Principle 1: Conservation of biodiversity
| Criteria | Guidance | Evidence & Scoring | Importance & Applicability |
|---|---|---|---|
| Criteria 1.1: Information on biodiversity is collected in cultivation or wild collection areas 1.1.1 Information on biodiversity relevance of cultivation or collection areas is available, using datasets, existing studies, official classifications, or local knowledge |
Information on biodiversity relevance include identification of:
|
DOCUMENTATION The BAP baseline assessment template from UEBT can be used to fufil this requirement. The filled out template can be used as evidence. Any other form of reporting containing all relevant information can also be used as evidence. INTERVIEWS Conversation with the staff that explain how the information is collected, which information is available and how it is used can be used as evidence. Scoring guidance0 - No information about biodiversity relevance of cultivation or collection areas is available 1 - Sources of information are identified but no information is gathered 2 - Information is available, provides an understanding of biodiversity in the area but is partial (e.g. it covers the cultivation and collection sites but not the collection and cultivation areas or the other way around; a minority of the information that is relevant for biodiversity in the cultivation and collection areas is not inspected) 3 - Information about the biodiversity relevance of cultivation and collection areas is available and adequate |
Importance Critical Applicability |
| Criteria 1.1: Information on biodiversity is collected in cultivation or wild collection areas 1.1.2 Threats to biodiversity in the cultivation or collection areas are identified, using risk assessment tools, studies or local knowledge |
Examples of threats to be looked at are:
|
DOCUMENTATION The BAP baseline assessment template from UEBT can be used to fufil this requirement. The filled out template can be used as evidence. Any other form of reporting containing all relevant information can also be used as evidence. INTERVIEWS Conversation with the staff that explain how the information is collected, which information is available and how it is used can be used as evidence. Scoring guidance0 - No threats to biodiversity in cultivation or collection areas are identified 1 - Sources of information on threats are identified but no threats are identified 2 - Threats to biodiversity are identified, provide an understanding of biodiversity threats in the area but partially (e.g. they concern the cultivation and collection sites but not the collection and cultivation areas or the other way around; a minority of the threats in the guidance that are relevant for the cultivation and collection areas are not inspected) 3 - Threats to biodiversity in cultivation and collection areas are identified and adequate |
Importance Critical Applicability |
| Criteria 1.1: Information on biodiversity is collected in cultivation or wild collection areas 1.1.3 Existing strategies plans and/or initiatives - public or private - that contribute to maintaining, regenerating, or enhance biodiversity in the cultivation or collection areas are identified |
Examples of strategies, plans, initiatives to maintain, restore or enhance biodiversity include:
|
DOCUMENTATION The UEBT BAP baseline assessment template from can be used to fufil this requirement. The filled out template can be used as evidence. Any other form of reporting containing all relevant information can also be used as evidence. INTERVIEWS Conversation with the staff that explain how the information is collected, which information is available and how it is used can be used as evidence. Scoring guidance0 - No strategies/plans/initiatives that contribute to biodiversity in cultivation or collection areas is identified 1 - Sources of information to identify strategies/plans/initiatives are identified but no strategy/plans/initiatives are identified yet 2 - Some strategies/plans/initiatives are identified but partially (e.g. a minority of the relevant organisations and their activities are not considered) 3 - Strategies/plans/initiatives are identified adequately to contribute to biodiversity in collection or cultivation areas |
Importance Regular Applicability |
| Criteria 1.2: Concrete actions are taken to maintain, regenerate, or enhance biodiversity in cultivation or wild collection areas 1.2.1 Current cultivation, wild collection or related activities have not resulted in the conversion or deforestation of intact ecosystems, from 1 January 2014 onward |
OaS and field operators do not undertake activities related to cultivation/wild collection/storing/processing and transporting of species and (natural) raw materials included in the certification or verification that causes conversion of intact ecosystems. This requirement applies since 1 January 2014. Conversion (of intact ecosystems) is a change of an intact ecosystem to another use that results in the destruction of its species composition, structure and function to the extent that their regeneration to the previous state is unlikely and the previous capacity to provide services to the environment and to people is lost. Conversion may occur, for example, when intact ecosystems are changed to plantations, croplands, pastures, water reservoirs, infrastructures (e.g., roads to transport products, storing, processing, energy production, office and other facilities) with the described negative impact on the ecosystems. When the described negative impact does not occur, changes of an intact ecosystem to other uses are not considered as conversion and are not banned under this standard. This is, for example, the case of cultivation/wild collection that contributes to maintaining or restoring intact ecosystems (e.g., agroforestry, permaculture, regenerative farming, and forms of natural farming and wild collection that give attention to biodiversity conservation, regeneration and sustainable use as defined in this standard). Deforestation is a form of conversion with negative impact as defined in this standard which occurs when conversion concerns intact forest ecosystems such as primary forests. Intact ecosystems are ecosystems that substantially resemble - in terms of species composition, structure, and ecological function — one that is or would be found in a given area in the absence of major human impacts. An ecosystem can be intact despite human activities take place when much of the original species composition, structure, and ecological function are being maintained or regenerated. Examples of intact ecosystems are pristine ecosystems, primary forests, rainforest, peatlands, savanna, other ecosystems with high capacity of carbon storage and intact features and areas listed in official classifications where human activities are not allowed, and human access is limited. | DOCUMENTATION Maps, records, interviews with local communities and field observation verify historical presence and boundaries of natural forests, as well as human induced changes to natural forest areas (e.g. burning and clearing). Scoring guidance0 - Conversion or deforestation of intact ecosystems because of cultivation, wild collection or related activities took place since 1 Janaury 2014 |
Importance Minimum requirement Applicability |
| Criteria 1.2: Concrete actions are taken to maintain, regenerate, or enhance biodiversity in cultivation or wild collection areas 1.2.2 Concrete actions to maintain, regenerate, or enhance biodiversity are initiated or supported in cultivation and wild collection areas, considering the information gathered (ref. 1.1.1) |
Examples of expected concrete actions are: 1. Protect/restore ecosystems and natural habitats, by, among others: 2. Creation of priority areas for biodiversity, by, among others: 3. Promote interconnectivity among habitats, by, among others: Not all actions mentioned above may be implemented. Actions can be selected from the ones listed above and are adequate when: For compliance (score 2) at least those actions among the listed actions under topics 1 and 2 above are to be implemented when relevant. OaS can define and start actions as well as support actions that are implemented in the cultivation and wild collection areas by relevant organisations. OaS can cover different roles depending on the situation: a) when the OaS sets up actions, it coordinates the implementation, provides internal resources and expertise for the implementation and the monitoring of the actions or commits internal resources to hire external expertise for the implementation and monitoring of the actions, b) when the OaS supports existing actions, it provides economic or other types of resources to the organisations in charge of implementing the actions to support the implementation and monitoring Field operators contribute to those actions that take place in the cultivation and collection sites. Their contribution depends on the situation: a) when in their capabilities, they can supply resources and expertise to carry out and monitor the implementation of actions, b) when this is not in their capabilities, they can provide access to their fields to those responsible for the implementation and monitoring of the actions, as well as provide minor support. The first is the case for large-scale farmers or wild collector groups. The second is the case of small farmers/individual pickers. A Certificate Holder provides economic, financial and other types of support to OaS and FO when they do not have sufficient resources. The UEBT BAP workplan template includes all relevant information to be included when defining actions and can be used for reporting. |
DOCUMENTATION 0 - No actions are initiated or supported in cultivation and collection areas to maintain, regenerate or enhance biodiversity Score 2 to be reached by second year |
Importance Critical stepwise Applicability |
| Criteria 1.2: Concrete actions are taken to maintain, regenerate, or enhance biodiversity in cultivation or wild collection areas 1.2.3 If examples of expected concrete actions listed in 1.2.2 are not relevant in cultivation and collection areas, other actions to maintain, regenerate, or enhance biodiversity are initiated and/or supported. |
Examples of concrete actions listed in 1.2.2 are considered not relevant when:
and/or |
DOCUMENTATION 0 - No actions are initiated or supported in cultivation and collection areas to maintain, regenerate or enhance biodiversity Score 2 to be reached by second year |
Importance Critical stepwise Applicability |
| Criteria 1.2: Concrete actions are taken to maintain, regenerate, or enhance biodiversity in cultivation or wild collection areas 1.2.4 Targets are set for concrete actions undertaken (ref 1.2.2 and 1.2.3) that allow for assessment of progress and impact. |
Targets are to be:
a) performance achievements - the achievements concern the performance of the actions, meaning the progress made in their implementation. Examples of progress are hectares of cultivation or collection areas covered, or the number of farmers or collectors involved in the different actions. b) impact achievements - the achievements concern the impact of the actions, meaning the effects they have on biodiversity. There are key biodiversity components on which effects from actions can be expected: soil and water conditions, genetic and species diversity, habitats diversity and conditions. Examples of impacts are the improvement in the organic components of the soil, or an increase in genetic and species varieties. Not all of the biodiversity components may be relevant for each action. Targets only need to be set for those components that are relevant. For compliance (score 2) targets are set for all actions that cover at least a) performance achievements. OaS is to set the targets. When actions are supported (and not initiated by the OaS) or delegated for implementation and monitoring to external consultants, the OaS is responsible for verifying that targets are set by those responsible for the implementation. When OaS sets targets, field operators are to be consulted. When Field Operators have the capabilities to set-up, implement and monitor their own actions, they are also responsible for setting targets. CH supports with monetary, financial and other resources when this is not sufficient at the OaS/Field Operators level. The UEBT BAP workplan template includes all relevant information to be included when defining targets and can be used for reporting |
DOCUMENTATION 0 - No targets are defined Score 2 to be reached by second year |
Importance Critical stepwise Applicability |
| Criteria 1.3: Criteria 1.3: To ensure relevance and continuous improvement, concrete actions are periodically adjusted to changing conditions 1.3.1 Concrete actions in cultivation or wild collection areas (ref. 1.2) are monitored and assessed at least every three years in relation to set targets (ref 1.2.4). |
A monitoring system for the targets is set up, which:
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DOCUMENTATION INTERVIEWS 0 - No monitoring is carried out Score 2 to be reached by third year |
Importance Critical stepwise Applicability |
| Criteria 1.3: Criteria 1.3: To ensure relevance and continuous improvement, concrete actions are periodically adjusted to changing conditions 1.3.2 Concrete actions are updated to enhance performance and impact following the result of monitoring and assessment results (ref 1.3.1). |
For compliance, actions are updated:
|
DOCUMENTATION INTERVIEWS 0 - Actions are not updated despite targets not being reached, according to the plan or if new targets are set |
Importance Regular Applicability |
| Criteria 1.3: Criteria 1.3: To ensure relevance and continuous improvement, concrete actions are periodically adjusted to changing conditions 1.3.3 In case of unintended adverse consequences on biodiversity, concrete actions are modified accordingly |
For compliance, actions are modified:
|
DOCUMENTATION INTERVIEWS 0 - Actions are not modified despite adverse consequences on biodiversity derived from them |
Importance Regular Applicability |
Principle 2: Sustainable use of biodiversity
| Criteria | Guidance | Evidence & Scoring | Importance & Applicability |
|---|---|---|---|
| Criteria 2.1: Criteria 2.1: Practices are adopted to ensure sustainable use of the species cultivated or wild collected, and to prevent or mitigate negative impact on other species 2.1.1 Cultivation, wild collection and trade of cultivated and wild collected species comply with laws and regulations implementing the Convention on International Trade in Endangered Species of Wild Fauna and Flora (CITES) and other national or local rules on rare, threatened or endangered species. |
There is evidence that CITES and other relevant regulations are known and taken into account when cultivating, collecting, trading crops and wild species. Rules are respected on what can be cultivated and collected, and the way it should be cultivated and collected and traded so as to not threaten the survival of plants and animals. When they exist, relevant permits to work with certain species are available. OaS and field operators are responsible for checking and complying with relevant legislation. In the case of small farmers or individual pickers, farmer/pickers groups or the OaS are in charge of checking the legislation and ensuring compliance. | DOCUMENTATION INTERVIEWS 0 - Cultivation, wild collection or trade of species does not comply with CITES and/or other relevant national or local rules on trade of rare, threatened or endangered species N/A – in the justification, please explain why |
Importance Minimum requirement Applicability |
| Criteria 2.1: Criteria 2.1: Practices are adopted to ensure sustainable use of the species cultivated or wild collected, and to prevent or mitigate negative impact on other species 2.1.2 Cultivation and wild collection activities do not take place in protected areas where such activities are not allowed. |
Protected areas include natural parks, natural reserves and other areas that are managed by a public or private authority and in which human activities are not allowed. The OaS and/or the field operators shall show awareness of the existence of those areas and show evidence that they are not conducting farming and wild collection in areas where this is forbidden. Identification of protected areas can be done by using recognised classifications and mapping tools or by using existing reports and local knowledge. UEBT provides a list of tools to identify protected areas that can be used for this purpose. OaS and field operators are responsible for checking the presence of those areas and ensuring cultivation, wild collection and related activities are not conducted there. In case of small farmers or individual pickers, farmer/pickers groups or the OaS are in charge of checking the presence of those areas and ensuring activities do not take place there. | DOCUMENTATION INTERVIEWS OBSERVATION 0 - Cultivation, wild collection and related activities are implemented in protected areas where they are forbidden N/A – in the justification, please explain why |
Importance Minimum requirement Applicability |
| Criteria 2.1: Criteria 2.1: Practices are adopted to ensure sustainable use of the species cultivated or wild collected, and to prevent or mitigate negative impact on other species 2.1.3 In protected areas where cultivation and wild collection activities are allowed, such activities take place in line with official management plans. |
There are zones in some protected areas where human activities - including wild collection, cultivation and related activities - are allowed. Management plans for those areas set the conditions under which those activities can be conducted. The OaS and the Field operators shall show awareness of the existence of those management plans and show evidence that they are conducting farming, wild collection and related activities in line with the conditions set in the plans, when activities are conducted in those areas. Identification of protected areas and management plans can be done by using recognised classifications and mapping tools or by using existing reports and local knowledge. UEBT provides a list of tools to identify protected areas that can be used for this purpose. OaS and field operators are responsible for checking the presence of those areas, management plans and complying with them while conducting cultivation, wild collection and related activities there. In the case of small farmers or individual pickers, farmer/pickers groups or the OaS are in charge of checking the presence of those areas, management plans and ensuring activities are implemented according to the plans. | DOCUMENTATION INTERVIEWS OBSERVATION 0 - Cultivation, wild collection and related activities conducted in protected areas are not in line with official management plans for those areas N/A – in the justification, please explain why Score 2 to be reached by second year |
Importance Critical stepwise Applicability |
| Criteria 2.1: Criteria 2.1: Practices are adopted to ensure sustainable use of the species cultivated or wild collected, and to prevent or mitigate negative impact on other species 2.1.4 Cultivation and wild collection activities do not intentionally introduce invasive species |
Invasive species is alien flora and fauna which becomes established in natural or semi-natural ecosystems or habitat, is an agent of change, and threatens native biological diversity. In some cases, invasive species are listed as such in the ‘Global Register of Introduced and Invasive Species.’ In other cases, they are classified as such by local and scientific knowledge.
Examples of intentional introduction because of sourcing activities are:
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OBSERVATION INTERVIEWS DOCUMENTATION 0 - Invasive species are introduced because of cultivation and wild collection activities N/A – in the justification, please explain why |
Importance Critical Applicability |
| Criteria 2.1: Criteria 2.1: Practices are adopted to ensure sustainable use of the species cultivated or wild collected, and to prevent or mitigate negative impact on other species 2.1.5 If cultivation and wild collection activities involve invasive species, which as per 2.1.4 have not been intentionally introduced, measures are taken to avoid the spread of these species beyond cultivation and wild collection sites. |
Unintentional spread of invasive species takes place when, for example:
|
DOCUMENTATION INTERVIEWS OBSERVATION 0 - No measures taken to avoid/stop the spread of invasive species N/A – in the justification, please explain why |
Importance Critical Applicability |
| Criteria 2.1: Criteria 2.1: Practices are adopted to ensure sustainable use of the species cultivated or wild collected, and to prevent or mitigate negative impact on other species 2.1.6 The species cultivated are not genetically modified organisms |
No GMO seeds/seedling are used to grow the crops included in the certification/verification. Field operators are responsible for implementing the practices required for compliance with this indicator. | DOCUMENTATION INTERVIEWS/OBSERVATION 0 - GMOs are used as seeds/seedlings for the certified/verified crop N/A – in the justification, please explain why |
Importance Critical Applicability |
| Criteria 2.1: Criteria 2.1: Practices are adopted to ensure sustainable use of the species cultivated or wild collected, and to prevent or mitigate negative impact on other species 2.1.7 Cultivation and wild collection activities do not introduce genetically modified organisms into cultivation and wild collection sites. |
No GMO seeds/seedlings are used for, as examples:
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DOCUMENTATION INTERVIEWS/OBSERVATION 0 - GMO seeds/seedlings are introduced in cultivation and collection sites for cultivation and wild collection related activities N/A – in the justification, please explain why |
Importance Regular Applicability |
| Criteria 2.1: Criteria 2.1: Practices are adopted to ensure sustainable use of the species cultivated or wild collected, and to prevent or mitigate negative impact on other species 2.1.8 (For wild collection) Characteristics of wild collection sites are identified using field observations, existing studies or local knowledge. |
Information shall specify the following characteristics, among others:
OaS is responsible for gathering this information. The OaS can consult external experts, individual or groups of pickers, and other relevant informants in the process of gathering relevant information. Pickers are to be aware of the characteristics of the wild collection sites. |
DOCUMENTATION INTERVIEWS 0 - No characteristics of wild collection sites are identified N/A – in the justification, please explain why Score 2 to be reached by second year |
Importance Critical stepwise Applicability |
| Criteria 2.1: Criteria 2.1: Practices are adopted to ensure sustainable use of the species cultivated or wild collected, and to prevent or mitigate negative impact on other species 2.1.9 (For wild collection) Information is available on the status of the wild collected species within the wild collection site. Species inventories, scientific studies or local knowledge are used to obtain information. |
Information shall include, among others:
|
DOCUMENTATION INTERVIEWS 0 - No information is available on the characteristics of wild collected species N/A – in the justification, please explain why Score 2 to be reach by second year |
Importance Critical stepwise Applicability |
| Criteria 2.1: Criteria 2.1: Practices are adopted to ensure sustainable use of the species cultivated or wild collected, and to prevent or mitigate negative impact on other species 2.1.10 (For wild collection) Wild collection practices are based on scientific information or local knowledge to avoid negatively affecting the long-term survival of the population of wild collected species or its interdependent species. |
Examples of wild collection practices expected to be followed are:
a) the frequency of collection should at least not exceed the rate of replacement of adult individuals or plant parts b) for plants that reproduce by seed of spore, sufficient plants should be left to reach the reproductive age c) for plants that reproduce by bulb or corms, root or rhizome, sufficient numbers should be left on site |
DOCUMENTATION INTERVIEWS OBSERVATION 0 - Wild collection practices that are followed negatively affect the long-term survival of the population of the wild collected and interdependent species N/A – in the justification, please explain why |
Importance Critical Applicability |
| Criteria 2.1: Criteria 2.1: Practices are adopted to ensure sustainable use of the species cultivated or wild collected, and to prevent or mitigate negative impact on other species 2.1.11 (For wild collection) The purchasing schedule for the natural raw material respects suitable time and methods for the wild collection of the species. |
Purchasing time, quantities and quality are decided by also considering the wild collection practices identified and implemented according to 2.1.10. This is suitable when it is in line with what can be delivered and the time when this can be delivered considering collection practices under 2.1.10. OaS consults with the field operators about the availability of the natural raw materials and adjusts the buying schedule considering what can be delivered and the time when this can be delivered given the followed collection practices as per 2.1.10. | DOCUMENTATION INTERVIEWS 0 - Purchasing schedule does not respect suitable time and methods given the collection practices as per 2.1.10 N/A – in the justification, please explain why |
Importance Regular Applicability |
| Criteria 2.1: Criteria 2.1: Practices are adopted to ensure sustainable use of the species cultivated or wild collected, and to prevent or mitigate negative impact on other species 2.1.12 (For wild collection) Pickers and other relevant actors have the skills to implement wild collection practices as required in 2.1.1 to 2.1.11. |
Field operators and other relevant actors have access to knowledge that are useful to develop skills to apply the relevant collection and trade practices established according to 2.1
OaS shall provide or support the provision of relevant knowledge in the form of:
|
DOCUMENTATION INTERVIEWS OBSERVATION 0 - Field operators and other actors do not have skills required to implement wild collection practices according to 2.1 N/A – in the justification, please explain why Score 2 to be reached by second year |
Importance Critical stepwise Applicability |
| Criteria 2.1: Criteria 2.1: Practices are adopted to ensure sustainable use of the species cultivated or wild collected, and to prevent or mitigate negative impact on other species 2.1.13 (For wild collection) Wild collection practices are assessed for performance and impact and adjusted with a view to continuous improvement, changing conditions and/or addressing unintended negative effects. |
The implementation of practices as per 2.1.10 is monitored yearly.
The long-term survival of the sourced and interdependent species is assessed every three years through the monitoring the regeneration rate. This can be done using internal monitoring systems and expertise or by commissioning external experts (e.g. universities/researchers).
The UEBT BAP Monitoring tool can be used to report information on the progress in implementation of practices and on the regeneration rate over time. The monitoring is adequate when it provides knowledge for the adjustments of the practices. Collections practices are changed when proven to be unsuitable to the context and not able to meet the expected results in terms of ensuring long-term survival of collected and interdependent species. OaS is responsible for the monitoring and for informing and discussing results with field operators as well as possible changes in the practices. |
DOCUMENTATION INTERVIEWS 0 - Information does not exist on the implementation of practices as per 2.1.10 nor on the long terms survival of sourced and interdependent species N/A – in the justification, please explain why Score 2 to be reached by third year |
Importance Regular stepwise Applicability |
| Criteria 2.1: Criteria 2.1: Practices are adopted to ensure sustainable use of the species cultivated or wild collected, and to prevent or mitigate negative impact on other species 2.1.14 (For cultivation) Characteristics of the cultivation sites are identified using field observations, existing studies and local knowledge. |
Information shall include, among other:
|
DOCUMENTATION INTERVIEWS 0 - No characteristics of cultivation sites are identified N/A – in the justification, please explain why Score 2 to be reached by second year |
Importance Critical stepwise Applicability |
| Criteria 2.1: Criteria 2.1: Practices are adopted to ensure sustainable use of the species cultivated or wild collected, and to prevent or mitigate negative impact on other species 2.1.15 (For cultivation) Characteristics of the cultivated species are identified using field observations, existing studies and local knowledge |
Information about the cultivated plant species shall include, among others:
The UEBT Baseline assessment template includes all relevant information to be gathered and can be used for reporting. OaS is responsible for gathering this information. The OaS can consult external experts, individual or groups of farmers, and other relevant informants in the process of gathering relevant information. Farmers and farm workers are to be aware of the characteristics of the cultivated species. |
DOCUMENTATION INTERVIEWS 0 - No information is available on the characteristics of cultivated species N/A – in the justification, please explain why |
Importance Critical Applicability |
| Criteria 2.1: Criteria 2.1: Practices are adopted to ensure sustainable use of the species cultivated or wild collected, and to prevent or mitigate negative impact on other species 2.1.16 (For cultivation) Cultivated species are rejuvenated or renovated as needed to maintain yields and plant health |
Rejuvenation and renovation practices are adequate if:
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DOCUMENTATION INTERVIEWS 0 - No rejuvenation/renovation done N/A – in the justification, please explain why |
Importance Critical Applicability |
| Criteria 2.1: Criteria 2.1: Practices are adopted to ensure sustainable use of the species cultivated or wild collected, and to prevent or mitigate negative impact on other species 2.1.17 Suitable varieties are used for new planting (including propagation) |
Varieties used for new planting/propagation are suitable if chosen to ensure:
|
DOCUMENTATION INTERVIEWS 0 - No suitable varieties are used for new planting/propagation N/A – in the justification, please explain why |
Importance Critical Applicability |
| Criteria 2.1: Criteria 2.1: Practices are adopted to ensure sustainable use of the species cultivated or wild collected, and to prevent or mitigate negative impact on other species 2.1.18 (For cultivation) Purchase of seed and planting material is done through trusted and/or certified organisations |
Certified planting material includes seeds and seedlings bought from nurseries and similar with a certificate attached. Trusted providers are farmers, farmer groups, agronomists, seed banks and other relevant organisations that are authorised/recognised in the farming areas as providers of seeds and seedlings, with no evidence of misconduct over the years. Field operators are in charge of identifying appropriate providers and buying trusted/certified planting material. OaS can provide technical, monetary and other types of support to identify and buy adequate planting material when resources at the farm level are not sufficient. | DOCUMENTATION INTERVIEWS 0 - Seeds, seedlings and other planting material are not certified and do not come from trusted providers N/A – in the justification, please explain why |
Importance Critical Applicability |
| Criteria 2.1: Criteria 2.1: Practices are adopted to ensure sustainable use of the species cultivated or wild collected, and to prevent or mitigate negative impact on other species 2.1.19 (For cultivation) In case of on-site production of seeds and planting material, actions are taken to ensure that the seeds, seedlings, and new plants are free from pests, fungal infections and seeds from toxic weeds |
Practices to ensure that seeds, seedlings and other planting material produced on-site are free from pests, fungal infections and seeds from toxic weeds, include seed/seedling and bed:
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DOCUMENTATION INTERVIEWS OBSERVATION 0 - No practices are followed to ensure quality and health of seeds, seedlings and other planting material produced on-site N/A - in the justification, please explain why |
Importance Critical Applicability |
| Criteria 2.1: Criteria 2.1: Practices are adopted to ensure sustainable use of the species cultivated or wild collected, and to prevent or mitigate negative impact on other species 2.1.20 (For cultivation) New plantings follow crop patterns suitable to ensure a well-established cropping system |
Crop patterns for new planting are suitable to ensure well established cropping systems when they are defined considering, among others:
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DOCUMENTATION INTERVIEWS 0 - No suitable crop patterns are defined for new planting to ensure well established cropping systems N/A - in the justification, please explain why |
Importance Critical Applicability |
| Criteria 2.1: Criteria 2.1: Practices are adopted to ensure sustainable use of the species cultivated or wild collected, and to prevent or mitigate negative impact on other species 2.1.21 (For cultivation) Cultivated species are managed to ensure optimal yields and to avoid conflict with other cultivated and interdependent wild species |
Practices to ensure optimal yields and to avoid conflicts with other cultivated and interdependent wild species include, for example:
date are sent to professional shelters or may be held only for non-commercial purposes for the remainder of their lives; captive wild animals and farm animals are able to enjoy the 'five freedoms' of animal welfare Field operators follow one or more of the above listed practices as well as any other relevant practice in the context of where they operate. The identification of adequate practices to ensure optimal yields and avoid conflicts with other cultivated or interdependents wild species is done by consulting experts or by using existing knowledge and field experience. For compliance (score 2) at least the practices listed under the first (1) bullet point (when applicable) through the fifth (5) bullet points are to be followed. OaS provide technical, monetary and other types of support for the identification and implementation of appropriate practices when resources at the farmer level are not sufficient. |
DOCUMENTATION INTERVIEWS OBSERVATION 0 - No consideration for optimal yields and avoiding conflicts with other cultivated and interdependent wild species in the way certified/verified crops are managed N/A - in the justification, please explain why |
Importance Critical Applicability |
| Criteria 2.1: Criteria 2.1: Practices are adopted to ensure sustainable use of the species cultivated or wild collected, and to prevent or mitigate negative impact on other species 2.1.22 (For cultivation) Purchasing schedule for natural raw material respects suitable time and methods for the cultivation of the species |
Purchasing time, quantities and quality are decided by also considering the cultivation practices identified and implemented according to 2.1. This is suitable when it is in line with what can be delivered and the time when this can be delivered considering cultivation practices under 2.1. OaS consults with the field operators about the availability of the natural raw material and adjusts the buying schedule considering what can be delivered and the time when this can be delivered given chosen varieties, established cropping systems and management of cultivated species as per 2.1. | DOCUMENTATION INTERVIEWS 0 - Purchasing schedule does not respect suitable time and methods given the cultivation practices as per 2.1 N/A - in the justification, please explain why |
Importance Regular Applicability |
| Criteria 2.1: Criteria 2.1: Practices are adopted to ensure sustainable use of the species cultivated or wild collected, and to prevent or mitigate negative impact on other species 2.1.23 (For cultivation) Farmers, workers and other relevant actors have the skills to implement cultivation practices as required in 2.1.1 – 2.1.7 and 2.1.14 – 2.1.22 |
Field operators and other relevant actors have access to knowledge that is useful for developing skills to apply the relevant cultivation and trade practices established according to 2.1.
OaS shall provide or support the provision of relevant knowledge in the form of:
|
DOCUMENTATION INTERVIEWS OBSERVATION 0 - Field operators and other actors do not have skills required to implement cultivation practices according to 2.1 N/A - in the justification, please explain why Score 2 to be reached by second year |
Importance Critical stepwise Applicability |
| Criteria 2.1: Criteria 2.1: Practices are adopted to ensure sustainable use of the species cultivated or wild collected, and to prevent or mitigate negative impact on other species 2.1.24 (For cultivation) Cultivation practices are assessed for performance and impact and adjusted with a view to continuous improvement, changing conditions, and/or addressing unintended negative effects. |
The implementation of cultivation practices as per 2.1.16, 2.1.17, 2.1.19, 2.1.20 and 2.1.21 is monitored annually. The health and yield of cultivated species as well as the survival of interdependent wild species is assessed every three years. This can be done using internal monitoring systems and expertise or by commissioning external experts (e.g. universities/researchers). The UEBT BAP Monitoring tool can be used to report information on the progress in practices implementation, the health and yield of crops and the survival of interdependent species. The monitoring is adequate when it provides knowledge for the adjustment of practices. Cultivation practices are changed when proven to be unsuitable to the context and not able to meet the expected results in terms of crop yield and health and interdependent species survival. OaS is responsible for the monitoring and for informing field operators and discussing with them the results and possible changes in the practices. | DOCUMENTATION INTERVIEWS 0 - No information available on the implementation of practices as per 2.1.16, 2.1.17, 2.1.19, 2.1.20 and 2.1.21 and on the health and yield of cultivated species as well as the survival of interdependent wild species N/A - in the justification, please explain why Score 2 to be reached by third year |
Importance Regular stepwise Applicability |
| Criteria 2.2: 2.2 2.2.1 Information on the potential implications of changes in local climatological conditions for the cultivated or wild collected species is gathered from existing studies and other scientific or local knowledge |
Information is available on which types of implications are witnessed or foreseen for cultivated or wild collected species resulting from changing climatological conditions. Examples of such information include:
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DOCUMENTATION INTERVIEWS 0 - No gathering of information is done N/A - in the justification, please explain why Score 2 to be reached by second year |
Importance Regular stepwise Applicability |
| Criteria 2.2: 2.2 2.2.2 Cultivation and wild collection practices are adopted to improve climate resilience |
Examples of practices include:
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INTERVIEW OBSERVATION 0 - No practices are adopted to improve climate resiliance N/A - in the justification, please explain why Score 2 to be reached by third year |
Importance Regular stepwise Applicability |
| Criteria 2.3: 2.3 2.3.1 Information on the level and quality of ground and surface water in cultivation and wild collection sites is gathered through existing studies and other scientific or local knowledge |
Studies to assess the level of surface and/or ground water are required (e.g. using catchment context methodology or similar approaches). Water quality aspects can be checked through water analyses. Aspects to be checked include the presence of toxic substances and other residues as well as the chemical and biological components. The UEBT Baseline assessment template includes all relevant information to be gathered and can be used for reporting. Information on the level and quality of ground and surface water is relevant when it can be used to define practices to comply with 2.3. Information is to be updated at least once every three years. In case of large-scale farmers, or farmers’ groups, field operators are in charge of gathering information for each cultivation site (including facility sites if any). In case of small farmers or pickers’ groups, the groups can be in charge of gathering information for all group members. When they all work in the same area, general information at the area level is sufficient and there is no need for site specific information. OaS supports the collection of information providing monetary or other types of resources, especially in the case of small farmers and pickers when their resources are not sufficient to conduct information gathering. When OaS carries out first stage processing activities that use water (e.g. cleaning) in the cultivation/collection areas, the OaS collects relevant information on the surface and ground water levels and quality. | DOCUMENTATION 0 - No information on the level and quality of ground and surface water in cultivation/collection sites is collected N/A - in the justification, please explain why |
Importance Critical Applicability |
| Criteria 2.3: 2.3 2.3.2 Practices are adopted in cultivation, wild collection and related activities to conserve and enhance the quality of surface and ground water |
Water quality is maintained and enhanced through cultivation/collection and - when on site - initial-stage processing activities that:
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DOCUMENTATION INTERVIEWS OBSERVATION 0 - Cultivation, wild collection and related activities do not contribute to conserve and enhance the quality of surface and ground water N/A - in the justification, please explain why |
Importance Critical Applicability |
| Criteria 2.3: 2.3 2.3.3 Practices are adopted in cultivation, wild collection and related activities to maintain levels of surface and ground water |
To maintain levels of surface and ground water, practices for effective use of water in cultivation, wild collection and - when on site - initial processing activities are to be followed. Examples of practices include:
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DOCUMENTATION INTERVIEWS OBSERVATION 0 - Cultivation, wild collection and related activities do not contribute to maintain levels of surface and ground water N/A - in the justification, please explain why |
Importance Regular Applicability |
| Criteria 2.3: 2.3 2.3.4 Information on soil structure, fertility and nutrient contents, stability, moisture and drainage conditions in cultivation sites is gathered |
Soil components that can be affected by cultivation practices (e.g. (heavy)mechanical soil management, monoculture, intensive farming, but also simply farming as it uses soil components) include:
|
DOCUMENTATION Soil analysis results can be used as evidence to assess compliance. The UEBT baseline assessment template filled out can be used to assess compliance. Scoring guidance0 - No information on soil conditions in cultivation sites is gathered 1 - Information sources, methodologies/plans for information gathering and relevant aspects to be monitored are identified 2 - Information is gathered but can be improved to become more relevant to define practices to comply with 2.3 and/or it is not updated 3 - Information is gathered, relevant and updated N/A - in the justification, please explain why Score 2 to be reached by second year |
Importance Critical stepwise Applicability |
| Criteria 2.3: 2.3 2.3.5 Practices are adopted to maintain or improve soil fertility and nutrient contents |
Examples of cultivation practices to improve soil fertility and nutrient contents include:
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DOCUMENTATION INTERVIEWS OBSERVATION 0 - Cultivation practices do not contribute to maintain or improve soil fertility and nutrient contents N/A - in the justification, please explain why |
Importance Critical Applicability |
| Criteria 2.3: 2.3 2.3.6 Practices are adopted to conserve and improve soil stability and drainage |
Examples of practices to conserve and improve soil stability and drainage include:
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DOCUMENTATION INTERVIEWS OBSERVATION 0 - Cultivation, wild collection and related activities do not contribute to conserve/improve soil stability and drainage N/A - in the justification, please explain why |
Importance Critical Applicability |
| Criteria 2.3: 2.3 2.3.7 Producers, workers and other relevant actors have the skills to implement requirements in 2.3.1 through 2.3.6 |
Field operators and other relevant actors have access to knowledge that is useful for developing skills to apply the relevant cultivation and trade practices established according to 2.3. OaS shall provide or support the provision of relevant knowledge in the form of:
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DOCUMENTATION INTERVIEWS OBSERVATION 0 - Field operators and other actors do not have skills required to implement practices according to 2.3 N/A - in the justification, please explain why Score 2 to be reached by second year |
Importance Critical stepwise Applicability |
| Criteria 2.3: 2.3 2.3.8 Practices to conserve or improve soil and water conditions are assessed for performance and impact and adjusted with a view to continuous improvement, changing conditions, and/or addressing unintended negative effects |
The implementation of practices as per 2.3.2, 2.3.3, 2.3.5, 2.3.6 is monitored annually. The conditions of soil and water are assessed every three years. This can be done using internal monitoring systems and expertise or by commissioning external experts (e.g. universities/researchers). The UEBT BAP Monitoring tool can be used to report information on the progress in practices implementation and on the water and soil conditions. The monitoring is adequate when it provides knowledge for the adjustment of practices. Practices are changed when proven to be unsuitable to the context and not able to meet the expected results in terms of soil and water conditions. OaS is responsible for the monitoring and for informing field operators and discussing with them the results and possible changes in practices. | DOCUMENTATION INTERVIEWS 0 - No information on the implementation of practices as per 2.3.2, 2.3.3, 2.3.5, 2.3.6 and on the conditions of soil and water N/A - in the justification, please explain why Score 2 to be reached by third year |
Importance Regular stepwise Applicability |
| Criteria 2.4: Criteria 2.4: Practices are adopted to prevent and mitigate the negative impact of the use of agrochemicals 2.4.1 Cultivation, wild collection and related activities do not use any of the agrochemicals banned by UEBT (see UEBT Lists of Agrochemicals that are Prohibited or to which Risk Mitigation Measures Apply, July 2020 - at www.ethicalbiotrade.org/resources) or prohibited in the countries where cultivation or wild collection activities take place. |
The UEBT list of banned agrochemicals is based on the FAO/WHO Guidelines for Highly Hazardous Pesticides, 2016. According to the guidelines, Highly Hazardous Pesticides fall into categories such as those:
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DOCUMENTATION INTERVIEWS OBSERVATION 0 - Banned agrochemicals are used and/or practices are not adjusted to updates in the list of banned agrochemicals N/A - in the justification, please explain why |
Importance Critical Applicability |
| Criteria 2.4: Criteria 2.4: Practices are adopted to prevent and mitigate the negative impact of the use of agrochemicals 2.4.2 Appropriate mitigation practices are followed if cultivation, wild collection and related activities use agrochemicals are considered to be of restricted use (see UEBT Lists of Agrochemicals that are Prohibited or to which Risk Mitigation Measures Apply, July 2020). |
UEBT defines a list of agrochemicals for which risk mitigation practices are to be followed. Risk mitigation practices defined by UEBT include:
a) less toxic, efficacious agrochemicals are not available; b) exposure of natural ecosystems to agrochemicals is minimised by establishing non-application zones, or functional vegetative barriers; and c) contact of pollinators with these substances is further reduced, namely i) substances are not applied to flowering weeds or flowering weeds are removed and ii) substances are not applied while the crop is in its peak flowering period. a) Restricted Entry Intervals (REIs) are enforced; b) respirators with an organic vapor (OV) cartridge or canister with any N, R, P, or 100-series filter are used; and c) all application sites are flagged to indicate inhalation risks to bystanders. The UEBT list of agrochemicals for which risk mitigation practices are to be followed is available in the following locations: |
DOCUMENTATION INTERVIEWS OBSERVATION 0 - Risk mitigation practices required are not followed when using agrochemicals included in the UEBT Risk Mitigation list and/or not updated following updates to the list N/A - in the justification, please explain why |
Importance Critical Applicability |
| Criteria 2.4: Criteria 2.4: Practices are adopted to prevent and mitigate the negative impact of the use of agrochemicals 2.4.3 Monitoring of pest management is conducted and informs integrated pest management practices in cultivation sites |
Monitoring is done at least annually. Ideally it is done regularly throughout the farming season. Aspects to be monitored are, among others:
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DOCUMENTATION INTERVIEWS OBSERVATION 0 - Monitoring of pest management related aspects is not done N/A - in the justification, please explain why Score 2 to be reached by second year |
Importance Critical stepwise Applicability |
| Criteria 2.4: Criteria 2.4: Practices are adopted to prevent and mitigate the negative impact of the use of agrochemicals 2.4.4 Integrated pest management includes practices suitable to the cultivated species and cultivation conditions that prevent the occurrence of pests and enhance the use of biological control |
Examples of IPM practices are:
a) preference for low-toxicity chemical pesticides and selective chemicals b) use of pesticides sold by authorized vendors, in original and sealed packaging c) rotation of used pesticides to reduce resistance (e.g. alternating the chemical family of a pesticide) d) applications only if pests occur and exceed the levels defined for a certain crop and area (no calendar or preventive applications), only at the impacted areas (spot application) and never in non-farmed areas e) applications according to threshold levels, application intervals and conditions as advised by research institutes or field experience f) handling according to the label, Material Safety Data Sheets (MSDS), or as recommended by an official national organisation or a competent technician. If the MSDS has no information on re-entry levels, minimum restricted entry interval is 48 hours for WHO class II products and 12 hours for other products g) regular calibration and maintenance of equipment for application h) creation of buffer zones to limit cross contamination |
DOCUMENTATION INTERVIEWS OBSERVATION 0 - No IPM practices are identified and implemented N/A - in the justification, please explain why Score 2 to be reached by second year |
Importance Critical stepwise Applicability |
| Criteria 2.4: Criteria 2.4: Practices are adopted to prevent and mitigate the negative impact of the use of agrochemicals 2.4.5 Practices are adopted to reduce the use of herbicides, following a pre-established, annually monitored plan |
The plan to reduce the use of herbicides should cover a maximum period of three years in the case of perennial woody species, and six years in the case of perennial, bi-annual and annual herbaceous species. Practices to be included in the plan include, among others:
a) preference of low-toxicity chemical herbicides and selective chemicals b) use of herbicides sold by authorized vendors, in original and sealed packaging c) rotation of herbicides to reduce resistance (e.g. alternating chemical family) d) application only if weed presence has negative impacts on the safety of the cultivated species (no calendar spraying) and only in the impacted areas (spot application) e) application following threshold levels, application intervals and conditions advised by labels, scientific information or competent experts f) handling according to the label, Material Safety Data Sheets (MSDS), or as recommended by an official national organisation or a competent technician. If the MSDS has no information on re-entry levels, minimum restricted entry interval is 48 hours for WHO class II products and 12 hours for other products g) creation of buffer zones to limit cross contamination h) regular calibration and maintenance of equipment for application a) occurrence of types of weeds b) frequency of applications and typology of treatments for weed control c) effects of weeds on crops safety, quality, and yields d) climatic conditions relevant for weed control Field Operators follow one or more of the above listed practices and/or any other practices with results relevant in their context to reduce the presence of dangerous weeds (e.g. toxic and competitive) and the use of herbicides. Practices are suitable when they result in the reduction or stabilisation at tolerable levels of dangerous weed and of the use of synthetic herbicides. For compliance (score 2) at least the practices mentioned under the first three (3) bullet points, and the third bullet point's sub-bullets a) to h) are followed. OaS provides financial, knowledge and other types of support when field operators do not have sufficient resources to identify and implement suitable practices. The UEBT agrochemicals register can be used to keep track of the practices implemented and the presence of weeds. The UEBT BAP Monitoring tool can be used to report information on the progress in containing dangerous weeds and reducing the use of synthetic herbicides. |
DOCUMENTATION INTERVIEW OBSERVATION 0 - No practices to reduce the use of herbicides are identified and applied Score 2 to be reached by second year |
Importance Critical stepwise Applicability |
| Criteria 2.4: Criteria 2.4: Practices are adopted to prevent and mitigate the negative impact of the use of agrochemicals 2.4.6 Practices are adopted to minimise the use of synthetic fertilisers and enhance the use of alternatives |
Practices to minimise the use of synthetic fertilisers include:
a) preference for low-toxicity synthetic fertilizer b) use of fertilisers sold by authorized vendors, in original and sealed packaging c) application in such a way that nutrients become available when and where crops need them d) application respects threshold levels, application intervals and conditions advised by labels, scientific information or competent experts e) handling according to the label, Material Safety Data Sheets (MSDS), or as recommended by an official national organisation or a competent technician. If the MSDS has no information on re-entry levels, minimum restricted entry interval is 48 hours for WHO class II products and 12 hours for other products f) regular calibration and maintenance of equipment for application g) creation of buffer zones to limit cross contamination |
DOCUMENTATION INTERVIEWS OBSERVATION 0 - No practices to reduce the use of synthetic fertilisers are identified and implemented N/A - in the justification, please explain why Score 2 to be reached by second year |
Importance Critical stepwise Applicability |
| Criteria 2.4: Criteria 2.4: Practices are adopted to prevent and mitigate the negative impact of the use of agrochemicals 2.4.7 The storage, cleaning and disposal of agrochemicals do not cause contamination of soil, water, air and other natural resources |
Practices to be followed to avoid contamination from the storage, disposal and cleaning of agrochemicals include:
a) date of purchase b product name and active ingredient c) volume d) date of expiration Field Operators follow one or more of the above listed practices and/or any other practices that are relevant in their context to avoid contamination from the storage, disposal and cleaning of agrochemicals. Practices are suitable when they result in avoiding contamination from agrochemicals. For compliance (score 2) are least the practices mentioned under the first three (3) bullet points are followed. OaS provides financial, knowledge and other types of support when field operators do not have sufficient resources to identify and implement suitable practices. OaS is responsible for the implementation of practices in sites where processing facilities are if it is responsible for processing activities/facilities in cultivation/collection areas and agrochemicals are used at the processing level. The UEBT agrochemicals register can be used to keep track of the practices implemented. The UEBT BAP Monitoring tool can be used to report information on the progress in avoiding contamination from agrochemical handling. |
DOCUMENTATION INTERVIEWS OBSERVATION 0 - No practices to avoid contamination from storage, disposal, and cleaning of agrochemicals are identified and implemented N/A - in the justification, please explain why |
Importance Critical Applicability |
| Criteria 2.4: Criteria 2.4: Practices are adopted to prevent and mitigate the negative impact of the use of agrochemicals 2.4.8 Application of agrochemicals is documented |
Examples of the information to be documented on application of agrochemicals include:
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DOCUMENTATION 0 - Application of agrochemicals is not documented N/A - in the justification, please explain why |
Importance Critical Applicability |
| Criteria 2.4: Criteria 2.4: Practices are adopted to prevent and mitigate the negative impact of the use of agrochemicals 2.4.9 In situations where agrochemicals are used, producers, workers and other actors in charge of their application and handling have the training and skills to implement the requirements in 2.4.1 through 2.4.8. |
Field Operators and other relevant actors in charge of handling agrochemicals have access to knowledge that is useful in developing skills to apply the relevant practices established according to 2.4. OaS shall provide or support the provision of relevant knowledge in the form of:
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DOCUMENTATION INTERVIEWS OBSERVATION 0 - Field operators and other actors do not have skills required to implement practices under 2.4 N/A - in the justification, please explain why Score 2 to be reached by second year |
Importance Critical stepwise Applicability |
| Criteria 2.5: Criteria 2.5: Measures are taken to improve energy efficiency and reduce waste and contamination in cultivation and collection sites 2.5.1 Information on energy consumption and waste production from cultivation and wild collection activities in cultivation and wild collection sites is gathered |
Information to be gathered includes:
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DOCUMENTATION INTERVIEWS 0 - No information on enegy consumption and waste production is gathered N/A - in the justification, please explain why Score 2 to be reached by second year |
Importance Critical stepwise Applicability |
| Criteria 2.5: Criteria 2.5: Measures are taken to improve energy efficiency and reduce waste and contamination in cultivation and collection sites 2.5.2 Measures are adopted to optimise energy use in cultivation, wild collection and related activities |
Measures include, among others:
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DOCUMENTATION INTERVIEWS OBSERVATION 0 - No measure is adopted to optimise energy use for cultivation, wild collection and related activities N/A - in the justification, please explain why |
Importance Regular Applicability |
| Criteria 2.5: Criteria 2.5: Measures are taken to improve energy efficiency and reduce waste and contamination in cultivation and collection sites 2.5.3 Measures are adopted to reduce contamination and emission of greenhouse gases deriving from energy use in cultivation, wild collection and related activities |
Measures include, among others:
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DOCUMENTATION INTERVIEWS OBSERVATION 0 - No measure is adopted to reduce contamination and emissions from energy use for cultivation, wild collection and related activities N/A - in the justification, please explain why |
Importance Regular Applicability |
| Criteria 2.5: Criteria 2.5: Measures are taken to improve energy efficiency and reduce waste and contamination in cultivation and collection sites 2.5.4 Measures are adopted to reduce waste and any contamination produced by waste from cultivation, wild collection and related activities through minimising waste generation, reuse and recycling |
Measures include, among others:
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DOCUMENTATION INTERVIEWS OBSERVATION 0 - No measures adopted to reduce wastes from cultivation, wild collection and related activities and the contamination deriving from those wastes Score 2 to be reached by second year |
Importance Critical stepwise Applicability |
| Criteria 2.5: Criteria 2.5: Measures are taken to improve energy efficiency and reduce waste and contamination in cultivation and collection sites 2.5.5 Producers, workers and other relevant actors have the training and skills to implement the requirements in 2.5.1 through 2.5.4 |
Field operators and other relevant actors have access to knowledge that is useful for developing skills to apply the relevant practices established according to 2.5. OaS shall provide or support the provision of relevant knowledge in the form of:
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DOCUMENTATION INTERVIEWS OBSERVATION 0 - Field operators and other actors do not have skills required to implement practices according to 2.5 N/A - in the justification, please explain why Score 2 to be reached by second year |
Importance Critical stepwise Applicability |
| Criteria 2.5: Criteria 2.5: Measures are taken to improve energy efficiency and reduce waste and contamination in cultivation and collection sites 2.5.6 Measures to optimise energy use, improve waste management and reduce contamination from energy use and waste in cultivation and collection sites are assessed for performance and impact and adjusted with a view to continuous improvement, changing conditions, and/or addressing unintended negative effects |
The implementation of practices as per 2.5.2, 2.5.3, 2.5.4 is monitored annually. The result of those practices in terms of optimisation of energy use, waste management, and reduced contamination is assessed every three years. This can be done using internal monitoring systems and expertise or by commissioning external experts (e.g. universities/researchers). The UEBT BAP Monitoring tool can be used to report information on the progress in practices implementation and on their results for energy use, waste management and contamination. The monitoring is adequate when it provides knowledge for the adjustment of the practices. Practices are changed when proven to be unsuitable to the context and not able to meet the expected results in terms of optimising energy use, waste management and reduce contamination. OaS is responsible for the monitoring and for informing field operators and discussing with them the results and possible changes in practices. | DOCUMENTATION INTERVIEWS 0 - No imformation exists on the implementation of practices as per 2.5.2, 2.5.3, 2.5.4 and on the result of their implementation on energy use, waste management and contamination N/A - in the justification, please explain why Score 2 to be reached by third year |
Importance Regular stepwise Applicability |
Principle 3: Fair and equitable sharing of benefits derived from the use of biodiversity
| Criteria | Guidance | Evidence & Scoring | Importance & Applicability |
|---|---|---|---|
| Criteria 3.1: Criteria 3.1: Prices paid for natural raw materials are fair 3.1.1 Prices paid to producers of natural raw materials are based on cost-calculation and cover, at a minimum, the costs of production - including labour, materials, overheads, and a margin – undertaken in line with the practices defined in this standard, such as those related to conservation and sustainable use, human and worker rights and conditions. |
Price calculation methods should consider the costs associated to the production itself (when applicable: seedling, agricultural inputs, specific authorisations, fields rental, employed workforce, machinery costs - rental, new acquisition, maintenance -, consultant's cost, cost of transportation for goods or workforce, etc.) but also costs for implementing good agricultural practices, e.g. organic production practices, measures for protecting/restoring biodiversity; costs of training and awareness raising events; costs of technical support and internal audits.
In the case that sub-suppliers are negotiating and directly involved in pricing with producers, this requirement will also apply at their level.
The following are available tools from UEBT (contact us at certification@uebt.org to obtain these) to help with this criterion:
This indicator is applicable to the relationship between OaS and producers, when they're both involved in the scope of the assessment. If the OaS is the producer in the supply chain, this indicator is not applicable. |
DOCUMENTATION INTERVIEWS 0 - There is no cost calculation available, nor awareness of cost of production at the field level (producers or field operators) |
Importance Critical Applicability |
| Criteria 3.1: Criteria 3.1: Prices paid for natural raw materials are fair 3.1.2 Cost calculations consider the average time spent by producers on cultivation or wild collection activities related to the raw material, at a rate proportional at least to the national minimum wage or, in absence of a national minimum wage, the local opportunity cost for labour. Calculations are based on amounts of natural raw materials collected or harvested during regular working hours |
This indicator is applicable to the relationship between OaS and producers, when they're both involved in the scope of the assessment. If the OaS is the producer in the supply chain, this indicator is not applicable. |
DOCUMENTATION INTERVIEWS with producers/collectors: 0 - There is no information on producers/collectors' average time spent to source the raw material Score 2 to be reached by second year |
Importance Critical stepwise Applicability |
| Criteria 3.1: Criteria 3.1: Prices paid for natural raw materials are fair 3.1.3 Cost calculations are periodically reviewed to reflect changes in cost of living and costs associated to the stepwise improvement measures required by this standard. |
This indicator is applicable to the relationship between OaS and producers, when they're both involved in the scope of the assessment. If the OaS is the producer in the supply chain, this indicator is not applicable. |
DOCUMENTATION INTERVIEWS: with producers/collectors: 0 - There is no procedure nor implementation of a periodic price review |
Importance Critical Applicability |
| Criteria 3.1: Criteria 3.1: Prices paid for natural raw materials are fair 3.1.4 Measures are in place to contribute to a living income for producers of natural raw materials. Examples of measures to contribute to a living income are listed in guidance. |
Living income enables producers/collectors to achieve a decent standard of living. According to the Living Income Community of Practice, this is the 'net annual income required for a household in a particular place to afford a decent standard of living for all members of that household. Elements of a decent standard of living include food, water, housing, education, healthcare, transport, clothing, and other essential needs including provision for unexpected events.'
The scope of this indicator is the price paid by the OaS to the producers (not the prices paid along the supply chain). This indicator is applicable to the relationship between OaS and producers, when they're both involved in the scope of the assessment. If the OaS is the producer in the supply chain, this indicator is not applicable. |
DOCUMENTATION INTERVIEWS with producers/collectors: 0 - No awareness or information on living income in the local context Score 2 to be reached by third year |
Importance Critical stepwise Applicability |
| Criteria 3.2: Criteria 3.2: Discussions to establish the terms of cultivation or collection activities promote dialogue, trust and long-term collaboration 3.2.1 Producers perceive discussions on commercial agreements to take place in a respectful, balanced and inclusive manner. |
Local producers perceive that:
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DOCUMENTATION INTERVIEWS 0 - Producers/collectors are not consulted on decisions regarding sourcing activities, and do not communicate regularly with OaS/buyers to share visions, concerns, or supply chain characteristics, including their implications for their activity |
Importance Critical Applicability |
| Criteria 3.2: Criteria 3.2: Discussions to establish the terms of cultivation or collection activities promote dialogue, trust and long-term collaboration 3.2.2 Discussions on sourcing arrangements with producers are based on |
Some measures to provide transparent and complete discussions include:
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DOCUMENTATION INTERVIEWS 0 - No organised planned meetings/no regular communication with producers/collectors. No basic information on prices nor other considered relevant information for sourcing activities and decision-making are shared. Score 2 to be reached by second year |
Importance Critical stepwise Applicability |
| Criteria 3.2: Criteria 3.2: Discussions to establish the terms of cultivation or collection activities promote dialogue, trust and long-term collaboration 3.2.3 Sourcing arrangements with producers establish long-term collaboration, covering at least three years. |
DOCUMENTATION INTERVIEWS with producers: 0 - No sourcing agreement are in place. Purchase are made in an ad hoc basis, upon demand from some buyers Score 2 to be reached by the second year. |
Importance Critical stepwise Applicability |
|
| Criteria 3.2: Criteria 3.2: Discussions to establish the terms of cultivation or collection activities promote dialogue, trust and long-term collaboration 3.2.4 Payment terms to producers are reasonable and place them under no undue pressure. If requested and justified, pre-financing is available at the producer level for at least part of the contract value. |
Payment terms are considered reasonable when:
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DOCUMENTATION INTERVIEWS with producers: 0 - Payments terms are not negotiated between parties or perceived as too long (complaints exist regarding payment timing). Payment terms are not clearly known and/or may vary from one month to another. |
Importance Regular Applicability |
| Criteria 3.2: Criteria 3.2: Discussions to establish the terms of cultivation or collection activities promote dialogue, trust and long-term collaboration 3.2.5 In case of high levels of producer dependency on the natural raw materials, strategies are in place to minimize any significant negative impact of the termination of sourcing relationships on producers and their communities in cultivation and wild collection areas. |
This strategy may include the empowerment of producers/collectors aimed at looking for other market opportunities or income diversification to reduce dependency to the OaS and to the activity itself (this can also be the diversification of commercial offers around the raw material: processed raw material with added value, touristic or handicraft development, etc). For termination of long-term sourcing relationships, precautions should be taken such as a medium or long advance notice as much as possible (e.g. at least three months before harvest time)and providing support when only a short notice period is possible. A transparent termination clause in a supplier agreement should be stated in writing and agreed upon between parties. When sub-suppliers are negotiating and directly involved in pricing with producers, this requirement will also apply at their level. This indicator is applicable to the relationship between OaS and producers, when they're both involved in the scope of the assessment. If the OaS is the producer in the supply chain, this indicator is not applicable. | DOCUMENTATION INTERVIEWS 0 - No strategy in place to minimise any significant negative impact of the termination of long-term sourcing relationships on communities in sourcing areas, or short notice for end of supply agreement without any support for vulnerable producers/communities |
Importance Regular stepwise Applicability |
| Criteria 3.3: Criteria 3.3: Local development needs, as defined by producers and their local communities in the cultivation or collection areas, are supported. 3.3.1 Producers and their communities in cultivation or wild collection areas are periodically consulted on local development needs and goals, and the results of consultations are taken into account in measures taken under 3.3.2 – 3.3.5. |
Consultation on local communities' needs and goals includes the following:
a) technology transfer b) funding for local development activities c) support to community empowerment and capacity development d) support to basic services and infrastructure development |
DOCUMENTATION INTERVIEWS 0 - Producers/collectors express they're not consulted about their sustainable goals or needs, or needs are not known and/or decisions for sourcing activities are taken without considering or respecting them Score 2 to be reached by second year |
Importance Critical stepwise Applicability |
| Criteria 3.3: Criteria 3.3: Local development needs, as defined by producers and their local communities in the cultivation or collection areas, are supported. 3.3.2 When labour is hired for cultivation or wild collection activities, priority is given, to the extent possible, to workers from communities in cultivation or wild collection areas. |
The activity must support the local community whenever possible:
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DOCUMENTATION INTERVIEWS with producers: 0 - When local labour is hired for sourcing activities, priority is not given to people from communities in the vicinity of cultivation/collection sites. Score 2 to be reached by second year |
Importance Regular stepwise Applicability |
| Criteria 3.3: Criteria 3.3: Local development needs, as defined by producers and their local communities in the cultivation or collection areas, are supported. 3.3.3 Value addition in countries where cultivation or wild collection takes place is promoted. |
Value addition is created in countries where cultivation or wild collection takes place when opportunities are given to implement primary transformation of raw material in those countries.
Example of actions that can be taken to promote this:
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DOCUMENTATION INTERVIEWS 0 - No value addition to the ingredient in countries where cultivation or wild collection takes place is considered Score 2 to be reached by third year |
Importance Regular stepwise Applicability |
| Criteria 3.3: Criteria 3.3: Local development needs, as defined by producers and their local communities in the cultivation or collection areas, are supported. 3.3.4 Measures are in place to strengthen capacities of producers to adapt to changing climatological conditions, for example through income diversification. |
Measures to strengthen capacities of producers to adapt to changing climatological conditions include:
|
DOCUMENTATION INTERVIEWS 0 - There is no programme in place to strengthen the capacity of producers to adapt to changing climatological conditions, or threats to the sourcing activities are not known/assessed |
Importance Regular stepwise Applicability |
| Criteria 3.3: Criteria 3.3: Local development needs, as defined by producers and their local communities in the cultivation or collection areas, are supported. 3.3.5 Projects are in place to support producers, if required by local circumstances such as lack of living income. Such projects may entail technical or financial resources to support local livelihoods and capacities or advance other local development goals. |
Projects are to be in place when, despite the revenue generated from the activities included in the certification/verification, field operators and their households are not ensured adequate living conditions. The following elements should be considered to assess living conditions, among others: The need for the above above and other relevant aspects are assessed following 3.3.1 When living conditions are not adequate, projects shall be promoted or existing projects (if already in place) supported. Projects may concern: The OaS is responsible for promoting or supporting projects. To be adequate, project shall address one or more of the emerging priority needs and be commensurate to the business dimension of the OaS with the community. This indicator is applicable to the relationship between OaS and producers, when they're both involved in the scope of the assessment. If the OaS is the producer in the supply chain, this indicator is not applicable. |
DOCUMENTATION INTERVIEWS 0 - No projects in place Score 2 to be reached by third year |
Importance Critical stepwise Applicability |
| Criteria 3.4: Criteria 3.4: Use of raw material complies with legal requirements on access and benefit sharing (ABS) 3.4.1 Applicability of ABS legal requirements is defined for research, product development, commercialisation or other relevant activities involving natural raw materials |
DOCUMENTATION INTERVIEWS 0 - No awareness or information on ABS laws or regulations in region or country N/A - No ABS laws or regulations are in force in the country |
Importance Critical Applicability |
|
| Criteria 3.4: Criteria 3.4: Use of raw material complies with legal requirements on access and benefit sharing (ABS) 3.4.2 If ABS legal requirements apply, measures are taken to ensure necessary permits and agreements are in place, prior to undertaking further activities. |
DOCUMENTATION INTERVIEWS 0 - ABS legal requirements apply to activities, but no information or measures in place for compliance N/A - No ABS laws or regulations in force in the country OR requirements in ABS laws and regulations do not apply to activities Score 2 to be reached by third year |
Importance Critical stepwise Applicability |
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| Criteria 3.4: Criteria 3.4: Use of raw material complies with legal requirements on access and benefit sharing (ABS) 3.4.3 If ABS permits and agreements apply, activities are undertaken and benefits are shared in line with mutually agreed terms and, whenever possible, in a way to support local livelihoods and the conservation and sustainable use of biodiversity. |
DOCUMENTATION INTERVIEWS with competent authorities and other stakeholders in ABS permits or agreements: 0 - ABS permit or agreement in place, but OaS not complying with conditions N/A - No ABS laws or regulations in force in the country, or requirements in ABS laws and regulations do not apply to activities, or ABS permits or agreements not yet in place Score 2 to be reached by third year |
Importance Critical stepwise Applicability |
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| Criteria 3.5: Criteria 3.5: In cases where no legal requirements on ABS apply, the utilisation of genetic resources and associated traditional knowledge accessed from indigenous peoples and local communities respects ABS principles 3.5.1 Traditional knowledge, innovations and practices related to the natural raw material are known and respected. |
International agreements such as the Convention on Biological Diversity and the Nagoya Protocol call for respect of the rights of indigenous peoples and local communities over their resources, knowledge and innovations. In the UEBT standard, indicators such as 3.4.1 and 3.4.2 seek to ensure compliance with applicable legal requirements on access and benefit sharing (ABS), including those linked to prior informed consent and benefit sharing with indigenous peoples and local communities. This indicator seeks to further establish whether producers and their local communities hold traditional knowledge related to the natural raw material that may trigger responsibilities, and require good practices on ABS, for companies along the supply chain. | DOCUMENTATION INTERVIEWS with OaS: with producers and communities: 0 - No awareness of traditional knowledge N/A - Producers and populations in the cultivation or wild collection area are not considered nor consider themselves indigenous peoples or local communities or hold traditional knowledge, innovations or practices linked to the raw materials. Score 2 to be reached by third year |
Importance Critical stepwise Applicability |
Principle 4: Socio-economic sustainability (productive, financial and market management
| Criteria | Guidance | Evidence & Scoring | Importance & Applicability |
|---|---|---|---|
| Criteria 4.3: Criteria 4.3: Quality systems are aligned with market requirements 4.3.1 Quality requirements for the natural raw materials – both in countries where cultivation, wild collection or processing takes place and in target markets – are known. |
The maximum residue levels (MRLs) set by the countries where cultivation and processing take place and in the target market countries should be respected. | DOCUMENTATION INTERVIEWS 0 - Quality requirements are not known |
Importance Critical Applicability |
| Criteria 4.3: Criteria 4.3: Quality systems are aligned with market requirements 4.3.2 Procedures and practices are in place to meet the quality requirements in 4.3.1. |
DOCUMENTATION INTERVIEWS 0 -There are no procedures or practices in place to meet the market requirements for quality |
Importance Critical Applicability |
|
| Criteria 4.3: Criteria 4.3: Quality systems are aligned with market requirements 4.3.3 Mechanisms are in place to address quality deviations and continuous improvement processes. |
DOCUMENTATION INTERVIEWS OBSERVATION 0 - There are no mechanisms in place to address any deviations on quality |
Importance Critical Applicability |
|
| Criteria 4.3: Criteria 4.3: Quality systems are aligned with market requirements 4.3.4 Measures are taken during harvest and post-harvest activities to ensure the quality of the natural raw materials. Examples of measures are listed in the box below. |
Examples of measures are:
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DOCUMENTATION INTERVIEWS OBSERVATION 0 - There are no harvest and post-harvest measures to assure the quality of the natural raw material. |
Importance Critical Applicability |
| Criteria 4.4: Criteria 4.4: Traceability system is in place in line with market, certification and legal requirements 4.4.1 A documented traceability system is in place, with clear procedures, control points, record keeping processes, roles and responsibilities. |
DOCUMENTATION INTERVIEWS 0 - No traceability system |
Importance Critical Applicability |
|
| Criteria 4.4: Criteria 4.4: Traceability system is in place in line with market, certification and legal requirements 4.4.2 A product identification system is in place for natural raw materials that require segregation, such as natural raw materials that are certified or verified or subject to specific permits and authorisations. Records are kept of relevant sales and purchase documents, and the integrity of the product identification system is continuously monitored. |
Examples of practices within a product identification system are:
If the ingredients are processed/transformed in any way that affects the volumes, information is available on the conversion rates and volumes before and after completion of the process. This applies to any stage in the supply chain. The OaS makes available to the auditor at the annual audit an overview of the total annual volumes of certified or verified Ingredients (per ingredient) received, still in stock and the total volumes (per ingredient) sold as certified or verified. |
DOCUMENTATION INTERVIEWS OBSERVATION 0 - No product identification or keeping of sales and purchase |
Importance Critical Applicability |
| Criteria 4.4: Criteria 4.4: Traceability system is in place in line with market, certification and legal requirements 4.4.3 Upstream suppliers have systems in place that provide the required level of traceability. |
DOCUMENTATION INTERVIEWS OBSERVATION 0 - No functioning traceability system in place |
Importance Critical Applicability |
|
| Criteria 4.4: Criteria 4.4: Traceability system is in place in line with market, certification and legal requirements 4.4.4 In cultivation and wild collection sites, traceability systems identify farmers or pickers, the location of cultivation or wild collection, production volumes, and prices paid to producers. |
Copies of relevant documents (invoices, intake documents, delivery notes, etc.) of the purchases/sales of the ingredients subject to certification or verification are kept. Purchase records indicate the name of the field operator, date of delivery, name of the ingredient and volumes received. Sales documents clearly indicate whether the ingredient is certified or verified or verified and include name of the ingredient and volumes. Ingredients received as certified or verified or verified by the Oas are only those sourced from the field operators that are part of the programme and did not have a ‘suspended’ status due to non-conformities, breaches of contract, or other issues at the time of purchase. | DOCUMENTATION INTERVIEWS 0 - No functioning traceability system in place Score 2 to be reached by second year |
Importance Critical stepwise Applicability |
Principle 5: Compliance with national and international legislation
| Criteria | Edit | Guidance | Evidence & Scoring | Scoring guidance | Importance & Applicability |
|---|---|---|---|---|---|
| Criteria 5.1: Criteria 5.1: Activities respect laws and regulations that are applicable and relevant to Ethical BioTrade practices 5.1.1 Laws and regulations relevant to Ethical BioTrade practices have been identified. |
Laws and regulations include topics on:
|
DOCUMENTATION INTERVIEWS |
Scoring guidance
0 - Laws and regulations are not identified Score 2 to be reached by second year |
Importance Critical stepwise Applicability |
|
| Criteria 5.1: Criteria 5.1: Activities respect laws and regulations that are applicable and relevant to Ethical BioTrade practices 5.1.2 No evidence exists of ongoing or unresolved non-compliance with relevant laws and regulations, unless such laws or regulations have become obsolete through sustained non-enforcement or de facto tolerance by the authorities. |
Checking for non-compliance involves looking for any fines, complaints, etc., rather than checking for compliance. Some investigations before the audit may be necessary. | DOCUMENTATION INTERVIEWS |
Scoring guidance
0 - There is evidence of ongoing and unresolved non-compliance with relevant laws |
Importance Critical Applicability |
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| Criteria 5.1: Criteria 5.1: Activities respect laws and regulations that are applicable and relevant to Ethical BioTrade practices 5.1.3 In cases where national laws and regulations offer less protection for people or biodiversity than foreseen in this standard, additional measures are taken for compliance with the standard’s stricter requirements and the internationally recognized principles mentioned in 5.2.1. |
Scoring guidance
0 - National laws and regulations offer less protection and no additional measure is taken by the organisation |
Importance Regular stepwise Applicability |
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| Criteria 5.2: Criteria 5.2: Activities respect international agreements relevant to Ethical BioTrade practices 5.2.1 International agreements relevant to Ethical BioTrade practices, including the Convention on Biological Diversity (CBD), the Nagoya Protocol on Access and Benefit Sharing (ABS), Convention on International Trade in Endangered Species of Wild Fauna and Flora (CITES), International Labour Organisation (ILO) conventions, the UN Declaration on the Rights of Indigenous Peoples, the UN Declaration on the Rights of Peasants and Other People Working in Rural Areas and the UN Guiding Principles on Business and Human Rights (UNGPs), have been identified. |
DOCUMENTATION |
Scoring guidance
0 - International agreements are not identified |
Importance Regular Applicability |
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| Criteria 5.2: Criteria 5.2: Activities respect international agreements relevant to Ethical BioTrade practices 5.2.2 No evidence exists of ongoing or unresolved non-compliance with the principles of relevant international agreements, as well as decisions and guidelines adopted under these agreements – particularly if no relevant national laws or regulations exist or apply. |
Checking for non-compliance involves looking for any fines, complaints, etc, rather than checking for compliance. Some investigations before the audit may be necessary. | DOCUMENTATION INTERVIEWS |
Scoring guidance
0 - There is evidence of ongoing and unresolved non-compliance with principles of relevant international agreements |
Importance Critical Applicability |
Principle 6: Respect for rights of actors involved in BioTrade activities
| Criteria | Guidance | Evidence & Scoring | Importance & Applicability |
|---|---|---|---|
| Criteria 6.1: Criteria 6.1: Respect for human rights 6.1.1 There is no evidence of ongoing or unresolved infringement of human rights. |
Examples of human rights, as that term is understood in the UN Guiding Principles Reporting Framework and ILO conventions, to be taken into account in the assessment include:
|
INTERVIEWS DOCUMENTATON 0 - there is a clear evidence of ongoing or unresolved infringement of human rights and no actions or measures in place to act on them |
Importance Minimum requirement Applicability |
| Criteria 6.1: Criteria 6.1: Respect for human rights 6.1.2 A commitment is in place to respect human rights. The commitment applies to those people and groups that could be adversely impacted by sourcing activities along the supply chain (e.g. workers, contractors, communities in the cultivation and collection areas), with a focus on more vulnerable groups (e.g. women, children, indigenous peoples, illiterate farmers, seasonal workers and migrant workers). The commitment includes a description of human rights issues relevant to sourcing activities, as that term is understood in the UN Guiding Principles Reporting Framework. |
Vulnerable groups include women, children, indigenous peoples, illiterate farmers, seasonal workers and migrant workers.
This commitment is based on an assessment of actual and potential human rights impacts. Examples of human rights, as that term is understood in the UN Guiding Principles Reporting Framework and ILO conventions, to be taken into account in the assessment include:
UEBT definition of smallholder is 'small-scale agricultural producer that relies primarily on family or household labour or workforce exchange with other members of the community. A smallholder might hire temporary workers for seasonal tasks or even hire (a few) permanent workers when he or she and his or her family cannot do the work by themselves.' (source: UEBT standard 2020 and adapted from Rainforest Alliance) |
INTERVIEWS DOCUMENTATION 0 - There is no written commitment to avoid infringing on the human rights and addressing any adverse human rights impacts of actors involved or affected by sourcing and other supply chain activities Score 2 to be reached by second year |
Importance Critical stepwise Applicability |
| Criteria 6.1: Criteria 6.1: Respect for human rights 6.1.3 Policies and procedures are in place to implement commitments mentioned in 6.1.2 within the organisation and along its supply chains for natural raw materials, including through measures such as: |
It is important to specifically address in the policies and procedures the following topics:
See UEBT definition of 'smallholder' in 6.1.2 of this checklist or in the terminology section of the UEBT standard 2020. |
INTERVIEWS DOCUMENTATION 0 - There are no relevant processes and/or activities that have been implemented to address the commitments in 6.1.2 Score 2 to be reached by second year |
Importance Critical stepwise Applicability |
| Criteria 6.1: Criteria 6.1: Respect for human rights 6.1.4 Policies and procedures in 6.1.3 gather and assess information on actual and potential human rights impacts and foresee measures to address gaps and risks. To this end, policies and procedures consider the human rights due diligence process outlined in the UN Guiding Principles on Business and Human Rights. |
A local risk assessment process is able to identify, prevent and mitigate the potential issues on human rights and account for how the company addresses its adverse human rights impacts. The process is underpinned by engagement with potentially impacted stakeholders and other relevant stakeholders, proxies and experts. It includes the four steps of:
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INTERVIEWS DOCUMENTATION 0 - Policies and procedures in 6.1.3 do not gather and assess information on actual and potential human rights impacts and foresee measures to address gaps and risks Score 2 to be reached by second year |
Importance Critical stepwise Applicability |
| Criteria 6.1: Criteria 6.1: Respect for human rights 6.1.5 Measures are foreseen to deal with situations in which high risk of discriminatory or abusive practices is identified, including through assessments conducted under 6.1.4. Measures may include those listed in 6.1.3, as well as short term or urgent actions to safeguard the victim and secure information and assessment of further actions and services needed. |
Some measures include:
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INTERVIEWS DOCUMENTATION 0 - No measures are foreseen to deal with situations with high risk of discriminatory or abusive practices. Score 2 to be reached by second year |
Importance Critical stepwise Applicability |
| Criteria 6.1: Criteria 6.1: Respect for human rights 6.1.6 Effective channels for hearing concerns, complaints and grievances from potentially impacted stakeholders are in place. These entail the ability to provide adequate remedy to affected individuals. The effectiveness of channels is determined by reference to the effectiveness criteria for grievance mechanisms contained in the UN Guiding Principles on Business and Human Rights. |
The channels for hearing the impacted stakeholders may be different according to the complexity of the organisation. Different possible ways for hearing complaints are, for example:
|
INTERVIEWS DOCUMENTATION OBSERVATION 0 - There is no channel for hearing concerns, complaints and grievances from potentially impacted stakeholders Score 2 to be reached by third year |
Importance Regular stepwise Applicability |
| Criteria 6.2: Criteria 6.2: Children’s rights are respected 6.2.1 The minimum age for employment is 15 years, or higher if defined by national law. |
Some countries may adopt higher ages as minimum age for employment (i.e. 16-year-old) and in this case, the higher age defined by law is applied. Some countries may adopt lower ages as minimum age for employment (i.e. 14 years old) and in this case, the age contained in this standard prevails. This requirement applies to any kind of workers, including subcontracted workers. | INTERVIEWS DOCUMENTATION OBSERVATION 0 - There is a worker less than 15 years old in the scope assessed |
Importance Minimum requirement Applicability |
| Criteria 6.2: Criteria 6.2: Children’s rights are respected 6.2.2 Young workers may perform work which, by its nature or the circumstances in which it is carried out, is unlikely to harm the health, safety or morals of children. This means in particular that young workers are unable to perform work which takes place in a hazardous environment, is performed at night or over long hours (over 8 hours), is excessively difficult, or interferes with schooling or vocational orientation and training |
Young workers: workers between 15 and 18 years of age, performing non-hazardous and age-appropriate work, in line with ILO Conventions 138 and 182. This requirement applies to any kind of workers, including subcontracted workers. An up-to-date list of the young workers should be kept including: information on gender, age, wage, type of work, name and contacts of parents or legal guardians. | INTERVIEWS DOCUMENTATION OBSERVATION 0 - There are young workers performing work which, by its nature or the circumstances in which it is carried out, is likely to harm the health, safety or morals of children |
Importance Critical Applicability |
| Criteria 6.2: Criteria 6.2: Children’s rights are respected 6.2.3 Family labour involving children is only accepted if: |
Family labour involving children is always done in the perspective of the family context in their own farms/areas. Sometimes, one family can support another family in their own farms/areas in the community support context and this is acceptable if the rules of this criteria are met. One example of this support between families is when one family calls other families to work on their field for a certain duty one day and in the next time, they will all work on a field of a different family. Any work done by the children cannot jeopardize their physical well-being (e.g. they can never apply agrochemicals, activities involving climbing trees need to be avoided by children, etc). It is important to take the local context into consideration for the rules on children to be accompanied by an adult, for example sometimes the children may go alone to the crop to do some activities, because the crop is surrounding the house of the family and this can be acceptable if there is no risk to their physical well-being. | INTERVIEWS OBSERVATION DOCUMENTATION 0 - Children are performing work that is jeopardizing their physical and/or moral well-being and hindering their education and personal development while also not being accompanied by an adult |
Importance Critical Applicability |
| Criteria 6.2: Criteria 6.2: Children’s rights are respected 6.2.4 If workers are allowed to have children younger than the applicable minimum working age accompany them to the workplace, measures are in place to ensure the children: |
Sometimes, parents may need to bring their children younger than the applicable minimum working age to accompany them to the workplace, as there is no other option on where to leave them. When this happens and this is not related to the family labour activities (see 6.2.3), measures need to be taken to ensure their protection. | INTERVIEWS OBSERVATION 0 - Children younger than the applicable minimum working age accompany their parents to their workplace and no measures are taken in line with what is required in this indicator |
Importance Critical Applicability |
| Criteria 6.3: Criteria 6.3: Workers’ rights are respected 6.3.1 Wages of workers are paid at least in line with official minimum wage regulations, collective bargaining agreements, or other applicable official wage regulations. |
For production, quota or piece work, the payment must be at least the minimum wage based on a 48-hour work week or national legal working hours limit, whichever is lower. In countries where the minimum wage is not adjusted annually or regulated in a Collective Bargaining Agreement (CBA), it is adjusted yearly for inflation based on the national inflation rate. In-kind benefits cannot be valued and considered to reach the minimum official wage regulation, but they are additional benefits that can be valued and considered to aspire to a living wage. This requirement applies to any kind of contracted workers, including subcontracted workers. | INTERVIEWS DOCUMENTATION 0 - There are workers receiving less than the official minimum wage, collective bargaining agreements, or other applicable official wage regulations. |
Importance Minimum requirement Applicability |
| Criteria 6.3: Criteria 6.3: Workers’ rights are respected 6.3.2 Formal commitment and targets are in place to advance towards a living wage for workers. |
The UEBT preferred reference for living wage is the Global Living Wage Coalition (GLWC) and the Anker methodology. The total remuneration (wages as cash and in-kind benefits) should be assessed against a living wage benchmark in accordance with the GLWC.
As defined by the GLWC, a living wage is the remuneration received for a standard workweek by a worker in a particular place sufficient to afford a decent standard of living for the worker and her or his family. Elements of a decent standard of living include food, water, housing, education, health care, transportation, clothing, and other essential needs, including provision for unexpected events.
In-kind benefits can be valued and considered to reach a living wage benchmark or reference values. In-kind benefits are defined by the GLWC as non-monetary benefits such as food, transport, and housing that reduce the amount of cash income that workers need for a decent standard of living. A fair and reasonable value for in-kind benefits provided needs to be taken into consideration. What is considered valid are, for example: highly subsidised or donated food services, transport service from home to the workplace and vice versa, school supplies and uniforms, private medical services, and family housing, valued at a local rate opportunity. In-kind benefits cannot represent more than 30% of the total remuneration, as too great a reliance on non-monetary benefits hinders empowerment and free choice (reference: GLWC).
'Formal commitment' in this context will depend on the structure of each organisation and is not restricted to a documented (written) commitment. This can also consider organised meetings to discuss strategies towards living wages, internal policies dealing with this topic, group discussions for a sector-wide approach regarding decent living conditions, etc.
The following UEBT tools are available to help assess this criterion (contact us at certification@uebt.org for more information):
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INTERVIEWS DOCUMENTATION 0 - There is no commitment and/or targets in place to advance towards a living wage for workers and nothing done yet to understand the applicable living wage for the workers Score 2 to be reached by third year |
Importance Critical stepwise Applicability |
| Criteria 6.3: Criteria 6.3: Workers’ rights are respected 6.3.3 Wages are paid regularly and in legal tender, and there is no limitation on freedom of workers to receive and use their wages. |
Workers are paid regularly at scheduled intervals agreed both by the worker and the employer, but at least monthly.
This requirement applies to any kind of contracted workers, including subcontracted workers. There should be a list of all workers that includes information on gender, age, wage, employment contracts and payment terms. The payment record (e.g. pay slip) should include number of hours worked (regular and overtime), calculation of wages and deductions, other benefits and wages paid. An up-to-date list of workers is kept, containing: |
INTERVIEWS DOCUMENTATION 0 - Wages are not paid regularly and in legal tender, and/or there is limitation on freedom of workers to receive and use their wages |
Importance Critical Applicability |
| Criteria 6.3: Criteria 6.3: Workers’ rights are respected 6.3.4 Legal disciplinary measures are limited, balanced, and known by workers. If these measures are applied, this is documented and done transparently and with prior knowledge of workers involved. |
Disciplinary measures can only be implemented if in line with legislation. The measure(s) shall always be done with prior knowledge of workers. The process shall be transparent and documented. Records of termination of employment are kept including reasons for termination. This requirement applies to any kind of contracted workers, including subcontracted workers. | INTERVIEWS DOCUMENTATION 0 - Legal disciplinary measures are applied without prior knowledge of involved workers. They are not documented and transparent. |
Importance Critical Applicability |
| Criteria 6.3: Criteria 6.3: Workers’ rights are respected 6.3.5 There is no evidence that workers are denied the right to join a union or to create or participate in workers’ committees as defined by ILO. Where the law restricts the right to freedom of association and collective bargaining, steps are taken to enable parallel means of independent and free association. |
It is recommended that this right is informed in writing, for example in the employee handbook or any other written procedures or policies. Additional guidance includes:
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INTERVIEWS DOCUMENTATION 0 - Where the law does not restrict workers of such rights, there is evidence that workers are denied the right to join a union or to create or participate in workers’ committees. |
Importance Critical Applicability |
| Criteria 6.3: Criteria 6.3: Workers’ rights are respected 6.3.6 Workers are informed in writing, local language and understandable manner of the job conditions related to their work, including their job position, working hours, level of wages, payment of wages, legal rights and duties, sick leave, and permitted vacations. Workers agree with proposed conditions. |
The agreement is signed by the employer and worker and a copy is given to the worker. Some standard employment clauses that are applicable to all types of workers can also be found in the employment manual as long as workers have access to the employment manual.
If the position may require overtime, the overtime pay rate should be indicated.
The principle of equal remuneration for men and women workers for work of equal value applies.
When labour is subcontracted, there is a written contract and documented oversight mechanisms in place ensuring that the sub-contractors are:
|
INTERVIEWS DOCUMENTATION 0 - Workers are not informed in written about the job conditions related to their work, including their job position, working hours, level of wages, payment of wages, legal rights and duties, sick leave, and permitted vacations |
Importance Critical Applicability |
| Criteria 6.3: Criteria 6.3: Workers’ rights are respected 6.3.7 For smallholders employing seasonal workers, employment conditions are at least verbally agreed upon. Whenever possible, steps are taken to move toward having written agreements with seasonal workers, as is done with other workers. |
The verbally agreed conditions are at minimum: wages and working time. | INTERVIEWS DOCUMENTATION 0 - employment conditions are not verbally agreed upon with workers |
Importance Critical Applicability |
| Criteria 6.3: Criteria 6.3: Workers’ rights are respected 6.3.8 Long-term positions and/or contracts are offered to workers wherever possible. Casual or day labour is used only for jobs that are truly temporary or seasonal. Steps are taken to move toward converting short-term workers to long- term workers wherever possible. |
Level of documented information in this indicator depends on the level of complexity of the related supply chain (i.e., it is not expected that smallholders have documents for this requirement). Casual or day labour work should not represent more than 20% of the total workforce (not relevant in case of wild harvest or in cultivation when it is the harvest pick that drives the most important part of the workforce compare to the rest of the year). | INTERVIEWS DOCUMENTATION 0 - no long-term positions and/or contracts are offered to workers when it is possible. Casual or day labour is used as main workforce. No steps are taken to move toward converting short-term workers to long-term workers wherever possible Stepwise: (Min) Score 2 to be reached from the 3rd audit |
Importance Regular stepwise Applicability |
| Criteria 6.3: Criteria 6.3: Workers’ rights are respected 6.3.9 Subcontracting workers is accepted when it can be demonstrated that it is done on a limited, justifiable and responsible basis or it is not possible to contract the worker directly. In addition, a plan must be in place for reducing this practice. |
Subcontracted workers should enjoy same benefits as the workers contracted directly (i.e. wages, PPE provision, etc.) Level of documented information in this indicator depends on the level of complexity of the related supply chain (i.e. it is not expected that smallholders have documents for this requirement). | Interviews Documentation 0 - Workers are mainly subcontracted even when the employer is able to contract them directly. In addition, there is no plan in place for reducing this practice |
Importance Regular Applicability |
| Criteria 6.3: Criteria 6.3: Workers’ rights are respected 6.3.10 Training programs and career development opportunities to workers are promoted whenever possible. |
This may be achieved through the implementation of a staff training plan, or staff internal rotational programs, etc. This requirement is not applicable to smallholders and small (familiar) organizations. | Interviews Documentation 0 - No training programme, and career development opportunities to workers are not promoted Score 2 to be reached by third year |
Importance Regular stepwise Applicability |
| Criteria 6.3: Criteria 6.3: Workers’ rights are respected 6.3.11 Deductions from wages such as social security, can only be made if permitted by national law or collective bargaining agreement. Voluntary wage deductions such as advance payments, union membership fees, or loans are only made with written or verbal consent of the worker. Deductions for work-related tools, equipment or gear are not made, unless expressly permitted by law. In-kind benefits are in accordance with national law but cannot exceed 30% of the total remuneration. |
This requirement applies to any kind of contracted workers, including subcontracted workers. | INTERVIEWS DOCUMENTATION 0 - Even when required by national legislation, social security is not provided to workers OR legal deductions and contributions are not in line with national legislation OR voluntary wage deductions such as advance payments, union membership fees, or loans are only made without written or verbal consent of the worker |
Importance Critical Applicability |
| Criteria 6.3: Criteria 6.3: Workers’ rights are respected 6.3.12 If no contribution to social security, including health insurance and retirement funds, is required by law, a minimum level of benefits is ensured whenever possible. |
This requirement applies to any kind of contracted workers, including subcontracted workers. | INTERVIEWS DOCUMENTATION 0 - Although there is no social security required by law, a minimum level of social security and benefits is not ensured to workers |
Importance Regular Applicability |
| Criteria 6.3: Criteria 6.3: Workers’ rights are respected 6.3.13 Regular working hours for workers are in line with national legislation and do not exceed 48 hours per week, with workers having at least one day (24 consecutive hours) of rest after six working days and minimum of 30 minutes of break after six working hours. |
Records are to be kept for workers´ working hours. This requirement applies to any kind of contracted workers, including subcontracted workers. | INTERVIEWS DOCUMENTATION 0 - Regular working hours for workers are not in line with national legislation and/or exceed 48 hours per week |
Importance Critical Applicability |
| Criteria 6.3: Criteria 6.3: Workers’ rights are respected 6.3.14 Regular working hours of guards/watchmen do not exceed 56 hours per week on average per year. |
Records are to be kept for workers´ working hours. This requirement applies to any kind of contracted workers, including subcontracted workers. | INTERVIEWS DOCUMENTATION 0 - Regular working hours of guards/watchmen exceed 56 hours per week on average per year |
Importance Critical Applicability |
| Criteria 6.3: Criteria 6.3: Workers’ rights are respected 6.3.15 Overtime work for workers is permitted under the following conditions: |
This requirement applies to any kind of contracted workers, including subcontracted workers. All overtime should be always voluntary. Approval for exceptional circumstances must be received in advance by UEBT. | INTERVIEWS DOCUMENTATION 0 - Overtime often exceeds 12hours/week, and it is not an exceptional circumstance, it is not compensated according to national legislation, there is evidence of increased health risks and no records kept of the hours worked Score 2 to be reached by second year |
Importance Critical stepwise Applicability |
| Criteria 6.3: Criteria 6.3: Workers’ rights are respected 6.3.16 There are specific channels in place for hearing concerns, complaints and grievances from workers. Concerns are addressed in a transparent, open and timely manner, with participation of all relevant actors. |
Workers can share concerns and complaints by various means, including:
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INTERVIEWS DOCUMENTATION OBSERVATION 0 - There are no specific channels in place for hearing concerns, complaints and grievances from workers Score 2 to be reached from the second audit |
Importance Critical stepwise Applicability |
| Criteria 6.3: Criteria 6.3: Workers’ rights are respected 6.3.17 Pregnant workers receive maternity leave and other benefits in line with national legislation. They can return to their job after maternity leave on the same terms and conditions and without discrimination, loss of seniority or deduction of wages. |
Women can return to their job after maternity leave on the same terms and conditions and without discrimination, loss of seniority or deduction of wages.
Workers who are pregnant, nursing or have recently given birth are offered flexible working schedules and work site arrangements. Nursing space must:
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INTERVIEWS DOCUMENTATION 0 - Even when required by law, pregnant workers don't get maternity leave OR even when required by law, pregnant workers get maternity leave but not in line with the the law |
Importance Critical Applicability |
| Criteria 6.3: Criteria 6.3: Workers’ rights are respected 6.3.18 If there are no legal requirements for pregnant workers as defined in 6.3.17, a minimum level of benefits is ensured by the employer |
This requirement applies to any kind of contracted workers, including subcontracted workers. | INTERVIEWS DOCUMENTATION 0 - Pregnant workers don't get any benefits, even if it is not required by law |
Importance Regular Applicability |
| Criteria 6.4: Criteria 6.4: Health and safety conditions 6.4.1 Critical Conditions are in place for a strong health and safety culture. Workplaces, machinery, equipment and processes are safe for workers and producers. |
Machinery is well guarded. Machinery is serviced regularly (following what is defined by the manufacturer). This requirement applies to any kind of contracted workers, including subcontracted workers. | INTERVIEWS DOCUMENTATION OBSERVATION 0 - Workplaces and machinery, equipment and processes are not safe for workers and producers |
Importance Critical Applicability |
| Criteria 6.4: Criteria 6.4: Health and safety conditions 6.4.2 There are measures in place to understand and act upon workers and producers’ health and safety risks. For workers, these measures include: |
Workers are part of the process of understanding and acting on measure to address health and safety risks. Workers who regularly handle hazardous agrochemicals receive a medical examination at least once a year. In case of regular exposure to organophosphates or carbamate pesticides, the examination includes cholinesterase testing. Workers have access to the results of their medical examination. This requirement applies to any kind of contracted workers, including subcontracted workers. In case of injury or death during the work (for workers), the medical expenses are covered by the employers and a specific assessment is put in place to avoid replication of the incident. However, where social security, health insurance or existing laws addresses these subject matters, they should be adhered to. | INTERVIEWS DOCUMENTATION OBSERVATION 0 - There are no measures in place to understand and act upon the workers' and producers' health and safety risks OR (for workers) in case of injuries or death during the work, the medical expenses are covered by the employers and a specific assessment is put in place to avoid replication of the incident. However, where social security, health insurance or existing laws addresses these subject matters, they should be adhered to. |
Importance Critical Applicability |
| Criteria 6.4: Criteria 6.4: Health and safety conditions 6.4.3 Personal protective equipment (PPE) is available and used in a manner adequate to prevent risks of accidents or adverse effects on producers and workers’ health. Measures are in place to ensure that PPE is used. |
Personal protective equipment (PPE) is specialised clothing or equipment worn by workers and producers for protection against health and safety hazards. It is designed to protect many parts of the body, such as eyes, head, face, hands, feet, and ears. It includes mechanisms for protection from noise, dust, light, exposure to chemicals, etc. PPEs should have the same quality for all categories of workers that are exposed to the same type of risk. PPEs should be provided to workers free of charge. For producers, the setup can be different. Measures to ensure use of PPEs may be (among others): raising awareness among workers and producers; having surveillance to make sure the workers and producers use PPEs; having signs in facilities to clearly show which PPEs are required to be used, etc. This requirement applies to any kind of contracted workers, including subcontracted workers. | INTERVIEWS DOCUMENTATION OBSERVATION 0 - There is no measures in place to ensure the use of PPE to prevent risks of accidents or adverse effects on health. PPEs are not used |
Importance Critical Applicability |
| Criteria 6.4: Criteria 6.4: Health and safety conditions 6.4.4 First aid equipment is available, and safety instructions and procedures for accident prevention are in place. |
The first aid equipment should have clear instructions for use (or at least one worker knowing how to use it is always present). Natural/herbal remedies that are known to work are accepted. This requirement applies to any kind of contracted workers, including subcontracted workers. | INTERVIEWS DOCUMENTATION OBSERVATION 0 - First aid equipment is not available, and/or safety instructions and procedures for accident prevention are not in place |
Importance Critical Applicability |
| Criteria 6.4: Criteria 6.4: Health and safety conditions 6.4.5 If relevant, fire protection and emergency equipment and procedures are in place and producers and workers are trained to apply them. |
This requirement applies to any kind of contracted workers, including subcontracted workers. | INTERVIEWS DOCUMENTATION OBSERVATION 0 - Fire protection and emergency equipment and procedures are not in place and/or workers and producers are not trained accordingly on how to use them |
Importance Critical Applicability |
| Criteria 6.4: Criteria 6.4: Health and safety conditions 6.4.6 Accidents and near misses are monitored and investigated, and corrective measures are put in place to address their root cause. |
This requirement applies to any kind of contracted workers, including subcontracted workers. | INTERVIEWS DOCUMENTATION OBSERVATION 0 - Accidents and near misses are not monitored and investigated Score 2 to be reached by second year |
Importance Regular stepwise Applicability |
| Criteria 6.4: Criteria 6.4: Health and safety conditions 6.4.7 Potential hazardous work, including the handling of chemicals, is not done by pregnant women, nursing mothers and persons below 18 years of age. |
This requirement applies to any kind of contracted workers, including subcontracted workers. Potentially hazardous work includes but is not limited to handling/spraying of chemicals, use of heavy machines, or hot temperature processes, among others. | Interviews Observation 0 - Potential hazardous work is done by pregnant women, nursing mothers and young persons (below 18 years old), including the handling of chemicals |
Importance Critical Applicability |
| Criteria 6.4: Criteria 6.4: Health and safety conditions 6.4.8 High-risk activities (e.g. chemical handling and application, operation of hazardous machinery) is only undertaken by people that have received adequate training. |
Examples of high-risk activities include chemical handling and application or hazardous machinery. Training topics may include storage, environmental safety, safety to humans and other precautions. This requirement applies to any kind of contracted workers, including subcontracted workers. | Interviews Documentation Observation 0 - High-risk activities are undertaken by people that have not received adequate training |
Importance Critical Applicability |
| Criteria 6.4: Criteria 6.4: Health and safety conditions 6.4.9 Chemicals and the equipment used for their application are stored in a safe manner, and the storage place is only accessible to authorised and trained people. |
Safe manner means:
|
Interviews Observation 0 - Chemicals and equipment used for spraying are not stored in a safe manner and/or the storage place is not accessible to only authorized and trained people |
Importance Critical Applicability |
| Criteria 6.4: Criteria 6.4: Health and safety conditions 6.4.10 Empty agrochemical containers are triple rinsed and punctured after use. The containers are not reused for food, water, or other purposes that could cause health or environmental risks. Empty agrochemical containers are disposed of through a collection and recycling program, or through another safe way. |
INTERVIEWS OBSERVATION 0 - Empty agrochemical containers are not triple rinsed and punctured after use and/or the containers are reused for food, water, or other purposes that could cause health or environmental risks OR: empty agrochemical containers are not disposed of through a collection and recycling program, or another safe way |
Importance Critical Applicability |
|
| Criteria 6.4: Criteria 6.4: Health and safety conditions 6.4.11 Prohibited, obsolete and expired agrochemicals are returned to the seller or local authority. |
When no collection, return or disposal system is available or accessible, obsolete pesticides are securely stored or disposed of in a manner that minimizes exposure to humans, the environment and food products. | INTERVIEWS DOCUMENTATION OBSERVATION 0 - Prohibited, obsolete and expired agrochemicals are kept and not returned to the supplier or local authority |
Importance Critical Applicability |
| Criteria 6.4: Criteria 6.4: Health and safety conditions 6.4.12 Where housing for permanent, migrant, seasonal, temporary or former workers or for pickers is offered, structural safety and reasonable levels of decency, privacy, security and hygiene, and regular upkeep and improvement of housing and related communal facilities are ensured. If sanitary facilities are shared, toilets and bathing facilities with clean water are available in a quantity that is reasonable for the number of users and in line with regional practice. |
This requirement applies to any kind of contracted workers, including subcontracted workers. Workers and their families that are housed or lodged on-site have safe, clean and decent living quarters considering local conditions. This includes for example:
Location and construction:
Health and Hygiene: a) the number of toilets or Ventilated Improved Pits (VIP), urinals, handwash facilities and shower/bathroom facilities: 1 unit of each for a maximum of 15 persons. Handwash facilities must consist of a tap and basin. b) safety and privacy of vulnerable groups are ensured, at least by well-lit and lockable facilities. Sanitary facilities are located within the same buildings, or at a safe distance from the buildings (no more than 60 meters from rooms/dormitories) and provided separately for men and women c) adequate closed-sewage or pit latrines, sanitation and garbage disposal facilities are in place d) cooking areas with smoke ventilation e) enough lighting (daylight and artificial) f) dry floors; raised from ground level, either of cement, stone, tile, wood, or clay (the latter only if sealed and levelled) g) pest control; absence of rats, mice, insects, and vermin, or conditions that favour their populations that could cause disease or carry parasites that function as vectors of diseases Comfort and Decency: |
INTERVIEWS OBSERVATION 0 - Houses provided to the workers don't ensure structural safety and reasonable levels of decency, privacy, security and hygiene, and regular upkeep and improvement. OR: if sanitary facilities are shared, a reasonable number of toilets and bathing facilities with clean water per number of users, and according to regional practice, are not available Score 2 required by second year |
Importance Critical stepwise Applicability |
| Criteria 6.4: Criteria 6.4: Health and safety conditions 6.4.13 Drinking water and clean toilets with hand washing facilities are always accessible for workers, and clean showers are guaranteed for workers that handle agrochemicals. |
Workers handling agrochemicals should use the provided facilities to change, shower and wash clothes after application, and they should be separated from other workers' facilities. This requirement applies to any kind of contracted workers, including subcontracted workers. | INTERVIEWS OBSERVATION 0 - there is no clean water and/or clean toilets with washing facilities and/or clean showers (for workers that handle agrochemicals) available to workers. |
Importance Critical Applicability |
| Criteria 6.4: Criteria 6.4: Health and safety conditions 6.4.14 There is compensation for occupational injuries in accordance to national legislation. |
This requirement applies to any kind of contracted workers, including subcontracted workers. | INTERVIEWS DOCUMENTATION 0 - There is compensation for occupational injuries of workers in accordance with legislation |
Importance Critical Applicability |
Principle 7: Clarity about land tenure, right of use and access to natural resources
| Criteria | Guidance | Evidence & Scoring | Importance & Applicability |
|---|---|---|---|
| Criteria 7.1: Criteria 7.1: Disputes over ownership or use of land and natural resources are addressed. 7.1.1 Information is available on disputes in cultivation or collection sites, including over rights of use of land, tenure rights and rights on other natural resources, such as water. |
Some previous investigations on status of lands and water use in the area etc. The producers have legal and legitimate right to use the land. This could be through title deeds, leasehold, traditional or customary use rights. | INTERVIEWS DOCUMENTATION 0 - There is no information on disputes but during interviews the auditor determines disputes do exist N/A - There have never been any disputes and no evidence exists or is seen pointing to any disputes |
Importance Critical Applicability |
| Criteria 7.1: Criteria 7.1: Disputes over ownership or use of land and natural resources are addressed. 7.1.2 Disputes, as identified in 7.1.1, are actively monitored and attempts at conflict resolution are supported where possible. |
INTERVIEWS DOCUMENTATION 0 - Ongoing disputes exist and these are not monitored nor have there been any attempts at conflict resolution Score 2 to be reached by third year |
Importance Critical stepwise Applicability |
|
| Criteria 7.2: Criteria 7.2: The rights and traditional practices of indigenous peoples and local communities are respected 7.2.1 The rights of indigenous peoples and local communities to own, use, and control lands, territories and resources in cultivation or collection sites, including the right to free, informed and prior consent, are identified and respected as recognized in the ILO Convention 169 on Indigenous and Tribal Peoples, the United Nations Declaration on the Rights of Indigenous Peoples, the United Nations Declaration on the Rights of Peasants and Other People Working in Rural Areas, and national and customary laws. |
The producers have legal and legitimate right to use the land. This could be through title deeds, leasehold, traditional or customary use rights. There is respect for legal and customary rights of indigenous peoples and local communities. Activities diminishing the land or resource use rights or collective interests of indigenous peoples and local communities, are conducted only after having received free, prior and informed consent (FPIC). | DOCUMENTATION INTERVIEWS 0 - Rights of indigenous people and local communities are not known/have not been identified or they have been identified are not respected across all of the relevant laws |
Importance Critical Applicability |
| Criteria 7.2: Criteria 7.2: The rights and traditional practices of indigenous peoples and local communities are respected 7.2.2 Cultural, environmental and social concerns and interests of indigenous peoples and local communities, including women, children and other vulnerable groups, in cultivation and wild collection areas are taken into account. |
There is evidence that these groups have been consulted and their views and concerns considered and supported especially on activities likely to affect them. | INTERVIEWS DOCUMENTATION 0 - Sourcing activities do not take into account any of these groups and/or concerns/interests Score 2 to be reached by second year |
Importance Critical stepwise Applicability |
| Criteria 7.2: Criteria 7.2: The rights and traditional practices of indigenous peoples and local communities are respected 7.2.3 Traditional practices and uses of biodiversity in cultivation and wild collection areas that are compatible with conservation and sustainable use, are respected and encouraged |
This is specifically practicing for the crop being cultivated or collected in the scope of certification/verification. | INTERVIEWS 0 - There is no awareness of such practices and uses OR: there is some awareness, but no efforts made towards respecting or encouraging them, or compensating for them |
Importance Regular Applicability |
| Criteria 7.3: Criteria 7.3: Sourcing activities do not jeopardize local food security 7.3.1 The potential impact of sourcing activities on local food security is monitored |
Water for human consumption is also considered for this indicator. | DOCUMENTATION 0 - Potential impact has not been assessed; no knowledge of food security N/A - No impact on local food security Score 2 to be reached by third year |
Importance Critical stepwise Applicability |
| Criteria 7.3: Criteria 7.3: Sourcing activities do not jeopardize local food security 7.3.2 When necessary, actions are implemented to avoid or reverse any negative impact on local food security. |
Water for human consumption is also considered for this indicator. | INTERVIEWS OBSERVATION 0 - There is evidence that sourcing activities represent a risk for food security, but no measures have been taken to mitigate this/avoid negative impacts or reverse them Score 2 to be reached by third year |
Importance Critical stepwise Applicability |