Name certificate holder:

Certified product:
Type of certificate holder: (group,
individual, multi-site, multiple group)
Certified Volume:
Total certified area:
Date of first certification:
Location:

Country:
GPS coordinates: main office, main storage or
processing area(if in production area) or approximate
center of production area:
OR Tick box:
[ ] This information will be provided later

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
_____________________

The other schemes apply to the same production sites

(sites are multiple certified) Y/N

Other comments
Name CB
Name lead auditor
Name auditors

UTZ CERTIFIED Good Inside Code of Conduct

For Cocoa Estates
Version 1.0, December 2009
[1]

Latest version always applicable and available at www.utzcertified.org

Name:
Member number:

CHAPTER 1: TRACEABILITY, PRODUCT IDENTIFICATION AND SEPARATION

1.A.1

1.A.2

The certificate holder is able to document the product flow of

cocoa from each production unit to the collection point and during
handling and transport, for as long as the certificate holder is the
owner of the cocoa.

If the certificate holder outsources any post-harvest product

handling, storage or transport, s/he verifies that the outsourced
party is able to ensure traceability, product identification and
separation of UTZ CERTIFIED cocoa from non-UTZ CERTIFIED
cocoa.

Non-applicable

Year 4

Year 3

Year 2

COCOA ESTATE CODE

Year 1

Level of
inspection

Other info:

Comments
Further description comments are
needed when not fulfilled and nonapplicable.

1.A.3

1.A.4

1.A.5

1.A.6

1.A.7

The certificate holder has a document management system in

place that records:
- the total quantity of cocoa harvested,
- the purchases and sales of UTZ CERTIFIED cocoa,
- the purchases and sales of non-UTZ CERTIFIED cocoa,
- possible carry-over stock of UTZ CERTIFIED cocoa of the
previous season
- the UTZ sales announcements with unique UTZ CERTIFIED
number,
- the sales invoices with indication of the UTZ CERTIFIED status.

The certificate holder clearly indicates the responsible person(s)

in the organization for traceability, product identification and
separation of cocoa. This person or group of persons is able to
demonstrate and explain the system and is accessible to others
in the organization and to make sales announcements.

The certificate holder at all times strictly separates UTZ

CERTIFIED cocoa from non UTZ CERTIFIED cocoa: in the fields
and throughout all handling and processing, up to sorted and
graded cocoa, for as long as the certificate holder is the owner of
the cocoa. Carry-over stock of UTZ CERTIFIED cocoa from a
previous certification year is kept separate and clearly indicated.

The certificate holder clearly and visually identifies UTZ

CERTIFIED cocoa.
A system is in place where representative lot samples of cocoa
are kept to be analyzed in case of any complaint. Samples are
kept for at least one year.

CHAPTER 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 cocoa fields with
aggregated planted areas and nurseries, protected areas, water
streams and sources and human settlements. The cocoa fields
must be identified with a name, number, code or color on the
map and on all relevant records.

The certificate holder physically identifies all cocoa fields with

permanent signs indicating the name, number or code.

All the records and documents requested by this Code of Conduct

are up to date and accessible for the auditor. All documents are
archived for a minimum period of two years from the date of first
external audit or longer if legally required.

Records providing a history of all UTZ CERTIFIED production

areas are available. New applicants have full records for at least
three months prior to the first external audit with relation to UTZ
CERTIFIED requirements.

2.B Management systems and self-inspection

2.B.1

2.B.2

The certificate holder undertakes at least one self-inspection per

year against the UTZ CERTIFIED Code of Conduct, using the UTZ
CERTIFIED checklist. This self-inspection is documented.

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

2.B.4

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.

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 cocoa producers. Transparency on the amount and the distribution of the tangible
premium, is a part of responsible cocoa production.

2.C.1

2.C.2

The certificate holder can show how the UTZ premium is

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

The certificate holder appoints a person to whom workers can file

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

2.C.3

2.C.4

The certificate holder has a complaint mechanism available for all

persons that want to file a complaint related to issues of
compliance with the UTZ CERTIFIED Code of Conduct.

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 CONTROL POINTS CHAPTER 1-2

NUMBER OF MANDATORY CONTROL POINTS COMPLIED WITH
NUMBER OF MANDATORY POINTS NON APPLICABLE
The sum of complied mandatory control points and not applicable mandatory control
the total of mandatory control points in this part.

13 16 16 17
0
0
0
0
0
0
0
0
points has to equal

TOTAL ADDITIONAL CONTROL POINTS REQUIRED FOR CERTIFICATION CHAPTER 1-2

NUMBER OF ADDITIONAL CONTROL POINTS COMPLIED WITH

3. VARIETIES AND ROOTSTOCKS

3.A Planting material

3.A.1

3.A.2

The responsible person (certificate holder or technical advisor)

chooses the variety of cocoa that is most suited for the local
production situation and conditions. Special attention is given to
the amounts of crop protection products and fertilizers required,
important pests and diseases, and quality.

The certificate holder has records/certificates available of the

seed quality which states variety, batch number and vendor
name.

Non-applicable

Year 4

Year 3

Year 2

COCOA ESTATE CODE

Year 1

Level of
inspection

If an additional control point is not applicable, it can NOT be counted in or deducted from the number of
additional control points required for certification.
Comments
Further description comments are
needed when not fulfilled and nonapplicable.

3.A.3

3.A.4

If the certificate holder buys propagation material from an

external cocoa nursery, it is free of visible signs of pest and
disease. When plants have visible signs of pest and disease
damage, a justification is available (e.g. that the threshold for
treatment has not been reached yet).

New cocoa trees are planted in the most suitable pattern and
density to the varietal requirements to ensure easy management
of the farms.

3.B Nursery
An on-farm nursery is a cocoa nursery that is owned and managed by the certificate holder in this case

3.B.1

3.B.2

3.B.3

For on-farm cocoa nurseries, the certificate holder has an

operational plant health quality control system in place. This
system monitors and records visible signs of pests and diseases
as well as root problems and identifies the mother plant or field
of origin (if applicable).
For on-farm cocoa nurseries, all crop protection product
treatments applied to the cocoa are recorded according to point
7.B.4
If polythene sleeves are used, suitable sleeves are used and
reused. They are disposed of in the most environmental friendly
manner possible.

4. SOIL MANAGEMENT & COCOA FARM MAINTENANCE

4.A. SOIL MANAGEMENT
The control points in this section are about maintaining the structure of the soil, improving the fertility of the soil and preventing soil erosion.

4.A.1

4.A.2

The certificate holder uses techniques to prevent soil erosion.

There is visual and/or documented evidence that these
techniques are used. Special attention is given to new clearing,
pruning and (re)planting.

No new plantings on steep slopes (>25%) after initiating the

certification process. If cocoa is planted on slopes over 8%, the
producer uses techniques to prevent erosion.

4.A.3

4.A.4

4.A.5

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

the certificate holder prevents erosion through leaving shade
trees in place and/or planting new shade trees, other plants and
cover crops during land preparation.

The certificate holder uses techniques to maintain and improve

soil structure and fertility. There is visual and/or documented
evidence that these techniques are used.
The fertility of the soil is assessed and soil type and structure are
identified.

4.B COCOA FARM MAINTENANCE

4.B.1

4.B.2

Optimal tree architecture is obtained and maintained by regular

pruning and removal of chupons.

Good sanitation practices are maintained on the farm:

- Diseased or infested pods, branches and other plant material
are regularly removed from the trees. Diseased material is
disposed of in a way that prevents contamination.
- Tools are used that are dedicated for this purpose and
disinfected afterwards.

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 a
situation. The use is recorded.
5.A Choice and use of fertilizers

5.A.1

5.A.2

5.A.3

The certificate holder (or external advisor) chooses the fertilizers

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

The certificate holder (or external advisor) has a documented

fertilizer program in place to ensure that fertilizers are applied
judiciously, preventing the amount applied from exceeding the
needs of the crop and the storage capacity of the soil. The
responsible person demonstrates that consideration has been
given to nutritional needs of the crop and soil fertility.

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.B Records of application

5.B.1

5.B.2

The certificate holder has an up to date and complete list of all

the fertilizers that are used and/or stored on the farm. For all the
inorganic fertilizers, the list also mentions the brand names and
the active ingredients.

All applications of organic and inorganic fertilizers (including

fertigation) are recorded (except for mulch and farm made
compost), including:
- date of application
- product brand name, type of fertilizer and chemical composition
(name and concentration of active ingredients and heavy metals)
- quantity or volume per hectare, plot or field
- field identification (name, number or code, location)
- method of application and used equipment
- name of the operator

5.C Application equipment

5.C.1

The certificate holder ensures that all inorganic fertilizer

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

5.D Storage

5.D.1

5.D.2

Inorganic and organic fertilizers are stored separately from

harvested cocoa, tools, packaging material, crop protection
products and food products.

Inorganic and organic fertilizers are stored in a manner that

reduces the risk of contamination of water streams and sources.
For organic manure the distance to water streams and sources is
minimum 25 meters. For inorganic fertilizers a spillage retention
system to catch leaking liquid fertilizers is used.

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.

5.E Organic Fertilizer

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

5.E.2

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.

Before organic fertilizer is applied, an analysis is carried out that

determines the content of nutrients (N,P,K) in the organic
fertilizer that is applied.

6. IRRIGATION (If applicable)

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

6.A.2

If the certificate holder uses evaporation data to calculate

irrigation needs, documentation is demonstrated on how and
which figures are used to calculate the evaporation rate.

6.B Irrigation method

6.B.1

The certificate holder has a water action plan to optimize

irrigation water use and reduce loss and waste water.

6.B.2

6.B.3

The certificate holder uses the most efficient and commercially

practical water delivery system to ensure the best utilization of
water resources. The certificate holder shows the efficiency of the
irrigation system in terms of the amount of water used per MT of
cocoa produced.

The certificate holder has records that indicate the date of

irrigation, the quantity of water used and where the irrigation
water was used.

6.C Quality of irrigation water

6.C.1

6.C.2

The certificate holder makes an annual risk assessment of

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

Untreated sewage water is not used for irrigation. Treated

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

6.D Supply of irrigation water

6.D.1

Irrigation water is extracted from sustainable sources.

6.D.2

Advice on water extraction is sought from water authorities

whenever these are available.

6.D.3

Rainwater harvesting or infiltration is practiced, for example from

roofs or retention ponds built in runoff areas away from streams.

CHAPTER 7: INTEGRATED PEST MANAGEMENT AND CROP PROTECTION

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 cro
must be appropriate for the situation. The use must be recorded.
7.A Choice and use of crop protection products

7.A.1

7.A.2

7.A.3

7.A.4

7.A.5

7.A.6

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;
- 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.

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 cocoa.

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.

The responsible person (certificate holder or external advisor)

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

The certificate holder has documented procedures for the

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

The certificate holder consults the list for Maximum Residue

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

Application methods
7.A.7

All crop protection products are prepared and applied according

to the label recommendations or official publications.

7.A.8

7.A.9

7.A.10

The certificate holder makes sure not to use crop protection

products:
- within 5 meters from any water stream or body up to 3 meters
wide (including seasonal streams and creeks);
- within 10 meters from any water stream or body over 3 meters
wide (e.g. rivers and lakes);
- within 15 meters from springs.
In case national regulations are stricter, national laws apply.
Clear instructions are in place for all persons involved.

The certificate holder makes all people on the farm aware of the
concept of re-entry time. Visual signs (e.g. warning signs, red
flags) are used to inform people of the re-entry time.
Documentation demonstrates that re-entry intervals for crop
protection products have been monitored.

In case herbicides are used they are applied selectively. Manual

weed management is recommended.

Integrated Pest Management (IPM)

7.A.11

7.A.12

All the crop protection products applied to the cocoa are suitable
for the pest, disease or weed and can be justified (according to
label recommendations or official registration body publication).

All crop protection products are prepared and applied according

or equivalent to the label instructions, using the prescribed
dosage, timing and intervals of application. Alternative
recommendations are documented by the certificate holder.

7.A.13

7.A.14

7.A.15

7.A.16

If a crop protection product is applied more than once during the

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

The certificate holder uses crop protection products with the least
chemical toxicity possible for people, flora and fauna.

The certificate holder has explored non-chemical alternatives for

crop protection products. Where effective the producer preferably
uses biological control methods such as natural enemies and
repellents.

The certificate holder applies at least two of the following IPM

activities: prevention, monitoring and intervention to manage
pests and diseases.

7.B Records of application

7.B.1

The certificate holder has an up to date and complete list of all

the crop protection products that are used and/or stored,
including the brand names and active ingredients.

7.B.2

All applications of crop protection products are recorded

including:
- date of application (day, month, year);
- product trade name (brand) and chemical composition (name
and concentration of active ingredients);
- quantity or volume per hectare, plot or field;
- first allowed harvest date;
- re-entry time of people into the sprayed area;
- justification for application (common name of disease or pest);
- field identification (number or code, location);
- application method/equipment;
- name of the operator;
- name of the person who recommended the product;

7.C Application equipment

7.C.1

The producer maintains all the crop protection product

application equipment (mechanical or motorized) in good
condition to ensure proper functioning.

7.C.2

The certificate holder ensures that the crop product application

equipment (mechanical or motorized) is calibrated annually.

7.D Disposal of surplus application mix

7.D.1

7.D.2

7.D.3

according to national legislation where it exists, or in absence

according to points 7.D.2 and 7.D.3

in a manner that it is applied over an untreated part of the crop,

as long as the recommended dose is not exceeded and records
are kept as if it was a normal application.

in a manner that it is applied on designated fallow land, where

legally allowed, and as long as records are kept as if it was a
normal application

7.E Transport, storage, handling and diluting

7.E.1

All crop protection products are transported and stored safely,

with attention to minimizing possible danger to people, food
products and the environment, properly closed to prevent
spillage.

The certificate holder stores all crop protection products

clearly identified for the crop they are used for.
7.E.2

7.E.3

in accordance with the label instructions and with all relevant

national, regional and local legislation.

7.E.4

in the original containers or packaging and properly closed so

that it cannot be spilled.
When an original packaging is broken or damaged, and the
product is transferred to another packaging, the new package
contains all the information of the original label.

7.E.5

which are in powder or granular form above products which are

liquid form.

The facility for storing crop protection products:

- is kept clean and dry;
7.E.6

7.E.7

- is structurally secure with a sound roof and impermeable floors

(able to retain spillage);

7.E.8

- is well ventilated and light enough to ensure that product labels

can be easily read;

7.E.9

- has shelves made of (or lined with) non-absorbent material

such as plastic, glass or metal;

7.E.10

- is made of fire-resistant materials and preferably built and

located to prevent temperature extremes;

7.E.11

- is kept locked and accessible only to people who can

demonstrate formal training in their safe use and handling;

7.E.12

- is equipped with appropriate measuring equipment so that

handling and mixing can be done according to instructions.

The facility for storing and diluting crop protection products is equipped with the following safety provisions:
- permanent and clear hazard warning signs on or next to the
7.E.13 access doors.
C

7.E.14

7.E.15

- emergency facilities and procedures to deal with spillage of crop

protection products (i.e. sand or sawdust) and with operator
contamination (i.e. clean water). The procedure and facilities are
visual and permanent available within 10 meters of the storage.
The procedure must indicate basic accident care instructions as
well as telephone numbers or radio contacts.

- an up to date, documented and available inventory of all the

crop protection products stored and used on the farm. The list
includes an explanation of pictograms, safety warnings, and
symptoms of intoxication and first aid information for each
product. This information is communicated to the persons
working with the products.

7.F Empty crop protection product containers

7.F.1

The producer does not re-use empty crop protection product

containers in any form or manner.

7.F.2

7.F.3

The producer cleans empty crop protection product containers by

rinsing them 3 times with water (if available with an integrated
pressure-rinsing device on the application equipment). The
producer returns the rinsing from washing the empty crop
protection product containers to the application equipment tank.
After rinsing the containers are perforated to prevent re-use.

The producer stores, labels and handles empty crop protection

product containers adequately and securely until they are
collected. If available, the producer uses official collection and/or
disposal systems. If these systems do not exist or are not
accessible, empty containers are disposed of in a manner that
minimizes exposure to humans, the environment and food
products.

7.G Obsolete crop protection products

7.G.1

The producer stores, labels and handles obsolete crop protection

products adequately and securely. If available, the producer uses
official collection and/or disposal systems. If these systems do
not exist or are not accessible, obsolete products are disposed of
in a manner that minimizes exposure to humans, the
environment and food products.

8. HARVESTING
8.A Good harvest and post-harvest practices are applied to ensure good and consistent quality and food safety.

8.A.1

8.A.2

8.A.3

8.A.4

8.A.5

Pods are harvested at the appropriate time for the chosen

market. To prevent Ochratoxin A (OTA) contamination, the pods
are not wounded during harvest.

Cocoa beans are dried out of contact with soil and away from
roads. Smoke contamination is prevented.

Regular cocoa is reasonably free of foreign matter, foreign odors

and defective beans (flat, shriveled, black, moldy, infested, etc)
and meets national export or other contractual requirements,
e.g. on off flavors, homogeneity of bean size, moisture level and
defects.

Dried beans are packaged in clean bags that are sufficiently

strong and properly sewn or sealed. The bags are made of nontoxic materials and do not contain mineral oils. Preferably jute
bags are used that are food grade.

Cocoa is stored off the ground and away from walls in a dry, well
ventilated area, away from sources of contamination such as
agrochemicals, fuel, flammable substances, smoke, etc.

8.A.6

Cocoa beans are prevented from getting wet during loading and
transportation.

8.A.7

The certificate holder analyses main quality aspects of the cocoa

before sales.

8.B Good hygiene is maintained during harvest and post-harvest product handling.

8.B.1

Hygiene is assured during harvest and post-harvest handling.

Tools, equipment and vehicles used to transport harvested cocoa
are well cleaned and maintained, to ensure that they are free of
contaminants.

8.B.2

8.B.3

8.B.4

The certificate holder keeps storage and handling facilities

(warehouses, drying tables, etc.) and equipment clean and
maintained so as to prevent fungal and chemical contamination.
This includes adequate measures to prevent pests (e.g. rats,
cockroaches) in such facilities. Traps are documented.

The certificate holder ensures that harvested cocoa is not

contaminated with cleaning agents, lubricants and other
substances during product handling. Such products are kept in a
designated area, separate from cocoa and packaging materials.

The certificate holder provides designated areas to store litter

and waste, separating and disposing of different types of waste
appropriately.

8.C Harvested cocoa measurements

8.C.1

The certificate holder is able to ascertain the humidity percentage

of dried cocoa beans in a reliable manner. If equipment or tools
are used to determine the humidity of the cocoa, they are
calibrated at least once a year. This is documented.

TOTAL MANDATORY CONTROL POINTS CHAPTER 3-8

NUMBER OF MANDATORY CONTROL POINTS COMPLIED WITH
NUMBER OF MANDATORY POINTS NON APPLICABLE
The sum of complied mandatory control points and not applicable mandatory control
the total of mandatory control points in this part.
TOTAL ADDITIONAL CONTROL POINTS
ADDITIONAL CONTROL POINTS REQUIRED FOR CERTIFICATION CHAPTER 3-8
Please check the box for the situation applicable for your certification
The certificate holder for which applies irrigation and nursery
chapter applies
The certificate holder for which the irrigation chapter applies (but
no nursery)
The certificate holder for which the nursery chapter applies (but
no irrigation)

39 68 78 82
0
0
0
0
0
0
0
0
points has to equal
51

22

12

The certificate holder with no nursery and no irrigation

NUMBER OF ADDITIONAL CONTROL POINTS COMPLIED WITH

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

Non-applicable

Year 4

Year 3

Year 2

Year 1

COCOA ESTATE CODE

Level of
inspection

Comments
Further description comments are
needed when not fulfilled and nonapplicable.

CHAPTER 9: WORKERS RIGHTS, HEALTH AND SAFETY

This chapter deals with issues of health, safety and welfare of workers. A worker is a person who works on a farm, either permanent or temporary, and who is paid f
9.A Risk management for working conditions

9.A.1

9.A.2

9.A.3

9.A.4

The certificate holder conducts a worker health and safety risk

assessment of the production units. The risk assessment is
performed by a qualified person or agency and is reviewed
annually.

Based on the risk assessment (9.A.1), the certificate holder

makes and implements an action plan promoting healthy and
safe working conditions in all production units. A responsible
person is identified in this plan. Implemented actions are
documented.
The certificate holder appoints a person responsible for
coordinating the training and the raising of awareness on labor
rights.

The certificate holder has regular meetings between the

responsible person and group members/workers where concerns
about health, safety and welfare are discussed openly.
Records of these meetings are kept.

9.B Worker health and safety training

9.B.1

Workers receive an adequate training on healthy and safe

practices. This training includes the handling of hazardous
substances and dangerous and/or complex equipment and
machines. Such training has to be repeated for new or reassigned
workers.

9.B.2

9.B.3

The certificate holder keeps:

- up-to-date training records for each worker, indicating training
dates and content and gender;
- copies of attendance lists including signatures / fingerprints and
gender.

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

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

9.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 safe and healthy working conditions, and that have the be
emergency medical treatment.

9.C.1

9.C.2

9.C.3

9.C.4

9.C.5

9.C.6

The certificate holder makes complete First Aid boxes (with

materials before expiry date) available and accessible at all
central and processing locations.

The certificate holder has a clearly written accident and

emergency procedure, describing:
- who the contact persons are;
- how to act in these situations;
- the location of communication means (telephone, radio);
- an up-to-date list of emergency phone numbers (e.g.
ambulance, police).

The certificate holder pays attention in his accident and

emergency procedure to HIV/AIDS prevention.

The certificate holder makes sure that permanent workers and

supervisors of seasonal workers understand the accident and
emergency procedure. The accident and emergency procedures
are clearly and visually displayed at all the central and processing
locations, using the predominant languages of the workers.

The certificate holder indicates all potential hazards on central

locations (e.g. fuel tanks, fertilizer storage, crop protection
product storage) with clear and permanent warning signs and
symbols.

Special provisions are taken for workers with a disability to

ensure their health and safety in the workplace.

9.D Crop protection product handling, clothing & equipment

9.D.1

9.D.2

9.D.3

9.D.4

9.D.5

9.D.6

All persons that apply hazardous crop protection products wear

suitable protective clothing and equipment that is in good state of
repair. For home made and/or traditional products this is done
whenever they pose a health risk.

The certificate holder ensures and is able to demonstrate that all

workers involved properly use the protective clothing and
equipment when handling or applying crop protection products.

Protective clothing and equipment are stored separately from

crop protection products and in a well-ventilated area.

Protective clothing is cleaned and dried after use. If damaged

beyond repair, it is disposed of. Single-use items (e.g. plastic
gloves) are disposed after one use.

The certificate holder has all workers who frequently apply

hazardous crop protection products checked for their health
annually. These checks are documented and comply with national
legislation or industry practices.

Pregnant and breastfeeding women and persons under 18 years

do not handle or apply crop protection products.

9.E Hygiene and good housekeeping

9.E.1

9.E.2

The certificate holder instructs all workers on basic hygiene. The

hygiene instructions are visibly displayed, either by clear signs
(pictures) or in the predominant language(s) of the workforce.

The certificate holder provides all workers access to clean hand

washing facilities/equipment in the vicinity of their work, living
and eating sites.

9.E.3

9.E.4

9.E.5

The certificate holder provides all workers access to clean toilets

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

The certificate holder implements adequate pest control

measures to prevent pests (e.g. rodents, birds, insects) from
coming into communal eating and living sites, as well as all
production locations. Traps are identified with records.

The certificate holder ensures that the production locations as

well as communal eating and living sites are free of litter and
waste. The certificate holder provides designated areas to
dispose/store all types of litter and waste are provided,
identifying and separating different types of litter and waste.

9.F Worker's rights

The certificate holder complies with several conventions established by the International Labor Organization ILO. At all times the producer must comply with nationa

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

9.F.3

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)

All workers have the right to perform collective bargaining.

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

Forced labor

9.F.4

The certificate holder and group members do not use forced,

bonded or involuntary labor. The certificate holder and members
do not require workers to lodge deposits or their identity papers
with them or retain any part of the workers salary, benefits or
property to force workers to remain on the farm. Workers are
free to leave the employer after reasonable notice. Spouses and
children of contracted workers are not required to work on the
farm.
(Ref. ILO Convention 29 on Forced Labor and 105 on Abolition of
Forced Labor)

Child Labor

9.F.5

9.F.6

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).

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 )

Discrimination

9.F.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 Convention 111 on Discrimination)

Working hours

9.F.8

The maximum number of weekly normal working hours is 48 or

less if so determined by national or local legislation or a collective
bargaining agreement. The certificate holder records the working
hours per worker.
(Ref. ILO Convention 1 on Hours of Work)

9.F.9

9.F.10

9.F.11

Overtime work is:

- at all times voluntary and
- paid according to legal or sector standards and
- does not exceed 12 hours per week and
- is not demanded at a regular basis.
Workers are entitled to at least one day off in every seven-day
period.

No worker works for more than five hours before having a break
for at least half an hour. In addition, a woman resuming her work
after child birth is entitled to two additional breaks daily, for an
agreed period of time or according to legal and sector standards.

When overtime is required, workers are notified timely. Workers

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

Wages and contracts

9.F.12

Workers (permanent and seasonal) are paid gross wages that

comply with national legislation and sector agreements,
whichever is higher.
Deductions from wages for disciplinary purposes are not made.

9.F.13

9.F.14

Equal work is remunerated with equal pay.

(Ref. ILO Convention 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.

Maternity and child care provisions

9.F.15

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.

Respectful treatment of workers

9.F.16

9.F.17

9.F.18

The certificate holder and the staff do not engage in the use of
corporal punishment, mental or physical oppression and coercion,
verbal or physical abuse, sexual harassment or any other kind of
intimidation at the workplace.

The certificate holder stimulates the equal participation of

disadvantaged/ minority groups within the organization,
particularly with respect to recruitment, staff and committee
membership.

The certificate holder allows on-site living families to freely

perform cultural expressions like wearing typical clothing, music,
language, typical food and handicrafts.

9.F.19

The certificate holder clearly identifies, delineates and preserves

areas of social, cultural or religious significance on the farm.

9.G Employment conditions

Housing

9.G.1

9.G.2

For all workers that live on the production site, the certificate
holder provides clean and safe living quarters with access to
basic services like safe drinking water and toilets or latrines.

The certificate holder provides living quarters with divisions

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

Education

9.G.3

9.G.4

The certificate holder stimulates the primary education of on-site

living children of workers who are of the age to go to primary
school. The methods, such as awareness raising meetings with
parents, are documented.

If transport to school is not provided by the government or the

parents, the certificate holder provides safe transport to school
for on-site living children of workers if the school is too far away
to walk, or provides recognized education of the same level.

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.

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 on issues related to

HIV/AIDS and HIV/AIDS prevention.

CHAPTER 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), p
(chapter 6) and prevention of soil erosion (chapter 4) are included elsewhere in this document.
10.A Impact of farming on the environment

10.A.1

10.A.2

10.A.3

The certificate holder conducts a risk assessment to identify

possible negative impacts of farm activities on the environment,
(including possible sources of pollution and waste products from
the production process). The risk assessment is regularly
reviewed and kept up-to-date. The assessment can be done
regionally and can be conducted by an external party.

Based on the risk assessment the certificate holder makes and

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

The certificate holder has a conservation plan or participates in a

regional plan to protect and enhance biodiversity on and around
the farm. The conservation plan identifies areas of high ecological
value, and specifies how they are protected.

10.A.4

10.A.5

The conservation plan includes a baseline assessment of animal

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

The certificate holder assesses the possibilities of product

diversification as a way of making the cocoa production more
sustainable.
The certificate holder takes into account what the effect is on the
quality and quantity of the cocoa.

10.B Water sources

10.B.1

10.B.2

The certificate holder protects and conserves all water streams

and sources (incl. ground water) on and around the farms from
contamination and pollution.

The certificate holder allows a strip of native vegetation to grow

along water streams and sources to control erosion, filter out
agrochemicals and protect the wildlife habitat.

10.C Forest and Biodiversity

Degradation and deforestation of primary forest is prohibited.
There has been no such degradation and/or deforestation after
10.C.1
2008.

10.C.2

10.C.3

10.C.4

10.C.5

The certificate holder does not plant new cocoa on land that is
not classified as agricultural and/or approved for agricultural use.

Deforestation of secondary forest is only allowed if:

- legal land title is available;
- government permits are available (if required);
- there is compensation with at least equal ecological value, to be
confirmed by an independent expert report.

The certificate holder maintains (or plants enough to eventually

have) at least 18 mature shade trees per hectare dispersed on
the farm.
If there are currently too few or unsuitable trees or if the trees
are not dispersed, (extra) trees are planted.

If new shade trees are planted, diverse and native tree species
are used that will lead to multiple canopy levels. For the
selections of trees, the certificate holder follows the
recommendations of a research agency.

10.C.6

10.C.7

10.C.6

10.C.7

The certificate holder re-forests and stimulates ecological

restoration of areas that are not used for agricultural production
on the farm as much as possible.

Cocoa production does not take place in protected areas,

including officially proposed protected areas. Cocoa 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.

If production takes place in the immediate vicinity (2 km) of a

protected area or biological corridor, the certificate holder is in
contact with the park authorities to ensure that farming practices
do not jeopardize the park and that human-wildlife conflicts are
managed appropriately.

The certificate holder communicates which threatened and

endangered species are (known or likely to be) present in the
production area. Threatened and endangered species and their
habitats on the farm are protected, and hunting, trafficking or
commercial collection of such species is restricted.

10.D Energy sources and use

The certificate holder records and monitors the use of energy in
10.D.1 production.

10.D.2

The certificate holder demonstrates that measures are taken to

use energy more efficiently on the farm.

10.D.3

The producer uses renewable energy sources on the farm

whenever possible.

10.D.4

Cocoa by-products, such as pod husks, are re-used as fertilizer,

compost, mulch or energy source.

10.D.5

If wood is used for drying of cocoa, it is not obtained from cutting

down trees in native forests, unmanaged community forests,
borders of waterways or protected areas.

TOTAL MANDATORY CONTROL POINTS CHAPTER 9-10

NUMBER OF MANDATORY CONTROL POINTS COMPLIED WITH
NUMBER OF MANDATORY POINTS NON APPLICABLE

35 46 54 57
0
0
0
0
0
0
0
0
The sum of complied mandatory control points and not applicable mandatory control points has to equal
the total of mandatory control points in this part.
TOTAL ADDITIONAL CONTROL POINTS REQUIRED FOR CERTIFICATION CHAPTER 9-10

NUMBER OF ADDITIONAL CONTROL POINTS COMPLIED WITH

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

M&E questions

Fulfilled

Actions to be taken to reach

compliance.

Deadline
Planned date
of compliance

Action Plan

Questions

Answers

What was the actual harvested volume

of the certified product in last
certification year?
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):____
OR Tick box:
[ ] N/A 1st year of certification
[ ] Information is not available

Total farm area (ha):

bution of the tangible benefits, like the UTZ

What was the average UTZ cash

premium paid to the certificate holder
in the last year? ____MT/kg/lb?
Of the total premium received, what %
was used to pay for audit costs?___%
OR Tick box:
[ ] N/A 1st year of certification
[ ] Nothing was sold as UTZ
[ ] Information is not available

M&E questions

Fulfilled

Actions to be taken to reach

compliance.

Deadline
Planned date
of compliance

Action Plan

Questions

Answers

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

Are composting techniques used to

obtain organic (natural) fertilizer? Y/N

of fertilizers applied are appropriate for the

Please tick the applicable box (yes/no)

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

ch or too little water. The certificate holder must

e sustainability of the source of irrigation water.

Is irrigation being used in the

coffee/tea /cocoa fields? y/n

pe and amount of crop protection products applied

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)

Please tick the applicable box (yes/no)

a. Farm or group applies crop
protection products
Yes [ ] No [ ]

ary, and who is paid for her/his services.

M&E questions

Fulfilled

Actions to be taken to reach

compliance.

Deadline
Planned date
of compliance

Action Plan

Questions

Answers

, and that have the best possible access to basic

comply with national or local legislation.

Approximate number of workers

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

Is there an agreed collective bargaining

agreement on wages with workers? y/n

What is the lowest daily wage (in local

currency) paid to workers (M/F) that
are covered by the standard, based on
a normal (full time) working week?
Please enter the cash amount per day
(or estimation if calculation is based on
piece rate) of Net wages, excluding in
kind benefits:
Male workers: ____
Female workers: _____
Currency: ______
How many working days are there
normally in a month?____

What in kind benefits are provided?

Please check all that apply:
- none
- accommodation
- food
- fuel/energy/electricity
- medical care/ child care
- other
If available, please indicate the value of
those benefits (in local currency)____

1. Number of workers living on the

farm at peak season____________
2. Non applicable

Which of the following options apply to

the quality of housing for workers that
live on the farm?
option 1. Living quarters have a solid
roof, windows and doors
option 2. Living quarters are clean and
well ventilated
option 3. Living quarters have divisions
between families
option 4. There is access to safe
drinking water
option 5. There is access to electricity

Approximately, what percentage of on

site living worker's households do not
have access to primary education (e.g.
too far away)?

rtilizer (chapter 5), protection of water sources

What other products do you grow

and/or raise on the farm? Please
mention your maximum five most
important products grown for sale
(local & export);
_____(open text)

Is organic/biodegradable waste used to

fertilize the coffee/tea/cocoa fields? Y/N

Introduction

The UTZ CERTIFIED Good Inside Checklist is a tool for organizations to evaluate their performance on complian
the UTZ CERTIFIED Good Inside Code of Conduct. To obtain certification for UTZ CERTIFIED Code of Conduct, th
with all control points which are applicable to the activities of the organization.

The desired result of this self-evaluation is an overview of what actions need to be taken towards compliance. O
all actions that you need to undertake to comply with the Code of Conduct Requirements, and when these actio
Please note that this evaluation is not a test, merely a way to visualize what needs to be done to comply.

When ready for certification, you can apply for certification with a Certification Body that is approved by UTZ CE
Certification Bodies can be found on the UTZ CERTIFIED website. UTZ CERTIFIED advises you to send the result
the Certification Body that will carry out the inspection. This could make the inspection more efficient.
The Certification Body may also use this document or an adapted version to conduct the audit. More details abo
can be found in the UTZ CERTIFIED Good Inside Certification Protocol[1].

When using the checklist on the computer, you are only able to write in the columns "Year 1"(D) to "Fulfi
A194 and from cell A301 to A303 you can mark the applicable box for the situation for your certification.
Below you can find specific situations and how you can fill in the checklist, please review them before completin
1 The certificate holder complies with a mandatory control point
Mark an "x" under column D if it is year 1, E for year 2, F for year 3, G for year 4
2 The certificate holder does not comply with a mandatory control point
Write "NC" under column D if it is year 1, E for year 2, F for year 3, G for year 4
Fill in the Comments, Action Plan and Deadline columns
3 The certificate holder complies with an additional control point
Mark an "x" under column D if it is year 1, E for year 2, F for year 3, G for year 4
4 The certificate holder does not comply with an additional control point
Nothing is filled in the years columns, you can write down a comment in column I
5 There is a mandatory control point which is non applicable
Mark an "x" under column H, do not write anything in the years columns
You have to fill in a comment in column I, explaining why it is non applicable
6 There is an additional control point which is non applicable on the corresponding level (year)
No marks
You can add a comment in column I
7 To remember
The sum of the complied and non applicable mandatory control points is equal to the total of mandatory contr
If the sum does not match, review if you have filled in the checklist correctly

UTZ CERTIFIED wishes you a successful certification process. For additional support please contact the UTZ CER
CERTIFIED/Solidaridad field representatives; the contact details can be found at www.utzcertified.org under Ab

r performance on compliance with the requirements of

TIFIED Code of Conduct, the organization has to comply

ken towards compliance. On this Checklist you may fill in

ents, and when these actions need to be implemented.
o be done to comply.

that is approved by UTZ CERTIFIED. A list of approved

vises you to send the results of your self-assessment to
on more efficient.
the audit. More details about the certification procedure

mns "Year 1"(D) to "Fulfilled" (L). From cell A191 to

or your certification.
iew them before completing the checklist.

g level (year)

he total of mandatory control points

please contact the UTZ CERTIFIED office or the UTZ

w.utzcertified.org under About the organization