policy for farm and chain of custody certification in …
TRANSCRIPT
POLICY FOR FARM AND
CHAIN OF CUSTODY
CERTIFICATION IN
COCOA February 2021
Version 1.4
2
More information?
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specific interpretation issues about this document contact [email protected].
Translation Disclaimer
Rainforest Alliance makes every effort to ensure translation accuracy of all Rainforest Alliance
sustainable agriculture certification program documents into languages other than English.
Any question arising from interpretation of the document content in different languages should
refer to the English official version as the reference document. Any discrepancies or differences
created in the translation are not binding and have no effect for auditing or certification
purposes.
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Issue Date: Binding date: Expiration date:
14 April 2020
Revised 7 July 2020, 16 September
2020, 1 October 2020, 15 February
2021
1 June 2020
*see table below each section
for binding date of each
specific criterion
1 July 2021
Developed by: Approved by:
Rainforest Alliance Director, Standards and Assurance
Linked to (code and name of documents, if applicable):
UTZ related documents
UTZ Assurance Certification protocol, version
4.3 December 2018
Letter from April 18th, 2019 Important Notice:
new requirements for UTZ and Rainforest
Certificate holders in Côte d’Ivoire and Ghana
UTZ Core Code of Conduct for group and
multi-group certification, version 1.1 + cocoa
module
Chain of Custody Standard + Cocoa Annex
Rainforest Alliance related documents
Rainforest Alliance Certification Rules, July
2017 version 1.2
Rainforest Alliance Chain of Custody Policy
2015
Rainforest Alliance Sustainable Agriculture
Standard, July 2017 version 1.2
Replaces
The following measures from 2019 to strengthen the Cocoa Sector in Côte d’Ivoire and Ghana are not
applicable any longer and the applicable rules from the UTZ Protocol v4.3 are applied:
Extended timeframe for UTZ Code of Conduct audits
Increased percentage of surprise audits for UTZ Code of Conduct from 10 to 15%.
Applicable to:
Certification Bodies authorized to perform audits for Rainforest Alliance and/or UTZ
Cocoa Farm and Chain of Custody certified entities (for both UTZ and Rainforest Alliance programs),
including those implementing mass balance against the:
2017 RA SAS Chain of Custody
UTZ Chain of Custody
2020 RA SAS Supply Chain Standard
Regions:
Sections 1,2 and 3 for Côte d’Ivoire and Ghana, Section 1A and 3B for Nigeria and Cameroon,
Sections 2.3 and 2.4 to all regions globally
Crops: Type of organizations:
Cocoa Farm and Chain of Custody entities
Certification Bodies
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MAIN CHANGES FROM VERSION OF 1 OCTOBER 2020
The table below summarizes the main changes in this version of the policy from the previous
version published on 1 October 2020
Summary Table
Pg Clause Change
PRODUCER CERTIFICATION CRITERIA: APPLICABLE TO GHANA AND CÔTE D’IVOIRE
6
1.1.a. Clarification that groups may not hold both Rainforest Alliance and UTZ
certification but may split into different groups holding different certifications
with no overlapping membership
6
1.1.b Clarification that the pause on new groups applies for the UTZ and 2017
Rainforest Alliance programs. New groups may join the new 2020 Rainforest
Alliance Certification Program from July 1 2021
7 1.2.a Clarification that newly split groups may not collectively exceed 10% growth of
the size of the original group
7 1.4.b. Additional requirements for producers in Protected Areas in Ghana who must
have a polygon of the farm and a permit allowing production in that area.
PRODUCER CERTIFICATION CRITERIA: APPLICABLE TO NIGERIA AND CAMEROON
12
1.A.1.a Clarification that the pause on new groups applies for the UTZ and 2017
Rainforest Alliance programs. New groups may join the new 2020 Rainforest
Alliance Certification Program and be audited against the new standard from
July 1 2021
AUDIT PROCESS RULES
17 3.B. (entire section) Now applies also to Cameroon and Nigeria
18 3.3.b. New requirement that CBs in Côte d'Ivoire use the Rainforest Alliance
traceability tool to assess traceability of the Certificate Holder during audits
19 3.4.b Clarification that producers must show the national ID indicated in the GMR
during audit. If no national ID is indicated in the GMR, the producer may show
another form of identification
20 3.5 New requirements on Certification Body obligations to comply with audit and
certification cost transparency
FOLLOWING CLAUSES FROM VERSION 1.3 WERE REMOVED
1.1.c. Clause on « No change of UTZ certification cycle » no longer applicable
1.8.b Clause on child labor training, risk assessment and mitigation measures no
longer applicable
2.2.b. Clause on Supply Chain Certificate Holders' obligation to provide polygons of
producers no longer applicable
2.6 Cocoa origin Matching Mass Balance Supply Chain Criteria requirements have
been removed from Cocoa Policy, but will be applicable through Annex S6
Traceability of the 2020 Rainforest Alliance Sustainable Agriculture Standard
from 1 July 2021
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DEFINITIONS
2017 RA SAS 2017 Rainforest Alliance Sustainable Agriculture Standard
2020 RA SAS 2020 Rainforest Alliance Sustainable Agriculture Standard
Annual Recipe The recipe associated with a specific product. This recipe
may be reviewed and adjusted on an annual basis but
may also be adjusted more frequently.
Calendar Quarter Any period of three consecutive months, starting on day 1
of the first month. Flexibility in choosing the starting month
allows alignment with company fiscal year (see Year).
Certificate Holder Level The sum of all Certified Cocoa sales of the defined
product over a given time period for the Supply Chain
Certificate Holder
Certified Cocoa Cocoa beans and cocoa products that are produced
and/or sold under the 2017 RA SAS, 2020 RA SAS and the
UTZ Certification Program.
Conventional Cocoa Cocoa beans and cocoa products produced and/or sold
that are not part of a Rainforest Alliance Certification
Program
Rainforest Alliance Certification
Program
The certification programs that are part of the Rainforest
Alliance: 2017 RA SAS, 2020 RA SAS and UTZ Certification
Program
Rainforest Alliance Traceability
System
The Rainforest Alliance traceability system that is currently
used for the respective certification programs (Good
Inside Portal, Marketplace or otherwise)
Supply Chain Certificate Holder Entity or group of entities covered under one Supply Chain
Standard certificate.
UTZ Certification Program 2015 UTZ Certification Program, including the Code of
Conduct, Chain of Custody and all related binding
assurance documents.
Year A period of 12 consecutive months. This period can start
on the first day of any month.
INTRODUCTION The Rainforest Alliance is a growing network of people who are inspired and committed to
working together to achieve our mission of creating a better future for people and nature by
making responsible business the new normal. Since January 2018, the UTZ Certification program
is also part of Rainforest Alliance.
As part of the 2020 cocoa assurance interventions for West Africa, a specific policy has been
developed to further strengthen the implementation, verification and credibility of our
certification programs. The policy is applicable to all certificate holders for both UTZ Code of
Conduct and Rainforest Alliance Sustainable Agriculture Standards and for UTZ and Rainforest
Alliance Chain of Custody standards in Côte d’Ivoire and Ghana. It is applicable for all audits
conducted after 1 June 2020. Sections 1,2 and 3 of this policy apply in Full to Côte d’Ivoire and
Ghana.
In addition, in 2020 an additional set of measures from the 2019 cocoa assurance interventions
for West Africa have been extended to Nigeria and Cameroon. Section 1A of this policy sets
out the requirements that apply specifically to certificate holders in Nigeria and Cameroon.
Section 3B, listing the requirements for Certification Bodies and Certificate Holders to comply
6
with audit process rules, was extended to apply also to Nigeria and Cameroon in February
2021
Please note that Sections 2.4 and 2.5 of the current policy are applicable globally to Chain of
Custody Certificate holders in cocoa supply chains regardless of country of operation.
The policy sets out specific implementation requirements for certificate holders at both
producer and supply chain actor levels (Certification Criteria) and for reinforcing the
assurance process (Assurance Process Rules).
1. PRODUCER CERTIFICATION CRITERIA: APPLICABLE TO GHANA AND
CÔTE D’IVOIRE
RAINFOREST ALLIANCE SUSTAINABLE AGRICULTURE STANDARD /
UTZ CODE OF CONDUCT STANDARD
1.1. Certification – Eligibility rules
a. Certified groups shall only be certified against either the Rainforest Alliance Sustainable
Agriculture Standard or the UTZ Code of Conduct Standard, not both certification
programs. Audits and volume sales from 1 June 2020 can only be registered in the
traceability platform for the selected standard (GIP for UTZ or Marketplace for
Rainforest Alliance). Certified groups may split into different groups holding either UTZ
certification or Rainforest Alliance certification. However, the membership of each
group must be separate. No group members may belong to more than one group.
Groups may be certified against other certification programs outside of the Rainforest
Alliance and UTZ programs alongside as well if they choose to;
b. No new groups shall join either the UTZ or Rainforest Alliance 2017 certification
programs; The pause on new groups implemented in 2019 is continued. Groups
previously certified whose last certificate expired earlier than 1 January 2019 cannot
join either of the certification programs; New groups may apply to join the 2020
Rainforest Alliance Certification program to be audited against the new 2020 Standard
from 1 July 2021 onwards. Registration for new groups to enter the 2020 certification
program will be possible from March 2021.
c. Certified groups shall provide proof that the group complies with relevant laws related
to registration with governmental bodies;
d. Group members may not be members of more than one certified group (UTZ or RA);
e. Following a non-certification decision or a decertification decision, a producer group
shall wait at least one full harvest period (main/big or mid/small) after the non-
certification or decertification decision is made before a new certificate may become
active;
f. Any group that is non-certified or whose certificate is suspended or has expired or does
not plan on renewing the certificate must remove all UTZ and/or Rainforest Alliance
logos, seals or labels from their documentation or buildings within one month after the
non-certification or decertification decision is made, or after the expiry date of their
latest certificate.
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1.2. Growth in Group Membership
a. The total number of certified producers in a group can only grow by 10% over the whole
certification year in comparison to the total number of certified producers in the
previous certification year (certification audit and/or extension audit). This applies also
for the groups newly split due to UTZ/RA dual certification, the total number of certified
producers from both groups shall not exceed 10% in comparison to the total number
of the initial group.
b. New group members must comply with the same compliance year or performance
level as other existing group members. This means that if a group is in year 3 in the UTZ
Code of Conduct new members of the group will must also be in compliance with
control points for year 3. For Rainforest Alliance if the group is implementing continuous
improvement criteria in a specific area at performance level B new group members
must also be compliant against performance level B requirements.
1.3. Group Member Registry
a. The government issued ID of each certified producer in the group is indicated in
column C of the new Group Member Registry template.
b. UTZ and Rainforest Alliance certified groups must use the new Group Member Registry
template shared by Rainforest Alliance.
1.4. Geolocation data
a. The location points (GPS coordinates) of 100% of producers in the group are collected
and indicated in the new Group Member Registry template. Location points (GPS
coordinates) of new producers within the group are collected according to the
Rainforest Alliance guidelines;
b. Groups with producers in Protected Areas will not be certified unless allowed by
applicable law. In Côte d’Ivoire, applicable law refers to enclaves approved by MINEF
and in Ghana, to admitted farms with polygons provided by the Forestry Commission of
Ghana. Producers in protected Areas in Ghana will only be allowed under following
requirements:
o The polygon of the producer’s farm is provided.
o The Certification Body can verify that the producer has indeed a permit that
allows production in and corresponds with the admitted area.
When paper-based evidence is provided, the farm area should not
exceed the size documented on the evidence.
When the admitted area designated by the Forestry Commission is
provided as a polygon, the farm borders should not exceed the borders
of the admitted area polygon
1.5. Yield estimation
a. For UTZ groups in year 3 and above, the only credible method to determine the certified
area is through the use of a GPS tool (G.A.2).
1.6. Traceability
a. Equipment used to define the weight or volume of the certified product is calibrated
at least annually;
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b. Group management documents a product flow map from group members to the
group, including all intermediaries (collection points, transport, processing units,
warehouses, etc.) and activities carried out on the product;
c. Group management ensures that intermediaries maintain documentary evidence that
clearly differentiates between certified and non-certified products purchased from
each group members and sold to the group management;
d. Group members receive and keep a proof of payment (receipt or passbook) for each
delivery from the group member to the group or an intermediary, specifying name of
group member, group member ID and Government Issued ID, date, product type and
volume;
e. Transactions are submitted in the traceability system within one week of the physical
delivery from the group to their first buyer. All relevant commercial / legal documents
pertaining to the transaction must be uploaded to the traceability system at the same
time.
f. Groups must remove from the traceability platform any volumes from certified group
members which are sold under other labels or as conventional within one week of the
physical delivery.
1.7. Premium
a. All groups (UTZ and Rainforest Alliance) must document and communicate to group
members at least annually the premium per kg received from the sale of RA/UTZ
certified produce;
b. The Group Member premium is paid in a timely and convenient manner, at least once
per year. Prices, premiums, and timing of premium payment are clearly communicated
and transparent to group members.
c. Group management must document and report to group members at least annually
on the use of UTZ/Rainforest Alliance premium received, differentiating between
i. Investments made by group management for the implementation of the
certification (external audit, internal inspections, staff trainings)
ii. Investments made by group management for products and services to be
used by group members
iii. Cash payments to group members
d. Group management documents all additional investments made by first buyers, over
and above premium and provides evidence of the execution of these investments
(infrastructure, services, etc.)
e. In case a Rainforest Alliance group is not compliant with one of the premium measures,
a non-conformity will be raised against the criterion 1.18 of the Rainforest Alliance
Sustainable Agriculture Standard. This criterion must be considered as a critical
criterion.
1.8. Child Labor Prevention, Monitoring and Remediation
a. All groups (both UTZ and Rainforest Alliance certified) must implement a documented
system to prevent, monitor, and remediate child labor.
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A. PRODUCER CERTIFICATION CRITERIA: CÔTE D’IVOIRE AND GHANA
OVERVIEW OF CHANGES
Policy measure UTZ CODE OF CONDUCT
STANDARD
RAINFOREST ALLIANCE
SUSTAINABLE
AGRICULTURE
STANDARD
APPLICABILITY
a. Certification – Eligibility rules
1.1 a
No dual certification Rainforest
Alliance / UTZ
Clarification on groups
splitting into several
groups with different
certifications (UTZ or RA)
Clarification on groups
splitting into several
groups with different
certifications (UTZ or RA)
1 June 2020
Ghana and
Côte d’Ivoire
1.1 b
Pause on new groups
Clarification that New
groups may join the
new 2020 Certification
Program from July 1
2021
Clarification that New
groups may join the
new 2020 Certification
Program from July 1
2021
18 April 2019
Ghana and
Côte d’Ivoire
1.1 c
Government registration of
certified groups
No change – Letter
April 2019
No change – Letter
April 2019
18 April 2019
Ghana and
Côte d’Ivoire
1.1 d
No membership in multiple
groups
No change – Protocol
2.4.1 Certification
options
NEW
1 June 2020
Ghana and
Côte d’Ivoire
1.1 e
Waiting period for
recertification
Adaptation to Protocol NEW
1 June 2020
Ghana and
Côte d’Ivoire
1.1 f
Use of Rainforest Alliance / UTZ
logo for groups not certified
NEW NEW
1 June 2020
Ghana and
Côte d’Ivoire
b. Growth in Group Membership
1.2 a
Limit in group membership
growth
NEW NEW
1 June 2020
Ghana and
Côte d’Ivoire
1.2 b
Minimum compliance
standard for new members
E.g. if a group is in year
3 in the UTZ Code of
Conduct new members
of the group will must
also be in compliance
with control points for
year 3.
E.g. if the group is
implementing
continuous
improvement criteria in
a specific area at
performance level B,
new group members
must also be compliant
against performance
level B requirements.
1 June 2020
Ghana and
Côte d’Ivoire
c. Group Member Registry
1.3 a
Inclusion of government issued
ID
NEW NEW
1 June 2020
Ghana and
Côte d’Ivoire
1.3 b use of new Group
Member registry template NEW NEW
1 June 2020
Ghana and
Côte d’Ivoire
10
d. Geolocation Data
1.4 a
100% GPS coverage for group
members
No change – Letter
April 2019 No change
18 April 2019
Ghana and
Côte d’Ivoire
1.4 b
Non-certification of groups in
protected areas
G.D.111
Additional criteria for
producers in Protected
Area in Ghana
1.6
Additional criteria for
producers in Protected
Area in Ghana
18 April 2019
Ghana and
Côte d’Ivoire
e. Yield Estimates
1.5 a
GPS tool required to determine
certified Area
NEW – only applies to
UTZ groups in year 3
and above
Non-Applicable
1 June 2020
Ghana and
Côte d’Ivoire
f. Traceability
1.6 a
Annual calibration of
weight/volume equipment
No change – G.A.29 NEW
1 June 2020
Ghana and
Côte d’Ivoire
1.6 b
Product flow map required
Specification for control
point G.A.22 NEW
1 June 2020
Ghana and
Côte d’Ivoire
1.6 c
Intermediaries keep purchase
and sales receipts for all
deliveries
Specification for control
point G.A.24
Specification for
criterion 1.3
1 June 2020
Ghana and
Côte d’Ivoire
1.6 d
Group members keep receipts
of delivery transactions
No change – G.A.22 Specification for
criterion 1.2
1 June 2020
Ghana and
Côte d’Ivoire
1.6 e
Transactions uploaded in
traceability system within one
week
Specification for control
point G.A.25 NEW
1 June 2020
Ghana and
Côte d’Ivoire
1.6 f
Volumes sold as conventional
or under other labels removed
from traceability platform in
one week
Specification for control
point G.A.24 NEW
1 June 2020
Ghana and
Côte d’Ivoire
g. Premium
1.7 a and b
Payment and communication
on premium
No change –G.A.27 NEW
1 June 2020
Ghana and
Côte d’Ivoire
1.7 c
Use and reporting of premium
No change – G.A.26
and G.A.27 NEW
1 June 2020
Ghana and
Côte d’Ivoire
1.7 d
Reporting on additional
investment by first buyers NEW NEW
1 June 2020
Ghana and
Côte d’Ivoire
1.7 E
criterion critical with regards to
premium
Not Applicable NEW – Relates to 1.18
1 June 2020
Ghana and
Côte d’Ivoire
11
h. Child Labor Prevention, monitoring and Remediation
1.8 a
Introduction of CLMRS No Change NEW
1 June 2020
Ghana and
Côte d’Ivoire
12
1.A PRODUCER CERTIFICATION CRITERIA: APPLICABLE TO NIGERIA AND
CAMEROON
RAINFOREST ALLIANCE SUSTAINABLE AGRICULTURE STANDARD /
UTZ CODE OF CONDUCT STANDARD
1.A.1. Certification – Eligibility rules
a. a. No new groups shall join either the UTZ or Rainforest Alliance 2017 certification
programs. Groups previously certified whose last certificate expired earlier than 1
January 2019 cannot join either of the certification programs. New groups may apply
to join the 2020 Rainforest Alliance Certification program to be audited against the new
2020 Standard from 1 July 2021 onwards. Registration for new groups to enter the 2020
certification program will be possible from March 2021.
1.A.2. Geolocation data
a. The location points (GPS coordinates) of 100% of producers in the group are collected
and indicated in the new Group Member Registry template for groups which have a
minimum of 50% of location points collected by 1 February 2020. For groups with less
than 50% of location points collected by 1 February 2020, the location points (GPS
coordinates) of at least 50% of producers in the group are collected and indicated in
the new Group Member Registry template. The location points (GPS coordinates) are
collected according to the Rainforest Alliance guidelines;
b. Groups with producers in Protected Areas will not be certified unless allowed by
applicable law.
c. UTZ and Rainforest Alliance certified groups must use the new Group Member Registry
template shared by Rainforest Alliance
1.A PRODUCER CERTIFICATION CRITERIA: NIGERIA AND CAMEROON
Policy measure
UTZ CODE OF
CONDUCT
STANDARD
RAINFOREST
ALLIANCE
SUSTAINABLE
AGRICULTURE
STANDARD
APPLICABILITY
1.A.1. Certification – Eligibility rules
1.A.1.a
Pause on new groups
Clarification
that New
groups may join
the new 2020
Certification
Program from
July 1 2021
Clarification
that New
groups may
join the new
2020
Certification
Program from
July 1 2021
21 February 2020
Nigeria and
Cameroon
1.A.2. Geolocation Data
1.A.2.a
100% GPS coverage of group members
for groups with at least 50% coverage as
of 1 February 2020
NEW NEW
21 February 2020
Nigeria and
Cameroon
13
50% GPS of group members for groups
with less than 50% coverage as of 1
February 2020
1.A.2 b
No production allowed in protected
area unless allowed by applicable law
G.D.111 1.6
1.A.2 c use of new Group Member
registry template NEW NEW
1 June 2020
Nigeria and
Cameroon
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B. CHAIN OF CUSTODY CERTIFICATION CRITERIA: APPLICABLE TO
GHANA AND CÔTE D’IVOIRE
RAINFOREST ALLIANCE CHAIN OF CUSTODY STANDARD /
UTZ CHAIN OF CUSTODY STANDARD
2.1. Certification – Eligibility rules
a. All supply chain Certificate Holders taking legal ownership of certified cocoa or
derivative products in Côte d’Ivoire and Ghana must be audited by an approved
Certification Body to receive a license/certificate in the traceability system. No audit
exemptions or endorsements will be given for Supply Chain Certificate Holder
operations in Côte d’Ivoire and Ghana other than those in place for mutual
recognition;
b. If a Supply Chain Certificate Holders is non-certified or decertified, the Certificate
Holder shall wait 6 months after the certification decision is taken before a new
certificate may become active.
2.2. Supply Chain Traceability
a. Supply chain Certificate Holders in Côte d’Ivoire and Ghana document a product flow
map from certified producer groups supplying the certified cocoa, including all
intermediaries and activities carried out on the product, including volumes;
2.3. Premium payment
a. A premium is paid as cash / bank transfer by the first buyer to the certified groups (both
UTZ and Rainforest Alliance certified group) for all product claimed as UTZ or Rainforest
Alliance certified. This amount is paid per metric ton, over and above and distinct from
the price of the certified product, other premiums including quality premiums and other
obligatory payments such as Living Income Differential.
b. Premium payments and amounts, with evidence of payment are reported in the
applicable Traceability Platform (GIP for UTZ and MarketPlace for Rainforest Alliance).
c. Premium is paid to groups by their 1st buyer by the end of each quarter for the
applicable certified volumes declared as bought in the applicable traceability system
THE FOLLOWING CHAIN OF CUSTODY CERTIFICATION CRITERIA ARE
APPLICABLE GLOBALLY
2.4. Traceability
a. Within a multi-site Chain of Custody certificate, mass balance credit volumes may be
transferred between sites within the same geographic region defined by the Rainforest
Alliance with or without an accompanying legal or physical change of ownership.
Within a multi-site Chain of Custody certificate, mass balance credit volumes
transferred between sites in different geographic regions must be accompanied by a
legal or physical change of ownership. When mass balance credit volume is transferred
from one to another certificate, there must always be physical movement of beans
accompanying such transaction
b. For UTZ certified Supply Chain actors, tracing marks the end of the online traceability
system for UTZ cocoa products. This action is performed when pure cocoa products
15
are mixed with non-pure ingredients or used in consumer-end products. Tracing is
critical for correct administration of volumes and ensures an accurate traceability
system.
For all traceability levels (IP/SG/MB):
• When pure cocoa product is sold as a consumer-end product with UTZ claim
(both for online and/or offline communication), the SCA performs the stock
activity trace.
• When pure cocoa product is mixed with non-cocoa ingredients and claimed
as UTZ (both for online and/or offline communication) the SCA performs the
stock activity trace.
2.5. Legal Agreements
a. From September 1st, 2020, all companies are expected to have executed a License
Agreement (2020 Version) with the Rainforest Alliance. This agreement will replace
existing MLAs and the trademark license in the UTZ terms and conditions.
b. All companies are required to stop manufacturing products printed with either legacy
brand (UTZ flag or old RA seal) as of September 1st, 2020 unless other arrangements
have been made with the Rainforest Alliance.
c. Any labeling or claim approvals already granted for cocoa products will expire on
September 1st, 2020, and new requests will need to be submitted with the new seal
artwork if the company wishes to continue making any claim.
d. A sell off period of 6 months is allowed, for companies with a valid certificate, after
September 1st, 2020 for existing printed packaging or labeling to be used unless other
arrangements have been made with the Rainforest Alliance. These are the
requirements if you want to take advantage of the sell off period applicable to legacy
seal or label use.
e. The new Rainforest Alliance seal may be used, if prior approval against the new policy
has been granted via the claim request process.
f. Printing of packaging with new seal can commence before September 1st, 2020
(provided approval against new labeling policy has been secured and a new License
Agreement is signed), provided these products do not reach the shelf prior to that
date.
g. Companies will cooperate with the Rainforest Alliance, and where appropriate,
provide the Certification Body with the evidence that, prior to and during the sell-off
period, the labelled product was processed and packaged in accordance with all
Rainforest Alliance system requirements.
h. A sell-off period will not be authorized or will be revoked in instances where the
company has participated in fraudulent or unethical activities that may tarnish the
reputation of the certification program.
16
2. CHAIN OF CUSTODY CERTIFICATION CRITERIA
Policy measure UTZ CHAIN OF CUSTODY
STANDARD
RAINFOREST
ALLIANCE CHAIN
OF CUSTODY
STANDARD
APPLICABILITY
2.1 Certification – Eligibility Rules
2.1 a
Mandatory audits for Chain of
Custody actors in country
Change UTZ
Certification Protocol
4.3, chapter 2.2.2 :
No audit exemptions for
Supply Chain Actors not
physically handling
certified product
NEW, no further
endorsements for
very low risk
companies.
1 June 2020
Ghana and
Côte d’Ivoire
2.1 b
6 months delay for
recertification after non-
certification or decertification
NEW NEW
1 June 2020
Ghana and
Côte d’Ivoire
2.2 Supply Chain Traceability (Cote d'Ivoire and Ghana)
2.2 a
Documentation of product
flow/supply chain map and
supplier volumes
NEW NEW
1 June 2020
Ghana and
Côte d’Ivoire
2.3 Premium Payment
2.3 a
Payment of cash premium for
certified cocoa
No change to UTZ
Chain of Custody –
control point 16
NEW
1 June 2020
Ghana and
Côte d’Ivoire
2.3 b Premium payment and
amount recorded in
traceability system
No change to UTZ
Chain of Custody –
control point 17
NEW
1 June 2020
Ghana and
Côte d’Ivoire
2.3 c
Premium paid by the end of
each quarter
NEW NEW
1 June 2020
Ghana and
Côte d’Ivoire
2.4 Traceability
2.4 a
Transfer of mass balance credit
volumes between
geographical regions require
change of legal ownership
Specification – Chain of
Custody and UTZ
Protocol
NEW 1 July 2020
Global
2.4 b
Tracing mandatory when pure
UTZ cocoa is used with non-
pure cocoa or in consumer-
end products with the UTZ
claim (both for online and/or
offline communication)
Specification – Chain of
Custody Cocoa Annex Non-Applicable
September
2020
Global
2.5 Legal Agreements
2.5 a – h
New arrangements for legal
agreements, trademark and
seal use
NEW NEW
1 September
2020
Global
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3. AUDIT PROCESS RULES
ADDITIONS TO : UTZ CERTIFICATION PROTOCOL V4.3
ADDITIONS TO : RAINFOREST ALLIANCE CERTIFICATION RULES V2.0
A. APPLICABLE TO GHANA AND COTE D’IVOIRE
3.1. Audit Allocation
a. For UTZ Code of Conduct certificate holders, audit allocation applies to all audits taking
place after June 1st, 2020 for the October 2020 to September 2021 audit cycle. For
Rainforest Alliance Sustainable Agriculture certificate holders, audit allocation applies
to all recertification audits taking place after June 1st, 2020. Audit allocation does not
apply to Chain of Custody certificate holders.
b. Farm Standard and Code of Conduct audits are allocated to Certification Bodies by
the Rainforest Alliance according to risk. Audit sample and duration are adjusted
according to Certificate Holders’ risk level for all audits taking place after June 1st, 2020.
c. Upfront Audit costs including auditors’ expenses (as a proportion of total cost) are
covered in the contract between the certificate holder and the certification body and
paid to the Certification Body ahead of the audit
d. Audits shall be conducted in the period spanning from 4 months before to 4 months
after the start date of the harvest
e. The Rainforest Alliance reserves the right to ask Certificate Bodies to conduct
unannounced or semi-announced audits.
f. The Rainforest Alliance reserves the right to intervene in the audit planning process
and request changes to improve audit quality, if the proposed plan does not conform
to Rainforest Alliance guidance in terms of audit team composition, sample size and
composition or audit duration.
g. The Rainforest Alliance reserves the right to refuse an auditor proposed by a
Certification Body on the grounds of insufficient experience or proven poor
performance.
B. APPLICABLE TO COTE D’IVOIRE, GHANA, CAMEROON AND
NIGERIA
3.2. Certification Body Authorization to conduct audits
a. Certification bodies ensure that the performance of their auditors is assessed annually
including through in-field trainings and/or mock-audits.
b. The Rainforest Alliance reserves the right to cancel a certification body’s authorization
(for the scope of cocoa in Côte d’Ivoire and Ghana) if fraud or corruption is detected.
This applies to any form of misconduct the certification body is found to have actively
engaged in, promoted, failed to identify and report when detected, or failed to verify
remediation properly or in a timely fashion
c. Certification bodies pay out of pocket expenses for the conduct of the audit to the
auditor in advance of the audit.
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3.3. Certification Body rights and obligations to comply with the audit process
a. Auditors and Certification Bodies assess the compliance of certificate holders on child
labor, deforestation, geolocation, volume estimation and traceability according to
instructions provided by the Rainforest Alliance;
b. Certification Bodies in Côte d'Ivoire use the traceability tool provided by the Rainforest
Alliance to assess traceability of the Certificate Holder;
c. In the case of multigroup certification, the internal management system of each
subgroup is audited;
d. The auditor shares the list of sampled farmers for the following day at the earliest at the
end of the day before;
e. Certification Bodies must use for the audit the deforestation risk assessment to be shared
by the Rainforest Alliance;
f. Certification bodies have the right to terminate the audit and not issue or renew the
certificate if the certificate holder does not cooperate, or deliberately blocks the audit
by hiding or not showing requested documents, rushing the audit team, or avoiding
places or interviews requested by the auditor. Auditors clearly inform group
management at the beginning of the audit of the possible consequences of such
practices.
g. At the latest ten days after the closing meeting of the audit of an UTZ or Rainforest
Alliance certified group, the following documents are sent to the Rainforest Alliance:
• the complete checklist,
• the NC report, and
• the GMR, completed by the auditor (columns AP to AR)
h. For UTZ, surprise audits can be conducted whenever the Certification Body deems this
to be necessary based on a risk assessment, provided that the certification decision for
the latest audit has already been pronounced and communicated.
i. If the certification body finds that a farmer is part of several certified groups, this farmer
as well as his or her estimated volume must be removed from all certified groups. If such
a case is found after the certificate is delivered, the Rainforest Alliance reserves the right
to require the certificate holder to do so.
j. Certification Bodies must keep accurate, complete, up-to-date and legible records
and evidences related to the certification programs and Cocoa Policy, including at
least:
• Auditor performance appraisals;
• Certification applications; audit and certification agreements;
• Certification audit reports, supporting evidences and summaries, audit plan, as
well as certification decisions;
• Completed traceability tool (Côte d’Ivoire only)
• Evidence of all written communication and documented meetings between
the Certification Body and the certificate holder on the certification process;
• Evidence of payment of out of pocket expenses to the auditor ahead of the
audit;
• Certification complaints or appeals, including notes of committee meetings
responsible for reviewing such complaints or appeals.
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k. Prior to the audit, the Certification Body must send all the latest relevant documents to
the group, including at least the standard, the UTZ Protocol or Certification Rules, the
latest version of the Cocoa Policy, and the relevant guidance.
l. The pre-audit sample list must be documented. This list may contain more producers
than the minimum required sample number to give options to the auditors should the
producers not be available during the audit.
m. The Certification Body must send the final audit report to the certificate holder at the
latest ten days after the last audit day.
n. The Certification Body has the right to cancel the certificate of a certificate holder
(either by non-certification if the group currently does not have an active certificate, or
by suspension if the group still has an active certificate) in the following cases:
• if, in the sole opinion of the Certification Body or the Rainforest Alliance, the
certificate holder participated in illegal, fraudulent or unethical activities that
could discredit the certification program;
• if, in the sole opinion of the Certification Body or the Rainforest Alliance, the
certificate holder exerted coercion or made any form of implicit or explicit
threats to the moral or physical integrity or the life of any members of the
Certification Body auditing team or staff, through the employees of the
organization, or people under its influence or orders;
Where cancellation of the certificate is made due to these conditions, it is valid from
the date of the Certification Body’s communication of the cancellation to the
certificate holder. The cancellation is valid for three years during which time the group
may not reapply for certification.
3.4. Certificate Holder obligations to comply with the audit process
a. Of the total number of audited producers, at least 75% must come from the auditor's
pre-sampled list.
b. A minimum of 75% of audited producers are able to show some form of official ID to
prove their identity during the audit. If a national ID is indicated for the audited producer
in the GMR, the producer should be able to show the corresponding ID. If no national
ID is indicated, the producer is allowed to show another form of identification (health
Insurance card, birth certificate, etc.).
c. The product flow map from the group members up to the group, including all
intermediaries (collection points, transport, processing units, warehouses, etc.) and
activities carried out on the product is shared with the certification body before the
audit.
d. For UTZ certificate holders, certificate holders can deny a surprise audit only once and
only with a concrete justification.
e. Non-conformities raised during audits must be closed by all certificate holders at the
latest 8 weeks after the Certification Body sends the final audit report to the certificate
holder. For Rainforest Alliance certificate holders, this covers the period between the
date at which the Certification Body sends the final audit report to the certificate holder
and the date of the certification decision based on the verification audit.
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f. The Rainforest Alliance reserves the right to reject a license/certificate without possibility
of resubmission during the current season if geolocation data is not provided in the
required format and does not respect the applicable control points.
G. if non-conformities at certificate holder level are detected by the Rainforest Alliance
during a shadow / parallel / investigation audit, these are considered as valid audit
findings. Certificate holders will be obliged to close the non-conformities using the
normal process with their allocated certification body. Serious non-conformities
identified through shadow / parallel / investigation audit may result in the suspension or
cancellation of the certificate holder’s certificate in line with current Rainforest Alliance
and UTZ rules and policies.
3.5. Certification Body obligations to comply with audit and certification cost
transparency
The certification Body shall have a transparent certification cost calculation system, which
will be reflected in the offer for audit and certification services that is provided to the
Certificate Holder. This includes but is not limited to:
a. Each certification offer document includes the following components along with the
quantity and the price:
i. Number of audit days (person-days) for field audit including:
• Visits of facilities and farms based on the square root and risk
factor of the Certificate Holder
• Other onsite audit activities (IMS verification, opening and
closing meeting)
ii. Field audit related costs
• Auditor costs (per diem/ accommodation, etc.)
• Auditor travel day (if invoiced separately)
• Transport (vehicle hire, fuel etc)
iii. Office based audit activities and administration
• Audit preparation (in person-days or fixed cost)
• Report writing (in person-days or fixed cost)
• Certification costs
• Administration costs
iv. Taxes
b. The total price on the offer includes basic follow-up of closure of non-conformities. If
follow-up audit on-site is needed, a complementary offer shall be drawn up and
invoiced based on the same fee structure
c. If the total price on the invoice differs from the price on the initial offer, the
Certification Body shall clearly indicate the reason for the difference.
d. Negotiation and acceptance of the offer for audit services remains the responsibility
of Certification Bodies and Certificate Holders. Where Certificate Holders are unable
to resolve a complaint related to audit costs, they may raise a grievance with
Rainforest Alliance through the Grievance Procedure. Rainforest Alliance will
adjudicate the grievance based on compliance with the transparency requirements
and coherence with cost information already collected from Certification Bodies.
e. Rainforest Alliance reserves the right to use a mandatory template for audit proposals
made by Certification Bodies