The Lodi Rules for Sustainable Winegrowing California s original sustainable viticulture certification program

Transcription

1 The Lodi Rules for Sustainable Winegrowing California s original sustainable viticulture certification program

2

3 Welcome to the Lodi Rules Table of Contents Welcome to the Lodi Rules Introduction Page 1 Certification requirements Page 3 Companion information Page 4 Certification resources Page 4 Contacts Page 5 Lodi Rules Standards and Chapter 1: Business Management Tab 1 Chapter 2: Human Resource Management Tab 2 Chapter 3: Ecosystem Management Tab 3 Chapter 4: Soil Management Tab 4 Chapter 5: Water Management Tab 5 Chapter 6: Pest management Tab 6 Appendices Appendix A: Protected Harvest Certification Manual Tab 7 Appendix B: Assessment Application Website User Guide Tab 8 Lodi Winegrape Commission 2014/All Rights Reserved ii

4

5 Welcome to the Lodi Rules Acknowledgements This second edition of the Lodi Rules for Sustainable Winegrowing Certification Standards is the product of countless hours of work by a few dedicated people. Special thanks to Warren Bogle, Bogle Vineyards Lee Caton, Nestor Enterprises Bruce Fry, Mohr-Fry Ranches Stan Grant, Progressive Viticulture Matthew Hoffman, Lodi Winegrape Commission Camron King, Lodi Winegrape Commission Aaron Lange, Lange Twins Family Winery and Vineyard Stanton Lange, Stanton Lange Vineyard Management Cliff Ohmart, Protected Harvest Kevin Phillips, Michael David Winery Steve Quashnick, Wilbur-Ellis Stuart Spencer, Lodi Winegrape Commission Chris Storm, Vino Farms Dedication Sustainability is about the future. This second edition of the Lodi Rules for Sustainable Winegrowing Certification Standards is dedicated to the children of all farming families. May we farm in a way that meets the needs of today without compromising the ability of future farmers to cultivate their own livelihoods. Suggested citation Lodi Winegrape Commission The Lodi Rules for Sustainable Winegrowing Certification Standards, Second Edition. Lodi Winegrape Commission, Lodi, CA. Lodi Winegrape Commission 2014/All Rights Reserved iv

6 Welcome to the Lodi Rules Welcome to the Lodi Rules for Sustainable Winegrowing Introduction The Lodi Rules for Sustainable Winegrowing is California s original sustainable viticulture certification program. Lodi Rules certified growers make up an innovative community with a history and commitment to farming quality winegrapes through the implementation of viticulture practices that balance environmental, social, and economic goals. The Lodi Rules was designed to communicate this vision to wineries and the general public. The Lodi Rules program has grown vigorously since its establishment in As of 2013, over 26,500 winegrape acres were Certified Green. Within the Lodi region about 20,000 acres are certified and over 6,500 acres are certified in other regions throughout California. Table 1 on the following page plots the number certified acres over the years. This growth reflects positively on the program, and is a measure of success. Research from UC Davis suggests that the Lodi Rules has helped the Lodi region make important strides toward sustainability 1,2. According to data collected by the 2011 Lodi Winegrowers Survey, Lodi growers - certified and uncertified alike - are supportive of the program. Surveyed growers perceive the Lodi Rules to be successful at achieving a number of goals including improving consumer perception of the Lodi region, improving winegrape quality, reducing risk of agriculture s negative impact on environment and What is sustainable viticulture? Sustainable viticulture is applying the principles and practices of sustainable agriculture in the vineyard. The American Agronomy Society defines sustainable agriculture as: A sustainable agriculture is one that, over the long term, enhances environmental quality and the resource base on which agriculture depends; provides for basic human food and fiber needs; is economically viable; and enhances the quality of life for farmers and society as a whole. 1 Hoffman, Matthew, Anthony Hillis, Mark Lubell Lodi Winegrape Grower Survey: Report of Results. Lodi Winegrape Commission. 2 Hillis, Anthony, Mark Lubell, Matthew Hoffman Winegrower Perceptions of Sustainability Programs in Lodi, California. Center for Environmental Policy and Behavior, UC Davis. Lodi Winegrape Commission 2014/All Rights Reserved 1

7 Welcome to the Lodi Rules human health, improving wildlife habitat and biodiversity, and improving Lodi s relationship with regulatory agencies. The research also provides insight into whether the Lodi Rules is achieving one of its fundamental goals: to support grower implementation of sustainability practices 3. The data suggests that this goal is, indeed, being realized. Table 2 reports that Lodi Rules certified growers implement 58% of sustainability practices included in the survey while uncertified growers implement 33%. Backed by this research, we are proud to report that The Certified Green seal represents growers that go above and beyond to ensure the sustainability of our industry. Wineries have played an important role in growing the Lodi Rules. Approximately 20 wineries now produce wine bottles bearing the Lodi Rules seal. In 2007, Michael David, a Lodi Winery, was the first winery to offer a price premium for grapes from Lodi Rules certified vineyards. In 2011, the winery started purchasing grapes from Lodi Rules vineyards exclusively. Bogle Vineyards, a Clarksburg winery, also offers a price premium. The future success of the Lodi Rules depends on further wineries recognizing the merits to the program. 3 Hillis, Anthony, Mark Lubell, Matthew Hoffman Practice Adoption and Management Goals of Lodi Winegrape Growers. Center for Environmental Policy and Behavior. Lodi Winegrape Commission 2014/All Rights Reserved 2

8 Welcome to the Lodi Rules The Lodi Rules has two key components. First, the Lodi Rules promotes winegrape grower adoption of 101 sustainability practices, which are termed standards. The original standards were collaboratively developed by a team of Lodi winegrape growers and viticulture professionals, and were accredited in The revised standards, those included in this binder, were accredited in The Lodi Rules standards are the backbone of the program, and are organized into six chapters: 1) business management, 2) human resource management, 3) ecosystem management, 4) soil management, 5) water management, and 6) pest management. The standards meet three criteria: first, they are measurable; second, they address at least one of the three aspects of sustainability: environmental health, social equity, and economic viability; and third, they are economically feasible to implement. The Lodi Rules standards are the most thoroughly and rigorously vetted set of sustainability practices in California s viticulture industry. All standards have been peer-reviewed by a third party of scientists, members of the academics community, and environmental organizations. The second key component of the Lodi Rules is the Pesticide Environmental Assessment System (PEAS). PEAS is a model used to quantify the total environmental and human impact of pesticides applied to Lodi Rules vineyards annually. The PEAS model generates an Environmental Impact Unit (EIU) for each pesticide, which is based on the pesticide s impact on acute risk to farm workers, dietary risks from acute and chronic exposure to people who consume the product, acute risks to small aquatic invertebrates, acute risk to birds, and acute risk to bees and pest natural enemies. The Lodi Rules program is steered by the Lodi Winegrape Commission s Lodi Rules Committee. The certification process is administered by Protected Harvest ( an independent organization specializing in quantifiable sustainability certification. Certification Requirements A vineyard qualifies for certification if it meets several criteria. First, growers accumulate points through implementing sustainability practices, and must accumulate at least 50% of the total points available in each chapter. Growers must accumulate at least 70% of the total points available across all 6 chapters. Implementation of some standards is mandatory. Mandatory practices are included in fail chapters, and they require growers to implement a sustainability practice to at least a minimum degree. Fail chapters represent practices that the designers of the standards believe are imperative for sustainability. A vineyard will fail to qualify for certification if it scores any fail chapter. Finally, the Environmental Impact Units (EIU) for the pesticides used in that vineyard for the year cannot exceed 50. Certification is awarded to an individual vineyard on an annual basis. An independent auditor visits the vineyard to ensure compliance. Certified vineyards must pass an annual independent audit to verify the implementation of sustainability practices. Lodi Winegrape Commission 2014/All Rights Reserved 3

9 Welcome to the Lodi Rules The Lodi Winegrape Commission publishes this user-friendly binder. In adition to the standards, this binder includes companion information. Companion information is important for the transparency of the certification process as it provides background on why each standard is important to sustainable viticulture, how each standard is implemented in the vineyard, and how each standard is verified by an independent auditor. The companion information is intended for use by growers and auditors. Addressed in the companion information are five areas: scope, purposes, verification, references, and examples of management plan content. Scope describes whether the associated standard is applicable to the entire farm or an individual vineyard. Some standards only need to be answered once for all vineyards on that farm. Other standards apply to each vineyard and need to be answered for each vineyard. Purposes explain why the associated standard is relevant and important to sustainable viticulture. Purpose explains what aspect of sustainability the standard addresses. The information included under purposes lays out the rational and justification for including the practice as a Lodi Rules standard. Verification outlines they type of information the auditor needs to examine to ensure the standards was met by the grower. Growers can use the verification section to prepare for an audit. References include a list of literature and websites that provide further information about the standards. For Internet references, both the URL and Internet search terms are included. The references are to be used by growers seeking deeper and more comprehensive understanding of the standards and their implementation. Some standards require written management plans, which must incorporate specific components. For those standards, the companion information includes examples of items to consider and include in a management plan. Certification resources Protected Harvest provides Lodi Rules growers with three resources designed to expedite the certification process: the Protected Harvest Certification Manual, the assessment application website, and the Assessment Application Website User Guide. The Protected Harvest Assessment Manual provides a breadth of critical information about the Lodi Rules certification process. The manual includes information about the application materials, fees, record-keeping, self-assessment, and auditing. The manual also includes instructions for using the standards and the Pesticide Environmental Assessment System (PEAS). Along with the content of this binder, the manual is a critical document for assisting Lodi Rules growers through the certification process. The manual is available through the Lodi Winegrape Commission and Protected Harvest. The manual is included in this binder in Appendix A (Tab 8). Lodi Winegrape Commission 2014/All Rights Reserved 4

10 Welcome to the Lodi Rules The assessment application website was developed by Protected Harvest to streamline the Lodi Rules application process. As opposed to a paper application, using the website greatly minimizes the time and cost associated with certification. The website can be accessed at The Assessment Application User Guide provides detailed step-by-step instructions for navigating the assessment application website. The user guide is available through the Lodi Winegrape Commission and Protected Harvest. The user guide is included in this binder in Appendix B (Tab 9). Contacts The Lodi Winegrape Commission is your first point of contact for questions and comments regarding the Lodi Rules. For general questions and assistance related to all aspects of the certification process, future direction of the Lodi Rules program, and using the Certified Green seal on wine bottle labels, contact: Matthew Hoffman, PhD Grower Program Coordinator Lodi Winegrape Commission Phone (209) matthew@lodiwine.com For questions related to Lodi Rules application, payment, or the online self-assessment website, contact: Jane Vandine Protected Harvest (831) jvandine@protectedharvest.org For questions related to the Lodi Rules standards or the PEAS model, contact: Cliff Ohmart, PhD Protected Harvest (530) cohmart@sureharvest.com To schedule an audit, contact: Chip Sundstorm FJS Consulting (530) fjssundstorm@sbcglobal.net Mareli Bezuidenhout Mareli Bezuidenhout Consulting (916) mareli.bezuidenhout@gmail.com Lodi Winegrape Commission 2014/All Rights Reserved 5

11 Welcome to the Lodi Rules Lodi Winegrape Commission 2014/All Rights Reserved 6

12 Business Management Chapter 1: Business Management 1.1 Sustainability Vision I have attended an LWC workshop for developing and writing a sustainable management vision (plan) for my farm AND I have a written vision statement. YES = 6 NO = 0 Scope: The entirety of the vineyard operation submitted for Lodi Rules certification. Purposes: For Lodi Rules participants to consider assets, resources, values, challenges, and priorities for sustaining their wine grape enterprise, promoting a sound environment in and around vineyards, and positively contributing to society, and to use these considerations to formulate a long-term goal for their endeavor. Verification: Visual inspection of LWC workshop certification of completion and sustainable vision statement. Davidson, D. The business of vineyards. Davidson Viticultural Consulting Services, Glen Osmond, SA, Aust Ohmart, CP. View from the vineyard: a practical guide to sustainable winegrape growing. The Wine Appreciation Guild, South San Francisco Reeves, K. Chapter 1. Ecosystem Management.. In: Lodi Winegrower's Workbook, 2nd Ed. Ohmart, CP, Storm, CP, Matthiasson SK (Eds.). Lodi Winegrape Commission. pp Rickel, D; Francis, C. (Eds.). Agroecosystem analysis. American Society of Agronomy, Madison, WI Lodi Winegrape Commission 2014/All Rights Reserved 7

13 Business Management Examples of sustainability vision considerations Long-term goal (vision): A statement of how you want your vineyard operation to appear and function over a prolonged period of time with regard to those items listed above. Objectives of production (mission): May include a profitable vineyard business, quality wine grapes, satisfied customers, goodwill within the wine grape industry, a content work force, optimized resource use efficiency, environmental conservation, strong neighbor relations, positive contributions to the community, and others. Participants: All people involved in and/or affected by your vineyard operation. Land base: A comprehensive accounting of your agricultural land and its features. Resources: A comprehensive listing of inputs and their attributes, including human, financial, and material inputs. Shared values: A statement of the qualities important to you and the other primary participants in your vineyard operation, such as integrity, mutual respect, technical expertise, business acumen, profitability, legacy, etc. Challenges: Those factors that may inhibit your efforts to achieve your objectives, like market risks, resource availability and costs, and increasing government regulations. Strategies: Planned actions designed to achieve your stated objectives of production and long-term goal. Monitoring and evaluation: Planned observations and measurements of progress towards achieving your objectives of production and long-term goal. Lodi Winegrape Commission 2014/All Rights Reserved 8

14 Business Management 1.2 Succession Plan: a. My company/farming operation has a written plan for management succession. b. My company/farming operation does not have a plan for management succession. 2 0 Scope: The entirety of the vineyard operation submitted for Lodi Rules certification. Purposes: To ensure participants have a plan for management succession and continuity in the vineyard business. Verification: Visual inspection of the succession plan document. Legacy Project: URL: (Last accessed on 14Jan13) Internet search terms: legacy project succession planning Succession planning process: URL: (Last accessed on 13Jan13). Internet search terms: US office of personal management succession planning process Succession planning template: URL: (Last accessed on 14Jan13) Internet search terms: succession planning made easy Thach, L. Chapter 7. Human Resources Management. In: Lodi Winegrower's Workbook, 2nd Ed. Ohmart, CP, Storm, CP, Matthiasson SK (Eds.). Lodi Winegrape Commission. pp Examples of succession plan considerations Identifying leadership: Use rational criteria to compare internal options versus recruiting from the outside based on long-term strategic goals (mission, vision, values) for the vineyard operation and personality traits of the candidate. Matching talent and roles: If the shoe fits Promote success by assigning responsibilities consistent with capabilities. Mentor candidates with planned job assignments, shadowing, assessment, and feedback. Developing leadership: Provide opportunities and resources for leadership experience and increasing the competence of those selected for succession Lodi Winegrape Commission 2014/All Rights Reserved 9

15 Business Management 1.3 Management Planning Meetings a. My company/farming operation held a meeting for owners/management within the last 12 months to discuss winegrape-growing philosophies, review the company s sustainable mission/vision statement, and long and short-term work goals. b. My company/farming operation held a meeting for owners/management within the last 24 months to discuss winegrape-growing philosophies, review the company s sustainable mission/vision statement, and long and short-term work goals. c. My company/farming operation has not held an owners/management meeting within the last 24 months Scope: The entirety of the vineyard operation submitted for Lodi Rules certification. Purposes: Management self-evaluation and planning for continued company success. Verification: Visual inspection of management meeting records. Davidson, D. The business of vineyards. Davidson Viticultural Consulting Services, Glen Osmond, SA, Aust Kay, RD; Edwards, WM. Farm management. McGraw-Hill, New York Ohmart, CP, Storm, CP, Matthiasson SK (Eds.). Lodi Winegrower's Workbook, 2nd Ed. Lodi Winegrape Commission. pp Lodi Winegrape Commission 2014/All Rights Reserved 10

16 Business Management 1.4 Risk Management Plan: a. My company/farming operation has a risk management plan that includes consideration of financial risk (access to capital), crop loss risk (crop insurance), market risk (winery contracts, customer diversification, variety diversification), and technical risk (access to technical information or expertise), as well as a plan review and update schedule. 2 b. My company/farming operation does not have a risk management plan. 0 Scope: The entirety of the vineyard operation submitted for Lodi Rules certification. Purposes: To ensure participants have thoroughly considered their business risks and addressed them. Verification: Visual inspection of the risk management plan document. Davidson, D. The business of vineyards. Davidson Viticultural Consulting Services, Glen Osmond, SA, Aust Hussey, C. Risk management for vineyards. Practical Winery and Vineyard. pp Sep/Oct Kay, RD; Edwards, WM. Farm management. McGraw-Hill, New York Seufer, JL. Managing orchard and vineyard production risks. USDA/Risk Management Agency, Spokane Regional Office. URL: nd%20orchard%20risks.pdf (Last accessed on 14Jan13) Internet search terms: managing orchard and vineyard production risks Thrupp, A.; Browde, J.; Francioni, L.; and Jordan, A. Reducing risks through sustainable winegrowing: A growers guide. California Sustainable Winegrowing Alliance, San Francisco, CA URL: (Last accessed on 14Jan13) Internet search terms: California sustainable winegrowing alliance publications Lodi Winegrape Commission 2014/All Rights Reserved 11

17 Business Management Examples of risk management plan considerations Insurance: Risk management plans might highlight critical aspects of your business which are insured, and thereby protected from risk. Relevant types of insurance include crop insurance, price insurance, yield insurance, theft insurance, and insurance against natural disasters. Winery contracts: Winery contracts reduce risk by securing economic return on investment and by enabling financial planning. Diversification: Are all your eggs in one basket? Diversification of the products you produce and markets you participate in can reduce your businesses dependence on a single financial stream. Knowledge: Knowledge is power. The more you know about the agricultural system the better prepared you will be to make informed decisions in the face of uncertainty. Consider describing efforts you have taken to increase your understanding of risk factors such as weather patterns, market trends, ecological and biological processes, crop pest and disease, or innovative farming methods and technologies. Lodi Winegrape Commission 2014/All Rights Reserved 12

18 Business Management 1.5 Operating Budget 1 : a. My company/farming operation has an annual Operating budget. 2 b. My company/farming operation does not have an operating budget A budget is an estimate of expenditures and income for specific time period for an entire vineyard endeavor or a specific vineyard management unit. Scope: The entirety of the vineyard operation submitted for Lodi Rules certification. Purposes: To promote thoughtful expenditures and operating efficiency, and in so doing, promote the long-term stability of the vineyard endeavor. Verification: Visual inspection of the operating budget. Kay, RD; Edwards, WM. Farm management. McGraw-Hill, New York Lodi Winegrape Commission 2014/All Rights Reserved 13

19 Business Management 1.6 Management Training and Development a. A company/farming operation representative has attended at least six training seminars or other educational programs within the last 12 months (e.g. LWC breakfast meetings, field days, workbook workshops, research seminars; University of California or California State University classes or meetings). b. A company/farming operation representative has attended at least three training seminars or other educational programs within the last 12 months (e.g. LWC breakfast meetings, field days, workbook workshops, research seminars; University of California or California State University classes or meetings). c. A company/farming operation representative has attended less than three training seminars or other educational programs within the last 12 months (e.g. LWC breakfast meetings, field days, workbook workshops, research seminars; University of California or California State University classes or meetings) Scope: The entirety of the vineyard operation submitted for Lodi Rules certification. Purposes: To promote management excellence. Verification: Visual inspection of seminar and educational attendance records. Farm Labor Employers Service. URL: (Last accessed on 14Ju13) Thach, L. Chapter 7. Human Resources Management.. In: Lodi Winegrower's Workbook, 2nd Ed. Ohmart, CP, Storm, CP, Matthiasson SK (Eds.). Lodi Winegrape Commission. pp Lodi Winegrape Commission 2014/All Rights Reserved 14

20 Business Management Examples of training seminars and educational events Lodi Grape Day Lodi District Grape Growers Association Seminars and Workshops Lodi Winegrape Commission Seminars and Workshops Clarksburg Grape Day Foothill Grape Day San Joaquin Valley Grape Symposium San Joaquin Valley Winegrowers Association Annual Meeting and Industry Forum California State University, Fresno Biennial Grape Day University of California, Davis Extension Courses Unified Wine and Grape Symposium American Society for Enology and Viticulture (ASEV) annual meeting California Plant and Soil Conference Sustainable Ag Expo Dollars and Sense Tradeshow and Seminar Napa Valley Viticulture Fair American Vineyard Grape Expo Wine Industry Financial Symposium Vineyard Economics Seminar Lodi Winegrape Commission 2014/All Rights Reserved 15

21 Business Management 1.7 Staying Informed With Industry a. I subscribe to trade journals AND have current membership in local growers and/or vintner s associations AND attended at least one local, regional, statewide, or national industry meeting within the last 12 months. b. I subscribe to trade journals OR have current membership in local growers and vintner s associations AND/OR attended at least one local, regional, statewide, or national industry meeting within the last 12 months. c. I do not subscribe to trade journals, I do not have current membership in local growers and vintner s associations, and I have not attended at least one local, regional, statewide, or national industry meeting within the last 12 months Scope: The entirety of the vineyard operation submitted for Lodi Rules certification. Purposes: To promote management excellence. Verification: Visual inspection of trade journal subscription receipts, membership fee receipts or certificates, and receipts for meeting, seminar, workshop, or symposium fees. American Society for Enology and Viticulture URL: (Last accessed on 14Jan13) American Vineyard Magazine URL: (Last accessed on 14Jan13) California Association of Winegrape Growers (CAWG) URL: (Last accessed on 14Jan13) Farm Labor Employers Service URL: (Last accessed on 14Jan13) Lodi District Grape Growers Association URL: (Last accessed on 14Jan13) Practical Winery and Vineyard Journal URL: (Last accessed on 14Jan13) Thach, L. Chapter 7. Human Resources Management.. In: Lodi Winegrower's Workbook, 2nd Ed. Ohmart, CP, Storm, CP, Matthiasson SK (Eds.). Lodi Winegrape Commission. pp University of California, Davis Extension URL: (Last accessed on 14Jan13) Wine Business Monthly URL: (Last accessed on 14Jan13) Wines and Vines Magazine. URL: (Last accessed on 14Jan13) Winery and Vineyard Management Magazine URL: (Last accessed on 14Jan13) Lodi Winegrape Commission 2014/All Rights Reserved 16

22 Business Management 1.8 Neighbor Relations a. My company/farming operation has a process to build and maintain good relations with my neighbors (e.g. distributing wine or gifts, exchanging information, notification of vineyard activities, etc.). b. My company/farming operation does not have a process to manage neighbor relations. 2 0 Scope: The entirety of the vineyard operation submitted for Lodi Rules certification. Purposes: To build strong relationships with neighbors, foster a sense of community in the neighborhood, and encourage cooperation. Verification: Visual inspection of records of neighbor relation activities. Chadwick, A. The winegrape guidebook for establishing good neighbor and community relations. California Association of Winegrape Growers URL: (Last accessed on 14Jan13) Internet search terms: California association winegrape growers winegrape guidebook good neighbor community relations California Association of Winegrape Growers. Practical neighbor and community relations. URL: (Last accessed on 14Jan13) Vinewise. Neighbor checklist. URL: (Last accessed on 14Jan13) Internet search terms: vinewise community neighbors checklist Lodi Winegrape Commission 2014/All Rights Reserved 17

23 Business Management 1.9 Energy Management: a. I tracked all fuel and electricity use for my farming operation. 3 b. I tracked on-farm diesel AND electricity use for my farming operation. 2 c. I tracked on-farm diesel OR electricity use for my farming operation. 1 d. I did not track either fuel or electricity use for my farming operation. 0 Scope: The entirety of the vineyard operation submitted for Lodi Rules certification. Purposes: To promote monitoring and awareness of energy resource consumption for vineyard operations. Verification: Visual inspection of energy monitoring records. Storm, CP; Ohmart, CP. Chapter 8. Shop and Yard Management.. In: Lodi Winegrower's Workbook, 2nd Ed. Ohmart, CP, Storm, CP, Matthiasson SK (Eds.). Lodi Winegrape Commission. pp Lodi Winegrape Commission 2014/All Rights Reserved 18

24 Business Management 1.10 Alternative Energy Use Bonus Points 2: a. My company/farming operation uses two or more forms of alternative energy. 2 b. My company/farming operation uses at least one form of alternative energy. 1 c. My company/farming operation does not use alternative energy Examples of "alternative" forms of energy include solar, wind, hydroelectric, biofuel (e.g. biodiesel and ethanol), propane, natural gas, and green energy purchases. Scope: The entirety of the vineyard operation submitted for Lodi Rules certification. Purposes: To award to those participants who have made financial investments in the use of alternative forms of energy. Verification: Visual inspection of support facilities for the vineyard operation. Storm, CP; Ohmart, CP. Chapter 8. Shop and Yard Management.. In: Lodi Winegrower's Workbook, 2nd Ed. Ohmart, CP, Storm, CP, Matthiasson SK (Eds.). Lodi Winegrape Commission. pp Lodi Winegrape Commission 2014/All Rights Reserved 19

25 Business Management 1.11 Mechanical Operation Efficiency: a. Two or more times per year, my farming operation increased the efficiency of mechanical operations either by treating more than one row at a time OR by combining two or more mechanical tasks into a single vineyard pass 3. b. Once per year, my farming operation increased the efficiency of mechanical operations either by treating more than one row at a time OR by combining two or more mechanical tasks into a single vineyard pass c. My farming operation did not treat multiple rows or multitask for any mechanical operation. 3. Combining berm sweeping with pruning shredding is one example of mechanical operation multitasking that increases operational efficiency. Another is hedging combined with disking or mowing. Scope: The entirety of the vineyard operation submitted for Lodi Rules certification. Purposes: To promote vineyard machinery multitasking and potentially, reduced equipment passes through the vineyard and thereby, conserve fuel and minimize soil compaction and erosion. Verification: Visual inspection of mechanical operation records. Hunt, D. Farm power and machinery management. Iowa State University Press, Ames Kay, RD; Edwards, WM. Farm management. McGraw-Hill, New York Morris, JR; Brady, PL. Vineyard mechanization: development and status in the United States and in major grape producing regions of the world. American Society for Horticultural Science, Alexandra, VA Lodi Winegrape Commission 2014/All Rights Reserved 20

26 Business Management 1.12 Disposal of Materials: a. The importance of recycling is a part of employee orientation and training, AND my farming operation recycles metal, paper, cardboard, glass, and plastic in designated recycling containers. 2 c. Recycling is not a part of my farming operation. 0 Scope: The entirety of the vineyard operation submitted for Lodi Rules certification. Purposes: To award to those participants who recycle and promote recycling. Verification: Visual inspection of support facilities for the vineyard operation. Storm, CP; Ohmart, CP. Chapter 8. Shop and Yard Management.. In: Lodi Winegrower's Workbook, 2nd Ed. Ohmart, CP, Storm, CP, Matthiasson SK (Eds.). Lodi Winegrape Commission. pp Lodi Winegrape Commission 2014/All Rights Reserved 21

27 Business Management Lodi Winegrape Commission 2014/All Rights Reserved 22

28 Human Resources Management Chapter 2: Human Resources Management Note: If you do not have any employees* skip this chapter and proceed to chapter Human Resources Plan : My company/farming operation has a written human resources plan containing the following elements: company mission, vision, and values; company strategy for human resources; staffing and recruiting; training and development; employee performance management and employee relations; compensation and benefits; record keeping; and a plan review and update schedule. YES = 6 NO = Fail Chapter *You may define employee yourself. However, be prepared to justify your definition to the auditor. If you answer yes to any of the following questions, then you probably have an employee and should complete Chapter 2. Do I have a payroll? Did I receive an IRS I- 9 form from an employee? I also suggest reviewing the Chapter 2 standards. If the standards seem applicable to your business, then you should probably complete the chapter. Scope: The entirety of the vineyard operation submitted for Lodi Rules certification. Purposes: To clearly define overall company objectives and strategies for managing, empowering, and compensating employees. Verification: Visual inspection of the human resources plan document. Billikopf, G. Labor management in agriculture: cultivating personnel productivity, 2nd Ed. University of California, Agriculture and Natural Resources Agricultural Issues Center Publication Farm Labor Employers Service. URL: (Last accessed on 14Jan13) Farm Labor Employers Service. Summary of employment requirements for California winegrape growers. California Association of Winegrape Growers. May, URL: (Last accessed on 14Jan13) Internet search terms: farm labor employers service summary employment requirements California winegrape growers Kay, RD; Edwards, WM. Farm management. McGraw-Hill, New York Thach, L. Chapter 7. Human Resources Management.. In: Lodi Winegrower's Workbook, 2nd Ed. Ohmart, CP, Storm, CP, Matthiasson SK (Eds.). Lodi Winegrape Commission. pp Lodi Winegrape Commission 2014/All Rights Reserved 23

29 Human Resources Management Examples of elements of a human resources plan Company mission: To promote high morale and efficiency within the work force. Company vision: California. Company values: expertise, etc. To become among the most effective vineyard operations in Characteristics such as integrity, team building, management Company strategy for human resources: optimum effectiveness. Hire, train, and direct employees for Staffing and recruiting: Use the company reputation as a desirable place to work with generous employee compensation to draw highly qualified individuals. Training and development: Ensure each employee reaches his or her full potential and is able to make significant contributions to the company through training and empowerment. Employee performance management and employee relations: Clearly state company policies and performance expectations for each employee, regularly provide feedback to employees regarding their performance, and as appropriate, provide rewards to excellence and discipline for failure to adhere to company policies. Compensation and benefits: Strive to at least meet and when feasible, exceed industry standards for employee compensation. Human resources record keeping: Maintain a database of written records for employee activities and personnel management actions. Lodi Winegrape Commission 2014/All Rights Reserved 24

30 Human Resources Management 2.2 Employee Handbook : a. My company/farming operation provides an employee handbook in languages understood by all employees that includes information on the company s policies and practices. b. My company/farming operation provides an employee handbook. c. My company/farming operation does not provide an employee handbook Scope: The entirety of the vineyard operation submitted for Lodi Rules certification. Purposes: To ensure managers and employees have a reference document that clearly states company personnel policies and practices. Verification: Visual inspection of the employee handbook. Billikopf, G. Labor management in agriculture: cultivating personnel productivity, 2nd Ed. University of California, Agriculture and Natural Resources Agricultural Issues Center Publication Farm Labor Employers Service. Personnel audit and employee handbook service. URL: (Last accessed on 14Jan13) Internet search terms: FELS personnel audit and employee handbook service Farm Labor Employers Service. Summary of employment requirements for California winegrape growers. California Association of Winegrape Growers. May, Thach, L. Chapter 7. Human Resources Management.. In: Lodi Winegrower's Workbook, 2nd Ed. Ohmart, CP, Storm, CP, Matthiasson SK (Eds.). Lodi Winegrape Commission. pp Lodi Winegrape Commission 2014/All Rights Reserved 25

31 Human Resources Management 2.3 Employee Orientation : a. My company/farming operation has a formal orientation program for new employees; which should include an overview of work performance standards, employee benefits, and company policies; and includes meetings with key employees and/or a tour of the operations. b. My company/farming operation has a formal orientation program for new employees, which may include an overview of work performance standards, employee benefits, and company policies. c. My company/farming operation provides informal employee orientation. 0 Scope: The entirety of the vineyard operation submitted for Lodi Rules certification. Purposes: To ensure employees have a solid understanding of the company and its policies, their role in the company, performance expectations, and compensation. Verification: Visual inspection of personnel records. Billikopf, G. Labor management in agriculture: cultivating personnel productivity, 2nd Ed. University of California, Agriculture and Natural Resources Agricultural Issues Center Publication Farm Labor Employers Service. New employee orientation. URL: (Last accessed on 14Jan13) Internet search terms: FELS human resources labor relations Kay, RD; Edwards, WM. Farm management. McGraw-Hill, New York Thach, L. Chapter 7. Human Resources Management.. In: Lodi Winegrower's Workbook, 2nd Ed. Ohmart, CP, Storm, CP, Matthiasson SK (Eds.). Lodi Winegrape Commission. pp Lodi Winegrape Commission 2014/All Rights Reserved 26

32 Human Resources Management 2.4 Employee Job Descriptions : a. My company/farming operation has written descriptions for each job or job family. 1 2 b. My company/farming operation does not have written job descriptions A job family is a set of related tasks, such as tractor driver, which includes disking, harrowing, chiseling, and ripping. Scope: The entirety of the vineyard operation submitted for Lodi Rules certification. Purposes: To provide employees with a written document that clearly states their role in the company and performance expectations. Verification: Visual inspection of job description documents. Farm Labor Employers Service. Job descriptions: a reference for employers. URL: (Last accessed on 14Jan13) Internet search terms: FELS human resources labor relations Thach, L. Chapter 7. Human Resources Management.. In: Lodi Winegrower's Workbook, 2nd Ed. Ohmart, CP, Storm, CP, Matthiasson SK (Eds.). Lodi Winegrape Commission. pp Lodi Winegrape Commission 2014/All Rights Reserved 27

33 Human Resources Management 2.5 Employee Performance Evaluation : a. My company/farming operation has a written employee evaluation process and documentation of each employee evaluation. b. My company/farming operation does not have a written employee evaluation process. 2 0 Scope: The entirety of the vineyard operation submitted for Lodi Rules certification. Purposes: To promote effective employee evaluation and performance feedback. Verification: Visual inspection of the employee evaluation process document and records of employee evaluations. Billikopf, G. Labor management in agriculture: cultivating personnel productivity, 2nd Ed. University of California, Agriculture and Natural Resources Agricultural Issues Center Publication Farm Labor Employers Service. URL: (Last accessed on 14Jan13) Kay, RD; Edwards, WM. Farm management. McGraw-Hill, New York Thach, L. Chapter 7. Human Resources Management.. In: Lodi Winegrower's Workbook, 2nd Ed. Ohmart, CP, Storm, CP, Matthiasson SK (Eds.). Lodi Winegrape Commission. pp Lodi Winegrape Commission 2014/All Rights Reserved 28

34 Human Resources Management 2.6 Safety Training : a. My company/farming operation conducts training and safety meetings at least 6 times per year, AND I document session dates and attendance, AND I track safety statistics, such as lost time accidents. b. My company/farming operation conducts training and safety meetings at least 3 times per year AND I document session dates and attendance. 2 1 c. I comply with the legal requirement for employee safety training. 0 Scope: The entirety of the vineyard operation submitted for Lodi Rules certification. Purposes: To promote safety in the workplace. Verification: Visual inspection of safety training records and statistics. AgSafe. URL: (Last accessed on 15Jan13) Cal/OSHA URL: (Last accessed on 14Jan13) California Department of Industrial Relations. Heat illness prevention. URL: (Last accessed on 14Jan13) Internet search terms: California department of industrial relations heat illness prevention California EPA Department of Pesticide Regulation. Pesticides and Human Health Information. URL: (Last accessed on 14Jan13) Internet search terms: California pesticides human health information Farm Labor Employers Service. URL: (Last accessed on 14Jan13) Farm Labor Employers Service. Summary of employment requirements for California winegrape growers. California Association of Winegrape Growers. May, URL: (Last accessed on 14Jan13) Internet search terms: farm labor employers service summary employment requirements California winegrape growers Thach, L. Chapter 7. Human Resources Management.. In: Lodi Winegrower's Workbook, 2nd Ed. Ohmart, CP, Storm, CP, Matthiasson SK (Eds.). Lodi Winegrape Commission. pp University of California Agricultural Ergonomics Research Center. URL: (Last accessed on 14Jan13) Lodi Winegrape Commission 2014/All Rights Reserved 29

35 Human Resources Management 2.7 Safety Rewards Program : a. My company/farming operation has a written incentives program that recognizes individuals for safe job performance. b. My company/farming operation has provided written recognition or bonuses for safe job performance. c. My company/farming operation provides no incentives or recognition for safe job performance Scope: The entirety of the vineyard operation submitted for Lodi Rules certification. Purposes: To promote safety in the workplace. Verification: Visual inspection of the safety incentives program document. Lodi Winegrape Commission 2014/All Rights Reserved 30

36 Human Resources Management 2.8 Employee Training and Development : a. A company/farming operation employee has attended at least three training seminars or other educational programs within the last 12 months (e.g. LWC breakfast meetings, field days, workbook workshops, research seminars; Farm Safety Day; Spray Safe, Unified Wine and Grape Symposium; University of California or California State University classes or meetings). b. A company/farming operation employee has attended at least one training seminar or other educational program within the last 12 months (e.g. LWC breakfast meetings, field days, workbook workshops, research seminars; Farm Safety Day; Spray Safe; Unified Wine and Grape Symposium; University of California or California State University classes or meetings). c. No company/farming operation employee has attended training seminar or other educational program within the last 12 months Scope: The entirety of the vineyard operation submitted for Lodi Rules certification. Purposes: To help each employee reach his or her full potential with regard to workplace competency. Verification: Visual inspection of seminar and educational attendance records. Billikopf, G. Labor management in agriculture: cultivating personnel productivity, 2nd Ed. University of California, Agriculture and Natural Resources Agricultural Issues Center Publication Farm Labor Employers Service. URL: (Last accessed on 14Jan13) Farm Labor Employers Service. Summary of employment requirements for California winegrape growers. California Association of Winegrape Growers. May, URL: (Last accessed on 14Jan13) Internet search terms: farm labor employers service summary employment requirements California winegrape growers Kay, RD; Edwards, WM. Farm management. McGraw-Hill, New York Thach, L. Chapter 7. Human Resources Management.. In: Lodi Winegrower's Workbook, 2nd Ed. Ohmart, CP, Storm, CP, Matthiasson SK (Eds.). Lodi Winegrape Commission. pp Lodi Winegrape Commission 2014/All Rights Reserved 31

37 Human Resources Management 2.9 Teambuilding : My company/farming operation provided a formal team-building activity within the last 12 months (e.g. post harvest party, Christmas party, spontaneous rewards during the growing season, employee lunches, etc.). YES = 1 NO = 0 Scope: The entirety of the vineyard operation submitted for Lodi Rules certification. Purposes: To strengthen relationships among staff members and promote teamwork. Verification: Visual inspection of team building activity records. Kay, RD; Edwards, WM. Farm management. McGraw-Hill, New York Thach, L. Chapter 7. Human Resources Management.. In: Lodi Winegrower's Workbook, 2nd Ed. Ohmart, CP, Storm, CP, Matthiasson SK (Eds.). Lodi Winegrape Commission. pp Lodi Winegrape Commission 2014/All Rights Reserved 32

38 Human Resources Management 2.10 Employee Bonus System : a. Within the last year, my company/farming operation has provided bonuses to employees (e.g. Christmas bonus check, turkey, harvest bonus, wine, gift cards, etc.). b. My company/farming operation has not provided any type of bonus for employees. 2 0 Scope: The entirety of the vineyard operation submitted for Lodi Rules certification. Purposes: To enhance employee compensation and in so doing, incentivize employees and build employee loyalty towards the company. Verification: Visual inspection of employee bonus records. Billikopf, G. Labor management in agriculture: cultivating personnel productivity, 2nd Ed. University of California, Agriculture and Natural Resources Agricultural Issues Center Publication Kay, RD; Edwards, WM. Farm management. McGraw-Hill, New York Lodi Winegrape Commission 2014/All Rights Reserved 33

39 Human Resources Management 2.11 Employee Health Care Benefit : a. My company/farming operation offers some form of health insurance benefit to employees. b. My company/farming operation offers no health insurance benefit. 0 Scope: The entirety of the vineyard operation submitted for Lodi Rules certification. Purposes: To provide employees with a benefit that is essential to their wellbeing and in so doing, incentivize employees and build employee loyalty towards the company. Verification: Visual inspection of health care documentation. Farm Labor Employers Service. Summary of employment requirements for California winegrape growers. California Association of Winegrape Growers. May, URL: (Last accessed on 14Jan13) Internet search terms: farm labor employers service summary employment requirements California winegrape growers Thach, L. Chapter 7. Human Resources Management.. In: Lodi Winegrower's Workbook, 2nd Ed. Ohmart, CP, Storm, CP, Matthiasson SK (Eds.). Lodi Winegrape Commission. pp Lodi Winegrape Commission 2014/All Rights Reserved 34