General information

Name Certificate Holder

Certified product:
Certified Volume:
Total certified area:
Date of first certification:
Type of certificate holder: (group,
individual, multi-site, multiple
group)
The certificate holder is a:
1) cooperative/association (Farmer
Based Organization)
2) trader
3) NGO/service provider
4) other: (free text)
# of certified group members
# of complying members per year
(y1, Yr2, yr3, yr4)
# audited group members
UTZ Certified group members are:

...male female

Compared to last year how many

group members left and/or joined
the UTZ program ?

...new members;...resigned members.

Location:
Country:
GPS location: main office, main
storage or processing area(if in
production area) or approximate
center of production area:
Other certification scheme(s) this
UTZ member (display name
Certificate holder) is
certified/verified for
Tick box which is true:
[ ] Not applicable
[ ] Organic certification
[ ] Rainforest Alliance
[ ] Fairtrade
[ ] 4C
[ ] Caf Practices
[ ] Other, name of the certification
scheme is _____________________

Coordinates:
OR Tick box:
[ ] This information will be provided
later

The other schemes apply to the

same group members (members
are multiple certified) Y/N
What other main products do your
members grow and/or raise on the
farm? Please mention your
maximum five most important
products grown for sale (local &
export);
_____(open text)
What services did the certificate
holder provide (incl sale, provision
or delivery) to it's members in the
last year?
1. intensive trainings (e.g. FFS),
2. Crop protection products &
equipment
3. (improved) planting material
4. fertilizers
5. credit
6. basic community services
(housing, education, healthcare)
7. Other____ (free text)
Approximate # of group members
who received a cash loan at the
cooperative in the last calendar
year
(if applicable):___
# of farmer
training events
provided to the group members
(total):___
# of UTZ related farmer training
events provided to the group
members:___
Please indicate the name(s) of the
persons and institute(s) that are
providing training/technical advice:
_______(open text)
Other comments:
Name CB
Name lead auditor
Name auditors

d members.

UTZ CERTIFIED Good Inside Code of Conduct - Checklist

For Tea Farms
Version 1.0
Name:
Member
number:
Other
info:

1. TRACEABILITY, PRODUCT IDENTIFICATION AND SEPARATION

The certificate holder is able to document the product flow of
tea from each production unit (such as a field or a member of a
1.A.1 producer group) to the collection point and during handling and
transport, for as long as the certificate holder is the owner of
the tea.

1.A.2

The certificate holder has a document management system in

place that records:
- the total quantity of tea harvested,
- the purchases and sales of UTZ CERTIFIED tea,
- the purchases and sales of non-UTZ CERTIFIED tea,
- the UTZ sales announcements with unique UTZ CERTIFIED
number,
- the sales invoices with the origin and indication of the UTZ
CERTIFIED status.

Comments

Action Plan

Further
description
comments
Actions to
are needed be taken to
when not
reach
fulfilled and compliance.
nonapplicable.

Deadline

Planned
date of
compliance

M&E questions
Fulfilled

Non-applicable

year 4

year 3

year 2

CONTROL POINT

year 1

Level of inspection

UTZ CERTIFIED Good Inside

Questions

What was the actual

harvested volume of UTZ
Certified product in last
certification year (group
estimate)?

What actual volume of UTZ

certified product was
purchased by the group from
UTZ certified members in the
last certification year?
OR Tick box:
[ ] N/A 1st year of
certification
[ ] Information is not
available

How much (MT/kg/lb) of the

actual UTZ Certified volume
was sold as :
UTZ Certified:____
Conventional:____
Other certification/
verification scheme(s) (in
case of multiple
certification):____

1.A.3

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

The certificate holder clearly indicates the responsible

person(s) in the organization for traceability, product
identification and separation of tea. This person or group of
persons is able to demonstrate and explain the system and is
accessible to others in the organization.
The certificate holder at all times strictly separates UTZ
CERTIFIED tea from non-UTZ CERTIFIED tea: in the fields,
during storage and transport.
The certificate holder clearly and visually identifies UTZ
CERTIFIED tea.
A system is in place where representative lot samples of tea
are kept to be analyzed in case of any complaint. Samples are
kept for at least one year.

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2. MANAGEMENT SYSTEM, RECORD KEEPING AND SELF-INSPECTION

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 tea fields with
aggregated planted areas and nurseries, protected areas,
water streams and sources and human settlements. The tea
fields must be identified with a name, number, code or color on
the map and on all relevant records.
The producer physically identifies all tea fields with permanent
signs indicating the name, number or code.
All the records and documents requested by this Code of
Conduct are up to date and accessible for the inspector. All
documents are archived for a minimum period of two years
from the date of first external inspection onwards, unless
legally required for a longer period of time.
Records providing a history of all UTZ CERTIFIED production
areas are available. New applicants have full records for at
least three months prior to the first external inspection with
relation to UTZ CERTIFIED requirements.

2.B Management systems and self-inspection

The certificate holder undertakes at least one self-inspection
per year against the UTZ CERTIFIED Code of Conduct, using
2.B.1
the UTZ CERTIFIED checklist. This self-inspection is
documented.

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2.B.2

Subcontractors carry out an assessment (or the certificate

holder does this on behalf of the subcontractor) of compliance
against the UTZ CERTIFIED control points relevant to the
services provided. The certificate holder is responsible for
ensuring compliance with the applicable control points.

2.B.3

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
10.

2.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.C Accountability and transparency

The UTZ program is intended to generate both tangible and intangible benefits for tea producers.

Total farm area (ha) (group

estimate):

What was the total UTZ cash

premium paid to the
certificate holder in the last
year? ____MT/kg/lb?

2.C.1

The certificate holder can show how the UTZ premium is

distributed within its organization. The costs of operation are
clearly documented.

OR Tick box:
[ ] N/A 1st year of
certification
[ ] Nothing was sold as UTZ
[ ] Information is not
available

What was the average UTZ

cash premium paid to
individual group members for
the sale of UTZ certified
production in the last year (if
any)? ___MT/kg/lb?
OR Tick box:
[ ] N/A 1st year of
certification
[ ] Nothing was sold as UTZ
[ ] Information is not
available

At group level, how was the

UTZ premium (the part that
was not paid in cash)
allocated to specific
costs/investments ? Please
check all that apply.
1) Managing compliance
(ICS/group administration)
2) Technical assistance &
farmer training
3) Provision of productive
inputs (incl fertilizers,
planting material, equipment)
4) Basic services for
community: healthcare, water
and sanitation
5) Basic services for
community: schooling &
education
6) External audit
7) Other:____(free text)
OR Tick box:
[ ] N/A 1st year of
certification
[ ] Nothing was sold as UTZ
[ ] Information is not
available

2.C.2

The certificate holder appoints a person whom producers and

workers can file questions, ideas and complaints to. This
person has to be known and accessible to the group members
and workers. This person is well informed about the UTZ
CERTIFIED program.

2.C.3

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 CERTIFIED Code of Conduct by the
certificate holder and the producers.

2.C.4

The certificate holder adequately records, studies and follows

up on complaints and records the corrective actions taken. This
includes complaints from the government in case of (alleged)
violations of the law.

TOTAL MANDATORY POINTS PER YEAR - CHAPTER 1-2

12

17

17

17

NUMBER OF MANDATORY CONTROL POINTS COMPLIED WITH

0
0

0
0

0
0

0
0

NUMBER OF MANDATORY CONTROL POINTS NOT APPLICABLE

Note: The sum has to equal the total number of mandatory points for this chapter
TOTAL ADDITIONAL CONTROL POINTS REQUIRED FOR CERTIFICATION
1
NUMBER OF ADDITIONAL POINTS COMPLIED WITH
0

3. VARIETIES AND ROOTSTOCKS

3.A Planting material

3.A.1

The responsible person (producer, certificate holder or technical

advisor) chooses the variety of tea 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 producer buys propagation material from an external tea

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).

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3.B Nursery
An in-house nursery is a tea nursery that is owned and managed by the individual producer or by the group
For in-house tea nurseries, the producer or certificate holder
has an operational plant health quality control system in place.
3.B.1 This system monitors and records visible signs of pests and
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diseases as well as root problems and identifies the mother
plant or field of origin (if applicable).
For in-house tea nurseries, all crop protection product
3.B.2 treatments applied to the tea are recorded according to point
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7.B.4
Potting soil used in the nursery is not taken from forests or
3.B.3 designated conservation areas. If it is taken from the tea field,
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it is returned to the field during planting.
If polythene sleeves are used, suitable sleeves are used and
3.B.4 reused. They are disposed of in the most environmental
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friendly manner possible.
Use of substrates in the nursery (only if applicable)

Comments

Action Plan

Further
description
comments
Actions to
are needed be taken to
when not
reach
fulfilled and compliance.
nonapplicable.

Deadline

Planned
date of
compliance

M&E questions
Fulfilled

Non-applicable

year 4

year 3

year 2

CONTROL POINT

year 1

Level of inspection

Note: If an additional control point is not applicable, it can not be counted in - or deducted from - the total
number of additional control points required for certification.

Questions

3.B.5

In case substrates are used, there are records that prove the
origin of the substrates being used. These records demonstrate
that the substrates do not come from designated conservation
areas.

3.B.6

If chemicals are used to sterilize substrates for re-use records

are kept, including the dates of sterilization, the name and
active ingredient, the machinery, the method (e.g. drenching,
fogging), the operators name and the pre-planting interval. If
sterilized off farm, also the name and location of the company
which sterilizes the substrate is recorded.

4. SOIL MANAGEMENT
The control points in this chapter are about maintaining the structure of the soil, improving the fertility of

4.A.1

4.A.2

4.A.3

The producer 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.

In case of new plantings or re-planting, during the first five

years the producer prevents erosion through leaving shade
trees in place and/or planting new shade trees, other plants
and cover crops during land preparation.
The producer uses techniques to maintain and improve soil
structure and fertility. There is visual and/or documented
evidence that these techniques are used.

4.A.4

When heavy machinery is in use, soil compaction is monitored.

The use of heavy machinery in areas with wet fragile soils or
areas with a high risk of soil erosion is avoided.

4.A.5

The fertility of the soil is assessed and soil type and structure
are identified, either per individual farm or per group of
comparable farms.

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 Choice and use of fertilizers

5.A.1

The responsible person (producer, certificate holder or external

advisor) who chooses the fertilizers is able to demonstrate the
competence to estimate the quantity, time of application and
type of fertilizer (organic and inorganic) to use.

What measures are taken on

the certified farm(s) to
prevent soil erosion?
option 1. Planting direction to
prevent erosion (e.g. cross
line planting)
option 2. Soil covered with
cover crops and/or mulch
option 3. Erosion breakers to
prevent water run off, drains,
terraces, shade trees in the
field and/or trees and bushes
on borders of sites
option 4.Other erosion
prevention techniques, please
specify... (free text)
option 5. Not applicable, there
is no erosion problem

5.A.2

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 application of all fertilizers and manure is timed to

maximize the efficiency and/or uptake by target crops. The
most efficient method of application is followed.

5.A.4

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. Clear instructions are in place for persons
involved in fertilizer application.

5.A.5

The producer takes appropriate measures to prevent residues

on the leaves after spraying liquid fertilizer. The period between
spraying and harvest is at least 7 days.

5.B Records of application

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
5.B.1
and the active ingredients, including safety warnings,
intoxication symptoms and first aid information, where
relevant.

5.B.2

All applications of organic and inorganic soil and foliar 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.C Application equipment

The certificate holder ensures that all inorganic fertilizer
application equipment (including manual pumps) is in good
5.C.1 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
Inorganic and organic fertilizers are stored separately from
5.D.1 harvested tea, tools, packaging material, crop protection
products and food products.

Please tick the applicable box

(yes/no)
C

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5.D.2

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 direct water
streams and sources is minimally 25 meters. For inorganic
fertilizers a spillage retention system to catch leaking liquid
fertilizers is used.

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5.D.3

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.

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5.E Organic Fertilizer

Human sewage, sludge and sewage water are not used on tea
5.E.1
for any purpose.

b. Farm or group applies

inorganic fertilizers
Yes [ ] No [ ]
c. Farm or group applies
organic fertilizers
Yes [ ] No [ ]

5.E.2

Animal manure and other organic materials used as fertilizer

(or as pesticide, e.g. an organic foliar spray) are properly
composted prior to use.

5.E.3

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.4

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.

Are composting techniques

used by group members to
obtain organic (natural)
fertilizer?
[ ] Yes, by all
[ ] Yes, by most
[ ] Yes, by some
[ ] No

6. IRRIGATION (If applicable)

The objective of the control points in this chapter is to check if the producer is making rational use of
irrigation water, not using too much or too little water. The producer 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
The certificate holder has rainfall records and systematic
6.A.1 rainfall forecast methods available to decide on the application
of irrigation water.

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 tea 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.

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6.C Quality of irrigation water

6.C.1

The certificate holder makes an annual risk assessment of

phytosanitary, chemical or physical pollution or contamination
of irrigation water sources. Irrigation water is analyzed at a
frequency according to the results of the risk assessment. In
case of adverse results, records are kept of actions taken.

6.C.2

Untreated sewage water is not used for irrigation. Treated

sewage water can only be used on tea if the water quality
complies with the WHO published Guidelines for the Safe Use
of Wastewater and Excreta in Agriculture and Aquaculture
2006.

6.D Supply of irrigation water

6.D.1 Irrigation water is extracted from sustainable sources.
Advice on water extraction is sought from water authorities
6.D.2
whenever these are available.
Rainwater harvesting or infiltration is practiced, for example
6.D.3 from roofs or retention ponds built in runoff areas away from
streams.
7. INTEGRATED PEST MANAGEMENT AND CROP PROTECTION

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Is irrigation being used in the

coffee/tea /cocoa fields? y/n

If yes, what (main) type of

irrigation system is being
used?
Option 1. Sprinkler
Option 2. Surface
Option 3. Localized (drip)
Option 4. Other, please
specify... (free text)

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 Choice and use of crop protection products
Crop 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;
7.A.1 - identified as Persistent Organic Pollutants (POP's) in the
Stockholm agreement;
- included in Annex III of the Rotterdam Convention (UNEP's
Prior Informed Consent (PIC) Program list);
- on PAN's Dirty Dozen list.

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7.A.2

Crop 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 tea.

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7.A.3

If there is no official registration scheme for crop protection

products in the country, the producer refers to the FAO
International Code of Conduct on the Distribution and Use of
Pesticides.

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7.A.4

The responsible person (producer, certificate holder or external

advisor) who chooses the crop protection products is able to
demonstrate competence and knowledge.

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7.A.5

The certificate holder has documented procedures for the

observation of pre-harvest intervals (PHI). Systems such as
warning signs are in place in the field to ensure compliance
with all pre-harvest intervals.

7.A.6

The certificate holder consults the positive lists for Maximum

Residue Limits (MRL) of allowed crop protection products for
the markets where the tea is intended to be sold (either
domestic or international).

7.A.7

The certificate holder is able to provide evidence of annual

residue testing. This can also be done by the buyer. The
certificate holder notifies buyers if sold tea appears not to be
complying with export/import requirements.

Application methods
All crop protection products are prepared and applied according
7.A.8
to the label instructions.
The producer does not use crop protection products within 5
meters (or more if required by law) of any water stream or
7.A.9 source and within 10 meters from springs. Clear instructions
are in place for persons involved in the application of crop
protection products.

7.A.10

7.A.11

7.A.12

7.A.13
7.A.14

The producer 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 re-entry intervals for crop
protection products have been monitored.
In case of aerial spraying, the certificate holder ensures that no
workers are in the field. Re-entry intervals are respected and
the workers must be informed.
In case of aerial spraying, the certificate holder takes measures
to ensure that impact on natural ecosystems (land and water)
is minimized.
In case of aerial spraying, the certificate holder re-assesses the
need, risks and alternatives of aerial spraying every 3 years
and takes appropriate actions.
In case herbicides are used they are applied selectively. Manual
weed management is recommended.

Integrated Pest Management (IPM)

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Please tick the applicable box

(yes/no)
a. Farm or group applies crop
protection products
Yes [ ]
No [ ]

7.A.15

7.A.16

All the crop protection products applied to the tea are suitable
for the pest, disease or weed and can be justified (according to
label recommendations or official registration body
publication).
The protection of tea against pests, diseases and weeds is
done with the appropriate minimum input of crop protection
product as described by the label.

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7.A.17

If a crop protection product is applied more than once during

the crop cycle, the producer has and implements an antiresistance strategy to maintain the effectiveness of the crop
protection product.

7.A.18

The producer uses crop protection products with the least

chemical toxicity possible for people, flora and fauna.

7.A.19

7.A.20

7.A.21

The producer has explored non-chemical alternatives for crop

protection products. Where effective the producer preferably
uses biological control methods such as natural enemies and
repellents.
The producer applies at least one of each of the following IPM
activities: -prevention, reduction, monitoring and interventionto reduce pests attacks.
If an external advisor is responsible for the implementation of
IPM techniques, technical qualifications can be demonstrated.
If the producer is responsible for the implementation of IPM
techniques, he/she can show that training has been received.

7.B Records of application

The certificate holder has an up to date and complete list of all
7.B.1 the crop protection products that are used and/or stored,
including the brand names and active ingredients.
Invoices (or any other documentary evidence) of crop
7.B.2 protection products are kept and available for external
inspection.

7.B.3

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;

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7.C Application equipment

7.C.1

The certificate holder ensures that all crop protection product

application equipment (including manual pumps) is in good
condition and is calibrated at least annually (in line with
national practice and regulation). Calibration and maintenance
is performed by a trained professional and recorded.

7.D Disposal of surplus application mix

Surplus crop protection product application mix or tank
washings are disposed of according to national legislation. If
national legislation does not exist or apply, surplus mix is
applied over an untreated part of the crop or on fallow land
7.D.1
(away from water streams), as long as the recommended dose
is not exceeded, negative impacts to humans and the
environment are minimized and records are kept as if it was a
normal application.
7.E Transport, storage, handling and diluting

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7.E.1

All crop protection products are transported safely, with

attention to minimizing possible danger to people, food
products and the environment, preferably in the original
packaging and properly closed so that it cannot be spilled.

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7.E.2

All crop protection products are stored:

- clearly identified for the crop they are used for;
- in accordance with the label instructions and all relevant
national legislation;
- in the original containers/packaging (or suitable alternative
packaging that contains all information of the original label);
- separate from tools, machinery, packaging material, and
harvested tea;
- in a powder or granular form always stored above products in
a liquid form.

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The facility for storing crop protection products:

7.E.3 - is kept clean and dry;
- is structurally secure with a sound roof and impermeable
7.E.4
floors (able to retain spillage);
- is well ventilated and light enough to ensure that product
7.E.5
labels can be easily read;
- has shelves made of (or lined with) non-absorbent material
7.E.6
such as plastic, glass or metal;
- is made of fire-resistant materials and preferably built and
7.E.7
located to prevent temperature extremes;

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7.E.8

- is kept locked and accessible only to people who can

demonstrate formal training in their safe use and handling;

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7.E.9

- is equipped with appropriate measuring equipment so that

handling and mixing can be done according to instructions.

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The facility for storing and diluting crop protection products is equipped with the following
- permanent and clear hazard warning signs on or next to the
7.E.10
P
access doors.

7.E.11

- 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.

7.E.12

- 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

The producer does not re-use empty crop protection product
7.F.1
containers in any form or manner.

7.F.2

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.

7.F.3

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, empty
containers are disposed according to national regulations and
in a manner that minimizes exposure to humans, the
environment and food products.

C/P

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, obsolete products are disposed
according to national regulations and in a manner that
minimizes exposure to humans, the environment and food
products.

C/P

8. HARVESTING
8.A Harvesting procedure

8.A.1

8.A.2

8.A.3

8.A.4

The certificate holder has a procedure describing how product

quality and hygiene are assured during harvest, including the
cleaning and maintenance of reusable harvesting containers,
transportation bags, tools and equipment and handling areas.
A cleaning schedule is in place and workers are trained how to
prevent contamination.
Leaves are plucked and harvested at the right time so as to get
the required quality and to deliver to the factory on the same
day, ideally within 6 hours.
The certificate holder trains pluckers in good harvesting
techniques to maintain leaf quality and bush health. A quality
check for green leaf is in place.
Harvesting tools/machines are correctly used and well
maintained. Workers are trained in their correct and safe use.

8.B Fresh leaf (intermediate) storage and transportation

Farm vehicles and containers/bags used for transport of
8.B.1 harvested tea leaves, are cleaned and maintained, and a
cleaning schedule is in place to prevent contamination.

8.B.2

The temporary storage or shelter (in the field or handling area)

and method of transportation are able to protect the harvested
fresh tea leaves against direct sun, rain and contamination. Air
circulation and sufficient storage space is available in the
temporary storage, during transport and in the handling areas
to avoid damage to the leaves.

8.B.3

The producer prevents crushing of green leaves, for instance

through sizing or marking of bags or setting a maximum
weight at collection.

8.C Harvested tea measurements

The certificate holder calibrates the tools used to define the
weight or volume of harvested tea at least twice a year
(internal or external, in line with national practice and
8.C.1
regulation). This is documented. More advanced equipment like
electronic weighing scales is calibrated by specialized
technicians.
8.C.2

In case of weight deductions, e.g. for wet leaves during rainy

season, standard rules are in place, incl. a maximum
deduction.

TOTAL MANDATORY POINTS PER YEAR - CHAPTER 3-8

42

69

78

80

NUMBER OF MANDATORY CONTROL POINTS COMPLIED WITH

0
0

0
0

0
0

0
0

NUMBER OF MANDATORY CONTROL POINTS NOT APPLICABLE

Note: The sum has to equal the total number of mandatory points for this chapter
TOTAL ADDITIONAL CONTROL POINTS REQUIRED FOR CERTIFICATION

12

NUMBER OF ADDITIONAL POINTS COMPLIED WITH

Note: If an additional control point is not applicable, it can not be counted in - or deducted from - the total
number of additional control points required for certification.

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 or in a processing location, either permanent or temporary, and who is paid for his services.
9.A Risk management for working conditions
The certificate holder conducts a worker health and safety risk
assessment of the production units. The risk assessment is
9.A.1
performed by a qualified person or agency and is reviewed
annually.

9.A.2

Based on the risk assessment (10.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.

9.A.3

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.

9.A.4

The responsible person has regular meetings with

workers/group members where working conditions are
discussed openly. Records of these meetings are kept.

9.B Worker health and safety training

Based on the risk assessment (10.A.1) workers/group
members receive an adequate training on healthy and safe
practices. This training includes the handling of hazardous
9.B.1
substances and dangerous and/or complex equipment and
machines. Such training has to be repeated for new or
reassigned workers/group members.

9.B.2

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.

9.B.3

The certificate holder makes sure that there is always at least 1

person trained in First Aid available to group members/workers
at a central location when production, processing or
maintenance activities are carried out.

9.C 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
The certificate holder makes complete First Aid boxes (with
9.C.1 materials before expiry date) available and accessible at all
C
central and processing locations.

9.C.2

The certificate holder has a clearly written accident and

emergency procedure, describing:
- farm's reference map or farm's 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).

9.C.3

The certificate holder pays attention in his accident and

emergency procedure to HIV/AIDS prevention.

Action Plan

Further
description
comments
Actions to
are needed be taken to
when not
reach
fulfilled and compliance.
nonapplicable.

Deadline

Planned
date of
compliance

M&E questions
Fulfilled

Non-applicable

year 4

year 3

year 2

year 1

CONTROL POINT

Level of inspection

Comments

Questions

9.C.4

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
9.C.6
ensure their health and safety in the workplace.
9.D Crop protection product handling, clothing & equipment
All persons that apply hazardous crop protection products wear
suitable protective clothing and equipment that is in good state
9.D.1
of repair. For home made and/or traditional products this is
done whenever they pose a health risk.
The certificate holder ensures and is able to demonstrate that
9.D.2 protective clothing and equipment are used properly and
according to the label instructions.
9.C.5

9.D.3

9.D.4

9.D.5
9.D.6
9.D.7
9.D.8

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.
Pregnant and breastfeeding women and persons under 18
years do not handle or apply crop protection products.
Suitable changing facilities for workers (for women and men
separately) must be provided to change clothing and protective
outer garments as required.
Secure storage facilities are provided at the changing facility to
protect the workers personal belongings.

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C
P
P
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9.E Hygiene and good housekeeping

9.E.1

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.

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

The certificate holder provides all workers access to clean

toilets in the vicinity of their work, living and eating sites.

9.E.4

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.

9.E.5

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.E.6

The certificate holder visually and verbally communicates

hygiene, health and safety procedures to visitors and subcontractors.

C/P

9.F Worker's rights

The certificate holder complies with several conventions established by the International Labor Organization

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 Convention 87 on Freedom of Association)

9.F.3

All workers have the right to perform collective bargaining.

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

Forced labor
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
9.F.4
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 Convention 29 on Forced Labor and 105 on Abolition
of Forced Labor)

C/P

Child Labor

9.F.5

Children or minors (below 18) do not conduct hazardous work

or any work that jeopardizes their physical, mental or moral
well being. They do not work in dangerous locations, in
unhealthy situations, at night, or with dangerous substances or
equipment, nor do they carry heavy loads. They are not
exposed to any form of abuse and there is no evidence of
trafficked, bonded or forced labor.
(Ref. ILO Convention 182 on Worst Forms of Child Labor).

C/P

9.F.6

Children 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 Convention 138 on Minimum Age )

C/P

Discrimination
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,
9.F.7 race, caste, ethnicity, color, sexual orientation, union
membership, marital status, national origin, disability, religion
or political opinion.
(Ref. ILO Convention 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
9.F.8 collective bargaining agreement. The certificate holder records
the working hours per worker.
(Ref. ILO Convention 1 on Hours of Work)

C/P

C/P

Approximate number of
workers employed by the
certificate holder (incl the ICS
and processing unit) in peak
season:
1. permanent
__________________
2. seasonal/temporary
_________________
3. non applicable
_______________

9.F.9

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.

C/P

9.F.10

No worker works for more than five hours before having a

break for at least half an hour. In addition, a woman resuming
her work after child birth is entitled to two additional breaks
daily, for an agreed period of time or according to legal and
sector standards.

C/P

9.F.11

When overtime is required, workers are notified timely.

Workers working overtime have access to safe transportation
home following overtime shifts.

C/P

Wages and contracts

9.F.12

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 tea, 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.

C/P

9.F.13

Equal work is remunerated with equal pay.

(Ref. ILO Convention 100 on Equal Remuneration)

C/P

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.

9.F.15

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
9.F.16
result in any discrimination, loss of seniority or deductions of
wages.
The certificate holder provides access to convenient and
9.F.17
affordable day care services for children of workers.

Respectful treatment of workers

9.F.18

9.F.19

9.F.20

9.F.21

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 social, cultural or religious significance on
the farm.

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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.

9.G.2

The certificate holder provides living quarters with divisions

between families and, if possible, with access to electricity.

Education

9.G.3

The certificate holder stimulates the primary education of onsite 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.

9.G.4

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.

9.G.5

9.G.6

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 on-site living workers and their families, motivating students
who graduate from primary school to keep on studying and
motivating literacy of workers.

What measures are taken to

stimulate the education of
children and prevent child
labor?
option 1. Awareness raising
meetings for producers and
their families
option 2. If there are
indicators of children not
attending school, the
certificate holder assesses the
problem and provides advice
to the parents
option 3.The date of birth of
workers is documented
option 4. Advice and
assistance is sought from
local NGO's or other experts
on the topic
option 5. Other, please
specify (free text)

Approximately, what
percentage of on site living
members households do not
have access to primary
education (e.g. too far away)?

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 Convention 184 on Safety and Health in Agriculture)
The certificate holder stimulates educational programs of
hygiene, nutrition and other issues that improve the general
health of on-site living workers and their families.
The certificate holder informs all workers/ group members on
issues related to HIV/AIDS and HIV/AIDS prevention.

C
C

TOTAL MANDATORY POINTS PER YEAR - CHAPTER 10

27

38

46

46

NUMBER OF MANDATORY CONTROL POINTS COMPLIED WITH

0
0

0
0

0
0

0
0

Note: The sum has to equal the total number of mandatory points for this chapter
TOTAL ADDITIONAL CONTROL POINTS REQUIRED FOR CERTIFICATION
8
NUMBER OF ADDITIONAL POINTS COMPLIED WITH
0

NUMBER OF MANDATORY CONTROL POINTS NOT APPLICABLE

Note: If an additional control point is not applicable, it can not be counted in - or deducted from - the total
number of additional control points required for certification.

10. NATURAL RESOURCES 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

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.

10.A.2

Based on the risk assessment the certificate holder makes and

implements an action plan how to address these risks.
Implemented corrective actions are documented.

10.A.3

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.

10.A.4

The conservation plan includes a baseline assessment of animal

and plant diversity. The effects of agricultural production on
flora and fauna are monitored.

10.B Water sources

The producer protects and conserves all water streams and
10.B.1 sources (incl. ground water) on the farm from contamination
and pollution.
The producer 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.

C/P

10.C Forest and Biodiversity

10.C.1

Degradation and deforestation of primary forest is prohibited.

The producer demonstrates that there has been no degradation
and/or deforestation of primary forest in the 24 months prior
to the date of first registration with UTZ CERTIFIED.

10.C.2

The producer does not plant new tea on land that is not
classified as agricultural and/or approved for agricultural use.

10.C.3

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.

10.C.4

The producer plants and maintains shade trees within and

around the tea fields, which preferably are native tree species.

10.C.5

10.C.6

The producer re-forests and stimulates ecological restoration of

areas that are not used for agricultural production on the farm
as much as possible.
Tea production does not take place in protected areas. Tea
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.

Action Plan

Further
description
comments
Actions to
are needed be taken to
when not
reach
fulfilled and compliance.
nonapplicable.

Deadline

Planned
date of
compliance

M&E questions
Fulfilled

Non-applicable

year 4

year 3

year 2

year 1

CONTROL POINT

Level of inspection

Comments

Questions

10.C.7

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.

10.C.8

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.

C/P

10.D Energy sources and use

The certificate holder records and monitors the use of energy
10.D.1
in production.
The certificate holder demonstrates that measures are taken to
10.D.2
use energy more efficiently on the farm.
The producer uses renewable energy sources on the farm
10.D.3
whenever possible.

10.D.4

Tea by-products, such as dust and rejected tea, are re-used as

fertilizer, compost, mulch or energy source.

C/P
C/P
C/P
Is organic/biodegradable
waste (e.g. coffee pulp) used
by group members to fertilize
the coffee/cocoa/tea fields?
[ ] Yes, by all
[ ] Yes, by most
[ ] Yes, by some
[ ] No

C/P

TOTAL MANDATORY POINTS PER YEAR - CHAPTER 10

10

13

13

NUMBER OF MANDATORY CONTROL POINTS COMPLIED WITH

0
0

0
0

0
0

0
0

NUMBER OF MANDATORY CONTROL POINTS NOT APPLICABLE

Note: The sum has to equal the total number of mandatory points for this chapter
TOTAL ADDITIONAL CONTROL POINTS REQUIRED FOR CERTIFICATION
3
NUMBER OF ADDITIONAL POINTS COMPLIED WITH
0

Note: If an additional control point is not applicable, it can not be counted in - or deducted from - the total
number of additional control points required for certification.

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