VERIFICATION REGULATIONS

4C VERIFICATION REGULATIONS
VERSION 2.1 | APRIL 2016
Verification: 4C Verifiers check the accuracy of the aggregated Self-Assessment provided by 4C Units.
They verify the Self-Assessment rating of each 4C Code principle in the same way as they verify the
UAPs. At the end of verification, the verifiers aggregate the overall result based on the results from
each visited Business Partner in the verification sample and from the Managing Entity. This is then
considered in relation to the effectiveness
see section
7.11 Internal Management System (IMS). The 4C Verifiers then confirm (or not) the average yellow
performance of the 4C Unit.
A successful verification with confirmation of an average yellow performance will result in a
recommendation for 4C licensing. If the 4C Unit fails verification, no license will be granted and a short
follow up visit will be necessary within a maximum of 180 days from the last day of the verification.
10.4.6 Continuous Improvement (CI) by 4C Units
Requirement: Within six weeks after being licensed, 4C Units MUST develop an Improvement Plan based
on the verification result, which addresses verification findings, risks and observations. Any red practice
as concluded during the previous verification MUST be eliminated within three years before undergoing
re-verification. Yellow practices MUST gradually be replaced by green ones. The 4C Unit MUST update its
improvement progress on an annual basis together with the Self-Assessment and other documents.
Guidance: The 4C System sets a basic entry threshold for coffee actors to encourage them to start
making sustainability efforts. Nevertheless, a prerequisite for joining the 4C Association is that members
commit to continuous improvement. Initial verification is considered as the starting point for this
continuous improvement journey. However, 4C Units may decide to start improving at any point in time,
even before verification.
After verification, regardless of the verification result, 4C Units must develop an Improvement Plan. The
Improvement Plan states the intention of the 4C Unit as to where it wants to be in its continuous
improvement journey, when and how. A standardized template for the Improvement Plan is provided in
Annex 11.2.
The 4C Concept of Continuous Improvement embraces several aspects. It covers the elimination of red
practices, moving from yellow practices to green over time, improving Internal Management Systems and
possibly stepping-up to more demanding sustainability schemes.
All red practices, as concluded during the previous verification on the aggregated level of the entire 4C
Unit, must be eliminated within three years. Any exception to this rule (e.g. due to 4C Units located in
conflict and disaster zones, force majeure), will be made by Coffee Assurance Services on a case by-case
basis in consultation with the 4C Verifier.
Yellow practices must gradually be replaced by green practices. 4C Units decide on which yellow practice
is to be improved to green and by when, depending on their available resources. It is NOT required that
all existing yellow practices be replaced by green ones within three years.
The requirements for initial verification of the Internal Management System (IMS) are basic. 4C Units are
expected to incorporate more elements of a more effective IMS over time. Requirements and guidance
on the IMS are set out in section 7.11 Internal Management System (IMS).
Joining other sustainability schemes, such as the Rainforest Alliance, UTZ Certified or Fairtrade in
addition to the 4C system is encouraged and considered as positive progression of the 4C Unit.
Verification: Continuous Improvement is verified during addendum verification and re-verification.
However, due to the different scope and objectives of the two types of verification, non-conformity or
findings on continuous improvement will only be issued during re-verification. Nevertheless,
observations and risks on CI may be noted during addendum verification.
To verify improvement activities, 4C Verifiers use the following documents and records that are shared
by 4C Units before addendum/ re-verification:
© 2016 | Coffee Assurance Services | Page 68 of 72