Guide for designing and documenting a social
and environmental management system
This material is a production of the regional project “Conservation of biodiversity in coffee: Transforming productive practices in the coffee growing sector to increase demand for certified sustainable coffee,” spon-sored by the United Nations Development Programme (UNDP) and the Global Environment Facility (GEF) and executed by the Rainforest Alliance and Partners of the Sustainable Agriculture Network.
The material was also supported by the regional proj-ect on “Strengthening existing sustainable agriculture initiatives in the CAFTA-DR Region,” sponsored by the United States Department of State. The opinions, find-ings and conclusions expressed in this material are those of the author and do not necessarily reflect the opinions of the United States Department of State.
Editing:
Hugo Álvarez Vargas, Consultant for Rainforest Alliance
Wilfredo Rodríguez Callejas, Consultant for Salvanatura
Technical direction:
Sandy Vargas Rubí
Training Specialist for Latin America
Rainforest Alliance
Graphic design:
Priscila Coto Monge
Cover illustration:
Vicky Ramos
Photographs:
© Rainforest Alliance
v
Foreword
his Guide has been developed to enhance the preparation of a Social-Environmental Management System (SEMS) as part of the requirements for Principle 1 –Social and environmental management system– of the Sustainable Agriculture Network’s (SAN) Sustainable Agriculture Stan-dards. his Guide is an explanatory document that describes the steps for designing a SEMS through the use of texts, photos, diagrams, drawings, and templates and/or record forms that can be used or adapted by the pro-ducers, technicians, administrators and other implementers of the SEMS on candidate farms to attain or maintain certiication.
he Guide was designed for use on individual farms or farms that unite a group of organized agricultural producers. he level of detail or complexity of the Guide will mainly depend on the size of the productive unit (small, medium-size or large farms) and the crop’s technological management system, as in the cases of small family farms with simple or “household” technologies or large farms with extensive use of inputs and highly indus-trialized and sophisticated processes. It is therefore hoped that this Guide can be adapted to the wide range of productive agricultural systems present in the Neotropics (from Mexico to Brazil) that voluntarily want to comply with the principles of the Sustainable Agriculture Network and obtain the international recognition of the Rainforest Alliance CertifiedTM seal.
his material complements in greater detail the aspects presented in Chapter 1 of the Implementation Guide for the Sustainable Agriculture Standards, which was also prepared by Rainforest Alliance and the SAN partners in 2010.
vi
Foreword ...iii
General contents ...iv
Índice de anexos ...vi
Introduction ...1
1. Guide to designing the social and environmental management system ...1
2. he management cycle and the SAN concept of continuing improvement ...2
3. General structure of the social and environmental management system ...5
Development of the Social and environmental management system ...9
1. Deining the general policies ...9
2. Regulatory framework for certiication and the management system ...13
3. Structure and personnel responsible for applying the SEMS .15 4. List of basic programs for the SEMS ...16
5. General budget or main investments ...17
6. Managerial commitment (Criterion 1.3 of the Standards) ...18
vii
7. Summary of the social and environmental management
system (Criterion 1.4 of the Standards) ...19
8. Archive for the documentation that comprises the SEMS (Criterion 1.5 of the Standards) ...20
9. Preparation of the farm sketch or maps (Criterion 1.2 “e” of the Standards) ...24
10. Description of the SEMS programs ...25
Development of programs for the social and environmental management system ...27
1. Program for monitoring and continuing improvement ...27
2. Program for training, environmental education and hygiene for personnel ...32
3. Program for the evaluation of providers ...35
4. Program for chain of custody ...36
5. Program for ecosystem conservation and wildlife protection ..40
6. Program for water conservation and sound use ...42
7. Program for occupational health and safety ...45
8. Program for integrated pest and disease management ...48
9. Program for soil erosion prevention and control ...53
viii
1. Checklist ...62
2. Summary of indings or “non-conformities” ...75
3. Action plan or improvement plan ...77
4. Six-month timetable of activities ...79
5. List of possible topics for training ...80
6. Records for training activities ...83
7. Evaluation of the farm’s providers (contractors) ...84
8. Evaluation of farm providers (farm inputs) ...86
9. Records for chain of custody ...88
10. Processed product control form ...89
11. Stored product control form ...90
12. Inventory of animal sightings on the farm ...91
13. Inventory of farm trees ...92
14. Classiication of trees on farm ...93
15. Evaluation of vegetation in protection zones ...94
16. Record of trees and shrubs planted ...95
ix
17. Daily record of water consumption and recirculation ...96
18. Work accident record ...97
19. Procedure for the transport of agrochemicals ...98
20. Procedures for emergencies when transporting agrochemicals ...99
21. Requirements for agrochemical storage ...100
22. Timetable for pest and disease control in cofee crops ...102
23. Record of pests and diseases in crops ...104
24. Chemical pest and disease control records ...105
25. Records on agrochemicals bought or purchase orders ...106
26. Records of agrochemicals applied ...107
27. Record of people applying agrochemicals ...108
28. Timetable for the soil erosion prevention and control program ...109
1
Introduction
1. Guide to designing the social
and environmental management system
he April 2009 version of the Sustainable Agriculture Standards of the Sustainable Agriculture Network (SAN), hereafter referred to as “the Stan-dards”, presents a total of ten principles made up of 94 criteria that must be met to achieve sustainability. Of these, 14 criteria are critical and full compliance with these is obligatory.
According to SAN policies, the Standards are applicable to the evaluation and certiication of 100 diferent crops and ive that are included in an “ ad-dendum” (oil palm, sugarcane, soybean, peanut and sunlower). At present, of the 100 crops, the ones for which certiication is most often requested in Latin America include cofee, banana, cacao and ornamental plants such as lowers, ferns and other foliage types.
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compliance with this principle. Poor understanding and improper interpre-tation by the implementers are among the main causes for this, along with a lack of ideas and practical examples on how to comply with the criteria of the Standards. hese are some of the main reasons why the Rainforest Alliance is making this Guide for designing and documenting a social and envi-ronmental management system available to interested parties and the general public.
Consequently, it is hoped that this Guide will allow the implementers go beyond simple documentation toward making a farm or group of farms eicient in planning, executing and achieving their goals; helping them de-ine social and environmental policies; and developing programs for train-ing, continuing improvement and ensuring traceability in accord with the requirements of Principle 1 of the Standards.
2. The management cycle
and the SAN concept
of continuing improvement
Generally, the social and environmental management system is meant to help a farm work on Continuing Improvement toward sustainability in its productive processes, gradually complying with the criteria of the Stan-dards that will lead to its recognition as a farm certiied by the SAN. his concept of continuing improvement is achieved through the Management Cycle, whose steps are cyclical like the numbers on a clock. It includes the assessment of activities in which weaknesses are identiied in the produc-tive process regarding compliance with the Standards, the planning and programming of corrective measures, the implementation of the measures, and inally, the control or monitoring of compliance with respect to the proposed goals.
Int
In the assessment phase, the farm is evaluated using audits that can be con-ducted internally or externally. In this stage, an internal audit is carried out by the farm’s own personnel and this is called a first-party audit. If the audit is done by members of the cooperative, product buyers or others interested parties outside of the farm, it is known as a second-party audit. In the latter case, when the audit is done by personnel with no relationship to the farm, association or cooperative, it is known as an external audit or third-party audit because it is carried out by an “independent third party.” hird-party audits are carried out by SAN members for the purposes of attaining or maintaining certiication.
During the assessment stage, the implementer will discover that not all the criteria of the Standards apply to the crop evaluated, because some are spe-ciic for agroforestry crops (crops like cofee and cacao that are combined with shade trees) while others only apply to monocultures in full sun like banana and pineapple. In other cases where crops are grown “organically”, it will be found that criteria regarding the use of agrochemicals seldom apply. In any case, the objective of the assessment stage is to develop a list of “indings or weaknesses” to determine which activities require improve-ments with respect to the Standards. Later this will take us to the stages for organization and planning of the necessary corrective actions.
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his phase is for planning the way that the indings encountered will be corrected. he idea is to develop an Action Plan or Improvement Plan that describes what must be done, the time period, the person in charge and how much the activity will cost. Once the decision has been made to assign resources for making improvements, the farm enters the implementation stage.
Implementation
During this phase, the activities programmed in the planning phase are executed using the resources assigned.
In general, the corrective actions generated by the farms or groups evalu-ated against the Standards are going to require improvements in the ield, in infrastructure, in the product processing system, and in the documentation that backs up the development of the productive activity. Fundamentally, as we shall see further on, the improvement process will require imple-menting training and education actions with the personnel involved in crop management, and the topic of training will be essential for achieving con-tinuing improvement on a certiied farm or group of farms.
Control or monitoring
Control or monitoring is the last stage of the cycle where compliance with what was programmed and what was implemented is evaluated. he ef-fectiveness of the corrective actions selected for meeting the criteria of the Standards is also evaluated.
Following this stage, the process continues giving rise to a new cycle of identifying new indings or weaknesses and so on successively until ensur-ing that the goal of sustainability is beensur-ing achieved under the conditions of time and resources available for the farm.
Int
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3. General structure of the social and
environmental management system
A documented social and environmental management system (SEMS) can have diferent sections depending on the size, intensity or level of techno-logical management of the farm or group. In any case and in accord with the requirements of certiication, it will be necessary to at least describe the main elements for compliance with the ten criteria that comprise Principle 1 of the Standards.
In a broader sense and without afecting the functionality of the SEMS, this makes it possible to present it in two large groups to facilitate its com-prehension, implementation and above all, documentation. herefore, the requirements of the Standards can be organized into topics on planning/ administration and operation.
Planning and administration aspects
Operational aspects
The documented SEMS should include the following sections as a minimum:
Toward sustainability
Continuing
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SEMS planning
and administration aspects
1. General policies:
Consider the objectives, scope and validity of social and
environ-•
mental policy.
If desired, for large or more complex farms or groups, vision and
•
mission can be included1.
2. General conditions for certiication:
Recognize the SAN policies and speciic standards as well as
natio-•
nal legislation and international agreements that are applicable to the farm or group.
3. Structure and personnel responsible for applying the SEMS:
Deine the personnel in charge such as the farm landowner or
pro-•
ducer, the administrator, manager, technicians, advisors, supervi-sors, and the organizational chart in cases where hierarchies are more complex.
4. List of the basic programs of the SEMS:
Make a list of at least four basic programs for continuing improvement,
•
and six operational programs necessary for complying with Principles 2 to 10 of the Standards.
5. General budget or principal investments:
Describe the general core budget for the implementation of the main
•
activities of the SEMS.
6. Managerial commitment:
Deine the commitment of the farm landowner or producer, and the
•
general manager or the legal representative, with respect to compliance with the policies, standards and programs of the SEMS.
1 The Guide for the Implementation of the Sustainable Agriculture Standards mentions how to prepare the “Vision and Mission” concepts.
Int
For medium-size and large farms, a summary of the SEMS should be
•
prepared for outreach to the workers and those in charge of areas and the general public.
8. Archive of the documentation that integrates planning and administra-tion; and the operational management of the SEMS.
9. Preparation of sketches or maps.
Operational aspects of the SEMS
Detailed description of the programs and procedures for the SEMS:
Describe the basic programs for continuing improve-ment and other eleimprove-ments required by Principle 1, as well as the operational programs needed to comply with Principles 2 to 10 of the Standards.
Programs for complying with Principles 2 to 10
5. Ecosystem conservation and wildlife pro-tection program.
7. Occupational health and safety program. 8. Integrated pest and disease management
program.
9. Soil erosion prevention and control program.
10. Integrated waste management program for farm wastes.
Programs required by Principle 1
1. Monitoring and continu-ing improvement. 2. Training, environmental
9
Development of the Social and
environmental management system
Once the general structure of the SEMS required by the Standards has been deined, you can then proceed with the development stage. In this chapter of the Guide, a more precise idea is given about how to formulate all the documents that comprise the SEMS.
1. Deining the general policies
When you start to develop the SEMS, the irst step is to deine the social and environmental objectives of the farm or group policies, as well as their scope and validity.
Objectives of environmental and social policy
Independently of whether or not a Vision or Mission has been prepared, a farm or group under Rainforest Alliance CertifiedTM certiication should
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In objective terms, the farm’s environmental policy should mainly be fo-cused on compliance with the following principles of the Standards:
Ecosystem conservation.
Protecting the agro-ecosystem, to contribute to the conserva-tion of the environment and the wildlife that live on the farm.
To comply with this policy, refor-estation plans will be developed to diversify native species in the area, protect recently planted trees, plant trees on the edges of roads, and prohibit the keep-ing of wild animals in captivity, hunting, logging and the ex-traction of parasitic plants.
The farm makes a commitment to produce cacao (coffee or banana, depending on the crop) only in zones that are suitable for agricul-ture and to use integrated crop management to minimize pests and diseases while avoiding the use of banned agrochemicals.
Additionally, the farm com-mits to managing and treating wastes from the farm and the processing of cacao in a way that complies with the law and that does not negatively affect the environment or the people on or off the farm.
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he social policy should be focused on the farm’s responsibility in ensuring the rights of the workers, their good treatment, fair wages, occupational safety, education, training and relations with the community. According to the Standards, the social policy should consider the following principles:
Fair treatment and good conditions for the workers.
•
Occupational health and safety.
•
Relations with the community.
•
The social policy can be:
The social policy of the La Suerte banana plantation is to ensure the wellbeing of all the workers through compliance with the Rainforest Al-lianceCertifiedTM certification requirements, the national legislation and
the international agreements signed by the country, such as those of the International Labor Organization (ILO).
In hiring personnel, administrators will avoid discrimination based on race, color, religion, sexual orientation or civil status and will not limit the workers’ right to organize.
Only adults will be hired, preferably those who are inhabitants of neigh-boring communities; they and their families will have access to education and health services.
The farm will not hire personnel through intermediaries or contractors, all hiring of labor will be done directly through the administrators. Overtime, days off, vacations and other rights established by law are recognized for all temporary and permanent workers.
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Scope of the policy and the management system
he scope briely describes the sites and places involved in the Rainforest Alliance CertifiedTM certiication.he scope emphasizes the people involved, the type of group they represent (association, cooperative, farm), the size and number of farms, as well as the places and types of installations involved.
Validity of the policy
and the management system
he policy and the SEMS will be in force for the maximum period for complying with at least one cycle of the Rainforest Alliance CertifiedTM
cer-tiication, which is three years.
Scope of the SEMS:
A total of five farms in the community of La Esperanza are included in the Rainforest Alliance CertifiedTM certification. The farms’ producers are
affiliated with the El Progreso RL Cooperative. It includes a total of 100 hectares in full coffee production with caturra, catuaí and typical variet-ies, 30 hectares of natural forest, a seedbed with 5000 coffee plants, two wet mills, two areas for worm composting, and two pulp water treatment plants. One of the farms has an area with 10 dormitories for temporary workers during the harvest season.
E X A M P L E
Validity of the SEMS:
The Social and Environmental Management System will be valid for three years, for the purpose of complying with at least one cycle of the con-tract for certification under Rainforest Alliance CertifiedTM.
The SEMS document will be valid from January 2010 to January 2013, and afterward this period will be reviewed and fully updated.
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2. Regulatory framework for certiication
and the management system
Each nation in Latin America has speciic labor and environmental leg-islation for regulating productive activities and in each case in particular, the governments have signed international agreements that must also be considered. Additionally, the farms and groups that have Rainforest Alliance CertifiedTM certiication must also comply with their own standards, which
should be recognized by the implementers of the SEMS.
A copy of the decrees and national laws, the international agreements that apply, as well as the SAN Standards should be kept in the administrative oices of the farms or groups, for consultation by the implementers, work-ers and the general public.
In the case of small producers in a cooperative with reading limitations or diiculty understanding the language, they should be given a talk or train-ing session about the Standards by the extension agents of the organization. his condition should also be met for all the ield workers and the technical and administrative employees of medium-size and large farms.
Remember:
Consult the valid versions of these documents at [email protected]
References applicable
to
Rainforest Alliance Certiied™
certiication
Sustainable Agriculture Standards.
•
Farm Certiication Policy.
•
Group Certiication Standards.
•
Group Certiication Policy.
•
Addendum with Additional Criteria.
•
Requirements for Approval
•
of Chain of Custody. List of Prohibited Pesticides.
•
Remember:
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Applicable national legislation (by country)
National labor laws and decrees, work codes, etc.
•
National laws and decrees on occupational health and safety.
•
National environmental laws and decrees (forests, water conservation,
•
soil use, watershed protection, closed seasons on endangered plant and animal species, other).
Speciic laws and decrees for crop processing, industrial waste
manage-•
ment, wastewater treatment, other.
Applicable international
conventions (signed by each country)
of the International Labor Organization (ILO)
Conventions 29 and 105 of the ILO – Regarding Forced Labor.
•
Convention 87 of the ILO – Regarding Freedom of Association and
•
Protection of the Right to Organize.
Convention 98 of the ILO – Regarding the Right to Organize and
•
Collective Bargaining.
Convention 138, recommendation 146 of the ILO – Regarding the
•
Minimum Age.
Conventions 100 and 111 of the ILO – Regarding Equal
Remunera-•
tion and Discrimination (Employment and Occupation).
Convention on International Trade in Endangered Species of Wild
•
Fauna and Flora (CITES).
Convention on Wetlands of International Importance Especially as
•
15
3. Structure and personnel responsible
for applying the SEMS
On small farms where management and production activities are done with family participation, such as cofee and cacao farms, the person directly in charge of applying the SEMS is the farm landowner or producer or the head of the family.
When small farms are organized into cooperatives, the person in charge of writing the SEMS is generally in charge of the technicians or exten-sion agents, but the responsibility of applying it in the ield is always the producer’s.
For medium-size or large farms where activities are managed with many technical and administrative personnel, such as farms that produce banana, pineapple, citrus or even large cofee farms, the chain of command and the people in charge of areas that are responsible for the SEMS should be described in a diagram. his diagram is called an organizational chart and the people shown on it should be very well trained for the best develop-ment of the productive activities and
the management of the requirements for certiication. he organizational chart will also be extremely impor-tant for eiciently carrying out the internal controls for production and sound management of traceability or the chain of custody, procedures or systems that will be explained later in this Guide.
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4. List of basic programs for the SEMS
he SEMS document should at least contain a description of the follow-ing programs for compliance with the actions required by each one of the principles of the Standards.
Programs for continuing improvement
Monitoring and Continuing Improvement Program (Criterion 1.7)
•
Training, Environmental Education and Personal Hygiene Program.
•
(Criteria 1.9, 5.18 and 7.5)
Operational programs
Program for the Evaluation of Providers (Criterion 1.8)
•
Program for the Management of Chain of Custody (Critical Criterion
•
1.10)
Program for Ecosystem Conservation and Wildlife Protection
(Prin-•
ciples 2 and 3)
Program for Water Conservation and Sound Use (Criterion. 4.1)
•
Wastewater monitoring
•
Potable water monitoring
•
Program for Occupational Health and Safety (Criterion 6.1)
•
Program for Integrated Pest and Disease Management (Criterion 8.1)
•
Program for Soil Erosion Prevention and Control (Criterion 9.1)
•
Program for Integrated Farm Waste Management (Criterion 10.1)
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or main investments
Once the programs for continuing improvement and the operational pro-grams of the Standards have been prepared, the basic budget needed for the implementation of the procedures and main activities should be deined. It is essential that farm producers, administrators and group managers as-sign the funds and personnel necessary for complying with the require-ments of the Social and Environmental Management System (SEMS). It should not be forgotten that once certiication has been achieved, the system should be kept up to date and operating during the years of the certiication contract, because if the resources are cut of the SEMS could be ignored and certiication lost as a consequence.
The producers, technicians, administrators and other implementers should understand that for logical reasons, investments will have to be made that are higher than those made in the first years of the certification. This will depend on the type and quantity of best practices that will have to be implemented in order to meet the criteria of the Standards.
A reasonable way of preparing a budget for a farm or group of farms of any size is through the information provided by the assessments in the internal or external audits; by knowing the weaknesses, the activities needed to deine the programs can be selected.
As an example, the format below can be used to make a budget:
Activities (Santa María Farm) Budget
Year 1 Year 2 Year 3
An explanatory talk for personnel about the SAN Standards.
A talk for personnel about occupational safety.
A talk about first aid in the field.
Produce and plant 500 trees and shrubs for living barriers along public roads and around housing areas.
Materials for building a composter.
Build filters for the treatment of processing water.
Buy personal protection equipment for applicators.
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6. Managerial commitment
(Criterion 1.3 of
the Standards
)
he farm producer, administrator or manager should demonstrate their commitment to certiication by meeting the requirements of the Standards and the legislation in force. Similarly, they should be aware of and approve the execution of the programs that comprise the SEMS and assign the resources required for their implementation.
he commitment of the producer, administrator, manager or designated person can be demonstrated by their signature on the SEMS document. A paragraph can be written with the content of the commitment, placing it on the front or inside cover of the documented SEMS.
Establishing a commitment to compliance with the activities for the con-tinuing improvement of the farm or group is very important.
Cover
THE GENERAL MANAGER OF
THE CACAOTEROS UNIDOS S.A. CERTIFIES THAT:
On behalf of this company, I express its commitment to comply with the Principles and Criteria of the SAN’s Sustainable Agriculture Standards, the policies described in this Social and Environmental Management System, and with the labor, social and environmental legislation of the nation.
The human and economic resources for complying with the goals and objectives of the operational work programs are recognized.
Signed in the city of at (hour) of in the year two thousand ten.
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and environmental management system
(Criterion 1.4 of
the Standards
)
Criterion 1.4 of the Standards requests that a summary of the SEMS be made available and disseminated to the workers of the farm or group. he summary can present the following elements:
he social policy.
•
he environmental policy.
•
he mission and vision (if these were prepared).
•
he objectives and the programs.
•
he commitment of the producer, administrator, manager or person
•
designated to the SEMS and continuing improvement.
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Another way of presenting the SEMS summary is through pamphlets or brochures that can be posted or given to workers, families, schoolchildren and visitors to the farm or cooperative.
he SEMS can also be made available to the national and international public through the creation of a web page where general information about the farm or group of farms can be posted.
In the case of associations or cooperative groups of small farms (cofee, cacao, lowers and foliage), the administrators can use these ideas or even generate their own options, to ensure suitable comprehension by the pro-ducers and their families.
Remember:
Training sessions for technical and administrative personnel and farm workers should be programmed to ensure the best execu-tion of the SEMS.
8. Archive for the documentation
that comprises the SEMS
(Criterion 1.5 of
the Standards
)
Written copies of all the documents that comprise the SEMS should be kept in the administrative oices of the farms or cooperatives, including:
he documented SEMS.
•
A public summary of the SEMS.
•
Records on training sessions.
•
Records on program oversight or monitoring.
•
Results from soil laboratory analyses.
•
Results of potable water laboratory analyses.
•
Results from processing wastewater analyses.
•
Minutes of meetings of the health commission.
21
Maps of the farm (location of crop areas, rivers, storage areas, other).
•
hank-you letters to communities and schools for their assistance.
•
… and all the documentation that is generated in the implementation
•
of the programs.
Some suggestions or ideas for archiving the information are presented be-low; these ideas depend on whether one is dealing with a small farm, a large farm associated with a cooperative, or a medium-size or large farm working individually.
Use of the notebook
and folder for on small farms
In most cases, small producers have made a sketch or hand-drawn map that indicates the location of the crop areas, streams, the house, storage area, processing site and the boundaries of the farm with the name of its neigh-bors. his kind of sketch is very useful in the farm’s SEMS document. Generally, the small cofee or cacao producer also keeps a notebook with the number of work hours invested in an activity, the cost (with invoices and receipts) of the agrochemicals received or bought, and vouchers for products that were received by the association or cooperative (sacks of cof-fee or rolls of lowers and foliage, for example).
In the case of cooperatives, another way to archive the documentation is through the use of the “folder” that administrators deliver to each one of the associated producers, which include the following documents:
Document signed by the producer in which he agrees to:
•
Comply with the principles and criteria of
• the Standards.
Allow inspection visits by technicians.
•
Allow external audit visits by SAN members.
•
Comply with the recommendations issued by the technicians.
•
Comply with the sanctions of the Group in cases of non-compliance.
•
he sketch of the farm.
•
Receipts for agrochemicals and fertilizers.
•
Vouchers for product received by the association or cooperative.
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Copies of inspection reports from the group’s technicians or promoters,
•
signed by the producer and the technicians, which indicate recommen-dations and corrective measures for crop management and compliance with the Standards.
Documents for training (pamphlets, brochures, photocopies and
•
others).
In the case of small producers, the folder and the notebook are the main documents that should be kept on each one of the farms.
In the case of group or cooperative administrators, the documentation that should be kept and archived corresponds to all the documents that comprise the SEMS, plus other documents that are required by the Standards for Group Certification.
It is assumed that group administrators have the technical and administrative capacity for managing the level of documentation required in representing small producers.
Use of ten portfolios
If the number of documents generated is considerable, another way of keep-ing the documentation is to place all the information for each principle of the Standards in a portfolio; there should be 10 portfolios, each with enough capacity to hold 500 sheets. All the paperwork corresponding to each prin-ciple is kept here.
he portfolios should be numbered from 1 to 10 and labeled with the name of its corresponding principle. For example:
Portfolio Nº 1 – Social and
envi-•
ronmental management system Portfolio Nº 2 – Ecosystem
•
conservation
And so on, to the last principle,
Portfolio Nº 10 – Integrated waste
•
23
Use of 2 portfolios
Another way of archiving the documentation is to use two portfolios, di-viding the material into the two large groups that were presented at the beginning of the section on the Structure of the Management System, for example:
Portfolio Nº 1 – Social and environmental management system. Stores
•
documents related to planning and administration: Copy of the SEMS documents.
•
SAN Standards (standards, policies, pesticide list, etc.).
•
Copies of national laws.
•
Copies of international agreements that apply to the farm.
•
Portfolio Nº 2 – Year 2011. Stores the information that is generated
•
in each one of the programs and archives the information in a single portfolio by year:
Copy of programs.
•
Records on implementation.
•
Results of laboratory analyses.
•
Letters for neighboring communities.
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or wood iling cabinets
In the case of large and medium-size farms with administrative oices, a wood-en ile with at least two drawers or evwood-en an upright metal ile can be used to store the documentation. In this case a hanging ile can be assigned to each principle of the Standards or a drawer can be used for the planning documents (documents for Prin-ciple 1), and another drawer can be used for documentation generated each year for Principles 2 to 10, corresponding to the programs for the Standards.
Remember:
All documentation must be kept on file for at least three years.
9. Preparation of the farm sketch or maps
(Criterion 1.2 “e” of
the Standards
)
As part of the SEMS, the Standards mention that sketches or maps should be prepared that identify the farms, the infrastructure and the special areas for conservation.
In the case of small individual farms or ones organized into cooperatives, as men-tioned earlier, each producer must draw a map or sketch that shows the boundaries of the farm, the lots of cofee or crop areas, streams, springs, the house, other crops and the protected forest areas, if any.
For larger, more techniied farms, the maps should contain more detail and possibly be prepared using a Geographic Information System (GIS). In it, land use should be bet-ter identiied, showing the areas suitable for crops and the areas suitable for environmen-tal conservation. Due to the size of the farm, infrastructure can be deined in greater
25
detail, showing the placement of: housing, storage areas, the mill, roads, composting area, oxidation lagoons or wastewater treatment systems, and schools and health centers, if these exist on the farm.
Maps aid mobility on the farm and also make the work more efficient, reducing operational costs.
During assessments and audits, maps help orient the auditors (inter-nal and exter(inter-nal) so that they better understand the management of the system on the farm.
10. Description of the SEMS programs
To facilitate the organization of the information, the content of the SEMS programs can be presented using the following scheme. he implementers can use the preferred scheme or one that has been better adapted to each farm or group of farms:
Map prepared using a Geographic Information System (GIS).
Scheme
• : quantify achievements for meeting objectives.
Activities to carry out
• : activities and tasks for achieving goals.
Procedures
• : ordered steps for the execution of a process.
Timetable
• : time periods for developing activities.
Persons in charge
• : those responsible for activities and procedures.
Necessary records
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Development of programs
for the social and environmental
management system
We have now learned about the general structure of the SEMS and the documents that comprise it. his chapter of the Guide will provide ideas and examples of how to develop each one of the programs required by the Standards along with sample forms, procedures, checklists, records and other documents needed in each one of the programs.
In the Annexes section (at the end of this Guide), you will ind blank for-mats for these templates that you can photocopy and ill out by hand; or if you prefer, we have prepared a compact disc with these formats that you can download and ill out in your computer.
1. Program for monitoring
and continuing improvement
Remember, the farms and groups of farms that aim to achieve sustain-ability should have a method to help them determine the current status of the farm, the status desired, and whether or not this is being achieved (Criterion 1.7 of the Standards).
As mentioned at the beginning, the method required the execution of sev-eral basic stages such as the Identiication or Assessment stage, the Plan-ning stage, and the Implementation and Control or Monitoring stages. his sequence of steps over time is the Management Cycle.
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be carried out in the coming months. In the case of already certiied farms, the external or third-party audits also give us information for the prepara-tion of the acprepara-tion plans. his entire process applies to individual farms and groups of farms.
For a large or small farm, the Monitoring and Continuing Improvement Program can include the following information:
Introduction
Write a general summary of the entire program that describes: the plans and programs to be monitored, the sites that fall within the scope of the certiication, the time periods, the way that monitoring will be carried out, and the means of implementing continuing improvements.
Objectives
hese are the achievements that we are expecting and they will be attained by the fulillment of several goals.
Short, medium and long term goals
Completion of the goals allows fulillment of the objectives proposed, which is why they should be very well deined and relevant.
To deine the goals, we ask ourselves several questions:
How many and which programs are going to be monitored?
•
How long will monitoring take?
•
How often should monitoring be carried out (frequency)?
•
What will the continuing improvements be?
•
Objectives
One short-term objective is to conduct an assessment of the farm to see whether or not it is in compliance with the Standards and to select the best management practices for adherence to the farm’s environmental and social policies.
The long-term objective is to have the farm implementing best agri-cultural practices in order to obtain certification for a second three-year cycle.
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Main activities to carry out
Provide details of the activities that will be carried out for monitoring and continuing improvement of the programs.
Identiication (Assessment)
In this irst stage an internal audit is done. Remember that this is a review done by farm personnel, people known to the farm, or people from other nearby farms. It is better and more realistic if done by people who do not belong to the farm.
On the farm of a small producer, the review can be made by a group of
•
neighboring producers.
Goals
Short-term goals:
During year 1 of the certification, evaluate compliance with the 10 pro-grams that comprise the SEMS.
Incorporate two best practices for solid and liquid waste treatment into wet mill operations.
Conduct interviews and hold a meeting to measure the level of knowl-edge about solid and liquid waste management among farm workers and their families.
Medium-term goals:
During year 2 of the certification, evaluate the level of solid and liquid waste management that families carry out in nine housing areas of the farm.
Evaluate the functionality of the two best practices for wet mill solid and liquid waste treatment.
Long-term goals:
In 2012, form a team of five people from outside the farm to conduct an internal assessment of compliance with the ten programs and update the SEMS.
Prepare a list of new “Non-conformities” found to update the Action Plan or Improvements Plan and implement the necessary corrective actions.
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To facilitate assessment during the Internal Audit, the reviewers can use a Checklist or Veriication List to note which farm activities do not meet the criteria of the Standards. See Annex 1.
The criteria that are not met are considered to be weaknesses or “findings” and in terms of the certification the findings are scored as “Non-conformities”.
If the farm is ailiated with a cooperative, the review should be done
•
by the technician or extension agent who works for the cooperative. In this case, several neighbor producers can participate as a means of training regarding evaluating the use of best agricultural practices and the ways of evaluating compliance with the Standards.
During the internal audit, observations and interviews are made and the documents are reviewed:
Observations: tours are made of the entire farm to observe the status of
•
the plantations, the soil, the storage areas, the river and stream protec-tion areas, worker housing, housing sewage disposal, and the domestic waste disposal sites. In the case of cofee farms, observations are made of the wet mill, pulp disposal sites, and waste or pulp water dischar-ge. In the cases of pineapple and banana farms, the fruit processing plants and the waste and processing water treatment systems will be observed.
Interviews: temporary and permanent farm workers, pickers and
•
neighbors that may be afected by the farm’s productive activities are interviewed.
If there is any support provided by the farm to the community, then it is important to include interviews with community representatives (mayor, development association, water committee, roads committee, school director, teachers, and others).
Documents: all the documents of the SEMS are reviewed, including:
•
programs, records, notebook entries, list of fertilizer applications, list of expenses, laboratory analysis results (soil chemistry, potable water bacteriology, and biochemical oxygen demand-BOD5, 20 in the case of pulp waters that are discharged into rivers or streams after treatment).
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Based on the results noted in the Checklist, the indings are organized ac-cording to criterion of the Standards and the site involved, as shown in the Summary of Findings (also called “Non-conformities”). See Annex 2.
hen, to correct the indings or “Non-conformities” found, an Action Plan or Improvements Plan is developed that includes the activities, the crite-ria that were not met, the corrective actions and the persons in charge of making them, the materials, and the cost or a budget for the corrective actions.
Annex 3 contains a sample Action Plan or Improvements Plan.
Implementation
During this stage, the activities are executed according to the schedule in the Action Plan.
The monitoring stage closes out the Management Cycle and a new process is begun. This is one of the ways of ensuring continuing im-provement toward sustainability in the crop production cycles.
Monitoring (control)
Control or monitoring is important for evaluating whether corrective actions were implemented sat-isfactorily and on time with the available resources. his stage is based on the review for completion of the Action Plan and it uses the last column titled oversight of compliance with the corrective action. he monitoring stage also considers new weaknesses or “Non-conformities” that may appear in subsequent internal and external audits.
Timetable
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Persons responsible or in charge
Deine the people who will be responsible for monitoring, analyzing the information and preparing the Action Plan. hen deine the people who will be in charge of executing the corrective actions. In the case of large farms or cooperatives, the list should be backed up with the organizational chart of the chain of command and the people in charge.
Suitable persons must be selected for monitoring and executing the corrective actions.
Maps and sketches
Any scale map can be used to show the sites that should be visited during the monitoring and evaluation activities.
Necessary records
Records should document any information that must be kept handy during the monitoring activities.
he most important records at this stage are the ones shown in Annexes 1 to 4.
2. Program for training, environmental
education and hygiene for personnel
Criterion 1.9 of the Standards calls for the implementation of a Training and Education Program to ensure the efective execution of the SEMS and its programs. Training is one of the most important tools for achieving continuing improvement.
33
General objectives and requirements for certiication.
•
Environmental and conservation topics.
•
Fundamental concepts of health and hygiene.
•
Moreover, Criterion 7.5 states that farms should collaborate with environ-mental education eforts at the local or community level.
In general terms, all the training given to workers should be designed for their level of schooling, language and culture in order to be comprehen-sible. Furthermore, the Standards require that the training is given during work hours and that workers are paid for that time.
Training should be done annually, mainly on those topics related to Occu-pational Safety; above all, the topics needed to address the workers’ weak-nesses or to strengthen the work they do should be identiied during the assessment audits.
A guide for structuring the Training Program that will be developed ac-cording to the reality and needs of each one of the farms or groups is pre-sented below.
Introduction
Summarize all the main details that the program entails and the
justi-•
ication for the topics it includes.
In the case of groups, what kind of strategies will be used to train the
•
associates?
In the case of large farms, what kind of training will be ofered to the
•
workers and their families? What strategies will be used to educate farm families and nearby communities about environmental education and hygiene?
Objectives
What do you want to achieve with the training and what is its
rela-•
tionship to the social and environmental policies of the farm or group? Who will be trained?
What objectives are expected to be met in the area of environmental
•
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For a given period, determine how many people are going to be trained and on what topics.
Activities and procedures to carry out
Detail the procedures for evaluating the level of competency of the
•
workers and their level of knowledge about the environment and hy-giene for the families that live on the farm.
Make a list of the topics that will be given to the workers and other
•
target audiences.
Detail the procedures for selecting instructors for training and for
eva-•
luating the short and long-term results. Objectives
Ensure that workers have an adequate level of knowledge for the safe •
and orderly performance of different farm tasks.
Ensure that the workers’ families and other local inhabitants have •
an adequate level of knowledge for understanding environmental aspects.
As a matter of policy, establish a permanent training program for the •
farm or group.
Define periods in the annual training cycle when training will be given •
to enhance continuing improvement.
Set an agenda according to the demands and needs of
• the Standards.
Define or identify other topics that would be useful for improvement •
worker and farm conditions.
E X A M P L E
Goals
During 2010, a total of 80 permanent workers will be trained in farm •
solid and liquid waste management.
Have the administrator and the supervisor replicate some topics for •
other workers on the farm.
Improve procedures and worker functions on the farm through con-•
stant training.
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On a chart, detail the possible dates or periods when the training sessions will be done. See the table of possible training topics in Annex 5.
Persons responsible or in charge
Detail the people of the farm or cooperative who will be in charge of de-veloping and evaluating the Training Program.
Necessary records
Record each topic, place, date of the activity, trainer, signatures of the par-ticipants and observations on the activity. See an example of the records in
Annex 6.
3. Program for the evaluation of providers
he providers are all the people or companies that sell and transport inputs, provide technical assistance or ofer services such as fumigation, pruning of shade trees or other farm tasks.
Introduction
Briely describe current providers and how they will be evaluated.
Objectives
Objectives
One example of a general objective could be: “to ensure that all •
service providers are familiar with and adhere to the social and en-vironmental aspects of the Standards.”
Define the terms of service, means of evaluation and other aspects. •
One example of a specific objective could be: “Evaluate all provid-•
ers annually.”
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Deine the terms of service and the means of evaluation for designing
•
at least one annual contract with each provider.
Sign a contract or commitment with each one of the providers.
•
Evaluate each service provider at least twice per year.
•
Activities and procedures to carry out
Detail the steps for the evaluation of the providers.
•
Make a list of the requirements for basic compliance.
•
Indicate the possible sanctions in the event of non-compliance.
•
Timetable
If necessary, the review of the providers can be programmed, but since they tend to visit the farms, the evaluations will occur each time the provider shows up to deliver inputs or carry out speciic tasks.
Persons responsible or in charge
Specify who will be in charge of ensuring the evaluations are carried out and that providers are complying with the agreements signed.
Necessary records
Document the evaluation records of providers signed by the person in charge. See examples of Evaluation Records in Annexes 7 and 8.
4. Program for chain of custody
37
harvesting, processing, packaging and transport. he system is based on what is known as product traceability and it mainly requires the physical and documented identiication of the certiied product.
“Traceability: the possibility of identifying the origin and the different stages of a pro-cess for the production and distribution of consumer goods.” Dictionary of the Royal Spanish Academy.
Introduction
Briely describe how certiied product will be managed and identiied from the time it leaves the farms until it reaches another hand in the production, processing and distribution chain.
Objectives
Short/long-term goals
Describe the goals for achieving control of the certified product in a determined period. For more details and information about the use of the Rainforest Alliance CertifiedTM seal,
consult the document Requirements for Approval of Chain of Custody. Remember to consult the updated versions at [email protected].
Objectives
Examples of general objectives could be:
Assure buyers that they are consuming products produced using so-•
cially and environmentally responsible processes that are backed by Rainforest Alliance Certified™ certification.
Assure intermediaries or packers that they are processing certified •
farm products.
One example of a specific objective:
Define activities for maintaining control of product origin, for at least •
one certification period.
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Activities to carry out
Detail the activities to carry out to ensure that certiied products are
•
not mixed with non-certiied products from one or more farms. Identify places where there is a risk of mixing, for example:
•
For a large farm, a risk of mixing can occur if the producer has
uncer-•
tiied cofee lots or if it mills cofee from uncertiied third parties. he risk situations would occur during harvesting and milling.
In a group or cooperative the risk of contamination can occur during
•
transport from the ield to the mill, when receiving cofee or during wet or dry milling.
Choose actions that will avoid mixing, which may include:
•
Control of production by lots or blocks.
•
Physical separation.
•
Establishing processing schedules.
•
Identiication of sacks, boxes, product containers, etc.
•
Documentation of processes.
•
Establish diferent schedules for processing products; this is a simple
•
way of ensuring there is no mixing. he producers take turns in delive-ring and milling their product.
Identify certain receptacles, sacks, or boxes for exclusive use with
cer-•
tiied product.
Goals
Give at least two training courses per year to the personnel in charge •
of the production and product transformation stages.
Prepare at least four records sheets for the control of certified •
product.
Choose a site for the storage of certified product and prepare it with •
markings on the floor and signs.
Design a marking system to differentiate certified product in accord •
39 production, processing, and storage to ensure that certi-ied and uncerticerti-ied products have not been mixed. he re-cords can identify the produc-tion lot or block, the date, the amount measured or weighed, the receipt number, and pos-sible destination.
Clearly identify the storage
•
sites using wall signs, loor markings and product labels.
Timetable
In a notebook, detail the activities for maintaining product control.
•
Persons responsible or in charge
Specify who will see to it that the goals of the chain of custody
pro-•
gram are met.
Necessary records
Document the certiied product management system. See Annexes 9, 10 and 11.
Persons responsible or in charge
Supervisors of coffee lots. •
Supervisor of the coffee cherry reception area. •
Supervisor of the wet mill. •
Supervisor of parchment coffee storage areas. •
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for ecosystem conservation
and wildlife protection
Introduction
Make a description of the existing ecosystems for the documentation,
•
which describes their location and the value they have for the com-munity and the environment; similarly, describe the wildlife found in them and the importance of their conservation.
Objectives
Short/long-term goals
Describe the goals to be achieved in a determined time period. Let’s
•
look at some examples:
Objectives
One example of a general objective could be: “The banana production •
unit will take action to preserve the ecosystems present. Our produc-tion activities will be oriented toward practices that contribute to the protection, conservation and recovery of ecosystems.”
Examples of specific objectives could be: “Protect, restore and con-•
serve the rivers and protection zones on the farm. Biodiversity con-servation practices and reforestation with native species will be used. Training and environmental education will also be offered to the work-ers and the families living on the farm.”
E X A M P L E
Goals
In a three year period, conserve and restore 50 hectares of natural eco-•
systems on 100 small and medium-size coffee farms.
In a three year term, make an inventory of the plants and animals in •
100% of the farms’ ecosystems.
41
What ecosystems will be conserved?
Detail of the ecosystems to be conserved, area, type of ecosystem,
de-•
tailed location, etc.
Activities to carry out
Details of the activities to carry out to achieve the goals proposed
re-•
garding ecosystem conservation.
Make an inventory of the ecosystems present, indicating their location
•
on a map and characterizing their degree of alteration (lora and fauna inventory). his information can be reviewed with specialists in the ield in order to identify the best activities for their conservation. hese are some elements that this program should have when planning
•
the activities to be done: Identiication of Ecosystems.
•
Inventory of forest and wildlife species.
•
Recovery Plan and delimitation of ecosystems.
•
Deinition of the main conservation activities.
•
Training plan for producers that have Ecosystems.
•
Preparation of outreach materials.
•
Installation of forest nurseries.
•
Planting trees in the areas to be reforested.
•
Maintenance plan for reforested areas.
•
Timetable
Details in a notebook that summarize the activities to be done for
•
conservation.
Persons responsible or in charge
Detail the people in charge of ensuring that the activities are carried
•
out and the goals assigned to them have been met.
Maps
If the farm is small, show the forest patches, lagoons or streams that
•
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If the farm is medium-size or large, show the areas to be conserved
(ri-•
vers, streams, lagoons, small wetlands, native forests, disturbed forests, any other area with native vegetation) on a technical map (drawn to scale with coordinates, if possible).
Necessary records
Document information about the areas to conserve and the wildlife us-ing maps, results of activities, fulillment of goals, lists of wildlife species, their importance for the community and the environment, etc. See format examples in Annexes 12, 13, 14, 15 and 16.
6. Program for water
conservation and sound use
Introduction
Briely describe the way the farm’s pure water sources will be
•
conserved.
Describe how daily water consumption in the processing plants will be
•
monitored.
Describe the wastewater (gray waters, sewage and industrial
was-•
tewater) treatment system used by the farm.
Describe the maintenance of the water distribution network to avoid
•
waste.
Describe the environmental education strategies that will be used with
•
the workers and their families.
Objectives
General objectives
Promote the sound use of water through measurement and reduction •
of water consumption in processing plants.
Promote the sound use of water through campaigns, training and envi-•
43
Execute measures for the conservation, sound and efficient use of water resources •
on the farms.
Train administrative and field personnel and their families on the importance of wa-•
ter conservation.
Keep an updated inventory of the water sources and indicate the volumes contrib-•
uted by each one.
Identify the location of each water source on the farm map. •
Measure and record the volume of water consumed in different activities on the •
farm.
Demonstrate that the volume of water consumed remains stable. •
Adequately maintain the distribution network to avoid waste due to leaks or spills. •
Provide potable water to the farm workers that meets the parameters set in the na-•
tional legislation or the certification standards.
Avoid soil and surface and ground water contamination from the washing of spray-•
ing equipment and gray waters from households. E X A M P L E
Short/long-term goals
Describe the goals to be achieved in a determined period regarding water conservation and potable water monitoring.
Goals
The administrative and field personnel and their families have been trained and un-•
derstand the importance of conserving water resources on the farm.
The farms have an inventory of their water sources that indicates the flows contrib-•
uted by each one and these are identified on a map.
The farms have records on the volumes of water consumed in different activities such •
as the application of agrochemicals, human consumption and domestic use. There are no leaks or spills, broken pipes, or open faucets or valves in the water dis-•
tribution network.
Wastewaters from the washing of agrochemical-contaminated spraying equipment •
and from domestic use each have their own treatment systems.
There is a program for monitoring the quality of the surface waters and water for hu-•
man consumption to show that the Standards stipulated by the national legislation are met.
A BOD5, 20 analysis is done on wastewater from the processing plants once a year. •
A bacteriological analysis is made of water for human consumption on the farm •
once a year.
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Activities to carry out
Detail the activities for achieving the proposed goals for potable and
•
wastewater management and monitoring.
Timetable
Make a chart that summarizes when the selected activities will be
ca-•
rried out.
Persons responsible or in charge
Detail the people in charge of potable water management and
monito-•
ring, for example:
Activities
Design and use a daily record for water consumption in packing and •
processing plants.
Analyze BOD5, 20 in wastewater from the treatment plants. •
Analyze the bacteriology of the farm water sources. •
Conduct a physical-chemical analysis of the farm’s waterways (flows •
into and out of the farm).
Inventory of farms that have problems with distribution, contamina-•
tion and poor management of water.
Design and implement an improvement and maintenance plan for the •
water management infrastructure.
Implement a training plan for producers and families about the sound •
use of water.
Design and implement safe farm wastewater treatment systems. •
Sign agreements for cooperation with local organizations (local and •
regional government, agriculture, NGOs).
Involve other local organizations such as the administrative water •
boards to include them in negotiations for support and training to en-sure wise water management.
Obtain use permits for water sources for plantation irrigation and •
product processing.
