Instruction

Auditor:
1 prepare your checklist before the audit: fill the tables below, use the identical numbers as in the checklist
2 please keep in mind: if the audit scope in RACP is not correctly registered by the CH, more or less requireme
3 collect the list of risky topics for the transition audit 2 on sharepoint:

Quality reviewer: at the end of the process, hide this sheet and column B in the checklist

Tables

copy & paste from self-assessment / list

of applicable requirements (excel shall
be available to the auditor and in copy & paste NCs from last
1_Preparation) year (if applicable)
applicable requirements NCs from previous audit
LFG 1.2.1 1.2.1
1.2.2 1.2.2
1.2.3 1.2.5
1.2.5 1.2.10
1.2.9 1.3.1
1.5.1 1.3.2
2.1.2 1.4.2
2.1.9 1.6.1
2.1.10 1.6.2
4.1.1 3.2.2
4.1.2 3.3.1
4.3.1 4.4.1
4.4.4 4.5.1
4.5.1 4.5.2
4.5.2 4.5.3
4.5.3 4.6.1
4.5.4 4.6.3
4.6.1 4.6.8
4.6.2 4.6.12
4.6.3 4.7.1
4.6.4 5.1.1
4.6.5 5.1.2
4.6.6 5.1.3
4.6.7 5.1.4
4.6.8 5.3.1
4.6.9 5.3.5
4.7.1 5.3.6
5.1.1 5.5.1
5.1.2 5.5.2
5.1.3 5.6.13
5.1.4 6.1.2
5.2.1 6.3.2
5.2.2 6.7.1
 5.2.3
5.3.1
5.3.2
5.3.3
5.3.5
5.3.6
5.3.8
5.3.9
5.5.1
5.5.2
5.5.3
5.5.4
5.6.1
5.6.2
5.6.4
5.6.7
5.6.8
5.6.9
5.6.10
5.6.11
5.6.12
5.6.13
5.6.14
5.6.15
5.6.16
5.7.1
5.7.2
5.8.2
6.1.1
6.1.2
6.2.2
6.3.1
6.3.2
6.4.1
6.4.2
6.4.3
6.4.4
6.4.5
6.4.6
6.5.1
6.5.2
6.6.2
6.6.3
6.7.1
6.7.2
KP 1.2.2
1.2.3
1.2.5
1.2.9
1.5.1
2.1.9
 2.1.10
2.2.4
5.1.1
5.1.2
5.1.3
5.1.4
5.2.1
5.2.2
5.2.3
5.3.1
5.3.2
5.3.3
5.3.5
5.3.6
5.3.8
5.3.9
5.5.1
5.5.2
5.5.3
5.6.1
5.6.2
5.6.4
5.6.7
5.6.8
5.6.9
5.6.10
5.6.11
5.6.12
5.6.13
5.6.14
5.6.15
5.6.16
5.7.1
5.7.2
6.6.2
6.6.3
Talun 1.2.1
1.2.2
1.2.3
1.2.5
1.2.7
1.2.9
1.2.10
1.2.13
1.3.1
1.3.2
1.3.4
1.4.2
1.5.1
1.6.1
1.6.2
 2.1.1
2.1.2
2.1.3
2.1.5
2.1.7
2.1.9
2.1.10
2.2.1
2.2.3
2.2.4
3.2.2
3.3.1
4.1.1
4.2.1
4.3.1
4.4.1
4.4.2
4.4.3
4.5.1
4.5.2
4.5.4
4.6.2
4.6.3
4.6.4
4.6.5
4.6.6
4.6.7
4.6.8
4.6.9
4.6.11
4.6.12
4.7.1
5.1.1
5.1.2
5.1.3
5.1.4
5.2.1
5.2.2
5.2.3
5.3.1
5.3.2
5.3.3
5.3.5
5.3.6
5.3.8
5.3.9
5.4.1
5.4.2
5.4.3
5.5.1
5.5.2
 5.5.3
5.5.4
5.6.1
5.6.2
5.6.4
5.6.7
5.6.8
5.6.9
5.6.10
5.6.11
5.6.12
5.6.13
5.6.14
5.6.15
5.6.16
5.7.1
5.7.2
5.8.1
5.8.2
6.1.3
6.2.1
6.2.2
6.4.1
6.5.1
6.5.2
6.5.3
6.6.2
6.6.3
6.7.1
6.7.2
6.8.1
saantosa 1.2.2
purbawindu 1.2.3
malabar 1.2.5
kertamanah 1.2.9
psr malang 1.5.1
rcbolang 2.1.9
arumsari 2.1.10
sinumbra 2.2.4
walini 5.1.1
dyhmggung 5.1.2
cisaruni 5.1.3
ciater 5.1.4
tanwate 5.2.1
arum 5.2.2
kt pusat 5.2.3
sperata 5.3.1
sedep 5.3.2
5.3.3
5.3.5
5.3.6
 5.3.8
5.3.9
5.5.1
5.5.2
5.5.3
5.6.1
5.6.2
5.6.4
5.6.7
5.6.8
5.6.9
5.6.10
5.6.11
5.6.12
5.6.13
5.6.14
5.6.15
5.6.16
5.7.1
5.7.2
6.6.2
6.6.3
ntical numbers as in the checklist
d by the CH, more or less requirements could be applicable for this audit
Working_Tools/Templates/2_Audit/Checklist/_Transition 2_risk requirements_minimum

B in the checklist

do not fill for supply chain audits!

Fill only for farm audits in transition 2: enter the enter additional
risk topics for the region/ country/ crop, as requirements with
identified in the list on sharepoint: high risk if applicable
_Transition 2_risk requirements_minimum (client specific)
Transition 2 high risk topics
1.2.1
1.2.2
1.2.3
1.2.4
1.2.5
1.2.6
1.2.7
1.2.8
1.2.9
1.2.10
1.2.11
1.2.12
1.2.13
1.2.16
1.2.17
1.6.1
1.6.2
2.1.1
2.1.2
2.1.3
2.1.4
2.1.5
2.1.6
2.1.7
2.1.8
2.1.9
2.1.10
2.1.11
2.1.12
2.1.13
4.5.1
4.5.2
4.5.3
4.5.4
4.6.1
4.6.2
4.6.3
4.6.4
4.6.5
4.6.6
4.6.7
4.6.8
4.6.9
4.6.10
4.6.11
4.6.12
5.1.1
5.1.2
5.1.3
5.1.4
5.3.1
5.3.2
5.3.3
5.3.4
5.3.5
5.3.6
5.3.7
5.3.8
5.3.9
5.3.10
5.6.1
5.6.2
5.6.3
5.6.4
5.6.5
5.6.6
5.6.7
5.6.8
5.6.9
5.6.10
5.6.11
5.6.12
5.6.13
5.6.14
5.6.15
5.6.16
6.1.1
6.1.2
6.1.3
6.3.1
6.3.2
6.4.1
6.4.2
6.4.3
6.4.4
6.4.5
6.4.6
6.7.1
6.7.2

Applicability of requirements -
Type
do not change formula!
applicable requirement, to be
Core
audited in transition 2
applicable requirement, to be
Core audited in transition 2, NC in
previous audit
applicable requirement, to be
Core
audited in transition 2
Checklist Version 1.2 - Updated December/2022
Self-
Conformity/ Findings Follow-up (Correction) Follow-up (Corrective Action) Status of non-conformity
Description of evidences of Non Conformity Mandatory Smart- Self-selected selected Supply Non- Not
# Requirement Non- Description of conformity/non conformity Root Cause of the non conformity Description of actions taken to close the NC (if Description of actions taken to close the 1.Open Core Mandatory improvement Comply
(For Auditors only) Meter improvement Smart- Chain conformity Applicable
conformity [if any/not applicable] any) NC (if any) 2.Closed with date of closure).
Meter
- Revise the SOP for the control of
forms/documents for at least 4 years
- Tidying up the archive/document storage
CH has retention document policy and procedure. However, the - Conduct periodic document reviews to
- Document control staff do not know that area at Sedep's farm.
retention policy only for 3 years and shorten than RA requirment ensure compliance with RA
RA SAS2020 documents must be kept for at
Records for certification purposes and compliance are kept for at least Non- for minimum 4 years. Documentary checking on files retention. requirements.
1.2.9 four years. least 4 years. Evidence submitted to close NC: Partially Closed, 26/06/2023
conformity Beside, in Sedep farm the management and archives room was not Observation on archieves rooms. '- Ensuring that the storage and
- Archive storage and management in the - CH has submitted revised SOP on document
properly done: RA realted docs of previous year (example 2021 and management of archives for at least the
plantation is not up to standard. retention procedure for 5 years.
2022) not available or missing. past 4 years is carried out properly.
There is no evidence of repairs to the archive
room at Sedep's farm
An up to date map of the farm (large farms) or the farm area (group of
small farms) is available, including:
• Farms/farm units/production zones Make/revise plantation maps in accordance
• Processing facilities with RA requirements (update date, riparian
• Human habitation areas There were farm maps of each farms unit, However, the map was Documentation/map division staff do not buffer, water body and reserve land/allocation
• Schools incomplete with minimum requriement on RA standard and map Checking on farm map of farm units. understand farm map requirements of partnership with other parties)
• Medical centers/first aid sites Conduct periodic monitoring of farms
Non- was not up to date (no date of the map revised). Example: mapa in Field observation during audit. according to RA standard (update date,
1.2.10 • Natural ecosystems, including water bodies and forests, and other map making by the Sustainability Closed 13 Jul 2023
existing natural vegetation conformity sample farm were separated , no information on riparian buffer, Interview with person in charge for updating riparian buffer, water body and reserved Evidence submitted to close NC:
Subdivision
• Riparian buffer zones conservation area/spring water, river and other water bodies, area farm maps. land/partnership designation with other - CH has submitted updated farm map with
• Agroforestry systems for partnership with other parties (vegetables productions). parties) detail information for Ciater, Talunsantosa
• Protected areas and Sinumbra, as well as Sedep.
The map also includes risk areas identified in the Risk Assessment (see
1.3.1). The date of the latest update
is displayed on the map.
Collect poligon map of cianten farm and
A polygon is available of the farm. If the farm has multiple farm units, a submit to CB.
polygon is provided for each farm unit. CH has prepared polygon maps. However, not all farm sites have Farm maps documents review. Conduct periodic monitoring of the
Non- Farm Unit was late in submitted documents
1.2.13 Please see Annex S17: Collecting Geolocation Data poligon map and submitted to CB until the time of audit. As Interview with person in charge for maps Evidence submitted to close NCs: production of garden maps by the Closed on 17 April 2023
conformity due to internet conectivity lacking
Please see Guidance Document D: Geolocation Data Requirements and example was Cianten farm. creation and updating. CH has submitted map and poloygon map of Sustainability Subdivision
Risk Maps Cianten farm and polygon map for whole
farms

Management conducts a Risk Assessment in relation to the requirements
applicable requirement, NC in in this standard, by using the Risk Assessment
Core 1.3.1 Tool, at least every three years. The risk mitigation measures are included
previous audit
in the management plan.
Management makes a management plan that includes the goals and
actions based on the
Risk Assessment (1.3.1) and self-assessment (1.4.2). For groups, the
applicable requirement, NC in
Core 1.3.2 management plan is additionally based on the
previous audit Management Capacity Assessment Tool (1.1.1) and internal inspection
(1.4.1). Management reports on the implementation
of the management plan yearly. The management plan is updated yearly.
CH has conducted risk assessment for all farm sites. However risk
Non- assessment still incomplete where not all relevant criteria were
conformity analyzed by CH. Example of missing assessment on HCV, housing
facilities and FPIC issues (partnership with other parties on farm).
CH has management plan for each farm site. However,
Non- Management plan submitted still missing acitivities realted HCV,
conformity housing facilities and FPIC (especially partnership with third
parties on farm cultivation of other crops)
Complete/improve the Risk Assessment with
The person in charge of the plantation risk criteria that have not been included (HCV
analysis is not thorough or complete in aspects, Settlement Facilities, FIPC Issues -
Risk assessment documents review of all farm carrying out the risk assessment so that the KSO collaboration and Farmer Partnerships)
Conduct periodic monitoring of
sites. risk assessment is not in accordance with so that it complies with RA requirements
plantation risk assessment by the Closed 13 Jul 2023
Interview with person in charge for making the RA standard requirements (HCV
Sustainability Subdivision
risk assessment of sample farm. aspects, Settlement Facilities, FIPC Issues - Evidence submitted to close NCs:
KSO collaboration and Farmer CH has submitted updated risk assessment
Partnerships) with additionall analysis on missing point as
mentioned in NC description.
Complete/improve the management plan with
criteria that have not been included (HCV
The person in charge of the management
aspects, Settlement Facilities, FIPC Issues -
plan was not thorough when making the
Management plan documents review of all KSO collaboration and Farmer Partnerships)
management plan at the beginning so that Conduct periodic monitoring of
farm sites. so that it complies with RA requirements
several aspects were missed as required by plantation Management plan by the Closed 13 Jul 2023
Interview with person in charge for making
the RA standard (HCV aspects, Settlement Sustainability Subdivision
management plan of CH and of sample farm. Evidence submitted to close NCs:
Facilities, FIPC Issues - KSO collaboration
CH has submitted updated management plan
and Farmer Partnership)
with additionall activities on missing point as
mentioned in NC description.
 Management conducts a soil assessment for a representative sample of The soil assessment program for all of RA's
Coordinate with the Plant Section to conduct
areas, and updates this at least once plantations has not been updated in the
soil assessment
every three years. The soil assessment includes, if relevant: management plan and will be carried out in
The 2022 soil assessment plan for all plantations has not been
• Erosion prone areas and slope the second half of 2023 (Erosion-prone land
carried out, including the sample plantations, both the soil Evidence submitted to close NC: Coordinate with the Plant Section to
applicable requirement, NC in • Soil structure Non- Interview with farm manager and slopes, Soil structure, Soil depth and
Core 4.4.1 • Soil depth and soil horizons assessments that will be carried out alone and those that are CH has submitted soil assessment pictures and prepare a periodic soil assessment Partially Closed, 13/07/2023
previous audit conformity Checking the related documentation. soil horizon, Density of compacted land
• Densification of compaction areas planned with third parties. result of Talun Sentosa farm, Sedep farm and budget once every 3 years
area, soil moisture and soil water content,
• Soil moisture and water level in the soil Ciater farm.
Drainage conditions , identify the area of
• Drainage conditions While soil assessment for Sinumbra farm not
land with clear symptoms of nutrient
• Identification of areas with visual symptoms of nutrient deficiency yet submitted
deficiency)

applicable requirement, to be
Core audited in transition 2, NC in
previous audit
There is no up to date IPM strategy document prepared by
Create an IPM Strategy document for the
competent professionals for all estates including the sample farms.
entire estate.
Management implements the IPM strategy as developed by a competent The document shown at Sedep's plantation is the operational
professional. The IPM strategy includes the guidelines for the audit of block analysis (NAB) and plant recovery
Evidence submitted:
prevention, monitoring and intervention measures for the scope of the to increase the productivity of tea plantations in 2017, the contents Documents review related IPM management The IPM documents already in the Coordinate with the Plant Section to
Non- Only IPM of Sedep & Talunsentosa, Ciater doc
4.5.1 whole farm, including processing facilities. The of which do not cover all aspects of the IPM strategy. Plant Section Interview with farm manager and responsible plantations do not cover all aspects of the prepare an IPM strategy budget by Open
IPM strategy is based on climate conditions, pest monitoring results, conformity submitted, but no info who (professional
Management The Ciater and Sinumbra Units only show a schedule staf for IPM IPM strategy professionals periodically every 3 years
implemented IPM actions and pesticides competent) who make it and date.
of Plant Maintenance activities (Pruning, Spraying root fertilizer,
application records. The IPM strategy is annually updated. While IPM strategy for whole / each farm has
Spraying foliar fertilizer) and Harvesting (harvesting machine
NOT been submitted or included in
picking) which are part of the IPM strategy when HPT attacks
management Plan.
occur.

applicable requirement, to be
Core audited in transition 2, NC in
previous audit
Completing IPM monitoring reports and
Producers regularly monitor pests and their principal natural enemies. Observation of farms attacked by helopeltis, natural enemies
Records of the monitoring are kept by large farms and by group Estate management has not regularly monitored pest disease and root fungus and plant weeds. Monitoring of HPT and natural enemies
Non- Conduct periodic monitoring by the
4.5.2 management for a representative sample natural enemies in Sedep & Talunsentosa, Ciater and Sinumbra Interview with farm manager and vice has not been carried out Evidence submitted: Partially Closed, 26/06/2023
of producers. Records include date, location, type of pest and or conformity Sustainability subdivision
estates. manager, also person in charge for IPM consistently/periodically Only monitoring pest disease and natural
beneficial insects. monitoring enemies on Sedep farm. While other farms not
yet submitted.

applicable requirement, to be
Core audited in transition 2, NC in
previous audit
For pest prevention and control, producers use biological, physical, and
other non-chemical control methods first,
and document the use and the effectiveness of these methods. When
threshold levels of pests are reached, producers
can use agrochemical applications, as advised by a competent technician
and/or upon the advice or instruction
by an official national organization.
4.5.3 When agrochemicals are used:
• Agrochemicals with the lowest possible toxicity and highest
selectiveness are used
• Applications are made only on the impacted plants and areas
• Active ingredients are rotated to avoid and reduce resistance
• Calendar spraying is avoided, and only allowed when recommended by
a competent technician
or official national organization
Monitor the EWS (Early Warning System)
consistently/periodically to ensure that if there
is a pest attack it can be overcome immediately
The management of the Sedep, Ciater and Sinumbra farms carried
and the spread of the pest does not spread
out IPM prevention activities by weeding, climbing (dawung), Check pesticide application records.
EWS has not been effectively carried out so
Non- pruning and scoping and planting citronella on the side of the Observation of gardens attacked by pests and Conduct regular awareness regarding
pest spraying needs to be done or not at Evidence submitted: Partially Closed on 13 Jul 2023
conformity garden boundary as a pest repellent plant. diseases. EWS
that location CH submitted evidence of EWS activities
However, the plantation management continues to prevent IPM by Interview the foreman of Plant Protection.
(monitoring on pest and disease included) for
spraying chemical pesticides regularly.
Talun Sentosa, Ciater, and Sedep farms.
But, EWS for Sinumbra farm not yet
submitted

Create a training program and provide IPM-

applicable requirement, to be
Core
audited in transition 2
The management of the Sedep, Ciater and Sinumbra farms only related training to all employees
conducts training on the use of PPE for department assistants and PPE Training Documentation in sample farms
Producers and workers that are involved in pest management activities Non- Socialization/awareness related to IPM has
4.5.4 are trained about the IPM strategy. farm foremen. Management and plantation workers related to IPM Interview the assistant department and staff of Evidence submitted: Conduct regular outreach/awareness Partially Closed, 26/06/2023
conformity not been carried out to all workers
stated that there had been no IPM strategy training since the start the Farm Document Control CH submitted evidence of training PPE, but
of the RA2020 standard. NC mostly related to IPM training. No evidnce
submitted for IPM training.

applicable requirement, to be
Core audited in transition 2, NC in
previous audit
applicable requirement, to be
Core
audited in transition 2
applicable requirement, to be
Core
audited in transition 2
No agrochemicals are used that are:
• On the Rainforest Alliance List of Prohibited Pesticides or List of
Obsolete Pesticides
• Prohibited by applicable law
• Not legally registered in the country where the farm is located
4.6.1 Producers use only agrochemicals sold by authorized vendors, in original
and sealed packaging.
Chemical substances used for livestock or pets are not included in the
scope of this standard
Applicable to group management in case the group management has a
purchasing task.
If producers use pesticides included on the Risk Mitigation list, all
respective risk mitigation practices, as described
in Annex S7, Pesticides Management, are implemented.
4.6.2 If producers use pesticides included in the Exceptional Use Policy, all
respective risk mitigation practices, as described
in this policy, are implemented.
Mechanisms are established and maintained to avoid contamination by
pesticides, through spray drift or other
pathways, from treated areas to other areas including all aquatic and
4.6.6 terrestrial natural ecosystems and
infrastructure.
Such mechanisms include non-crop vegetative barriers, non-application
zones or other effective mechanisms.
PTPN 8 farm management has not yet identified and provided an
Update List of Banned Pesticides and Risk Mitigation based on
annex 4 RA 2020.
The plantation management only provides Herbicide and Pesticides Documentation of the list of Herbicide and
Non- data provided and used for 2022-2023 by PJTK operators PT
conformity Sarana Gema Prakasya such as Round Up, Sun Up, Elang, Rambo Gema Prakarsya in 2022 - 2023. Interview
(Gliposphat IPA), Poksindo (Propoksur) for Helopeltis and
Cuprocide (Copper hydroxide) for Blister blight (mushroom),
Tikam (Cypermethrin), Telstar (Bifenthrin) and Mitisun
(Propargit)
PTPN 8 farm management has not yet identified and provided an
Update List of Banned Pesticides and Risk Mitigation based on
annex 4 RA 2020.
The plantation management only provides Herbicide and Pesticides Documentation of the list of Herbicide and
Non- data provided and used for 2022-2023 by PJTK operators PT
conformity Sarana Gema Prakasya such as Round Up, Sun Up, Elang, Rambo Gema Prakarsya in 2022 - 2023. Interview
(Gliposphat IPA), Poksindo (Propoksur) for Helopeltis and
Cuprocide (Copper hydroxide) for Blister blight (mushroom),
Tikam (Cypermethrin), Telstar (Bifenthrin) and Mitisun
(Propargit)
The plantation management has established a pesticide safe zone of
30 meters from housing, watersheds and water sources. However,
Non-
the Management of the Sinumbra estate has not yet implemented a
conformity
mechanism to avoid spray contamination at the Ciparay
Emplacement which is directly adjacent to the tea farm.
Pesticides provided by Vendors of PT Sarana
with farm departmental assistants
Pesticides provided by Vendors of PT Sarana
with farm departmental assistants
Observation of Ciparay Emplacement and
Ciparay spring on Block 10
Interview with the Grand Foreman and the
Foreman of the Sinumbra Block,
The plantation has not socialized the
Update List of Prohibited Pesticides and
Risk Mitigation based on annex 4 RA 2020
to employees of PT. Gema Prakasya
Facility
The plantation has not socialized the
Update List of Prohibited Pesticides and
Risk Mitigation based on annex 7 RA 2020
to employees of PT. Gema Prakasya
Facility
Work Instructions are available but have Evidense submitted:
not yet accommodated/stipulated pesticide Sedep farm internal letter and revised SOP in
safe zones from housing, watersheds and
water sources
Make a list of prohibited pesticides and risk
mitigation according to Annex 4 RA 2020
Evidence subitted:
CH submite official letter from management to Periodic monitoring of the list of
all farm unit manager about list pesticide safe pesticides that are prohibited by the RA Partially Closed on 13 Jul 2023
to be used and refer to RA annex Farming. standard
However no email about letter has been sent
with attachment of RA Annex 4 farming
and/or follow up with employees of PT Sarana
Gema Prakarsya.
Make a list of prohibited pesticides and risk
mitigation according to Annex 4 RA 2020
Evidence subitted:
CH submite official letter from management to Periodic monitoring of the list of
all farm unit manager about list pesticide safe pesticides that are prohibited by the RA Partially Closed on 13 Jul 2023
to be used and refer to RA annex Farming. standard
However no email about letter has been sent
with attachment of RA Annex 4 farming
and/or follow up with employees of PT Sarana
Gema Prakarsya.
Revise working instruction about IPM
Standard Oepration Procedure (SOP) /
Working Instruction (WI) review Partially Closed on 13 Jul 2023
spraying distance has been submitted.
periodically
But, Sinumbra farm, where NC founded, no
correction submitted (SOP revision as well as
picture proof on spraying distance border).

applicable requirement, to be
Core audited in transition 2, NC in
previous audit
applicable requirement, to be
Core
audited in transition 2
applicable requirement, to be
Core audited in transition 2, NC in
previous audit
Pesticide applications are recorded. Records include:
• Product brand name and active ingredient(s)
• Date and time of application
• Location and area (size) of application
• Dosage and volume
4.6.8 • Crop
• Name(s) of applicator(s)
• Target pest
Group management facilitates record keeping for group members when
needed.
Agrochemicals and application equipment are stored in accordance with
the label instructions and in a way that
minimizes negative impact on the environment and human health.
Agrochemicals are stored in their original
containers or packaging.
Facilities for storing agrochemicals and application equipment are:
4.6.11 • Dry, clean, well ventilated and with a sound roof and impermeable floor
• Safely locked and accessible only by trained handlers
• Separated from crops, food products or packaging material
• With an emergency spill kit
• With visible and understandable safety warning signs and pictograms
• With an emergency procedure, eye-washing area and an emergency
shower
An up-to-date pesticide stock inventory is available and maintained. The
inventory includes:
• Date of purchase
• Product brand name and active ingredient, including an indication of
4.6.12 chemicals that are on the Risk Mitigation list
• Volume
• Date of expiration
For groups this is only applicable for centralized stock.
Pesticide application records (insecticides, herbicides, fungicides)
are available with contents according to RA requirements in
Sedep's plantation. However, the number of doses and volume of
Non- pesticides used were not filled out. So it cannot be confirmed
conformity whether the application complies with the MSDS or not.
The management of Ciater and Sinumbra Estates only has stock
cards for the use of chemical fertilizers, while the use of pesticides
and herbicides by service providers is not recorded.
In each CH garden there is already a warehouse for storing
fertilizers and agrochemicals. However, the agrochemical
warehouse in Sedep's garden, especially the fertilizer warehouse,
was in a damp condition and there were spills of fertilizer that were
Observations in agrochemical warehouses in
Non- not cleaned properly. Warning signs, SOPs and pictograms are also
Talun Santosa and Sedep, Ciater and
conformity not updated regarding the pesticides/fertilizers used.
Sinumbra.
Agrochemical warehouses in Ciater and Sinumbra lack air
circulation and are poorly maintained. Currently it is only used to
store the remaining stock of last year's chemical fertilizers or is no
longer used.
During the audit of the Sedep Plantation pesticide warehouse, there
were only stock cards for pesticides in the warehouse that had not
been used for the last 2 years. Meanwhile, for herbicides (sun up,
round up), insecticides/fungicides (Poksindo and Cuprocide) used
in 2022-2023 there are no inventory records (incoming goods,
Non-
brands, active ingredients, RA risk category, volume and
conformity
expiration date).
In the Ciater and Sinumbra gardens the use of pesticide
applications for the period 2022 - 2023 is not known for recording
because now pesticide management is managed by service
providers.
Documents of the use of chemical fertilizers
and interviews with the farm management
Observation at the pesticide warehouse in
Talun Santosa and Sedep. Ciater and
Sinumbra.
Interview with the foreman of the Pesticide
and B3 warehouses at Ciater and Sinumbra
Farms
- Records of pesticide application have not
been completed with doses and volumes
- - Lack of PIC consistency in filling out the
form so that pesticide doses and volumes
are not written down/recorded
- PJTK has not recorded the stock of
pesticide use
- - Lack of coordination between the
plantation and the PJTK regarding the
use/supply of pesticides and herbicides
- Lack of maintenance of warehouse
infrastructure resulting in humid
conditions and lack of air circulation
- Lack of PIC in keeping the warehouse
clean so that lots of spills fall directly to the
floor
- Lack of hazard warnings in the
agrochemical warehouse
- Inventory recording in the pestida
warehouse, there are no inventory records CH submitted stock record of inventory
(incoming goods, brands,
- Completing the recording of pesticide
applications with doses and volumes
- Conduct periodic monitoring to ensure
Evidence submitted:
all records are appropriate (records of
Only Sedep, Talun Sentosa and Ciater farm Partially Closed on 13 Jul 2023
pesticide application and inventory
submitted new pesticide application form (with
stock)
dosage and Volume), including PJTK record.
No evidence from Sinumbra farm
'- Make improvements to warehouse conditions
- Carry out regular cleaning of the warehouse
- Completed hazard warning signs in the
warehouse area
Evidence submitted:
Ciater farm submit monitoring infrastucture Conduct periodic checks to ensure
condition list. warehouse conditions are in accordance Partially Closed on 13 Jul 2023
Evidence of cleaning and agrochemical with requirements
information / monitoring form on Sedep
warehouse.
NO evidence submitted on agroechemcial
warehouse in Sinumbra, Ciater that already
cleaned.
Make stock records of the use of herbicides
and pesticides by the PJTK
Evidence submitetd to close NC: Carry out regular monitoring to ensure
that pesticide inventory records are Partially Closed on 13 Jul 2023
agrochemical in Sedep farm and Ciater farms. complete
No evidence submitted about pesticide record
by PJTK in Sinumbra farm

applicable requirement, to be
Core audited in transition 2, NC in
previous audit
applicable requirement, to be
Core audited in transition 2, NC in
previous audit
Commitment:
Management commits to assess-and-address child labor, forced labor,
discrimination, and workplace violence and
harassment by:
• Appointing a management representative who is accountable for the
assess-and-address system
• For large farms, individually certified farms and supply chain certificate
holders: giving a mandate to a committee
comprised of the appointed management representative and workers
representative(s) to manage
the assess-and-address system. The worker representative(s) is/are
selected by workers.
• For group management: giving a mandate to a committee comprised of
the appointed management representative Revise the Decree of the Access Address
and a group member representative to manage the assess-and-address There is management commitment to assess AA issues in CH. Committee
system. Group management can There is already an appointed AA committee. The Committee also
Review of AA committee decision letter - There is still a lack of understanding of
choose to appoint a management representative only instead of a Non- understands issues related to AA. Evidence submitted: Periodically review the access address
5.1.1 committee. documentation the PIC in making the composition of the Partially Closed on 13 Jul 2023
conformity However, the committee members are only workers' CH has submitetd new decision letetr of AA committee
The committee members are: Interview with the AA committee. Access Address Committee
representatives (SP-BUN) and there are no management committee from management representative in
• Knowledgeable about child labor, forced labor, discrimination and representatives in the committee. Sedep, Talunsentosa and Ciater.
workplace violence and harassment No evidence for Sinumbra.
• Impartial, accessible and trusted by workers/group members
Communication:
• Management representative/committee: coordinates with
management, the grievance committee
and the gender person/committee
• Raises awareness of these four issues with management and (group)
staff at least annually
• Informs workers/group members in writing that child labor, forced
labor, discrimination and workplace
violence and harassment are not tolerated, and that management has a
system in place to assess-and-address
related cases. This information is visibly displayed at central locations at
Monitoring:
all times.
The management representative/committee
• Monitors risks and the implementation of risk mitigation measures
• Reports potential cases of child labor, forced labor, discrimination, and Deveop monitoring AA form and Identifying
workplace violence and harassment potential cases to assess address
So far there have been no potential and confirmed cases related to
to the management and to the grievance committee There is still a lack of understanding of the Conduct periodic evaluations to ensure
Non- the issue of Assess and Address (AA) in the sample plantations.
5.1.3 • Monitors remediation activities (see 5.1.4) Interview with AA committee member standards, so the AA committee has not yet Evidence submitted: all potential AA cases have been Partially Closed on 13 Jul 2023
The intensity of the monitoring system is adjusted to the risk level and conformity However, the AA committee has not conducted regular monitoring
identified potential access address cases CH has submitetd cheklist monitoring AA identified
the issue. regarding potential AA cases that may occur periodically.
issue in SEDEP farm,
Indicator: but not for other farms.
• The number of potential cases identified by the monitoring system and
referred to the grievance mechanism
(by gender, age, and type of issue)

applicable requirement, to be
Core
audited in transition 2
applicable requirement, NC in
Core
previous audit
applicable requirement, to be
Core
audited in transition 2
applicable requirement, to be
Core
audited in transition 2
applicable requirement, to be
Core
audited in transition 2
applicable requirement, to be
Core audited in transition 2, NC in
previous audit
applicable requirement, to be
Core
audited in transition 2
applicable requirement, to be
Core audited in transition 2, NC in
previous audit
applicable requirement, to be
Core
audited in transition 2
applicable requirement, to be
Core audited in transition 2, NC in
previous audit
applicable requirement, to be
Core
audited in transition 2
applicable requirement, to be
Core
audited in transition 2
applicable requirement, to be
Core audited in transition 2, NC in
previous audit
If labor providers are used, management has a written contract and
documented oversight mechanisms in place
ensuring that the labor provider is:
• Licensed or certified by the competent national authority, if applicable
5.3.9 • Compliant with applicable legal requirements
• Not engaged in fraudulent or coercive recruiting practices
• Compliant with applicable worker related requirements 5.3 and 5.5 of
this standard
All recruitment fees are paid by the management, not by workers.
Workers do not work more than eight regular working hours per day and
48 regular working hours per week.
In addition, workers have at least a 30-minute break after a maximum of
six consecutive hours of work and Non-
5.5.1 are granted at least one full day of rest after a maximum of six
conformity
consecutive days of work.
The regular work hours of guards do not exceed 56 hours per week on
average per year.
A competent professional conducts an analysis of the occupational health
and safety risks. Corresponding health
and safety measures are included in the management plan and
implemented, considering at least the following;
• Risk analysis
• Compliance with regulations Non-
5.6.1 • Training of workers
conformity
• Procedures and equipment to ensure health and safety
The number and type of occupational health and safety incidents are
recorded (specified for men and women)
and include incidents related to agrochemical use.
For groups of small farms this is done for their own facilities.
Sufficient, clean, and functioning toilets and handwashing stations are
provided in or close by agricultural
production, processing, maintenance, office sites, and workers’ housing.
Facilities are divided by gender in the case of 10 or more workers. Urinals Non-
5.6.7 are separated from toilets used
by females. Safety and privacy of vulnerable groups are ensured, by at
least well-lit and lockable facilities.
Workers are allowed to frequent these facilities when needed.
Persons that work in hazardous situations (e.g. under challenging
terrains, with machines or with hazardous
5.6.9 materials) use appropriate Personal Protective Equipment (PPE). These
persons are trained in the use of the PPE
and have access to the PPE free of charge.
Workshops, storage areas, and processing facilities are safe, clean, with
sufficient light and ventilation.
A clear and written accident and emergency procedure is in place. It
includes marked fire exits, evacuation maps,
at least one emergency drill per year. Management informs workers
5.6.13 about this procedure.
There is firefighting equipment and equipment to remediate spillage of
materials. Workers are trained on
how to use this equipment.
Only authorized personnel have access to workshops, storage, or
processing facilities.
Workers receive basic training on occupational health, safety, and
5.6.15 hygiene and related instructions are visibly displayed
at central locations.
Production or processing does not occur in protected areas or their
6.1.2 officially designated buffer zones,
except where it complies with applicable law.
Management includes the mitigation measures from the Risk Assessment
Tool in 1.3.1 with regard to Non-
6.1.3 High Conservation Values in the management plan (1.3.2). Management
conformity
implements these measures.
Producers maintain the following additional safeguards for the protection
of drinking water in case the farm is located closer than 50 m to a river,
lake, or other water body that is frequently used as the main source
of drinking.
• Maintain or establish a riparian buffer that is at least 10 m wide
6.3.2 • Add an outer, additional 20m non-application zone (total 30m) where
no pesticides or fertilizers are used
• Add an additional 20m zone (from 30 to 50m from the waterbody), in
which pesticides are only applied
through mechanical, hand-assisted or targeted application
Producers do not hold wildlife in captivity. Captive wild animals that were
present on the farm before the earliest certification
date are sent to professional shelters or may be held only for non-
6.4.2 commercial purposes for the remainder
of their lives. Captive wild animals and farm animals are treated following
the five freedoms of animal welfare.
Erosion by water and wind is reduced through practices such as re-
6.4.5 vegetation of steep areas and terracing.
Waste is stored, treated and disposed of in ways that do not pose health
or safety risks to people, animals or
6.7.1 natural ecosystems. Waste is stored and disposed of only in designated
areas and not disposed of in natural
or aquatic ecosystems. Non-organic waste is not left on the land.
There is a cooperation contract between CH and PT SGP as a
provider of labor services. The contents of the contract clearly
explain the rights and obligations of both parties.
However, in terms of the contract and its realization is different,
Non- the foreman/supervisor of workers only earns IDR 1.5 million per
conformity month below the UMP/UMSP that applies in West Java (IDR 2
million). SGP stated that it would increase wages according to the
provincial minimum wage (UMP) / West Java Plantation Sector
Minimum Wage (UMSP), but the latest agreement was not yet
available during the audit.
In general, employees work 6-7 hours per day for 6 days with a
total working hours of 40 hours a week according to the work
contract/PKB.
However, there are workers in tea factories in certain sections (eg
sorting department) who work more than 8 hours a day or more
than 48 hours a week.
CH already has an OHS risk analysis. However, the OHS risk
analysis was prepared by the RA coordinator for each farm, who is
not a certified OHS expert. In addition, the risk analysis does not
yet clearly describe what PPE should be used for each type and risk
of work both in plantations and factories.
In general, CH has provided toilet and shower facilities in all
workers' emplacements. However, there are no toilets in the garden
which is far from the emplacement. Workers complain about the
Observation of employee toilets.
absence of toilets in the plantations. In addition, there were 2
conformity employee toilet units at the Ciater Factory which were damaged
engineering divisions at the Plantation Unit.
(located at the back of the loading and unloading section).
Meanwhile, in the toilet for the employees of the Sinumbra Factory,
1 toilet was damaged and the toilet light was lacking.
Workers in a situation of danger in factories, farms and pesticide
applications use PPE when working according to the required
Non-
safety.
conformity
Only in part PPE has not been provided free of charge to workers
(factories and plantations)
In general, the factory conditions are still feasible to operate.
However, at the Sinumbra Factory, floors 2 and 3 of the Withering
section, the existing plank floors are patchy (uneven) so that it
Non- endangers workers. Lighting in the same room at night is not
conformity bright enough, and there are several points where the lights are off. Interview with workers
The APAR equipment in the Diesel Room has expired since 2020
and the APAR placement is far from the fire source (Engine,
Combustion Room and Fuel Warehouse) in Ciater and Sinumbra,
Workers at the Ciater and Sinumbta factories do not understand
the importance of OSH and have never received OSH training at Observation of Factory Layout and
Non-
the factory. Workers do not pay attention to evacuation route Evacuation Routes.
conformity
boundary signs when placing goods and equipment (barrels etc.) in Factory Processing assistant interview.
the factory so that it is not tidy and endangers workers.
There are many points in CH plantations which are detected as
Non- high risk forest/protected area (PA) and deforestation. CH has not
conformity verified whether the point is indeed a high risk or not based on the
RA Risk map.
The HCV assessment has not been included in the risk analysis for
Farm map of CH, Management plan
all PTPN 8 plantations which have a total area of more than 10,000
Interview with farm management and
Ha spread over 5 Regencies and there are no activities related to
documentation staff
HCV in the management plan. .
There are sources of drinking water at the Talunsentosa (SKT) and
Sedep farms, less than 50 m away from the tea farm block. Even in
Talun, there are vegetables planted above/near drinking water
sources. There is no sufficient bufferzone to protect drinking water
sources from contamination by pesticides and agricultural
Non-
activities.
conformity
There is a spring in Block 10 - Ciparay Sinumbra at the top it was
found that there was herbicide spraying (roundup) by coffee and
strawberry partnership farmers with a distance of less than 50 m.
This is because the location is somewhat hidden below and there is
no sign of limits for spraying herbicides.
There were 2 workers living in farm housing/emplacement Lodaya
Non- Observation during emplacement visit
and Kendeng inside Sedep farm, who kept wild bird (not
conformity Interviwe with workers
endangered) and partly for commecial pupose (buy and sell birds).
There were some land erosion founded during audit, like in area
Non- inside Blok 10 CIparay nearby spring water source iin Sinumbra
conformity farm. In block Purbasari 1 of Sedep farm, there were erosion
nearby forest.
CH has notification board in the farm for workers not dispose any
waste inside the farms. In the housing area, CH also provided waste
bins for workers.
However, in block Papandayan and Kendeng of Sedep, there were
found non organic waste disposed in the farm, like plastic bags,
used plastic of food/drinks packaging, used fertilizer and pesticide
bags, used drinking bottle.
Non-
In block Mojang in Ciater site where become route for mount
conformity
Tangkuban PErahu climbing, There were founded many plastic
bags, used food/drink food package and no waste bins provided. In
Block 6 of Ciater farm nearby conservation forest (mahagony
trees) and close by land managed by local people, there were many
household waste founded and dispose at the farm.
Review contract between CH and PT SGP
Interview with management PT SGP
Interview with sample workers, especially
workers in factory
OHS risk documentation, Fire Extinguisher
Location Map, First Aid and Factory
Evacuation Routes.
Interview with Processing Assistant and farm
manager.
interviews for the maintenance and
Interview with workers and management of
farm
Observation on Sinumbra factory
Risk map review from RA
Interview with farm management
Observation of the location of the springs and
water bodies / Riparian areas in the sample
farm springs.
Interview the foreman and farm management application of RA certification so there are
as well as the farm documentation control
staff.
Farm observation during audit
Interview with farm supervisor on sample
farm
Farm observation during audit
Interview with farm supervisor on sample
farm
- Lack of outreach to PJTK regarding the
application of RA certification, resulting in
workers receiving wages below the
applicable UMP/UMSP
Overtime hours are calculated with a
premium, but there is no analysis of the
suitability of the premiums with overtime
hours so that the working hours exceed 8
hours
- K3U Expert Certificate already exists at
the corporate level, but awareness is
carried out for those in charge at the
plantation level
- The existing Risk Analysis does not
describe the PPE that must be used in
plantations and factories"
- The minimum budget to build a toilet in
the garden which is located far away
- Maintenance of toilets is not intensive
Lack of outreach to employees that PPE is Conduct PPE SOP socialization to employees
provided by the company and is given free
of charge
- Lack of maintenance of the withering
room building
- Monitoring of the use of APAR has not
been carried out
Socialization/awareness regarding K3 has
not been given to all employees
Lack of PICs in the plantations who can
operate/manufacture GIS resulting in
difficulties in processing the Risk MAP
data provided by RA
- Lack of understanding regarding RA
standards, especially those related to HCV CH has updated risk assessment and
There is still a lack of understanding by the
community/employees regarding the
still arable lands near water sources
Lack of outreach to employees regarding
the prohibition on keeping protected
animals
The plantation has not yet identified areas
that have the potential for erosion
Lack of understanding of employees and
the surrounding community to maintain the CH submit awareness training/socialization to
cleanliness of the garden area
Increase the wages of PJTK (labour provider)
foremen/supervisors according to UMP/UMSP
(Province officiaal minimum wages)
Periodic monitoring of wages by the
Evidence submitted: Closed 13 Jul 2023
plantation
CH has submitted new contract between PJTK
and foreman/supervisor representative that the
new wages mentioned meet with the Provincial
official minimum wages of West Java.
Make an analysis of the calculation of overtime
hours based on the premium received.
Evidence submitted:
Periodically review the premium /
Overtime calculation for SEDEP, Talun Partially Closed on 13 Jul 2023
overtime policy
sentosa, Ciater farm and socialization on
working hours in Talun Sentosa.
But not yet for Sinumbrafarms as well as
monitor working hours.
- Conduct awareness of K3U/SMK3 Experts at
the plantation level
- Revise the risk analysis document
- Conduct socialization of SMK3
Evidence submitted : periodically
CH has submitted the refreshment training of - Conduct periodic
OHS for alll farm unit management (invitation monitoring/evaluation to ensure Partially Closed on 13 Jul 2023
and training material). appropriate risk analysis
However, proof of expert OHS certificate in
corporate level not yet submitted and detail
PPE have to be used by plantation and factory
workers.
- Making portable toilets for garden workers
away from emplacements
- Repairing broken toilets
Ensure the availability of toilets for
Evidence submitted:
plantation workers who are far from the Partially Closed on 13 Jul 2023
Proof of toliet renovation in Sinumbra farm.
emplacement
Proof for Cieter farm toilets renovation.
No proof field toilet on far away blocks,
including in management plan
Checking the condition of employee PPE
periodically to ensure that employee Open
NO relevant Evidence submitted to close NC PPE is in good condition
- Fixed the building of the withering chamber
- Replacing Expired APAR (fire extinghuiser)
Evidence submitted to close NC
- Monitoring building maintenance and
CH submitted evidence of renovation in Closed 13 Jul 2023
use of APAR
whiltering chamber and APAR in Sinumbra
farm and Ciater farm, including monitoring
APAR.
Conduct OHS training to employees
Evaluate training programs periodically
Evidence submitted:
to ensure that all employees have Partially Closed, 26/06/2023
Ch submitted training plan included OHS of
received socialization
Ciater and Sinumbra farm.
No evidence training has been done so far.
Making a polygon map (identification of
deforestation in plantation HGU land)
Conduct periodic verification to ensure
that no high risk and deforestation are Open
NO Relevant Evidence submitted
detected in the plantation area
- Update risk assessment with HCV analysis
and include in management plan.
'-Conducting an HCV assessment for the
Sinumbra estate
Evidence submitted to close NCs:
Periodic HCV monitoring Closed 13 Jul 2023
management plan by including HCV
assessment activities.
'-CH submitted proof of HCV assessment with
PT Bumi Hijau Cemerlang conducted in May
2023 in Sinumbra farm.
Outreach to the surrounding community and
prohibit farming around water sources and
rivers.
Evidence sbmitted to close NC:
Conduct regular outreach/awareness to
CH submitetd proof of warning letetr to Partially Closed, 26/06/2023
the community/employees
cultivate close to spring, pictures of protection
spring, zone for agriculture.
NO same evidence submitted yet for Sedep and
Talun.
- Outreach to employees regarding the
prohibition of keeping protected wild animals
- Give punishment by having to release
protected wild birds.
Periodic outreach to employees
regarding the prohibition of keeping Closed on 26.06.2023
Evidence submitted to close NCs:
protected wild animals
CH Sedep-talun submitetd socialization on
prohibited kept wild animal on cage to workers
and community, anad proof that birds had
been release to nature.
Make identification of erosion/erosion-prone
Conduct periodic reviews to ensure
areas in the plantation area
erosion or erosion-prone areas have Open
been identified
NO Relevant Evidence submitted
Socialization to employees of the surrounding
community regarding cleanliness in the garden
area.
Evidence submitted to close NCs:
Conduct regular outreach to the
Closed 13 Jul 2023
community and put up warning signs
workers & community. Clean the area where
waste existed, put waste bin and notice board
in Ciater and Sedep Farm.