4C System
Our Certification System
The 4C System spans across two certification scopes:
4C Coffee and Cocoa Production Certification (CP)
The 4C Coffee/Cocoa Production (CP) Certification covers the 4C Unit, which consists of:
The certificate holder, the Managing Entity (ME).
Business Partners Producers (BP Producers) and Business Partners Service Providers (BP Service Providers).
The 4C CP certification is mandatory in order to commercialise coffee or cocoa as 4C certified.
The Managing Entity is the certificate holder and responsible for the compliance of its BPs with the 4C requirements. In general*, the ME is also the actor selling the 4C certified product from its 4C Unit to the First Buyer outside of the 4C Unit (an Intermediary Buyer (IB) or potentially also a Final Buyer (FB)).
*The role of selling 4C certified products to the First Buyer outside of the 4C Unit can also be performed by authorised BP Traders that are part of the 4C Unit. This authorisation must be indicated clearly in the BPM by marking this BP Service Provider with the function of “Trader”.
If you would like to find out how to obtain the 4C certification for coffee/cocoa production, please read here.
4C Chain of Custody Certification (CoC)
The Chain of Custody certification can be applied to those actors that are outside the boundary of the 4C Unit, further down of the supply chain. This includes Intermediary Buyers, Final Buyers, Distributers, and Licensees. As of the 4C System Regulations v.5.0, the 4C CoC certification is mandatory for IBs and voluntary for all further down-stream actors, such as FBs, Distributers, and Licensees.
Find more detailed explanations on the different audit types in our 4C Academy.
Continuous Improvement
The 4C certification system follows the principle of continuous improvement. Each certification cycle within the 4C Coffee or Cocoa Production certification lasts three years, i.e., every three years a recertification audit must be conducted. Within the three-year cycle, two Annual Surveillance Audits (ASAs) – previously called Annual Updates – must be performed.
All 4C checkpoints must be complied with in every (re)certification audit. However, the number of major checkpoints increases with each compliance level. Major checkpoints imply that non-conformities identified with these checkpoints must be resolved right away. Non-conformities with minor checkpoints are collected in an Improvement Plan and must be resolved by the next ASA or recertification, depending on the particular checkpoint.
Find more detailed explanations on the different audit types on our 4C Academy.
Audit types
Audit types and required documents to be prepared by the certificate holder.
4C Coffee and Cocoa Production Certification (CP)
Initial Certification audit
What and When
- Full, on-site audit to obtain the 4C certificate.
- During harvest season or before harvest season (if conducted before the harvest season, a surveillance audit is required during the next harvest season) .
Which documents are to be prepared by the certificate holder:
- BPM
Recertification audit
What and When
- Full audit to maintain the 4C certificate
- Conducted every 3 years
- During harvest season
Which documents are to be prepared by the certificate holder:
- BPM
- Improvement Plan (IP)
Other types of Surveillance Audits
What and When
- Conducted 1 and 2 years after the certification audit (i.e., ASA 1 and ASA2).
Which documents are to be prepared by the certificate holder:
- BPM
- Improvement Plan (IP)
Annual Surveillance Audit (ASA) -previously Annual Update
What and When
- Additional audits that can occur within the three year validity period of a 4C certificate.
- Various reasons that can cause a surveillance audit, e.g., if the initial certification audit is conducted outside of the harvest season.
Which documents are to be prepared by the certificate holder:
- BPM
- Improvement Plan (IP)
Addendum Audit
What and When
- Requires if a new BP Service Provider joins the 4C Unit or of the turnover rate of BP Producers exceeds 10%.
- Sample is only taken from the new BPs.
Which documents are to be prepared by the certificate holder:
- BPM
- Improvement Plan (IP)
integrity Audit
What and When
- Conducted by 4C staff based on risk assessment and other factors.
4C Chain of Custody Certification (CoC)
Initial Certification audit
What and When
- Full audit to obtain the 4C certificate.
- Facilities that physically handle 4C certified coffee/cocoa must be audited on-site; warehouses and office facilities can be audited remotely.
Which documents are to be prepared by the certificate holder:
- BPM
Recertification audit
What and When
- Full audit to maintain the 4C certificate
- Conducted every 3 years
- Facilities that physically handle 4C certified coffee/cocoa must be audited on-site; warehouses and office facilities can be audited remotely.
Which documents are to be prepared by the certificate holder:
- BPM
Annual Surveillance Audit
What and When
- Conducted 1 and 2 years after the certification audit (i.e., ASA 1 and ASA2)
Which documents are to be prepared by the certificate holder:
- BPM
integrity Audit
What and When
- Conducted by 4C staff based on risk assessment and other factors.
If you have any further questions, reach out to our certification team.
Further Information