UTZ CERTIFIED Good Inside Code of Conduct. For Rooibos Processing Version 1.0 February 2011

Transcription

1 UTZ ERTIIED Good Inside ode of onduct or Rooibos Processing Version 1.0 ebruary 2011 UTZ ERTIIED: ertification and traceability of sustainable agricultural commodities. UTZ ERTIIED oundation De Ruyterkade AA AMSTERDAM The Netherlands

2 UTZ ERTIIED Good Inside ode of onduct for Rooibos Processing Version 1.0, ebruary 2011 UTZ ERTIIED is a full member of the ISEAL Alliance. This standard has been developed following the UTZ ERTIIED ode Development Procedure which complies with the ISEAL ode of Good Practice for Setting Social and Environmental Standards opies of this document are available for free in electronic format on the UTZ ERTIIED Good Inside website: If you are not able to access this document electronically, you may write us at the following address to request hard copies at a reasonable cost-covering price: UTZ ERTIIED Good Inside De Ruyterkade 6 bg 1013 AA Amsterdam The Netherlands The English language version is the official and binding version. Please refer to the English version in case of doubt in another language version of the document. This document will also become available in Afrikaans (at the time of release this document was only available in English). Pictures ront page: The 3 rd picture from the left copyright by armien Rooibos PTY Ltd; the other pictures copyright by UTZ ertified. This ode of onduct for Rooibos Processing has been approved on 21 March 2011 Review and revision of this document The UTZ ERTIIED odes of onduct are fully reviewed at least every 5 years (but an earlier review and revision can be considered). This ode of onduct will be reviewed at latest in ebruary or more details on the review and revision process, please consult the UTZ ERTIIED ode Development Procedure which can be found on the UTZ ERTIIED website or can be requested at: certification@utzcertified.org All stakeholders are invited to send comments and suggestions on the code at any time: these will then be included in the next revision process. Please use the feedback form that can be found on our website or requested via and send your comments or suggestions to: certification@utzcertified.org Or via regular mail to: UTZ ERTIIED Good Inside ertification Department De Ruyterkade 6 bg 1013 AA Amsterdam The Netherlands UTZ ERTIIED 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 ERTIIED Good Inside Page 2 of 27

3 UTZ ERTIIED Good Inside ode of onduct for Rooibos Processing Version 1.0, ebruary 2011 Introduction UTZ ERTIIED 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 ERTIIED products have been produced according to the criteria of the UTZ ERTIIED odes of onduct. With an UTZ ERTIIED certificate, Rooibos producers can demonstrate good agricultural practices, efficient farm management and responsible production. or Rooibos traders and packers the UTZ ERTIIED certificate is an assurance of responsible Rooibos production which they can use in their sourcing decisions. The UTZ ERTIIED Good Inside ode of onduct for Rooibos is an internationally recognized set of criteria for economic, social and environmentally responsible production. It is based on the international ILO onventions and includes the principles of good agricultural practices. Additionally, there is a guidance document available that further explains how to implement and interpret the criteria of the ode of onduct. This is the first official version of the UTZ ERTIIED Good Inside ode of onduct for Rooibos. The code development process has been carried out through a multi stakeholder approach, involving consultation and research, public consultation rounds, field testing, local workshops and consultation of local experts. UTZ ERTIIED strives to continuously improve the ode of onduct through regular revisions in close cooperation with all stakeholders. UTZ ERTIIED has the overall authority for the issuing and amendment of the requirements stated in this document. Acknowledgements This ode of onduct was developed in close collaboration with the Right Rooibos initiative. The Right Rooibos Standard has been an important resource in the development process and overlapping criteria have been streamlined as much as possible. UTZ ERTIIED thanks Gerhard Pretorius, manager of the Right Rooibos program for his expert advice and is committed to further collaboration in the future. UTZ ERTIIED also thanks all the participants of the Stakeholder onsultation Workshop in lanwilliam, South Africa in July 2010, everyone who commented during the public consultation round and all persons involved in the pilot projects, for giving us valuable feedback. inally, we thank our project partners and colleagues in the field for helping us to create a balanced, practical and robust ode of onduct that we hope will be a tool for more sustainable Rooibosproduction. Special thanks to Johan Brand for his technical advice, and Lisa Ryser from Sandra Kruger and Associates for her advice on social aspects and crucial work during the consultation, implementation and piloting of the code. UTZ ERTIIED Good Inside Page 3 of 27

4 UTZ ERTIIED Good Inside ode of onduct for Rooibos Processing Version 1.0, ebruary 2011 Scope The UTZ ERTIIED ode of onduct for Rooibos Processing applies to all processors who process and sell Rooibos as UTZ ERTIIED. or producers/farms that produce certified Rooibos, the ode of onduct for Rooibos Production applies. Although these are two separate checklists, production and processing can be included in the same certificate if they fall under the same management. This ode is applicable to all Rooibos that is harvested and processed from the Rooibos bush (Aspalathus linearis) including wild and cultivated Rooibos. The appropriate criteria for product separation and quality control apply to all processing methods, including green Rooibos. ertification must always be carried out by a ertification Body (B) that is approved by UTZ ERTIIED (See UTZ ERTIIED Good Inside ertification Protocol 1 ). A list of approved ertification Bodies can be found on the UTZ ERTIIED website. ertification options When the UTZ ERTIIED ode of onduct speaks of "certificate holder", it refers to the entity that is responsible for implementing and monitoring the requirements of the UTZ ERTIIED ode of onduct. The certificate holder can be: an individual producer/estate, a group of smallholders organized in an association or cooperative (or another entity such as a estate or factory that buys the product from the producers and organizes a group certification, i.e. sets up an Internal ontrol System and trains the producers according to the UTZ ERTIIED ode of onduct) or a group of centrally managed estates. This means the certificate can be obtained by: 1. Individual certification = an individual producer/estate. An individual producer can apply for certification against the UTZ ERTIIED ode of onduct. The individual producer is responsible for the compliance of the farm. The producer has to carry out an annual self- and the ertification Body (B) will perform an annual audit against the UTZ ERTIIED ode of onduct. In this case the compliant producer is the same entity as the certificate holder. 1 Latest version always applicable and available at UTZ ERTIIED Good Inside Page 4 of 27

5 UTZ ERTIIED Good Inside ode of onduct for Rooibos Processing Version 1.0, ebruary Group certification = a group of organized smallholders. A group of organized smallholders can also apply for certification against the UTZ ERTIIED ode of onduct. This is called a group certification. The certificate holder can be either the producer organization itself or another entity organizing the group of producers. In case of group certification, the certificate holder has to implement an Internal ontrol System (IS). An Internal ontrol System is a documented quality management system that manages several aspects of the UTZ ERTIIED ode of onduct and controls the producer s fulfillment of the UTZ ERTIIED ode of onduct requirements according to the internally defined procedures. 3. Multi-site certification = a group of estates under one central management. If one company manages several locations, which means that these locations fall under one central management, a multi-site certification can take place. A multi-site organization is defined as an organization having an identified central location at which activities are managed and sites at which such activities are fully or partially carried out. All these sites can be covered by one certificate. The B annually audits all sites and clearly specifies on the certificate which production locations are included in the certificate. There is evidence that proves that the central management owns or is contracted to manage these production areas. Examples of different types of certification Examples of different types of certification and criteria for the IS can be found in an annex to the ertification Protocol. If you have any questions or a special case please contact UTZ ERTIIED at certification@utzcertified.org. UTZ ERTIIED Good Inside Page 5 of 27

6 UTZ ERTIIED Good Inside ode of onduct for Rooibos Processing Version 1.0, ebruary 2011 Structure of the UTZ ERTIIED Good Inside ode of onduct for Rooibos Processing The ode of onduct for Rooibos Processing consists of 153 control points, divided into 6 chapters: hapter 1: Traceability and Product Identification.. p 11 1.A General ontrol System 1.B Identification of ertified Inputs 1. Identification of ertified Outputs 1.D Retroactive laiming hapter 2: Management System, Record Keeping and Self- p 12 2.A Record keeping 2.B Management systems and self- 2. Accountability and transparency hapter 3: Product Separation.. p 14 3.A Tea Receiving Area & Tea ourt 3.B Rooibos Processing 3. Bagging and/or Bulking 3.D onsumer Blending (if applicable) 3.E onsumer Packing (if applicable) 3. Storage and Transport hapter 4: Hygiene and Quality ontrol p 16 4.A Risk analysis 4.B Personal hygiene 4. Tea ourt (if applicable) 4.D Processing and storage areas 4.E Processing process 4. Quality control hapter 5: Workers Rights, Health and Safety.. p 19 5.A Risk management for working conditions 5.B Worker health and safety training 5. Worker health and safety facilities, equipment and accident procedures 5.D Protective clothing & equipment 5.E Hygiene and good housekeeping 5. Worker's rights 5.G Employment conditions hapter 6: Natural Resources and Biodiversity. p 26 6.A Impact of farming on the environment 6.B Water sources 6. Protected areas and Biodiversity 6.D Energy sources and use UTZ ERTIIED Good Inside Page 6 of 27

7 UTZ ERTIIED Good Inside ode of onduct for Rooibos Processing Version 1.0, ebruary 2011 ontinuous improvement structure When developing the standard, UTZ ERTIIED 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: () - actory () - ertificate holder 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 9) covers good agricultural and farm practices. o Part 3 (chapters 10-11) covers specific social and environmental aspects. 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. However to make it easier for the auditor to check, the column level of indicates on what level to assess the control point. The control points need to be checked either on certificate holder/central () level or actory() level. The audit checklist clearly indicates on what level the control points need to be checked. There are two types of control points: o mandatory control points (shaded in green). o additional control points (not shaded). Separate columns indicate when points become mandatory in to 4. The green boxes indicate 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. rom to 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. UTZ ERTIIED Good Inside Page 7 of 27

8 UTZ ERTIIED Good Inside ode of onduct for Rooibos Processing Version 1.0, ebruary 2011 If a mandatory control point is not applicable, 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 need to be indicated in the calculation section at the end of the chapter, 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 compliant control points. The number of additional points to comply with is specified at the bottom of each chapter. ompliance is reached if the certificate holder has fulfilled all the mandatory control points, plus the defined number of additional control points (non-mandatory points in that specific year) per chapter. It is not possible to compensate a low score in one chapter with a high score in another. Example: alculation of mandatory and additional control points. Example situation: an estate in its third year of certification. TOTAL MANDATORY POINTS PER YEAR - HAPTER NUMBER O MANDATORY ONTROL POINTS OMPLIED WITH 31 NUMBER O MANDATORY ONTROL POINTS NOT APPLIABLE 5 Note: The sum has to equal the total number of mandatory points for this chapter TOTAL ADDITIONAL ONTROL POINTS REQUIRED OR ERTIIATION NUMBER O ADDITIONAL POINTS OMPLIED WITH 2 Note: If an additional control point is not applicable, it cannot be counted in - or deducted from - the total number of additional control points required for certification. In this example the estate 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 estate is compliant with chapter 3-8 of the ode of onduct. If the estate 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. UTZ ERTIIED Good Inside Page 8 of 27

9 UTZ ERTIIED Good Inside ode of onduct for Rooibos Processing Version 1.0, ebruary 2011 Additional documents relevant for this ode of onduct It is the intention of UTZ ERTIIED 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 Guidance comments. The Guidance comments give extra explanation on how to comply with or interpret the control point. The guidance document is structured in the code format, this means it is clear which control point the comment refers too. The Guidance comments will be updated on a more frequent basis than the ode of onduct itself. Other important and useful documents include: The UTZ ERTIIED 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 ERTIIED 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. Record keeping An important element of the UTZ ERTIIED 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 auditor to verify that the producer is complying with the requirements of the UTZ ERTIIED ode of onduct. In case of group certification, records can in most cases be kept at the level of the Internal ontrol System (IS). Record keeping requirements for first audit or a first audit, the external auditor will verify ALL the requested records in this ode of onduct from 3 months prior to the audit date. The certificate holder determines if he/she is ready for the external audit based on the outcome of a self-. In case of group certification, the certificate holder determines if the producers are ready based on a self-. The certificate holder must send the documents of the self- to the B before the audit 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 or a re-certification the external auditor will verify all the requested records in the ode of onduct going back to the previous audit. UTZ ERTIIED Good Inside Page 9 of 27

10 UTZ ERTIIED Good Inside ode of onduct for Rooibos Processing Version 1.0, ebruary 2011 Applicability of control points When implementing the ode of onduct, the certificate holder must assess for each control point if it is applicable to the situation of the producer or not. If the certificate holder, for example does not use any irrigation because there is a full dependence on rainfall, these control points are not applicable to the producer s 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 audit report. Definitions The list of definitions of the ode of onduct can be found in the UTZ ERTIIED Good Inside List of Definitions for Tea 2. 2 Latest version always applicable and available at UTZ ERTIIED Good Inside Page 10 of 27

11 UTZ ERTIIED Good Inside ode of onduct for Rooibos Processing Version 1.0, ebruary 2011 Nº ONTROL POINT 1 TRAEABILITY AND PRODUT IDENTIIATION 1.A. General ontrol System 1.A.1 1.A.2 1.A.3 If the certificate holder outsources processing activities, the outsourced processing unit must ensure traceability, product identification and separation of UTZ ERTIIED Rooibos from non-utz ERTIIED Rooibos. The certificate holder has a document management system in place that records: - the purchases and sales of UTZ ERTIIED Rooibos, - the purchases and sales of non-utz ERTIIED Rooibos, - possible carry-over stock of UTZ ERTIIED Rooibos of a previous year, - the UTZ sales announcements with unique UTZ ERTIIED number (online traceability system to be developed), - the sales invoices with the origin and indication of the UTZ ERTIIED status. The certificate holder clearly indicates the responsible person(s) in the organization for traceability, product identification and separation of Rooibos. This person or group of persons is able to demonstrate and explain the system and is accessible to others in the organization. The certificate holder clearly and visually identifies UTZ 1.A.4 ERTIIED Rooibos. A system is in place where representative lot samples of 1.A.5 Rooibos are kept to be analyzed in case of any complaint. Samples are kept for at least one year. The certificate holder keeps stock records for all processed 1.A.6 Rooibos (bulk or packed). If the certificate holder outsources processing activities, the outsourced processing unit must ensure traceability, 1.A.7 product identification and separation of UTZ ERTIIED Rooibos from non-utz ERTIIED Rooibos. 1.B Identification of ertified Inputs 1.B.1 The organization operates a system for assuring, verifying, and monitoring whether UTZ ERTIIED Rooibos that is received from its suppliers, is indeed UTZ certified. The system can be based on written documents and procedures and/or an automated system. The system includes the following requirements: a. Verifying the validity of the UTZ certificate of the certified Rooibos; b. Specifying the fact that the purchase regards UTZ ERTIIED Rooibos; c. Verifying the invoices and/or documents that accompany the shipment of the Rooibos to confirm its certified status. UTZ ERTIIED Good Inside Page 11 of 27

12 UTZ ERTIIED Good Inside ode of onduct for Rooibos Processing Version 1.0, ebruary 2011 Nº ONTROL POINT 1. Identification of ertified Outputs (Note: Online traceability system is being developed- Member Portal instructions will be included in the Annex/Guidance Document) The organization documents each purchase and/or sale of UTZ Rooibos. This documentation can be done by an invoice or UTZ Sales record. The organization operates a system that allows any UTZ ERTIIED Rooibos sold by the organization to be linked to a specific sales invoice issued. The system can be based on written documents and procedures and/or an automated system. All sales invoices issued for UTZ ERTIIED Rooibos: a. Include a description of the origin of the Rooibos as indicated in the contract; b. Includes any other information that identifies the Rooibos (to the organization s preference); c. When the UTZ Rooibos is exported, the unique UTZ ERTIIED number(s) is recorded. 1.D. Retroactive laiming 1.D.1 When a shipment is claimed as UTZ ERTIIED at a later stage than the initial contract between producer and first buyer, the producer and first buyer must agree upon a premium. 2. MANAGEMENT SYSTEM, REORD KEEPING AND SEL-INSPETION 2.A Record keeping 2.A.1 2.A.2 The organization keeps appropriate records providing information about the origin, quality, and volume (weight) of UTZ ERTIIED Rooibos that enters and leaves the organization. Sales invoices are kept. All the records and documents requested by this ode of onduct are up to date and accessible for the auditor. All documents and records are archived for a minimum period of two years, unless legally required for a longer period of time. 2.B Management systems and self- The certificate holder undertakes at least one self- per year against the UTZ ERTIIED ode of onduct, using 2.B.1 the UTZ ERTIIED checklist. This self- is documented. Subcontractors carry out an assessment (or the certificate holder does this on behalf of the subcontractor) of compliance 2.B.2 against the UTZ ERTIIED control points relevant to the services provided. The certificate holder is responsible for ensuring compliance with the applicable control points. UTZ ERTIIED Good Inside Page 12 of 27

13 UTZ ERTIIED Good Inside ode of onduct for Rooibos Processing Version 1.0, ebruary 2011 Nº ONTROL POINT 2. Accountability and transparency The UTZ ERTIIED program is intended to generate both tangible and intangible benefits for Rooibos producers. Transparency on the amount and the distribution of the tangible benefits, like the UTZ premium, is a part of responsible Rooibos production The certificate holder can show how the UTZ ERTIIED premium is distributed within its organization. The costs of operation are clearly documented. The certificate holder appoints a person whom producers and workers can file questions, ideas and complaints to. This person has to be known and accessible to the group members and workers. This person is well informed about the UTZ ERTIIED program. The certificate holder has a complaint mechanism available for all persons that want to file a complaint relating to issues of compliance with the UTZ ERTIIED ode of onduct by the certificate holder and the producers. The certificate holder adequately records, studies and follows up complaints and records the corrective actions taken. This includes complaints from the government in case of (alleged) violations of the law. TOTAL MANDATORY POINTS PER YEAR - HAPTER NUMBER O MANDATORY ONTROL POINTS OMPLIED WITH NUMBER O MANDATORY ONTROL POINTS NOT APPLIABLE Note: The sum has to equal the total number of mandatory points for this chapter TOTAL ADDITIONAL ONTROL POINTS REQUIRED OR ERTIIATION NUMBER O ADDITIONAL POINTS OMPLIED WITH Note: If an additional control point is not applicable, it cannot be counted in - or deducted from - the total number of additional control points required for certification. UTZ ERTIIED Good Inside Page 13 of 27

14 UTZ ERTIIED Good Inside ode of onduct for Rooibos Processing Version 1.0, ebruary 2011 Nº ONTROL POINT 3- PRODUT SEPARATION DURING PROESSING The certificate holder at all times strictly separates UTZ ERTIIED Rooibos from non-utz ERTIIED Rooibos: during storage, processing, packing and transport. arry-over stock of UTZ ERTIIED Rooibos from a previous year is kept separate and clearly marked. All handling of UTZ ertified Rooibos is carried out in complete runs or lots, separately (physically or in time) from operations carried out with non-utz ERTIIED Rooibos (or any other system is used that properly prevents mixing of certified with non-certified Rooibos). 3.A Tea Receiving Area & Tea ourt (If applicable) UTZ ERTIIED Rooibos is properly separated from non-utz ERTIIED Rooibos in the raw material receiving area to 3.A.1 prevent mixing. There is a designated area or time for receiving UTZ ERTIIED Rooibos. The certificate holder strictly separates UTZ ERTIIED Rooibos from non-utz ERTIIED Rooibos during 3.A.2 fermentation and drying (incl. during cutting and on the tea court). 3.B Rooibos Processing Processing of UTZ ERTIIED Rooibos is carried out properly, by separating from non-utz ERTIIED Rooibos to 3.B.1 prevent mixing. UTZ ERTIIED Rooibos must be a separate processing run from non-utz ERTIIED Rooibos. Blending of UTZ ERTIIED Rooibos is carried out properly, 3.B.2 by separating from non-utz ERTIIED Rooibos to prevent mixing. Grading of UTZ ERTIIED Rooibos is carried out properly, 3.B.3 by separating from non-utz ERTIIED Rooibos to prevent mixing. Sifting of UTZ ERTIIED Rooibos is carried out properly, by 3.B.4 separating from non-utz ERTIIED Rooibos to prevent mixing. Sterilization of UTZ ERTIIED Rooibos is carried out 3.B.5 properly, by separating from non-utz ERTIIED Rooibos to prevent mixing. 3. Bagging and/or Bulking 3..1 Bagging and/or bulking of UTZ ERTIIED Rooibos is carried out properly, by separating from non-utz ERTIIED Rooibos to prevent mixing The organization visibly identifies UTZ ERTIIED Rooibos. The organization operates a system which assures that only 3..3 bag loads containing UTZ ERTIIED Rooibos bear the UTZ ERTIIED logo. 3.D. onsumer blending (if applicable) The certificate holder operates a solid system which ensures that each lot of finished product to be sold with the UTZ 3.D.1 ERTIIED claim (name/logo) contains at least the required percentage of UTZ ERTIIED Rooibos. UTZ ERTIIED Good Inside Page 14 of 27

15 UTZ ERTIIED Good Inside ode of onduct for Rooibos Processing Version 1.0, ebruary 2011 Nº ONTROL POINT 3.D.2 The certificate holder maintains appropriate records of the total volume of UTZ ERTIIED and non-utz ERTIIED Rooibos that is purchased and blended. 3.E. onsumer packing (if applicable) 3.E.1 3.E.2 The organization operates a solid system that assures that packages bearing the UTZ ERTIIED Good Inside claim (name/logo) always contain the required amount of UTZ ERTIIED Rooibos. The certificate holder operates a solid system that ensures that only products complying with the logo use requirements bear the UTZ ERTIIED name and/or logo. 3.E.3 The organization complies with the UTZ ERTIIED Good Inside Logo Use Requirements. The certificate holder maintains appropriate records of the 3.E.4 total volume of UTZ ERTIIED and non-utz ERTIIED Rooibos that is purchased and packed. 3. Storage and Transport 3..1 UTZ ERTIIED Rooibos is properly separated from non-utz ERTIIED Rooibos during storage and transport to prevent mixing. TOTAL MANDATORY POINTS PER YEAR - HAPTER NUMBER O MANDATORY ONTROL POINTS OMPLIED WITH NUMBER O MANDATORY ONTROL POINTS NOT APPLIABLE Note: The sum has to equal the total number of mandatory points for this chapter UTZ ERTIIED Good Inside Page 15 of 27

16 UTZ ERTIIED Good Inside ode of onduct for Rooibos Processing Version 1.0, ebruary 2011 Nº ONTROL POINT 4. HYGIENE AND QUALITY ONTROL DURING PROESSING, PAKING AND STORAGE Good hygiene practices during post-harvest product handling are important to prevent negative effects on the final Rooibos quality and end-consumer health. The control points in this chapter apply to the owner and/or manager of the central processing and storage facilities. 4.A Risk analysis 4.A.1 4.A.2 The certificate holder conducts a product hygiene and food safety risk assessment of all processing and storage facilities. The analysis focuses on physical, chemical and microbiological contaminants. Based on the risk assessment in the above control point, the certificate holder develops, implements and documents an action plan to promote product hygiene and food safety in all processing and storage facilities. The responsible person is identified in this plan. 4.B Personal hygiene There is evidence that all workers have received basic 4.B.1 hygiene training before handling Rooibos, whether verbally or written, and are complying with them in practice. Signs with the main hygiene instructions (such as hand 4.B.2 washing after using toilets, eating etc.) are visibly displayed in all facilities. Outer garments are regularly cleaned or changed to avoid cross-contamination. All workers wear outer garments (e.g. 4.B.3 smocks, aprons, sleeves, gloves) that are suitable for the operation. Smoking, eating, chewing and drinking are confined to 4.B.4 designated areas. Workers have access to clean toilets and hand washing facilities in the vicinity of their work. Toilets are in a good 4.B.5 state of hygiene and are not opening directly into the produce handling area, unless the door is self-closing. 4. Tea ourt (if applicable) arm vehicles and containers used for transport of harvested Rooibos are cleaned and maintained, and a cleaning schedule is in place to prevent contamination. Mold formation and over-fermentation during (intermediate) storage and transport are prevented. The certificate holder restricts the access of animals on and around the tea court. The certificate holder prevents contamination of Rooibos from workers walking on the tea court. arm vehicles and machines on and around the tea court are well maintained. Vehicles used on the court do not have oil leaks and have clean tires. Physical hazards in the harvested Rooibos (e.g. stones, metal/ plastic/glass pieces) are controlled. UTZ ERTIIED Good Inside Page 16 of 27

17 UTZ ERTIIED Good Inside ode of onduct for Rooibos Processing Version 1.0, ebruary 2011 Nº ONTROL POINT The certificate holder only uses clean water on the tea court 4..7 (e.g. for fermentation). 4.D Processing and storage areas 4.D.1 4.D.2 4.D.3 4.D.4 In the processing areas, the appropriate working and operating environment is maintained (e.g. sufficient fresh air, humidity control where necessary and well lit, etc.) Documented procedures are in place to avoid chances of physical hazards (e.g. plastic, metal and glass, wood pieces) in the processing areas. Workers can demonstrate knowledge of how to follow the procedure. The certificate holder keeps processing and storage facilities and equipment (i.e. packing lines and machinery, walls, floors, storage areas, pallets, plastic sheets etc.) clean, maintained and free of litter in order to prevent contamination. This includes all points where Rooibos is transferred. There are cleaning records, indicating name, facility, date, and location Machines used for processing are adequately cleaned. The workers involved in these cleaning operations are properly trained. Records are available for cleaning operations and for cleanliness s. 4.D.5 All equipment that comes into direct contact with Rooibos are regularly disinfected to avoid microbial contamination. 4.D.6 4.D.7 4.D.8 4.D.9 4.D.10 4.D.11 4.D.12 4.D.13 Storage areas for Rooibos are clearly identified and cleaned periodically. leaning schedules and records are available. Rooibos by-products and waste are stored in designated areas which are regularly cleaned leaning agents, lubricants and other substances that may come in contact with the Rooibos during processing are officially approved as food grade and used according to label instructions. Rooibos contamination by lubricants in the machinery is avoided. Disinfectants and cleaning agents are kept in a designated area, separate from where Rooibos is processed, to avoid contamination. Light bulbs and fixtures suspended above Rooibos or packing material are of a safety type or are protected/shielded so as to prevent contamination of product in case of breakage. Packing materials (incl re-useable crates) are stored in a clean and hygienic area to prevent product contamination until used. The certificate holder has put measures in place for all processing and storage areas to control pests and prevent contamination from animals (rodents, birds etc.). A site plan showing baits is available. Baits are placed in a way that non-target species have no access to it. UTZ ERTIIED Good Inside Page 17 of 27

18 UTZ ERTIIED Good Inside ode of onduct for Rooibos Processing Version 1.0, ebruary 2011 Nº ONTROL POINT 4.D.14 Records of pest control s and actions taken are kept. Inspections take place whenever there is evidence of pest. 4.E Processing process 4.E.1 4.E.2 Physical hazards within Rooibos (e.g. stones, metal/ plastic/glass pieces) are controlled. They are separated by sifting/magnets during the final sorting and grading. All workers involved in processing operations are trained properly on technical and hygienic aspects in order to maintain/optimize the quality of the final product. In case water/steam comes in contact with Rooibos during 4.E.3 processing, potable water (or water declared suitable by the competent authorities) is used for this purpose. 4. Quality control The technical responsible persons for operations that are critical with regard to food safety and quality in the production and handling process are trained and be able to show competence. Rooibos tasting is done regularly and by qualified personnel. The results are clearly documented with reference to the particular batches/lots. Measurement and control equipment (for weighing, cooling, etc.) are calibrated regularly. Good storage conditions are defined and ensured (depending on duration of storage). Proper moisture and hygiene management is in place. The certificate holder keeps records of the regular checking and follow up actions. The natural and artificial flavors used for the processing of different flavored Rooibos are approved for use in food products in the country of production and in the country where the final product is intended to be traded. A list of flavors used in the production process and their product specifications is available. The flavor quantities used per batch of Rooibos is recorded; the applied dose does not exceed allowed levels. TOTAL MANDATORY POINTS PER YEAR - HAPTER NUMBER O MANDATORY ONTROL POINTS OMPLIED WITH NUMBER O MANDATORY ONTROL POINTS NOT APPLIABLE Note: The sum has to equal the total number of mandatory points for this chapter TOTAL ADDITIONAL ONTROL POINTS REQUIRED OR ERTIIATION NUMBER O ADDITIONAL POINTS OMPLIED WITH Note: If an additional control point is not applicable, it cannot be counted in - or deducted from - the total number of additional control points required for certification. UTZ ERTIIED Good Inside Page 18 of 27

19 UTZ ERTIIED Good Inside ode of onduct for Rooibos Processing Version 1.0, ebruary 2011 Nº ONTROL POINT 5. WORKERS RIGHTS, HEALTH AND SAETY This chapter deals with issues of health, safety and welfare of workers. A worker is a person who works on a farm or in a processing location, either permanent or temporary, and who is paid for his services. 5.A Risk management for working conditions 5.A.1 5.A.2 5.A.3 5.A.4 The certificate holder conducts a worker health and safety risk assessment of the production and/or processing units. The risk assessment is performed by a qualified person or agency and is reviewed annually. Based on the risk assessment (5.A.1), the certificate holder makes and implements an action plan promoting healthy and safe working conditions in all production and/or processing units. A responsible person is identified in this plan. Implemented actions are documented. The certificate holder appoints a responsible person for labor conditions. This person is informed about national regulations concerning workers' rights and is responsible for ensuring compliance and implementation of these regulations. He/she is also responsible for coordinating awareness-raising meetings and training concerning labor rights. The responsible person has regular meetings with workers/group members where working conditions are discussed openly. Records of these meetings are kept. 5.B Worker health and safety training 5.B.1 5.B.2 5.B.3 Based on the risk assessment (5.A.1) workers/group members 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/group members. The certificate holder keeps up-to-date training records for each worker/group member. This record indicates the date and type and subject of training, with a copy of their official diploma or attendance certificate with their signature / fingerprint on it. The certificate holder makes sure that there is always at least 1 person trained in irst Aid available to group members/workers at a central location when production, processing or maintenance activities are carried out. 5. Worker health and safety accident facilities and procedures It is the responsibility of the producer to ensure that his/her workers understand and follow the procedures for safe and healthy working conditions, and have the best possible access to basic emergency medical treatment The certificate holder makes complete irst Aid boxes (with materials before expiry date) available and accessible at all central and processing locations. UTZ ERTIIED Good Inside Page 19 of 27

20 UTZ ERTIIED Good Inside ode of onduct for Rooibos Processing Version 1.0, ebruary 2011 Nº ONTROL POINT The certificate holder has a clearly written accident and emergency procedure, describing: - factory reference map or factory address; - 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 is registered for Workman's compensation. 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 or signs/symbols. The certificate holder indicates all potential hazards on central and processing locations (e.g. fuel tanks) with clear and permanent warning signs and symbols. Dangerous parts of machinery are guarded or encased and machines have clear instructions on safe usage. Special provisions are taken for workers with a disability to ensure their health and safety in the workplace A fire evacuation procedure is in place and made clear to the workers. or all indoor facilities, the certificate holder ensures that sufficient fire exits and firefighting equipment are provided. ire exits are easy to open from the inside and clearly marked. A fire alarm is in place and regular fire drills are carried out. 5.D Protective clothing & equipment 5.D.1 5.D.2 5.D.3 Suitable protective clothing and equipment is provided to all workers carrying out dangerous tasks and/or working with dangerous machinery. The certificate holder ensures and is able to demonstrate that protective clothing and equipment are used properly. Protective clothing is well maintained. If damaged beyond repair, it is disposed of. Single-use items (e.g. plastic gloves) are disposed after one use. 5.D.4 Suitable changing facilities for workers (for women and men separately if applicable) must be provided to change clothing and protective outer garments as required. UTZ ERTIIED Good Inside Page 20 of 27

21 UTZ ERTIIED Good Inside ode of onduct for Rooibos Processing Version 1.0, ebruary 2011 Nº ONTROL POINT 5.D.5 Secure storage facilities are provided at the changing facility to protect the workers personal belongings. 5.E Hygiene and good housekeeping 5.E.1 5.E.2 5.E.3 5.E.4 5.E.5 5.E.6 The certificate holder instructs all group members/workers on basic hygiene. The hygiene instructions are visibly displayed, either by clear signs (pictures) or in the predominant language(s) of the workforce. The certificate holder provides all workers access to clean hand-washing facilities/equipment and clean drinking water in the vicinity of their work, living and eating sites. 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 and processing locations. Traps are identified with records. The certificate holder ensures that the production and processing locations as well as communal eating and living sites are free of litter and waste. The certificate holder visually and verbally communicates hygiene, health and safety procedures to visitors. 5. 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 The certificate holder has records with a clear and accurate overview of all workers (including seasonal workers) and subcontractors. or permanent workers, the overview contains at least full names, gender, date of birth or age, date of entry, duration of employment and wages. or seasonal workers, the overview contains at least the number of workers, gender, dates of birth or age and wages. reedom of association and the right to collective bargaining All workers have the right to establish and/or join an organization of their choice. The certificate holder 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 reedom of Association) All workers have the right to perform collective bargaining. (Ref. ILO onvention 98 on Right to Organize and ollective Bargaining) UTZ ERTIIED Good Inside Page 21 of 27

22 UTZ ERTIIED Good Inside ode of onduct for Rooibos Processing Version 1.0, ebruary 2011 Nº ONTROL POINT orced labor 5..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 worker s 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 orced Labor and 105 on Abolition of orced Labor) hild Labor hildren or minors (below 18) do not carry out hazardous work or any work that jeopardizes their physical, mental or moral wellbeing. 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 orms of hild Labor). 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 ) Discrimination 5..7 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) Working hours 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) Overtime work is at all times voluntary. Overtime work is paid according to legal or sector standards, does not exceed 12 hours per week (or according to national legislation) and is not demanded at a regular basis. Workers are entitled to at least one day off in every seven-day period. UTZ ERTIIED Good Inside Page 22 of 27

23 UTZ ERTIIED Good Inside ode of onduct for Rooibos Processing Version 1.0, ebruary 2011 Nº ONTROL POINT 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 overtime have access to safe transportation home following overtime shifts. Wages and contracts Workers (permanent and seasonal) are paid gross wages that comply with national legislation or collective bargaining agreements, whichever is higher. If workers are paid per unit of harvested Rooibos, a normal working day (maximum of 6 days a week) allows workers to earn at least the national or sector established minimum wage. Deductions from wages for disciplinary purposes are not made. Equal work is remunerated with equal pay. (Ref. ILO onvention 100 on Equal Remuneration) 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. Temporary workers receive equivalent benefits and employment conditions as permanent workers for equal work performed. Maternity and child care provisions Workers receive all maternity entitlements and protection in line with national law and practice. Maternity leave does not result in any discrimination, loss of seniority or deductions of wages The certificate holder provides access to convenient and affordable day care services for children of workers. Respectful treatment of workers 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. UTZ ERTIIED Good Inside Page 23 of 27

24 UTZ ERTIIED Good Inside ode of onduct for Rooibos Processing Version 1.0, ebruary 2011 Nº ONTROL POINT 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 families living on-site to freely perform cultural expressions like wearing typical clothing, music, language, typical food and handicrafts. Employment equity The certificate holder has a B-BBEE recognition level based on self-assessment or EME status ertificate holder is at least on level 4 of B-BBEE The certificate holder complies with all local and national legislation with regard to the hiring of employees The certificate holder takes steps to promote equal opportunity in the workplace and ensures that there is no discrimination in any employment policy or practice. Designated companies should have a skills development plan which budgets for employee training on a needs basis. 5.G Employment conditions Housing 5.G.1 5.G.2 5.G.3 Education 5.G.4 5.G.5 or all workers living on the production or processing 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 informs all workers living on the farm about their rights with regard to housing tenure. The certificate holder provides living quarters with divisions between families and, if possible, with access to electricity and cooking facilities. The certificate holder stimulates the primary education of on-site living workers children 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 workers children if the school is too far away to walk, or provides recognized education of the same level. UTZ ERTIIED Good Inside Page 24 of 27