UTZ CERTIFIED Good Inside Code of Conduct for Cocoa For Individual Certification. Version 1.0 December 2009

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1 UTZ ERTIFIED Good Inside ode of onduct for ocoa For Individual ertification Version 1.0 December 2009 UTZ ERTIFIED: certification and traceability of sustainable agricultural commodities. UTZ ERTIFIED Foundation De Ruyterkade 6 bg 1013 AA Amsterdam

2 UTZ ERTIFIED Good Inside ode of onduct for ocoa For Individual ertification opies of this document are available for free in electronic format on the UTZ ERTIFIED Good Inside website: If you are not able to access this document electronically, you may write to us at the following address to get hard copies at a reasonable cost-covering price: UTZ ERTIFIED Good Inside De Ruyterkade 6 bg 1013 AA Amsterdam The Netherlands Please send your comments or suggestions to: certification@utzcertified.org Or via regular mail to: UTZ ERTIFIED Good Inside ertification Department De Ruyterkade 6 bg 1013 AA Amsterdam The Netherlands UTZ ERTIFIED Good Inside 2009 No part of this publication may be reproduced, stored in a retrieval system, or transmitted in any form or by any means, electronic, mechanical, photocopying, recording or otherwise without full attribution. UTZ ERTIFIED Good Inside Page 2 of 22

3 UTZ ERTIFIED Good Inside ode of onduct for ocoa For Individual ertification Introduction UTZ ERTIFIED is a worldwide certification program that sets standards for responsible production and sourcing of agricultural commodities. UTZ, which means "good" in a Maya language, gives the assurance of professional, social and environmental quality in production practices that brands and consumers expect. UTZ ERTIFIED products have been produced according to the criteria of the UTZ ERTIFIED odes of onduct. With an UTZ ERTIFIED certificate cocoa producers can demonstrate good agricultural practices, efficient farm management and responsible production of their cocoa. For cocoa traders and processors the UTZ ERTIFIED certificate is an assurance of responsible cocoa production which they can use in their sourcing decisions. The UTZ ERTIFIED Good Inside ode of onduct for ocoa for Individual ertification is the Estates version of the ode of onduct for ocoa for Group ertification (smallholders). It follows the same structure as the offee and Tea odes. UTZ ERTIFIED strives to continuously improve the ode of onduct through regular revisions in close cooperation with all stakeholders. UTZ ERTIFIED has the overall authority for the issuing and amendment of the requirements stated in this document. Scope The UTZ ERTIFIED ode of onduct for ocoa Individual ertification applies to cocoa estates opting for an individual certification, producing and selling cocoa as UTZ ERTIFIED. ertification must be carried out by a ertification Body (B), which is approved by UTZ ERTIFIED (See UTZ ERTIFIED Good Inside ertification Protocol 1 ). A list of approved ertification Bodies can be found on the UTZ ERTIFIED website. When the UTZ ERTIFIED ode of onduct for ocoa speaks of "certificate holder", it refers to the entity that is responsible for implementing and monitoring the requirements of the UTZ ERTIFIED Good Inside ode of onduct. 1 Latest version always applicable and available at UTZ ERTIFIED Good Inside Page 3 of 22

4 UTZ ERTIFIED Good Inside ode of onduct for ocoa For Individual ertification Structure of the UTZ ERTIFIED Good Inside ode of onduct The ode of onduct consists of 182 control points, divided into 10 chapters: hapter 1: Traceability, product identification and separation... hapter 2: Management system, record keeping and self-... hapter 3: Varieties and rootstocks... hapter 4: Soil management & ocoa farm maintenance... hapter 5: Fertilizer use... hapter 6: Irrigation... hapter 7: Integrated pest management and crop protection... hapter 8: Harvesting... hapter 9: Workers rights, health and safety... hapter 10: Natural resources and biodiversity... page 8 page 8 page 10 page 10 page 11 page 12 page 12 page 15 page 17 page 21 ontinuous improvement structure When developing the ode of onduct for ocoa smallholders, UTZ ERTIFIED evaluated how best to include a risk based approach as well as continuous improvement in the ertification Program. Below you can find an overview on how continuous improvement is built into the structure of the ode: hapter 1 ontrol point 1 ontrol point 2 ontrol point 3 ontrol point 4 ontrol point 5 ontrol point 6 ontrol point 7 heck at level of: (P) - Producer () - ertificate holder P P /P P P yr1 yr2 yr3 yr4 required compliances green=mandatory # yr1 # yr2 # yr3 # yr4 The chapters of the ode of onduct are thematically grouped in three parts. o Part 1 (chapters 1-2) covers traceability and general management issues o Part 2 (chapters 3 8) covers good agricultural and farm practices UTZ ERTIFIED Good Inside Page 4 of 22

5 UTZ ERTIFIED Good Inside ode of onduct for ocoa For Individual ertification o Part 3 (chapters 9 10) covers specific social and environmental aspects The certificate holder has to comply with the mandatory control points and an indicated number of additional points in all three parts. Each chapter consists of criteria and control points (indicators). The auditor checks the control points. The control points are in general applicable to the whole production system. This ode of onduct is specific for ocoa for Individual ertification and therefore the ertificate Holder is the Producer at all times, this is reflected in the Inspection column. There are two types of control points: o mandatory control points (shaded in green) o additional control points (not shaded) ompliance is reached if the certificate holder has fulfilled all the mandatory control points, plus a defined number of additional control points (non-mandatory points in that specific year) per section. The number of additional points to comply with is specified at the bottom of each section. It is not possible to compensate a low score in one chapter with a high score in another. Separate columns indicate when points become mandatory in year 1 to 4. It is clearly indicated with green boxes which control points need to be complied within each year. The certificate holder can also see which control points will become mandatory in the next year. When compliance is reached, the box for that specific year is ticked in this column. From year 1 to year 4 the number of mandatory control points increases. At the end of each chapter it is specified how many control points are mandatory for that specific year. If a mandatory control point is not applicable for the certificate holder in question, this is indicated in the comments column in the checklist format (separate document). The number of mandatory control points that are not applicable for certification also need to be indicated in the calculation section below the criteria, and can be deducted from the total number of mandatory points. Additional control points: Besides the mandatory control points, a defined number of additional control points (not shaded) have to be complied with every year. If an additional control point is not applicable, it can NOT be counted in or deducted from the number of additional control points complied with. UTZ ERTIFIED Good Inside Page 5 of 22

6 UTZ ERTIFIED Good Inside ode of onduct for ocoa For Individual ertification Example: alculation of mandatory and additional control points Example situation: a producer in its third year of certification. TOTAL MANDATORY ONTROL POINTS HAPTER NUMBER OF MANDATORY ONTROL POINTS OMPLIED WITH 10 NUMBER OF MANDATORY POINTS NON APPLIABLE 6 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. TOTAL ADDITIONAL ONTROL POINTS REQUIRED FOR ERTIFIATION HAPTER NUMBER OF ADDITIONAL ONTROL POINTS OMPLIED WITH 3 If an additional control point is not applicable, it can NOT be counted in or deducted from the number of additional control points required for certification. In this example the producer complies with all applicable mandatory control points and complies with (or in this case even exceeds) the required number of additional control points. This means that the producer group is compliant with chapter 1 and 2 of the ode of onduct. If the producer likewise complies with the mandatory control points and required number of additional control points in the other chapters of the code of conduct, then it can be certified. Additional documents relevant for this ode of onduct It is the intention of UTZ ERTIFIED to formulate the control points as precisely as possible. Several additional documents are available or will be developed to help interpret and implement the control points. An important additional document is the Annex for ocoa for Individual ertification. The Annex for ocoa for Individual ertification gives extra explanation through Guidance omments on how to comply with or interpret the control points. The document is structured in the code format, this means it is clear which control point the comment refers too. The Annex for ocoa for Individual certification document will be updated on a more frequent basis than the ode of onduct itself. Other important and useful documents include: The UTZ ERTIFIED Good Inside ertification Protocol. This document describes the procedures both the certificate holder and the certification body have to follow in order to become certified. The UTZ ERTIFIED Good Inside ode of onduct checklist. The checklist is very similar to the ode of onduct. It lists all the control points but has an additional column for comments. This is useful for the certification body during the audit, but also for the certificate holder to carry out the self-. The comment column is useful for notes, for example justifications as to why a specific control point is not applicable. UTZ ERTIFIED Good Inside Page 6 of 22

7 UTZ ERTIFIED Good Inside ode of onduct for ocoa For Individual ertification Record keeping An important element of the UTZ ERTIFIED ode of onduct is record keeping. Record keeping is important because it gives the producer more insight into the whole production process. It also enables the external inspector to verify that the producer is complying with the requirements of the UTZ ERTIFIED ode of onduct. Record keeping requirements for first s For a first audit, the external auditor will verify ALL the requested records in this ode of onduct for the 3 months prior to the date of. The certificate holder determines if the producers are ready for the external audit based on the outcome of the self-. The certificate holder must send the documents of the self- to the B before the can take place. The B will review the self- documents to determine if the auditor can meaningfully perform the audit. Record keeping requirements for re-certification For a re-certification the external auditor will verify all the requested records in the ode of onduct going back to the previous. Applicability of control points When implementing the ode of onduct, the certificate holder must assess for every control point if it is applicable to the situation of the producer or not. If for example the certificate holder does not use any irrigation because there is a full dependence on rainfall, these control points are not applicable to the producer situation. The certificate holder must document the non-applicable control points plus the evidence that shows why they are not applicable. The certificate holder must always be able to show and explain to the external auditor why a control point is not applicable to the situation. The external auditor will verify that the control point is indeed not applicable to the situation of the certificate holder and clearly indicate this in the report. Definitions The list of definitions of the ode of onduct can be found in the UTZ ERTIFIED Good Inside List of Definitions for ocoa 2. 2 Latest version always applicable and available at UTZ ERTIFIED Good Inside Page 7 of 22

8 UTZ ERTIFIED Good Inside ode of onduct for ocoa For Individual ertification Nº ONTROL POINT HAPTER 1: TRAEABILITY, PRODUT IDENTIFIATION AND SEPARATION 1.A.1 The certificate holder is able to document the product flow of cocoa from each production unit to the collection point and during handling and transport, for as long as the certificate holder is the owner of the cocoa. 1.A.2 If the certificate holder outsources any post-harvest product handling, storage or transport, s/he verifies that the outsourced party is able to ensure traceability, product identification and separation of UTZ ERTIFIED cocoa from non-utz ERTIFIED cocoa. 1.A.3 The certificate holder has a document management system in place that records: - the total quantity of cocoa harvested, - the purchases and sales of UTZ ERTIFIED cocoa, - the purchases and sales of non-utz ERTIFIED cocoa, - possible carry-over stock of UTZ ERTIFIED cocoa of the previous season - the UTZ sales announcements with unique UTZ ERTIFIED number, - the sales invoices with indication of the UTZ ERTIFIED status. 1.A.4 1.A.5 The certificate holder clearly indicates the responsible person(s) in the organization for traceability, product identification and separation of cocoa. This person or group of persons is able to demonstrate and explain the system and is accessible to others in the organization and to make sales announcements. The certificate holder at all times strictly separates UTZ ERTIFIED cocoa from non UTZ ERTIFIED cocoa: in the fields and throughout all handling and processing, up to sorted and graded cocoa, for as long as the certificate holder is the owner of the cocoa. arry-over stock of UTZ ERTIFIED cocoa from a previous certification year is kept separate and clearly indicated. 1.A.6 The certificate holder clearly and visually identifies UTZ ERTIFIED cocoa. 1.A.7 A system is in place where representative lot samples of cocoa are kept to be analyzed in case of any complaint. Samples are kept for at least one year. HAPTER 2: MANAGEMENT SYSTEM, REORD KEEPING AND SELF-INSPETION 2.A Record keeping and farm/field identification 2.A.1 2.A.2 2.A.3 2.A.4 The certificate holder has an overview map of the production area (e.g. a drawing). This map has to include cocoa fields with aggregated planted areas and nurseries, protected areas, water streams and sources and human settlements. The cocoa fields must be identified with a name, number, code or color on the map and on all relevant records. The certificate holder physically identifies all cocoa fields with permanent signs indicating the name, number or code. All the records and documents requested by this ode of onduct are up to date and accessible for the auditor. All documents are archived for a minimum period of two years from the date of first external audit or longer if legally required. Records providing a history of all UTZ ERTIFIED production areas are available. New applicants have full records for at least three months prior to the first external audit with relation to UTZ ERTIFIED requirements. 2.B Management systems and self- 2.B.1 The certificate holder undertakes at least one self- per year against the UTZ ERTIFIED ode of onduct, using the UTZ ERTIFIED checklist. This self- is documented. UTZ ERTIFIED Good Inside Page 8 of 22

9 UTZ ERTIFIED Good Inside ode of onduct for ocoa For Individual ertification Nº ONTROL POINT 2.B.2 2.B.3 Subcontractors carry out an assessment (or the certificate holder does this on behalf of the subcontractor) of compliance against the UTZ ERTIFIED control points relevant to the services provided. The certificate holder is responsible for ensuring compliance with the applicable control points. The certificate holder makes and implements a management plan covering: - planting and pruning; - harvesting practices and cycles; - soil and fertility management; - crop protection and residues; - pollution prevention & waste management; - water use and pollution (incl. irrigation). Biodiversity is addressed in a conservation plan, see chapter B.4 For new agricultural sites, a risk assessment is carried out with regards to food safety and the environment. There is a management plan for all new sites, setting out strategies to minimize all identified risks. 2. Accountability and transparency The UTZ program is intended to generate both tangible and intangible benefits for cocoa producers. Transparency on the amount and the distribution of the tangible benefits, like the UTZ premium, is a part of responsible cocoa production The certificate holder can show how the UTZ premium is distributed within its organization. The costs of operation are clearly documented The certificate holder appoints a person to whom workers can file questions, ideas and complaints. This person has to be known and accessible to the workers and is well informed about the UTZ ERTIFIED program. The certificate holder has a complaint mechanism available for all persons that want to file a complaint related to issues of compliance with the UTZ ERTIFIED ode of onduct. The certificate holder adequately records, studies and follows up on complaints and records the corrective actions taken. This includes complaints from the government in case of (alleged) violations of the law. TOTAL MANDATORY ONTROL POINTS HAPTER NUMBER OF MANDATORY ONTROL POINTS OMPLIED WITH NUMBER OF MANDATORY POINTS NON APPLIABLE 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. TOTAL ADDITIONAL ONTROL POINTS REQUIRED FOR ERTIFIATION HAPTER NUMBER OF ADDITIONAL ONTROL POINTS OMPLIED WITH If an additional control point is not applicable, it can NOT be counted in or deducted from the number of additional control points required for certification. UTZ ERTIFIED Good Inside Page 9 of 22

10 UTZ ERTIFIED Good Inside ode of onduct for ocoa For Individual ertification Nº ONTROL POINT 3. VARIETIES AND ROOTSTOKS 3.A Planting material 3.A.1 The responsible person (certificate holder or technical advisor) chooses the variety of cocoa that is most suited for the local production situation and conditions. Special attention is given to the amounts of crop protection products and fertilizers required, important pests and diseases, and quality. 3.A.2 The certificate holder has records/certificates available of the seed quality which states variety, batch number and vendor name. 3.A.3 If the certificate holder buys propagation material from an external cocoa nursery, it is free of visible signs of pest and disease. When plants have visible signs of pest and disease damage, a justification is available (e.g. that the threshold for treatment has not been reached yet). 3.A.4 New cocoa trees are planted in the most suitable pattern and density to the varietal requirements to ensure easy management of the farms. 3.B Nursery An on-farm nursery is a cocoa nursery that is owned and managed by the certificate holder in this case 3.B.1 For on-farm cocoa nurseries, the certificate holder has an operational plant health quality control system in place. This system monitors and records visible signs of pests and diseases as well as root problems and identifies the mother plant or field of origin (if applicable). N 3.B.2 For on-farm cocoa nurseries, all crop protection product treatments applied to the cocoa are recorded according to point 7.B.4 3.B.3 If polythene sleeves are used, suitable sleeves are used and reused. They are disposed of in the most environmental friendly manner N possible. 4. SOIL MANAGEMENT & OOA FARM MAINTENANE 4.A. SOIL MANAGEMENT The control points in this section are about maintaining the structure of the soil, improving the fertility of the soil and preventing soil erosion. N 4.A.1 The certificate holder uses techniques to prevent soil erosion. There is visual and/or documented evidence that these techniques are used. Special attention is given to new clearing, pruning and (re)planting. 4.A.2 4.A.3 4.A.4 No new plantings on steep slopes (>25%) after initiating the certification process. If cocoa is planted on slopes over 8%, the producer uses techniques to prevent erosion. In case of new plantings or re-planting, during the first five years the certificate holder prevents erosion through leaving shade trees in place and/or planting new shade trees, other plants and cover crops during land preparation. The certificate holder uses techniques to maintain and recuperate soil structure and fertility. There is visual and/or documented evidence that these techniques are used. The fertility of the soil is assessed and soil type and structure are 4.A.5 identified. 4.B OOA FARM MAINTENANE 4.B.1 4.B.2 Optimal tree architecture is obtained and maintained by regular pruning and removal of chupons. Good sanitation practices are maintained on the farm: - Diseased or infested pods, branches and other plant material are regularly removed from the trees. Diseased material is disposed of in a way that prevents contamination. - Tools are used that are dedicated for this purpose and disinfected afterwards. UTZ ERTIFIED Good Inside Page 10 of 22

11 UTZ ERTIFIED Good Inside ode of onduct for ocoa For Individual ertification Nº ONTROL POINT 5. FERTILIZER USE The control points in this chapter are about the choice of fertilizers that the producer uses, their storage and application. The type and amount of fertilizers applied are appropriate for the situation. The use is recorded. 5.A hoice and use of fertilizers 5.A.1 5.A.2 The certificate holder (or external advisor) chooses the fertilizers and is able to demonstrate the competence to estimate the quantity, time of application and type of fertilizer (organic and inorganic) to use. The certificate holder (or external advisor) has a documented fertilizer program in place to ensure that fertilizers are applied judiciously, preventing the amount applied from exceeding the needs of the crop and the storage capacity of the soil. The responsible person demonstrates that consideration has been given to nutritional needs of the crop and soil fertility. 5.A.3 The producer applies fertilizer in a manner that reduces the risk of contamination of water streams and sources. The producer does not use fertilizers within 5 meters (or more if required by law) of any water stream or source or within 10 meters from springs. lear instructions are in place for persons involved in fertilizer application. 5.B Records of application 5.B.1 The certificate holder has an up to date and complete list of all the fertilizers that are used and/or stored on the farm. For all the inorganic fertilizers, the list also mentions the brand names and the active ingredients. 5.B.2 All applications of organic and inorganic fertilizers (including fertigation) are recorded (except for mulch and farm made compost), including: - date of application - product brand name, type of fertilizer and chemical composition (name and concentration of active ingredients and heavy metals) - quantity or volume per hectare, plot or field - field identification (name, number or code, location) - method of application and used equipment - name of the operator 5. Application equipment 5..1 The certificate holder ensures that all inorganic fertilizer application equipment (including manual pumps) is in good condition and is calibrated at least annually (in line with national practice and regulation). The calibration is performed by a trained professional and recorded. 5.D Storage 5.D.1 5.D.2 5.D.3 Inorganic and organic fertilizers are stored separately from harvested cocoa, tools, packaging material, crop protection products and food products. Inorganic and organic fertilizers are stored in a manner that reduces the risk of contamination of water streams and sources. For organic manure the distance to water streams and sources is minimum 25 meters. For inorganic fertilizers a spillage retention system to catch leaking liquid fertilizers is used. The storage for inorganic and organic fertilizers (except from compost and mulch) is: - clean, dry and well ventilated - covered and protected against sunlight, rain and frost - clearly marked with permanent, understandable and visible warning signs. 5.E Organic Fertilizer 5.E.1 Human sewage, sludge and sewage water are not used on cocoa for any purpose. UTZ ERTIFIED Good Inside Page 11 of 22

12 UTZ ERTIFIED Good Inside ode of onduct for ocoa For Individual ertification Nº ONTROL POINT 5.E.2 Before organic fertilizer is applied, a risk assessment is carried out that considers disease transmission, weed seed content, method of composting, heavy metal content etc. 5.E.3 Before organic fertilizer is applied, an analysis is carried out that determines the content of nutrients (N,P,K) in the organic fertilizer that is applied. 6. IRRIGATION (If applicable) The objective of the control points in this chapter is to check if the certificate holder is making rational use of irrigation water, not using too much or too little water. The certificate holder must use systematic methods to decide on the quantity of irrigation water to prevent using too much water. He must also consider the quality and the sustainability of the source of irrigation water. 6.A Predicting irrigation needs 6.A.1 The certificate holder has rainfall records and systematic rainfall forecast methods available to decide on the application of irrigation water. If the certificate holder uses evaporation data to calculate irrigation 6.A.2 needs, documentation is demonstrated on how and which figures are used to calculate the evaporation rate. 6.B Irrigation method 6.B.1 The certificate holder has a water action plan to optimize irrigation water use and reduce loss and waste water. 6.B.2 The certificate holder uses the most efficient and commercially practical water delivery system to ensure the best utilization of water resources. The certificate holder shows the efficiency of the irrigation system in terms of the amount of water used per MT of cocoa produced. 6.B.3 The certificate holder has records that indicate the date of irrigation, the quantity of water used and where the irrigation water was used. 6. Quality of irrigation water The certificate holder makes an annual risk assessment of phytosanitary, chemical or physical pollution or contamination of irrigation water sources. Irrigation water is analyzed at a frequency according to the results of the risk assessment. In case of adverse results, records are kept of actions taken. Untreated sewage water is not used for irrigation. Treated sewage water can only be used on cocoa if the water quality complies with the WHO published Guidelines for the Safe Use of Wastewater and Excreta in Agriculture and Aquaculture D Supply of irrigation water 6.D.1 Irrigation water is extracted from sustainable sources. 6.D.2 Advice on water extraction is sought from water authorities whenever these are available. Rainwater harvesting or infiltration is practiced, for example from roofs 6.D.3 or retention ponds built in runoff areas away from streams. HAPTER 7: INTEGRATED PEST MANAGEMENT AND ROP PROTETION The control points in this chapter are about the choice of crop protection products that the producer uses, their storage and application. The type and amount of crop protection products applied must be appropriate for the situation. The use must be recorded. 7.A hoice and use of crop protection products 7.A.1 rop protection products are not used or stored if they are (any of the below): - non-approved in the EU, USA (EPA) or Japan; - classified by WHO as 1A or 1B; - identified as Persistent Organic Pollutants (POP's) in the Stockholm agreement; - included in Annex III of the Rotterdam onvention (UNEP's Prior Informed onsent (PI) Program list); - on PAN's Dirty Dozen list. UTZ ERTIFIED Good Inside Page 12 of 22

13 UTZ ERTIFIED Good Inside ode of onduct for ocoa For Individual ertification Nº ONTROL POINT 7.A.2 7.A.3 7.A.4 7.A.5 rop protection products that are allowed under the previous point are only used and stored if officially registered and permitted in the country of production for use on cocoa. If there is no official registration scheme for crop protection products in the country, the producer refers to the FAO International ode of onduct on the Distribution and Use of Pesticides. The responsible person (certificate holder or external advisor) who chooses the crop protection products is able to demonstrate competence and knowledge. The certificate holder has documented procedures for the observation of pre-harvest intervals. Systems such as warning signs are in place in the field to ensure compliance with all pre-harvest intervals. The certificate holder consults the list for Maximum Residue Levels (MRL) 7.A.6 of allowed crop protection products for the markets where the cocoa is intended to be sold (either domestic or international). Application methods 7.A.7 All crop protection products are prepared and applied according to the label recommendations or official publications. 7.A.8 The certificate holder makes sure not to use crop protection products: - within 5 meters from any water stream or body up to 3 meters wide (including seasonal streams and creeks); - within 10 meters from any water stream or body over 3 meters wide (e.g. rivers and lakes); - within 15 meters from springs. In case national regulations are stricter, national laws apply. lear instructions are in place for all persons involved. 7.A.9 The certificate holder makes all people on the farm aware of the concept of re-entry time. Visual signs (e.g. warning signs, red flags) are used to inform people of the re-entry time. Documentation demonstrates that reentry intervals for crop protection products have been monitored. In case herbicides are used they are applied selectively. Manual weed 7.A.10 management is recommended. Integrated Pest Management (IPM) 7.A.11 7.A.12 All the crop protection products applied to the cocoa are suitable for the pest, disease or weed and can be justified (according to label recommendations or official registration body publication). All crop protection products are prepared and applied according or equivalent to the label instructions, using the prescribed dosage, timing and intervals of application. Alternative recommendations are documented by the certificate holder. 7.A.13 7.A.14 7.A.15 If a crop protection product is applied more than once during the crop cycle, the certificate holder has and implements an anti-resistance strategy to maintain the effectiveness of the crop protection product. The certificate holder uses crop protection products with the least chemical toxicity possible for people, flora and fauna. The certificate holder has explored non-chemical alternatives for crop protection products. Where effective the producer preferably uses biological control methods such as natural enemies and repellents. 7.A.16 The certificate holder applies at least two of the following IPM activities: prevention, monitoring and intervention to manage pests and diseases. 7.B Records of application 7.B.1 The certificate holder has an up to date and complete list of all the crop protection products that are used and/or stored, including the brand names and active ingredients. UTZ ERTIFIED Good Inside Page 13 of 22

14 UTZ ERTIFIED Good Inside ode of onduct for ocoa For Individual ertification Nº ONTROL POINT 7.B.2 All applications of crop protection products are recorded including: - date of application (day, month, year); - product trade name (brand) and chemical composition (name and concentration of active ingredients); - quantity or volume per hectare, plot or field; - first allowed harvest date; - re-entry time of people into the sprayed area; - justification for application (common name of disease or pest); - field identification (number or code, location); - application method/equipment; - name of the operator; - name of the person who recommended the product; 7. Application equipment 7..1 The producer maintains all the crop protection product application equipment (mechanical or motorized) in good condition to ensure proper functioning. The certificate holder ensures that the crop product application 7..2 equipment (mechanical or motorized) is calibrated annually. 7.D Disposal of surplus application mix 7.D.1 7.D.2 according to national legislation where it exists, or in absence according to points 7.D.2 and 7.D.3 in a manner that it is applied over an untreated part of the crop, as long as the recommended dose is not exceeded and records are kept as if it was a normal application. 7.D.3 in a manner that it is applied on designated fallow land, where legally allowed, and as long as records are kept as if it was a normal application 7.E Transport, storage, handling and diluting 7.E.1 All crop protection products are transported and stored safely, with attention to minimizing possible danger to people, food products and the environment, properly closed to prevent spillage. The certificate holder stores all crop protection products 7.E.2 clearly identified for the crop they are used for. 7.E.3 7.E.4 in accordance with the label instructions and with all relevant national, regional and local legislation. in the original containers or packaging and properly closed so that it cannot be spilled. When an original packaging is broken or damaged, and the product is transferred to another packaging, the new package contains all the information of the original label. 7.E.5 which are in powder or granular form above products which are liquid form. The facility for storing crop protection products: 7.E.6 - is kept clean and dry; 7.E.7 - is structurally secure with a sound roof and impermeable floors (able to retain spillage); 7.E.8 7.E.9 7.E.10 7.E.11 7.E.12 - is well ventilated and light enough to ensure that product labels can be easily read; - has shelves made of (or lined with) non-absorbent material such as plastic, glass or metal; - is made of fire-resistant materials and preferably built and located to prevent temperature extremes; - is kept locked and accessible only to people who can demonstrate formal training in their safe use and handling; - is equipped with appropriate measuring equipment so that handling and mixing can be done according to instructions. UTZ ERTIFIED Good Inside Page 14 of 22

15 UTZ ERTIFIED Good Inside ode of onduct for ocoa For Individual ertification Nº ONTROL POINT The facility for storing and diluting crop protection products is equipped with the following safety provisions: 7.E.13 7.E.14 7.E.15 - permanent and clear hazard warning signs on or next to the access doors. - emergency facilities and procedures to deal with spillage of crop protection products (i.e. sand or sawdust) and with operator contamination (i.e. clean water). The procedure and facilities are visual and permanent available within 10 meters of the storage. The procedure must indicate basic accident care instructions as well as telephone numbers or radio contacts. - an up to date, documented and available inventory of all the crop protection products stored and used on the farm. The list includes an explanation of pictograms, safety warnings, and symptoms of intoxication and first aid information for each product. This information is communicated to the persons working with the products. 7.F Empty crop protection product containers 7.F.1 7.F.2 7.F.3 The producer does not re-use empty crop protection product containers in any form or manner. The producer cleans empty crop protection product containers by rinsing them 3 times with water (if available with an integrated pressure-rinsing device on the application equipment). The producer returns the rinsing from washing the empty crop protection product containers to the application equipment tank. After rinsing the containers are perforated to prevent re-use. The producer stores, labels and handles empty crop protection product containers adequately and securely until they are collected. If available, the producer uses official collection and/or disposal systems. If these systems do not exist or are not accessible, empty containers are disposed of in a manner that minimizes exposure to humans, the environment and food products. 7.G Obsolete crop protection products 7.G.1 The producer stores, labels and handles obsolete crop protection products adequately and securely. If available, the producer uses official collection and/or disposal systems. If these systems do not exist or are not accessible, obsolete products are disposed of in a manner that minimizes exposure to humans, the environment and food products. 8. HARVESTING 8.A Good harvest and post-harvest practices are applied to ensure good and consistent quality and food safety. 8.A.1 8.A.2 8.A.3 8.A.4 8.A.5 Pods are harvested at the appropriate time for the chosen market. To prevent Ochratoxin A (OTA) contamination, the pods are not wounded during harvest. ocoa beans are dried out of contact with soil and away from roads. Smoke contamination is prevented. Regular cocoa is reasonably free of foreign matter, foreign odors and defective beans (flat, shriveled, black, moldy, infested, etc) and meets national export or other contractual requirements, e.g. on off flavors, homogeneity of bean size, moisture level and defects. Dried beans are packaged in clean bags that are sufficiently strong and properly sewn or sealed. The bags are made of non-toxic materials and do not contain mineral oils. Preferably jute bags are used that are food grade. ocoa is stored off the ground and away from walls in a dry, well ventilated area, away from sources of contamination such as agrochemicals, fuel, flammable substances, smoke, etc. UTZ ERTIFIED Good Inside Page 15 of 22

16 UTZ ERTIFIED Good Inside ode of onduct for ocoa For Individual ertification Nº ONTROL POINT 8.A.6 ocoa beans are prevented from getting wet during loading and transportation. The certificate holder analyses main quality aspects of the cocoa before 8.A.7 sales. 8.B Good hygiene is maintained during harvest and post-harvest product handling. 8.B.1 8.B.2 8.B.3 8.B.4 Hygiene is assured during harvest and post-harvest handling. Tools, equipment and vehicles used to transport harvested cocoa are well cleaned and maintained, to ensure that they are free of contaminants. The certificate holder keeps storage and handling facilities (warehouses, drying tables, etc.) and equipment clean and maintained so as to prevent fungal and chemical contamination. This includes adequate measures to prevent pests (e.g. rats, cockroaches) in such facilities. Traps are documented. The certificate holder ensures that harvested cocoa is not contaminated with cleaning agents, lubricants and other substances during product handling. Such products are kept in a designated area, separate from cocoa and packaging materials. The certificate holder provides designated areas to store litter and waste, separating and disposing of different types of waste appropriately. 8. Harvested cocoa measurements 8..1 The certificate holder is able to ascertain the humidity percentage of dried cocoa beans in a reliable manner. If equipment or tools are used to determine the humidity of the cocoa, they are calibrated at least once a year. This is documented. TOTAL MANDATORY ONTROL POINTS HAPTER NUMBER OF MANDATORY ONTROL POINTS OMPLIED WITH NUMBER OF MANDATORY POINTS NON APPLIABLE 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. TOTAL ADDITIONAL ONTROL POINTS ADDITIONAL ONTROL POINTS REQUIRED FOR ERTIFIATION HAPTER 3-8 Please check the box for the situation applicable for your certification The certificate holder for which applies irrigation and nursery chapter applies The certificate holder for which the irrigation chapter applies (but no nursery) The certificate holder for which the nursery chapter applies (but no irrigation) The certificate holder with no nursery and no irrigation NUMBER OF ADDITIONAL ONTROL POINTS OMPLIED WITH If an additional control point is not applicable, it can NOT be counted in or deducted from the number of additional control points required for certification. UTZ ERTIFIED Good Inside Page 16 of 22

17 UTZ ERTIFIED Good Inside ode of onduct for ocoa For Individual ertification Nº ONTROL POINT HAPTER 9: WORKERS RIGHTS, HEALTH AND SAFETY This chapter deals with issues of health, safety and welfare of workers. A worker is a person who works on a farm, either permanent or temporary, and who is paid for her/his services. 9.A Risk management for working conditions 9.A.1 9.A.2 9.A.3 9.A.4 The certificate holder conducts a worker health and safety risk assessment of the production units. The risk assessment is performed by a qualified person or agency and is reviewed annually. Based on the risk assessment (9.A.1), the certificate holder makes and implements an action plan promoting healthy and safe working conditions in all production units. A responsible person is identified in this plan. Implemented actions are documented. The certificate holder appoints a person responsible for coordinating the training and the raising of awareness on labor rights. The certificate holder has regular meetings between the responsible person and group members/workers where concerns about health, safety and welfare are discussed openly. Records of these meetings are kept. 9.B Worker health and safety training 9.B.1 9.B.2 9.B.3 Workers receive an adequate training on healthy and safe practices. This training includes the handling of hazardous substances and dangerous and/or complex equipment and machines. Such training has to be repeated for new or reassigned workers. The certificate holder keeps: - up-to-date training records for each worker, indicating training dates and content and gender; - copies of attendance lists including signatures / fingerprints and gender. The certificate holder makes sure that there is always at least 1 person trained in First Aid available to workers at a central location when production, processing or maintenance activities are carried out. 9. Worker health and safety facilities, equipment and accident procedures It is the responsibility of the producer to ensure that his workers understand and follow the procedures for safe and healthy working conditions, and that have the best possible access to basic emergency medical treatment The certificate holder makes complete First Aid boxes (with materials before expiry date) available and accessible at all central and processing locations. The certificate holder has a clearly written accident and emergency procedure, describing: - who the contact persons are; - how to act in these situations; - the location of communication means (telephone, radio); - an up-to-date list of emergency phone numbers (e.g. ambulance, police). The certificate holder pays attention in his accident and emergency procedure to HIV/AIDS prevention. The certificate holder makes sure that permanent workers and supervisors of seasonal workers understand the accident and emergency procedure. The accident and emergency procedures are clearly and visually displayed at all the central and processing locations, using the predominant languages of the workers. The certificate holder indicates all potential hazards on central locations (e.g. fuel tanks, fertilizer storage, crop protection product storage) with clear and permanent warning signs and symbols. Special provisions are taken for workers with a disability to ensure their health and safety in the workplace. UTZ ERTIFIED Good Inside Page 17 of 22

18 UTZ ERTIFIED Good Inside ode of onduct for ocoa For Individual ertification Nº ONTROL POINT 9.D rop protection product handling, clothing & equipment 9.D.1 All persons that apply hazardous crop protection products wear suitable protective clothing and equipment that is in good state of repair. For home made and/or traditional products this is done whenever they pose a health risk. 9.D.2 9.D.3 9.D.4 9.D.5 The certificate holder ensures and is able to demonstrate that all workers involved properly use the protective clothing and equipment when handling or applying crop protection products. Protective clothing and equipment are stored separately from crop protection products and in a well-ventilated area. Protective clothing is cleaned and dried after use. If damaged beyond repair, it is disposed of. Single-use items (e.g. plastic gloves) are disposed after one use. The certificate holder has all workers who frequently apply hazardous crop protection products checked for their health annually. These checks are documented and comply with national legislation or industry practices. Pregnant and breastfeeding women and persons under 18 years do not 9.D.6 handle or apply crop protection products. 9.E Hygiene and good housekeeping 9.E.1 The certificate holder instructs all workers on basic hygiene. The hygiene instructions are visibly displayed, either by clear signs (pictures) or in the predominant language(s) of the workforce. 9.E.2 The certificate holder provides all workers access to clean hand washing facilities/equipment in the vicinity of their work, living and eating sites. 9.E.3 9.E.4 9.E.5 The certificate holder provides all workers access to clean toilets in the vicinity of their work, living and eating sites. The certificate holder implements adequate pest control measures to prevent pests (e.g. rodents, birds, insects) from coming into communal eating and living sites, as well as all production locations. Traps are identified with records. The certificate holder ensures that the production locations as well as communal eating and living sites are free of litter and waste. The certificate holder provides designated areas to dispose/store all types of litter and waste are provided, identifying and separating different types of litter and waste. 9.F Worker's rights The certificate holder complies with several conventions established by the International Labor Organization ILO. At all times the producer must comply with national or local legislation. 9.F.1 The certificate holder has records with a clear and accurate overview of all workers (including seasonal workers) and subcontractors. For permanent workers, the overview contains at least full names, gender, date of birth or age, date of entry, duration of employment and wages. For seasonal workers, the overview contains at least the number of workers, gender, dates of birth or age and wages. Freedom of association and the right to collective bargaining 9.F.2 All workers have the right to establish and/or join an organization of their choice. The certificate holder does not in any way block effective functioning of such organizations. Representatives are not subject to discrimination and have access to their members in the workplace. (Ref. ILO onvention 87 on Freedom of Association) 9.F.3 All workers have the right to perform collective bargaining. (Ref. ILO onvention 98 on Right to Organize and ollective Bargaining) UTZ ERTIFIED Good Inside Page 18 of 22

19 UTZ ERTIFIED Good Inside ode of onduct for ocoa For Individual ertification Nº ONTROL POINT Forced labor 9.F.4 The certificate holder and group members do not use forced, bonded or involuntary labor. The certificate holder and members do not require workers to lodge deposits or their identity papers with them or retain any part of the workers salary, benefits or property to force workers to remain on the farm. Workers are free to leave the employer after reasonable notice. Spouses and children of contracted workers are not required to work on the farm. (Ref. ILO onvention 29 on Forced Labor and 105 on Abolition of Forced Labor) hild Labor 9.F.5 hildren or minors (below 18) do not conduct hazardous work or any work that jeopardizes their physical, mental or moral well being. They do not work in dangerous locations, in unhealthy situations, at night, or with dangerous substances or equipment, nor do they carry heavy loads. They are not exposed to any form of abuse and there is no evidence of trafficked, bonded or forced labor. (Ref. ILO onvention 182 on Worst Forms of hild Labor). 9.F.6 Discrimination 9.F.7 Working hours hildren under 15 years are not employed or made to work. If local legislation has established a higher minimum age, this higher age applies. The date of birth of workers is documented. (Ref. ILO onvention 138 on Minimum Age ) The certificate holder and group members do not engage in discrimination in hiring, remuneration, access to training, promotion, termination and benefits on the basis of gender, race, caste, ethnicity, color, sexual orientation, union membership, marital status, national origin, disability, religion or political opinion. (Ref. ILO onvention 111 on Discrimination) 9.F.8 The maximum number of weekly normal working hours is 48 or less if so determined by national or local legislation or a collective bargaining agreement. The certificate holder records the working hours per worker. (Ref. ILO onvention 1 on Hours of Work) 9.F.9 9.F.10 Overtime work is: - at all times voluntary and - paid according to legal or sector standards and - does not exceed 12 hours per week and - is not demanded at a regular basis. Workers are entitled to at least one day off in every seven-day period. No worker works for more than five hours before having a break for at least half an hour. In addition, a woman resuming her work after child birth is entitled to two additional breaks daily, for an agreed period of time or according to legal and sector standards. When overtime is required, workers are notified timely. Workers working 9.F.11 overtime have access to safe transportation home following overtime shifts. Wages and contracts 9.F.12 9.F.13 Workers (permanent and seasonal) are paid gross wages that comply with national legislation and sector agreements, whichever is higher. Deductions from wages for disciplinary purposes are not made. Equal work is remunerated with equal pay. (Ref. ILO onvention 100 on Equal Remuneration) UTZ ERTIFIED Good Inside Page 19 of 22

20 UTZ ERTIFIED Good Inside ode of onduct for ocoa For Individual ertification Nº ONTROL POINT 9.F.14 Wages (incl overtime) are recorded and clear to workers and paid in a manner convenient to them. In addition, permanent workers have employment agreements/contracts providing understandable information about their employment conditions, including a detailed composition of wages and benefits. Obligations to employees shall not be avoided through the use of special types of contracts or arrangements. Maternity and child care provisions Workers receive all maternity entitlements and protection in line with 9.F.15 national law and practice. Maternity leave does not result in any discrimination, loss of seniority or deductions of wages. Respectful treatment of workers 9.F.16 9.F.17 9.F.18 The certificate holder and the staff do not engage in the use of corporal punishment, mental or physical oppression and coercion, verbal or physical abuse, sexual harassment or any other kind of intimidation at the workplace. The certificate holder stimulates the equal participation of disadvantaged/ minority groups within the organization, particularly with respect to recruitment, staff and committee membership. The certificate holder allows on-site living families to freely perform cultural expressions like wearing typical clothing, music, language, typical food and handicrafts. The certificate holder clearly identifies, delineates and preserves areas of 9.F.19 social, cultural or religious significance on the farm. 9.G Employment conditions Housing 9.G.1 For all workers that live on the production site, the certificate holder provides clean and safe living quarters with access to basic services like safe drinking water and toilets or latrines. The certificate holder provides living quarters with divisions between 9.G.2 families and, if possible, with access to electricity. Education 9.G.3 9.G.4 9.G.5 9.G.6 The certificate holder stimulates the primary education of on-site living children of workers who are of the age to go to primary school. The methods, such as awareness raising meetings with parents, are documented. If transport to school is not provided by the government or the parents, the certificate holder provides safe transport to school for on-site living children of workers if the school is too far away to walk, or provides recognized education of the same level. If the certificate holder provides on-site schooling, it is in a safe and suitable building, with qualified teachers. Attendance of children is recorded. The certificate holder stimulates ongoing training and education of onsite living workers and their families, motivating students who graduate from primary school to keep on studying and motivating literacy of workers. Medical assistance 9.G.7 9.G.8 9.G.9 The certificate holder provides access to emergency health care and regular primary health care to all workers and their families, including maternal health care. (Ref. ILO onvention 184 on Safety and Health in Agriculture) The certificate holder stimulates educational programs of hygiene, nutrition and other issues that improve the general health of on-site living workers and their families. The certificate holder informs all workers on issues related to HIV/AIDS and HIV/AIDS prevention. UTZ ERTIFIED Good Inside Page 20 of 22

21 UTZ ERTIFIED Good Inside ode of onduct for ocoa For Individual ertification Nº ONTROL POINT HAPTER 10: NATURAL RESOURES AND BIODIVERSITY Please note that other requirements relevant for protection and conservation of the environment such as handling pesticides (chapter 7) and fertilizer (chapter 5), protection of water sources (chapter 6) and prevention of soil erosion (chapter 4) are included elsewhere in this document. 10.A Impact of farming on the environment 10.A.1 10.A.2 10.A.3 10.A.4 10.A.5 The certificate holder conducts a risk assessment to identify possible negative impacts of farm activities on the environment, (including possible sources of pollution and waste products from the production process). The risk assessment is regularly reviewed and kept up-to-date. The assessment can be done regionally and can be conducted by an external party. Based on the risk assessment the certificate holder makes and implements an action plan how to address these risks. Implemented corrective actions are documented. The certificate holder has a conservation plan or participates in a regional plan to protect and enhance biodiversity on and around the farm. The conservation plan identifies areas of high ecological value, and specifies how they are protected. The conservation plan includes a baseline assessment of animal and plant diversity. The effects of agricultural production on flora and fauna are monitored. The certificate holder assesses the possibilities of product diversification as a way of making the cocoa production more sustainable. The certificate holder takes into account what the effect is on the quality and quantity of the cocoa. 10.B Water sources 10.B.1 The certificate holder protects and conserves all water streams and sources (incl. ground water) on and around the farms from contamination and pollution. The certificate holder allows a strip of native vegetation to grow along 10.B.2 water streams and sources to control erosion, filter out agrochemicals and protect the wildlife habitat. 10. Forest and Biodiversity Degradation and deforestation of primary forest is prohibited. There has been no such degradation and/or deforestation after The certificate holder does not plant new cocoa on land that is not classified as agricultural and/or approved for agricultural use. Deforestation of secondary forest is only allowed if: - legal land title is available; - government permits are available (if required); - there is compensation with at least equal ecological value, to be confirmed by an independent expert report The certificate holder maintains (or plants enough to eventually have) at least 18 mature shade trees per hectare dispersed on the farm. If there are currently too few or unsuitable trees or if the trees are not dispersed, (extra) trees are planted If new shade trees are planted, diverse and native tree species are used that will lead to multiple canopy levels. For the selections of trees, the certificate holder follows the recommendations of a research agency. The certificate holder re-forests and stimulates ecological restoration of areas that are not used for agricultural production on the farm as much as possible. ocoa production does not take place in protected areas, including officially proposed protected areas. ocoa production does not take place in the vicinity (2km) of protected areas if this is not allowed in the official management plan of the area. UTZ ERTIFIED Good Inside Page 21 of 22

22 UTZ ERTIFIED Good Inside ode of onduct for ocoa For Individual ertification Nº ONTROL POINT If production takes place in the immediate vicinity (2 km) of a protected area or biological corridor, the certificate holder is in contact with the park authorities to ensure that farming practices do not jeopardize the park and that human-wildlife conflicts are managed appropriately The certificate holder communicates which threatened and endangered species are (known or likely to be) present in the production area. Threatened and endangered species and their habitats on the farm are protected, and hunting, trafficking or commercial collection of such species is restricted. 10.D Energy sources and use 10.D.1 10.D.2 10.D.3 10.D.4 10.D.5 The certificate holder records and monitors the use of energy in production. The certificate holder demonstrates that measures are taken to use energy more efficiently on the farm. The producer uses renewable energy sources on the farm whenever possible. ocoa by-products, such as pod husks, are re-used as fertilizer, compost, mulch or energy source. If wood is used for drying of cocoa, it is not obtained from cutting down trees in native forests, unmanaged community forests, borders of waterways or protected areas. TOTAL MANDATORY ONTROL POINTS HAPTER NUMBER OF MANDATORY ONTROL POINTS OMPLIED WITH NUMBER OF MANDATORY POINTS NON APPLIABLE 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. TOTAL ADDITIONAL ONTROL POINTS REQUIRED FOR ERTIFIATION NUMBER OF ADDITIONAL ONTROL POINTS OMPLIED WITH If an additional control point is not applicable, it can NOT be counted in or deducted from the number of additional control points required for certification. UTZ ERTIFIED Good Inside Page 22 of 22