VERIFICATION REGULATIONS

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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
4C VERIFICATION REGULATIONS VERSION 2.1 | APRIL 2016 The previous verification report The Improvement Plan shared by 4C Units after the previous verification and its yearly updates atest Self-Assessment Other available documents and records from the 4C Unit. CI progress is monitored based on the Improvement Plan prepared and implemented by the 4C Unit. Failure to show CI progress (as a minimum, elimination of all red practices and/ or moving yellow practices to green ones) during re-verification will result in non-conformity of the 4C Unit. This prevents 4C Units from being able to renew their license and necessitates a follow-up visit within a maximum of 180 days. 10.4.7 Periodic monitoring by 4C Units Requirement: 4C Units MUST update Coffee Assurance Services on their 4C implementation every year. 4C Units MUST report on commercial activities. Guidance: To monitor CI and 4C implementation activities, an Annual Update is required. This consists of the following: Completed Annual Update form (Annex 11.3) Updated aggregated Self-Assessment Updated Business Partner Mapping Updated Improvement Plan with progress Updated Organizational chart (if there has been any change to the 4C Unit structure over the past year) Revised/ updated IMS (optional). 4C Units send these updated documents to Coffee Assurance Services one year after the previous verification visit, or latest update round. Up-to-date and accurate data from 4C Units plays a key role in facilitating commercial activities within the 4C Compliant Coffee chain, as final buyers prepare purchasing plans and make purchasing decisions based on information from the supply chain. Quarterly, 4C Units must, therefore, report on their commercial activities via the 4C Online Platform. Coffee Assurance Services quarterly collects data from 4C Units and final buyers and shares it with the Global Coffee Platform for statistical analysis. 4C Units can provide their data at any point in time to any or all buyers within the 4C Compliant Coffee chain. The quarterly provision of commercial data is voluntary. However, if 4C Units do not provide this information, any claim of supply-demand mismatching will be considered invalid. Verification: This requirement is NOT verified in the field. Instead, it is monitored by Coffee Assurance Services. This is part of the 4C Compliance mechanism and failing to fulfil this requirement will result in non-conformity. © 2016 | Coffee Assurance Services | Page 69 of 72
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VERIFICATION REGULATIONS

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