchoring Biological Bioinfected waste Overloaded shelving Contaminated food Loads poorly accommodated Risky toilets Fire or Explosive substances Rodents explosive related Extinguishers emergencies Insects Emergency exits Risky waste Emergency lighting

58 of 72 Annex 2 Records and Documents

Document 05 Risk assessment on workers’ health and safety (III)

Ergonomics Overload and efforts Table No. 1 Work posture Qualitative analysis of exposure Design of the post Category Description Score Tidiness Cleanness No exposure No contact with the agent or contact is negligible. 0 Unsafe Signing Low Levels Contact with the agent very rare. 1 Preventive colour signing Slippery floors Frequent contact with the agent Moderate exposure in concentrations of low exposure. 2 General hoses outside the facility High exposure Frequent contact with agents in 3 Doors without handles concentrations of high exposure. Hearing Frequent contact with agents Very high exposure in very high concentrations. 4 Visual Respiratory Head Personal protection Hands Activity: Pulp extraction equipment Feet Risk Agent Source/reason for damage Special suits Noise No calibration and greasing of pulleys Work at altitude Physical Vibration Support structure poorly installed Training P.P.E. poor condition P.P.E. not proportionate Risks of entrapment in the Mechanical Entrapments pulping machine P.P.E. not used The electrical installation of the Electrical Faulty General Installation pulping machines is deficient

Example for determining risks

A score on the exposure to the agent and the frequency with which this occurs must be estimated as indicated in Table No. 1.

59 of 72 Annex 2 Records and Documents

Document 05 Risk assessment on workers’ health and safety (IV)

After the assessment on the exposure part has been carried out, the effect of the Once the rating of the priorities associated with the possible damages has been damage must be estimated, grading it from little importance to life-threatening, determined, decision-making can take place. To do this table 4 should be used, using the following parameters: which serves as the basis for deciding whether the working conditions need to be improved, as well as the timing of the actions to be performed. Table 4 also Table No. 2 Quantitative analysis of health effects shows that the efforts needed to check the risks and the urgency with which the necessary measures must be taken, must be proportionate to the risk. Category Description Score

Low Low importance reversible eﬀects 0 Table No. 4 Criteria for decision-making

Medium Worrying reversible effects 1 Priority Actions and timeframe High Very worrying reversible effects 2 Negligible Does not require specific action Very high Worrying irreversible effects 3 Preventative action does not need improving, however more economical Important Life-threatening, disabling injury 4 Marginal or better solutions should be considered that are not so financially burdensome. Periodic checks are required to ensure that the control measures remain effective. Once both analyses have been done each risk is prioritised to monitor and check the levels according to the level of exposure to the agent in question and the effect on Effort must be made to reduce the risk, determining the precise health because of the risk. To determine the added values created by table 1 and Needs attention investment. The measures for reducing the risk should be put in place within a set time. table 2, the result is analysed using table 3.

No work should be started until the risk has been reduced. Table No. 3 Rating the Priorities of monitoring and control Critical Considerable resources may be speciﬁed to control the risk. When the risk concerns work in progress, the problem should be resolved before any moderate risks. Sum tables 1 and 2 Priorities

0 Negligible No work should be started or continued with until the risk has been Emergency reduced. If it is not possible to reduce the risk, even with limited resources, work should be prohibited. 1 - 3 Marginal

4 - 5 Needs attention Once the desirable decisions have been made, include them in the risk assessment 6 Critical on workers’ health and safety . 7 - 8 Emergency

60 of 72 Farm Worker health and safety Document 06 (I) The Best / Owner Charles Wakata Control points Date Action plan and follow-up 12 july 2009 10.A.1 - 10.A.2 Applied by John Jombwe

Follow-up of Date set Aspect to be checked Action plan, Manager compliance actions for compliance for compliance with deﬁned actions Pre-harvest Physical Risks: The staff make use of the required elements to protect themselves from exposure to sunlight (long-sleeved shirts, head covered with visor, etc. )

Guarantees the supply of drinking water or liquids for consumption by staff working in the field

Ergonomic Risks: (associated with body posture) Standards for lifting and transporting loads have been defined (fumigation equipment, bags of coffee, containers of product mixes, bags of fertiliser, etc. ) The workers receive training in risk prevention due to bad posture and avoiding excessive fatigue at work

Safety Risks:

Preventive maintenance performed with hand tools (machetes), Programme calibration jul-10 John Gingo Made on machinery and/or equipment (mowers, chemical product sprayers) for the year 2009 13 August

The workers receive specific training for the risks of handling hand tools (machetes), machinery and/or equipment (mowers, chemical product sprayers)

There is and has been disclosed a procedure on how to act in Displayed in the event of an emergency (basic first aid, contact person) visible areas Document 06 (II)

Chemical Risks: A process has been designed to ensure the delivery and The state of the equipment replenishment of personal protection equipment required and their inventory must 30-aug John Gingo for the activity of spraying pesticides be reviewed

The safety standards for the handling of pesticides (which include safety data sheets according to the product, standards for the mixing of pesticides, prohibition of smoking, personal hygiene-daily washing at the end of the work day) have been defined and disclosed.

Post-harvest Physical Risks: Preventive maintenance to machinery, equipment and electrical installations (machines that generate noise, lighting systems, etc.) have been performed In the case where the production process generates noise Provide hearing (operating machinery in the processing area) ear protection protection and explain 30-aug John Gingo devices are supplied to workers how to use it Ergonomic Risks (associated with body posture):

Standards for lifting and carrying loads including mechanical aids for mobilisation (bags of fertiliser, coffee, etc. ) have been defined

Workers receive training in risk prevention due to bad posture and avoiding excessive fatigue at work

Safety Risks:

Preventive maintenance performed with machinery and/or equipment (pulp extractors, engines, drying equipment and dry milling) Document 06 (III)

The equipment or machinery that generates a risk of trapping, direct or indirect contact (high and low voltage) is marked.

There is and has been disclosed a procedure on how to act in the event of an emergency (basic first aid, contact person)

They have fire extinguishers to control fire, recharged The recharge date within date was complied with in jul-10 John Gingo May 2009

The work areas are safe and allow the product to be moved and handled safely

Areas are identified and/or marked to allows easy comprehension by the staff who work in or move around in the work sites (demarcation of areas, process, stores, prohibited entry, compulsory use of personal protection devices, etc. ),

Other

Workers' main health problems or accidents:

General considerations: the farm participates in the programme for the prevention of accidents put forward by the region. Record 10

Farm: Control points The Best Training and 10.A.4 - 10.B.1 Owner General activities Charles Wakata 10.B.2 - 10.B.3

Activity Course on the safe use of pesticides

Aim Explain to applicators how to use protection equipment and measures for preventing accidents during application Handling used containers Manager Francis Sempija Date 5 july 2009 Assistants Farm Position Signature Anthony Aziiza The Best Manager George Kajuga The Best Sprayer Arthur Kibusi The Lagoon Sprayer Charles Wakata The Lagoon Sprayer Daniel Maffa The Future Sprayer Gerard Kizza The Future Sprayer Record 11

Farm: Control points The Best Payments to workers and working hours 10.F.1 - 10.F.8 Owner Year: 2009 10.F.12 - 10.F.13 Charles Wakata 10.F.14

Start date: ______End date: ______

Kilos of Amount paid per Number of Total to Worker name Date of birth days worked coﬀee day or per Overtime pay Signature harvested kilo harvested Be paid

Gerard Kizza 15 December 1974 5 days 24.600 8 hours 123.000 George Kajuga 14-Jan-60 5 days 19.800 99.000 Arthur Kibusi 23-Jan-78 5 days 19.800 99.000 Charles Wakata 1-Jul-75 5 days 19.800 99.000 Daniel Maffa 15-Sep-85 5 days 400 250 100.000 Anthony Aziiza 15-Jul-70 5 days 300 250 75.000 Record 12

Farm: The Best Energy consumption Control points Owner Year: 2009 10.D.1 Charles Wakata

Date Price for Observations Consumption in kw the service

1-apr 120 $230.000

3-may 110 $190.000

5-jun 90 $170.000

the engines are checked 1-jul 150 $300.000 and energy leaks are sought Annex 3 Reference to the guidance, ICS guidance, Records and Documents

This reference chart allows you to locate for a specific control point if there is Chapter 2: Administration, ﬁling of records and self-inspection system comments guide, the SIC comments guide, the page of this implementation guide where people talk about a control point and if recording or documentation is Point Comment guide Sic comment Page Record required the specific example is shown. The comments guide and SIC comments 2.C.1 guide are additional documents that UTZ CERTIFIED provides to clarify the 2.C.2 control point or expand on explanations of how meet it. We recommend you readi it carefully when analysing the Code of Conduct. 2.C.3 5 2.C.4 5 Chapter 1: Traceability, identiﬁcation of the product and separation Chapter 3: Varieties and rootstocks Point Comment guide Sic comment Page Record Point Comment guide Sic comment Page Record

1.A.1 1 - 4 3.A.1

1.A.2 2 3.A.2

1.A.3 3 3.A.3

1.A.4 3.A.4 6 1.A.5 3.A.5

1.A.6 3.B.1

1.A.7 4 Chapter 4: Soil management Chapter 2: Administration, ﬁling of records and self-inspection system Point Comment guide Sic comment Page Record

Point Comment guide Sic comment Page Record 4.A.1

2.A.1 4.A.2

2.A.2 4.A.3

2.A.3 Chapter 5: Use of fertilisers

2.B.1 Point Comment guide Sic comment Page Record

2.B.2 5.A.1

2.B.3 5.A.2

2.B.4 5.A.3

67 of 72 Annex 3 Table: Comments, Records and Documents

Chapter 5: Use of fertilisers Chapter 7: Phytosanitary products Point Comment guide Sic comment Page Record Point Comment guide Sic comment Page Record

5.B.1 7.A.1

5.B.2 6 7.A.2

5.C.1 7.A.3

5.C.2 7.A.4

5.D.1 7.A.5

5.D.2 7.A.6

5.D.3 7.A.7

5.E.1 7.A.8

5.E.2 7.A.9

Chapter 6: Irrigation 7.A.10

Point Comment guide Sic comment Page Record 7.A.11

6.A.1 7 7.B.1 6

6.A.2 7.B.2

6.B.1 7.B.3

6.B.2 7.B.4

6.B.3 8 7.B.5 9

6.C.1 7.C.1

6.C.2 7.C.2 6

6.D.1 7.D.1

6.D.2 7.D.2

68 of 72 Annex 3 Table: Comments, Records and Documents

Chapter 7: Phytosanitary products Chapter 8: Harvest Point Comment guide Sic comment Page Record Point Comment guide Sic comment Page Record

7.E.1 23 8.A.1 25

7.E.2 23 8.A.2 25 10

7.E.3 23 8.A.3 25

7.E.4 23 8.B.1 25 9

7.E.5 23 Chapter 9: Managing post-harvest of the product

7.E.6 23 Point Comment guide Sic comment Page Record

7.E.7 23 9.A.1 26 10

7.E.8 23 9.A.2 26 10

7.E.9 23 9.A.3 26

7.E.10 23 9.A.4 26

7.E.11 23 9.A.5 26

7.E.12 23 9.B.1 26 11

7.E.13 23 9.B.2 26

7.E.14 23 9.B.3 26

7.F.1 24 9.C.1 26

7.F.2 24 9.D.1 26

7.F.3 24 9.D.2 26

7.F.4 24 9.D.3 26

7.G.1 24

7.G.2 24

69 of 72 Annex 3 Table: Comments, Records and Documents

Chapter 10: Workers' rights, health and safety Chapter 10: Workers' rights, health and safety Point Comment guide Sic comment Page Record Punto Comentario guía Comentario SIC Página Registro

10.A.1 12 10.E.1

10.A.2 12 10.E.2

10.A.3 10.E.3

10.A.4 13 10.E.4

10.B.1 13 10.F.1 14

10.B.2 13 10.F.2

10.B.3 13 10.F.3

10.C.1 10.F.4

10.C.2 10.F.5

10.C.3 10.F.6

10.C.4 10.F.7

10.C.5 10.F.8 14

10.C.6 10.F.9

10.D.1 10.F.10

10.D.2 10.F.11

10.D.3 10.F.12 14

10.D.4 10.F.13 14

10.D.5 10.F.14 14

10.D.6 10.F.15

70 of 72 Annex 3 Table: Comments, Records and Documents

Chapter 10: Workers' rights, health and safety Chapter 11: Natural resources and biodiversity Point Comment guide Sic comment Page Record Point Comment guide Sic comment Page Record

10.F.16 11.A.1 11

10.F.17 11.A.2 11

10.F.18 11.A.3

10.F.19 11.A.4

10.G.1 11.B.1

10.G.2 11.B.2

10.G.3 11.C.1

10.G.4 11.C.2

10.G.5 11.C.3

10.G.6 11.C.4

10.G.7 11.C.5

10.G.8 11.C.6

10.G.9 11.C.7

11.C.8

11.C.9

11.D.1 15

11.D.2

11.D.3

11.D.4

71 of 72 www.utzcertiﬁed.org www.utzcertiﬁed-trainingcenter.com www.solidaridadnetwork.org