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[Red text from within document]51 Apoyar a los costos de conformidad de cualquier estndar, incluso FTUSA (including

certification fees).54 In cases where EM-PTA 6.5 is triggered, this audit is done by an external financial

auditor, completely separate from the FT audit. For compliance with this criterion, theauditor just checks that this was done.

61 intent of this criterion is that the FTC should attempt to reach consensus on decisionsabout premium use through negotiations. This would mean unanimous support from allmembers of the FTC. If a unanimous decision cannot be reached, then a vote by amajority of the worker representatives is sufficient, but meeting notes should recordattempts at negotiating for consensus.

66 Operations seeking certification must either have an open FT Premium bank account atthe time of the evaluation audit OR demonstrate that relevant paperwork has beensubmitted and the process of opening the bank account is actively underway BEFORE acertification decision can be granted.

69 This CC is about how the IAC is elected not whether or not the smallholders have to haveone. This criteria is only applicable if the smallholders decide to elect an internal audit

committee. The establishment of an IAC is voluntary, but is highly recommended fororganizations with a large number of members (>100) and/or a high premium turnover(ie. >$15,000/year).

70 If smallholders decide to elect an IAC, then they should designate premium funds inorder to train them appropriately (see guideline for EM-PTA 2). The IAC should documenttheir activities, and report back to General Assembly on their findings.

71 Management is responsible for all costs for trainings that are part of the fulfillment ofthe minimum requirements of this standard. These negotiations are only in regards totrainings that go beyond the minimum requirements.

Fair Trade Premium money may be used for trainings that go beyond what is minimumrequirement of the standard, but only if this is included in the Fair Trade Plan approved

by the General Assembly.

[Main body of text]

4 For the purposes of this document, "company" refers to the applicant for Fair TradeCertification.

Surveys or other primary data sources should be representative of the entire workforce,including migrant and/or seasonal workers. Where a sample-based surveying method isused, sample should be sufficiently large to ensure that as many viewpoints as possibleare captured, and there is a representative number of workers included in the survey ordata collection with regards to gender, age, ethnicity, religion, nationality, etc.

5 The purpose of this requirement is to ensure that the company has developed animplementation plan and has integrated it into their greater work plans in the way thatmakes the most sense for the operation of their business. In some instances, forexample, this may be a standalone document, where in other cases the plan may beincluded within the internal control or quality management system.

6 See guidance for EM-DM 1.2 above7 See guidance for EM-DM 1.2 above8 The term CSR or corporate social responsibility does not need to be explicitly


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referenced in the mission statement, but it should be clear that objectives of thiscriterion are also objectives of the company. Some examples of objectives or valuesassociated with this standard are fair pay and treatment to workers, workerempowerment, and social and environmental responsibility.

For multi-estates, management must apply and implement the core Fair Trade principles

for social and environmental development at all estates affiliated.12 If the employer is able to sell a majority of its product on Fair Trade terms, assumingthey are better prices than the market, then the employer will be expected to achievemore progress more quickly against more criteria like housing, wages, etc. (e.g. themajority of best practices may be implemented within a few years).

16 The objective of this procedure is to ensure that the internal report of any unfair laborpractice (including appeals) are processed and treated in an orderly and timely manner,and that all grievances are taken seriously. A sufficient grievance procedure should beaccessible to workers (i.e., workers are aware of the procedure, they know how to useit), designed to encourage worker participation (i.e., appropriate to the skill level of theworkers), have clearly defined follow up and review mechanisms, and safeguard theworker against retaliation and/or breach of privacy.

Any objection to the way the company delivers services, content, or how it organizes andmanages internal processes could result in grievance being filed. This includes theoutcomes and results of decisions made by the leaders of the organization andadministrative team. It also includes violation of the labor rights included in thisstandard, national law and international conventions.

All reported grievances should mention at the very least: the name of the person reporting the unfair practice the name of the person or company accused the subject of the complaint, date occurred and date reported The internal procedures for dealing with these claims should be described in detail in aflowchart, which must be socialized and posted in visible areas within the company.The Flow Chart must sufficiently describe processes for:InitiationHow the unfair labor practice can be reported and to whom.Registration and DocumentationThe procedure should establish the responsible person designated to handle thegrievance and within how many business days the complainant will receive a response.

Corrective actionsThe person responsible for handling the reported grievance should organize a review anddecide whether corrective action will be taken and the timeline.

Follow upThe person(s) responsible for handling the report must clearly communicate the outcomeof the review of the grievance to the complainant verbally and in writing, giving theworker an opportunity to have a discussion or meeting regarding the complaint.

This should include informing the complainant about his or her options for further actionif s/he is dissatisfied with the outcome of the grievance report. These should include theoption to appeal to a higher authority (either higher-level management, localauthorities, labor representatives or FT USA). If a grievance cannot be handledinternally, and requires intervention by an outside agent, it then becomes an allegation.Any alleged violation of a Fair Trade Standard or actions outside the spirit of Fair Trademay be filed as an allegation with FT USA by contacting [email protected] .For particularly grievous or sensitive allegations, workers need not go through theinternal grievance procedure. This information should be posted with the internal


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grievance procedure.For FT USAs full policy on allegations see: http://fairtradeusa.org/grievances-policy

20 The intent of this criterion is to ensure that sexual harassment is considered andaddressed separately from other grievances because of its sensitive nature. Also, victimsare even less likely to come forward than for other grievances. This is true for all typesof sexual harassment, not just that pertaining to women. Therefore, the grievance

procedure should follow the guidelines set forth in em-dm 7.1, but with the followingconsiderations:

Management should pay special attention to the accessibility of the procedure for femaleworkers, especially in cases where there are no high-ranking women in management.This could include proactively checking in with women workers, convening a women'sissues committee, and having multiple people in management that are designated pointpeople for workers to contact in case of complaints.

21 The investigative committee should have representatives of the same gender and sexualorientation as the complainant(s) wherever possible, and management must ensure thatthey are able to carry out their function without intimidation or fear of retaliation.

22 This compliance criterion is intended to ensure that the company considers the needs ofmigrant labor when the company employs a significant number of migrant workers. Theinformation gathered is intended for use by the Fair Trade Committee in theirdevelopment of the Fair Trade Premium work Plan.

Surveys or other primary data sources should be representative of the entire migrantworker population, including those coming from different home communities. Where asmaple-based surveying method is used, sample should be sufficiently large to ensurethat as many viewpoints as possible are captured, and there is a representative numberof workers included in the survey or data collection with regards to gender, age,ethnicity, religion, nationality, etc.

23 Surveys or other primary data sources should be representative of the entire migrantworker population, including those coming from different home communities. Where asmaple-based surveying method is used, sample should be sufficiently large to ensurethat as many viewpoints as possible are captured, and there is a representative numberof workers included in the survey or data collection with regards to gender, age,ethnicity, religion, nationality, etc.

24 The purpose of this requirement is to ensure that the company has developed a socialimprovement plan specifically targeting migrant workers and has integrated it into theirgreater work plans in the way that makes the most sense for the operation of theirbusiness. In some instances, the development plan may be a standalone document,where in other cases the plan may be included within the Fair Trade ImplementationPlan or the internal control or quality management system.

Examples of programs that may be a part of this social improvement development planinclude: Specific awareness raising trainings or tools for migrant and seasonal workers. A plan for increasing participation of the migrant and seasonal workers in the FairTrade Committee.

Implementing a reasonable method of paying for or reimbursing migrant employees forthe cost of their travel to and from their home communities. This may not be deductedfrom workers wages. Supporting migrant and seasonal workers in obtaining the necessary legal documents(e.g. identity cards) to benefit from social security provisions.

27 Access may mean ensuring that the workers children have affordable (or free), reliabletransportation to/from school, or, if there are no schools nearby, that may meanconstructing and staffing a primary school on/near the farm.


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This is a minimum requirement of the standard, and therefore may not be funded withthe Fair Trade Premium. In subsequent years, however, improvements to the schoolscould be made with premium funds if this is what the General Assembly decides.

29 The intent of this criterion is that all levels of the company are made aware of the basictenets of "Fair Trade." These trainings should start with the basics, and become moredetailed as company awareness and experience with Fair Trade grows. This training

should include topics such as:

-The history of Fair Trade-The objective and vision of Fair Trade-The different Fair Trade standards-The principles of Fair Trade

Fair Trade USA is currently working to complete a training module, which could be usedin fulfillment of this requirement for year 1.

30 The intent of this compliance criterion the company's plan for the following HR issues isdocumented and coherent:

-staffing plan and needs mapping as required by ED-CE 7.2-hiring/firing and disciplinary policies,-job descriptions and wages for specific functions-capacity-building training plans and objectives.

All workers, whether they work at a large or small farm, should have a clearunderstanding of their job and have opportunities for learning. Capacity building is acritical aspect of empowerment, a key principle of the Fair Trade standards. Theappropriate HR policy will depend greatly on the size of the organization, as willopportunities for advancement.

31 The intent of this compliance criterion is that the company should be able todemonstrate that the policies required by EM-DM 13.1 are implemented and functioning."Industrial relations" here refers to worker-management relations and communication.

87 In cases where the product is delivered before the payment or premium has beenreceived by the company, the company has one month from the date of receipt of thepremium amount to transfer the premium amount to the Fair Trade Committee bankaccount.

89 This standard prohibits the use of premium funds for meeting the minimum requirementsof the standard, including required trainings and certification fees. However, premiummoney may be spent on trainings that go beyond what the standard requires.Additionally, this standard makes the allowance that premium money may be used tohelp cover the cost of minimum compliance if the standard specifically states that itmay, AND if the workers vote that this is a priority for them to spend premium money on(and it is written into the Fair Trade Premium work plan that they have approved) (seeguidance for EM-PTA 13).

These caveats are intended to allow for differing capacity levels in the FTC. Forexample, if the members of the FTC have no previous experience in democratic

organization and financial accounting, then the workers might consider it worthwhile tospend some premium money to share the cost of getting them training in addition to theinitial training that is required by EM-PTA 13.1 and the annual training for all workersrequired by EM-DM 12.

91 "Meets or exceeds" applies to each of these indicators, so the employer must comply withwhichever requires the most.

"Regional average minimum wage" means the regional average minimum wage for similaroccupations. This should be computed by the auditor in cases where there is no official


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minimum wage for the exact job in question (for instance, India has several minimumwages specified by job type, but might be missing the one job type we need).

98 Direct deposits should only be accessible by the workers (e.g. payment should not bemade to the spouses).

102 If an employer provides advances and loans that will later be deducted from wages,there should be a clear written agreement outlining repayment parameters. Such

advances and loans, and the deductions from wages made for their repayment, shouldnot exceed legal limits and should not be used as a means to bind workers toemployment. Employers should exercise full transparency in loans, advances anddeductions to ensure workers are duly informed of all terms and conditions surroundingtheir granting and repayment.

107 Management should ensure that workers understand the terms of the contract. Auditorsshould always confirm worker comprehensio of the terms of the contract during workerinterviews, with workers themselves, and not rely on management interviews or trainingrecords exclusively.

109 This includes that subcontractors cannot be used to fill permanent positions, even if theyagree to undergo an audit.

Auditors should review contracts for all workers, with particular attention to temporary

workers. Review of contracts should be triangulated with payroll registers over the past12 months and interviews with both temporary and permanent workers. If it is observedthat the same temporary workers are employed on a continuous basis, the company maybe using short-term contracts to avoid legal obligations. Auditors should also reviewpersonnel files, including termination files, to determine whether it is a commonpractice to fire termporary or permanent workers in order to avoid legal obligations. Incountries where the legal definition of a "permanent worker" or the length of time atwhich the company must provide benefits (i.e., pension, health insurance, etc) isdefined by the government, auditors should use the government definition as thestandard of comparison. Where the government has not defined such conditions, auditorsshould use 90 days as the definition of a "short term contract".

111 The exception to this is for security personnel and grounds, facility, office cleaning &maintenance and construction.

Exceptional circumstances are based on their annual planning. For example, exceptionalcircumstances may be demonstrated by what they foresaw in the plan. E.g. if they hadin the plan that they needed 800 workers, but if weather is hot and grapes are early,maybe they need more workers with very short notice.

114 This requirement extends to security personnel. In order to meet this requirement, theywill likely need to have more than one guard (5 days at 12 hours is the maximum of 60hours per week allowed including non-exceptional overtime, which cannot be requiredon a regular basis as per ED-CE 10.2).

116 Workers that are paid on a production quota may choose not to rest. However, it isnecessary that the quotas would allow enough time for workers to reasonably take theallocated breaks.

The intent of breaks is that people are not forced to work for long periods of timewithout a break. Breaks may either be planned and executed by management i.e. allworkers take a break at a designated time, or can this be more informal, i.e. workerscan go to the bathroom, get a drink of water, stretch, or smoke a cigarette wheneveryou need to, for up to 30 minutes per day. Workers and management should agree inwriting when workers will be taking their breaks.

In all cases, workers should be aware that they are entitled to breaks.121 Where not defined in law, overtime is considered to be any work performed after an 8

hour day. Hour limits referenced in our standards do not include breaks unless national


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law states otherwise (e.g. overtime begins after 8 hours per day excluding breaks).128 Two calendar weeks is twelve days. These paid vacation days are in addition to any paid

national holidays required by law.130 It shall be unlawful for an employer to terminate the employment of a woman during her

pregnancy or absence on leave referred to in Articles 4 or 5 or during a period followingher return to work to be prescribed by national laws or regulations, except on grounds

unrelated to the pregnancy or birth of the child and its consequences or nursing. Theburden of proving that the reasons for dismissal are unrelated to pregnancy or childbirthand its consequences or nursing shall rest on the employer. A woman is guaranteed theright to return to the same position or an equivalent position paid at the same rate atthe end of her maternity leave. (note this language is from ILO 183, but we don't followthis ILO in its entirety but use the relevant part for guidance)

131 A woman shall be provided with the right to one or more daily breaks or a dailyreduction of hours of work to breastfeed her child.The period during which nursing breaks or the reduction of daily hours of work areallowed, their number, the duration of nursing breaks and the procedures for thereduction of daily hours of work shall be determined by national law and practice. Thesebreaks or the reduction of daily hours of work shall be counted as working time andremunerated accordingly. (note this language is from ILO 183, but we don't follow thisILO in its entirety, but use the relevent parts for guidance, note this is also in line withILO 103 which has now been updated to 183)

132 If national law allows the company to provide its own private health insurance or healthcare services instead of paying social security (public health care) benefits to allpermanent workers, and the company and workers decide that this arrangement ispreferable to the public health care option, the company must pay for the full cost ofthe alternative health care option.

The alternative health care that is provided should be commensurate with the law, andideally include workers compensation, occupational health and safety, regularexaminations, and routine medical care. Best practices would include the family in thehealthcare benefits.

138 The intent of this criterion is to ensure that workers are paid directly and not throughthe labor contractor. Exceptional circumstances would include where there is a veryshort term labor shortage. The onus would be on the farm to demonstrate that they triedto hire directly, but that there was not any viable option. Additionally, in some regionalcontexts there are local requirements for subcontracting.

Where subcontracted workers are used, Subcontractors are aware of the requirements ofthe standard and agree to comply with all relevant requirements. At the discretion ofthe auditor or of FT USA, the subcontracting agency or individual may be included in thescope of the audit, including but not limited to review of documentation related toworker recruitment and payment, benefits for workers, health and safety, and any othertopics, as relevant. Where subcontracted workers are present in the workforce, theymust be included in the worker interview sample to confirm that the conditions ofemployment as defined in this standard are met for the subcontracted workers, includinghealth and safety training and minimum payments.

141 FTUSA standards are designed to encourage discussion on increasing wages andincremental steps forward, rather than focusing on debates on methodology. FTUSAencourages workers and management to review work that is already being carried out,such as that by the Ethical Tea Partnership, World Banana Forum or the Asia Floor Wage.According to best practices, FTUSA considers a living wage to include the followingelements, based on costs in the local community:

Housing/Shelter Energy/Fuel,


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Nutrition/Adequate Food, Clothing, Healthcare, Education, Potable/Clean Water, Child care,

Transportation, Savings/Discretionary Income, Worker and Family/Dependents.

FTUSA is currently developing training materials for producers on the living wageconcept.

142 Equivalency is required, but can also take into account variability due to factors such asseniority and skill level.

143 Auditors should rely heavily on what workers say about the conditions and whether theyare functioning for the context. For example, auditors should note whether workershave specific problems with the housing in terms of safety, sanitation. The auditorshould consider the following indicators:The design, size and construction of dormitories, barracks and other housing, type andquantity of furniture, and number and location of sanitary facilities, showers, andwashing and cooking areas should comply with applicable laws.The following are general guidelines, though implementation may vary with context, asnoted above.a. The dormitories should be constructed with wooden floors above the ground or floorsmade from asphalt or concrete, roofs in good condition without leaks, and withappropriate ventilation, lighting and a lockable door.b. The ceiling should not be lower than 2.5 meters at any point.c. Five square meters of space per person in sleeping areas.d. Heating for cold climates.e. Bed, hammock or other dignified infrastructure for sleeping according to the workerscultural needs, at least 20 centimeters above the ground. The space in between bunkbeds is greater than or equal to 120 centimeters and 90 centimeters between each bed.Dignified infrastructure includes the provision of privacy (e.g ability to hang a sheet orblanket) and separate structures (e.g. a long bench for all workers is not acceptable).f. Basic furniture for storing personal belongings.g. Appropriate sanitary conditions, such as: one toilet for every 15 persons; one urinalfor every 25 men; sufficient supply of toilet paper; a minimum distance of 30 metersfrom dormitories, eating areas and kitchens; one washbasin for every six persons, or perfamily.h. One shower per ten persons, separated by gender.i. One large laundry sink for every 30 persons.j. In the absence of a kitchen service (kitchen and dining hall provided by the farm),there must be installations outside the living areas for preparing and eating food and forwashing kitchen utensils. There must be one cooking installation per 10 persons or forevery two families.k. Fans should be provided

l. Blankets are provided for all migrant workers

Charges and deposits for services/goods provided beyond basic provisions must bereasonable as per ED-CE 4

As a best practice, farms should also supply bedding materials such as mattresses orother padding that can be maintained in a sanitary condition. Cardboard as beddingshould not be considered a non-compliance, but SCS/auditors should advise farms thatthey will need to address improving on this in their plan for continuous improvement


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(See below in guideline for ED-CE 21.2).Auditors should use their judgment in terms of how strictly to enforce a-l based onregional context and worker interviews. All necessary measurements should be taken andreported. If, for example, a farm only has 4.8 square meters of sleeping space perperson this would not necessarily constitute an NC. However, if the farm only has 4.8 sqmeters per person of sleeping space, the workers complain about cramped quarters, and

there are an inadequate number of cooking installations and no fans are provided, thismay constitute an NC.In all cases where a farm does not fulfill one or more of a-l the farm should be advisedthat they will, at minimum, need to address the issue(s) in their plan for continuousimprovement doe the following year (See below in guideline for ED-CE 21.2).

146 If the farm is not in fulfilment of any of the requirments a-l in the guidelines for ED-CE20.1, a detailed plan for the corrections of the issue(s), with budget and timelines, mustbe included in the plan for continous improvement of housing.

The farm is responsible for fulfilment of the minimum requirements of the standard,which includes the requirements of ED-CE 20.1. Premium money may not be spent onfullfilling the basic requirements of ED-CE 20, however, workers may vote to spendpremium money on housing improvements that go beyond these minimum requirements.Any premium funded plans to improve housing is separate from the requirement formanagement's plan for continuous improvement in housing, although there should be anattempt to harmonize. Managment is expected to invest in housing improvementsregardless of worker improvments.

147 "Access may mean ensuring that the children have affordable (or free), safe andreliable transportation to/from daycare, or, if there is not one nearby, that may meanconstructing and staffing a daycare on/near the farm.

As this is a minimum requirement of the standard, this cannot be funded with Fair TradePremium. Improvements may be made using the Fair Trade Premium if decided/votedupon by the FTC and GA.

148 The intent of this criterion is to ensure that workers and their families have reasonable

access to basic health, hygiene, housing and food necessities. Where women do not

already have access to hygiene products because of remote locations, the employershould provide hygeine products to workers at fair and reasonable prices in accordance

with ILO convention 110.

Healthy and sufficient food should also be considered.

151 This can be demonstrated, for example, by: women having a similar promotion rate as men, the existence of a similar percentage of women in all departments in the organization(e.g. not limited to relatively lower wage positions), and/or women having similar pay rates as men.

Discrimination includes the requirement of testing (e.g., testing for pregnancy or HIV).Literacy/ numeracy testing is only allowed in cases where these skills are required forthe specific position and may not be used as a means to discriminate against certaingroups of workers.

164 FTUSAs definition of forced labor includes acting in accordance with ILO ConventionsNo. 29 and 105. FTUSA also expects that farm practices are in line with UN Protocol toPrevent, Suppress and Punish Trafficking in Persons, Especially Women and Children,and the UN Convention against Transnational Organized Crime.

FTUSA considers the following as elements of forced labor: Deception in Recruitment and Hiring


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Fraudulent Visa Practices Coercion in Recruitment and Hiring Informality in Recruitment and Hiring Use of a Labor Broker as an On-Site Manager Confiscation of Identity Documents Deductions, Fines, Withholdings, and Illegally Low Pay

Employer Control of Bank Account Lack of Freedom to Terminate Employment Restrictions on Freedom of Movement Isolation, Threats and Violence

In certain circumstances having a labor broker work as an on-site manager may beallowable IF the farm does all of its hiring directly and IF payment is made directly tothe employee or a bank account owned only by the empoyee. The auditor should makeinquiries into the use of this practice as a local norm. This is common practice in certainparts of Mexico.

170 Where children below the age of 15 have been employed in the past, or are foundworking, the company has put in place a remediation policy to ensure that the childrendo not enter into worse forms of employment, the company has a register of all workersunder the age of 15 indicating their age and their work, and the relevant remediationpolicy that is in effect.

At the most basic level, remediation policies and processes should include: Removing the child from all work immediately. Ensuring the child is in a safe place. Consult with their family about how to pay for the child to continue schooling andprovide an incentive for them to continue in school Look for employment opportunities for the adults in the family

please note that the basis for these criteria and guidlines come from ILO Conventions138 on the Minimum Age for Employment and 182 on the Worst Forms of Child Labor andthe UN Declaration on the Rights of the Child.

174 The Freedom of Association requirements are a central aspect of the Farm WorkersStandard, and as such, it is important to evaluate them thoroughly during each audit.Please be sure to identify any unionized workers during the audit and be sure that arepresentative sample of these unionized workers is included in the interviews.Remember to ensure that all workers are provided with information from an independentsource on their right to freedom of association and the options available for workerorganizations. In addition, while it is important to verify through document review thatthe management recognizes the workers rights to unionize or form associations, thismust also be confirmed through worker interviews to establish objectively that workersare aware of this right, and there is no fear or threat of retaliation.

175 This can be achieved through a signed statement distributed to all workers and posted ina common area, (for instance a canteen), and that this statement should be published inlanguage(s) that is/are easily accessible to all workers, including effectivecommunication to illiterate workers.

This notice should inform workers of their rights as contained in ILO conventions 87 and98, namely that: Workers have the right to establish and to join organizations of their own choosingwithout previous authorization. Workers' organizations have the right to draw up their constitutions and rules, to electtheir representatives in full freedom, to organize their administration and activities andto formulate their programs. Workers' organizations are not liable to be dissolved or suspended by administrative


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authority. Workers' organizations have the right to establish and join federations andconfederations and any such organization, federation or confederation shall have theright to affiliate with international organizations of workers and employers. Workers and their respective organizations, like other persons or organizedcollectivities, must respect the law of the land.

Employers may not make the employment of a worker subject to the condition that heshall not join a union or shall relinquish trade union membership, or cause the dismissalof or otherwise prejudice a worker by reason of union membership or because ofparticipation in union activities outside working hours or, with the consent of theemployer, within working hours. Workers' and employers organizations are protected against any acts of interferenceby each other or each other's agents or members in their establishment, functioning oradministration.

This could be achieved by simply posting the wording of these conventions in therelevant language(s).

It is recommended that this be included during Fair Trade training.

During interviews with workers regarding freedom of association (or other topics, asapplicable), the auditor should take special consideration of observations regarding thebody language and hesitant or vague responses from workers, particularly where therehave been accusations or rumors of union busting or other non-cooperative behavior onthe part of the management. In these circumstances, the auditor should be prepared toarrange off-site or after hours interviews (confidentially with workers) in order tocapture complete and accurate information from workers regarding the workingconditions at the operation. Where this approach is required, auditors should takeutmost care to protect the confidentiality of workers and ensure that management willnot have access to the names or identities of workers included in any off-site orafterhours interview setting.

176 Where a union or association is present, auditors must confirm objectively that the unionwas formed free from management intervention. In some cases, this may require

awareness of the local conditions with regards to unions and associations, which aresupported by managers, government, workers themselves, etc. where there are multipleunions present, or there is an indication that some unions or associations may have beenexcluded, it is necessary to seek out and speak with representatives of the excludedunion or association to understand the full context of the situation and evaluationwhether management has interfered with union activities.

Please note that this is in accordance with ILO convention 135.177 To establish compliance with SR-FA2.1 and SR-FA 2.2, auditors should conduct a thorough

review of all termination files to determine whether wrongful or discriminatorytermination has occurred. Review of documents should be cross-checked with workerinterviews, including union or association representatives and FTC members, as well asthe general worker population. Where feasible and where the auditor detects significant

risk of wrongful termination, the auditor should also attempt to speak with terminatedemployees outside of working hours and off-premise.

Please note that this is in accordance with ILO convention 135.187 Our intent is that compliance with this criterion begins at the time of application. There

may be cases where, prior to Fair Trade application, the farm already had a workerscommittee, council or other form of organization. The auditor should try to discernwhether workers were provided with information on freedom of association, but moreimportantly, whether the current workforce understands the options available to them.


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This should determine whether management is responsible for providing this informationagain."Possible forms of association include unions, workers committees, cooperatives orassociations. Management needs to be able to show that they have reached out to anindependent source (one that is free of management interference or control), andworkers need to be aware of that effort.

200 It is not important who nominates the Health and Safety officer, as long as they areproperly empowered by management. This person could be nominated by workers ormanagement. Management may appoint the H&S officer based on these nominations.Management must give the Health and Safety Officer sufficient authority, time andresources. At a minimum, the H&s officer should be trained in first aid and knowprocedures to react to emergencies, understand health and safety requirements ofstandards, and should be someone that has a high amount of contact with workers. It iscritical that the H&S officer is trusted by workers and that the H&S officer feelscomfortable bringing issues forward to management.

201 The medical officer does not have to be trained as a doctor, nurse, or other healthprofessional. This person may be either a worker or management, and can be the sameperson as the Health and Safety Officer. The important thing is that both positions(whether filled by one or two people) are able to fulfill their role(s). Management mustgive the Medical Officer sufficient authority, time and resources for this. If the H & S andMedical Officer positions are filled by two separate people, then they should workcollaboratively.

208 The level of first aid equipment and supplies will vary according to the size of the farm.Appropriately trained includes training basic first aid skills, knowing emergencyprocedures and phone numbers. The employer has given a specific person theresponsibleility for choosing the types and amounts of first-aid supplies and formaintaining these supplies. The supplies should reflect the kinds of injuries that occur,and must be stored in an area where they are readily available for emergency access.

210 If there is a workers compensation or disability insurance program in place, that programmay cover those costs.

211 Potable water is water that is safe for humans to drink. The best practice fordetermining whether the drinking water provided to workers is safe is to review theresults of water quality analysis on the drinking water. Water quality analysis typicallyincludes a variety of indicators, including general water characteristics (e.g., pH), aswell as some measure of contaminants (microbial and chemical). The results of waterquality analysis should be compared to regional or national guidelines published by thegovernment ministry that is responsible for establishing water safety thresholds. In theabsence of applicable regulations, the test results should be compared to the WorldHealth Organization Guidelines for Drinking-Water Quality. In determining the quality ofwater given to workers, all possible sources of drinking water should be considered,including piped, delivered (e.g., by tanker truck), ground water (e.g,. spring or wells),or surface sources (e.g., lakes, streams). For water quality analysis results to beconsidered, tests should have been done no more than 1 year prior to the audit.

Water quality analysis results may not always be available, particularly in the case ofsmall farms. In the event that test results are not available, field auditors should

evaluate water quality by interviewing workers that drink the water, as well as makesome preliminary observations of the water source.

Preliminary observations should include: Clarity does the water look clear, what color is it? Odor is there any strange smell coming from the water? Flow is the water stagnant or flowing? Possible Sources of Contamination is there evidence of possible sources ofcontamination near to or upstream from the water source, such as wild or domestic


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animals, factories, urban areas, chemical application, garbage, and/or sewage? Workers Use of Water do workers usually boil the water or take additional protectivemeasures before drinking it? Has anyone become sick from drinking the water?

If preliminary observations of the water suggest cause for concern, then the auditor mayrequest water quality analysis to be done.

Auditors should carefully interview workers about the proximity, cleanliness, drinkability(is the water 90 degrees because is 110 degrees in the fields?), and whether workershave been advised of the risks of heat stroke. If workers are asking for cool/ice water ina thermos or other canister that they can keep close to them, the employer should payfor that unless the employer can demonstrate that the workers are always nearby cool,potable water and actually drink it regularly.

212 See Guideline for SR-OH 8.1 for guidance on determining when risk is present.216 Auditors may use their discretion where literal implementation of this requirement

would seem excessive. For example, they may decide that if there are two equipmentstorage sheds nearby each other, then a shared extinguisher/equipment between themmay be sufficient, depending on what is stored in that building, risk of fire, how oftenworkers are present, etc.

221 There should be records that demonstrate how often that equipment is replaced toensure its still in good condition.

227 The doctor should provide a generalized (without names) report to Sr. Management sothey can address the overexposure problem so that it does not recur. The remediationplan should include rotating workers in the problem area(s) into other positions with thesame level of compensation.

238 Following pesticide application on the production site, workers may not go back to thearea until a minimum re-entry time interval has passed. The minimum re-entry time isthe time from when the pesticide was applied to the time when workers withoutprotective clothing can go back to the production site. The re-entry interval shall bedetermined from pesticide product container labels, if present. If the re-entry intervalis not specified by the pesticide labels or the labels are not present, then re-entry timeshall be determined from governmental guidelines (either regional or national), if theyexist. If product labels or guidelines are not available, the minimum re-entry intervalshould be at least 24 hours. In no cases should workers re-enter a treated area withinfour hours of pesticide application.

253 This plan and/or report describes all the programs for providing trainings to workersrelated to occupational health and safety as well as overall worker health needs andcurrent health services & insurance coverage for all employees. It should includemeasures that reduce accident and injury rates, as well as an assessment of workerhealth needs according to gender.

274 The company needs to establish an incidence level, frequently around 3-5%. Based onsampling, if there is a greater infestation than the established threshold, chemicalpesticides may be applied. The tolerance level will depend on the size of the farm.

278 This prohibition also applies to any post-harvest treatment, including any treatmentsperformed by a subcontractor.

293 While this criterion is primarily intended to cover aerial spraying via airplane, thecompany or subcontractor should also identify and mitigate against any risk associatedwith spraying via tractor or backpack.

306 Following pesticide application on the production site, workers may not go back to thearea until a minimum re-entry time interval has passed. The minimum re-entry time isthe time from when the pesticide was applied to the time when workers withoutprotective clothing can go back to the production site. The re-entry interval shall bedetermined from pesticide product container labels, if present. If the re-entry intervalis not specified by the pesticide labels or the labels are not present, then re-entry timeshall be determined from governmental guidelines (either regional or national), if they


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exist. If product labels or guidelines are not available, the minimum re-entry intervalshould be at least 24 hours. In no cases should workers re-enter a treated area withinfour hours of pesticide application.

329 Organic waste should only be burned if it is required by applicable legislation for sanitarypurposes, or it is clearly a more sustainable practice.

363 The company may grow GMO products that are not Fair Trade as long as the farms with

GMO crops are not neighboring fields with Fair Trade crops.377 The farm should develop and implement site-specific wild resource management plans.The auditor might consider specifying certain indicators of compliance, such as:(1) the producer holds current organic certification demonstrating compliance with theUSDA NOP Wild-Crop Harvesting Practice Standard; and/or,(2) the producer holds current FairWild certification demonstrating compliance with theFairWild Standard.

405 While it is technically voluntary for processors of cocoa, cane sugar, juice or tea to fulfillphysical traceability requirements, IF the company is selling to a customer that has aphysical traceability system in place, and wishes to make claims to traceability, then thecompany must physically separate the product for that customer. The auditor shouldcheck that if the company is selling product that is done through mass balance, that thecustomer is aware of this (ie it is stated in the contract and/or on purchase documents).

402, 403,404 This is a mandatory requirement for all companies besides those processing their owncocoa, tea, sugar or fruit juice.